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Sgt Exam 2025 - JT/RC/SH > HPM 10.4 Citizens' Complaint Investigations > Flashcards

HPM 10.4 Citizens' Complaint Investigations Flashcards

1
Q

What is a category I complaint?

A

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 documentations, or allegations of unethical conduct.

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2
Q

What is a category II complaint?

A

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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3
Q

What are “Other” complaints?

A
  1. Departmental
  2. Citation Validity
  3. Rescinded
  4. Frivolous
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4
Q

What are Non-complaints?

A
  1. Traffic
  2. Vehicle Storage/Impound
  3. Other Agency
  4. Off-duty conduct
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5
Q

What are the 5 Findings? (SUUDE)

A
  1. Sustained
  2. Unintentional error
  3. Undetermined/No finding
  4. Departmental
  5. Exonerated
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6
Q

Define Sustained

A

act or omission did occur and deemed improper

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7
Q

Define Unintentional error

A

Employee’s honest mistake

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8
Q

Define Undetermined/No finding

A

Evidence or lack of, to make definitive judgment

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9
Q

Define Departmental (SUUDE - Findings)

A

Employee in compliance with policy

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10
Q

Define Exonerated

A

Employee did not commit the act (or omission). Act deemed to be proper or within policy

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11
Q

What is a Third-Party Complaint?

A

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

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12
Q

What is a CHP 240?

A

Complaint Investigation

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13
Q

What is a CHP 240A?

A

Complaint Control Log

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14
Q

What is a CHP 240B?

A

Citizens’ Complaint Information

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15
Q

What is a CHP 240D?

A

Citizens’ Complaint Information (Non-Uniformed)

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16
Q

Complainants who contact the Department by telephone and express a desire to file a complaint against a non-uniformed employee, shall be notified of what?

A

Shall be notified that should they so desire the complaint can be filed via the internet and that many local libraries offer internet access

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17
Q

Initial contact for a complaint should be documented on what form?

A

CHP 240

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18
Q

Who should be notified after initial contact for a citizen’s complaint?

A

Notify a supervisor or command management

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19
Q

All complaints SHALL be acknowledged by correspondence within how many days of notification of the complaint?

A

within Five (5) days of notification

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20
Q

If the complaint is against an employee who was assigned to another command at the time of the allege event, the following applies:

A
  1. Provide initial correspondence to the complainant and advise it will be forwarded to the appropriate command
  2. The complaint shall then be forwarded via telephone, fax, e-mail, or memorandum to the proper command. If utilizing a memorandum, the forwarding command shall include a CHP 240 with all available information completed, as well as a copy of the interim response sent to the complainant and any correspondence received from the complainant. A copy of the forwarding memorandum shall also be sent to the next higher command level. If the complaint is forwarded by telephone, fax, or e-mail, the name and rank of the person to whom the complaint was sent, as well as the date, shall be on the CHP 240A
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21
Q

If the complaint involves a peace officer, complainant shall be requested to sign an advisory statement. In either case, the complainant shall be requested to return the CHP 240B or CHP 240D within how many days?

A

ten (10) Business Days

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22
Q

If complaint does not meet the definition of citizens’ complaint, what are other types of complaints? (4 of 8 highlighted)

A
  1. Other Agency
  2. Third Party
  3. Off-Duty Complaint
  4. Complaints from Department Personnel
    (NOT HIGHLIGHTED: 5. Traffic complaints, 6. Vehicle Storage/Impound Validity, 7. “Board of Control” Tort Claim, 8. Claim of Monetary Damages)
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23
Q

What occurs for an “Other Agency” complaint?

A

Advise to contact appropriate agency. Commander shall also forward all pertinent information to agency

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24
Q

What occurs for a third party complaint?

A

Send letter of acknowledgment and contact aggrieved party

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25
Q

What occurs for an off-duty complaint?

A

Limited to certain conditions where clear connection or nexus exists.
(Not Highlighted: Commander may investigate off-duty misconduct per HPM 10.2)

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26
Q

What occurs for a complaint from Departmental Personnel?

A

Citizens’ complaint process not used to document internal complaints or grievances.

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27
Q

Required by LAW or POLICY, Department is to maintain an electronic medium for the public to express opinions regarding policies and programs?

A

Required by LAW

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28
Q

Where can someone go (online) to fill out a citizens complaint?

A

Departments website www.chp.ca.gov which contains policy and citizen complaint for NON-UNIFORMED form only CHP240D

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29
Q

What is the Peace Officer Exemption?

A

Internet site advises that complaints against officers should not be filed in this manner. Department will investigate if submitted. Investigators shall ensure that a standard CHP 240B is provided to such complainants, to ensure that the proper Penal Code advisory as been complied with

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30
Q

Who should be the primary investigator?

A

Commander’s responsibility - assign primary investigator in a timely manner, one grade higher than involved employee, unless approved by Division or appropriate AC. The primary investigator should not be a party or witness to the incident

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31
Q

The primary investigator SHOULD or SHALL not be a party or witness to the incident?

A

SHOULD not

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32
Q

Suspenses are normally how many days?

A

Sixty (60) days

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33
Q

Legislative are how many days?

A

Thirty (30) days

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34
Q

What should outweigh suspense?

A

Desire to complete a thorough investigation

35
Q

Who will handle a complaint while the employee is in training at the Academy?

A

Handled by the academy commander and coordinated with employee’s commander

36
Q

When on a special assignment, who handles the complaint?

A

complaints are the responsibility of the employee’s departmental commander, but may be coordinated with the special assignment supervisor

37
Q

Who handles the complaint when on a temporary assignment?

A

Complaints remain the responsibility of the employee’s departmental commander

38
Q

Who handles the complaint when it is a multi-command investigation?

A

Shall have a singled Division, Area or Section appointed as the primary investigative command

39
Q

When complaint involves a purported injury to the complainant, photographing MAY / SHOULD / SHALL occur?

A

MAY - every effort shall be made to thoroughly document injuries, this MAY include photographing the complainant to demonstrate the existence, or absence, of physical signs of the injury

40
Q

Witnesses should be interviewed immediately which allows the preservation of evidence. If unable to locate, what occurs?

A

The investigation should proceed without extended delay

41
Q

Is it necessary to interview the complainant?

A

It’s advisable but NOT always necessary

42
Q

In accordance with existing case law, legal statute, and current Department of Personnel Administration guidelines, an employee is entitled to representation when?

A

When a meeting is held with his/her superiors for the specific purpose of eliciting information which could lead to adverse action. If the complaint investigation is of a serious nature, and/or the facts indicate adverse action may reasonably result, the employee shall be afforded the right to representation.

43
Q

A belief on the employee’s part that adverse action is being considered, irrespective of the interviewer’s designs or intentions, MAY/SHOULD/SHALL be sufficient grounds to warrant granting representation rights.

A

MAY

44
Q

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 with adverse action, what should occur?

A

The interview should be suspended and the employee shall be informed of his/her right to representation. If the employee requests a representative, the meeting should be rescheduled to allow him/her a reasonable opportunity to obtain one.

45
Q

Why is 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 prohibited?

A

To preclude any potential violation of the Public Safety Officers Procedural Bill of Rights (POBR)

46
Q

What does POBR stand for?

A

Public Safety Officers Procedural Bill of RIghts

47
Q

Statements by complainants and witnesses MAY/SHOULD/SHALL be recorded in potentially serious cases as determined by the commander. MAY/SHOULD/SHALL be considered in call cases?

A

SHALL / SHOULD

48
Q

Recordings MAY/SHOULD/SHALL be transcribed when appropriate?

A

SHOULD

49
Q

In less serious cases where statements are not recorded or transcribed, they MAY/SHOULD/SHALL be summarized

A

SHALL

50
Q

True/False: Complainants or witnesses should be allowed to record an interview, but the investigator should do so also.

A

FALSE: Complainants or witnesses SHALL be allowed to record an interview, but the investigator SHALL do so alsoe

51
Q

True/False: Outside the scope of a formal Administrative Interrogation, prior permission from the employee must be obtained. Employee has a right to tape record.

A

TRUE

52
Q

Employee complaint history MAY/SHOULD/SHALL be examined to determine previous complaints

A

SHALL

53
Q

Administrative interview are evidence and shall be preserved for how long?

A

Stored for five years form date of filing

54
Q

Tape recordings by employee MAY/SHOULD/SHALL be given to the Department upon request

A

SHALL

55
Q

All complaints with allegations of criminal misconduct which have been given a finding of Sustained or Unintentional Error shall be referred where?

A

The respective prosecuting district attorney’s office for review

56
Q

Should the facts of an investigation indicate that a request for Adverse Action against an employee will be sought, what shall occur with the complaint investigation?

A

The complain investigation shall be completed in its entirety, as described in this manual

57
Q

What are the Order of findings?

A

SUUDE
1. Sustained
2. Unintentional Error
3. Undetermined/No finding
4. Departmental
5. Exonerated

58
Q

What is a sustained finding?

A

The act (or omission) did occur, and it is deemed improper

59
Q

What is an unintentional error finding?

A

The act or omission occurred, but as a result of an honest mistake

60
Q

What is undetermined/no findings?

A

The evidence, or lack thereof, precludes the investigator form making a definitive judgment

61
Q

What is a departmental finding?

A

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

62
Q

What is an exonerated finding?

A

The employee did not commit the act (or omission), or did commit the act and is deemed proper and/or within Department policy

63
Q

What is a Highest Category Allegation?

A

This is the most severe allegation made by the complainant at any stage of the complaint process, Either Category I, Category II, or Other

64
Q

When defined as Other, define Rescinded

A

Commanders may elect to accept or delcine the request to rescind, basing their decision on the reasons for the request and the circumstances of the complaint known at that point. Should the commander agree to rescind a complaint, closing correspondence to the complainant is still required

65
Q

When classified as Other, define Frivolous

A

Complaints which appear to be irrational or have been filed with malicious intent against the employee. This determination will normally be made by the commander

66
Q

When classified as Other, define Departmental

A

Complaints made solely against departmental policies or procedures and no employee misconduct is alleged

67
Q

When classified as Other, define Citation Validity

A

If citation validity is the sole allegation, the complaint may be classified as Other and documented accordingly

68
Q

All Category I, II, and “Other” complaints shall be documented with what?

A

a CHP 240, CHP 240C, appropriate narrative, and relevant exhibits

69
Q

Closing correspondence is required, including frivolous and rescinded complaints. What is the time frame to send closing correspondence?

A

Sent within 30 CALENDAR days of investigation being approved

70
Q

What allegations may be addressed in Content Limitations of corrective documents?

A

Only allegations with a finding of Sustained or Unintentional Error

71
Q

In accordance with State Personnel Board decisions, employees shall be notified that misconduct for which he/she is being counseled, may still be charged in a future adverse action. It shall be included in all MOD’s or memorandums of Findings. In instances where corrective documentation is being issued solely as a result of a findings of Unintentional Error, the inclusion of the this should be left to the discretion of the commander. additionally, since the department does not generally charge misconduct in an adverse action for which an employee has been previously issued a censurable CHP form 2, this shall not be included in any CHP 2. What is this referring to?

A

Bazemore Admonition

72
Q

According to the Government Code Section 3306 Admonition, any employee covered under OBR has the right to submit a written response within how many days?

A

30 Days

73
Q

Division Review - Upon review and approval who will sign the CHP 240?

A

The Division commander or designated representative

74
Q

The ORIGINAL investigation package, with the employee’s signatures, shall be forwarded to who for final approval?

A

OIA - Office of Internal Affairs

75
Q

Generally, who is the final approval authority for all Category II complaint investigations?

A

Area commanders - However, Division commanders may reserve approval authority to themselves as deemed necessary

76
Q

The employee MAY/SHOULD/SHALL be provided the opportunity to review the investigation in its entirety, except for any exhibit specifically marked in the “List of Exhibits” as not releasable to the employee reviewing the complaint.

A

SHALL

77
Q

What are examples of documentation which would not be releasable to the employee?

A

Any closing documentation to another employee, medical information release forms, financial records, evaluations of other employees. In additions, if the complainant has requested confidentiality, then such identifying information shall not be revealed to the employee.

78
Q

What is the retention period for Complaint Investigations?

A

Category I, Category II, and Other complaints shall be destroyed after a period of five (5) years, commencing from the date of the Department originally received the complaint

79
Q

What is the retention period for Corrective Documentation To Employee?

A

Any corrective documentation issued to an employee as the result of a complaint investigation, shall be removed form the employee’s field personnel folder after a period of three (3) years, commencing from the date of issue

80
Q

What is the retention period for the response from Employee?

A

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

81
Q

If the involved employee requests the completed investigation but the complainant requested confidentiality, will the employee be provided the complainant’s identifying information?

A

Yes, the employee shall be provided with the complainant’s identifying information (which normally appears on the CHP 240, Complaint Investigation face page)

82
Q

To amend a complaint that has already been reviewed and signed by the employee, the procedures specified below apply:

A
  1. The original investigation file shall not be altered. Any requisite changes shall be made by memorandum, referencing what specifically is being changed.
  2. A new CHP 240, Complaint Investigation face page, shall be prepared in full
  3. The amended CHP 240, along with any memorandums or other documentation, shall be processed as if it were a new complaint
  4. Additional correspondence to complainant is not required unless substantive change in finding
    (NOT HIGHLIGHTED: 5. The investigating command shall ensure that the amendment is attached to all existing copies of the original complaint file)
83
Q

True/False: Pursuant to California Civil Code 47.5, peace officers may not initiate civil action against a complainant for knowingly filing a false complaint.

A

FALSE: officer MAY initiate civil action. Such action, if taken, is solely the responsibility of the involved employee

84
Q

When an employee of this Department has been requested to be interviewed by investigators pursuant to a civil rights investigation, what two guidelines apply?

A
  1. The decision to consent to an interview with an outside investigator shall be at the sole discretion of the employee
  2. If such an interview is conducted on state time, a departmental supervisor shall be present and shall tape record any interview

Sgt Exam 2025 - JT/RC/SH (24 decks)

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