10.2, Internal Investigations Flashcards
What command at CHP Headquarters is the Department’s primary resource for guidance and assistance with the internal investigation process?
The Office of Internal Affairs
HPM 10.2, Chapter 1
When a departmental supervisor or manager is notified of or discovers alleged misconduct on the part of an employee, notification shall be made ____________. If the alleged misconduct is egregious, the supervisor or manager shall notify the succeeding level in the chain of command _____________.
as soon as practical; immediately
HPM 10.2, Chapter 1
Managers and supervisors shall ensure all internal investigations are conducted in compliance with __________ and protect the rights of employees.
POBR
HPM 10.2, Chapter 1
Employees must promptly obey any ______________ or directives from a supervisor, manager, or officer-in-charge.
lawful orders
HPM 10.2, Chapter 1
Government Code Section 19173 provides the authority to reject a probationary employee for reasons relating to ____________.
1) the probationer’s qualifications
2) the good of the service
3) failure to demonstrate merit, efficiency, fitness, and moral responsibility
(HPM 10.2, Chapter 1)
The terms and conditions for represented employees are found in _________________.
Collective Bargaining Agreements
HPM 10.2, Chapter 1
A ________________ is a formal investigation into alleged violations of policy or procedures, or poor performance, resulting in either exoneration or administrative sanctions.
Internal investigation
HPM 10.2, Chapter 2
What are the four possible outcomes from an administrative investigation?
1) Adverse action
2) Rejection during probation
3) Miscellaneous investigation
4) Non-punitive termination
(HPM 10.2, Chapter 2)
The ____________ admonition notifies employees that misconduct they are being counseled for may be charged in future adverse actions.
Bazemore
HPM 10.2, Chapter 2
The ____________ admonition advises the subject of an interrogation that he or she does not have the right to refuse to answer questions.
Lybarger
HPM 10.2, Chapter 2
A memorandum issued to an employee to formally document supervisory counseling pertaining to misconduct, behavior, or poor performance is known as a ____________.
Memorandum of Counseling
HPM 10.2, Chapter 2
A memorandum issued to an employee to document the findings of a miscellaneous investigation or civilian complaint is known as a _____________.
Memorandum of Finding
HPM 10.2, Chapter 2
The _________________ established due process rights and protections for peace officers within California.
Public Safety Officers Procedural Bill of Rights Act
HPM 10.2, Chapter 2
An action resulting in involuntary separation from state service, although not as a disciplinary measure, is known as _________________.
Non-Punitive Termination
HPM 10.2, Chapter 2
The goal of _______________ is to provide the employee with tools and assistance to bring his or her performance up to an acceptable level.
Interim Reporting
HPM 10.2, Chapter 3
Proactive steps that reduce or eliminate the need for corrective or adverse action are known as _____________.
Preventive actions
HPM 10.2, Chapter 3
True or False: before a supervisor initiates corrective action, he or she must have the commander’s approval.
True
HPM 10.2, Chapter 3
True or False: a Memorandum of Counseling normally contains the Bazemore Admonition.
False
HPM 10.2, Chapter 3
True or False: a Memorandum of Direction shall contain the Bazemore Admonition.
True
HPM 10.2, Chapter 3
What are the six possible penalties for adverse action?
1) Dismissal
2) Suspension
3) Demotion
4) Involuntary transfer
5) Reduction in pay
6) Formal Written Reprimand
(HPM 10.2, Chapter 3)
What is the primary difference between formal and informal counseling?
Documentation (informal counseling is not documented)
HPM 10.2, Chapter 3
What are the four types of corrective documentation?
1) Monthly evaluation comment
2) Memorandum of Counseling
3) Memorandum of Direction
4) Censurable CHP 2
(HPM 10.2, Chapter 3)
A censurable CHP 2 will be retained in the personnel file for ______ years.
Three
HPM 10.2, Chapter 3
When the administrative and criminal investigations are conducted at the same time, they are known as _____________ investigations.
Concurrent
HPM 10.2, Chapter 4
When the administrative and criminal investigations are conducted one after the other, they are known as _____________ investigations.
Consecutive
HPM 10.2, Chapter 4
When an allegation(s) give rise to both administrative and criminal investigations, the ____________ investigation takes precedence.
Criminal
HPM 10.2, Chapter 4
When a manager or supervisor becomes aware that an employee does not meet the minimum qualifications for his or her position, the manager or supervisor shall notify _____________.
The Area commander
HPM 10.2, Chapter 4
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 _________ of the Department’s discovery of the allegation by a person authorized to initiate an internal investigation.
1 year
HPM 10.2, Chapter 4
If an allied agency with primary investigative authority relinquishes or declines to conduct a criminal investigation, ____________ shall initiate the criminal investigation.
The involved employee’s commander
HPM 10.2, Chapter 4
Civil rights violations are identified in federal statutes and are _____________ in nature.
criminal
HPM 10.2, Chapter 4
True or False: during the early stages of an internal investigation, commanders may wish to notify an employee who is the subject of the investigation.
True
HPM 10.2, Chapter 4
At the beginning of an internal investigation, a preliminary meeting shall be held with the commander to outline the proposed scope of the investigation and formulate a/an _______________.
Investigative plan
HPM 10.2, Chapter 5
The ________________ is a detailed accounting of all actions taken and evidence obtained from the time the Area became aware of the misconduct until the investigation was completed.
Chronological summary
HPM 10.2, Chapter 5
California Penal Code Section _______ makes it a misdemeanor offense for any person to knowingly alter, tamper with, conceal, or destroy relevant evidence in any disciplinary proceeding against a public safety officer for the purpose of harming that public safety officer.
PC Section 135.5
HPM 10.2, Chapter 5
In order to ensure an investigation is conducted in accordance with policy and law, investigators should review what three things prior to beginning an investigation?
1) POBR
2) The OIA Intranet Web site
3) The contents of HPM 10.2
(HPM 10.2, Chapter 5)
True or False: if an employee separates from the Department during an investigation, the investigation shall be stopped and closed out as an incomplete investigation due to separation.
False (the investigation shall be completed in its entirety)
HPM 10.2, Chapter 5
If, at the conclusion of an internal investigation, the actions of the employee(s) do not merit adverse action or rejection during probation, the investigative file shall be prepared as a/an __________________.
Miscellaneous investigation
HPM 10.2, Chapter 5
After the initial meeting between the commander and the assigned investigator, what six considerations should be made when formulating an investigative plan.
1) Allegations/scope
2) Background
3) Resources needed
4) Evidence
5) Interviews/interrogations
6) Administrative matters
(HPM 10.2, Chapter 5)
___________ consists of testimony, writings, material objects, or anything presented to the senses and offered to prove or disprove a fact.
Evidence
HPM 10.2, Chapter 5
Copies of relevant documents gathered during an internal investigation _____________ (should/shall) be included in the investigative file.
Shall
HPM 10.2, Chapter 5
Should a CHP 268, Potential Civil Liability Report be included as an exhibit in an investigative file?
No (it is an attorney/client privileged document)
HPM 10.2, Chapter 5
In an effort to collect facts and evidence, an investigator will review _____________ for evidence of prior misconduct or performance problems.
The employee’s official personnel folder
HPM 10.2, Chapter 5
Reviewing the employee’s official personnel folder will assist with the preparation of the ________ form when documenting the investigation.
CHP 7B, Employee Profile
HPM 10.2, Chapter 5
In cases where there is a large pool of potentially unidentified witnesses, the ____________ can be sent to individuals contacted by the involved employee.
Citizens’ Response Questionnaire
HPM 10.2, Chapter 5
Photocopies of photographs or Polaroid photos shall not be used in administrative investigations unless such material is ____________.
The best available evidence.
HPM 10.2, Chapter 5
If unrelated conduct is discovered during the review of MVARS video, conduct not rising to the level of adverse action should be viewed as ____________.
A training opportunity
HPM 10.2, Chapter 5
True or False: unrelated improper conduct discovered during the review of MVARS video shall not result in discipline, and shall only be handled informally through counseling.
False (serious misconduct may result in disciplinary action)
HPM 10.2, Chapter 5
True or False: when obtaining medical records, it is permissible to include the entire record as an investigation exhibit.
False (only pertinent portions of medical records may be included)
(HPM 10.2, Chapter 5)
Requests for medical records for an internal investigation must comply with _____________.
HIPAA (Health Insurance Portability and Accountability Act)
HPM 10.2, Chapter 5
Is a medical release required to obtain medical records contained within an employee’s personnel file or related to a work-related injury/illness?
No
HPM 10.2, Chapter 5
When a request is made for an employee’s financial records related to an internal investigation, the employee will be directed to remove all references to _________.
Monetary amounts billed, charged, or paid.
HPM 10.2, Chapter 5
True or False: Labor Code Section 432.7 allows investigators to request copies of records pertaining to the arrest or detention of peace officer employees prior to conviction.
True
HPM 10.2, Chapter 5