HPM 10.2 Chapters 1-4

Question 1

1. _____ instances of alleged misconduct by departmental employees _______ be investigated and, when appropriate, adverse action or rejection during probation initiated.

Answer 1

All, shall (1-3, 3)

Question 2

2. During the process of an internal investigation, what step follows the receipt of an allegation of misconduct or determination of poor performance?

Answer 2

Notification of chain of command (1-3, 3)

Question 3

4. If an employee’s Collective Bargaining Agreement (CBA, i.e. MOU) has different processes identified for an internal investigation, the process in the CBA is _____________.

Answer 3

controlling (1-4, 4b)

Question 4

5. Managers and supervisors ________ ensure all investigations are conducted in compliance with the provisions of POBR and protect the rights of employees.

Answer 4

shall (1-5, 5a(2))

Question 5

6. Which Departmental unit is the primary resource for guidance and assistance with the internal investigation process?

Answer 5

Officer of Internal Affairs (1-6, 7a)

Question 6

7. An internal investigation can result in a criminal investigation and/or an administrative investigation. The outcome for a criminal investigation can lead to the recommendation of criminal charges or exoneration from such charges. What are two of the four possible outcomes from an administrative investigation?

Answer 6

a. Adverse Action
b. Rejection during Probation
c. Miscellaneous
d. Non-punitive Termination
(2-3, 2a(2))

Question 7

3. What process follows the employee being served closing documentation during an internal investigation?

Answer 7

predisciplinary hearing (1-3, 3)

Question 8

8. Penalties for Adverse Action include formal written reprimand, ______________, reduction in salary, _______________, involuntary transfer, and ______________.

Answer 8

suspension, demotion, dismissal (2-3, 2a(2)(a))

Question 9

9. The Department _______ only investigate allegations of misconduct when there is a nexus (or connection), between the act(s) and the individual’s employment with the Department.

Answer 9

shall (2-4, 2b)

Question 10

10. Administrative interrogations shall be conducted in compliance with the _________, applicable collective bargaining agreements, and all relevant statutes.

Answer 10

POBR (2-5, 3a)

Question 11

All administrative interrogations ______ be audio recorded.

Answer 11

shall (2-5, 3a)

Question 12

12. The _______________ admonition shall be included, and stated verbatim, in all Memoranda of Direction (MOD’s) which are counseling or remedial in nature.

Answer 12

Bazemore (2-5, 3f)

Question 13

13. The _______________ admonition advises the subjects of the interrogations that they do not have the right to refuse to answer administrative questions, and failure to do so will be deemed insubordination. Any statement in an administrative interrogation cannot be used in a subsequent criminal proceeding.

Answer 13

Lybarger (2-8, 3aa)

Question 14

14. Memorandums of Counseling _______ _____ contain a Bazemore Admonition, although this is at the discretion of the commander, and a Memorandum of Expectations does _____ normally contain the admonition.

Answer 14

should not, not (2-8, 3bb/dd)

Question 15

15. Miranda warnings _____ be given when an employing agency is conducting a criminal investigation on one of its employees.

Answer 15

shall (2-9, 3gg)

Question 16

16. Name four of six preventative actions a supervisor can institute in a proactive approach to reduce or eliminate the need for corrective or adverse action.

Answer 16

a. Adequate ongoing training for all classifications.
b. Clearly defined job duties, conduct, expectations, and objectives.
c. Ensure employees have positive and respectful workplace communication.
d. Provide periodic and routine assessment and feedback of job performance.
e. Provide fair, engaged and impartial supervision.
f. Make referrals to EAP when appropriate.
(3-4, 2b)

Question 17

17. During formal and informal counseling, the session is considered a routine business communication and, therefore, __ _____ subject to the grievance process, ____ is the employee entitled to representation.

Answer 17

is not, nor (3-6, 2c(2))

Question 18

18. The primary difference between formal and informal counseling is documentation. After formal counseling, the employee ___________ some form of documentation regarding the counseling session.

Answer 18

receives (3-7, 2c(2)(b))

Question 19

19. After counseling, what is the next corrective action in the progressive discipline process?

Answer 19

Corrective documentation (3-7, 2c(3))

Question 20

20. What are the four documents which can be utilized to record incidents/behaviors requiring corrective documentation?

Answer 20

a. Monthly evaluation comments (CHP 100, 100 PSD and 112).
b. Memorandum of Counseling
c. Memorandum of Direction (Bazemore required)
d. Censurable CHP 2.
(3-7, 2c(3))

Question 21

21. If adverse action is warranted, supervisors and managers must ensure there is sufficient cause for discipline. Name four of the six conditions needed to establish cause.

Answer 21

a. The rules/standards violated must bear a relationship to the employee’s job, or goals/needs of the Department.
b. The employee must have clear knowledge of the rules; preferably have a signed acknowledgement for receipt of such rules.
c. The rules/standards must be equitably enforced.
d. A nexus between the misconduct and the employee’s position must exist in off-duty conduct cases.
e. The investigation must be thorough, impartial and objective.
f. There must be sufficient, legally admissible preponderance of evidence to support the alleged misconduct.
(3-8, 2d(1))

Question 22

22. Name four of the six possible penalties for adverse action.

Answer 22

a. Formal written reprimand.
b. Salary reduction within salary range of the class.
c. Suspension.
d. Involuntary transfer
e. Demotion.
f. Dismissal from state service.
(3-9, 2d(2))

Question 23

23. Two methodologies can be used for conducting a criminal investigation without adversely affecting an administrative investigation, ______________ and ________________.

Answer 23

concurrent and consecutive (4-6, 4c)

Question 24

24. The investigator conducting a concurrent administrative investigation may use statements obtained through the criminal investigation; however, ______________ ______________ obtained during an administrative investigation cannot be used in the criminal investigation.

Answer 24

compelled statements (4-6 4c(1)(a))

Question 25

25. It is _______________, and in many cases _______________, for the criminal and administrative investigators to either share statements or conduct joint interviews of witnesses.

Answer 25

acceptable, desirable (4-7, 4e(1))

Question 26

26. Criminal interrogations ______ be in compliance with policy and be conducted prior to the administrative interrogation if involving the same employee and the same act(s).

Answer 26

shall (4-7, 4e(2))

Question 27

27. In cases where an administrative interrogation is necessary, the investigating/prosecuting authority _____ be consulted to ensure the criminal investigation will not be compromised.

Answer 27

shall (4-7, 4e(3))

Question 28

28. Non-uniformed employees administratively investigated for allegations of criminal misconduct shall have committed an offense under what criteria?

Answer 28

a. Any criminal misconduct which would lead to a felony
b. Any criminal misconduct constituting a misdemeanor involving moral turpitude.
c. Any criminal misconduct where the employee has established a nexus to the Department.
(4-9, 4f)

Question 29

29. Civil rights violations are identified as criminal in nature and investigated by the federal agency with jurisdiction. Consent to an interview _____ be at the sole discretion of the affected employee, if conducted on duty, a supervisor _____ be present during the interview, and the interview ____ be audio recorded.

Answer 29

shall, shall, shall (4-9, 4h)

Question 30

30. Complaints originating from within the Department, or submitted anonymously with evidence suggesting the complainant to be a Departmental employee, a formal investigation _____ be undertaken without having a basis for believing there is merit to the complaint.

Answer 30

shall (4-10, 6b)

Question 31

31. Pursuant to Government Code section ______, adverse action _____ ____ be undertaken against an employee for any act, omission, or other allegation of misconduct if the investigation is not completed within ___ _____ from the discovery of the alleged offense, minus some exceptions.

Answer 31

3304, shall not, one year (4-12, 8a)

Question 32

32. Per Government Code section ______, no adverse action ______ 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 ______ years.

Answer 32

19635, shall, three (4-13, 8c)

Question 33

33. Investigators _____ only discuss aspects of the investigation with person(s) who have an official right and need to know. Any person releasing such confidential information may be in violation of Penal Code section ______ (M).

Answer 33

shall, 135.5 (4-13, 9a)

Question 34

34. 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 ___ calendar days.

Answer 34

15 (4-16, 10b(5)(c))

Question 35

35. Removal of peace officer powers shall be authorized through channels and requested by the appropriate Assistant Commissioner under what three circumstances?

Answer 35

a. An employee is under investigation for a serious offense involving misuse of position, but dismissal or rejection during probation is not yet indicated.
b. An employee is the subject of a temporary restraining order, emergency protective order, or other court action which prohibits possessing or carrying a firearm.
c. An employee has been placed on medical leave for stress or other psychological impairment which indicates exercise of peace office powers is not prudent.
(4-18, 10c)

Question 36

36. If during an internal investigation, allegations of discrimination, harassment, and/or racial profile are discovered, appropriate notifications _____ be made to Division and the Office of Equal Employment Opportunity.

Answer 36

shall (4-19, 10e)

Question 37

37. An internal investigation _____ be conducted in accordance with policy if an incident involving lost or stolen state property warrants such action; however, certain CBA’s allow an employee to reimburse the Department for the current replacement cost of the property. The Department may allow this in lieu of an _____________ __________ or other corrective action.

Answer 37

shall, adverse action (4-20, 10f)

Question 38

38. Name four additional investigations which may have risen to the level of or discovered through the process of an internal investigation.

Answer 38

a. Absent without leave.
b. Temporary and permanent separations.
c. Failure to meet minimum qualifications.
d. Reassignments.
(4-20, 10g-j)

Question 39

39. What unit of the Information Management Division may be used to aid investigators in analyzing lawfully obtained personal electronic devices?

Answer 39

Computer Crimes Investigation Unit (4-22, 11c)