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LAPD's
Revised Personnel Complaint Process
After several months of work, the Police Commission was presented
with the Department's newly revised Personnel Complaint Process
by Chief of Police William Bratton. Commissioner Rose Ochi led the
team that has been putting this together since last summer.
Los Angeles Community Policing has been following this issue all
along, and LACP congratulates Commissioner Ochi for helping the
group come up with such a positive and welcome revision.
While officers will still be held to strict standards, the complaint
process itself will be much more fair. Those complaints that commanding
officers deem to be minor or "frivolous" will often be
completely resolved in a couple of days.
Morale within the rank and file should soar ...
The three most significant new features of the process are:
| 1)
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the
establishment of a new category, "NON-DISCIPLINARY COMPLAINTS", |
| 2) |
an
alternative method of conflict resolutions, and |
| 3) |
a
new complaint form which is much more user friendly. |
Commissioner
Ochi praised the many people who participated in shaping the new
system, stressing that, while they'd sought to return a significant
amount of discretion to the chain of command, the group made no
changes in the requirements for discipline itself. Officers' conduct
will continue to be held to a high standard.
Because we know this will be of major interest to all the officers
(and the public, too) we've presented the entire REVISED
PERSONNEL COMPLAINT PROCESS
for you below. You will find a complete version here, except for
a few sample forms which were attached to the Chief's presentation.
There are two small sections that will be modified slightly so that
the language used in them comes into line with requirements of Consent
Decree paragraphs 93 & 94 (we marked them like this --> DOJ
issue).
Their spirit will not change.
We've done our best to be true to the original document, but the
Board of Commissioners will of course pass the final version (with
these two minor changes), at which time a SPECIAL ORDER NUMBER will
be assigned and the final revised process will go into effect.
Chief Bratton was pleased to submit the following on behalf of the
Department:
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INTRADEPARTMENTAL CORRESPONDENCE
November
21,2002
TO: The Honorable Board of Police Commissioners
FROM: Chief of Police
SUBJECT: REVISED PERSONNEL COMPLAINT PROCESS
Honorable Members:
It is recommended that the Board approve the attached Special Order
which implements the Board's recommended changes to the Department's
disciplinary system. Upon Board approval, the Order will be published
and a training program initiated to implement these new procedures.
WILLIAM J. BRATTON
Chief of Police
Attachment
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SPECIAL
ORDER NO (to be established)
SUBJECT: DEPARTMENT COMPLAINT PROCESS - REVISED
PURPOSE: In 1998, the Department revised its complaint reporting
procedures to accept, document and investigate all public complaints.
This improved our ability to account for such complaints, but impaired
the Department's capability for resolving complaints in a timely
manner. This negatively impacted complainants, accused employees,
as well as field supervisors, whose attention became disproportionately
diverted from field duties to investigate the influx of complaints.
The Los Angeles Police Commission recognized this, and directed
the Chief of Police to revise the Department's complaint policy
to allow greater flexibility in expediting complaints. To facilitate
the process, the Commission authorized the creation of conflict
resolution procedures as an adjunct to, and in limited circumstances,
as an alternative to punitive action.
This Order revises Department policy and procedure regarding the
classification, investigation, adjudication, and recordation of
complaints. This Order establishes Non-Disciplinary as anew complaint
classification, establishes Alternative Conflict Resolution as a
method of resolving certain complaints, and activates, deactivates,
and revises several forms.
POLICY: In its discussion of June 18, 2002, the Board of
Police Commissioners adopted in concept the following policy statements
for handling public complaints:
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Hasten
resolution of minor complaints; |
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Maintain
ability to track and account for complaints; |
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Hasten
response to complainants; |
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Improve
communication/understanding with the public; |
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Add
an alternative dispute resolution component; and, |
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Appropriately
and better utilize existing police resources. |
PROCEDURE:
I. FORMS. The following Department forms are affected by
this Order:
A. Complaint Form, Form 1.28.0 - Revised. The Complaint Form,
Form 1.28.0, has been revised as follows:
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The
Complaint Form will now be reproduced in triplicate, which eliminates
the need for issuing a separate Personnel Complaint Receipt,
Form 1.81.1 (deactivated); and, |
|
A
preliminary case screening section is added, for use by the
watch commander, section officer in charge (OIC), or civilian
equivalent, to identify whether a complaint is to be initially
handled as Disciplinary or Non-Disciplinary. |
1.
Use of Form. The form shall be used to document all complaints,
and a Complaint Form (CF) number shall be issued for each form.
2. Completion. The form shall be completed by a Department
supervisor and approved by a commanding officer or chief investigator
before the issuance of a CF number by Internal Affairs Group (IAG).
3. Distribution. The Complaint Form is a triplicate form
set with a designated distribution as follows:
| 1 |
-
Original, forwarded to the Commanding Officer, IAG, within two
working days of complaint initiation (or in the event of a weekend,
the following business day) |
| 1 |
-
Copy, issued to complainant upon his/her initiation of an in-person
complaint. |
| 1 |
-
Copy, mailed to complainant (with CF number) by IAG. |
| 3 |
-
TOTAL |
B.
Alternative Conflict Resolution Acknowledgement, Form 1.28.6 - Activated.
The Alternative Conflict Resolution Acknowledgment, Form 1.28.6,
is activated.
1. Use of Form. This form is used to document an agreement
between the complainant and the involved employee to participate
in the Department's Alternative Conflict Resolution (ACR) process.
2. Completion. This form shall be signed by all involved
parties prior to mediation. The mediator shall indicate whether
mediation was completed by checking the appropriate box and ensuring
that the involved parties initial the form.
3. Distribution.
| 1 |
-
Original, attached to and submitted with the Complaint Investigation. |
| 1 |
-
TOTAL |
C.
Complaint Adjudication Form, Form 1.28.5 - Activated. The Complaint
Adjudication Form, Form 1.28.5, is activated and replaces the Notice
of Proposed Disciplinary Action, Form 1.88.0 (deactivated), and
the Employee Investigative Review, Form 1.88.1 (deactivated).
1. Use of Form. This form shall be used to adjudicate all
Disciplinary complaints. The form shall also be used to adjudicate
Failures to Qualify (FTQ), Failures to Appear (FTA), and Preventable
Traffic Collisions (PTC) .The form provides an option for a Military
Endorsement by the next level reviewer.
| Note:
The Notice of Proposed Disciplinary Action portion of the form
shall only be used for tenured civil service employees, where
allegations have been sustained and a suspension / demotion,
removal / termination, or directed Board of Rights is recommended. |
2.
Completion. A separate form shall be completed for each employee.
3. Distribution.
| 1 |
-
Original, attached to the Letter of Transmittal. |
| 1 |
-
Copy, to accused employee. |
| 2 |
-
TOTAL |
D.
Deactivated Forms. The following forms are hereby deactivated:
Notice of Proposed Disciplinary Action, Form 1.88.0; Employee Investigative
Review, Form 1.88.1; Complaint History, Form 1.06.2; and, Personnel
Complaint Receipt, Form 1.81.1.
II. ACCEPTING COMPLAINTS. A supervisor receiving a complaint
in-person, by telephone, or in any written form, shall:
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Conduct
a preliminary investigation, as outlined in Complaint Investigations:
A Guide for Supervisors; |
|
Complete
a Complaint Form, summarizing the complaint and the complainant's
statements under the Summary portion; |
|
Tape-record
all interviews. If not practical, supervisors shall include
a written justification under the Summary portion of the Complaint
Form; |
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Provide
the complainant with the bottom copy of the Complaint Form,
and advise the complainant that another copy will be mailed
out with an assigned case number. If the complaint was made
by telephone, leave the triplicate form intact and advise the
complainant, that a copy will be mailed out by IAG once a case
number has been assigned; |
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Attempt
to resolve the matter to the satisfaction of the complainant; |
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Determine
the complainant's willingness to participate in ACR, if appropriate;
and, |
|
Submit
the Complaint Form and preliminary investigation to the watch
commander, section OIC, or civilian equivalent, for review. |
III.
INITIAL SCREENING OF COMPLAINTS. Upon receipt of a completed
Complaint Form submitted by a supervisor, the watch commander, section
OIC, or civilian equivalent, shall:
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Review
the Complaint Form for completeness and accuracy, ensuring that
a thorough preliminary investigation was conducted; |
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Using
the Preliminary Case Screening box on the Complaint Form, classify
the complaint as Non- Disciplinary or Disciplinary (See Attachment
A); |
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When
appropriate, facilitate the ACR process; and, |
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Submit
the Complaint Form and attachments as soon as practicable to
the commanding officer for approval. |
| Note:
Complaints received directly by IAG shall be handled in accordance
with established guidelines (Manual Section 3/815.25). |
IV.
DISCIPLINARY COMPLAINTS. The procedure for handling Disciplinary
cases is not changed by this Order. V. NON-DISCIPLINARY COMPLAINTS.
A watch commander, section OIC, or civilian equivalent, may only
classify a complaint as Non-Disciplinary when all of the following
criteria are met at the time the complaint is initiated:
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The
complaint, as stated, would not amount to the commission of
a felony or misdemeanor crime; |
|
The
complaint, as stated, may not result in discipline against the
employee, or the complained of act or omission by the employee
has no nexus to the employee's position with the Department; |
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DOJ
issue => The complaint does not allege any of
the following that if true, would result in discipline: unauthorized
force; discrimination of any kind; unlawful search and / or
unlawful seizure of person or property; dishonesty; domestic
violence; improper / illicit use of alcohol, narcotics, or drugs;
sexual misconduct; theft, or retaliation/retribution against
another employee; |
|
DOJ
issue => The complaint was not as a result of
concerns arising out of a criminal prosecution, OR, dismissal
of California Penal Code Section 148 charges, OR otherwise initiated
by a judge or prosecutor due to officer credibility; |
|
The
accused employee has no apparent pattern of similar behavior
(should normally be limited to the past five years) for which
he / she is accused; and, |
|
The
complaint was not initiated in response to civil suits or claims
for damages involving on-duty conduct and civil lawsuits regarding
off-duty conduct required to be self-reported by employees. |
A.
Commanding Officer's Role. A commanding officer who makes a
final Non-Disciplinary classification shall review the Complaint
Form and select the appropriate disposition:
| Note:
The commanding officer may reclassify a complaint at any
time after an initial classification by the watch commander,
section OIC, or civilian equivalent. |
1.
Policy/Procedure. The facts of the case revealed that the complaint
relates to Department policy / procedure and not a specific employee's
actions.
| Note:
Complaints against Department policy and procedure not specifically
addressing an employee's actions shall also be initiated on
a Complaint Form. In such cases, the Department shall be named
as the accused employee, and the complaint will be adjudicated
as Non-Disciplinary. Individuals making complaints against Department
policy and procedure shall also be referred to the Department
entity having functional oversight of the policy or procedure.
If the complainant cannot be satisfied, he / she shall be referred
to the Board of Police Commissioners. |
2.
Employee's Actions Did Not Rise to the Level of Misconduct.
A preliminary investigation revealed that the allegations did not
rise to the level of misconduct and/or the named employee's actions
were protected by law or found to be consistent with Department
policy or procedure.
3. Employee's Actions Could Have Been Different. The facts
in the complaint revealed the employee's actions could have been
different. However, the employee's act or omission is best addressed
through corrective action by the employee's commanding officer.
The corrective action{s) taken was:
|
Counseling; |
|
Training; |
|
Comment
card; |
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Notice
to Correct deficiency; or, |
|
Referral. |
4.
Demonstrably False. The complaint was demonstrably false, or,
demonstrates an irrational thought process, and was consistent with
the complainant's established pattern of making chronic or crank
complaints.
5. Department Employee(s) Not Involved. The preliminary investigation
revealed that the complaint did not involve a Department employee(s).
6. Resolved Through Alternative Conflict Resolution. The
complainant and the employee(s) resolved the complaint through mediation.
B. Adjudication of a Non-Disciplinary Complaint. After approving
a complaint's final classification as Non-Disciplinary, the commanding
officer shall:
|
Complete
and sign the Complaint Form; |
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Meet
with and discuss the complaint with the employee, and provide
the employee with a copy of the investigation; and, |
|
Sign
the complainant's reply letter, then forward it with the complaint
to the next level of review. |
C.
Bureau Commanding Officer's Role. Bureau commanding officers
reviewing a Non-Disciplinary complaint, shall:
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Sign
the Complaint Form and indicate concurrence; |
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Date and send reply letter to complainant; and, |
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Ensure
that all closed Non-Disciplinary complaints are forwarded to
TAG, along with the original completed investigation and a Personnel
Complaint Statistical Form, Form 1.19. |
| Note:
The commanding officer's decision on a Non- Disciplinary
complaint shall be final unless a substantial justification
for changing it can be articulated at the bureau level. If this
occurs, the Bureau commanding officer will return the Non- Disciplinary
complaint to the employee's commanding officer with a written
rationale and direction for how to proceed. |
D.
Role of Internal Affairs Group. Internal Affairs Group shall
have no review responsibility for Non-Disciplinary complaints after
the CF number is issued. Internal Affairs Group shall close out
all Non-Disciplinary complaints upon receipt from Bureaus and file
by CF number in the IAG Miscellaneous Files.
VI. ALTERNATIVE CONFLICT RESOLUTION - ESTABLISHED. The watch
commander, section OIC, or civilian equivalent, may designate a
complaint for ACR when all of the following criteria are
met:
|
The
complaint of the alleged misconduct is non- disciplinary, or
disciplinary, but minor in nature (e.g., discourtesy, disrespect,
or a minor Neglect of Duty, etc.) as alleged by the public; |
|
The
employee(s) has no apparent pattern of similar behavior (should
normally be limited to the past five years) for which he/she
is accused; and, |
|
The
complainant and the employee have agreed to participate in good
faith. |
Generally,
the watch commander, section OIC, or civilian equivalent, shall
appoint a supervisor to serve as mediator. However, nothing in this
Order precludes a supervisor who is responding to a complaint
in the field from utilizing ACR at the time the complaint is made,
with concurrence from the watch commander, section OIC, or civilian
equivalent.
| Note:
Prior to conducting ACR, mediators shall review the Alternative
Conflict Resolution Guide. |
A.
General Guidelines for Mediation. When a complainant and/or
accused officer indicates a desire for ACR, the process should be
expedited. In the event ACR is delayed more than 30 calendar days,
absent exigent circumstances, the complaint shall be returned to
the commanding officer for classification and adjudication.
Prior to ACR, the complainant shall sign an Alternative Conflict
Resolution Acknowledgement. A single ACR session should be sufficient,
and all ACR discussions shall be considered confidential.
The presence of outside parties is discouraged; however, the mediator
may exercise discretion in establishing parameters for the ACR session.
Accused employees may not have an employee representative present,
nor may a complainant have legal counsel. Sessions shall not be
audio/video 'recorded. The mediator shall have the final authority
over the ACR session.
| Note:
When the accused employee insists on the presence of an
employee representative during ACR, or the complainant requests
legal counsel, complaints shall be returned to the commanding
officer for classification and adjudication. |
B.
Role of Mediator. The process of resolving conflict requires
all parties to be forthright and willing to accept responsibility.
In fact, a full and complete discussion of events may include an
admission to the complained of behavior. It is understood that this
is part of the resolution process and confidentiality will be maintained.
However, should a significant act of misconduct (see ACR
Guide for examples) come to light, the ACR session shall be stopped
and the complaint referred for classification and adjudication.
| Note:
This process does not preclude an assigned mediator from
attempting to resolve the issue through ACR without the employee
being present. |
C.
Complainant or Employee Withdrawal from ACR. If, prior to completing
the ACR session, either the complainant or the accused employee(s)
chooses to withdraw, the complaint shall be referred to the accused
employee's commanding officer, for appropriate disposition. Likewise,
a mediator may stop the ACR process and refer the case to the commanding
officer for appropriate disposition if one or both parties involved
are not participating in good faith.
In any of these cases, the complainant and employee shall be advised
of the investigation's outcome via established complaint procedures.
No prejudice shall be inferred to either party for withdrawing from
ACR.
If, at any time after the ACR session is adjourned, the complainant
wants to renew the complaint, no new complaint shall be initiated;
and, absent new and significant evidence of serious misconduct,
no investigation shall be undertaken. The resolution by mediation
will stand, and no further action relative to the incident may be
initiated after the completion of ACR.
D. Challenge to Mediation. If, based on compelling circumstances,
a commanding officer determines ACR is not appropriate (due to either
the nature of the complaint or the officer's work history), that
commanding officer may override a watch commander's decision, even
if ACR has already occurred. If this occurs, the commanding officer
shall provide the employee with a written rationale, providing substantial
justification.
VII. COMPLAINT ALLEGATION DISPOSITIONS - REVISED. "No Department
Employee" is hereby eliminated as a disposition, for misconduct
allegations.
In addition to the existing-disposition classifications for Disciplinary
(formerly Misconduct) allegations as outlined in Manual Section
3/820.20, the following alternate dispositions may be used:
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Other
Judicial Review (IAG use only); |
|
Insufficient
Evidence to Adjudicate; |
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Duplicate;
or, |
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Withdrawn
by the Chief of Police (IAG use only). |
VIII.
RECORDATION OF COMPLAINTS. The record and disposition of all
complaints, including unfounded, exonerated, and Non- Disciplinary
complaints, shall be maintained and accessible as part of the Department's
Training, .Evaluation and Management (TEAMS) System, or any similar
system subsequently developed. The records for all complaints shall
be retrievable based on current record retention policy from the
date reported, and access to such records shall be through IAG on
a case-by-case basis. Access to such complaint records shall be
on a right-to-know/need-to-know basis.
| Note:
The Office of the Inspector General has full and direct
access to Disciplinary and Non-Disciplinary complaint records. |
Only
Disciplinary complaints in which allegations are sustained, not
resolved, or result in a guilty determination at a Board of Rights
shall be attributed to the employee's personnel record. All other
complaint classifications (including those handled through ACR)
shall be filtered from view when the employee's record is being
reviewed for pending disciplinary adjudication.
Additionally, not resolved allegations will also be filtered from
view when the employee's record is being reviewed for the following:
|
Promotions; |
|
Pay
grade increases; |
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Transfers;
or, |
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Performance
reviews. |
IX.
LETTER OF TRANSMITTAL FORMAT - REVISED. The format for the Letter
of Transmittal has been revised. The below listed headings are hereby
deleted because the information is now captured on the Complaint
Adjudication Form:
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Penalty; |
|
Employee
Interview; |
|
Commanding
Officer's Response to Employee; and, |
|
Index. |
Non-Disciplinary
complaints do not require a Letter of Transmittal.
FORM AVAILABILITY: The Complaint Adjudication Form, Form
1.28.5, the Alternative Conflict Resolution Acknowledgement, Form
1.28.6, and the revised Complaint Investigation, Form 1.28.0, will
be available for ordering from the Department of General Services,
Distribution Center, in about 90 days and will be placed on the
Department's Local Area Network (LAN) .Copies of the forms are attached
for duplication and immediate use. Complaint Histories, Form 1.06.02,
shall be purged from all employees' divisional personnel packages,
bundled by Area/division, and forwarded to IAG by December 31, 2002.
All other deactivated forms shall be marked "obsolete" and placed
into the divisional recycling bin.
AMENDMENTS: This Order adds Sections 1/220.20, 3/830.23,
3/830.25, 3/830.27, 5/28.5, 5/128.6, amends Sections 3!820.10.,
3/820.15, 3/820.20, 3/820.30, 3/833, 3/834.50, and deletes Sections
5/1.88.0, 5/1.88.1, 5/1.81.6, 5/1.06.2, and 5/1.81.1 of the Department
Manual.
AUDIT RESPONSIBILITY: The Commanding Officer, Internal Affairs
Group, shall monitor compliance with this directive in accordance
with Department Manual Section 0/080.30.
WILLIAM J .BRATTON
Chief of Police
Attachments
DISTRIBUTION "D"
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