10.2 Internal Investigations Flashcards
Investigations of allegations ___ be done thoroughly, objectively, and in a timely manner.
Shall
Investigations ___ be conducted in a manner which will ensure all applicable protections are afforded.
Shall
All employees ____ be treated professionally, with dignity and respect
A. Should
B. Will
C. Shall
D. Must
B. Will
All instances of alleged misconduct by departmental employees ___ be investigated and, when appropriate, adverse action or rejection during probation initiated.
Shall
Government Code § ___ 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.
19173 GC
Collective bargaining agreements (CBAs) contain the terms and conditions of employment for represented employees. If an employee is subject to the terms of a CBA, it ___ always be reviewed.
Shall
True or False
If the CBA has different processes than policy, the process identified in the policy is controlling.
False
CBA is controlling
Except where otherwise indicated, the authority to take adverse action or initiate a rejection during probation is vested with the appointing power, the ___.
Commissioner
True or False
Employees must promptly obey any lawful orders or directives from a supervisor, manager, or officer in charge. This includes orders or directives from a superior which are conveyed by an employee of the same or lesser rank.
True
If an employee receives a conflicting order or directive, the employee must respectfully call the conflict to the attention of the supervisor giving the last order. If the person giving the last order does not change or rescind it, the employee ___ obey it, and ___ responsible for disobeying the first order.
Must, is not
Employees ___ never obey orders they know or reasonably should have known would require them to commit reasonably-apparent illegal acts.
Shall
The Public Safety Officers Procedural Bill of Rights Act (POBR) is specified in California ___.
GC § 3300 et seq
By ___, POBR applies to all probationary and permanent departmental personnel who are peace officers. By ___, the Department has extended POBR rights to all other employees with the exception of cadets.
Law, policy
Commanders ___ require all involved supervisory and managerial staff to review Chapter 11, Public Safety Officers Procedural Bill of Rights Act (POBR), prior to the initiation of an internal investigation.
Should
If an internal investigation appears appropriate, the commander ___ discuss the allegations with the assistant chief in the commander’s immediate chain of command. With Division concurrence, an internal investigation ___ be initiated.
Shall, Shall
Upon initiation of an internal investigation, Division shall notify the appropriate Assistant Commissioner. The ___ shall also be notified for tracking purposes.
Office of Internal Affairs
The OIA, which reports directly to the Office of the Assistant Commissioner, ___, is the Department’s primary resource for guidance and assistance with the internal investigation process.
Staff
True or False
An internal investigation is an official inquiry, utilizing departmental investigative resources, into alleged misconduct by departmental employees. Internal investigations may lead to administrative action.
True
True or False
An Administrative Investigation is an informal investigation into alleged violations of policies or procedures, or poor performance, resulting in either exoneration or administrative sanctions, or other civil misconduct contemplated by Government code section 19572.
False
It is Formal
Once initiated, an administrative investigation has four possible outcomes:
AARP MINT
Adverse Action
Rejection During Probation
Miscellaneous investigation
Non-Punitive Termination
Adverse action penalties consist of:
Formal Written Reprimand Suspension Reduction in Salary Demotion Involuntary Transfer Dismissal
The Department ____ reject any employee during the probationary period for reasons relating to the probationer’s qualifications, for the good of the service, or for failure to demonstrate merit, efficiency, fitness, and moral responsibility.
May
___ is an administrative investigation in which the employee is exonerated, separates from state service, transfers to a new agency, or the conduct does not warrant adverse action or rejection during probation.
Miscellaneous Investigation
___ is action resulting in involuntary separation from state service, although not as a disciplinary measure. Examples include termination resulting from absence without leave, failure to meet minimum qualifications, and medical disqualification.
Non-punitive Termination
The Department _____ only investigate allegations of misconduct when there is a nexus (or connection), between the act(s) and the individual’s employment with the Department. Such a nexus is necessary to establish a basis for disciplinary or corrective action.
Shall
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.
Coleman
An admonishment given in administrative interrogations which advises the subjects of the interrogations 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 a subsequent criminal proceeding.
Lybarger
True or False
Preponderance of evidence is a significantly lesser threshold than “beyond a reasonable doubt.” Preponderance of evidence is often referred to as “the standard of 51 percent.”
True
Progressive discipline is intended to modify an employee’s behavior, and should ____ and ____ the employee to act and perform in accordance with established standards of conduct.
instruct and train
True or False
Progressive discipline provides the employee with the tools and awareness to bring performance to an acceptable level.
True
True or False
Interim reporting is a disciplinary option.
False
True or False
Preventative actions are reactive steps that reduce or eliminate the need for corrective or adverse action. It is the supervisor’s responsibility to engage and lead the employee in the right direction, as opposed to merely documenting the actions of the employee.
False
True or False
Adequate ongoing training for all classifications is a preventative action. Supervisors and managers must ensure that employees attend required training and address training issues in a timely manner when appropriate (e.g., officer safety, policy changes).
True
True or False
Providing clearly defined job duties, conduct, expectations, and objectives is a preventative action.
True
True or False
Providing periodic and routine assessment and feedback of job performance to some employees and providing employees with critical, constructive, and comprehensive feedback regarding job performance and conduct on an ongoing basis before a problem develops is a preventative action.
False
All employees
The goal of written or verbal corrective actions is to bring the employee’s performance to an _______ level and to prevent continued misconduct or poor performance.
Acceptable
True or False
Types of counseling are Informal and Formal. The primary difference between the two is documentation.
True
The following are considered corrective documentation, except:
a. Monthly evaluation (CHP 100)
b. Memorandum of Counseling
c. Memorandum of Direction
d. Memorandum of Expectation
e. Censurable CHP 2
Memorandum of Expectation
True or False
A memorandum of counseling will not normally contain a Bazemore Admonition.
True
True or False
A memorandum of direction may contain a Bazemore Admonition.
False
Shall
True or False
A censurable CHP 2 shall not contain a Bazemore Admonition
True
True or False
A formal request for adverse action should be initiated if the employee does not respond to preventive and/or corrective actions, or the acts of misconduct are severe.
True
What is the amount of salary reduction in response to adverse action:
A salary reduction may be one (1) or more salary steps down to the minimum salary of the employee’s class.
True or False
A salary reduction is normally imposed in lieu of a suspension when an employee’s continued service is necessary.
True
A salary reduction penalty is not available for an employee working at bottom step
True
True or False
Suspension shall be specified in calendar days and may consist of a penalty ranging from one (1) work day to several pay periods.
True
True or False
Any holiday falling within the suspension is counted as a working day.
False
True or False
An involuntary transfer is a transfer from one Area office to another Area office, or a transfer out of a specialized position. An involuntary transfer included as a penalty in an Adverse Action is subject to review by the State Personnel Board.
True
True or False
A demotion may be permanent or temporary. If temporary, the employee automatically returns to the higher class on the date specified, and at the salary step determined by the hiring authority. If permanent, the employee can compete for a promotion at a later date.
True
True or False
Dismissal may or may not be preceded by other forms of adverse action (i.e., progressive discipline). Dismissed employees shall not thereafter be permitted to take any state civil service examination, or be certified from an eligible list to any position in the state service, without the prior consent of the State Personnel Board Executive Officer (Title 2, CCR, Section 211).
True
Regarding an internal investigation, the assigned primary investigator shall be at least ___ rank(s) higher than the highest ranking involved employee, unless otherwise approved by the Division commander or appropriate Assistant Commissioner.
One
The ___ is responsible for the quality and timeliness of the internal investigation.
Commander
Area and Division commanders shall ensure the investigation is forwarded to OIA within ___ calendar days from the date the Area becomes aware of the misconduct.
60
In complex cases where the investigations will exceed ___-days, the Division commander should contact the appropriate Assistant Commissioner to request an extension.
60
Whenever any employee of this Department, including the employee subject to investigation, learns that another law enforcement agency is conducting an inquiry into allegations of ___ misconduct involving a member of the Department, the employee shall immediately notify a supervisor or manager.
Criminal
Employees ___ be informed of the availability of resources, such as Employee Assistance Program (EAP), at appropriate times during the investigation.
Shall
When potential criminal misconduct is identified, the commander ___ ensure the appropriate Division commander and OIA are notified.
Shall
There are two accepted methods for conducting a criminal investigation without negatively influencing the corresponding administrative investigation:
Concurrent and consecutive
Which investigation should be conducted first?
Criminal
True or False
To maintain the separation between investigations, criminal investigators shall not participate in administrative interrogations (although it may be permissible to assist in planning the interrogation).
True
True or False
Commonly, the administrative investigator will have access to all information gathered in the criminal investigation, but can preclude the criminal investigator from having access to material from the administrative investigation.
True
True or False
If an employee of this Department is requested to be interviewed by investigators pursuant to a civil rights investigation, the decision to consent to an interview with an outside investigator regarding a civil rights investigation shall be at the sole discretion of the departmental employee (either as a witness to, or the subject of, an investigation).
True
True or False
If an employee of this Department is requested to be interviewed by investigators pursuant to a civil rights investigation, if such an interview is conducted on state time, a departmental supervisor may not be present.
False
Departmental supervisor SHALL be present.
True or False
The Department should investigate all allegations of misconduct filed as a citizens’ complaint as provided in Section 832.5 of the California Penal Code.
False
Is required to
All internal investigations which involve a cadet as the subject, regardless of a temporary assignment, will be the responsibility of the ___.
Academy Commander
Employees assigned to special programs that remove them from direct departmental supervision (e.g., drug/vehicle theft task forces) will be the responsibility of the employee’s:
Departmental commander
True or False
Internal investigations which originate while an employee is working a temporary assignment within the Department, such as a protective services detail, motor carrier inspection program, watch officer, etc., remain the responsibility of the employee’s permanent commander.
True;
however, Division commanders may direct such investigations be conducted by the temporary assignment commander or supervisor.
True or False
When an investigation involves multiple employees assigned to different commands, a single Division, Area, section, or unit shall be appointed as the primary investigative command. As with all multiple employee investigations, each employee shall have a separate internal investigation file prepared with its own investigation control number.
True
Pursuant to Government Code (GC) § 3304, 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 (typically a supervisor or above).
12 months
Per GC § 19635, “No adverse action shall be valid against any state employee for any cause for discipline based on any civil service law of this state, unless notice of the adverse action is served within ___ after the cause for discipline, upon which the notice is based, first arose. Adverse action based on fraud, embezzlement, or the falsification of records shall be valid, if notice of the adverse action is served within ______ after the discovery of the fraud, embezzlement, or falsification.”
Three Years, Three Years
True or False
The employee under investigation shall not be subjected to visits by the press or news media without the employee’s express consent, nor shall the employee’s home address or photograph be given to the press or news media without the employee’s consent (GC § 3303[e]) or commander’s approval/
True
True or False
The Department shall not release residence information or photographs to the media, even if the employee is criminally prosecuted.
True
True or False
Approval through channels from the appropriate Assistant Commissioner shall be obtained before a commander may remove peace officer powers.
True
True or False
All peace officer employees having those powers removed shall surrender all Department-issued badges and officer safety equipment (incidental items, such as rain gear, are included).
False
incidental items, such as rain gear, are NOT included
True or False
Commanders may, during the early stages of an investigation, wish to notify an employee who is the subject of an administrative investigation.
True
True or False
Policy regarding lost or damaged state equipment is contained in HPM 11.2, Materials Management Manual, Chapter 16, Lost, Stolen, Damaged, or Destroyed State-Owned Equipment.
True
True or False
Policy regarding lost or damaged computer equipment is contained in HPM 40.4, Information Security and Administration Manual, Chapter 2, General.
False
True or False
Certain collective bargaining agreements (CBAs) contain a clause which permits the Department the option of allowing employees to reimburse the Department for the cost of the lost or damaged equipment in lieu of an adverse action or other corrective action (e.g., censurable CHP 2 or Memorandum of Direction/Findings).
True
In order to improve quality and shorten completion times of in-depth administrative investigations, each Division may form and utilize a Division-specific ___.
Investigative Cadre
The investigator shall meet with the commander (or designee) and establish an investigative plan. Once a plan has been agreed upon, the primary investigator should ensure the following steps are taken, except:
a. Begin chronological summary
b. Conduct POBR review
c. Notify employee of pending investigation
d. Determine need for outside resources
c. Notify employee of pending investigation
If applicable, the investigator ___ visit the scene of the incident at the same or approximate time of day of the occurrence.
Should
True or False
Evidence consists of testimony, writings, material objects, or anything presented to the senses and offered to prove or disprove a fact. Items shall be evaluated, collected, preserved, and entered into evidence in accordance with Highway Patrol Manual (HPM) 10.2, Internal Investigations Manual.
False
HPM 70.1
At the beginning of an investigation, review the employee’s official personnel file for evidence of prior misconduct or performance problems. Additionally, items which are positive and may be mitigating in nature should be reviewed. This review will also assist with the preparation of the CHP 7B, Employee Profile, form when documenting the investigation. Employee history review ___ be recorded in the chronological summary.
Shall
True or False
In cases where there is a large pool of potentially unidentified witnesses, the Citizens’ Response Questionnaire can be sent to individuals contacted by the involved employee. The questionnaires offer the citizen the opportunity to discuss and rate contacts with the involved employee.
True
Labor Code § 432.7 allows investigators to request copies of records pertaining to the arrest or detention of peace officer employees prior to conviction.
True
True or False
Labor Code § 432.7 prohibits investigators from seeking or requesting copies of records pertaining to the arrest or detention of non-uniformed employees prior to conviction, or any record regarding a referral to, and participation in, any pretrial or post-trial diversion program.
True
If the commander feels a polygraph or VSA examination is necessary, the commander ___ request approval through channels from the Office of the Commissioner and coordinate through the OIA.
Shall
Employees _____ not be compelled to submit to a polygraph or voice stress analysis
Should/Shall
Shall
True or False
No disciplinary action, recrimination, adverse comment, or other record (including investigator notes) may be created as a result of an employee’s refusal to submit to a polygraph or VSA examination. Nor shall any testimony or evidence be admissible at a subsequent hearing, trial, or proceeding, judicial or administrative, to the effect that the employee declined to submit to a polygraph or VSA examination.
True
Evidence pertaining to an administrative investigation shall be stored for a minimum of ___ year(s) (beginning with the date the investigation is initiated or the life of the investigative file, whichever is longer.)
Five
An employee shall not have an assigned locker, or other place for storage, which are owned or leased by the Department, searched unless the search is conducted under any one of the following conditions (except):
a. In the involved employee’s presence.
b. With the involved employee’s consent.
c. After a valid search warrant has been obtained. If requesting a search warrant, the appropriate prosecuting authority should be consulted after notifying the Area Commander.
d. When the involved employee has been notified that a search will be conducted. The employee should be provided a reasonable opportunity to respond to the Department’s search location and observe the search.
c. After a valid search warrant has been obtained. If requesting a search warrant, the appropriate prosecuting authority should be consulted after notifying the Area Commander.
Should be Assistant Commissioner
True or False
Care shall be given when searching briefcases, purses, etc., contained in lockers or desks, where the employee has a reasonable expectation of privacy for that particular container and/or the investigation does not involve work-related misconduct. In most instances, personal containers may not be searched without a warrant or consent.
True
True or False
An employee’s desk cannot normally be entered by a supervisor when looking for work product. However, when the command has allowed a reasonable expectation of privacy, such as issuance of a key to the desk, the provisions of Government Code § 3309 apply.
False
CAN normally be entered
True or False
An administrative subpoena duces tecum is a legal document utilized by state departments to compel the production of papers, books, accounts, documents, any writing as defined by Evidence Code § 250, tangible things, and testimony pertinent or material to any inquiry, investigation, hearing, proceeding, or action conducted in any part of the state.
True
True or False
Testimonial evidence is rarely the most valuable information obtained in an investigation.
False
Often the most valuable
True or False
Administrative interrogations involve compelled statements. Since the employee is ordered to answer questions, statements obtained during administrative interrogations shall not be used to support a criminal investigation.
True
True or False
Two graveyard partner officers are investigated for allegations of excessive force during an enforcement stop. One of the officers is also being investigated for improper sexual relationships during duty hours the prior month while on day shift. Any information regarding the sexual misconduct allegation would not be appropriate for release to the partner officer, even though it is part of the same overall investigation. It should, therefore, be addressed in a separate interview and/or interrogation.
True
All statements from departmental employees who are interviewed as witnesses during internal investigations ___ be recorded. Prior approval to record a statement need not be obtained.
Shall
True or False
Statements obtained from non-departmental witnesses are to be recorded, unless the witness objects to the recording. In such instances, a memorandum shall be prepared by the investigator summarizing the statements.
True
True or False
Both federal and state law prohibit law enforcement personnel to record/monitor/eavesdrop on contacts with individuals without their knowledge. In the interest of public confidence, the surreptitious recording/monitoring/eavesdropping of witnesses should be limited to those situations which indicate it is warranted.
False
Both federal and state law PROVIDE not prohibit
True or False
Unless previously approved by the Office of the Commissioner, video recordings shall not be made of administrative interrogations.
True
True or False
Due to their versatility, it is recommended that digital audio recorders be used during interviews and interrogations. If a digital device is used to record an interrogation and/or interview, a copy of all recordings made shall be transferred to a compact disc and a copy of the disc shall be included with each copy of the investigative file (as an exhibit).
True
True or False
Transcriptions are verbatim written records of an interview or interrogation, completed by departmental personnel or through professional transcription services. Since there is no interpretation or filtering (as in a summary), transcripts offer the best record of an interview or interrogation.
True
For all ___ cases, the employee’s interrogation shall be transcribed in its entirety. The assigned investigator(s) shall be responsible for ensuring the accuracy of such transcriptions.
Dismissal
True or False
Prior to conducting an interview with an employee regarding potential criminal acts, investigators shall issue a Miranda Warning (Miranda v. Arizona [1966] 384 U.S. 436) to protect the employee’s rights (refer to Chapter 2, Terms and Definitions).
True
True or False
Members of the Department not accused of misconduct are obligated to cooperate with investigators and have an affirmative duty to answer questions during internal investigations.
True
True or False
Departmental employees who are witnesses have a right to know the nature of the investigation.
False
Do not have a right to know
True or False
Witness employees are not normally allowed representation during an investigative interview. Employees expressing concern should be advised that they are not suspected of misconduct and, if such issues arise, the interview will be stopped.
True
If an employee refuses to be interviewed, whether due to a perception of culpability or for any other reason, the investigator ___ consult with the chain of command for guidance before ordering the employee to comply.
Should
True or False
If, at any time during the interview, the investigator believes the employee is either admitting to actionable misconduct or is engaging in misconduct through failure to cooperate, the interview shall be immediately stopped to protect the employee’s rights. An administrative interrogation may then be required.
True
Interviews can be accomplished by a single investigator or by an investigative team, limited to a maximum of ___ investigators.
Two
True or False
Criminal interrogations are not compelled statements; therefore, the person questioned may choose which questions to answer.
True
True or False
Notification is required prior to a criminal interrogation
False
True or False
An employee may be represented by anyone of the employee’s choosing during a criminal interrogation. If another departmental employee is used in this capacity, the employee acting as a representative shall not be a person subject to the same investigation, which could include victims, witnesses, or supervisors/managers within their immediate chain of command.
True
True or False
Employees are not required to be present for a criminal interrogation. By law, the employee is not obligated to answer questions or provide any information. The employee shall not be subjected to any departmental sanction for exercising these rights.
False
Employees ARE required to be present
True or False
While criminal investigators may not participate in an administrative interrogation, an administrative investigator should observe the criminal interrogation. 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.
True
True or False
To maintain the separation between investigations, criminal investigators shall not participate in administrative interrogations.
True
Although it is not prohibited, subjecting an employee to multiple administrative interrogations regarding the same matter ___ be avoided.
Should
The CHP Form 8 is:
The Administrative Interrogation Record
True or False
All applicable portions of the CHP 8 should be completed prior to the interrogation. The nature of the investigation on the CHP 8 should be the same as the Notice of Administrative Interrogation unless further clarification was needed prior to beginning the interrogation.
True
If, prior to or during the interrogation, information is presented which suggests the employee subject to interrogation may be charged with a criminal offense, the employee shall be immediately informed of ___.
Miranda Rights
True or False
Lybarger is an admonishment given in administrative interrogations which advises the subjects of the interrogations that they do not have the right to refuse to answer administrative questions (Lybarger v. City of Los Angeles (1985) 40 Cal.3d 822). 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 a subsequent criminal proceeding.
True
The interrogation shall be conducted at a reasonable hour, preferably when the employee is on duty, or during the employee’s normal waking hours, unless the seriousness of the investigation requires otherwise. If conducted outside of the employee’s scheduled hours of work, the employee ___ be entitled to overtime.
Shall
At the conclusion of the interrogation, the employee representative ___ be allowed an opportunity to question the employee to clarify facts, make clarifying statements, or suggest other employees who have knowledge of them.
Shall
At the conclusion of the interrogation, the investigator ___ advise the employee of the Department’s Employee Assistance Program (EAP), the services it offers, and, if applicable, provide the employee with a formal supervisory EAP referral.
Should
Written interrogatories ___ be used sparingly and only at the discretion of the Area or Division commander.
Should
True or False
In accordance with Evidence Code § 970 - 981, the marital privilege exempts a married person from having to testify against a spouse in any proceeding.
True
True or False
The CHP Form 7 is the internal investigation cover page for all internal investigations.
True
True or False
The CHP Form 7B is the internal investigation employee profile
True
True or False
The CHP Form 7A is the internal investigation involved parties (witnesses, investigators, and representatives not listed on the CHP Form 7).
True
True or False
The respective Division commander (in the chain of command of the involved employee) is the final level of approval for adverse action with a penalty of:
(a) Formal written reprimand.
(b) Suspension of one (1) to five (5) working days, or the equivalent monthly step reduction.
True
True or False
The respective Assistant Commissioner (in the chain of command of the involved employee) is the final level of approval for adverse action with a penalty of: (a) Suspension of six (6) to 20 working days, or the equivalent monthly step reduction. (b) Removal from a specialty pay position (Bargaining Unit 5 personnel).
True
True or False
After review by the respective Assistant Commissioner (in the chain of command of the involved employee), the Commissioner or Deputy Commissioner is the final level of approval for: (a) Adverse action with a penalty of: 1 Dismissal. 2 Demotion. 3 Suspension in excess of 20 working days, or the equivalent monthly step reduction. (b) Rejection during probation. (c) Non-punitive termination.
True
A ___ provides the affected employee with an opportunity to respond prior to the imposition of discipline, rejection during probation, or termination, or reassignment for medical reasons as required by state law.
pre-disciplinary hearing
The ___ hearing is an informal review conducted by an “impartial and disinterested” representative of the appointing power (the “___” officer) as a response to “absent without leave” (AWOL) proceedings.
Coleman Hearing
An employee ___ voluntarily resign from a position with the Department by submitting a written or oral resignation to the employee’s commander. Either form of resignation is equally binding on an employee.
May
If an employee fails to meet the minimum qualifications for the employee’s job classification and a decision has been made to terminate the employee, an administrative investigation shall be completed in accordance with this manual and documented as a punitive termination.
False
Non-Punitive
___ is intended to modify an employee’s behavior, and should instruct and train the employee to act and perform in accordance with established standards of conduct
Progressive Discipline
Which document(s) can contain the Bazemore Admonition?
a. Memorandum of Counseling
b. Censurable CHP 2, Incident Report
c. Memorandum of Direction
d. Both A and B
e. Both A and C
f. All of the above
Both A and C
How many penalty types exist for adverse actions?
6
When a departmental supervisor is notified of 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 practical
Which of the following is not considered a penalty for Adverse Actions?
A. Formal Written Reprimand B. Salary Reduction C. Suspension D. Memorandum of Direction E. Involuntary Transfer F. Demotion G.Dismissal
Memorandum of Direction
An internal investigation is an official inquiry, utilizing departmental investigative resources, into alleged misconduct by departmental employee, and may lead to ___.
Adverse Action
The principal goal of all internal investigations is to objectively ___ regarding allegations of misconduct or substandard performance.
Identify the facts
The Primary Investigator during an internal investigation shall be at least ___ than the involved employee.
One rank higher
A photo line-up for an internal investigation should have a minimum of ___ photographs.
6
All statements from departmental employees who are interviewed as witnesses during internal investigations ___ be recorded. The employee being interrogated ___ have the right to bring a personal audio recording device to record any and all aspects of the interrogation.
Shall/Shall
A copy of the miscellaneous investigation file shall be retained at the Area for___ except when employee resigns during investigation.
5 years
Copies of the adverse action shall be retained at the Area level for ___.
5 years
An employee has the right to be represented at all times during investigations that focuses of matters which are likely to result in ___ against the employee.
Adverse Action
An Employee shall have ___calendar days within which to file a written response to any adverse comment entered in his/her personnel file.
Thirty (30)
A “minor” adverse action is an action which requests a penalty of ___ days or less or a step reduction in salary for ___ months or less (excluding formal written reprimands)
Five/five
Whenever possible, the Notice of Adverse Action shall be served on the employee personally. If not possible, service by ___ can be used.
Certified mail with a returned receipt requested
The action taken by the Department is ___ if the affected employee fails to file an appeal within the required time periods or withdraws an appeal previously filed.
Final
In the event an employee is requested to be interviewed by investigators from an outside agency (FBI, US DOT, etc.) pursuant to a civil rights investigation, the decision to consent to the interview is made by who?
Employee
It is the policy of this Department to restrict the number of departmental representatives (interrogators) to a maximum of ___ during an administrative interrogation?
Two
Is an officer compelled (required) to answer all questions related to the investigation in an administrative interrogation?
Yes, failure to do so may result in adverse action
If prior to, or during an administrative interrogation, it is determined that the employee may be charged with a criminal offense, what shall be done?
The employee shall immediately be notified of his/her Miranda rights
True or False
An officer’s representative is required to disclose information received from the officer who is under investigation for a non-criminal matter?
False
Under what condition may an officer’s locker be searched?
a. Officer’s consent
b. The officer is present
c. Obtain a valid search warrant
d. Either A, B, or C
d. Either A, B, or C
True or False
An employee has the right to representation when meeting with a supervisor during the normal course of duty, counseling, instruction, or during the issuance of verbal or written admonishments, or any other unplanned or routine contact?
False
What California Code establishes the confidentiality of peace officers personnel records and provides the definition of personnel records?
California Penal Code
Requests for Adverse Action or Rejection during Probation shall normally be prepared/copied in ___.
Quintuplicate
During the course of the investigation, allegations of discrimination or harassment are discovered. Appropriate notifications shall be made to ___.
Division and the Office of Equal Employment Opportunity
In most cases who has final review for a suspension of up to 5 days?
Division Commander
In most cases who has final review for suspension from 6 to 20 days?
Assistant Commissioner
Who has final approval for suspensions over 20 days, dismissals, demotions and rejections during probation?
Commissioner or Deputy Commissioner
An employee’s representative may be someone other than a union representative, but shall not be ___
Anyone in their immediate chain of command.
Once initiated, an administrative investigation has four possible outcomes:
Adverse action
Rejection from probation
Miscellaneous investigation
Non-punitive termination
Adverse action penalties consist of:
Formal written reprimand Suspension Reduction in salary Demotion Involuntary transfer Dismissal
If an employee receives a conflicting order or directive, the employee must respectfully call the conflict to the attention of the supervisor giving the last order. If the person giving the last order does not change or rescind it, the employee ___ obey it, and ___ responsible for disobeying the first order.
Must, is not
The Public Safety Officers Procedural Bill of Rights Act (POBR) is specified in California ___.
GC § 3300 et seq
By ___, POBR applies to all probationary and permanent departmental personnel who are peace officers. By ___, the Department has extended POBR rights to all other employees with the exception of cadets.
Law, policy
___ is an administrative investigation in which the employee is exonerated, separates from state service, transfers to a new agency, or the conduct does not warrant adverse action or rejection during probation.
Miscellaneous Investigation
_____________ is action resulting in involuntary separation from state service, although not as a disciplinary measure. Examples include termination resulting from absence without leave, failure to meet minimum qualifications, and medical disqualification.
Non-punitive termination
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.
Coleman
An admonishment given in administrative interrogations which advises the subjects of the interrogations 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 a subsequent criminal proceeding.
Lybarger
_____ is intended to modify an employee’s behavior, and should instruct and train the employee to act and perform in accordance with established standards of conduct.
Progressive Discipline
The goal of written or verbal corrective actions is to bring the employee’s performance to an ___ level and to prevent continued misconduct or poor performance.
Acceptable
Regarding an internal investigation, the assigned primary investigator shall be at least ___ rank(s) higher than the highest ranking involved employee, unless otherwise approved by the Division commander or appropriate Assistant Commissioner.
One
There are two accepted methods for conducting a criminal investigation without negatively influencing the corresponding administrative investigation:
Concurrent and consecutive
If the commander feels a polygraph or VSA examination is necessary, the commander shall request approval through channels from the ______ and coordinate through the OIA.
Office of the Commissioner
An employee’s desk ___ normally be entered by a supervisor when looking for work product. However, when the command has allowed a reasonable expectation of privacy, such as issuance of a key to the desk, the provisions of Government Code § 3309 apply.
Can
An administrative subpoena _____ is a legal document utilized by state departments to compel the production of papers, books, accounts, documents, any writing as defined by Evidence Code § 250, tangible things, and testimony pertinent or material to any inquiry, investigation, hearing, proceeding, or action conducted in any part of the state.
Duces recumbent
Prior to conducting an interview with an employee regarding potential criminal acts, investigators shall issue a ____to protect the employee’s rights.
Miranda Warning
True or False
While criminal investigators may not participate in an administrative interrogation, an administrative investigator should observe the criminal interrogation. 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.
True
______ is an admonishment given in administrative interrogations which advises the subjects of the interrogations 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 a subsequent criminal proceeding.
Lybarger
A ___ provides the affected employee with an opportunity to respond prior to the imposition of discipline, rejection during probation, or termination, or reassignment for medical reasons as required by state law.
Predisciplinary Hearing
- Which of the following is not considered a penalty for Adverse Actions?
a. Involuntary transfer or transfer out of a specialized position
b. Formal written reprimand
c. Demotion
d. Memorandum of Direction
e. Dismissal
Memorandum of Direction
A photo line-up for an internal investigation should have a minimum of ___ photographs.
6
Copies of the adverse action shall be retained at the Area level for ______.
5 years
An Employee shall have ___calendar days within which to file a written response to any adverse comment entered in his/her personnel file.
30
A “minor” adverse action is an action which requests a penalty of ___ days or less or a step reduction in salary for ___ months or less (excluding formal written reprimands)
Five/Five
