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My Test Study > 10.2 Internal Investigations > Flashcards

10.2 Internal Investigations Flashcards

1
Q

What is Administrative Time Off often referred to as?

A

ATO. A leave of absence initiated by the Department

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2
Q

Before placing an employee on a leave of absence, who must give approval?

A

The appropriate Assistant Commissioner

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3
Q

What is a Lybarger Admonishment given during administrative interrogations?

A

Informs subjects they do NOT have the right to refuse answering

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4
Q

What happens if subjects fail to answer administrative questions?

A

Failure to answer will be deemed as insubordination

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5
Q

Can statements made during an administrative interrogation be used in criminal proceedings?

A

No, they cannot be used

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6
Q

What is the purpose of a Memorandum of Counseling (MOC)?

A

To formally document supervisory counseling related to misconduct

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7
Q

Does a Memorandum of Counseling usually contain Bazemore?

A

At the discretion of the commander, it may not contain Bazemore

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8
Q

What is the purpose of a Memorandum of Direction (MOD)?

A

To document misconduct, behavior, or poor performance and provide specific direction

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9
Q

What must be included in all MODs that are remedial or counseling in nature?

A

The Bazemore Admonition

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10
Q

What is the purpose of a Memorandum of Expectations (MOE)?

A

To formally explain expectations for conduct or performance

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11
Q

In what situation would a Memorandum of Expectations not normally contain Bazemore?

A

It does not contain Bazemore by default

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12
Q

What is a Memorandum of Findings (MOF) used for?

A

To document the findings of a miscellaneous investigation or citizen’s complaint

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13
Q

When is Minor Discipline applicable?

A

For a penalty of a 1 to 5 working day(s) suspension for Bargaining Unit 5 members

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14
Q

What is the Notice of Adverse Action used for?

A

To notify employees of adverse actions taken for misconduct or poor performance

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15
Q

What is the Pre-disciplinary Hearing Process also known as?

A

Previously known as a “Skelly” hearing

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16
Q

What is a Stipulated Agreement between?

A

Between an employee, the Department, and possibly a collective bargaining unit

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17
Q

What is the goal of Progressive Discipline?

A

To modify employee behavior and bring performance to acceptable levels

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18
Q

What is expected of supervisors and managers in terms of employee communication?

A

To ensure employees are informed of expectations and provide positive reinforcement

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19
Q

What are some options for supervisors and managers to address substandard performance?

A

Options include verbal counseling, CHP 100/112 comment, Memorandum of Counseling, etc

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20
Q

What is the role of Preventative Actions for supervisors?

A

It is the supervisor’s responsibility to engage in preventive actions

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21
Q

What authority does GC Section 19173 provide in relation to probationary employees?

A

The authority to reject a probationary employee.

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22
Q

Who holds the authority to initiate adverse action or rejection during probation?

A

The appointing power (Commissioner).

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23
Q

What should employees do in response to lawful orders from superiors?

A

Employees must promptly obey any lawful orders or directives.

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24
Q

What should employees do if they believe an order is illegal?

A

Employees shall never obey illegal orders. They should seek clarification and guidance.

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25
Q

Which personnel are covered by the Public Safety Officers Procedural Bill of Rights Act (POBR)?

A

All probationary and permanent departmental personnel who are peace officers.

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26
Q

What should be done upon notification of alleged misconduct by an employee?

A

Notification to the next level in the chain of command should be made promptly.

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27
Q

What is the purpose of an internal investigation?

A

To inquire into alleged misconduct by departmental employees.

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28
Q

How should interrogations be conducted during investigations?

A

In compliance with the POBR, collective bargaining agreements, and all relevant statutes.

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29
Q

What are the possible outcomes of an administrative investigation?

A

Adverse Action, Rejection During Probation, Miscellaneous Investigation, Non-Punitive Termination.

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30
Q

When does the Department investigate allegations of misconduct?

A

When there is a nexus between the act(s) and the individual’s employment with the Department.

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31
Q

How should an employee be informed before additional administrative interrogations?

A

Given a copy of previous recordings and related transcripts, provided official notice of interrogation.

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32
Q

What does the marital privilege exempt a married person from?

A

Testifying against a spouse in any proceeding.

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33
Q

What does Chapter 7 CHP 7 serve as the cover page for?

A

All administrative investigations including adverse actions, complaints, and terminations.

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34
Q

What information is documented in the CHP 7A form?

A

Basic information about involved parties like witnesses and investigators.

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35
Q

Can probationary periods be extended for completion of an investigation?

A

Probationary periods cannot be extended.

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36
Q

When should an adverse action’s effective date be scheduled?

A

No less than 25 calendar days after the date of service of the notice.

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37
Q

What is the maximum number of days a suspension can last?

A

Suspension can be up to a maximum of 42 days.

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38
Q

When can suspensions in excess of 42 days be coordinated?

A
  • Suspensions in excess of 42 days shall be coordinated by OIA and the Office of the Commissioner.
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39
Q

How should suspensions be scheduled?

A

Suspension days are to be scheduled consecutively, with no RDOs or holidays during the period.

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40
Q

How many working days are required in a monthly pay period for a qualifying pay period?

A

An employee must have 11 or more working days in a monthly pay period

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41
Q

For how many years should internal investigations documentation be retained?

A

Internal investigations documentation should be retained for 5 years.

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42
Q

What is the retention period for Corrective Documentation?

A

Corrective Documentation should be retained for 3 years.

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43
Q

What should be conducted prior to initiating an administrative investigation?

A

A criminal investigation.

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44
Q

Who conducts the criminal investigation in general?

A

The agency with primary investigative authority.

45
Q

Under what circumstances can criminal investigations and administrative interrogations be joint?

A

If involving the same employee and act(s).

46
Q

What should criminal investigators not do during administrative interrogations?

A
  • Participate in them.
47
Q

When can evidence be shared between criminal and administrative investigations?

A

If gathered from a source accessible to both investigators.

48
Q

What guidelines apply if an employee is requested for a civil rights investigation interview?

A

Consent is at the sole discretion of the employee, with a supervisor present during work time interviews.

49
Q

What does Penal Code 832.5 require the Department to do with all misconduct allegations?

A

Investigate them.

50
Q

Under what circumstances should a formal investigation not be initiated for anonymous complaints from within the Department?

A

Without a basis for believing in the complaint’s merit.

51
Q

What is the one-year timeframe for taking adverse action based on an investigation’s completion?

A

Adverse action shall not be taken if investigation not completed within one year.

52
Q

During what scenarios can adverse action be taken after the one-year timeframe?

A

If the employee waives the timeframe, or extensions are necessary for various reasons.

53
Q

When must an appeal be submitted to OIA?

A

Within 14 calendar days from the date the PDH officer’s written decision was received.

54
Q

What happens if an employee separates during an administrative investigation?

A

The file shall be converted to a miscellaneous investigation.

55
Q

How long is the timeframe for completion due to military separation?

A

1 year.

56
Q

What should be done if an employee resigns under duress?

A

It is improper for managers or supervisors to subject an employee to duress.

57
Q

What happens if an employee is AWOL?

A

An investigation should be documented.

58
Q

When should case management forms be destroyed?

A

Upon service of the Notice of Adverse Action or other closing documentation

59
Q

When is absence for 5 consecutive working days considered an automatic resignation?

A

Absence for 5 consecutive working days is considered an automatic resignation.

60
Q

What is Brady Material according to the course notes?

A

Brady Material consists of exculpatory or impeaching information material to guilt or punishment.

61
Q

Define Dishonesty as stated in the course notes.

A

Dishonesty is knowingly providing false statements, intentional misrepresentation, or intentional omissions.

62
Q

What is the purpose of a formal written reprimand?

A

A formal written reprimand is the lowest level of adverse action.

63
Q

What is the Bazemore admonition and why is it included in MOD’s?

A

The Bazemore admonition warns of future adverse action for misconduct and is included in MOD’s.

64
Q

What does an Administrative Time Off refer to?

A

Administrative Time Off is a leave of absence initiated by the Department.

65
Q

Explain the importance of a Coleman Hearing.

A

A Coleman Hearing allows resigned employees (by being AWOL) to present information.

66
Q

Define Closing Documentation in internal investigations.

A

Closing Documentation is the final provided to an employee after an internal investigation.

67
Q

What is the purpose of an Administrative Interrogation?

A

An Administrative Interrogation is formal questioning during internal investigations.

68
Q

What is the purpose of a Leave of Absence?

A

A Leave of Absence directs an employee to remain away from the work location.

69
Q

What are examples of preventative actions for employee performance?

A

Ongoing training, clearly defined job duties, positive workplace communication, periodic assessment

70
Q

What is the goal of corrective actions in employee performance?

A

Bring performance to an acceptable level, prevent continued misconduct or poor performance

71
Q

What is the primary difference between formal and informal counseling?

A

Documentation; formal counseling results in documentation while informal does not

72
Q

How should a formal counseling session be documented?

A

On the supervisor’s evaluation form and the counseled employee’s monthly evaluation form

73
Q

What is the primary purpose of corrective documentation in the discipline process?

A
  • Memorialize corrective actions in response to unacceptable actions or performance
74
Q

What is included in corrective documentation like a Memorandum of Counseling (MOC)?

A

Written comments, directives, and expectations but does not contain the Bazemore Admonition

75
Q

When should an adverse action be initiated, and what must be ensured before taking this step?

A

If the employee does not respond to prior actions; ensure sufficient cause for discipline

76
Q

Who is entitled to records?

A

Those with a legitimate need to know.

77
Q

When can an employee resign or retire?

A

Prior to the effective date of any punitive or non-punitive action.

78
Q

What happens if an employee faces adverse action?

A

The file will be converted to a miscellaneous investigation.

79
Q

What are the time limits for providing the PDH officer’s written decision?

A

Within 14 calendar days for written response, 7 days for verbal response.

80
Q

What type of employees can use leave credits for adverse actions?

A

BU5 employees and non-represented employees.

81
Q

What is the deadline for appealing an Adverse Action?

A

No later than 30 calendar days after the effective date.

82
Q

Who has the burden of proving charges during an appeal hearing?

A

The Department, by a preponderance of the evidence.

83
Q

What is the time limit for filing an appeal for RDP?

A

No later than 15 calendar days after the effective date of the rejection.

84
Q

What happens if an appellant employee fails to appear for a hearing?

A

Failure to appear results in the withdrawal of the appeal.

85
Q

What is the time period within which an investigation may be reopened if significant new evidence is discovered?

A

Beyond the 1 year time period

86
Q

When must notice of adverse action be served based on GC § 19635?

A

Within 3 years after the cause for discipline first arose

87
Q

For adverse action based on fraud, when should notice be served?

A

Within 3 years after discovery of fraud

88
Q

What is the requirement regarding investigative confidentiality?

A

Discuss only with those having an official right to know

89
Q

Under what circumstances can peace officer powers be removed without a leave of absence?

A

When approved by the appropriate Assistant Commissioner

90
Q

What is the requirement for discussing interviews or interrogations?

A

Do not discuss with anyone except chosen representatives or supervisors

91
Q

Is giving notice to an employee of an internal investigation mandatory?

A

No, it is not required

92
Q

What medical records consultation should comply with HIPAA?

A

Consult with OLA

93
Q

Are employees obligated to disclose personal financial information for job assignments?

A

No, except under certain lawful conditions

94
Q

Who must approve a polygraph or Voice Stress Analysis?

A

Office of the Commissioner

95
Q

What is the minimum retention period for evidence related to an administrative investigation?

A

5 years

96
Q

When can lockers be searched without a warrant?

A

In the involved employee’s presence, with consent, after a valid search warrant, following notification

97
Q

Are personal containers generally searchable without a warrant?

A

No, they may not be searched without a warrant

98
Q

What rights does an employee have during a criminal interrogation?

A

They are not obligated to answer questions or provide information

99
Q

What is an administrative interrogation considered as?

A

A compelled statement

100
Q

Can an employee bring a personal audio recording device to an administrative interrogation?

A

Yes, the employee has the right to bring a personal audio recording device

101
Q

What is the lowest penalty level in adverse action?

A

Formal Written Reprimand

102
Q

What is a salary reduction used as a penalty for?

A

In lieu of a suspension when continued service is necessary

103
Q

Define suspension in the context of penalties.

A

Temporary separation during which the employee does not work

104
Q

What is an involuntary transfer considered as in an Adverse Action?

A

Penalty subject to review by the State Personnel Board

105
Q

When are demotions imposed as penalties?

A

When continued service is of value but expected performance level is not met

106
Q

What is the appropriate action for exceptionally serious misconduct?

A

Dismissal from State Service

107
Q

What are the two accepted methods for conducting a criminal investigation?

A

Concurrent and Consecutive

108
Q

Explain the Concurrent method of conducting criminal investigations.

A

Simultaneous with administrative investigation by separate investigators

109
Q

Describe the Consecutive method of conducting criminal investigations.

A

Criminal investigation is completed before a decision is made

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