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2023 Lieutenant Exam > HPM 10.02 Internal Investigations Manual > Flashcards

HPM 10.02 Internal Investigations Manual Flashcards

1
Q

An official inquiry, utilizing departmental resources, into alleged misconduct by a departmental employee. This is what kind of investigation?

A

Internal Investigation.

(Chap. 2)

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2
Q

A formal investigation into alleged criminal misconduct. May lead to exoneration, or recommendation of criminal prosecution (with concurrence of Office of Commissioner). This is what kind of investigation?

A

Criminal Investigation.

(Chap. 2)

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3
Q

A formal investigation into alleged violations of policies, procedures, or poor performance. This is what kind of investigation?

A

Administrative Investigation.

(Chap. 2)

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4
Q

An Administrative Investigation has how many possible outcomes? And what are they?

A

Four possible outcomes, which are:
1- Adverse Action
2- Rejection During Probation
3 - Miscellaneous Investigation
4 - Nonpunitive Termination

(Chap. 2)

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5
Q

A disciplinary legal action taken in response to an employee’s misconduct, or continued failure to meet the rules of conduct, established by law and/or departmental policy, is known as what?

A

Adverse Action.

(Chap. 2)

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6
Q

What are the penalties of an Adverse Action?

A
  1. Formal Written Reprimand
  2. Suspension
  3. Reduction in Salary
  4. Demotion
  5. Involuntary Transfer
  6. Dismissal

(Chap. 2)

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7
Q

A ______ , or connection, between the act(s) and the individual’s employment with the Department. The Department shall only administratively investigate allegations of misconduct when this has been established.

A

Nexus to Employment.

(Chap. 2)

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8
Q

What circumstances establish a nexus to the department?

A

Uniformed and Nonuniformed Employees:
-The misconduct occurred while the employee was on duty, regardless of location or assignment.
-While off-duty, an individual’s employment status is affirmatively established by an overt act.
-Off-duty misconduct which relates to the employee’s job duties
Uniformed employees:
- All criminal acts, whether on or off-duty.
Nonuniformed employees:
-Off-duty criminal act which resulted in conviction for a felony, OR crime of moral turpitude.

(Chap. 2)

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9
Q

True or False:
Knowledge of employment status with the Department is sufficient to establish a nexus.

A

False. Normally, mere knowledge of employment status with the Department is insufficient to establish a nexus.

(Chap. 2)

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10
Q

The unauthorized absence for five consecutive working days (whether the absence was voluntary or involuntary) and is considered an automatic resignation from state service (effective the last day the employee worked), is known as what?

A

Absent Without Leave (AWOL).

(Chap. 2)

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11
Q

The compelled, formal, and direct questioning of an employee to determine the facts for an administrative investigation is known as what?

A

Administrative Interrogation.

(Chap. 2)

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12
Q

A leave of absence initiated by the Department and can be either paid or unpaid leave, is known as what?

A

Administrative Time Off (ATO).

(Chap. 2)

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13
Q

The Bazemore admonition (may/should/shall) be included in all Memoranda of Direction (MOD) and (may/should/shall) be stated verbatim.

A

Shall / Shall

(Chap. 2)

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14
Q

What are the two types of a CHP 2, Incident Report?

A

1 - Commendable. A record of commendable acts, outstanding levels of performance, outstanding accomplishments, or efforts toward self-improvement

2 - Censurable. A record of censurable acts or omissions which is intended to correct inappropriate behavior, conduct, or performance. A CHP 2 shall not be issued if adverse action will be taken against the employee for the same acts

(Chap. 2)

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15
Q

Knowingly providing false statements, making an intentional misrepresentation of facts, or intentionally omitting information of a material nature. (Usually results in dismissal). This is the definition of what?

A

Dishonesty Allegation.

(Chap. 2)

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16
Q

Any testimony, document (digital or otherwise), or tangible object, which tends to prove or disprove an alleged fact. This is the definition of what?

A

Evidence.

(Chap. 2)

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17
Q

A memorandum issued to an employee to formally document supervisory counseling pertaining to misconduct, behavior, or poor performance. This memorandum does not normally contain the Bazemore admonition.

A

Memorandum of Counseling (MOC)

(Chap. 2)

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18
Q

A memorandum issued to an employee to formally document misconduct, behavior, or poor performance, and to provide specific direction to preclude a recurrence. Is remedial or counseling in nature. The Bazemore admonition shall be included in all of these.

A

Memorandum of Direction (MOD)

(Chap. 2)

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19
Q

A memorandum issued to an employee to formally explain the expectations for conduct or performance. An example would be an officer assigned to a sensitive position in which confidentiality is required. Should not contain Bazemore.

A

Memorandum of Expectation (MOE)

(Chap. 2)

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20
Q

A memorandum issued to an employee to document the findings of a miscellaneous investigation or civilians’ complaint. Sometimes used when the employee is exonerated of misconduct or when substantiated misconduct does not rise to the level of an MOD. This is also used when an employee resigns and/or retires pending an investigation.

A

Memorandum of Findings (MOF)

(Chap. 2)

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21
Q

An agreement between two or more parties outlined in a formal document is known as what?

A

Memorandum of Understanding (MOU)

(Chap. 2)

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22
Q

Under the POBR Act Tolling, In order to impose punitive action, the Department must investigate and notify the officer of the proposed discipline within what time frame?

A

Within one year of discovering the misconduct.

(Chap. 2)

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23
Q

Under GC Section 19635, Adverse Action shall not be valid against any state employee unless notice of AA is served within how many years after the cause of discipline first arose.

A

Three years.

(Chap. 2)

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24
Q

Mutinous, disrespectful, or contumacious (willfully disobeyed) conduct by an employee. The employee has intentionally and willfully refused to obey an order by a supervisor who is entitled to give and entitled to have obeyed. This is known as what?

A

Insubordination.

(Chap. 2)

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25
Q

In order to prove this allegation, the Department must prove by a preponderance of evidence the employee made intentional misrepresentations of known facts, or a willful omission of pertinent facts, or a disposition to lie, cheat, or defraud.

A

Dishonesty.

(Chap. 2)

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26
Q

_______ 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. _________ provides the employee with the tools and awareness to bring performance to an acceptable level.

A

Progressive Discipline

(Chap. 3)

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27
Q

Whenever an employee’s performance or conduct does not meet established expectations, who should determine if the employee has been provided with adequate training or notice of performance expectations?

A

The Commander

(Chap. 3)

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28
Q

What are the steps of the progressive discipline process?

A

1 - first look to prevent poor performance or misconduct,
2 - take corrective action if needed, and
3- finally, take adverse action if the employee does not respond to preventative and/or corrective actions, or the acts of misconduct are severe.

(Chap. 3)

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29
Q

Although not intended to be disciplinary, interim reporting (may/should/shall) be included in the progressive discipline process when substandard performance is an issue.

A

May.

(Chap. 3)

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30
Q

What is the purpose of Progressive Discipline?

A

To modify an employee’s behavior. By:
1 - instruct and train the employee to act and perform in accordance with standards of conduct.
2 - provide the employee with the tools and awareness to bring performance to an acceptable
level.
(Chap. 3)

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31
Q

What is the goal of corrective actions?

A

The goal of written or verbal corrective actions is to:
1 - bring the employee’s performance to an
acceptable level and to
2 - prevent continued misconduct or poor
performance.
(Chap. 3)

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32
Q

During an Informal Counseling session, does the employee have rights to representation?

A

No. Informal counseling is considered a routine business communication and, therefore, is not subject to the grievance process, nor is the employee entitled to representation.

(Chap. 3)

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33
Q

Supervisors (may/should/shall) document an informal counseling session

A

Supervisor MAY document the informal counseling of an employee for purposes of memorializing their own activity, i.e., CHP 112, Management Summary.

(Chap. 3)

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34
Q

During an Formal Counseling session, does the employee have rights to representation?

A

No. Formal counseling is considered a routine business communication and, therefore, is not subject to the grievance process, nor is the employee entitled to representation.

(Chap. 3)

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35
Q

Supervisors (may/should/shall) document a Formal Counseling session

A

Supervisors SHALL document the formal counseling in the employee’s monthly evaluation form, or documented on MOC if employee does not have one.

(Chap. 3)

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36
Q

A formal counseling session may/should/shall be documented on the supervisor’s evaluation form

A

A formal counseling session SHOULD be documented on the supervisor’s evaluation form (CHP 112).

(Chap. 3)

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37
Q

A supervisor may/should/shall document Informal Counseling

A

A supervisor MAY document the informal counseling of an employee for purposes of memorializing their own activity, i.e., CHP 112, Management Summary.

(Chap. 3)

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38
Q

Employees in BU 5 and BU 7 have the right to submit a written response within ____ days to any adverse comment entered into the employee’s personnel file.

A

30 days.

(Chap. 3)

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39
Q

A copy of employee’s written response to an adverse comment may/should/shall be attached to the corrective documentation

A

A copy of the employee’s response SHALL be attached to ALL COPIES of the corrective documentation.

(Chap. 3)

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40
Q

What is the lowest penalty in the adverse action process?

A

Formal Written Reprimand.

(Chap. 3)

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41
Q

A formal written reprimand shall be retained for _____ years as an official part of the employee’s personnel record

A

Three

(Chap. 3)

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42
Q

May a salary reduction be imposed at any salary step?

A

No, this penalty is not available for an employee working at the minimum salary for the employee’s classification

(Chap. 3)

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43
Q

A CHP 7, Internal Investigation is used for what actions?

A

adverse action, rejection during probation, miscellaneous investigation, complaints from departmental personnel, and non-punitive termination.

4-3

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44
Q

The CHP 7E shall be maintained at Division offices for a period of _______ from the __________________ and in a location that ensures confidentiality.

A

five (5) years; end of the calendar year.

4-3

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45
Q

Whos has primary responsibility for the internal investigation process?

A

Commanders have the primary responsibility for the
internal investigation process at the command and Division level.

4-3

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46
Q

What circumstances cause an investigation to be conducted?

A

Whenever information is obtained or uncovered involving
1 -alleged misconduct, or
2 - substandard performance.

4-3

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47
Q

Which command has investigative responsibility to conduct an internal investigation?

A

The commander of the Area to which the involved employee was assigned at the time of the alleged misconduct. Circumstances may exist in which another commander may be responsible for conducting the investigation.

4-4

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48
Q

Who has responsibility to assign an investigator to an internal investigation?

A

The commander (or designee) shall assign a
primary investigator in a timely manner.

4-4

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49
Q

Whos must ensure the investigation is afforded sufficient personnel and resources?

A

Commanders must ensure the investigation is
afforded sufficient personnel and resources.

4-5

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50
Q

Suspense - What is the timeframe an Area has to conduct the investigation before it has to be forwarded to the Office of Internal Affairs (OIA)?

A

60 calendar days from the date the Area becomes aware of
the misconduct to forward to Office of Internal Affairs (OIA). Should request permission of appropriate Assistant Commissioner for complex cases exceeding 60-days.

4-5

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51
Q

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 who?

A

The Office of Internal Affairs (OIA).

4-5

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52
Q

For criminal offenses, what mandatory notifications shall be made by the commander?

A

1 - the appropriate Division Commander.
2 - the Office of Internal Affairs (OIA).
3 - Office of the Commissioner prior to any contact with a prosecuting authority (through proper channels).

4-6

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53
Q

What are two accepted methods for conducting a criminal
investigation?

A

1 - Concurrent Investigation - Criminal and Administrative investigations are conducted simultaneously. Advantage is the administrative investigation can be completed more expeditiously.
2 - Consecutive Investigation - criminal investigation is completed and a decision (e.g., rejection or filing of charges) is made by the prosecuting authority prior to initiating the administrative investigation. Advantage is it precludes any improper sharing of information.

4-6

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54
Q

Evidence gathered during an administrative investigation shall not be released to an allied agency without first doing which two things?

A

Contacting OLA, and only with approval from the Office of the Commissioner.

4-6

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55
Q

For uniformed employees, a copy of the criminal investigation and/or arrest record (shall/shall not) be included with the administrative investigation.

A

For uniformed employees, a copy of the criminal investigation and/or arrest record SHALL BE included with the administrative investigation.

4-8

56
Q

For non-uniformed employees, arrest reports which have not
resulted in a conviction (can/cannot be) included in the investigative file
(Labor Code § 432.7).

A

For non-uniformed employees, arrest reports which have not
resulted in a conviction CANNOT BE included in the investigative file.

4-8

57
Q

Allegations involving potential criminal misconduct by a non-uniformed employee shall be administratively investigated only under which circumstances?

A

(1) Any criminal misconduct which could lead to a felony conviction.
(2) Any criminal misconduct constituting a misdemeanor involving moral
turpitude.
(3) Any criminal misconduct where the employee has established a nexus to
the Department.

4-8

58
Q

If an employee of this Department is requested to be interviewed by outside investigators (FBI, DOJ, State DOJ, etc) pursuant to a civil rights investigation, what following guidelines shall apply?

A

(1) The decision to consent to an interview shall be at the sole discretion of the
departmental employee.
(2) If such an interview is conducted on state time, a departmental supervisor
shall be present.
(3) Interviews conducted on state time shall be tape recorded.

4-9

59
Q

True or False?

ANONYMOUS COMPLAINTS. The Department is required to investigate ALL
allegations of misconduct filed as a citizens’ complaint.

A

True. (as provided in Section 832.5 of the California Penal Code).

4-9

60
Q

What is the policy on investigating a complaint, even if anonymous, generated by departmental personnel?

A

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, departmental resources should not be expended to determine the source of such complaints.

4-10

61
Q

Who has investigative responsibility to investigate an employee on a temporary assignment?

A

The employee’s permanent commander. (however, division commander may direct the temporary supervisor and/or command to investigate).

4-11

62
Q

When investigation involves multiple employees of different commands, which command has investigative responsibility?

A

The command with the employee with the most severe allegations,
OR the command with the greatest number of employees involved.

4-11

63
Q

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 one (1) year of the Department’s discovery of the allegation by a person authorized to initiate an internal investigation (typically a supervisor or above). This section also states the Department must notify the employee of its proposed disciplinary action within this one-year period, except under which circumstances?

A

(1) The internal investigation cannot be completed due to a pending criminal investigation by another law enforcement agency.
(2) The employee waives the one-year time period in writing. Time shall be tolled for the time specified in the written waiver.
(3) A reasonable extension is necessary to coordinate a multi-jurisdictional investigation.
(4) The investigation involves more than one employee and requires a reasonable extension.
(5) 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.
(6) The investigation involves a matter of civil litigation and the employee is a defendant.
(7) The investigation involves a matter under criminal investigation and prosecution, and the complainant is a criminal defendant.
(8) The investigation involves an allegation of workers’ compensation fraud by
the employee.

4-12

64
Q

An internal investigation of an employee may be reopened beyond the one year
time period if which two circumstances exist?

A

(1) Significant new evidence has been discovered that is likely to affect the
outcome of the investigation, and
(2) One of the following conditions exists:
(a) The evidence could not reasonably have been discovered without
resorting to extraordinary measures by the Department.
(b) The evidence resulted from the employee’s predisciplinary hearing
response or procedure.

4-13

65
Q

A managerial tool in which the employee is ordered to stay away from the work
location, typically assigned to remain at the employee’s residence. The leave is
generally paid, but can be unpaid. This is known at what? What happens to uniformed employees?

A

Department-initiated Leave of Absence. For uniformed employees, a leave will also invoke a removal of peace officer powers.

4-15

66
Q

Who has responsibility to notify the California Department of Human Resources (CalHR) when an employee is placed on a Department-initiated leave of absence?

A

The commander.

4-15

67
Q

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 what time frame?

A

15 calendar days.

4-16

68
Q

A commander who wishes to have an employee’s peace officer powers reinstated shall obtain approval through who?

A

The appropriate Assistant Commissioner.

4-18

69
Q

If during an investigation allegations of discrimination, harassment, and/or racial profiling is made or discovered, what shall be done?

A

Notifications shall be made to Division and the Office of Equal Employment Opportunity (OEEO).

4-19

70
Q

What happens if an employee under investigation is terminated for going AWOL?

A

If an internal investigation had been initiated prior to the employee being terminated for being AWOL, the investigation shall be completed.

4-20

71
Q

All statements from departmental employees who are interviewed as witnesses
during internal investigations (may/should/shall) be recorded.

A

Shall.

6-4

72
Q

Statements obtained from non-departmental witnesses are to be recorded,
unless the witness objects to the recording. In such instances, how will the investigator document the statements?

A

A memorandum shall be prepared by the investigator summarizing the statements.

6-4

73
Q

Can administrative interrogations be video recorded?

A

Unless previously approved by the Office of the Commissioner, video recordings SHALL NOT be made of administrative interrogations.

6-5

74
Q

All interviews and criminal and/or administrative interrogations
shall be documented how?

A

Either 1) summarized on a memorandum or 2) transcribed.

6-5

75
Q

For all dismissal cases, the employee’s interrogation (may/should/shall) be transcribed in its entirety. Who is responsible for ensuring its accuracy?

A

For all dismissal cases, the employee’s interrogation SHALL be transcribed
in its entirety. The ASSIGNED INVESTIGATOR shall be responsible for ensuring
the accuracy of such transcriptions.

6-6

76
Q

Commanders (may/should/shall) utilize an outside vendor to
transcribe interviews and/or interrogations.

A

May.

6-6

77
Q

Administrative Interrogations can be accomplished by a single investigator or by an
investigative team, limited to a maximum of how many investigators?

A

Two (2) Investigators.

6-10

78
Q

True or False
Notification must be made prior to a criminal interrogation.

A

False. Notification is not required prior to a criminal interrogation. (Although
employees are generally given advance notice of administrative interrogations,
such notice is not normally given prior to criminal interrogations.)

6-12

79
Q

To maintain the separation between investigations, criminal investigators (shall/shall not) participate in administrative interrogations.

A

To maintain the separation between investigations, criminal investigators SHALL NOT participate in administrative interrogations.

6-13

80
Q

Multiple administrative interrogations regarding the same matter
should be avoided. Prior to a interrogations regarding the same subject area(s), the employee (shall/shall not) be given a copy of the recordings of all previous administrative interrogations if request is made.

A

Multiple administrative interrogations regarding the same matter
should be avoided. Prior to an employee being the subject of additional
administrative interrogations regarding the same subject area(s), the employee
SHALL be given a copy of the recordings of all previous administrative
interrogations, as well as the related transcripts from those interrogations if
available.

6-13

81
Q

What are the required elements in a Notice of Administrative Interrogation?

A

1 - The nature (scope) of this interrogation.
2 - Rank, name, and command of the lead and assistant interrogators.
3 - Date, time and location of the interrogation.
4 - The right to representation.

6-15

82
Q

In most instances, it is reasonable to provide the employee
________ notice prior to an interrogation. However, there may be time-sensitive
investigations which require service less than ________ (or immediately prior to)
the interrogation.

A

Three (3) business days; 24 hours. If less than 3 business days is needed, commanders should consult with respective Division, Office of Internal Affairs (OIA), and Office of Employee relations (OER).

6-16

83
Q

True or False
If the employee is unavailable for the personal service of Notice of Interrogation, it is possible to advise them verbally.

A

True, employee SHALL be notified verbally in this rare occasion.
Regardless of the verbal notification, the employee shall be served with a hard (printed) copy of the notice prior to the actual interrogation.

6-16

84
Q

What is the time constraint for an interrogation session?

A

For a reasonable period, taking into consideration the gravity and complexity of issues being investigated.

6-17

85
Q

Under the Confidentiality Order, who may the employee discuss the interrogation and/or investigation with?

A

Their chosen representative, attorney, commander (if not a party to the investigation), or investigators assigned to case.

6-19

86
Q

What is Marital Privilege?

A

Marital Privilege exempts a married person from having to testify against a spouse in any proceeding. (Evidence Code 970-981)

6-20

87
Q

Would Marital Privilege also apply to the married uniformed members of the department?

A

No, marital privilege does not exist when both spouses are
uniformed members of the Department. (Evidence Code 970-981)

6-20

88
Q

Only those adverse actions, which were served to the employee within _______ can be added to the investigative file and included on the CHP 7B.

A

five (5) years, UNLESS adverse action resulted in a formal written reprimand, in which case only those which occurred within the past three (3) years from the date the employee was served can be included.

7-4

89
Q

Only a Memorandum of Direction (MOD) received by the employee within the past ________ , from the date the employee was served the MOD, can be included in the investigative file.

A

three (3) years.

7-4

90
Q

Only a CHP 2, Incident Report, whether censurable or commendable, within the past ________ from the date the employee was served can be included in the investigative file.

A

three (3) years.

7-5

91
Q

Civilians’ complaint with a finding of Sustained or Unintentional Error, within the past ________ years from the date the complaint was received by the Department can be included in the investigative file.

A

five (5) years.

7-5

92
Q

Employee performance appraisals within the past ________ should be included in the investigative file.

A

three (3) years.

93
Q

True or False
For a Rejection During Probation, Probationary periods can be extended to allow additional time for completion of the investigation

A

False. Probationary periods cannot be extended to allow additional time for completion of the investigation

7-8

94
Q

What is the timeframe to serve an employee with a Rejection During Probation?

A

10-15 days prior to the last day of their probationary period. (GC Section 19173)

7-8

95
Q

What two (2) circumstances would convert an internal investigation to a Miscellaneous Investigation?

A

1 - If, during an administrative investigation, it is discovered the actions of the employee do not merit adverse action or rejection during probation.

2 - if the employee separates from the Department prior to being served with a notice.

7-10

96
Q

True or False
If an employee retires or resigns while the subject of an administrative investigation and prior to the service of a notice, the date and method of retirement/resignation notification shall be an entry in the chronological summary.

A

True.

7-10

97
Q

Upon receipt of the approved investigation file from Division, the command shall prepare how many total copies?

A

Five (5) total copies:
(1) Original and one (1) copy forwarded to OIA.
(2) One (1) copy forwarded to Division, who will note the date sent on the
CHP 7E for the date the investigation was forwarded to OIA. This copy will be
used for the predisciplinary hearing.
(3) One (1) copy retained in initiating command’s master file.
(4) One (1) copy retained in initiating command for later issuance to the
involved employee.

8-3

98
Q

The respective Division commander (in the chain of command of the
involved employee) is the final level of approval for adverse action with which two penalties?

A

(1) Formal written reprimand.
(2) Suspension of one (1) to five (5) working days, or the equivalent
monthly step reduction.

8-4

99
Q

The respective Assistant Commissioner (in the chain of command of the
involved employee) is the final level of approval for adverse action with which two penalties?

A

(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).

8-5

100
Q

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 which penalties?

A

(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.

8-5

101
Q

For a Formal Written Reprimand and Suspension (Officers and Sergeants), the effective date of the adverse action shall be no less than __________ from the date of service of the NOAA.

A

25 calendar days.

8-6

102
Q

True or False
For uniformed employees, suspension days are to be scheduled consecutively, with no regular days off (RDOs) or holidays during the suspension period.

A

True. RDOs must be scheduled outside the suspension period.

8-6

103
Q

Suspension can be up to a maximum of __ days.

A

42 days. If suspension is longer, suspensions can be set up over consecutive pay periods.

8-6

104
Q

Suspensions (may/shall/shall not) result in Fair Labor Standards Act (FLSA)
overtime or positive excess hours

A

Suspensions SHALL NOT result in Fair Labor Standards Act (FLSA)
overtime or positive excess hours

8-6

105
Q

Suspension periods (may/shall/shall not) include days on injury status (e.g.,
Labor Code § 4800.5).

A

Suspension periods SHALL NOT include days on injury status (e.g.,
Labor Code § 4800.5).

8-7

106
Q

In cases where a suspension will cause a nonqualifying
pay period for the employee, ________ shall be
responsible for preparing a memorandum notifying the employee of
the effects to the employee’s pay and/or benefits. This memorandum shall be served concurrently with ________.

A

The commander; the Notice of Adverse Action (NOAA).

8-7

107
Q

An employee must have ________ working day(s) (includes the usage
of leave credits, compensated time off) in a monthly pay period to
qualify for paid medical benefits.

A

One (1) working day.

8-7

108
Q

Commanders (may/should/shall) make every
effort to ensure scheduled suspensions do not result in the loss of
paid medical benefits.

A

Shall.

8-7

109
Q

For a Formal Written Reprimand and Suspension (non-uniformed employees, excluding managers), the effective date of the adverse action shall be no less than __________ from the date of service of the NOAA.

A

25 calendar days.

8-7

110
Q

For a Formal Written Reprimand and Suspension (all managerial employees), the effective date of the adverse action shall be no less than __________ from the date of service of the NOAA.

A

20 calendar days.

8-7

111
Q

True or False
For Formal Written Reprimand and Suspension, For non-uniformed employees, a suspension period can encompass suspension days, RDOs and state holidays.

A

True.

8-7

112
Q

For a Rejection During Probation, probationary employees do not have the same Pre-disciplinary Hearing (PDH) rights as permanent employees.

A

False. State law entitles probationary employees to the same PDH rights as permanent employees.

9-4

113
Q

What is the role of a pre-disciplinary hearing?

A

Provides affected employee opportunity to respond prior to imposition of discipline, rejection during probation, or termination. Affords employee ability to provide information which could mitigate or lessen proposed punishment.

114
Q

Employees may use leave credits to satisfy entire period for suspensions of how many days?

A

Suspension of Five (5) Days or Less. Employees may use leave credits to satisfy the entire suspension period.

9-10

115
Q

Employees may use leave credits to satisfy up to 1/2 of suspension period for suspensions of how many days?

A

Suspension of Six (6) Days or More. Employees may use leave credits to satisfy up to one-half of the suspension period.

9-10

116
Q

It is the responsibility of who to verify the employee has sufficient leave credits to satisfy the request for suspension?

A

The commander shall verify the employee has sufficient leave credits available to cover the request.

9-11

117
Q

An employee may file an appeal with the SPB Appeals Division no later than ________ after the effective date of a Notice of Adverse Action

A

30 calendar days.

9-12

118
Q

A rejected, probationary employee may file an appeal with the SPB Appeals Division no later than ________ after the effective date of the rejection.

A

15 calendar days.

9-12

119
Q

True or False
Any form of resignation, oral or written, is equally binding.

A

True. Should an employee provide an oral resignation, a
written resignation should be sought to avoid potential misunderstanding.

10-3

120
Q

Resignation During an Internal Investigation. A commander (shall/shall not) accept a
resignation submitted by an employee against whom an internal investigation is
pending.

A

A commander SHALL accept a resignation submitted by an employee against whom an internal investigation is pending.

10-3

121
Q

Upon receipt of employee’s resignation, what shall the commander do as reply?

A

In reply, the commander shall provide the employee with a Response to
Voluntary Resignation memorandum (memo). The memo provides the employee a
24-hour period to consult and seek guidance before the resignation takes effect.

10-3

122
Q

True of False
Less than full-time employees are NOT considered AWOL when they are absent for five (5) or more of their consecutive scheduled workdays, despite the scheduled length of the workday

A

False. Less than full-time employees ARE considered AWOL when they are absent for five (5) or more of their consecutive scheduled workdays, despite the scheduled length of the workday

10-4

123
Q

A warning notice shall be sent on which day of an employee being absent without leave (AWOL)? Where is it sent to?

A

On the third day of no contact with the employee. The notice is mailed to the last known address of the employee.

10-4

124
Q

For AWOL employee; If the employee returns to work before the date of separation, what shall the period of unauthorized absence be reported as on their attendance report?

A

The period of unauthorized absence shall be reported as “dock time” on the employee’s attendance report.

10-4

125
Q

After the ________ day of AWOL, the employee’s commander shall send an
Absent Without Leave Notice to the last known address of the employee.

A

After the FIFTH day of AWOL.

10-4

126
Q

What is a Coleman Hearing?

A

Similar to a Pre-disciplinary Hearing, the Coleman Hearing is an informal review conducted by an impartial and uninvolved Assistant Chief. The Coleman Hearing officer must determine if the employee was absent for five (5) consecutive workdays and if the absence was without permission. Once this determination is made, the Coleman Hearing officer is empowered to sustain or rescind the automatic resignation.
10-5

127
Q

What is the purpose of the Stipulated Adverse Action Process (SAAP)

A

The purpose of the Stipulated Adverse Action Process (SAAP)
is to expeditiously resolve employee discipline issues when employees accept
responsibility for their misconduct.
13-3

128
Q

The Stipulated Adverse Action Process (may/should/shall) be used when?

A

The SAAP MAY be used when an employee is the subject of an Adverse
Action, and the facts are straightforward and undisputed (e.g., negligent discharge, or
an at-fault patrol vehicle crash)
13-3

129
Q

What is the criteria for when the Stipulated Adverse Action Process (SAAP) may be used?

A

1 - Shall not be used when civil liability or criminal allegations are present, or serious misconduct (as defined in California Penal Code (PC) Section 13510.8, without direct approval from the Commissioner or Deputy Commissioner.)
2 - The Area commander should be reasonably confident no new relevant information or facts would be revealed by conducting a full administrative investigation.
3 - the employee accepts full responsibility, and shall be forthcoming with all info regarding the incident.
13-3

130
Q

Once approval for the Stipulated Adverse Action Process (SAAP) has been given, the Area commander has how long to draft and submit the CHP 7S to Division for review?

A

10 business days.
13-5

131
Q

Upon receipt of the CHP 7S, the Division commander has
how many days to review and submit the CHP 7S to the Office of Commissioner?

A

10 business days.
13-5

132
Q

Within (how many days) of receipt of the Stipulated Adverse Action Process (SAAP), the Commissioner, or their designee, will review the facts and determine the appropriate final penalty.

A

10 business days.
13-5

133
Q

Once the CHP 7S is approved by the Office of the Commissioner, the CHP 7S will be forwarded where? why?

A

To the Office of Internal Affairs (OIA) for preparation of the Notice of Adverse Action (NOAA).
13-6

134
Q

The OIA will have how many days to complete the NOAA and forward it electronically, via e-mail, along with the CHP 7S, to the appropriate Division for service?

A

Five (5) business days.
13-6

135
Q

When the appropriate Division receives the 7S and Notice of Adverse Action (NOAA) from Office of Internal Affairs (OIA), what is the timeframe to forward the 7S and NOAA to the appropriate command?

A

The 7S and NOAA shall be immediately forwarded to the command.
13-6

2023 Lieutenant Exam (11 decks)

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