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General Orders 200's > 200-03 Investigation of Employee Misconduct > Flashcards

200-03 Investigation of Employee Misconduct Flashcards

1
Q

The department shall investigate ____ incidents of alleged misconduct brought to its attention.

A

all

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2
Q

All employees, regardless of rank, assignment, or function, are required to ____ in the investigation of complaints

A

cooperate

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3
Q

The department’s disciplinary system shall be governed in accordance with all applicable state and federal law and shall be guided by the ____

A

Houston Police Department Corrective Action Manual.

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4
Q

IAD Commanders are…

A

The commander of Internal Affairs Division/Central Intake Office (IAD/CIO), the assistant chief of the Professional Standards Command, the executive assistant chief of Strategic Operations, and the Chief of Police.

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5
Q

Reasonable Opportunity:

A

This shall be generally construed as to allow sufficient time to locate counsel or a representative, review the interrogatories and related documents, and obtain advice.

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6
Q

Retaliation:

A

Conduct or decisions that a reasonable employee would view as materially adverse and whose purpose or effect is to discourage employees from exercising their rights under policy or under the law

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7
Q

Formal Complaint:

A

A complaint in writing, signed and notarized by a complainant, or a complaint made by a peace officer.

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8
Q

Informal Complaint:

A

Oral or unsigned complaint.

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9
Q

Class I Complaints:

A

Alleged violations of federal or state laws or local ordinances, or alleged use of excessive force (e.g., hitting, slapping, kicking, striking with an object, causing pain, or some other excessive force resulting in bodily injury).

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10
Q

All Class I complaints shall be formalized and forwarded to

A

IAD/CIO

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11
Q

If there are any questions as to how a complaint is to be classified, supervisors shall contact

A

IAD/CIO

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12
Q

Class II (D) Complaints:

A

Complaints involving alleged violations of department policies or those that are not criminal in nature.

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13
Q

Who investigates Class II (D) Complainant?

A

The employee’s immediate supervisor or another supervisor from the employee’s division usually investigates these complaints.

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14
Q

Class II (X) Complaints:

A

Expedited cases typically involving allegations administrative in nature (e.g., missed court or failure to qualify) and normally involving one employee.

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15
Q

Exonerated:

A

Incident occurred, but was lawful and proper.

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16
Q

Never Formalized:

A

Complainant did not submit a formal sworn statement.

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17
Q

Not Sustained:

A

The evidence was insufficient to either prove or disprove the allegation.

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18
Q

Sustained:

A

Evidence is sufficient to prove the allegation. Any sustained allegation, regardless of its classification, may form the basis for disciplinary action.

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19
Q

Unfounded:

A

Allegation is false or not factual.

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20
Q

____ investigations should be used when discipline is the most appropriate response to an employee’s continued performance deficiency.

A

Expedited Class II

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21
Q

The ____ provides a list of administrative violations that may be resolved using an expedited Class II investigation and can be expanded to include misconduct when certain conditions are met.

A

Houston Police Department Corrective Action Manual

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22
Q

Supervisors have broad discretion whether to resolve complaints using ____ or ____ except when expressly limited.

A

1) Supervisory Intervention (SI)
2)Class II investigations

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23
Q

Discretion, to the extent that prudence and good order dictate, is encouraged. Likewise, it is encouraged to use ____ in circumstances, other than administrative type violations, when the employee acknowledges culpability and accepts responsibility for all of the alleged misconduct.

A

expedited Class II investigations

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24
Q

Usually, Class II investigations are conducted by the____

A

employee’s immediate supervisor

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25
Q

If the immediate supervisor is the complainant or a person who has any personal involvement regarding the alleged misconduct, then ____ shall be assigned to conduct the Class II investigation

A

any other supervisor within the division

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26
Q

All complaints coming to the attention of an employee shall be reported to the ____

A

employee’s immediate supervisor.

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27
Q

____ in any form is strictly prohibited. Any employee found to have retaliated
against any employee or non-employee shall receive disciplinary action up to and including indefinite suspension.

A

Retaliation

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28
Q

Employees who receive information about or observe incidents involving unnecessary or excessive use of force, misconduct, violations of criminal statutes, or abuse of authority by any other employee shall first____

A

take immediate action to protect citizens.

Employees who receive such information shall report the incident to their immediate supervisor. If there is a need to protect the confidentiality of the information, reporting employees may bring the matter directly to IAD/CIO.

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29
Q

If a complainant is anonymous, the employee receiving the anonymous complaint must

A

certify under oath the complainant was in fact anonymous.

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30
Q

First-line supervisors shall take an active role in the

A

development, motivation, and when necessary, discipline of employees
they supervise.

Supervisors have broad discretion when implementing the disciplinary process.

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31
Q

All complaints (except those going directly to IAD/CIO) shall be referred to

A

a supervisor

The supervisor shall record all complaints (except as specified in the following) including complaints from third party witnesses, and forward them as provided by this General Order.

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32
Q

When receiving complaints, supervisors shall: A

A

Accept complaints from third party witnesses to an incident.

Any third party non-witnesses attempting to make a complaint shall be referred directly to IAD/CIO. The IAD/CIO commander may determine whether to accept a complaint from persons other than the aggrieved party.

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33
Q

When receiving complaints, supervisors shall: B

A

Accept and record phone-in complaints that involve allegations of serious misconduct (Class I).

Other phone-in complainants shall be advised to make the complaint in person in order that a notarized statement can be obtained with the complaint. Supervisors may also advise complainants they can mail their notarized statement with specific details of the incident directly to IAD/CIO.

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34
Q

When receiving complaints, supervisors shall: C

A

Forward all mailed written complaints to IAD/CIO for processing.

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35
Q

When receiving complaints, supervisors shall: D

A

Record complaints on the Issue Record Form (IRF).

Upon receipt and recording of complaints, supervisors shall immediately notify their commander.

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36
Q

When receiving complaints, supervisors shall: E

A

Immediately notify IAD/CIO, pursuant to General Order 300-32, Processing Complaints and Employee Issues, if they receive a Class I complaint under either of the following circumstances:
1. The investigation of the complaint would be hindered by a delay.
2. The complaint involves a felony or a breach of the peace that is occurring or just occurred.

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37
Q

If an involved employee is present at the complaint scene, supervisors shall not allow the employee to leave until authorized by

A

IAD/CIO

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38
Q

An employee’s immediate supervisor or a supervisor discovering an infraction shall determine whether to proceed through the formal complaint process as a

A

Class I or II complaint or as an SI.

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39
Q

When supervisors discover possible infractions by employees not within their command, they should consult with ____ or a ____before initiating a Class II complaint.

A

1) the employee’s immediate supervisor

2) supervisor within the employee’s chain of command

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40
Q

Supervisors have the right, duty, and responsibility at any time to inquire as to the facts of a circumstance or situation in order to make management, operational, administrative, or organizational decisions. A ____ notice is not required before discussing the original infraction with an employee.

A

48 hour notice

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41
Q

However, if the inquiring supervisor becomes the ____ in a Class I or II complaint, the same inquiring supervisor may not further investigate such alleged violation.

A

1) the complainant

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42
Q

Additionally, if the inquiring supervisor becomes the complainant in a Class I or II complaint, the same inquiring supervisor may not participate in the ____

A

process of recommending discipline for the violation.

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43
Q

Supervisors should keep in mind that ____ issues do not equate to disciplinary issues.

A

job performance and productivity

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44
Q

Concerns regarding an employee’s job performance and productivity, or lack thereof, should not be handled through the ____

A

disciplinary process

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45
Q

Job performance and productivity issues should be addressed by ____

A

implementing appropriate management techniques (e.g., scheduled and unscheduled job performance reviews).

46
Q

Discovered violations of department policy while addressing job performance or productivity concerns should be handled through ____

A

the disciplinary process.

47
Q

All Class I allegations against an employee shall be investigated by ____, except by order of ____.

A

1) IAD/CIO

2) the commander of IAD/CIO

48
Q

All Class II allegations against an employee shall be investigated by the ____, unless otherwise determined by the ____.

A

1) employee’s division

2) commander of IAD/CIO

49
Q

The commander of IAD/CIO shall have the authority and discretion to assign the criminal aspects of a Class I complaint to the ____ for investigation.

A

appropriate criminal investigative division

50
Q

The concerned employee and the complainant shall be notified in writing by the assigned investigator whenever a complaint has been received and filed. However, if an ____ designates the complaint confidential, the employee shall not be notified.

A

IAD commander

51
Q

IAD/CIO shall serve as a ____ entity for investigations of employee misconduct.

IAD/CIO shall classify all complaints brought to the attention of the department as either a ____ complaint.

A

1) fact-finding

2) Class I or II

52
Q

IAD/CIO shall notify employees and complainants of the disposition of Class I and II complaints upon receiving the final decision from the ____

A

Chief of Police

53
Q

If a complaint is deemed confidential, notification shall be made at the discretion of an

A

IAD commander

54
Q

____shall notify employees and· complainants of SI dispositions.

A

Division Commanders

55
Q

No employee, regardless of rank, assignment, or function, shall contact or interfere with IAD/CIO personnel or other department investigators regarding ongoing administrative or criminal investigations of any employee.

Any inquiries regarding these matters shall be directed to the ____ or ____

A

1) Professional Standards Command

2) Strategic Operations

56
Q

The ____ may designate a complaint as confidential and may restrict access to the file of the investigation to only those persons deemed necessary.

A

commander of IAD/CIO

57
Q

____, ____ and ____ shall be notified when a complaint is designated confidential. They may review any file at their discretion.

A

The assistant chief of Professional Standards Command, the executive assistant chief of Strategic Operations, and the Chief of Police

58
Q

The IAD/CIO commander may report any matter directly to the Chief of Police; however, ____ and ____ must be notified as soon as possible.

A

1) the assistant chief of Professional Standards Command

2) the executive assistant chief of Strategic Operations

59
Q

At any time, ____, ____ or ____may require progress reports regarding any complaint against an employee being investigated by the department.

A

the commander of IAD/CIO,
the assistant chief of Professional Standards Command,
or the executive assistant chief of Strategic Operations

60
Q

If the complainant to an incident does not verify the complaint in an affidavit, an investigation may still be conducted. However, the employee cannot be required to ____

A

respond to an interrogation.

61
Q

Employees who are the subject of the following types of complaints may be required to respond to an interrogation:

A

a. When a peace officer is the complainant.
(No affidavit is necessary.)

b. If a third-party witness of police misconduct is a complainant.

62
Q

If employees inquire, they must be told the identities of ____ taking part in their interrogation.

If the investigator or the employee intends to record the interrogation, prior ____

A

1) all investigators

2) notification must be given to the other party.

63
Q

The department shall provide employees with a ____ notice of the time and location of a meeting or hearing (including interviews and interrogations) that is administrative in nature.

A

48-hour notice

64
Q

Any employee under investigation for a Class II violation investigated at divisional level by an internal affairs investigator shall be required to receive only one ____

A

Notice of Interrogation at least 48 hours prior to the first interrogation in any form.

65
Q

Any subsequent interrogation of the same employee on the same complaint or any extension or collateral issue related to the same complaint, shall require the employee be afforded a ____ to consult with counsel or a representative before responding to such subsequent interrogations. A 48-hour notice may be voluntarily waived.

A

reasonable opportunity

66
Q

Supervisors and investigators shall follow the guidelines in the ____

A

Corrective Action Manual, Part Three, section 1, subsections A., B., and C.

67
Q

If an investigator is conducting an investigation at the scene immediately after an incident occurred, the investigator may proceed with the investigation and furnish the concerned employee with ____

A

written notification as soon as possible.

68
Q

Accused employees have the option of having their immediate supervisor present during interrogations regarding ____

A

investigations of non-criminal misconduct.

69
Q

Accused employees are not permitted to have counsel present during an interview regarding an ____

A

investigation of non-criminal misconduct.

70
Q

Accused employees are permitted to have counsel present during an interrogation regarding an ____

A

investigation of criminal conduct

71
Q

Investigators shall not threaten employees with ____ during interrogations. Investigators may inform employees that failure to truthfully answer reasonable questions directly related to the investigation or failure to fully cooperate in the investigation may result in ____

A

1) punitive action

2) punitive action

72
Q

Employees can be required to answer questions and are subject to discipline with measures up to and including indefinite suspension for ____. Any required statements may be used against employees in a ____ or ____

A

1) refusal to answer questions

2) disciplinary action or other civil proceeding

73
Q

Employees may be interrogated only during ____, unless the ____ or ____ determines the seriousness of the investigation requires interrogation at another time.

A

1) their normal duty hours

2) Chief of Police or an IAD commander

74
Q

If employees are interrogated during a time other than their normal duty hours, they shall receive ____

A

overtime for that period

75
Q

The ____ shall not hold employees responsible for normal duty time missed because of their required participation in an investigation.

A

Chief of Police

76
Q

Employees shall not be interrogated at ____ without their permission. The interrogation shall not be unreasonably long and provision must be made for physical necessities.

A

their home

77
Q

If a letter is sent to the ____, a copy shall be furnished to the employee under investigation at the time of the interrogation or at the time of issuance (if issued after the initial or subsequent interrogation).

A

Texas Attorney General

78
Q

An employee can be required to be photographed to aid in conducting investigations in which the ____ is in question or when it is necessary for comparison with other photographs.

A

identity of the employee

79
Q

The ____ may order an employee to submit to a polygraph examination in compliance with state law.

A

Chief of Police

80
Q

Employees can be required to submit to a ____ examination at the department’s expense as part of an internal investigation.

A

medical or laboratory

81
Q

The ____ reviews all non-Class I investigations that result in a divisional discipline recommendation for category B or lower.

A

DADC

82
Q

The ____ reviews cases and either agrees or disagrees with the recommendation stated in Step Four of the Disciplinary Category Worksheet (Corrective Action Manual).

A

DADC

83
Q

If the committee disagrees with the original recommendation, correspondence shall be attached to the file and the ____ shall forward the investigation to the division for a final determination of discipline.

A

Disciplinary Action Unit (DAU)

84
Q

The DAU shall follow all procedures as outlined in the

A

Corrective Action Manual

85
Q

ADC stands for…

A

Administrative Disciplinary Committee

86
Q

The ADC shall review investigations of complaints submitted to it by the____

A

Chief of Police

87
Q

Upon completing the review of a complaint, the ADC shall submit a report to the Chief of Police documenting the…

A

sufficiency of the investigation and describing recommended disciplinary action.

88
Q

The Mayor’s Executive Order 1-5, Independent Police Oversight Board describes the IPOB and its role within the department’s internal investigations involving any of the following allegations or circumstances:

A

a. Use of force.
b. Discharge of firearms.
c. Incidents resulting in serious bodily injury or death.
d. Any other investigations requested and approved for review by the Chief of Police.

89
Q

Each IPOB member and panel is purposed to review ____ and make a written recommendation as to whether the investigative findings are accurate and complete.

A

applicable internal investigations

90
Q

A ____ or ____ who believes the investigation is inaccurate or incomplete, may request further investigation be conducted. The request shall be made in a manner prescribed by the department in compliance with the requirements of Executive Order 1-5.

A

panel or panel member

91
Q

Notwithstanding the authority vested within the IPOB, the ____ or ____ shall retain final authority over the outcome of internal investigations.

A

Chief of Police or designee

92
Q

____shall prepare a written recommendation on all sustained IAD/CIO investigations on employees under their supervision.

A

Mid managers

93
Q

Depending on the violation, the recommendation shall be forwarded through the ____ to at least the ____ level.

A

1) offending employee’s chain of command

2) assistant chief

94
Q

After the Chief of Police receives the file of a completed investigation in which IAD CIO sustained an allegation, the Chief of Police may: A

A

Choose to sustain the allegation, impose the recommended discipline, or impose other disciplinary action.

The Chief of Police shall forward the entire file to IAD/CIO for final processing.

95
Q

After the Chief of Police receives the file of a completed investigation in which IAD CIO sustained an allegation, the Chief of Police may: B

A

Resubmit the file to the ADC for further review and recommendations.

96
Q

After the Chief of Police receives the file of a completed investigation in which IAD/CIO sustained an allegation, the Chief of Police may: C

A

Return the case to IAD/CIO or the investigating division for further investigation.

97
Q

After the commander of IAD/CIO receives the final recommended disposition signed by the Chief of Police, the commander of IAD/CIO shall…

A

notify the employee of the disposition of the complaint in writing.

98
Q

The commander of IAD/CIO must ensure the final disposition of the case is entered into the…

A

Issue Tracking System.

99
Q

If the recommended discipline is indefinite suspension, the Chief of Police shall have the affected employee relieved of duty by ____.
The Chief of Police shall allow a meeting with the affected employee. At the meeting, employees shall be allowed to state their case before the Chief of Police…

A

1) IAD/CIO personnel

2) makes a final decision

100
Q

The employee’s division shall handle disciplinary suspensions of ____ days or less. In those cases, employees shall be allowed to retain their ____.

A

1) 15 calendar days

2) HPD identifications, badges, and hat shields

101
Q

The ____ shall instruct employees regarding any limitation of activities any use of credentials during the term of suspension

A

suspension documentation

102
Q

All disciplinary suspensions of ____ days or more shall be handled by IAD/CIO.

In those cases, ____ shall be confiscated and stored in the Employee Services Division.

A

1) 16 calendar

2) the HPD identification, badge, and hat shield

103
Q

The Chief of Police may relieve an employee of duty at any point during the course of a ____investigation, especially when allowing an employee to remain on duty may compromise the integrity of the department.

A

misconduct

104
Q

If any supervisor becomes aware of a situation requiring an employee be relieved of duty, the supervisor shall immediately contact____

A

IAD/CIO

105
Q

____ shall handle all cases in which an employee is relieved of duty and the ____ shall determine the course of action to be taken.

A

1) IAD/CIO

2) commander of IAD/CIO

106
Q

When an ____ places an employee on relieved-of-duty status, the ____ (and the employee when practical) shall sign a letter explaining what is expected of the employee. A copy shall be given to the employee.

A

1) IAD/CIO supervisor

2) IAD/CIO supervisor

107
Q

When an IAD/CIO supervisor places an employee on relieved-of-duty status, The IAD/CIO supervisor shall take custody of the following items from the employee:

These articles shall be sent to the ____ along with a copy of the Relieved of Duty letter.

A

1)
a. Official police identification
b. Badge and hat shield
c. Security identification
d. Keys as defined in General Order
400-22, Keys and Passwords

2)
Employee Services Division

108
Q

The IAD/CIO supervisor shall notify the employee’s ____ of the relieved-of-duty status.

A

commander

109
Q

When an employee is relieved of duty, any leave requested by the employee must be approved by the ____ prior to being scheduled by the regular assigned division.

A

commander of IAD/CIO

110
Q

In addition, IAD/CIO shall be responsible for notifying the ____ and ____ relieved of duty desk of employees’ relieved of duty status to ensure correct compensation and documentation of employment status.

A

1) Administration

2) Regulatory Affairs Department

111
Q

Upon notification by the Chief of Police, an ____ shall formally reinstate an employee who is relieved of duty.

The IAD/CIO supervisor receiving the information shall prepare a ____ letter
advising the affected employee of his or her status.

Employees shall deliver their letters to the ____ in order to obtain their department issued property.

A

1) IAD commander

2) Return to Duty

3) Employee Services Division

112
Q

A copy of the ____ shall also be forwarded to the employee’s commander authorizing the employee’s return to work.

A

reinstatement letter

General Orders 200's (30 decks)

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