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Sgt Study > 10.2 Internal Investigations > Flashcards

10.2 Internal Investigations Flashcards

1
Q

Once initiated, what are the possible outcomes of an internal investigation?

A
  1. Adverse Action
  2. Rejection during probation
  3. Miscellaneous Investigation
  4. Non-punitive termination
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2
Q

What are considered adverse actions?

A
  1. Formal written reprimand
  2. Suspension
  3. Reduction in salary
  4. Demotion
  5. Involuntary transfer
  6. Dismissal
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3
Q

What reasons can the Department reject a probationary employee?

A
  1. Their qualifications
  2. The good of the service
  3. Failure to demonstrate merit, efficiency, fitness, and moral responsibility.
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4
Q

Is the Bazemore Admonition required in all MODs?

A

YES

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5
Q

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. The original (or a copy) of the same document shall remain with the complaint investigation itself until the investigation’s scheduled destruction.

A

3 years
Corrective Documentation To Employee. 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 three (3) years, commencing from the date of issue. The original (or a copy) of the same document shall remain with the complaint investigation itself until the investigation’s scheduled destruction.

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6
Q
  1. A disciplinary legal action taken in response to an employee’s misconduct or continued failure to meet the rules of conduct established by law and/or departmental policy is called ___________.
A

An Adverse Action

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7
Q
  1. The process of resolving a dispute or grievance outside of the court system through an impartial third party is called ___________
A

Arbitration

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8
Q
  1. An internal investigation which does not result in a recommendation for an adverse action or rejection during probation during, (during the probationary period), or in cases where the employee separates from state service, should be documented as:
    a. Non-Punitive Termination
    b. Frivolous Complaint
    c. Miscellaneous Investigation
    d. Other Complaint
A

c. Miscellaneous Investigation

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9
Q
  1. An employee’s assigned locker or other place for storage shall not be searched except under what circumstances? Check all that apply:
    a. The employee’s commander or supervisor is present during the search.
    b. The employee has another officer or person witness the search.
    c. A valid search warrant is obtained.
    d. The employee is present during the search.
    e. The employee gives consent to search the area
    f. After the employee has been notified the search will be conducted and provided a reasonable opportunity to respond to the search location to observe the search.
    g. All the above.
A

c. A valid search warrant is obtained.
d. The employee is present during the search.
e. The employee gives consent to search the area
f. After the employee has been notified the search will be conducted and provided a reasonable opportunity to respond to the search location to observe the search.

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10
Q

All administrative investigations shall be destroyed after a period of ___ years, commencing from the date the employee is served with the Notice of Adverse Action or the closing document.

A

5 Years shall be destroyed. However an investigation resulting in a Formal Written Reprimand, the written reprimand shall be removed from the field personnel folder after a period of three years.

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11
Q
  1. A photo lineup should have a minimum of _________ photographs?
    a. 3
    b. 5
    c. 6
    d. 10
A

c. 6

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12
Q
  1. An employee shall have ________ calendar days within which to file a written response to any adverse comment entered into his/her personnel file.
    a. 10
    b. 30 – written response shall be attached to adverse comment
    c. 45
    d. 90
A

b. 30 – written response shall be attached to adverse comment

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13
Q
  1. It is the policy of this Department to restrict the number of departmental representatives (interrogators) to a maximum of _________ during an administrative interrogation.
    a. 2
    b. 3
    c. 5
    d. No maximum
A

a. 2

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14
Q
  1. Minor Discipline is when the appointing authority or designee takes a disciplinary action of the following nature:
    a. Suspension without pay for five days or less, excluding formal reprimands, or up to a five percent reduction in pay for five months or less, excluding formal reprimands.
    b. Suspension without pay for three days or less, excluding formal reprimands, or up to a three percent reduction in pay for three months or less, excluding formal reprimands.
    c. Memorandum of Direction, Memorandum of Counseling, or Memorandum of Findings in any Adverse Action.
    d. Formal reprimands, or Suspension without pay for ten days or less, or up to a ten percent reduction in pay for ten months or less.
A

a. Suspension without pay for five days or less, excluding formal reprimands, or up to a five percent reduction in pay for five months or less, excluding formal reprimands.

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15
Q
  1. Which of the following accurately describes the penalties for adverse actions:

a. Suspension, Dismissal, Salary Reduction within Salary range of class, Formal Written Reprimand, Involuntary Transfer, Demotion.
b. suspension, Dismissal, Formal Written Reprimand, Involuntary Transfer, Demotion.
c. Suspension, Dismissal, Formal Written Reprimand, Demotion.
d. Suspension, Salary reduction within salary range of class, Demotion, Dismissal, Involuntary Transfer. By

A

a. Suspension, Dismissal, Salary Reduction within Salary range of class, Formal Written Reprimand, Involuntary Transfer, Demotion.

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16
Q

HPM 10.2, Ch 1 - Define Serious Misconduct

A

Dishonesty, Abuse of Power, Physical Abuse, Sexual Assault, Demonstrating Bias, Acts that Violate the Law, Participation in a Law Enforcement Gang. Failure to Cooperate, Failure to Intercede

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17
Q

HPM 10.2, Ch 2 - What are the Adverse Action (AA) penalties?

A

Formal written reprimand, Suspension, Reduction in salary, Demotion, Involuntary transfer, Dismissal

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18
Q

HPM 10.2, Ch 3 - What are examples of corrective action?

A

Informal Counseling, Formal Counseling, Monthly Evaluation Comments, Memorandum of Counseling, Censurable CHP 2, Incident Report, Memorandum of Direction.

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19
Q

HPM 10.2, Ch 4 - What are two methods of conducting a criminal investigation without negatively influencing the corresponding administrative investigation?

A

Concurrent investigation. In this method the criminal investigation is conducted simultaneously with the administrative investigation by separate investigators.

Consecutive Investigation. In this method, the criminal investigation is completed and a decision (rejection or filing of charges) is made by the prosecuting authority prior to intiating the administrative investigation.

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20
Q

HPM 10.2, Ch 5 - Under what conditions can management search a locker/storage places?

A

(1) In the involved employee’s presence. (2) With the involved employee’s consent. (3) After a valid search warrant has been obtained. (4) When the involved employee has been notified that a search will be conducted.

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21
Q

HPM 10.2, Ch 6 - Does Marital Privilege extend to two members of the Dept

A

No

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22
Q

HPM 10.2, Ch 6 - Can non Departmental witnesses in an investigation object to being recorded?

A

Yes. In such instances, a memorandum shall be prepared by the investigator summarizing the statements.

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23
Q

HPM 10.2, Ch 8 - The respective Division Commander is the final level of approval for an adverse action with a penalty of:

A

a) Formal written reprimand.
b) Suspension of one to five working days, or the monthly step reduction.

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24
Q

HPM 10.2, Ch 10 - What is a Coleman Hearing

A

The Coleman Hearing officer must determine if the employee was absent for five (5) consecutive workdays and if the absence was without permission

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25
Q

HPM 10.2, Ch 11 - How long does a public safety officer have to file a written reponse to any adverst comment entered into their personnel file

A

30 days

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26
Q

HPM 10.2, Ch 13 - How long does employee have to agree to the terms of a stipulated adverse action?

A

Within 5 business days

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27
Q

1) When a departmental supervisor or manager is notified or discovers alleged misconduct on the part of an employee, notification to the next level in the chain of command shall be made as soon as it is________. If serious misconduct is alleged, the supervisor or manager shall make ________ notification to the next level in the chain of command. Failure to make timely notification may result in disciplinary action.

A

Practical, Immediate.

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28
Q

2) What are the six methods of preventative action?

A

1.Training
2. Defined Expectations
3. Workplace Communication
4. Routine Assessment
5. Supervision
6. Employee Assistance Program.

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29
Q

3) What are the steps involved in progressive discipline?

A

1.Informal Counseling
2. Formal Counseling
3. Monthly Evaluations Comments
4. Memorandum of Counseling
5. Censurable CHP 2, Incident Report
6. Memorandum of Direction

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30
Q

4) What are the six penalties that can result for adverse action?

A

(1) Formal Written Reprimand. 2) Salary Reduction 3) Suspension 4) involuntary Transfer 5) Demotion 6) Dismissal

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31
Q

5) Adverse action shall not be undertaken against an employee for any act, omission, or other allegation of misconduct if the investigation is not completed within how many years?

A

One (1) year of the Department’s discovery of the allegation

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32
Q

6) Who may investigators discuss aspects of an investigation with?

A

Those with an official right and need to know.

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33
Q

7) When an employee is served with a CHP 7S (SAAP), how long do they have to decide whether to agree with the terms?

A

Five (5) Days

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34
Q

8) What are the three reasons a SAAP cannot be used?

A
  1. Civil liability
  2. Criminal allegations
  3. Circumstances involve one (1) or more allegation(s) of serious misconduct
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35
Q

9) How many consecutive working days must be missed to meet the criteria for AWOL?

A

5

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36
Q

10) The effective date of the adverse action shall be no less than X days after the date of service of the notice.

A

25 CALENDAR DAYS

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37
Q

Citizen complaints alleging physical contact, excessive force, and/or criminal, racial, sexual, or immoral conduct, dishonesty, and/or falsification of documentation, or allegations of unethical conduct are a level I or II Category complaint?

A

I Category Complaint

38
Q

Citizen complaints alleging verbal misconduct, nonverbal misconduct (not involving actual physical contact), and/or complaints regarding matters not related to an employee’s conduct are a level I or II Category complaint?

A

II Category Complaint

39
Q

What form is intended to be the primary instrument for citizens to file complaints against uniformed (peace officer) employees, while also informing complainants about the complaint process. The form also contains a statement, required by the Penal Code, which advises potential complainants of the criminal penalties for filing a false complaint against a peace officer.

A

CHP 240B

40
Q

What form is intended to be the primary instrument for citizens to file complaints against non-uniformed (nonpeace officer) employees, while also informing complainants about the complaint process.

A

CHP 240D

41
Q

A Category I, Category II, and Other Complaints are destroyed after how many years?

A

5 years

42
Q

There are four outcomes to an Administrative Investigation. Which of the following is not an outcome?
A: Adverse Action
B: Rejection During Probation
C: Non-Punitive Termination
D: Dismissal

A

D: Dismissal

43
Q

“Your conduct on this occasion [these occasions] was unacceptable and will not be
tolerated by this Department. If you engage in similar misconduct in the future, the
Department may take adverse action against you based on the incident[s] cited in
this documentation, as well as any future incidents.” Is the:
A: Brady Admonishment
B: Bazemore Admonishment
C: Lybarger Admonishment
D: Memorandum of Counseling

A

B: Bazemore Admonishment

44
Q

Lybarger Admonishment is given during an administrative interrogation which advises the subjects of the interrogation that they do not have the right to refuse to answer administrative questions. True or False?
A: True
B: False

A

A: True

45
Q

A memorandum of direction (MOD) shall contain the Bazemore Admonition. True or False?
A: True
B: False

A

A: True

46
Q

Which of the following is not a Penalty of an Adverse Action?
A: Formal Counseling
B: Reduction in Salary
C: Demotion
D: Dismissal

A

A: Formal Counseling

47
Q

How many years should evidence pertaining to an admirative investigation be stored?
A: 3 years
B: 5 years
C: 10 years
D: 15 years

A

B: 5 years

48
Q

An investigative File shall include a CHP 268 (Potential Civil Litigation Report) for cases recommending dismissal. True or False?
A: True
B: False

A

B: False

49
Q

One of the following conditions must be met, to conduct a search of an employee’s locker or storage space, except:
A: In the involved employee’s presence.
B: With the involved employee’s consent.
C: Reasonable Suspicion.
D: Valid search warrant.

A

C: Reasonable Suspicion.

50
Q

All statements from departmental employees who are interviewed as witnesses during internal investigations ______ recorded.
A: Shall not be
B: Should be
C: may be
D: Shall be

A

D: Shall be

51
Q

Investigations which resulted in a formal written reprimand shall be retained for __ years; however, a copy of the formal written reprimand shall be removed from the field personnel folder after a period of __ from the date the employee was served with the Notice of Adverse Action.

A: 5 and 5
B: 3 and 5
C: 5 and 7
D: 5 and 3

A

D: 5 and 3

52
Q
  1. Penalties for an adverse action consist of:
A

1 Formal written reprimand.
2 Suspension.
3 Reduction in salary.
4 Demotion.
5 Involuntary transfer.
6 Dismissal

53
Q

Question: When a departmental supervisor or manager is notified of or discovers alleged misconduct on the part of an employee, notification to the next level in the chain of command _______ be made as soon as it is practical.
A) Should B) Shall C) May

A

Answer: B) Shall

54
Q

Question: The Bazemore admonition _____ be included in al MOD’S

A

Answer: Shall

55
Q

Question: Does a witness have the right to remain confidental during the course of a investigation?

A

Answer: No, Employees have the right to review the alligations, as well as the right to prepare a potential defense

56
Q

Question: Due to employee’s being ordered to answer question during an administrative interrogation their answers _____ not be used to support a criminal investigation. A) May B) Should C) Shall

A

Answer: C) Shall

57
Q

Question: A investigative interrogation should be conducted prior to administrative interrogation?
A) True B) False

A

Answer: A) True

58
Q

Question: While criminal investigators may not participate in an administrative interrogation, an administrative investigator ______ observe the criminal interrogation.
A) May B) Should C) Shall

A

Answer: B) Should, This is desirable if an employee waives Miranda rights during a criminal interrogation and agrees to answer questions. In this case, the entire criminal statement should be included in both investigations.

59
Q

_____ Days or More, Employees may use leave credits to satisfy up to one-half of the suspension period. Suspensions of _____ days or less can satisfy the entire suspension period.

A

Answer: 6 Days or More And 5 Days Or Less

60
Q

A public safety officer shall have ___ days within which to file a written response to any adverse comment entered in his personnel file.

A

Answer: 30 Days, Such written response shall be attached to, and shall accompany, the adverse comment.

61
Q

______ ______ provides the authority to reject a probationary employee for reasons relating to the probationer’s qualifications, the good of the service, or failure to demonstrate merit, efficiency, fitness, and moral responsibility.

A

GC 19173 Pg 1-4, Section 4(a)

62
Q

What does POBR stand for and who does it apply to?

A

Public Safety Officers Procedural Bill of Rights Act is specified in California GC 3300 st seq. By law, POBR applies to all probationary and permanent personnel who are peace officers. By policy, the Department has extended POBR to all other employees with the exception of cadets. Pg 1-5, Sections 5(a) & 5(a)(1)

63
Q

What are the two types of Internal Investigations?

A

Criminal Investigation, Administrative Investigation. Pg 2-3, Sections a(1) & a(2)

64
Q

What are the four possible outcomes of an administrative investigation?

A

(AARP MINT) Adverse Action, Rejection During Probation, Miscellaneous Investigation, Nonpunitive Termination. Pg 2-3 & 2-4, Sections a(2)(a-d)

65
Q

An adverse action is a disciplinary legal action taken in response to an employee’s misconduct or continued failure to meet the rules of conduct established by law and/or policy. The six possible penalties from an AA are ________ __________ _________, _________, _________ __ ________, __________, ___________ __________, and ___________.

A

(FSRS DID) Formal written reprimand, Suspension, Reduction in Salary, Demotion, Involuntary transfer, Dismissal Pg 2-3, Section a(2)(a)(1-6)

66
Q

A(n) __________ Hearing is the process by which an employee who has resigned (by being absent without leave [AWOL]) has the opportunity to present information to an impartial and uninvolved departmental member with the authority to recommend a final disposition.

A

Coleman Pg 2-9, Section 4(k)

67
Q

The admonishment given in administrative interrogations which advises the subjects of the interrogation that they do not have the right to refuse to answer administrative questions. Subjects are also advised that failure to answer administrative questions will be deemed insubordination. Further, any statement made during an administrative interrogation cannot be used in subsequent criminal proceeding.

A

Lybarger Pg 2-11, Section 4(aa)

68
Q

Of the four corrective documentations, which one SHALL contain the Bazemore Admonition?

A

Memorandum of Direction (MOD) The Bazemore shall be included in all MODs that are remedial or counseling in nature. Pg 2-8, Section 4(f)

69
Q

_____________ ______________ is intended to modify an employee’s behavior, and should instruct and train the employ to act and perform in accordance with established standards of conduct.

A

Progressive discipline Pg 3-3, Section 1(a)

70
Q

What is the most severe option in the progressive discipline process?

A

Adverse Actions Pg 3-8, Section 5

71
Q

A Salary Reduction in response to an adverse action _____ be one (1) or more salary steps down to the minimum salary of the employee’s class.

A

May Pg 3-9, Section 5.b.(2)

72
Q

How long shall the CHP 7E, Internal Investigation Control Log, be maintained at Division offices and where should it be kept?

A

5 years from the end of the calendar year, and in a location that ensures confidentiality Pg 4-3, Section 2(b)

73
Q

What are the two acceptable methods for conducting a criminal investigation without negatively influencing the corresponding administrative investigation?

A

Concurrent and consecutive Pg 4-6, Section 4(c)

74
Q

The decision to consent to an interview with an outside investigator regarding a civil rights investigation ________ be at the sole discretion of the departmental ____________ (either as a witness to, or the subject of, an investigation).

A

SHALL, employee Pg 4-9, Section 4(h)(1)

75
Q

Since the employee is ordered to answer questions, statements obtained during administrative interrogations _______ ____ be used to support a criminal investigation.

A

Shall not Pg 6-3, Section 1

76
Q

What form should be completed prior to an interrogation?

A

CHP 8, Administrative Interrogation Record Pg 6-16, Section 8(d)(1)

77
Q

Name the three types of closing documentation which shall be used in miscellaneous investigations.

A

Censurable Form 2, Incident Report; Memorandum of Direction; Memorandum of Findings Pg 7-10, Section 6(e)(9)(a-c)

78
Q

A suspension of one (1) to five (5) working days, or the equivalent monthly step reduction shall be determined by who?

A

Division commander (in the chain of command of the involved employee) Pg 8-4, Section 2(b)(1)(b)

79
Q

A suspension of six (6) to 20 working days, or the equivalent monthly step reduction shall be determined by who?

A

Assistant Commissioner Pg 8-5, Section 2(b)(2)(b)

80
Q

Who has the final level of approval for an Adverse Action with a penalty of dismissal, demotion, or suspension in excess of 20 working days?

A

Commissioner or Deputy Commissioner Pg 8-5, Section 2(b)(3)(a)(1-3)

81
Q

Employees may file an appeal with the SPB Appeals Division no later than __ _______ days after the effective date of a Notice of Adverse Action.

A

30 calendar Pg 9-10, Section 3(b)(1)

82
Q

What are the 6 types of Adverse Actions?

A

(1) Formal Written Reprimand.
(2) Salary Reduction.
(3) Suspension.

(4) Involuntary Transfer.
(5) Demotion.
(6) Dismissal

83
Q

What are the Preventive Actions with Progressive Discipline?

A

Proactive steps that reduce or eliminate the need for corrective or adverse action

84
Q

What is the definition of Sexual Assault in Serious Misconduct?

A

(1) Sexual Assault. As described in subdivision (b) of PC Section 832.7, “Sexual Assault” is the commission or attempted initiation of a sexual act with a member of the public by means of force, threat, coercion, extortion, offer of leniency or other official favor, or under the color of authority. For purposes of this definition, the propositioning for or commission of any sexual act while on duty is considered a sexual assault.
(a) Penal Code Section 832.7 (b)(1)(B)(iii) defines a “member of the public” as any person not employed by the officer’s employing agency and includes any participant in a cadet, explorer, or other youth program affiliated with the agency.

85
Q

How many days to notify POST after a Supervisor or Manager is aware of alleged misconduct?

A

Notification to the Commission on Peace Officer Standards and Training. Pursuant to PC Section 13510.9, the Department shall make notification to POST within ten days

86
Q

An MOD Shall/ Should/ or May contain a Bazemore Admonition?

A

Shall

87
Q

Penal Code Section ______, any person who knowingly alters, tampers with, conceals, or destroys relevant evidence in any disciplinary proceeding against a public safety officer for the purposes of harming that public safety officer is guilty of a misdemeanor.

A

135.5 PC

88
Q

What is the primary difference between Formal and Informal Counseling?

A

After Formal Counseling the employee receives a form of documentation.

89
Q

How many days does an employee have to agree to the CHP 7s (Stipulated Adverse Action Process (SAAP))?

A

The employee shall decide whether to agree with the terms of the CHP 7S within five (5) business days.

90
Q

What are the 8 required components of an Adverse Action investigative file?

A

(1) CHP 7.
(2) CHP 7A (if necessary).
(3) CHP 7B.
(4) Investigative Summary.
(5) Findings.
(6) Chronological Summary.
(7) Exhibits.
(8) Attestation

91
Q

What Form serves as a cover page for all administrative investigations?

A

The CHP 7, Internal Investigation, serves as the cover page for all administrative investigations

92
Q

What are the three levels of progressive discipline?

A
  1. Preventative
  2. Corrective
  3. Adverse Action

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