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LAPD's Revised Personnel Complaint Process
. . . welcome news for all . . .

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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) 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:

Hasten resolution of minor complaints;
Maintain ability to track and account for complaints;
Hasten response to complainants;
Improve communication/understanding with the public;
Add an alternative dispute resolution component; and,
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:

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:

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;
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;
Attempt to resolve the matter to the satisfaction of the complainant;
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:

Review the Complaint Form for completeness and accuracy, ensuring that a thorough preliminary investigation was conducted;
Using the Preliminary Case Screening box on the Complaint Form, classify the complaint as Non- Disciplinary or Disciplinary (See Attachment A);
When appropriate, facilitate the ACR process; and,
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:

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;
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;
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;
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:

Sign the Complaint Form and indicate concurrence;
Date and send reply letter to complainant; and,
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:

Other Judicial Review (IAG use only);
Insufficient Evidence to Adjudicate;
Duplicate; or,
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;
Transfers; or,
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:

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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No Discretion
Discretion

Criminal Offense

Felony
Misdemeanor
Significant public concern
......- Ethics violations
......- Public corruption
......- Civil Rights violations
...... ......- Excessive force
...... ......- Abuse of authority
...... ......- Unlawful search

Infractions
...... - "I saw officer park in red zone."
Demonstrably false
...... - "Illegally searching my home
... ..... with microwaves."
Valid warrant
   
Neglect of Duty

Serious
...... - Suspect escape
Persistent
...... - Repeated violation
Intentional
...... - Should have known better
Self-serving
...... - Not handling an assigned call

Officer followed policy and procedure
...... - Refused to take a report
......... (civil dispute)
...... - Refused to respond to my house
......... (barking dog)
...... - Should have read me my rights
......... (no interrogation)
...... - Should have released my vehicle
......... from impound (followed policy)
Delay in service
   
Violation of Policy or Rule

Serious
...... - Blatant discourtesy
...... - Shooting violation
Persistent
...... - Repeated violation
Intentional
...... - Should have known better

Minor
...... - Not leaving 2.90 notice
...... - Not giving a business card but
......... providing identification
"Street language"
...... - Used under stress or to gain
......... compliance (tactic)
Telephone disconnected
   
Unbecoming Conduct

Serious
...... - Criminal in nature
Persistent
...... -Business dispute
...... - Prior CUBO
Intentional
...... - Should have known better
Compromises credibility
...... - Employee's or Department's

Minor
...... - Neighbor dispute
...... - Child custody dispute
...... - Inferred discourtesy or substandard
......... service
No nexus to office
Protected right
......- Speech
......- Association
......- Political exercise