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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
Which personnel are covered by the Public Safety Officers Procedural Bill of Rights Act (POBR)?
All probationary and permanent departmental personnel who are peace officers.
26
What should be done upon notification of alleged misconduct by an employee?
Notification to the next level in the chain of command should be made promptly.
27
What is the purpose of an internal investigation?
To inquire into alleged misconduct by departmental employees.
28
How should interrogations be conducted during investigations?
In compliance with the POBR, collective bargaining agreements, and all relevant statutes.
29
What are the possible outcomes of an administrative investigation?
Adverse Action, Rejection During Probation, Miscellaneous Investigation, Non-Punitive Termination.
30
When does the Department investigate allegations of misconduct?
When there is a nexus between the act(s) and the individual’s employment with the Department.
31
How should an employee be informed before additional administrative interrogations?
Given a copy of previous recordings and related transcripts, provided official notice of interrogation.
32
What does the marital privilege exempt a married person from?
Testifying against a spouse in any proceeding.
33
What does Chapter 7 CHP 7 serve as the cover page for?
All administrative investigations including adverse actions, complaints, and terminations.
34
What information is documented in the CHP 7A form?
Basic information about involved parties like witnesses and investigators.
35
Can probationary periods be extended for completion of an investigation?
Probationary periods cannot be extended.
36
When should an adverse action's effective date be scheduled?
No less than 25 calendar days after the date of service of the notice.
37
What is the maximum number of days a suspension can last?
Suspension can be up to a maximum of 42 days.
38
When can suspensions in excess of 42 days be coordinated?
- Suspensions in excess of 42 days shall be coordinated by OIA and the Office of the Commissioner.
39
How should suspensions be scheduled?
Suspension days are to be scheduled consecutively, with no RDOs or holidays during the period.
40
How many working days are required in a monthly pay period for a qualifying pay period?
An employee must have 11 or more working days in a monthly pay period
41
For how many years should internal investigations documentation be retained?
Internal investigations documentation should be retained for 5 years.
42
What is the retention period for Corrective Documentation?
Corrective Documentation should be retained for 3 years.
43
What should be conducted prior to initiating an administrative investigation?
A criminal investigation.
44
Who conducts the criminal investigation in general?
The agency with primary investigative authority.
45
Under what circumstances can criminal investigations and administrative interrogations be joint?
If involving the same employee and act(s).
46
What should criminal investigators not do during administrative interrogations?
- Participate in them.
47
When can evidence be shared between criminal and administrative investigations?
If gathered from a source accessible to both investigators.
48
What guidelines apply if an employee is requested for a civil rights investigation interview?
Consent is at the sole discretion of the employee, with a supervisor present during work time interviews.
49
What does Penal Code 832.5 require the Department to do with all misconduct allegations?
Investigate them.
50
Under what circumstances should a formal investigation not be initiated for anonymous complaints from within the Department?
Without a basis for believing in the complaint's merit.
51
What is the one-year timeframe for taking adverse action based on an investigation's completion?
Adverse action shall not be taken if investigation not completed within one year.
52
During what scenarios can adverse action be taken after the one-year timeframe?
If the employee waives the timeframe, or extensions are necessary for various reasons.
53
When must an appeal be submitted to OIA?
Within 14 calendar days from the date the PDH officer's written decision was received.
54
What happens if an employee separates during an administrative investigation?
The file shall be converted to a miscellaneous investigation.
55
How long is the timeframe for completion due to military separation?
1 year.
56
What should be done if an employee resigns under duress?
It is improper for managers or supervisors to subject an employee to duress.
57
What happens if an employee is AWOL?
An investigation should be documented.
58
When should case management forms be destroyed?
Upon service of the Notice of Adverse Action or other closing documentation
59
When is absence for 5 consecutive working days considered an automatic resignation?
Absence for 5 consecutive working days is considered an automatic resignation.
60
What is Brady Material according to the course notes?
Brady Material consists of exculpatory or impeaching information material to guilt or punishment.
61
Define Dishonesty as stated in the course notes.
Dishonesty is knowingly providing false statements, intentional misrepresentation, or intentional omissions.
62
What is the purpose of a formal written reprimand?
A formal written reprimand is the lowest level of adverse action.
63
What is the Bazemore admonition and why is it included in MOD’s?
The Bazemore admonition warns of future adverse action for misconduct and is included in MOD’s.
64
What does an Administrative Time Off refer to?
Administrative Time Off is a leave of absence initiated by the Department.
65
Explain the importance of a Coleman Hearing.
A Coleman Hearing allows resigned employees (by being AWOL) to present information.
66
Define Closing Documentation in internal investigations.
Closing Documentation is the final provided to an employee after an internal investigation.
67
What is the purpose of an Administrative Interrogation?
An Administrative Interrogation is formal questioning during internal investigations.
68
What is the purpose of a Leave of Absence?
A Leave of Absence directs an employee to remain away from the work location.
69
What are examples of preventative actions for employee performance?
Ongoing training, clearly defined job duties, positive workplace communication, periodic assessment
70
What is the goal of corrective actions in employee performance?
Bring performance to an acceptable level, prevent continued misconduct or poor performance
71
What is the primary difference between formal and informal counseling?
Documentation; formal counseling results in documentation while informal does not
72
How should a formal counseling session be documented?
On the supervisor’s evaluation form and the counseled employee’s monthly evaluation form
73
What is the primary purpose of corrective documentation in the discipline process?
- Memorialize corrective actions in response to unacceptable actions or performance
74
What is included in corrective documentation like a Memorandum of Counseling (MOC)?
Written comments, directives, and expectations but does not contain the Bazemore Admonition
75
When should an adverse action be initiated, and what must be ensured before taking this step?
If the employee does not respond to prior actions; ensure sufficient cause for discipline
76
Who is entitled to records?
Those with a legitimate need to know.
77
When can an employee resign or retire?
Prior to the effective date of any punitive or non-punitive action.
78
What happens if an employee faces adverse action?
The file will be converted to a miscellaneous investigation.
79
What are the time limits for providing the PDH officer's written decision?
Within 14 calendar days for written response, 7 days for verbal response.
80
What type of employees can use leave credits for adverse actions?
BU5 employees and non-represented employees.
81
What is the deadline for appealing an Adverse Action?
No later than 30 calendar days after the effective date.
82
Who has the burden of proving charges during an appeal hearing?
The Department, by a preponderance of the evidence.
83
What is the time limit for filing an appeal for RDP?
No later than 15 calendar days after the effective date of the rejection.
84
What happens if an appellant employee fails to appear for a hearing?
Failure to appear results in the withdrawal of the appeal.
85
What is the time period within which an investigation may be reopened if significant new evidence is discovered?
Beyond the 1 year time period
86
When must notice of adverse action be served based on GC § 19635?
Within 3 years after the cause for discipline first arose
87
For adverse action based on fraud, when should notice be served?
Within 3 years after discovery of fraud
88
What is the requirement regarding investigative confidentiality?
Discuss only with those having an official right to know
89
Under what circumstances can peace officer powers be removed without a leave of absence?
When approved by the appropriate Assistant Commissioner
90
What is the requirement for discussing interviews or interrogations?
Do not discuss with anyone except chosen representatives or supervisors
91
Is giving notice to an employee of an internal investigation mandatory?
No, it is not required
92
What medical records consultation should comply with HIPAA?
Consult with OLA
93
Are employees obligated to disclose personal financial information for job assignments?
No, except under certain lawful conditions
94
Who must approve a polygraph or Voice Stress Analysis?
Office of the Commissioner
95
What is the minimum retention period for evidence related to an administrative investigation?
5 years
96
When can lockers be searched without a warrant?
In the involved employee's presence, with consent, after a valid search warrant, following notification
97
Are personal containers generally searchable without a warrant?
No, they may not be searched without a warrant
98
What rights does an employee have during a criminal interrogation?
They are not obligated to answer questions or provide information
99
What is an administrative interrogation considered as?
A compelled statement
100
Can an employee bring a personal audio recording device to an administrative interrogation?
Yes, the employee has the right to bring a personal audio recording device
101
What is the lowest penalty level in adverse action?
Formal Written Reprimand
102
What is a salary reduction used as a penalty for?
In lieu of a suspension when continued service is necessary
103
Define suspension in the context of penalties.
Temporary separation during which the employee does not work
104
What is an involuntary transfer considered as in an Adverse Action?
Penalty subject to review by the State Personnel Board
105
When are demotions imposed as penalties?
When continued service is of value but expected performance level is not met
106
What is the appropriate action for exceptionally serious misconduct?
Dismissal from State Service
107
What are the two accepted methods for conducting a criminal investigation?
Concurrent and Consecutive
108
Explain the Concurrent method of conducting criminal investigations.
Simultaneous with administrative investigation by separate investigators
109
Describe the Consecutive method of conducting criminal investigations.
Criminal investigation is completed before a decision is made

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