HPM 10.2 (b) Internal Investigations Manual Flashcards
Who does the POBR apply to?
All permanent departmental peace officers. The Department has extended POBR rights to all employees except cadets.
Who has the final authority for up to, and including 5-day suspensions, or the equivalent number of monthly step reductions in salary for non-managerial employees.
Divisions.
Who has the final authority of six through 2-day suspensions, the equivalent number of monthly step reductions in salary or removal of bargaining Unit 5 personnel from specialty pay positions for field personnel?
Assistant Commissioner - Field.
Who has the final authority for review and approval of all actions recommending a penalty of six through 2-day suspensions, the equivalent number of monthly step reductions in salary for headquarters personnel and rejections during probation for cadets?
Assistant Commissioner – Staff.
Who is the final level of review for all suspensions in excess of 2 days, or the equivalent number of monthly step reductions, dismissals, demotions and rejections during probations – except rejections of cadet?
The Commissioner or Deputy Commissioner.
What is a Dismissal Review Panel?
If requested, it is a panel which reviews actions where dismissal is the recommended penalty. They determine if the allegation merit dismissal or a lesser punishment.
What is an adverse action?
Dismissal, demotion, suspension or other disciplinary action. It does not include censurable Form 2’s, MOD or other supervisory counseling.
Who is authorized to initiate an adverse action with the concurrence of the next level of command?
Any Commander or designee.
Who is authorized to initiate rejection during probation with the concurrence of the next level of command?
Any Commander or designee.
The Department must notify the Department of Personnel Administration (DPA) when an employee is placed on a Leave of Absence With Pay exceeding how many days?
Five.
Who makes that notification to DPA?
BIA.
BIA must receive approval from DPA for a Leave of Absence With Pay exceeding how many days?
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Who has the authority to remove an officer’s peace officers power?
The appropriate Assistant Commissioner.
If an employee submits his/her resignation during probation and is under investigation for an adverse action or rejection during probation, does the investigation still need to be completed?
Yes.
If an employee is ready to retire or separate due to an injury, should an internal investigation be stopped?
No, a disciplinary action shall not be influenced by either factors.
When the commander of an employee determines an investigation is necessary, the commander shall send a brief Comm-Net, fax or e-mail to Division. Division is then required to inform whom?
IAS.
Within how many days are area and Division commanders required to forward an investigation to IAS?
6 days but can obtain an extension from the appropriate Assistant Commissioner.
How often are areas required to update Divisions on the status of ongoing investigations?
On the first of each month.
How often are Divisions required to update IAS on the status of ongoing investigations?
Prior to the 5th of each month.
During an investigation, the Commander shall ensure the primary investigator is at least one rank higher than the involved employee. Who is authorized to allow a deviation of this policy?
The Division Commander.
Whenever any employee of the Department learns that another agency is conducting any investigation involving departmental personnel, he/she shall immediately notify who?
His or her Commander.
Who is the Commander to notify?
IAS.
During an investigation when should witness be interviewed?
Immediately after the investigation is initiated.
Should witness interviews be done over the phone?
No, usually in person.
Can the Department allow a witness to remain “confidential”?
Yes, they shall be referred to as confidential witness #1, etc.
All original physical evidence gathered during an investigation shall be booked into evidence and shall be documented on what form?
CHP 36.
When a request is made for personal phone records, what information shall be removed?
All monitory amounts billed or charged. (Pursuant to 338 GC).
Is an investigator allowed to request a polygraph examination for a Departmental employee?
Yes, approval must be obtained prior by the Office of the Commissioner and it is voluntary. If the employee refuses, no adverse comments or other record may be made.
Should an interrogation of an employee be done before or after the gathering of all other available information?
After.
When should the administrative side of the CHP 89 be read to an employee.
When it is a matter which could lead to an adverse action.
Does an interrogation have to be recorded.
Yes, it shall be recorded.
Can an interrogated employee also record the interview?
Yes.
If a criminal and administrative investigation are conducted at the same time, should the criminal investigator assist with the administrative investigation?
No, shall not.
If administrative action is the result of continued substandard performance, documentation shall be included showing the employee repeatedly failed to improve after being advised his/hers performance was substandard and must be brought up to acceptable levels. This may be accomplished how?
By referring to: Performance records, memorandums, corrective interviews by supervisors, comparison to others with performing like tasks under similar conditions, additional training.
Internal investigations, which do not result in a recommendation for adverse action or rejection during probation, shall be documented as what?
A miscellaneous investigation.
For a miscellaneous investigation, how long shall a copy be retained at the area level?
Three years - unless the employee resigns during the investigation.
If, during the course of an investigation, allegations of discrimination, harassment, and/or racial profiling may be made or discovered, who is to be notified?
His/her commander. Division commander. EEOS. OOI. IAS.
Who is protected by the POBR?
All peace officers. Departmental policy covers all employees.
Punitive action is defined as what?
Action which may lead to dismissal, demotion, suspension, reduction in salary, written reprimand or transfer.
During an interrogation regarding matters, which could lead to adverse action, the interrogation shall be conducted under the following conditions.
Reasonable hour, when the employee would be on duty. Timely. Prior to interrogation, employee shall be informed of the rank, name and commands of all persons present. Shall be done in private. All questions shall be asked and directed by no more than two interrogators at one time. Employee shall be informed of the nature of the investigation. Employee shall be given breaks for necessities, lunch, misc. Employee shall not be subject to offensive language or threats. No promise of reward or immunity. Not subject to the media without his/her consent. Tape-recorded. Employee shall be entitled to a transcribed copy of any notes, unless deemed confidential. If, during the interrogation, it is deemed he/she may be charged with a criminal offense, Miranda rights shall be read. The interrogated employee has the right to be represented.
Should an employee be temporarily reassigned to a location or duty not within the normal scope of their employment?
No.
Can an employee have any comment adverse to his/her interest in his/her personnel file without knowing of it?
No, the employee is required to read and sign all documents. If an employee refuses to sign the document then the supervisor shall make the refusal notation and sign it together with a witness.
How long does an employee have to file a written response to any adverse comment entered in his/her personnel file?
3 calendar days.
Is an employee compelled to submit to a polygraph examination?
No and no disciplinary action or other recrimation shall be taken.
Is an employee required to complete a financial disclosure?
No, only where it is permitted by state law or if the employee is assigned to a specialized unit in which there is a strong possibility that bribes or other improper inducements may be offered.
What are the conditions an employees locker can be searched?
In his/her presence. With his/her consent. Valid search warrant. Where an employee has been notified that a search will be conducted.
When a meeting is held with an employee and his/her superiors for the purpose for eliciting information to support adverse action, does an employee have the right to representation?
Yes.
Can an employees representative, other that a designated union representative, be in that employees chain of command.
No, shall not.
Is the representative required to be passive?
No, but not disruptive or adversarial.
What is to be done if a representative is disruptive?
Admonishment from the CHP 8 and threat of possible removal.
If there is a suspected violation of the POBR where can a uniformed employee and a non uniformed employee initiate legal action?
Uniformed employee – Superior Court. Non-uniformed – a grievance procedure to the third level (Office of the commissioner).
If there is a violation of the POBR, who in the Department will coordinate with the Attorney General’s Office to determine potential courses of action?
Internal affairs.
Whenever a Bargaining Unit 5 employee loses or damages departmentally issued safety and police protective equipment, what may the employee do.
Reimburse the state for the item.
The “Skelly Rule” or “Skelly Decision” provides an employee with a pre-disciplinary opportunity to respond to proposed adverse action or rejection during probation. How may days does an employee get prior to receiving notice of the proposed action?
5 days.
How about for a managerial employee?
1 days.
In preparation for an adverse action there are two formats, what are they?
Short format and a long format.
When would the short format be used?
Loss of state equipment when repayment will not be sought. First preventable property-damage-only collision. Accidental discharge of a departmental weapon without injury or gross negligence. Single, minor incident of discourtesy or lack of service with no significant consequence. An occurrence of improper CLET’s usage. Other minor acts of misconduct which result in a penalty recommendation of 5 days of or less.
What are the headers or the layout for a full format adverse action?
Table of contents. Preliminary Notice of Adverse Action. Problem summary. Charges. Response. Recommendations. Work history (includes prior adverse actions and form 2’s). Additional items. CHP 7. Chronological Summary. Exhibits.
How does the layout of the short format differ from the layout of the long format?
The elimination of the Chronological Summary. Expanded use of the CHP 7 to replace some exhibits.
How should a rejection for acts of misconduct be prepared for rejection during probation?
The same as an adverse action.
Who prepares all final notices of Adverse Action and Rejections During Probation?
BIA.
With the exception of dismissals and rejections, the effective date of the adverse action should not be less than how many days form the date of service?
25 calendar days.
Suspensions shall be computed on what basis?
24-hours a day, 8 hour work day. Based on the employees current schedule.
When a legal holiday falls within a period of suspension, how is it to be counted?
As a regular work day for uniformed and a legal holiday for non-uniformed employees.
An employee must be allowed how many days between service of the final notice of an adverse action and the predisciplinary hearing days to respond to the Hearing Officer?
A minimum of 5 days.
In accordance with Government Code Section 1959, managerial employees must be notified how may days prior to the effective date of the adverse action and allowed how many days to respond to the Predisciplinary Hearing Officer?
2 days and 1 days.
How is a Notice of Adverse Action to be served?
Personally or if necessary by certified mail with a return receipt requested.
What is the purpose of a predisciplinary or rejection hearing?
Provides the affected employee with an opportunity to respond prior to the imposition of discipline.
What is the definition of a minor adverse action?
Any action which requests a penalty of five days or less off or a step-reduction in salary for 5 months or less.
What is the role of the Predisciplinary Hearing Officer?
To serve as an unbiased, independent, non-involved reviewer of the proposed action.
What are the issues to be addressed by the Predisciplinary Hearing Officer?
Was the alleged offense committed? Was the employee responsible, or did the employee commit the offense? Is the assessed penalty appropriate? Were any new issues raised which are mitigation or merit further investigation?
Are cadets afforded the protection of the POBR?
No, although they are entitled to representation according to existing contract provisions.
Does a probationary employee being rejected have the same rights to respond to proposed adverse action as a permanent employee?
Yes.
How long does an employee have to file an appeal with the State Personal Board, after service, of an adverse action?
3 calendar days.
How long does an employee on probation have to file an appeal with the State Personal Board, after service, of an adverse action?
15 calendar days.
What is the role of the Case Coordinator?
To take an active role in the appeal process by ensuring the matter is properly prepared for hearing.
Are peace officers personal records confidential?
Yes, pursuant to 832.7 PC.
Who should be contacted regarding the release of an officers personal records?
Legal Coordination Unit and BIA.
Who may have access to a personal file?
Departmental employees with a need to know. State Compensation Insurance Fund, Office of the Attorney General, other counsel. State Personnel Board.
Are miscellaneous investigations subject to public disclosure?
No.
Will the Department release residence information or photographs to the media regarding an investigation?
No, pursuant to 333(e) GC.
According to the Memorandum of Understanding for minor discipline will be no earlier than _____ calendar days form the date of service of the final Notice of Adverse Action.
25
Who determines the selection of an arbitrator?
Jointly by the union and the Department from a predetermined panel.
When do the hearings occur?
As needed.
Who represents the Department?
The Division Chief chooses the manager or supervisor who originally completed the internal investigation or: A division manager or supervisor who reviewed the request for adverse action and is knowledgeable concerning the case. A representative from BIA.
How many days prior to arbitration will the CAHP and BIA provide each other with a copy of the documents to be submitted to the arbitrator?
Not less than 4 days.
How many days does the arbitrator have to make a decision?
2 calendar days.
Is the Arbitrator’s decision final?
Yes.
In a complaint investigation, what is the definition of an undetermined or no finding?
When evidence or a lack thereof, precludes the investigator from making a definitive judgment one way or the other.
What is a departmental complaint?
One when an employee’s actions are fully in compliance with policy but policy or procedure is found to be erroneous or the cause of the complaints concerns.
In a complaint investigation, what’s the definition for exonerated?
The employee did not commit the act or did commit the act and it is deemed proper and win Departmental policy.
Does an investigation have to be typed or can in be handwritten?
Shall be typed.
How are citizens complaints classified by the department?
Category 1, category 2 or other.
What are examples of “other” complaints?
Rescinded. Frivolous. Departmental. Citation validity.
What is a frivolous complaint?
Complaints which appear to be irrational or have been filed with malicious intent against the employee.
What are the required documents for a Category 1, Category 2 or other complaint?
CHP 24 – Complaint investigation. CHP 24C – Witness list (if applicable).
What type of narrative format shall be used for Category 1, Category 2 and Other complaints?
The Formal Narrative format.
How many officers or/and allegation is there room for on a CHP 24?
3 employees or four allegations.
How many “Control numbers” can be used for a complaint?
Just one control number.
In the employees information box, how should the “years worked” field be used?
Rounded to the nearest year with 1 being used for officers with less than one year. If unknown, put unknown. If it is a Departmental complaint – put Department in the field.
What do you place in the complainants’ field if thy decline to be identified or want to kept confidential?
Either “anonymous” or “confidential” based on the circumstances.
How is a control number assigned?
By the investigating command for all complaints (Category 1, 2 and Other). The first 3 numbers are the investigating command’s location code, the 4th and 5th numbers are the year the complaint was received and the final 3 numbers are a sequential control number (complaint number) beginning with 1 on January 1st and continue with the number of complaints.
Is a control number required for a non-complaint?
No, but may be assigned for tracking purposes at the commanders discretion.
What is a CHP 24B – Citizen’s complaint information?
Contains basic information about the complainant and the incident. A brief summary of the Departments complaint process. Notification to complainants of potential civil liability for a false complaint.
What is a CHP 24C - Witness list?
To be used to list all witnesses in a complaint investigation.
What is a CHP 24D – Citizens’ Complaint Information (Non-uniformed)?
It contains the same basic information, just used for non-uniformed employees.
For Category 1 and Category 2 complaints, what is the format?
Complaint summary. Complaint findings. Recommendations. Chronological summery (optional). Investigator notes (optional). List of exhibits. Signature block. Exhibits.
For “other” complaints, how are they to be formatted?
Complaint summary. Chronological summery (optional). List of exhibits. Signature block. Exhibits.
Is a CHP 268 – Potential civil Litigation Report to be an exhibit?
No – not.
When should a CHP 268 – Potential Civil Litigation Report be completed?
If there was any damage or alleged damage to property or injuries to persons which may result in a claim against the state.
When should a CHP 287 – Claims of $1 or less or a BC-1A (Board of Control) Tort Claim be used?
When any complainant makes a claim or monetary damages, which are alleged to have been proximately caused by the action or inactions or a Department employee.
In a closing document is required in all cases, are deviations from this policy allowed?
Yes, if approved by BIA.
Does a closing document have to be prepared on departmental letterhead?
Yes, shall.
When shall the closing document be sent to the complainant?
Within 3 days of the investigation being approved.
If corrective action is required of an employee, the commander shall use one of the following – what are they?
Request for an adverse action. CHP 2. MOD. Memorandum of findings.
What is the “Bazemore admonition?”
An employee shall be notified that misconduct for which he/she is being counseled my still be charged in a future Adverse Action
Any employee covered under the POBR has the right to submit a written response with in how may days to any adverse comment entered into his/her personnel file?
3 days.
Once an investigation has been completed, a copy is retained at the area level and what is sent to division for approval?
The Original.
Once the original has been returned back to the area, where is it sent?
The original investigation is forwarded to BIA.
Generally, who is the approving authority for a Category 2 complaint?
The area commander.
For a Category 2 complaint what is sent to BIA?
A copy of the CHP 24 for statistical purposes.
How are “Other” complaints approved?
The same as the highest allegation that was made (category 1 or category 2).
If an employee refuses to sign a CHP 24, what should be done?
The supervisor shall note this in the employee signature block, preferably another shall witness.
Under the POBR, how long does an employee have to submit a written response?
3 days.
How shall complaints be stored?
All Category 1, 2l and “Other” complaints shall be maintained in a Master Command File.
How shall the investigation be stored?
Alphabetically, grouped by the employees’ last name. All complaints for a given employee shall be field in chronological order.
Can complaint files for supervisors and managers be stored in a separate location?
Yes, if deemed necessary by the commander.
Does each employee have to have a copy of a complaint in their complaint file?
Yes, must have.
Is a copy of an employee’s response to be placed in the complaint file?
Yes.
How long shall a Category 1 complaint be retained?
5 years commencing from the date the Department originally received the complaint.
How long shall corrective action documentation to an employee be retained in his/her personnel file?
3 years.
How long shall a response from an employee be retained?
As long as the document itself.
How long shall a CHP 24A be retained?
Retained by the local commands for 5 years.
When an employee transfers, what happens to their complaint file?
It goes to the next command in a manner that will ensure confidentially.
Yes and on discoverable pursuant to Section 143 146 of the Evidence Code or investigation by a grand jury, DA’s office or AG’s office.
Are personnel complaint investigations confidential?
Command management and supervisory personnel.
Who in an area office is allowed access to complaints?
What information is releasable without the coordination of the Office of the Commissioner or BOA?
Nothing, not even statistical data.
What are the exceptions to releasing information without the approval of the Office of the Commissioner or BIA?
AG’s office. Grand Juries. Departmental Program tracking (with BIA approval). Noninvolved Departmental employees who require such information during the course of their duties. Involved Departmental employees.
How does an involved employee get a copy of a complaint?
Written request. Shall sign a copy of a memorandum acknowledging the release and confidentiality of the file. A memorandum states that portions of the investigation may have been redacted.
What information is released upon release of the complaint?
The investigation file in its entirety, except other employee’s information.
If a complainant requests confidentiality, will their information be retracted for the file?
No, the employee shall be provided with the complainants identifying information.
Where else is the memorandum distributed?
In the employees’ personnel folder with a copy attached to the original citizens complaint. A copy forwarded to the Legal Coordination Unit.
What is the purpose of an annual audit?
To ensure the integrity and uniformity of the complaint process.
What is the audits focus?
Compliance with policy. Legal requirements. Uniformity. Application of corrective action. Thoroughness of investigations. Documentation.
Who does audits?
BIA on all formal Category 2 and “Other” complaints.
How are the audits findings released?
By memorandum through the appropriate Assistant Commissioners office.
How often are Divisions, Area, and Sections required to report complaint information to BIA?
On an annual basis.
What does BIA do with the statistical information?
Maintains it for internal audits and forward a portion to DOJ for annual reporting requirements (satisfies the terms and conditions of the Curtis Rodriguez Settlement).
How is reporting to be done?
MIS, memo, fax or email arriving no later that January 2th of each year.
What information shall be in the report?
Total number of Category 1 complaints investigated by the area. Total number of Category 2 complaints investigated by the area. Total number of Other complaints investigated by the area. The total number of Citizens complaints investigated by the area (total of the 3 above). The total number of investigations pending completion. Total number of complaints in which the most serious allegation is of felony misconduct. Total of felony misconduct in which the allegation was sustained or unintentional error. Total number of complaints in which the most serious allegation is of misdemeanor misconduct. Total of misdemeanor misconduct in which the allegation was sustained or unintentional error. Total number of complaints in which the most serious allegation consist of non-criminal conduct. Total of non-criminal misconduct in which the allegation was sustained or unintentional error.
Can a complaint be amended?
Yes.
Can an amendment change a completed complaint investigation?
No, an original investigation shall not be altered. Changes shall be made by memorandum. A new CHP 24 – Complaint Investigation face page shall be prepared. The CHP 24, any new memorandums or documentation shall be processed as if a new complaint.
Should a complainant be notified?
No, unless a finding has been changed in a substantive manner.
If an investigator is satisfied that a complainant has filed a complaint knowing it was false or that it was filed with malicious intent what can he/she do?
Pursuant to 148.6 PC it is a misdemeanor. He/she can complete a CHP 216 and recommend a criminal complaint be filed with the local district attorney.
Can the complainant by physically arrested?
No, shall not.
What are the requirements for filing charges for a false complaint?
The complainant must have been provided with a CHP 24B, reviewed and signed it. A citizen’s complaint investigation must have been completed. All elements of 148.6 PC are present. The employee completing the CHP 216 shall not be a subject of any other pending or completed investigations involving the same complainant for which prosecution is being sought. Approval of Area commander.
California Civil Code Section 47.5 allows peace officer to initiate civil action against a complainant for filing a false complaint, what rules shall the employee comply with
Shall ensure all communications with the complainant do not portray the employee acting in any official capacity. No state or department resources art to used. A discovery motion must be filed to obtain the required documentation.
What is the “Information file”?
A file is a catalog of complainants who have a demonstrated a propensity towards filing frivolous complaints.
How is a complainant included in the Information File?
The commander shall prepare a memorandum requesting entry. Shall be routed through BIA
Does BIA maintain a complaint database?
Yes, for later retrieval and analysis.
How long is the database maintained?
It is expunged after 5 years.
When an employee becomes aware of an allied law enforcement agency is conducting an investigation involving CHP personnel is he/she required to notify anyone?
Yes, his/her commander.
Who investigates civil rights violations?
FBI, DOJ (US), DOJ (CA)
Is a CHP employee required to interview with an outside agency?
It is up to the employee.
If an interview does occur on state time, what role does the Department play?
A departmental supervisor shall be present and shall tape any interview.
If a complainant formally expresses dissatisfaction with the methodology or conclusion of an investigation, what happens?
The succeeding level of command shall conduct a separate compliant review.
If a complainant is still not satisfied with the conclusion of a complaint then what happens?
BIA shall conduct a review of the compliant findings after it is completed by division. A BIA review is considered a final response.
