Formal Complaint Procedure

Questions and Answers

What is required if a complainant declines to file a formal complaint after an inquiry?

No further action is necessary.

The complainant's reasons must be documented.

The investigation is automatically closed.

The investigating supervisor must file a complaint with PIU. (correct)

What must a written notice provided to a Member include under KRS 15.520?

The names of all witnesses involved.

The expected duration of the investigation.

A copy of the complaint or sufficient information about the interrogation reason. (correct)

A summary of the investigation findings.

Under what circumstances does an investigator NOT need to inform a Member that they are now the subject of an investigation?

If the Member becomes subject during the interrogation. (correct)

If the Member was the complainant.

If the investigation is related to a separate incident.

If the Member requests to remain anonymous.

What type of statement is NOT required to be recorded during an investigation?

Non-recorded statements from civilian witnesses who refuse a recorded statement. Signup and view all the answers

What must a Member provide the Public Integrity Unit if they request a recording of their interview?

Blank recording media at their own expense. Signup and view all the answers

How are informal complaints documented and processed after being collected by an investigating supervisor?

They are forwarded through the chain of command for entry into the Early Indication System. Signup and view all the answers

According to KRS 15.520, what timeframe is a Member given to submit a written report?

At the end of their next tour of duty. Signup and view all the answers

What happens to action taken at the Bureau level regarding complaints?

It is documented using an informal complaint reporting method. Signup and view all the answers

What action is the Chief required to take if the investigation finds Insufficient Evidence?

Communicate the findings in writing and conclude the disciplinary process. Signup and view all the answers

What is the time frame for the Chief to schedule a meeting with the Member after receiving the investigative findings?

Thirty (30) days. Signup and view all the answers

If the Chief recommends disciplinary action, what time frame does the Member have to respond in writing?

Forty-eight (48) hours. Signup and view all the answers

What happens if the Chief chooses not to recommend disciplinary action?

The PIU prepares a complete investigative file. Signup and view all the answers

Which of the following conclusions can the Chief reach based on the findings of the PIU investigation?

Improper Conduct by the Member. Signup and view all the answers

What must the Chief ensure when communicating findings to both the complainant and the Member?

Their intentions regarding disciplinary action are clear. Signup and view all the answers

What is the primary responsibility of the DRB in relation to the PIU's findings?

To present formal complaints and recommended sanctions. Signup and view all the answers

What is the consequence if the Member rejects the disciplinary charges proposed by the Chief?

The matter proceeds to the DRB for a formal complaint investigation. Signup and view all the answers

What is required for a complainant to file a formal complaint?

An affidavit, signed and sworn by the complainant Signup and view all the answers

What actions can the investigating supervisor take upon sustained informal complaints?

Provide coaching, counseling, or remedial training Signup and view all the answers

What is the role of the PIU in the complaint process?

To conduct all investigations of formal complaints Signup and view all the answers

What should happen if a complainant is unsatisfied with the resolution of an informal complaint?

They may file a formal complaint with the PIU Signup and view all the answers

What limitations are placed on documents related to coaching and counseling?

They cannot be used as evidence in disciplinary hearings Signup and view all the answers

Upon receiving an informal complaint, what is the initial action an investigating supervisor should take?

Initiate follow-up contact with the complainant Signup and view all the answers

What happens after an investigation of an informal complaint is completed?

The investigating supervisor must notify the complainant of the resolution and any remedial measures taken Signup and view all the answers

What characterizes informal complaints received by the LPD?

They may lead only to coaching and counseling measures Signup and view all the answers

What must be provided to a Member within twenty-four (24) hours after their suspension pending investigation?

Written notice of the suspension reasons Signup and view all the answers

What is the maximum time frame for the assigned PIU investigator to submit their findings to the Chief after completing the investigation?

Seven (7) calendar days Signup and view all the answers

What does a finding of 'Proper Conduct' indicate about the allegations made against a Member?

The actions were consistent with LPD policies despite the allegations Signup and view all the answers

Which of the following is NOT one of the categories the Chief can determine after reviewing the PIU investigation findings?

Inconclusive Evidence Signup and view all the answers

Which statement is true regarding a Member's requirement to answer queries from nongovernmental bodies?

Members cannot be compelled to answer questions from nongovernmental bodies Signup and view all the answers

What characterizes an 'Improper Conduct' finding in the context of the complaint investigation process?

Allegation is true and actions constituted misconduct Signup and view all the answers

Which scenario would be classified as a 'Policy Failure'?

A lawful incident that necessitates policy review Signup and view all the answers

In the disciplinary review context, what does the presence of citizen-members in the Disciplinary Review Board imply?

Recognition of the board as a governmental body Signup and view all the answers

What is the time frame within which a Member must receive a copy of the complaint after it is signed by the complainant?

Twenty-one (21) calendar days Signup and view all the answers

How long before the interview must the Member be provided with the written complaint?

Forty-eight (48) hours Signup and view all the answers

What information must L.F.U.C.G. provide to the Member prior to a disciplinary hearing?

Any written statements or information in possession related to the disciplinary action Signup and view all the answers

What must the PIU do after completing an investigation?

Prepare a written summary of the investigation findings to the Chief Signup and view all the answers

What condition must be met for the Member to receive updates about the status of the investigation?

The Member must request it Signup and view all the answers

What is prohibited from being used against a Member during a criminal or administrative investigation?

Promises or coercions Signup and view all the answers

What information is excluded from the information required to be provided to the Member before a disciplinary hearing?

Attorney work product Signup and view all the answers

What is the maximum timeframe within which written statements or information related to disciplinary action must be provided to the Member?

Fourteen (14) calendar days Signup and view all the answers

Study Notes

Complaint Filing Procedures

Complainants may file a formal complaint as an affidavit, which must be signed and sworn.
If declined, an informal complaint or information-only report can be completed instead.
Informal complaints received by LPD will be investigated and resolved at the Bureau level.

Investigation of Informal Complaints

The immediate supervisor or a supervisor in the officer's Bureau (investigating supervisor) will follow-up with the complainant to gather more information.
Appropriate remedial measures at the Bureau level may include coaching, counseling, and, if necessary, remedial training.
Coaching and counseling are not classified as discipline and are excluded from formal disciplinary procedures.
Investigating supervisors notify complainants of the resolution and any remedial measures taken.

Actions on Unsatisfied Complaints

If a complainant is unhappy with the resolution, they can refer to the PIU to file a formal complaint.
If an investigation reveals substantial concerns but the complainant declines to file formally, the investigating supervisor may initiate a formal complaint.

Documentation of Informal Complaints

All actions taken at the Bureau level must be documented and forwarded through the chain of command to the PIU.
Informal complaints are entered into the Early Indication System (IAPro).

Investigation Procedures

Written notice of an interrogation is required within forty-eight hours, detailing the reason for the investigation.
Member under investigation may need to submit a written report by the end of their next duty tour.
All statements or interviews during investigations must be recorded and transcribed, with an exception for unrecorded civilian witness statements.

Findings from PIU Investigation

If the Chief concludes findings indicate Proper Conduct, Insufficient Evidence, Unfounded Complaint, or Policy Failure, both the complainant and member will be notified in writing.
If Improper Conduct is found, potential disciplinary action may be recommended by the Chief based on applicable law.

Disciplinary Recommendations

The Chief can meet with the Member to present recommended charges and sanctions within thirty days of investigation findings.
Members have forty-eight hours to accept or reject recommended disciplinary actions after being informed in writing.
If the Member rejects the recommendations, the PIU will prepare the investigative file for a formal complaint hearing.

Member Rights During Investigations

A written copy of the complaint must be provided to the Member alleging misconduct not involving criminal activity within twenty-one days.
Members can request recordings of their interviews and will be provided with the recordings at their expense.

Restrictions and Protections

No coercive measures can be used against Members during investigations, including threats or promises.
Members cannot be compelled to testify or be questioned outside governmental investigations.
Suspension pending investigation must be communicated in writing to the Member within twenty-four hours.

Disciplinary Conclusions

The Chief determines the nature of the complaint as either Proper Conduct, Improper Conduct, Insufficient Evidence, Unfounded Complaint, or Policy Failure after reviewing investigative findings.

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Description

This quiz explores the formal complaint process, including the necessary components such as affidavits and investigations conducted by the PIU. It also discusses informal complaints and their resolution. Test your knowledge on these procedures and regulations!