HPM 10.2 Flashcards
When a departmental supervisor or manager is notified of or discovers alleged misconduct on the part of an employee, notification to the next level in the chain of command shall be made as soon as it is practical. If the alleged misconduct is egregious, the supervisor or manager shall make _________ notification to the succeeding level in the chain of command.
immediate
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 _________ concurrence, an internal investigation shall be initiated.
Division
Upon initiation of an internal investigation, Division should/shall notify the appropriate Assistant Commissioner. The Office of Internal Affairs (OIA) shall also be notified for tracking purposes.
shall
Divisions may implement procedures to permit commands to notify OIA directly, although an investigation control number must still be obtained from the respective Division. Notifications shall include the following information:
(1) The investigation control number.
(2) Name, rank, and identification number of the employee(s) involved.
(3) Date(s) of the alleged incident, the date the Area became aware of the misconduct, and the date the investigation is due to OIA.
(4) If rejection during probation is being considered, the date the employee’s probation ends shall also be included.
(5) Brief summary of the alleged misconduct or substandard performance.
Adverse Action. 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. Penalties consist of:
1 Involuntary transfer. 2.Formal written reprimand. 3 Salary Reduction. 4 Suspension. 5 Demotion. 6 Dismissal.
Once initiated, an administrative investigation has four possible outcomes:
- Rejection During Probation.
- Adverse Action.
- Misc. Investigation.
- Non-Punitive Termination.
All criminal acts by non-uniformed employees, either on or off duty, which constitute a ______ or crime of moral turpitude.
felony
In cases of minor discipline (1 - 5 working day suspension), a Bargaining Unit 5 employee who is not satisfied with the decision rendered in the predisciplinary hearing may, through the appropriate collective bargaining unit, submit a request for __________.
arbitration
Absence for five consecutive working days (whether the absence was voluntary or involuntary) is considered an automatic ___________ from state service, effective the last day the employee worked.
resignation
The Bazemore admonition shall be included in
all Memoranda of Direction (MODs) which are counseling or remedial in nature. The Bazemore admonition should/shall be stated verbatim.
shall
CHP 2, Incident Report. A CHP 2 should/shall not be issued if adverse action will be taken against the employee for the same acts.
shall not
Closing documentation is:
Notice of Adverse Action
Memorandum of Findings
MOD
CHP 2
The process by which an employee who has resigned (by being absent without leave [AWOL]) has the opportunity to present information to an impartial and uninvolved departmental member with the authority to recommend a final disposition:
Coleman Hearing.
The AWOL notice is to be sent by overnight mail, not certified mail. This should be supported by a Proof of Service by Mail (Annex D). Upon mailing the AWOL notice, a copy of both the notice and the Proof of Service by Mail should be sent to the Office of Internal Affairs (OIA) and HRS. Service is effective 5 calendar days after the postmark date for addresses within California, 10 days after the postmark for addresses outside California but within the United States, and 20 days after the postmark for addresses outside the United States. The notice must be sent to the employee’s last known place of residence. If the notice is returned as undeliverable, the notice shall be placed in the employee’s personnel file to verify the attempt to contact the employee.
Dismissal Review Panel. A panel consisting of ____ members who are convened at the request of the Commissioner or Deputy Commissioner after the
review process of an internal investigation has been completed.
five
_____ __ _______ has previously been referred to as Administrative Time Off (ATO). Approval must be obtained, through channels, from the appropriate Assistant Commissioner prior to placing an employee on a leave of absence.
Leave of Absence
The admonishment given in administrative interrogations which advises the subjects of the interrogations that they do not have the right to refuse to answer administrative questions:
Lybarger Admonishment
Any statement made during an administrative interrogation cannot be used in a subsequent
criminal proceeding.
Notice of Administrative Interrogation. The notice is
usually given by memorandum from the employee’s commander, but may be delivered verbally under _______ circumstances.
exigent
Stipulated agreements are completed by the ______ __ _____ _______ and approved by the Commissioner or the Deputy Commissioner.
Office of Legal Affairs
What are the 8 spokes on the Wheel of Discipline?
- Verbal Counseling
- 100/112 Comment, MOC
- MOD
- CHP 2
- Denial of Salary Adj. or Rate Change
- Interim Reporting
- RDP
- Adverse Action
Corrective actions may be initiated by a supervisor, but
are usually prepared with the concurrence and approval of the commander. True or False.
True
MOC does not normally contain Bazemore.
MOD shall contain Bazemore.
CHP 2 shall/shall not contain Bazemore.
shall not
The six types of penalties for adverse actions are as
follows:
Involuntary Transfer. Formal Written Reprimand. Salary Reduction. Suspension. Demotion. Dismissal.
Nexus is established in the
following circumstances:
1. The act(s) occurred while the employee was on duty, regardless of
location or assignment.
2. All criminal acts by uniformed employees, either on or off duty.
3. All criminal acts by non-uniformed employees, either on or off duty, which
constitute a felony or crime of moral turpitude.
4. While off duty, an individual’s employment status is affirmatively
established by an overt act.
5.
6.
- Any off-duty misconduct with a clear connection to the employee’s continued ability to effectively perform the duties of the employee’s position.
- The misconduct is of such a nature that it could bring discredit to the Department.
Supervisors and managers are expected to ensure employees are informed of expectations via:
- Briefings
- Ride-alongs
- One-on-one discussions
- Training days
- Written acknowledgements of policy review
What is the center of the Wheel of Discipline?
Employee’s Behavior/Performance Deficiency
Examples of preventative actions include, but are not limited to, the following:
- Adequate ongoing training
- Clearly defined job duties, conduct, expectations, etc
- Positive and respectful workplace communication
- Provide routine feedback
- Fair and impartial supervision
- EAP referrals when appropriate
Corrective Actions. The following considerations should be evaluated prior to taking action:
- POBR, read and understand it.
- ID specific act/omission w/corresponding policy and law.
- Understand nature and extent of problem.
- Gather all facts.
- Discuss with employee before decision.
- Review personnel folder.
Corrective documentation can take the form of any of the following:
(a) Monthly evaluation comment (e.g., CHP 100, CHP 100PSD, CHP 112).
(b) Memorandum of Counseling.
(c) Memorandum of Direction
(d) Censurable CHP 2.
The following conditions must be met to establish cause:
- The rules or standards violated must bear a reasonable relationship to specific job and/or the goals and mission of the Department.
- Must have clear knowledge of the rules or standards charged with violating.
- The rules or standards must be equitably enforced.
- If from off-duty conduct, there must be a nexus between the misconduct and their position.
- Investigation must be thorough, impartial, and objective.
- Must have preponderance of evidence.
If the involved employee has __________ the responsible command shall retain the copies of the investigation until such time the employee is served with a Notice of Adverse Action.
transferred
The commander (or designee) shall assign a primary investigator in: 1. a timely manner 2. 5 work days 3. 10 calendar day from Area aware date
- a timely manner
To ensure impartiality, the assigned investigator should/shall not be a party or
witness to the incident(s) in question.
shall not
In complex cases where the investigations will exceed 60-days, the Division commander should contact the appropriate _________ ____________ to
request an extension.
Assistant Commissioner
Employees should/shall be informed of the availability of resources, such as Employee Assistance Program (EAP), at appropriate times during the
investigation.
shall
There are two accepted methods for conducting a criminal investigation without negatively influencing the corresponding administrative investigation, __________ and ___________.
concurrent and consecutive.
Investigators must remain aware that when the Department is completing the criminal investigation, the one (1) year time limitation is/is not tolled as it would when an allied agency is conducting the investigation.
is not
Criminal Interrogations should/shall be conducted prior to the administrative interrogation if involving the same employee and the same act(s).
shall
To maintain the separation between investigations, criminal investigators should/shall not participate in administrative interrogations (although it may be permissible to assist in planning the interrogation).
shall not
Once the administrative interrogation has been conducted, the administrative and criminal investigators should/shall not have any further contact
regarding the investigation until all criminal aspects have been resolved.
shall not
In general, 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.
For uniformed employees, a copy of the criminal investigation and/or arrest record should/shall be included with the administrative investigation.
shall be
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).
cannot
Allegations involving potential criminal misconduct by a non-uniformed employee shall be administratively investigated only under the following circumstances:
- Criminal misconduct which could lead to a felony conviction.
- Criminal misconduct constituting a misdemeanor involving moral turpitude.
- Criminal misconduct where the employee has established a nexus to the Department.
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.
Adverse Action One-Year Timeframe. Exceptions:
- Pending criminal investigation (shall toll the 1 yr time)
- Employee waives in writing.
- Multi-jurisdictional investigation.
- Multiple employees
- Incapacitated, unavailable (military leave, extended vacation, medical “stay away” orders, etc.)
- Civil litigation and employee is defendant.
- Involves a matter under criminal investigation and
prosecution, and the complainant is a criminal defendant. - Involves an allegation of workers’ compensation fraud by
the employee.
An internal investigation of an employee may be reopened beyond the one-year time period if both of the following circumstances exist:
1. Significant new evidence has been discovered that is likely to affect the outcome of the investigation, and
- 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.