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Plumbers Study Guide > Investigation\complaints > Flashcards

Investigation\complaints Flashcards

1
Q

The purpose of policy 6.5 investigation/complaints

A

(establish a guide for behavior and performance, so employees behave)

To establish a guide pertaining to employee conduct, performance, and responsibilities so that all employees conduct themselves according to the rules of good behavior and good conduct.

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2
Q

In situations where employees do not adhere to expectations it is the responsibility of ______ to take ______ ______ outlined in policy ___#__ _______ / _______

A

Supervisors
necessary action
6.5
investigations / complaints

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3
Q

If a disciplinary case is not readily apparent policy 6.5 provides

A

A general process to be followed when the facts of the case can only be determined through an investigation

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4
Q

Deviations to policy 6.5 can be authorized by

A

The fire chief or their designee

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5
Q

Degrees of corrective action are generally _______ and ensure the employee has an opportunity to?

A

-progressive
-correct his or her performance

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6
Q

Progression of verbal warnings, written counseling, reprimands, suspension, and termination have….

A

No set standards

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7
Q

The objective of any disciplinary action is to

A

improve or correct performance, efficiency, and/or conduct

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8
Q

documenting necessary conversations when performance issues are noted by company officers is

A

encouraged and expected

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9
Q

All letters of guidance shall be forwarded to

A

HR director and the assistant chief

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10
Q

If the infraction has the potential to necessitate anything more formal than a LOG the matter should be

A

Referred through the chain of command to the assistant chief

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11
Q

If a disciplinary matter is referred to the assistant chief he will determine the need for

A

Investigation and make appropriate assignments

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12
Q

The district sees complaints as

A

An opportunity for the district to improve operations, public perception, or the services we provide

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13
Q

The district will accept and document all complaints alleging

A

employee misconduct, dissatisfaction with district policy, practice, or service

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14
Q

The district will accept, document, and investigate all complaints to ensure complaints ….6

A

-Are documented and investigated in a reasonable and consistent manner
-determine the underlying facts the complaints are based on
-identify areas of misunderstanding
-identify personel whos behavior or performance needs corrected and supervisory intervention
-protect personnel from false complaints
-identify policies, training, practices in need of evaluation or improvement

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15
Q

Initiation of a complaint is not incumbent on

A

The cooperation of the complaining party

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16
Q

The complainant will be listed as the district if
2

A

-The complaining party is unable or refuses to cooperate
-There is no identifiable complainant but the information known to the officer satisfies the districts definition of a complaint

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17
Q

Sources of complaints are listed in 6.5 as
7

A

-individual aggrieved person
-third party who observes or learns of a problem
-anonymous sources
-district employee
-district chain of command
-non-district source
-civil claim or suit

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18
Q

Handling Complaints (a)

-whenever a non officer receives a complaint the employee shall immediately
2

A

-Immediately notify their supervisor
-ensure follow up is not delayed

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19
Q

Handling Complaints (a)

-whenever a non officer receives a complaint and the employees supervisor is not immediately available the employee shall
1

A

-notify another officer or officer within the chain of command

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20
Q

Handling Complaints (b)

-whenever a non officer receives a complaint and the employees supervisor is not immediately available, another officer in the chain of command, or the party refuses to wait the employee shall
3

A

-document the complaint
-gather available information about the complaint
-get a name and contact information of the complaining party

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21
Q

Handling Complaints (c)

Upon receiving and documenting a complaint in which an officer is unavailable, the employee receiving the complaint shall

A

ensure the information gathered is given to an officer as soon as possible during the employees shift

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22
Q

Factors to be considered when determining where to start in the progression of discipline (verbal warning, written counseling, reprimands, suspension, and termination)
4

A

-Seriousness of the offense
-How many offenses are involved
-Time interval and employees response to prior disciplinary action
-Previous work history of the employee

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23
Q

A letter of guidance is (definition)

A

To document necessary conversations with employees when a performance issue is noted

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24
Q

A letter of guidance is to be considered ______ and is generated when _______ or the infraction is _____.

A

-Corrective
-Counsel is necessary
-Minor in nature

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25
The complaint initiating process is not incumbent on the cooperation of
The complaining party
26
Handling Complaints (b) The minimum information gathered by a non-officer should include 2
-Name and contact number -Nature of the complaint
27
Handling Complaints (d) An employee may alternatively contact the HR director and/or the assistant chief when the employee believes 2
-Members in the chain of command may be involved in the misconduct -Members involved may attempt to cover up the misconduct
28
Employees are responsible to, whenever they become aware of misconduct or violations of department policies, rules, or regulations notify 3
-Immediately notify their supervisor -If supervisor is unavailable, another officer in the chain of command -HR director and/or the assistant chief (If concerns exist)
29
Officers Responsibilities An officer has responsibilities anytime they become aware of 5
-A complaint -Employee misconduct -Unreported Conduct that violates district policies, rules, regulations -A person requesting to make a complaint -An incident that would likely result in a complaint or investigation
30
Officers Responsibilities If a party is requesting to make a complaint the officer shall 3
-Direct them to call the district directly -Direct them to fill out the complaint on the website -Gather appropriate information from the complainant
31
Officers Responsibilities If misconduct is occurring in the presence of an officer, the officer shall 2
-Intervene and stop the misconduct from continuing -Initiate an immediate preliminary investigation if appropriate
32
Upon becoming aware of a complaint an officer or the HR director shall 2
-Refer the matter to the assistant chief -Forward the complaint, and other documentation to the HR director and assistant chief
33
Classification of Complaints Three classification of complaints
-Misconduct -Negligence -Dissatisfaction
34
Classification of Complaints Three sub-classes of misconduct complaints
-Serious (termination is a possibility) -Minor (termination is unlikely) -Undetermined
35
Classification of Complaints Three sub-classes of negligence complaints
-Serious (termination is a possibility) -Minor (termination is unlikely) -Undetermined
36
Classification of Complaints Misconduct is defined as
A deliberate violation of a rule, policy, regulation, or directive
37
Classification of Complaints Negligence is defined as
The omission to do something which a reasonable person, guided by those considerations which ordinarily regulate human affairs, would do, or the doing of something which a reasonable and prudent person would not do
38
It is the responsibility of the ___ and ____ to ensure that each complaint is processed and when necessary....
-Assistant chief -HR director -Followed up by an investigation
39
Investigations may be assigned to any of the following by the assistant chief 6
-Line officers -Division Chiefs -Battalion Chiefs -Human Resources -Outside agencies -Outside investigator
40
Examples of outside agencies include 3
-Police -Department of health -Ethics commission
41
Examples of outside investigators include 2
-Private investigator -Attorney
42
As a general rule, investigations conducted by _____ and ______ shall be limited to those that can be conducted in a ________ and shall not include ______, ______, or the ______.
-Line officers -Battalion chiefs -relatively informal manner -issuance of formal admonishments -Taking of recorded statements -Collection of evidence
43
Deviations from the investigation process protocol may be
Ordered by the assistant chief or the chief
44
Officers conducting informal investigations shall remain alert to the need to re-evaluate whether such investigation...... and when appropriate....
-Should be conducted on a formal basis -Consult with the assistant chief for direction
45
An informal investigation may be reclassified a formal investigation and reassigned as deemed appropriate
At any time by the assistant chief
46
6.1 Preliminary investigation Where the allegations warrant, the preliminary investigation shall include the following steps as appropriate 3
-Conduct an interview with the complainant to ascertain each and every allegation -Should the allegation not meet the department definition of a complaint, advise the dissatisfaction will be forwarded for review -Forward all recorded dissatisfaction and documentation to the assistant chief
47
An informal inquiry is defined as
the initial questioning of persons to determine if a violation occurred, and if yes, who the offending employee is
48
A formal investigation is
Any subsequent questioning of persons after an offending employee is identified
49
Questioning of an employee identified as an alleged offender, or the accused, either through informal inquiry or direct knowledge of the investigating officer shall be
An interrogation subject to the rules contained in policy 6.5 investigations and complaints.
50
All persons questioned during an inquiry must be
Verbally informed that an inquiry is being conducted
51
Investigating guidelines when conducting a formal investigation (initial steps) 4
-(Evaluate the allegations); listen to the audio recording of the complainant and consult with the person who accepted the complaint -(Obtain all reports); all evidence and documents -(Determine the specific allegations); identify other possible department violations, alleged or not -(conduct interviews); Following the general sequence based off availability, time, and specifics
52
General sequence for conducting interviews 5
-Complaining person -Non-employee witnesses -Department employee witnesses (not involved in the incident) -Department employee witnesses (involved in the incident) -Accused employees
53
Interrogation No employee shall be subject to an investigation without first receiving at least
48 hours advanced written notice
54
Interrogation 48 hour advance written notice should contain 5
-Summary of violations -Name of the investigating officer -Names of all persons who will be present -The complaint/s -The date, time, and location of the interrogation
55
Interrogation The interrogation must be conducted….. unless….
-While the employee is on duty between 07;00 and 16:00 -Immediate action is required
56
Interrogation Location of an interrogation must be at
A district facility
57
Interrogation The interrogation session shall be of a _______ with time given the employee for _____.
-Reasonable duration -Rest and personal necessities
58
Interrogation The employee being interrogated will not be subject to 2
-Offensive language -Offered any inducement to answer questions
59
Interrogation A representative may accompany the employee ant his/her option but may not ____ except to ________that the employee may _____.
-Speak on the employees behalf -Bring up extenuating circumstances -Not be aware of
60
Interrogation A complete recording of the preceding shall be made, and a ______ along with _____ shall be _______ at no ______.
-Copy -A transcript -Made available upon request -Charge
61
Interrogation The investigator will.... and submit it to...
-Prepare an investigative report including disciplinary recommendations -The assistant chief
62
Appeal Process If an employee desires to appeal an adjudication decision, they may
Submit the appeal in writing to the assistant chief within 48 hours of the initial decision
63
Appeal Process Considering a request for appeal will be done by (who) 2
-Assistant chief -HR director
64
Once the complaint has been thoroughly investigated and the discipline, if any, has been finalized, the following shall occur 3
-The complainant shall be notified of the resolution -All documentation relating to the process (complaint, investigation, interrogation, appeal) shall be forwarded to HR for filing and retention -Associated discipline will be placed in the employees file
65
Administrative Hearing If a request for appeal is granted an
Administrative hearing will be scheduled
66
Administrative Hearing Who will act as the hearing officer
Assistant chief or their designee
67
Administrative Hearing What is the purpose of an appeal/administrative hearing
To hear evidence and testimony from the investigating officer and the employee
68
Administrative Hearing The Administrative Hearing will be held at
A district facility of the hearing officers choice
69
Administrative Hearing The Administrative Hearing will be held on (time/day)
-The offending employees duty day -Between 0700 and 1600
70
Administrative Hearing The hearing officer shall provide at least ___ hours written notice of the hearing to both the ______ and the ______.
-48 -Employee -Investigating officer
71
Administrative Hearing The hearing officer shall weigh the evidence and render a decision. This decision will be announced
At the close of the hearing
72
Administrative Hearing No employee shall be...... ......by reason solely of their exercise of the provisions of this policy.
Discharged, disciplined, demoted, denied promotion, denied seniority, transferred, reassigned, or otherwise discriminated against in regard to their employment, or threatened with such treatment (No employee shall be discriminated against for exercising their right to appeal and request a hearing)
73
Code of conduct Employees are expected to conduct themselves.... and shall strive to....
-In a professional manner -Perform at the highest level of proficiency
74
Policy 6.5 Investigations/complaints, on page 7, under code of conduct, refers to the policy______ in the _____.
-6.3 Guidelines for appropriate conduct -Employee handbook

Plumbers Study Guide (22 decks)

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