HPM 10.4 CITIZENS' COMPLAINT INVESTIGATIONS Flashcards
All citizens’ complaints investigated by this Department are classified as either _________ HPM 10.4, 2-1
Category I, Category II, or “Other”
A complaint allegation will have ____ of five findings:
(1) Sustained,(2) Unintentional Error, (3) Undetermined/No Finding, (4) Departmental,
(5) Exonerated. HPM 10.4, 2-2
ONE
The _______(Complaint Investigation) will be completed for all Category I, Category II, and Other complaints. HPM 10.4, 3-1
CHP 240
The CHP 240A(Complaint Control Log) _____ be maintained in a location that ensures its confidentiality. HPM 10.4, 3-1
SHALL
_____, Citizens’ Complaint Information 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. HPM 10.4, 3-1
CHP 240B
____, Citizens’ Complaint Information (Non Uniformed) 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. HPM 10.4, 3-1
CHP 240D
All complainants shall be acknowledged by correspondence within _____ business
days of the Department’s notification of the complaint. HPM 10.4, 3-3
FIVE
The complainant shall be requested to return the CHP 240B or CHP 240D within ______ business days. HPM 10.4, 3-3
TEN
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 _______, Claims of $1,000 or Less. HPM 10.4, 3-6
CHP 287
As further required by law, a complainant contacting the Department by telephone regarding a ___ ________ employee shall be informed that information about filing such a complaint may be obtained via the Internet and that many local libraries offer Internet access. HPM 10.4, 3-6
NON UNIFORMED
When an investigation involves multiple employees assigned to different commands, a single Division, Area, or Section ______ be appointed as the primary investigative command. HPM 10.4, 4-2
SHALL
Citizens’ complaints which originate while an employee is working a temporary assignment within the Department, such as a Protective Services Detail, Motor Carrier Inspection Program, watch officer, etc., remain the responsibility of the employee’s _________ commander. HPM 10.4, 4-2
PERMANENT
Complaints _______ be investigated to the degree necessary to reach a logical conclusion. HPM 10.4, 5-1
SHALL
When a complaint involves a purported injury to the complainant, every effort ______be made to thoroughly document such injuries. HPM 10.4, 5-4
SHALL
Normally, an interview with the involved employee should be conducted ______ gathering all other available information. HPM 10.4, 5-5
AFTER
The investigator _______ normally avoid confronting the employee immediately after receiving a complaint. HPM 10.4, 5-5
SHOULD
In accordance with existing case law, legal statute, and current Department of
Personnel Administration guidelines, an employee is entitled to representation when a
meeting is held with his/her superiors for the specific purpose of eliciting information
which _____ ______ to adverse action. HPM 10.4, 5-5
COULD LEAD
If the complaint investigation is of a serious nature, and/or the facts indicate adverse action may reasonably result, the employee _____ be afforded the right to representation. HPM 10.4, 5-5
SHALL
As such, before refusing a request for representation, it is _________ that
commanders and supervisors consult with the Office of Employee Relations (OER) or
BIA for additional guidance (with the concurrence of Division, as appropriate). HPM 10.4, 5-5
RECOMMENDED
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, the interview ______ be suspended and the employee _____ be informed of his/her right to representation. HPM 10.4, 5-5
SHOULD
SHALL
Statements by complainants and witnesses ______ be recorded in potentially serious cases, as determined by the commander. HPM 10.4, 5-6
SHALL
Complainants or witnesses who desire to use an audio tape recorder to record an interview or discussion with an investigator _____ be allowed to do so. HPM 10.4, 5-6
SHALL
Should a supervisor desire to tape record an interview with an employee, outside the scope of a formal Administrative Interrogation, ____ ______must be obtained from the employee. HPM 10.4, 5-6
PRIOR PERMISSION
________ is the key to conducting a successful interview. HPM 10.4, 5-6
OBJECTIVITY
The employee’s complaint history _____ be examined in order to determine the
existence of previous complaints which would be relevant to the current investigation. HPM 10.4, 5-8
SHALL
Evidence pertaining to an investigation conducted in accordance with this manual
shall be stored for a period of _____years, beginning with the date the complaint is filed. HPM 10.4, 5-9
FIVE
____ 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. HPM 10.4, 5-10
ALL
The ______ possible complaint allegation findings are listed below, in order of severity from highest to lowest. HPM 10.4, 6-1
(1) Sustained.
(2) Unintentional Error.
(3) Undetermined / No Finding.
(4) Departmental.
(5) Exonerated.
FIVE
Each allegation shall have only one finding, even if several instances of that specific allegation are alleged. HPM 10.4, 6-1
ONE
The finding for a combined allegation shall be the most ______ finding from any one of the instances, based on the order of severity specified above. HPM 10.4, 6-2
SEVERE
________-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 what specific departmental policy or local procedure, state law, etc. HPM 10.4, 6-2
SUSTAINED
Do not indicate any finding for the allegations listed in a ______ or ________complaint on the CHP 240. HPM 10.4, 6-2
RESCINDED OR FRIVOLOUS
__________ -The act (or omission) did occur, but as a result of an
employee’s honest mistake. HPM 10.4, 6-3
UNINTENTIONAL ERROR
__________ - 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. HPM 10.4, 6-3
DEPARTMENTAL
__________ -The employee did not commit the act (or omission), or did commit the
act and it is deemed proper and/or within Department policy. HPM 10.4, 6-4
EXONERATED
_________/________ -Used only when the evidence, or lack thereof, precludes the investigator from making a definitive judgment. HPM 10.4, 6-3
UNDETERMINED/NO FINDING
Once a complaint has been investigated and the investigator has reached a suitable finding, the investigation must be_________. This documentation will consist of a CHP 240, a CHP 240C if applicable, a specifically defined narrative for each category of complaint, and attached exhibits. Investigations ____ be typed. (HPM 10.4, 7-1,1)
DOCUMENTED
SHALL
The classification of a given complaint is determined by two factors: highest category _______ and the investigation circumstances. (HPM 10.4, 7-1,2a)
ALLEGATION
_______ category allegation is the most severe allegation made by the complainant at any stage of the complaint process. The category of an allegation (I or II) is determined by referring to the table in Annex A. (HPM 10.4, 7-1,2b)
HIGHEST
In some cases, facts uncovered during the course of the investigation will cause the investigator and/or commander to determine the complaint need not be ________ in either the formal Category I or II format. (HPM 10.4, 7-1,2c)
DOCUMENTED
Commanders may elect to accept or decline the request to_____, basing their decision on the reasons for the request and the circumstances of the complaint known at that point. Some complaints, because of their nature or sensitivity, should be continued to their normal conclusion despite a request to rescind. (HPM 10.4, 7-1,c (1)
RESCIND
Complaints made solely against departmental policies or procedures, and no employee misconduct is alleged are considered ________ (HPM 10.4, 7-2,(2)(3))
FRIVOLOUS
Complaints made solely against departmental policies or procedures, and no employee misconduct is alleged are considered ________ (HPM 10.4, 7-2,(2)(3))
DEPARTMENTAL
If citation validity is the sole allegation, the complaint may be classified as _____ and documented accordingly. (HPM 10.4, 7-2,(2)(4)
OTHER
All category I, II, and Other complaints shall be documented with a CHP___, Complaint Investigation (1/99 or later revision), a CHP 240C, Witness List (if applicable), the appropriate narrative and relevant exhibits. (HPM 10.4, 7-2,3a)
240
The formal narrative format ____ be used for all Category I and II complaints, and the Other narrative format for all complaints classified as Other. (HPM 10.4, 7-3,b)
SHALL
All other issues brought to the attention of the Department (e.g., traffic, storage validity, off-duty conduct issues which do not meet the criteria for investigation, etc.) are considered ___-______ (HPM 10.4, 7-3,d)
NON-COMPLAINTS
Appropriate entries are to be made on the CHP ___ by each level of command involved in the complaint investigation, review, and transmittal process. (HPM 10.4, 7-3,4a)
240
At the time the employee has been afforded the opportunity to review the complaint. He or she ____ sign and date in the space for that employee number specified near the top of the form (1, 2 or 3). The supervisor or manager conducting the review _____ sign in this section, as well as indicate their rank and Department identification number. (HPM 10.4, 7-7,(23))
SHALL / SHALL
A control number ____ be assigned by the investigating command to all complaints documented in the Category I, Category II, or Other formats. (HPM 10.4, 7-7,b3)
SHALL
CHP 240B, Citizens’ Complaint Information includes the following:
(1)Basic identification information of the complainant and the incident.
(2)A brief summary of the Department’s ________ process.
(3Nofication to complainants of potential civil liability for filing a false complaint against a peace officer.
(4) Advisory to complainants, as required by statute, of the criminal penalties for filing a known false complaint against a peace officer. (HPM 10.4, 7-8,c)
COMPLAINT
This form shall be used to list all witnesses in a complaint investigation. Alternatively, commands may use a locally generated form or word-processing document, provided that it includes the same information contained in a CHP_____. (HPM 10.4, 7-9,d)
240C
After the investigation has been approved, the employee will be given the opportunity to ______ the investigation. (HPM 10.4, 8-1,1)
REVIEW
Once an investigation has been approved at the Division or Area level (as required), commanders shall ensure the investigation is discussed by a ________ with the involved employee(s). (HPM 10.4, 8-5, 5a)
SUPERVISOR
After reviewing the investigation, the employees and reviewing supervisors _____ complete the Employee Discussion and Review section of the corresponding CHP240. (HPM 10.4, 8-5,5a(2))
SHALL
If an employee refuses to sign the CHP 240, the supervisor ____ note this in the employee signature block on the form. If practical, an additional supervisor should act as a _______and note as such in the employee signature block on the CHP 240. (HPM 10.4, 8-5, 5a(3)).
SHALL
All complaints for a given employee _____ be filed in chronological order, most recent to least recent. Complaint files for supervisors and managers may be stored in a separate physical location, if deemed necessary by the commander. (HPM 10.4, 9-1,2a(1))
SHALL
The CHP 240A, Complaint Control Log, shall be maintained in a location which allows for ready access by command management and supervisory personnel, while also ensuring sufficient control procedures are in place to prevent _______ or inappropriate access. (HPM 10.4, 9-2,(5))
UNAUTHORIZED
Commanders ____ ensure that all complaint-related files, including the CHP 240A, are physically secured and that access is limited to command management and supervisory personnel. (HPM 10.4, 9-3,3b)
SHALL
Due to new evidence or allegations, it may be necessary on occasion to _____complaint documentation. (HPM 10.4, 10-1, a)
AMEND
Complaint investigations may be amended directly by the investigating command and/or reviewing/approval authority at any time ______to discussion and review with the employee. (HPM 10.4, 10-1, b)
PRIOR
When an employee of this Department has been requested to be interviewed by investigators pursuant to a civil rights investigation, the following guidelines apply:
(1) The decision to _______ 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 ______ be present and shall tape record any interview. (HPM 10.4, 10-5, b)
CONSENT
SHALL
If an investigator is satisfied that a complainant has filed a complaint knowing that it was _____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 _____ ______ physically arrest persons suspected of violating §148.6P.C. (HPM 10.4, 10-2,2)
FALSE
SHALL NOT
