Complete Manual Flashcards
Understanding of Internal Investigations
Who has the authority to take adverse action?
- The appointing power (The Commissioner)
- The Commissioner may designate an authorized representantive
HPM 10.2, p1-4
By policy who has the Commissioner authorized to initiate an internal investigation?
If an internal investigation appears appropriate, the commander shall discuss the allegations with the assistant chief in the commander’s immediate chain of command. With Division concurrence, an internal investigation shall be initiated
HPM 10.2, p1-5
Who may give a lawful order?
- Supervisor, Manager or OIC
- Including orders or directives from a superior which are conveyed by an employee of the same or lesser rank
- Employees shall never obey orders they know or reasonably should have known would require them to commit reasonably-apparent illegal acts.
- Any employee who disobeys or disregards a lawful order or directive (verbal or written) given by a supervisor, manager, or officer-in-charge may be subject to disciplinary action
HPM 10.2, p. 1-4
What is the employee’s responsibility when recieving conflicting orders?
- 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 must obey it, and is not responsible for disobeying the first order
Who makes notification to whom of the initiation of an internal investigation?
- Division shall notify the appropriate Assistant Commissioner
- OIA shall be notified either by Division or Area with a Division control number
HPM 10.2, p.1-5
An Administrative Investigation has what 4 possible outcomes?
- Adverse Action
- Rejection During Probation (RDP)
- Miscellaneous Investigation
- Non-Punitive Termination
HPM 10.2, p.2-3,4
What are the 6 possible penalties resulting from an Adverse Action?
- Formal written reprimand
- Suspension
- Reduction in Salary
- Demotion
- Involuntary transfer
- Dimissal
What are 4 possible reasons for an Administrative Investigation to be deemed a Miscellaneous Investigation?
- Employee is Exonerated
- Employee separates from state service
- Employee transfers to a new agency
- The conduct does not warrant adverse action or rejection during probation
What acts create a nexus to employment?
- The act occurred while on duty
- All criminal acts by uniformed employees (on or off duty)
- All criminal acts by non-uniform employees which constitute a felony or crimes of moral turpitude
- While off duty an individuals employment is affirmativel established by an overt act.
- Any off-duty conduct with a clear connection tot he employee’s ability to effectively perform their duties
- The misconduct is of such a nature that it could bring descredit to the Department.
What constitutes an Absence Without Leave (AWOL)?
Absence for five consecutive working days (whether the absence was voluntary or involuntary) is considered an automatic resignation
from state service, effective the last day the employee worked
HPM 10.2, p.2-5
- What is the purpose behind the Bazemore admonition?
- Which documents shall include the Bazemore admonition?
- To notify the employee that misconduct for which they are being counseled may be charged in a future adverse action.
- Memorandum of Direction (MOD)
HPM 10.2, p.2-5
What 4 documents are considered closing documentation?
- Notice of AA
- MOD
- MOF
- CHP2
HPM 10.2, p. 2-6
What is the purpose of a Coleman Hearing?
Process for employees who have resigned (by AWOL) to present information to an impartial and uninvolved departmental member with the authority to recommend a final disposition.
Define dishonesty as it pertains to administrative investigations.
Knowingly providing false statements, making an intentional
misrepresentation of facts, or intentionally omitting information of a material nature
Material in nature to the allegations being investigated
A leave of absence was previously referred to as?
Administrative Time Off (ATO)
Who approves administrative time off (ATO)?
Appropriate Assistant Commissioner prior to placing the employee on a leave of absence
What is the purpose of the Lybarger Admonishment?
- It 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
What documentation is the employee issued at the close of a Miscellaneous Investigation?
Memorandum of Findings (MOF)
Does a Memorandum of Counseling contain the Bazemore Admonition?
An MOC should not contain Bazemore, although this is at the
discretion of the commander
What does “Minor discipline” consist of, and who does it apply to?
Minor discipline is a penalty consisting of a one to five working day(s) suspension or equivalent step-reduction in pay. Applies to Bargaining Unit 5 members only (officers and sergeants)
Who can serve a Notice of Administrative Interrogation?
Usually given by memorandum from the employee’s commander, but may be delivered verbally under exigent circumstances.
HPM 10.2, p.2-9
What is a PDH?
It is the process whereby a departmental employee and representative have the right to present material for which a notice of AA or RDP was served, prior to the penalty being imposed.
HPM 10.2, p.2-9
What is the term used for the process intended to modify an employee’s behavior?
Progressive Discipline
HPM 10.2, p3-3
Name the two types of counseling and describe the primary difference?
- Informal Counseling
- Formal Counseling
- Both are routine business communications and not subject to the grievance process, nor is the employee entitled to representation.
- Primary difference is documentation, after formal counseling the employee will receive documentation (CHP100 or MOC)
HPM 10.2 p 3-7
What are the three action steps used in Progressive Discipline?
- Preventative Action
- Corrective Action
- Adverse Action
HPM 10.2 Chapter 3
- What form is used at the division level to track internal investigations?
- What’s the retention period?
- CHP 7E Internal Investigation Control Log
- “5 years from the end of the calendar year”
HPM 10.2 p. 4-3
How often does the updated CHP7E have to be forwarded to the appropriate Assistant Commissioner and OIA?
Close of business every Thursday (excluding holidays)
HPM 10.2 p. 4-3
Area and Division Commanders shall ensure the investigation is forwarded to OIA within _____ calendar days from when?
- 60 calendar days
- From the date Area becomes aware of the misconduct
HPM 10.2 p. 4-5
What are the two accepted methods for conducting a criminal investigation without negatively influencing the administrative investigation?
-
Concurrent-simultaneous
- Separate investigative teams but shared resources (gathering evidence, interviews, etc.)
- The administrative is completed quicker
- Consecutive-criminal investigation is completed first and a decision is made by the prosecuting authority
- Precludes improper sharing of information
HPM 10.2 p. 4-6
If the Department is conducting the criminal investigation can we toll the 1 year time limitation?
No, (Andrew Ruiz SPB Case No 04-2391A)
Can a Department of Motor Vehicles document or criminal history regarding the subject employee be shared between the Administrative and Crimal investigators?
Yes
HPM 10.2 p.4-8
What penal code section pertains to the protection of personnel records?
832.7(a) Peace officer or custodial officer personnel records and records maintained by any state or local agency pursuant to Section 832.5, or information obtained from these records, are confidential and shall not be disclosed in any criminal or civil proceeding except by discovery pursuant to Sections 1043 and 1046 of the Evidence Code. (Pitchess)
HPM 10.2 p. 4-8
What is the retention period for the CHP 7E, Internal Investigation Control Log?
The CHP 7E shall be maintained at Division offices for a period of five (5) years from the end of the calendar year and in a location that ensures confidentiality.
HPM 10.2 p4-3
The assigned primary investigator shall be at least one rank higher than the highest ranking involved employee;
True or False
True with one exception-unless otherwise approved by the Division commander or appropriate Assistant Commissioner.
HPM 10.2 p 4-4
When assigning an investigator, can that investigator be a party or witness to the incident(s) in question?
To ensure impartiality, the assigned investigator shall not be a party or witness to the incident(s) in question.
HPM 10.2 p4-4
Area and Division commanders shall ensure the investigation is
forwarded to OIA within ____ (days) from when?
(two part question)
Area and Division commanders shall ensure the investigation is
forwarded to OIA within 60 calendar days** from the date the **Area becomes aware of the misconduct. In complex cases where the investigations will exceed 60-days, the Division commander should contact the appropriate Assistant Commissioner to request an extension.
HPM 10.2 p4-5
If an employee becomes aware that they are the subject to an investigation or inquiry of criminal misconduct by another law enforcement agency what are they require to do?
Are there any requirements for an employee who becomes aware that another employee is subject to an investigation or inquiry of criminal misconduct by another law enforcement agency?
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 criminal misconduct involving a member of the Department, the employee shall immediately notify a supervisor or manager. After notification, the commander shall notify OIA through proper channels.
HPM 10.2 p4-5
Are there any requirements of the commander to address the subject employee’s welfare during the investigation?
Employees shall be informed of the availability of resources, such as Employee Assistance Program (EAP), at appropriate times during the
investigation.
HPM 10.2 p4-5
Is it acceptable to run a case involving an employee’s potential criminal misconduct by the District Attorney without any prior notifications?
NO
Commanders shall also notify, through channels, the Office of the Commissioner prior to any contact with a prosecuting authority regarding potential criminal misconduct by any departmental employee. This specifically includes informal or hypothetical inquiries that do not disclose the employee’s name or alleged
offenses
HPM 10.2 4-6
If the investigation involves a criminal allegation what are the two options for proceeding with the investigation?
-
Concurrent-simultaneously conducted
- Shared evidence
- Interviews done together
- More efficient
-
Consecutive-Criminal investigation is completed prior to the administrative investigation being initiated
- More time consuming, may involve tolling
- Precludes any improper sharing of information
HPM 10.2 p4-6
What must a commander do to ensure coordination with criminal investigations done by allied agencies?
commanders shall ensure the agency is contacted to develop an appropriate course of action and ensure proper coordination between the allied agency, any prosecuting authority, and the
Department.
HPM 10.2 4-7
What does the commander have to ensure if the allied agency or prosecuting authority requests that the departmental investigation not be conducted?
OIA shall be consulted through channels. The OIA will coordinate a final decision with OLA. The time to complete the investigation may be tolled depending upon the circumstances surrounding the delay.
HPM 10.2 p 4-7
If an allied agency with primary investigative authority relinquishes or declines to conduct the investigation what does the commander do?
the involved employee’s commander shall initiate the criminal investigation. When the Department is completing the criminal investigation, the one (1) year time limitation as specified in Government Code § 3304 is not tolled as it would when an allied agency is conducting the investigation.
HPM 10.2 p4-7
What are some considerations concerning interviews during joint (criminal/admininstrative) investigations?
It is acceptable, and in many cases desirable, for the criminal
and administrative investigators to either share statements (via summary memorandum or recording) or conduct joint interviews of witnesses.
Investigator notes: consider compartmentalizing the interviews where questions addressing policy violations are kept separate from the criminal line of questioning.
HPM 10.2 p 4-7
When should the criminal interrogation be conducted?
they shall be conducted prior to the administrative interrogation if involving the same employee and the same act(s).
HPM 10.2 p4-7
If a criminal interrogation is conducted and released to the administrative investigators is an administrative interrogation necessary?
an administrative interrogation is not necessarily required unless additional information is needed to reach a reasonable conclusion. The investigating and/or prosecuting authorities shall be consulted to ensure the criminal investigation will not be compromised. When the investigating and/or prosecuting authorities request an administrative interrogation be delayed or not conducted, the OIA shall be consulted, through channels, for guidance.
HPM 10.2 p4-7
Can the criminal investigator participate in the administrative interrogation?
criminal investigators shall not participate in administrative interrogations (although it may be permissible to assist in planning the interrogation).
HPM 10.2 p4-8
What evidence can be shared between the criminal and administrative investigators?
information gathered during either a criminal or administrative investigation may be included in the other investigation, as long
as it was gathered from a source that both administrative and criminal investigators would have had legal access; e.g., a DMV or criminal history could be collected once and shared between both investigations, but information gathered from an employee’s personnel file could not be provided to the criminal investigation
without proper legal process.
HPM 10.2 p4-8
Does the criminal investigation get included in the administrative investigation?
- For uniformed employees, a copy of the criminal investigation and/or arrest record shall be included with the administrative investigation.
- For non-uniformed employees, arrest reports which have not resulted in a conviction cannot be included in the investigative file (Labor Code § 432.7).
HPM 10.2 p4-8
Under what circumstances does the Department investigate criminal misconduct by Non-Uniform employees?
- Any criminal misconduct which could lead to a felony conviction.
- Any criminal misconduct constituting a misdemeanor involving moral turpitude.
- Any criminal misconduct where the employee has established a nexus to the Department.
HPM 10.2 p4-9
What must be documented in the administrative investigation in reference to the decision to file criminal charges?
The decision (whether criminal charges are filed or rejected by the prosecuting authority) **shall be documented** in the administrative investigation file, listing the name of the person authorizing or rejecting criminal prosecution, as well as the date the case was referred to the prosecuting authority.
HPM 10.2 p 4-9
Can the Department compel an employee to speak with outside investigators regarding 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).
HPM 10.2 p4-9
Is the employee afforded any representation by the Department during the interview of a civil rights investigation?
- If such an interview is conducted on state time, a departmental supervisor shall be present.
- To preserve the accuracy of the statements, interviews conducted on state time shall be tape recorded.
HPM 10.2 p4-9
Is the Department required to initiate an administrative investigation based on a complaint from departmental personnel?
If the source of the complaint is from departmental personnel or is
anonymously submitted but there is evidence to suggest it was sent from a source from within the Department (e.g., employee, employee’s spouse), a formal investigation shall not be undertaken without having a basis for believing there is merit to the complaint. Unless the complaint involves a violation of law (e.g., threat, retaliatory, other evidence of a crime), departmental resources should not be expended to determine the source of such complaints.
HPM 10.2 p4-10
When misconduct is alleged to have been committed by a departmental employee, it shall be brought to the attention of the employee’s supervisor or manager. What is the commander’s responsibility?
The commander shall make an initial inquiry. The inquiry shall attempt to determine the merits of the allegation(s).
HPM 10.2 p4-10
What are the commanders responsibilities for departmental employees assigned to special programs that remove them from direct departmental supervision (e.g., drug/vehicle theft task forces)?
However, it may prove more practical to coordinate the investigation and documentation of any investigations with the employee’s special assignment supervisor. Commanders shall develop a MOU with the agencies involved in such assignments, detailing the procedures to be followed for internal investigations. Commanders shall not abdicate responsibility for conducting or determining the appropriate penalty if necessary in internal investigations involving departmental personnel.
HPM 10.2 p4-11
When allegations involve multiple employees assigned to different commands does each command initiate an investigation?
NO-A single Division, Area, section, or unit shall be appointed as the primary investigative command. The designation of the primary investigative command shall be coordinated with the Division commander or appropriate Assistant Commissioner, as necessary. Each employee shall have a separate internal investigation file prepared with its own investigation control number.
HPM 10.2 p4-11
Explain the 1 year time frame as dictated under GC3304
- The investigation must be completed within 1 year
- 1 year from the Department’s discovery of the allegation by a person authorized to initiate an investigation (typically supervisor or above).
HPM 10.2 p4-12
GC3304 indicates the Department must notify the employee of it’s proposed disciplinary action within the 1 year period except when?
Hint: There are 8 exceptions
- The internal investigation cannot be completed due to a pending criminal investigation by another law enforcement agency involving the subject employee
- The employee waives the one-year time period in writing. Time shall be tolled for the time specified in the written waiver.
- A reasonable extension is necessary to coordinate a multi-jurisdictional investigation
- The investigation involves more than one employee and requires a reasonable extension
- The investigation involves an employee who is incapacitated or otherwise unavailable (e.g., military leave, extended vacation). This includes medical “stay away” orders from treating physicians or psychologists
- The investigation involves a matter of civil litigation and the employee is a defendant
- The investigation involves a matter under criminal investigation and prosecution, and the complainant is a criminal defendant.
- The investigation involves an allegation of workers’ compensation fraud by the employee
HPM 10.2 p4-12
An internal investigation of an employee may be reopened beyond the oneyear time period if ____________ circumstances exist?
Hint: Two
- Significant new evidence has been discovered that is likely to affect the outcome of the investigation, and
- One of the following conditions exists
- The evidence could not reasonably have been discovered without resorting to extraordinary measures by the Department.
- The evidence resulted from the employee’s predisciplinary hearing response or procedure
HPM 10.2 p4-13
- 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.
- What are the 3 exceptions to the above time limit?
- 3 Years
- GC § 3300 et seq, adverse actions based on fraud, embezzlement, or falsification of records is valid provided the employee was served the notice of adverse action within one (1) year of the Department’s discovery of the misconduct.
HPM 10.2 p4-13
In accordance with GC § 19173, a probationary employee must be served with a notice of rejection during probation prior to?
Prior to the last day of the probationary period, allowing time for the predisciplinary hearing.
HPM 10.2 p4-13
How does PC 135.5 protect the employee?
PC135.5-any person who knowingly alters, tampers with, conceals, or destroys relevant evidence in any disciplinary proceeding against a public safety officer for the purposes of harming that public safety officer is guilty of a misdemeanor.
(Excluding or concealing exculpatory evidence from the investigation)
HPM 10.2 4-13
Is it always necessary to admonish the employee not to discuss the investigation at the conclusion of an interview or interrogation?
Departmental employees, upon receiving notification of an interview/interrogation (and at the conclusion of each
interview/interrogation), shall be given a direct order not to discuss their interview/interrogation with anyone other than their chosen representative or a supervisor/manager within their chain of command.
HPM 10.2 p4-14
What is necessary to write on all evidence?
Ensure all physical evidence is properly labeled as “Confidential” and chain of custody is maintained.
HPM 10.2 4-14
Can the Department release the employee’s residence information or photographs to the media? Even if the employee is being criminally prosecuted?
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]). Accordingly, the Department shall not release residence information or photographs to the media, even if the employee is criminally prosecuted.
HPM 10.2 p4-14
Do you have to finish a Civilians Complaint if it becomes apparent that an adverse action is warranted?
Civilians’ complaint investigations should normally be completed and approved as specified in Highway Patrol Manual 10.4 before being used as the basis for an administrative investigation which results in an adverse action or rejection during probation. In all cases, the civilian’s complaint investigation will be an exhibit in the administrative file.
HPM 10.2 4-14
- Who authorizes a leave of absence (ATO)?
- What does a leave of absence invoke for a uniformed employee?
- The appropriate Assistant Commissioner
- Removal of peace officer powers (POP)
HPM 10.2 p4-15
What are some examples of situations in which a leave of absence would be appropriate?
- Employee is under investigation for a serious offense and dismissal or rejection during probation is probable.
- Employee is accused of a serious criminal offense and is in custody for an extended period of time.
- After service of a notice of adverse action for dismissal, rejection during probation or non-punitive action for termination.
- The employee is a highly disruptive influence in the workplace or may interfere with the investigation. A temporary transfer to another command may be considered as an alternative(Contact OIA or OER for guidance).
HPM 10.2 p4-15
Who shall be notified once an employee is placed on a leave of absence?
- OIA shall be notified by e-mail, OIA_Notification@chp.ca.gov
- A copy to Human Resources Section at PTU@chp.ca.gov
A leave of absence (ATO) notification shall contain____?
- Name, rank, and identification number
- Assigned command
- Date and time the employee was placed on the leave of absence.
- Whether the leave of absence is paid or unpaid.
HPM 10.2 p4-15
If the leave of absence (ATO) extends past ______days CalHR approval is required.
30 Calendar Days
OIA shall immediately be informed (by electronic mail) when a Department-initiated leave ofabsence status changes or is removed.
HPM 10.2 p4-16
How soon shall an investigation be completed if an employee is on leave of absence without pay?
When an employee is placed on a leave of absence without pay, the investigation must be completed, reviewed, and the employee served with the notice of adverse action within 15 calendar days.
HPM 10.2 4-16
Who keeps the original Notice of Leave of Absence?
The employee shall be provided the original Notice of Leave
of Absence and both the employee and person serving it shall sign. Copies shall be retained for inclusion in the investigation file and the employee’s personnel file
If a photocopy is not available two copies shall be signed.
HPM 10.2 p4-16
All employees being placed on a leave of absence shall surrender what?
- all Department-issued identification and state building access cards/keys to a supervisor or manager
- Uniformed employees shall surrender all safety equipment
HPM 10.2 p4-17
How much notice is required to terminate an employee’s leave of absence?
A Department-initiated leave of absence may be terminated at any time by providing the employee with 48 hours notice. For uniformed employees, peace officer powers are simultaneously restored with the ending of the leave.
HPM 10.2 p4-17
Who approves the remove of peace officer’s powers (POP)?
The appropriate Assistant Commissioner
HPM 10.2 p4-17
What are examples of situations in which removal of peace officer powers would be appropriate?
- An employee is under investigation for a serious offense involving misuse of position, but dismissal or rejection during probation is not yet indicated.
- An employee is the subject of a temporary restraining order, emergency protective order, or other court action which prohibits possessing or carrying a firearm.
- An employee has been placed on medical leave for stress or other psychological impairment which indicates exercise of peace officer powers is not prudent.
HPM 10.2 p4-18
Does the Department collect state issued equipment for the removal of peace officer powers?
All peace officer employees having those powers removed shall surrender all Department-issued badges and officer safety equipment (incidental items, such as rain gear, need not be surrendered)
HPM 10.2 p4-18
Is a commander required to serve a notice of investigation to an employee under investigation?
Although such notice is not required, it articulates the importance of confidentiality and the sensitivity of the investigation. The notice specifically advises the employee of the existence of the investigation, the basic nature of the allegations, and directs the employee not to discuss the investigation with any member of the Department other than a representative and/or supervisor or manager in the employee’s chain of command
HPM 10.2 p4-19
If during the course of an investigation, allegations of discrimination, harassment, and/or racial profiling are discovered who shall be notified?
Division and the Office of Equal Employment Opportunity (OEEO).
A separate investigation, conducted concurrently or consecutively with the internal investigation, may be initiated in accordance with HPM 10.12, Equal Employment Opportunity Manual
HPM 10.2 p4-19
If state equipment is lost or damaged and an internal investigation is warranted it is shall be conducted in accordance with____?
HPM 10.2, Internal Investigations Manual
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)
HPM 10.2 p4-19
What manual defines absence without leave (AWOL)?
- HPM 10.3, Personnel Transactions Manual, Chapter 9, Separations
- AWOL is considered a “permanent separation” and an “automatic resignation”
HPM 10.3 p9-3
What constitutes an employee being absent without leave (AWOL)?
Employees are considered AWOL on any designated work day
they do not report for work, do not contact their commander, take time off even though their request for time off was disapproved, or do not return from a leave of absence and do not submit their resignation.
HPM 10.3 p9-6
