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Sgt study > HPM 10.4 - Citizens' Complaint Investigations > Flashcards

HPM 10.4 - Citizens' Complaint Investigations Flashcards

1
Q

What are the three categories of Citizen Complaints?

A

Category 1
Category 2
Other

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2
Q

What is a Cat 1 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
documentation, or allegations of unethical
conduct.

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3
Q

What is a Cat 2 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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4
Q

What is an “other” complaint?

A

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of the following types of complaints, as defined in this chapter: Departmental complaint, Citation Validity complaint, Rescinded complaint, Frivolous complaint

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5
Q

What are the 5 possible findings of a
Citizen’s Complaint?

A
  1. Sustained

2. Unintentional error
3. Undetermined / No finding
4. Departmental
5. Exonerated

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6
Q

Citation validity is normally classified as what category of complaint?

A

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.

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7
Q

Which form is provided to a citizen who wishes to file a complaint? Uniformed and non-uniformed?

How many days do they have to return it?

A

CHP 240B
CHP 240D

10 business days

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8
Q 
All complainants (Citz. Complaints) shall be acknowledged by correspondence within 
\_\_\_\_ business days and normally signed 
by the \_\_\_\_\_\_\_.
A

5 / Commander

Not normally required if the complainant contacted the Department in person.

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9
Q

The commander is responsible for ensuring
all investigations are completed in a timely
manner. The normal suspense period for
complaints received at the command, or
forwarded from BIA, is ____days.

A

60

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10
Q

If a complaint involves officers from more
than one command, who should be the
primary investigator?

A

The area with the employee with the most
serious allegation or the command with the
greatest number of employees involved.

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11
Q

Planning is a key element for a successful
investigation. What are initial steps an
investigator should do when getting
assigned a cit complain investigation?

A
  1. Meet with the commander
  2. Begin chronological log required for
    Cat 1)
  3. Establish investigative file
  4. Clarify allegations
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12
Q

There are generally three basic steps in the
investigative process for citizen complaints.
What are they?

A
  1. Determine the questions (needed to
    be answered for investigation)
  2. Determine the answers (what do you
    need answered, this may come in
    the form of physical evidence)
  3. Document the results
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13
Q

Normally an employee does not have the
right to representation when being
interviewed for a citizen complaint. What is
the exception?

A

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. Before refusing a request,
contact OER.

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14
Q

Keeping in mind POBR, when can an
employee be asked to draft a memo during
a citizen complaint investigation?

A 
1. After the interview has been 
completed to clarify specific 
questions 
2. When provided a written 
interrogatory and afforded 
representation
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15
Q

Can an investigator record the interview
with an employee during a citizen
complaint investigation?
Can a complainant/witness record and
interview with the investigator?

A

Only with the permission of the employee.

Yes, but the investigator shall also record
it

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16
Q

____ complaints with allegations of criminal
misconduct which have been given a
finding of _______or _______ _______
shall be referred to the respective
prosecuting district attorney’s office for
review

A

All

Sustained or Unintentional error

17
Q

To obtain a finding for a citizen complain
investigation. The investigation must show
?
Preponderance of evidence or probable
cause to sustain or exonerate

A

Preponderance of evidence

18
Q

What are the maximum amount of findings
(i.e. sustained, exonerated,……) you can
have per an allegation in a citizen
complaint investigation.

A

One

19
Q

True or False

If a complainant choses to rescind a
complaint, the commander should tell the
investigator to discontinue the
investigation.

A

False. Commanders may elect to accept
or decline base on the circumstances. If
rescinded a closing correspondence is still
required.

20
Q

Closing correspondence shall be sent
within ___ days of the investigation being
approved.

A

30 days

21
Q

Corrective action (for sustained and
unintentional error) to the employee for a
citizen complaint shall be in written form.
The commander shall use one of the
following based on the severity of the
allegation (name 4):

A

(a) Request for Adverse Action.
(b) CHP 2, Incident Report (Censurable).
(c) Memorandum of Direction.
(d) Memorandum of Findings.

22
Q

The ___________ admonition shall be
included in all Memorandums of Findings
or Direction. In instances where the
corrective documentation is being issued
solely as a result of a finding of
Unintentional Error, the inclusion of the
__________ admonition should be left
to the discretion of the commander.

A

Bazemore

23
Q

If s/he chooses, can a commander issue
closing documentation to an employee for
a finding of undetermined/no finding and
include the Bazemore admonition?

A

Yes

24
Q

Closing documentation requiring a
Governor or legislative response. Who
prepares it?

A

Prepared by the command with
coordination of the Office of Special Reps.
If some circumstances it should come from
BIA.

25
Q

Who is the final approval for Cat 1, Cat 2
and Other complaints?

A

Cat 1: Division Commander or designee
Cat 2: Generally Area Commander
Other: handled by which category they
initially fell into (i.e. Cat 1 or Cat 2).

26
Q

The employee shall be provided the
opportunity to review the investigation in its
entirety, except for any _______
specifically marked in the “List of ______”
as not releasable to the employee
reviewing the complaint.

A

Exhibit
Exhibits
Includes medical forms, financial records,
complainant if listed as confidential

27
Q

A copy of the corrective action may only be
placed in the employees personnel file if
there was a finding of ___________ or
______________.

A

Sustained or unintentional error

Employees response, if completed, will
also be in the personnel file.

28
Q

Re: Complaint Investigation file: Category
I, Category II, and Other complaints shall
be destroyed after a period of _____ years,
commencing from the date the Department
originally received the complaint.

A

5

Includes employee response

29
Q

Re: Corrective Documentation: 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 _____ years, commencing from
the date of issue.

A

3

Includes employee response

30
Q

What happens to the copy of the complaint
in the area Complaint File when the
employee transfers to another command?

A

Goes with the employee to the new
command

31
Q

Can a commander release a complaint

investigation file to the Attorney General?

A

Yes, when they are defending the
Department or its employees. Coordinate
with Legal Coordination Unit.

Anyone else needs a subpoena or court
order

32
Q

Grand Juries: Any request for complaint
records or interviews with departmental
employees shall be coordinated with
_____________.

A

BIA and the Legal Coordination Unit.

33
Q

If the complainant is not satisfied with the
results of the investigation, who shall
conduct a separate complaint review?

A

The succeeding level of command.

A Division level review shall be conducted
when a complainant is not satisfied with an
investigation conducted by an Area
command. If still not satisfies then a BIA
review.

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