HPM 10.4, Citizen's Complaints Flashcards by Maurice Teliha

HPM 10.4, CHAPTER 1, Introduction

Investigation. A thorough, fair, and impartial investigation shall be conducted into complaints received by the Department. This shall be accomplished by gathering sufficient information and evidence to reach a logical conclusion. The investigation will then be documented in a standardized format.

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HPM 10.4, CHAPTER 1, Introduction

Acceptance. When a citizen complains to the Department, either verbally, in writing, or in person, the complaint will be acknowledged in a timely manner and an investigation will be initiated. As required by law, the complainant will be notified of potential criminal and/or civil penalties for filing false or malicious complaints against peace officers.

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HPM 10.4, CHAPTER 1, Introduction

Processing. Completed investigations will be approved, filed, and maintained as outlined in this manual. Employees will also be given an opportunity to review the investigation.

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HPM 10.4, CHAPTER 1, Introduction

Closing. All complainants will be notified in writing of the investigation findings. Employees will also be provided with closing documentation, when appropriate.

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HPM 10.4, CHAPTER 2, Complaint Terminology

All citizens’ complaints investigated by this Department are classified as either Category I, Category II, or “Other.” Complaint categories are only intended to reflect the documentation format and level of review required by the Department for each type. The commander shall decide the overall classification of each complaint, based upon the most serious allegation made during any stage of the investigation and the overall circumstances of the complaint.

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HPM 10.4, CHAPTER 2, Complaint Terminology

Category I Complaint. Complaints alleging physical contact, excessive force, and/or criminal, racial, sexual, or immoral conduct. Category I complaints also include those which allege acts of dishonesty and/or falsification of documentation, or allegations of unethical conduct.

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HPM 10.4, CHAPTER 2, Complaint Terminology

Category II Complaint. Complaints alleging verbal misconduct, nonverbal misconduct (not involving actual physical contact), and/or complaints regarding matters not related to an employee’s conduct.

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HPM 10.4, CHAPTER 2, Complaint Terminology

“Other” Complaints. Complaints which may contain Category I or II allegations as outlined above, but which also meet the definition of one of the following types of complaints, as defined in this chapter:

Departmental complaint
Citation Validity complaint (if this is the sole allegation)
Rescinded complaint
Frivolous complaint

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HPM 10.4, CHAPTER 2, Complaint Terminology

Non-Complaints. Issues brought to the attention of the Department which are not normally considered citizens’ complaints for the purpose of investigation and documentation in accordance with this manual. Refer to Chapter 3 for specific guidance on the acceptance and proper processing of these complaints. Examples of such non-complaint issues include:

Traffic
Vehicle Storage/Impound Validity
Other Agency
Off-duty conduct

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HPM 10.4, CHAPTER 2, Complaint Terminology

A finding is a conclusion supported by a preponderance of all available evidence adequate to lead a reasonable and prudent person to reach the same conclusion.

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HPM 10.4, CHAPTER 2, Complaint Terminology

Specified. A complaint allegation will have one of five findings. Each is listed below, in order of severity. Refer to Chapter 6 for more detailed explanations and examples.

(1) Sustained - The act (or omission) did occur, and it is deemed improper.
(2) Unintentional Error - The act (or omission) did occur and it is deemed improper, but was the result of an employee’s honest mistake.
(3) Undetermined/No Finding - Used only when the evidence, or lack thereof, precludes the investigator from making a definitive judgment.
(4) Departmental - Used when the employee’s actions are fully in compliance with Department policy and/or procedure, but the policy or procedure itself is found to be erroneous or is the cause of the complainant’s concerns. Departmental is also the only allowable finding for Departmental complaints.
(5) Exonerated - The employee did not commit the act (or omission), or did commit the act and it is deemed to be proper or within Department policy.

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HPM 10.2, CHAPTER 2, Complaint Terminology

The individual reportedly injured or offended by the actions of the Department or one of its employees.

Aggrieved Person

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HPM 10.4, CHAPTER 2, Complaint Terminology

A claim, assertion, or accusation of an act or omission that has not yet been proven to be factual.

Allegation

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HPM 10.4, CHAPTER 2, Complaint Terminology

Any complaint where the allegedly aggrieved person chooses to withhold his/her identity.

Anonymous Complaint

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HPM 10.4, CHAPTER 2, Complaint Terminology

An allegation that a citation issued was invalid, or was at least partially inaccurate. Normally a Category II complaint, a citation validity allegation may be processed as an ‘Other’ complaint if there are no other allegations by the complainant.

Citation Validity

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HPM 10.4, CHAPTER 2, Complaint Terminology

A letter sent to a complainant and/or legislator upon the conclusion of an investigation notifying them of the findings. This correspondence is required in all cases.

Closing Correspondence

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HPM 10.4, CHAPTER 2, Complaint Terminology

One who files a complaint.

Complainant

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HPM 10.2, CHAPTER 2, Complaint Terminology

An expression of dissatisfaction, made verbally or in writing, concerning departmental policies/procedures or alleging improper conduct by an employee of this Department.

Complaint

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HPM 10.4, CHAPTER 2, Complaint Terminology

An allegation which is solely against a Department policy or procedure, and NO employee misconduct is alleged. In these cases, “Department” shall be listed as the employee on the CHP 240, Complaint Investigation face page. If the only allegations in the complaint are Departmental, then it is considered a Departmental complaint and should be documented as an Other complaint.

Departmental Allegation/Complaint

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HPM 10.4, CHAPTER 2, Complaint Terminology

A complaint which is totally and completely without merit, or which is filed for the sole purpose of harassing an employee. This includes complaints which are questionable or irrational.

Frivolous complaint

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HPM 10.4, CHAPTER 2, Complaint Terminology

A reference file maintained by the Bureau of Internal Affairs of complainants who have demonstrated a propensity for filing numerous false or frivolous complaints. The file is intended to assist commanders in identifying potentially frivolous complaints.

Information File

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HPM 10.4, CHAPTER 2, Complaint Terminology

A complaint which originates from a legislator’s office or from the Office of the Governor, usually on behalf of a constituent. Special processing and suspenses apply.

Legislative Complaint

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HPM 10.4, CHAPTER 2, Complaint Terminology

A complaint stemming from an employee’s off-duty actions. These are normally not accepted as a Citizens’ Complaint unless specific criteria are met.

Off-Duty Allegation

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HPM 10.4, CHAPTER 2, Complaint Terminology

A complaint made to this Department concerning the policies, procedures, or employee conduct of another agency. This was previously known as a Non-Departmental complaint.

Other Agency Complaint

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HPM 10.4, CHAPTER 2, Complaint Terminology Evidence of greater weight or more convincing than the evidence offered in opposition. It is not determined solely by the number of witnesses, but by the derived significance of all evidence and the totality of circumstances.

Preponderance of Evidence

HPM 10.4, CHAPTER 2, Complaint Terminology A complaint in which the complainant, after having initiated the complaint process, specifically requests to withdraw all of the allegations. A complainant’s request to rescind a complaint does not relieve the commander from the responsibility to determine the validity of the allegations.

Rescinded Complaint

HPM 10.2, CHAPTER 2, Complaint Terminology A complaint brought by any person or group, who is not a witness or party to an alleged act of misconduct or neglect of duty, but who reports such conduct to this Department on behalf of the potentially aggrieved person. This includes complaints by non-involved relatives, parents of children over the age of 18 years, and attorneys acting on behalf of a client.

Third-Party Complaint

HPM 10.4, CHAPTER 2, Complaint Terminology A complaint regarding the complainant’s concerns of a specific traffic condition, usually due to a perceived lack of enforcement. Traffic complaints are not normally considered to be citizens' complaints.

Traffic Complaint

HPM 10.4, CHAPTER 2, Complaint Terminology This type of complaint involves the validity of a vehicle storage or impound, and is not related to employee misconduct. These are not accepted as citizens' complaints, and are normally resolved by other means.

Vehicle Storage/Impound Complaint

HPM 10.4, CHAPTER 3, Complaint Acceptance This form is the ‘face page’ of the complaint investigation package and is the primary method of complaint documentation. The CHP 240 will be completed for all Category I, Category II, and Other complaints.

CHP 240, Complaint Investigation

HPM 10.4, CHAPTER 3, Complaint Acceptance This form is used to initially document receipt of citizens’ complaints, and as a management tool to track investigation status. Information required to complete the annual report to BIA is tracked on this form. The CHP 240A shall be maintained in a location that ensures its confidentiality.

CHP 240A, Complaint Control Log

HPM 10.4, CHAPTER 3, Complaint Acceptance This form is intended to be the primary instrument for citizens to file complaints against uniformed (peace officer) employees, while also informing complainants about the complaint process. The form also contains a statement, required by the Penal Code, which advises potential complainants of the criminal penalties for filing a false complaint against a peace officer. Normally this form is provided to complainants at the time of their initial contact with the Department.

CHP 240B, Citizens' Complaint Information

HPM 10.4, CHAPTER 3, Complaint Acceptance This form is intended to be the primary instrument for citizens to file complaints against non-uniformed (non-peace officer) employees, while also informing complainants about the complaint process. Normally this form is provided to complainants at the time of their initial contact with the Department.

CHP 240D, Citizens' Complaint Information (Non Uniformed)

HPM 10.4, CHAPTER 3, Complaint Acceptance Complainants who contact the Department by telephone and express a desire to file a complaint against a non-uniformed employee, shall be notified that should they so desire the complaint can be filed via the Internet and that many local libraries offer Internet access.

HPM 10.4, CHAPTER 3, Complaint Acceptance All complainants shall be acknowledged by correspondence within five (5) business days of the Department’s notification of the complaint. As an exception, interim correspondence is not required if the complainant originally contacted the Department in person and the requisite information normally contained in an interim letter was provided at that time. Interim correspondence should include a brief summary of the allegations, which command will conduct the investigation, notification that an investigator will contact the complainant as a part of the investigation, and that the investigation findings will be provided in writing.

HPM 10.4, CHAPTER 3, Complaint Acceptance The CHP 240B or CHP 240D, as appropriate, must be provided to all potential complainants. The method of providing the CHP 240B or CHP 240D will depend on how the complaint was received and local policy/procedure.

HPM 10.4, CHAPTER 3, Complaint Acceptance If the complaint involves a departmental peace officer, the complainant shall be requested to sign the advisory statement on the CHP 240B. In either case, the complainant shall be requested to return the CHP 240B or CHP 240D within ten (10) business days.

HPM 10.4, CHAPTER 3, Complaint Acceptance The Department is also obligated to provide each complainant with a copy of his/her allegations. This may be accomplished simultaneously with issuance of the CHP 240B or CHP 240D by summarizing the complainant’s statement or allegations on the rear of the form and then providing a photocopy for their records.

HPM 10.4, CHAPTER 3, Complaint Acceptance Other Agency. If the complaint is determined to be against an allied law enforcement agency or its personnel, provide correspondence to the complainant advising that his/her concerns should be directed to the appropriate agency. A sample of such correspondence to the complainant is contained in Annex D. The commander shall also forward all pertinent information received from the complainantor gathered by this Department, to the allied agency for their consideration and/or action.

HPM 10.4, CHAPTER 3, Complaint Acceptance Third Party. If the complaint is from a third party (see Chapter 2 for the definition), send the inquiring party correspondence acknowledging receipt of their concerns and informing them that the allegedly aggrieved party will be contacted directly. The command shall then contact the complainant directly to ascertain their intentions, normally with a requested turnaround period of 30 days.

HPM 10.4, CHAPTER 3, Complaint Acceptance The primary purpose of the citizens’ complaint process is to address allegations of duty related misconduct. As such, the acceptance of a formal citizens’ complaint regarding allegations of off-duty misconduct should be limited to certain conditions. Specifically, such investigations shall be restricted to instances were a clear connection or nexus to employment by this Department has been made by the employee. However, the fact the allegedly aggrieved party is simply aware of the employee's position does not alone provide a nexus to the Department.

HPM 10.4, CHAPTER 3, Complaint Acceptance Nothing in this manual should be construed as precluding a commander from investigating any off-duty misconduct under the auspices of HPM 10.2, Internal Investigations, if such investigation is deemed appropriate. Situations in which an investigation under HPM 10.2 would be warranted include: allegations of illegal conduct (excepting infractions), actions of a highly questionable nature or which bring discredit to the Department, or when a commander deems an investigation to be in the best interests of the Department.

HPM 10.4, CHAPTER 3, Complaint Acceptance Complaints From Department Personnel. The citizens' complaint process is intended to afford the public an avenue to voice concerns. Since other processes are available for Department employees to voice concerns regarding employee conduct, the citizens' complaint process shall not be utilized to document internal complaints or grievances.

HPM 10.4, CHAPTER 3, Complaint Acceptance Traffic Complaints. Requests for specific enforcement emphasis or reporting of potentially hazardous traffic conditions shall be processed and documented as required by the Area or Division commander.

HPM 10.4, CHAPTER 3, Complaint Acceptance Vehicle Storage/Impound Validity. Normally these requests are directed to the appropriate shift supervisor or tow hearing officer. Refer to HPM 81.2, Vehicle Procedures Manual, for all inquiries involving storage or impound issues, as well as complaints against tow operators. Note that there can be a subtle, but important, distinction between a complaint about a vehicle storage and a complaint about a specific officer’s actions in the storage.

HPM 10.4, CHAPTER 3, Complaint Acceptance Board of Control Tort Claim. Investigations initiated as a result of a citizen filing suit against the Department shall be conducted in accordance with this manual and HPM 11.1, Administrative Procedures Manual, and shall be coordinated directly with the Legal Coordination Unit.

HPM 10.4, CHAPTER 3, Complaint Acceptance Claim of Monetary Damages. Any complainant who makes a claim of monetary damages, which are alleged to have been proximately caused by the actions, or inaction, of a Department employee shall be provided with a CHP 287, Claims of $1,000 or Less, or a BC-1A (Board of Control) Tort Claim, as appropriate.

HPM 10.4, CHAPTER 3, Complaint Acceptance If a complainant expresses a desire to remain confidential, he/she shall be informed that the Department will attempt to honor their request to the greatest extent possible. However, an employee has the right to review a complaint upon completion (pursuant to Government Code §3305) and uniformed employees have the right to file a civil claim against a complainant (pursuant to Civil Code §47.5). Accordingly, the complainant shall also be notified that due to these legal requirements, should the employee request a copy of the investigation, the Department’s ability to maintain absolute confidentiality will be severely limited.

HPM 10.4, CHAPTER 3, Complaint Acceptance LEGISLATIVE COMPLAINTS. Complaints filed on behalf of constituents by a legislator or other governing entity require special processing. Normally, these complaints will be forwarded to commands by the Bureau of Internal Affairs (BIA), and the initial correspondence to the legislator will have already been accomplished. In the event a command receives a legislative complaint that was not forwarded from BIA, the command, in coordination with the Department’s Office of Special Representative, shall also send a response letter directly to the legislator or other originating entity.

HPM 10.4, CHAPTER 3, Complaint Acceptance As required by law, the Department maintains an electronic medium through which members of the public may express opinions regarding departmental policies or programs. Information pertaining to the citizen’s complaint process has also been made available.

HPM 10.4, CHAPTER 4, Investigation Responsibility The assigned primary investigator shall be at least one grade higher than the involved employee, unless otherwise approved by the Division commander or appropriate Assistant Commissioner. The primary investigator should not be a party or witness to the incident in question.

HPM 10.4, CHAPTER 4, Investigation Responsibility The normal suspense period for complaints received atthe command, or forwarded from BIA, is sixty (60) days. The suspense period for legislative complaints is thirty (30) days. In general practice, the desire to conduct thorough and complete investigations should outweigh suspense considerations.

HPM 10.4, CHAPTER 4, Investigation Responsibility In no event shall the responsibility for conducting citizens’ complaint investigations initiated against employees of this Department be relinquished to any outside agency.

HPM 10.4, CHAPTER 4, Investigation Responsibility While the commander is responsible for the overall complaint and investigative process, the primary investigator is accountable for the conduct and quality of the investigation and documentation.

HPM 10.4, CHAPTER 5, Investigation Process An investigation is a systematic gathering of facts and evidence concerning a specific event or allegation of misconduct. All events, facts, and evidence must be verified and documented. Complaints shall be investigated to the degree necessary to reach a logical conclusion.

HPM 10.4, CHAPTER 5, Investigation Process ``` Some initial steps an investigator should consider: Meet with Commander Begin Chronological Log Establish Investigation File Clarify Allegations ```

HPM 10.4, CHAPTER 5, Investigation Process Chronological Log. This is a detailed chronological accounting of all actions taken by the investigator as they relate to the investigation. The chronological log “tells the story” of how the investigation was conducted and what was discovered.

HPM 10.4, CHAPTER 5, Investigation Process Investigation File. This is an investigator-maintained file that provides a common storage site for investigation-related documents and other evidence.

HPM 10.4, CHAPTER 5, Investigation Process The investigation process can be divided into three basic steps: Determine the Questions Determine the Answers Document the Results

HPM 10.4, CHAPTER 5, Investigation Process INJURED PARTIES. When a complaint involves a purported injury to the complainant, every effort shall be made to thoroughly document such injuries. This may include photographing the complainant to demonstrate the existence, or absence, of physical signs of the injury. If applicable, copies of medical records relating to the treatment of the alleged injury should also be obtained.

HPM 10.4, CHAPTER 5, Investigation Process Normally, an interview with the involved employee should be conducted after gathering all other available information.

HPM 10.4, CHAPTER 5, Investigation Process If, during the course of a routine interview in which the employee does not have representation, information surfaces which indicates the employee may be faced withadverse action, the interview should be suspended and the employee shall be informed of his/her right to representation.

HPM 10.4, CHAPTER 5, Investigation Process Should a supervisor desire to tape record an interview with an employee, outside the scope of a formal Administrative Interrogation, prior permission must be obtained from the employee. This is intended to avoid the possible perception on the employee’s part that an Administrative Interrogation is indeed being conducted. If consent is granted, the employee shall also have the right to concurrently record the interview. If consent is not granted and the investigator believes obtaining a recorded statement is absolutely necessary, then an Administrative Interrogation must be held.

HPM 10.4, CHAPTER 5, Investigation Process To preclude any potential violation of the Public Safety Officers Procedural Bill Of Rights (POBR), the practice of directing an employee who is the subject of an investigation to complete a memorandum describing the employee’s version of the matter in question is prohibited. However, subsequent to an interview, an employee may be directed to prepare a memorandum for the purpose of clarifying specific issues. In addition, this prohibition does not apply when the employee has been provided with a written interrogatory and afforded the opportunity to consult with a representative during it’s completion.

HPM 10.4, CHAPTER 5, Investigation Process The employee's complaint history shall be examined in order to determine the existence of previous complaints which would be relevant to the current investigation. Of specific concern would be complaints in which an allegation was Sustained or found to be an Unintentional Error, or in which a definitive finding could not be reached. This does not mean however, that previous complaints which have other findings should not also be considered, specifically including Other complaints (such as Frivolous or Rescinded).

HPM 10.4, CHAPTER 5, Investigation Process Commands and investigators should be aware that in the event an investigation is released through legal discovery, specifically identified previous complaints may then also become discoverable.

HPM 10.4, CHAPTER 5, Investigation Process Evidence pertaining to an investigation conducted in accordance with this manualshall be stored for a period of five years, beginning with the date the complaint is filed.

HPM 10.4, CHAPTER 5, Investigation Process Evidence shall remain in the command which originally completed theinvestigation, regardless of any subsequent transfers of the involved employees.

HPM 10.4, CHAPTER 5, Investigation Process If the release of medical records should become necessary during the course of the investigation, the individual whose records are sought must grant permission. Due to the nature of such records, the utmost care must be employed to ensure sufficient confidentiality, and only pertinent portions of any record should be included as an investigation exhibit.

HPM 10.4, CHAPTER 5, Investigation Process Any existing audio and/or video recordings made by uniformed employees relating to any enforcement activity shall be provided to the Department upon request. This requirement shall include recordings which were made surreptitiously (without the other party’s knowledge). The employee shall be provided with either a new tape as a replacement, or the original recording may be returned after duplication as needed.

HPM 10.4, CHAPTER 5, Investigation Process All complaints with allegations of criminal misconduct which have been given a finding of Sustained or Unintentional Error shall be referred to the respective prosecuting district attorney’s office for review. The results of such a review shall be discussed in the corresponding Recommendations section of the narrative.

HPM 10.4, CHAPTER 5, Investigation Process Should the facts of an investigation indicate that a request for Adverse Action against an employee will be sought, the complaint investigation shall be completed in it’s entirety, as described in this manual. Once this has been accomplished, the investigation will then become an exhibit in the separate Adverse Action package, completed in accordance with HPM 10.2.

HPM 10.4, CHAPTER 6, Complaint Findings The five possible complaint allegation findings are listed below, in order of severity from highest to lowest. The order provided here matches the order listed on the CHP 240, Complaint Investigation face page. (1) Sustained. (2) Unintentional Error. (3) Undetermined / No Finding. (4) Departmental. (5) Exonerated.

HPM 10.4, CHAPTER 6, Complaint Findings Each allegation shall have only one finding, even if several instances of that specific allegation are alleged. That is, separate acts of the same alleged misconduct will be combined into a single allegation.

HPM 10.4, CHAPTER 6, Complaint Findings The finding for a combined allegation shall be the most severe finding from any one of the instances, based on the order of severity specified above.

HPM 10.4, CHAPTER 6, Complaint Findings The act (or omission) did occur, and it is deemed improper. The investigation should clearly articulate why the act is improper, e.g., violation of whatspecific departmental policy or local procedure, state law, etc.

Sustained

HPM 10.4, CHAPTER 6, Complaint Findings The act (or omission) did occur, but as a result of an employee’s honest mistake.

Unintentional Error

HPM 10.4, CHAPTER 6, Complaint Findings Used only when the evidence, or lack thereof, precludes the investigator from making a definitive judgment. This finding should be used only in cases where the investigator determines that insufficient evidence exists which would establish a preponderance (e.g. 51%) one way or the other.

Undetermined/No Finding

HPM 10.4, CHAPTER 6, Complaint Findings Used when the employee’s actions are fully in compliance with Department policy and/or procedure, but the policy or procedure itself is found to be erroneous or is the cause of the complainant’s concerns. Departmental is also the only allowable finding for Departmental complaints.

Departmental

HPM 10.4, CHAPTER 6, Complaint Findings The employee did not commit the act (or omission), or did commit theact and it is deemed proper and/or within Department policy.

Exonerated

HPM 10.4, CHAPTER 7, Investigation Documentation Citizens’ complaints are classified by the Department as either Category I, Category II, or Other. The classification of a given complaint is determined by two factors: highest category allegation and the investigation circumstances.

HPM 10.4, CHAPTER 7, Investigation Documentation The mere fact a complainant declines to sign or return a CHP 240B, should not, in of itself, be considered grounds to deem a complaint as frivolous. That is, the CHP 240B should not be considered a ‘litmus test’ for the acceptance or investigation of a complaint. It is, however, a strong indicator that a complainant’s motives may be suspect.

HPM 10.4, CHAPTER 7, Investigation Documentation All category I, II, and Other complaints shall be documented with a CHP 240, Complaint Investigation (1/99 or later revision), a CHP 240C, Witness List (if applicable), the appropriate narrative, and relevant exhibits.

HPM 10.4, CHAPTER 7, Investigation Documentation If the complaint investigation uncovers any actual or alleged damage to property, or injuries to persons which may result in a claim against the state, a CHP 268, Potential Civil Litigation Report, shall be completed and forwarded in accordance with HPM 11.1, Administrative Procedures Manual, Chapter 8. Mark the appropriate box on the CHP 240 indicating the CHP 268 was submitted to ensure timely alerting of the attorney general's office. Never include a CHP 268 as an exhibit in a complaint investigation.

HPM 10.4, CHAPTER 7, Investigation Documentation Any complainant who makes a claim of monetary damages, which are alleged to have been proximately caused by the actions, or inaction, of a Department employee shall be provided with a CHP 287, Claims of $1,000 or Less, or a BC-1A (Board of Control) Tort Claim, as appropriate.

HPM 10.4, CHAPTER 7, Investigation Documentation Closing Correspondence to Complainant. This correspondence is required in all cases, including frivolous and rescinded complaints, and even in instances where the complainant has specifically requested no further contact with the Department.

HPM 10.4, CHAPTER 7, Investigation Documentation Closing correspondence shall be sent within 30 calendar days of the investigation being approved.

HPM 10.4, CHAPTER 7, Investigation Documentation Commanders shall take corrective action against an employee for all investigations which reveal the employee was in error, whether it was intentional or not. That is, complaints with allegations that have a finding of Sustained or Unintentional Error.

HPM 10.4, CHAPTER 7, Investigation Documentation Corrective action shall be in written form. The commander shall use one of the following, depending on the severity of the corrective action required: (a) Request for Adverse Action. (b) CHP 2, Incident Report (Censurable). (c) Memorandum of Direction. (d) Memorandum of Findings.

HPM 10.4, CHAPTER 7, Investigation Documentation Since a copy of the issued corrective documentation will be placed in the employee’s field personnel folder, only allegations with findings of Sustained or Unintentional Error may be addressed in the document. This specifically includes complaints with multiple allegations and mixed findings.

HPM 10.4, CHAPTER 7, Investigation Documentation Any employee covered under the Public Safety Officers Procedural Bill of Rights (POBR) has the right to submit a written response within thirty (30) days to any adverse comment entered into his/her personnel file. Accordingly, employees being issued a Memorandum of Direction or Findings (if it is counseling or remedial in nature), or a censurable CHP 2, should be notified of the option to file a written response. Although notification to the employee is not required, employees may also submit responses to any complaint investigation which they are the subject of, irrespective of the findings.

HPM 10.4, CHAPTER 8, Review & Approval Process Once an investigation has been approved at the Division orArea level (as required), commanders shall ensure the investigation is discussed by a supervisor with the involved employee(s).

HPM 10.4, CHAPTER 8, Review & Approval Process If an employee refuses to sign the CHP 240, the supervisor shall note this in the employee signature block on the form. If practical, an additional supervisor should actas a witness and note as such in the employee signature block on the CHP 240.

HPM 10.4, CHAPTER 8, Review & Approval Process An employee may be provided a copy of theinvestigation upon his/her written request.

HPM 10.4, CHAPTER 9, Filing & Control Procedures Category I, Category II, and Other complaints shall be destroyed after a period of five (5) years, commencing from the date the Department originally received the complaint. This specifically includes the original Category I investigations retained by the headquarters Legal Files Unit. Until scheduled destruction, no documents or exhibits may be removed from the complaint investigation.

HPM 10.4, CHAPTER 9, Filing & Control Procedures Any corrective documentation issued to an employee as the result of a complaint investigation, shall be removed from the employee’s field personnel folder after a period of three (3) years, commencing from the date of issue. The original (or a copy) of the same document shall remain with the complaint investigation itself until theinvestigation’s scheduled destruction.

HPM 10.4, CHAPTER 9, Filing & Control Procedures Responses submitted by employees as a result of a complaint or corrective action shall be retained for the life of the document with which it has been filed.

HPM 10.4, CHAPTER 9, Filing & Control Procedures The CHP 240A shall be maintained by local commands for a period of five (5) years.

HPM 10.4, CHAPTER 9, Filing & Control Procedures All personnel complaint investigations are confidential in accordance with Penal Code §832.7, and are only discoverable pursuant to Evidence Code §1043 and §1046. Legal discovery, however, does not apply to investigations or proceedings concerning the conduct of peace officers or a law enforcement agency conducted by a grand jury, district attorney's office, or the Attorney General's office.

HPM 10.4, CHAPTER 9, Filing & Control Procedures Despite a complainant’s request for confidentiality, the employee shall be provided with the complainant’s identifying information (which normally appears on the CHP 240, Complaint Investigation face page), unless such a release is prohibited by Government Code §6254 or other applicable statutes.

HPM 10.4, CHAPTER 10, Miscellaneous Issues Complaint investigations may be amended directly by the investigating command and/or reviewing/approval authority at any time prior to discussion and review with the employee.

HOM 10.4, CHAPTER 10, Miscellaneous Issues Penal Code §148.6 (P.C.) makes it a misdemeanor to knowingly file afalse complaint against a peace officer. If an investigator is satisfied that a complainant has filed a complaint knowing that it was false or that it was filed with malicious intent, he/she may recommend a criminal complaint be filed with the local district attorney charging a violation of §148.6 P.C. A CHP 216, Arrest-Investigation Report, shall be used for this purpose, and shall be completed in accordance with General Order 100.39.Uniformed members shall not physically arrest persons suspected of violating §148.6 P.C.

HPM 10.4, CHAPTER 10, Miscellaneous Issues Pursuant to California Civil Code §47.5 (C.C.), peace officers may initiate a civil action against a complainant for knowingly filing a false complaint. Such action, if taken, is solely the responsibility of the involved employee. The Department neither encourages nor discourages employees from pursuing any civil remedies againsta complainant.