HPM 10.2 INTERNAL INVESTIGATIONS Flashcards
The _____________________________________ is located in Sections 3300 through 3313 of the Government Code (GC) and specifies elements of procedural rights that must be afforded to “public safety officers.” Per departmental policy, these rights are to be extended to all employees, with the exception of cadets. (HPM 10.2, 11-3)
Public Safety Officers Procedural Bill of Rights Act (POBR)
Except as otherwise provided by law, or whenever on duty or in uniform, no public safety officer ______ be prohibited from engaging, or be coerced or required to engage, in political activity. (HPM 10.2, 11-3)
shall
All questions directed to the public safety officer under interrogation shall be asked by and through no more than _____ interrogators at one time. (HPM 10.2, 11-4)
two
If prior to or during the interrogation of a public safety officer it is deemed that he or she may be charged with a criminal offense, he or she shall be immediately informed of his or her ______________________________. (HPM 10.2, 11-5)
constitutional rights
If, after investigation and any predisciplinary response or procedure, the public agency decides to impose discipline, the public agency shall notify the public safety officer in writing of its decision to impose discipline, including the date that the discipline will be imposed, within ________ of its decision, except if the public safety officer is unavailable for discipline. (HPM 10.2, 11-8)
30 days
No public safety officer shall have any comment adverse to his interest entered in his personnel file, or any other file used for any personnel purposes by his employer, without the public safety officer having first _____________________ the instrument containing the adverse comment indicating he is aware of such comment. (HPM 10.2, 11-9)
read and signed
A punitive action, or denial of promotion on grounds other than merit, shall not be undertaken by any public agency against any public safety officer solely because that officer’s name has been placed on a ______________. (HPM 10.2, 11-9)
Brady list
A public safety officer shall have ____________ within which to file a written response to any adverse comment entered in his personnel file. (HPM 10.2, 11-10)
30 days
Every employer ________, at reasonable times and at reasonable intervals, upon the request of a public safety officer, during usual business hours, with no loss of compensation to the officer, permit that officer to inspect personnel files that are used or have been used to determine that officer’s qualifications for employment, promotion, additional compensation, or termination or other disciplinary action. (HPM 10.2, 11-10)
shall
If, after examination of the officer’s personnel file, the officer believes that any portion of the material is mistakenly or unlawfully placed in the file, the officer may request, in writing, that the mistaken or unlawful portion be corrected or deleted. Any request made pursuant to this subdivision shall include a statement by the officer describing the corrections or deletions from the personnel file requested and the reasons______________ those corrections or deletions. (HPM 10.2, 11-10)
supporting
_______________________________ of receipt of a request made pursuant to subdivision (c), the employer shall either grant the officer’s request or notify the officer of the decision to refuse to grant the request. If the employer refuses to grant the request, in whole or in part, the employer shall state in writing the reasons for refusing the request, and that written statement shall become part of the personnel file of the officer. (HPM 10.2, 11-10)
Within 30 calendar days
No public safety officer shall be compelled to submit to a ________________ against his or her will. (HPM 10.2, 11-11)
lie detector test
No public safety officer shall be required as a condition of employment by his or her employing public safety department or other public agency to consent to the use of his or her _______________________________ as a public safety officer on the Internet for any purpose if that officer reasonably believes that the disclosure may result in a threat, harassment, intimidation, or harm to that officer or his or her family. (HPM 10.2, 11-11)
photograph or identity
No public safety officer shall have his locker, or other space for storage that may be assigned to him searched except in __________________, or_____________________,or___________________________ has been obtained or where he has been notified that a search will be conducted. This section shall apply only to lockers or other space for storage that are owned or leased by the employing agency. (HPM 10.2, 11-12)
his presence, or with his consent, or unless a valid search warrant
Investigations completed as either adverse actions or miscellaneous investigations must be tracked from _______________________________. (HPM 10.2, 12-3)
inception to conclusion
An internal investigation needs to be tracked throughout its life within the _______________________. To this end, the use of an investigative plan and case management will allow commanders to track the status of any case. By properly following the case, commanders can ensure the investigation is being completed in accordance with policy. (HPM 10.2, 12-3)
Area command
When initiating an internal investigation, the commander shall meet with the ____________and establish ____________________________. This must be completed at the onset of the investigation. (HPM 10.2, 12-3)
investigator(s) and an investigative plan
The case management process is designed to allow the Area commander to track the status of the investigation. Once the investigation has been completed at the Area level, associated forms ____________________from the investigative package and retained at the area level. (HPM 10.2, 12-4)
shall be removed
The purpose of the _______________________________________ is to expeditiously resolve employee discipline issues when employees accept responsibility for their misconduct. This will prevent unnecessary delays and mitigate the negative impact on departmental employees resulting from prolonged investigative processes. (HPM 10.2, 13-3)
Stipulated Adverse Action Process (SAAP)
The SAAP shall not be used when ________________________________ are present, or the circumstances involve one (1) or more allegation(s) of serious misconduct as defined in California Penal Code (PC) Section 13510.8, without direct approval from the Commissioner or Deputy Commissioner. (HPM 10.2, 13-3)
civil liability or criminal allegations
SAAP is intended for cases wherein the employee _______________________ for the alleged misconduct and is willing to waive all appeal rights (as outlined in California Government Code [GC] Section 3304). (HPM 10.2, 13-3)
accepts responsibility
When the Area commander believes the facts are straightforward and undisputed, the employee is willing to accept full responsibility for the act(s) or omission(s), and the commander is reasonably confident no new relevant information or facts would be revealed by conducting a full administrative investigation, the commander may consult with the ___________________________ to ascertain the appropriateness of utilizing the SAAP. (HPM 10.2, 13-4)
Division commander
The ____________, Stipulated Adverse Action, serves as the investigative documentation, as well as the employee’s waiver for the SAAP. (HPM 10.2, 13-4)
CHP 7S
Once approval for the SAAP has been given, the Area commander has ___________________ to draft and submit the CHP 7S to Division for review. Submission of the CHP 7S should be made electronically, via e-mail. (HPM 10.2, 13-5)
10 business days
An employee shall decide whether to agree with the terms of the CHP 7S (SAAP) within___________ business days. (HPM 10.2, 13-6)
five (5)
In the event the employee disagrees with, refuses to sign, and/or fails to return the CHP 7S within five (5) business days, the Area commander shall immediately notify the ________________________________________. (HPM 10.2, 13-7)
Division commander and the OIA
CHP 7E, Internal Investigation Control Log. This is a management tool used at the Division level to track internal investigations and to update the appropriate Assistant Commissioner and the Office of Internal Affairs (OIA) on case status. It is used for those actions which generate a CHP 7, Internal Investigation: adverse action, rejection during probation, miscellaneous investigation, complaints from departmental personnel, and non-punitive termination. The CHP 7E shall be maintained at Division offices for a period of years from the end of the calendar year and in a location that ensures confidentiality. HPM 10.2 4-3, 2b.
FIVE
Weekly Updates. Divisions shall provide a copy of an updated CHP 7E via electronic mail to the appropriate Assistant Commissioner with a copy to OIA no later than the close of business every ____ (excluding holidays). HPM 10.2, 4-3, 2c.
THURSDAY
Determining Investigative Responsibility. In general, the responsibility to conduct an internal investigation rests with the ____ of the Area to which the involved employee was assigned at the time of the alleged misconduct. Circumstances may exist in which another ____ may be responsible for conducting the investigation (refer to paragraph 6 of this chapter). If the involved employee has transferred, the responsible ____ should coordinate directly with the employee’s new ____ to obtain any required information and coordinate any required action. The responsible command shall retain the copies of the investigation until such time the employee is served with a Notice of Adverse Action. HPM 10.2, 4-4, b.
COMMANDER
- Assigning an Investigator. The commander (or designee) shall assign a primary investigator in a timely manner. Additional investigators may also be assigned as needs and resources dictate. The assigned primary investigator shall be at least ____ higher than the highest ranking involved employee, unless otherwise approved by the Division commander or appropriate Assistant Commissioner. When assigning investigators, commanders should take into consideration the following factors: HPM 10-2, 4-4, c.
ONE RANK
Suspenses. Area and Division commanders shall ensure the investigation is forwarded to OIA within ____ calendar days from the date the Area becomes aware of the misconduct. In complex cases where the investigations will exceed ____-days, the Division commander should contact the appropriate Assistant Commissioner to request an extension. HPM 10.2, 4-5, f.
60
Employee Notification Requirement. 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____ __ ____. After notification, the commander shall notify OIA through proper channels. HPM 10.2, 4-5, g.
SUPERVISOR OR MANAGER
Mandatory Notifications. When potential criminal misconduct is identified, the commander shall ensure the appropriate Division commander and OIA are notified. Commanders shall also notify, through channels, the Office of the Commissioner ____ ____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, b.
PRIOR TO
When conducting concurrent investigations, it is imperative the investigators observe the employee’s rights and that neither investigation is tainted. Although information gathered in a criminal investigation can be shared with the administrative investigator, only certain information gathered in the administrative investigation can be shared with or included in the criminal investigation. For instance, compelled statements made during an administrative interrogation ____ not be included in a criminal interrogation. It is usually best to maintain complete separation of administrative and criminal investigations. Contact OIA for questions regarding investigative steps, and the Office of Legal Affairs (OLA) for legal issues. HPM 10.2, 4-6, c.(1)(a)
SHALL
____ ____. In this method, the 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. This applies whether the criminal investigation is being conducted by an allied agency or the Department. The primary benefit of this method is that it precludes any improper sharing of information, since the criminal investigation is closed prior to any information being gathered as part of the administrative investigation. This method may also be used when the alleged criminal acts are minor in nature and can be investigated expeditiously. HPM 10.2, 4-6, c., (2)
CONSECUTIVE INVESTIGATION
Criminal Interrogations. If performed, shall be in compliance with policy as specified in Chapter 6 of this manual. Additionally, they shall be conducted ____ to the administrative interrogation if involving the same employee and the same act(s). HPM 10.2, 4-7, e., (2)
PRIOR
Except as required by Penal Code § 832.7, evidence gathered during an administrative investigation shall not be released to an allied agency without first contacting OLA, and only with approval from the ____ ____ ____ ____HPM 10.2, 4-8, (4)(a)
OFFICE OF THE COMMISSIONER
The decision to consent to an interview with an outside investigator regarding a civil rights investigation shall be at the sole discretion of the ____ ____ (either as a witness to, or the subject of, an investigation). HPM 10.2, 4-9, h., (1)
DEPARTMENTAL EMPLOYEE
To preserve the accuracy of the statements, interviews conducted on state time shall be ____ ____. HPM 10.2, 4-9, h., (3)
TAPE RECORDED
If such an interview is conducted on state time, a departmental supervisor____be present. HPM 10.2, 4-9, h., (2)
SHALL
Cadet Training. All internal investigations which involve a cadet as the subject, regardless of a temporary assignment, will be the responsibility of the ____ ____All investigations involving cadets shall be forwarded to the Office of Assistant Commissioner, Staff (ACS) for the Executive Assistant to conduct Division-type review. The ACS shall then forward the investigation to OIA. HPM 10.2, 4-11, 7, a.
ACADEMY COMMANDER
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 ____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 ____period, except under any of the following circumstances: HPM 10.2, 4-12, 8., a.
ONE YEAR
Peace Officer Powers. There may be circumstances which warrant temporary removal of a uniformed employee’s peace officer powers, but a Leave of Absence is not indicated. Approval through channels from the appropriate ____ ____shall be obtained before a commander may remove peace officer powers. Examples of situations in which removal of peace officer powers would be appropriate: HPM 10.2, 4-17, c.
ASSISTANT COMMISSIONER
Formulation of an Investigative Plan. After the initial meeting between the Area commander and the assigned investigator(s), an investigative plan should be formulated. At the discretion of the commander, the investigator(s) should use the ____and Investigative Plan Guideline. Items to consider when planning an investigation should include: HPM 10.2, 5-6, 4, b.
CHP 7F
Introduction. If applicable, the investigator ____ visit the scene of the incident at the same or approximate time of day of the occurrence. Visiting the scene enables an investigator to recognize key points and inconsistencies during interviews that otherwise might go unnoticed. It also provides an opportunity to canvas the area for identifying credible witnesses. HPM 10.2, 5-8, 5, a.
SHOULD
Office Desk and File Cabinet Searches. An employee’s desk can normally be entered by a supervisor when looking for work product. However, when the command has allowed a reasonable expectation of privacy, such as issuance of a key to the desk, the provisions of GC Section 3309 apply. Any questions related to searches may be referred to OIA. HPM 10.2, 5-16, b.
WORK PRODUCT
Absent exigent circumstances, personal containers may not be searched without a warrant or employee consent. Legal authority shall determine when a search of personal property, such as briefcases, purses, etc., located in a locker or desk, where the employee has a reasonable expectation of privacy for that particular container, and/or the investigation does not involve workrelated misconduct can be conducted. HPM 10.2, 5-16, c.
EXIGENT CIRCUMSTANCES
The effective date of the adverse action shall be no less than ___ calendar days after the date of service of the notice. (HPM 10.2, 8-6)
25
Suspension can be up to a maximum of ___days. Suspensions in excess of ___days shall be coordinated by OIA and the Office of the Commissioner. (HPM 10.2, 8-6)
42
Suspension times begin at the start of the employee’s assigned shift and end _________ before that shift start time on the first day after the suspension period (which may be an RDO).
(HPM 10.2, 8-6)
one (1) minute
An employee must have ___or more working days (includes the usage of leave credits, compensated time off) in a monthly pay period to have a qualifying pay period. (HPM 10.2, 8-7)
11
An employee must have one (1) working day (includes the usage of leave credits, compensated time off) in a monthly pay period to qualify for paid medical benefits. __________ shall make every effort to ensure scheduled suspensions do not result in the loss of paid medical benefits.
(HPM 10.2, 8-7)
Commanders
For all managerial employees, the effective date of the adverse action shall be no less than ___ calendar days from the date of service of the notice. (HPM 10.2, 8-7)
20
An adverse action with a penalty of dismissal, a non-punitive termination, or rejection during probation shall become effective at _____ hours on the date specified: (HPM 10.2, 8-9)
1700
An adverse action with a penalty of demotion shall become effective at 1700 hours on a date at least ___ calendar days after the last day of the PDH period. (HPM 10.2, 8-9)
15
The original Notice of Adverse Action, Notice of Rejection During Probation, or Notice of Non-Punitive Action shall be served on the employee as soon as possible following receipt. Immediately following service, OIA and Personnel Transactions Unit shall be notified by ___________ or electronic mail message (HPM 10.2, 8-11)
facsimile
The completed notice and signed ________ shall be faxed to OIA as soon as possible following service. Additionally, the original ________ with a copy of the completed notice shall be placed in a sealed envelope, marked
“confidential,” and forwarded to OIA. (HPM 10.2, 8-13)
CHP 7C
A predisciplinary hearing (PDH) provides the affected employee with an opportunity to respond prior to the effective date of an ___________, rejection during probation, nonpunitive termination, or medical termination per Government Code Section 19253.5. The hearing allows the employee the ability to provide information to the PDH officer, which potentially could
mitigate culpability or lessen the proposed punishment. (HPM 10.2, 9-3)
adverse action
In accordance with Section 52.6, Title 2, of the California Code of Regulations, the PDH officer shall be, at a minimum, the rank of ________________. (HPM 10.2, 9-4)
Assistant Chief
Employees, excluding __________, who are the subject of an adverse action, may request a corresponding quantity of available leave credits be forfeited to satisfy an assessed penalty.
(HPM 10.2, 9-8)
cadets
Representation During Appeal. An employee may be self-represented or represented by legal counsel, a union representative, or _____________. (HPM 10.2, 9-10)
any other person
Should an employee separate from the Department prior to being served with a notice, the internal investigation shall be converted to a ____________ investigation, and documented in accordance with Chapter 7, Investigation Documentation, of this manual. (HPM 10.2, 10-3)
miscellaneous
Absent Without Leave (AWOL) is an automatic resignation from state service (Government Code [GC] Section 19996.2) which occurs when an employee is absent for ________ or more consecutive working days, whether the absence is voluntary or involuntary. (HPM 10.2, 10-4)
five (5)
If the employee returns to work before the date of separation, the period of unauthorized absence
shall be reported as ________ on the employee’s attendance report. (HPM 10.2, 10-4)
dock time
It is the policy of this Department to fully investigate alleged misconduct. Investigations of allegations shall be done thoroughly, objectively, and in a timely manner. Investigations shall be conducted in a manner which will ensure all applicable _________ are afforded to departmental employees. As such, all employees shall be treated professionally, with dignity and respect, and in accordance with departmental, organizational, and professional values. HPM 10.2 1-3
protections
Government Code Sections 19570–19593. Contains California law regarding __________ of represented state employees and managerial employees. HPM 10.2 1-4
discipline
Government Code (GC) Section _____ provides the authority to reject a probationary employee for reasons relating to the probationer’s qualifications, the good of the service, or failure to demonstrate merit, efficiency, fitness, and moral responsibility. HPM 10.2 1-4
19173
Contain the terms and conditions of employment for represented employees. If an employee is subject to the terms of a collective bargaining agreement (CBA), it shall always be reviewed. If the CBA has different processes, the process identified in the CBA is ___________. These and other laws and rules of the California Department of Human Resources (CalHR) and the State Personnel Board will be addressed in the relevant sections of this manual. HPM 10.2 1-4
controlling
Except where otherwise indicated, the authority to take adverse action or initiate a rejection during probation is vested with the appointing power, the ____________. As specified statutes allow, the Commissioner may designate an authorized representative. HPM 10.2 1-4
Commisioner
Employees must promptly obey any lawful orders or directives from a supervisor, manager, or officer-in-charge (OIC). This includes orders or directives from a superior which are conveyed by an employee of the same or lesser rank. If an employee receives a conflicting order or directive, the employee must respectfully call the conflict to the attention of the supervisor giving the last order. If the person giving the ____ order does not change or rescind it, the employee must obey it, and is not responsible for disobeying the first order. Any employee who disobeys or disregards a lawful order or directive (verbal or written) given by a supervisor, manager, or OIC may be subject to disciplinary action. HPM 10.2 1-4
last
Employees shall never obey orders they know, or reasonably should have known, would require them to commit _________ _________ illegal acts. Employees in doubt as to the legality of an order shall request clarification from the issuer. After clarification is received, if the employee still believes the order is unlawful, the employee shall seek direction and/or guidance through their chain of command. HPM 10.2 1-5
reasonably apparent
The Public Safety Officers Procedural Bill of Rights Act (POBR) is specified in California GC, Section ____ et seq. HPM 10.2 1-5
3300
By law, POBR applies to all probationary and permanent departmental personnel who are peace officers. By policy, the Department has extended POBR rights to all other employees except for ______. HPM 10.2 1-5
cadets
Managers and supervisors shall ensure all administrative investigations are conducted in compliance with the provisions of ____ and protect the rights of employees. HPM 10.2 1-5
POBR
Commanders ______ require all involved supervisory and managerial staff to review Chapter 11, Public Safety Officers Procedural Bill of Rights Act, of this manual as part of the initial steps of an administrative investigation. HPM 10.2 1-5
should
When a departmental supervisor or manager is notified 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 serious misconduct is alleged, the supervisor or manager shall make _________ notification to the next level in the chain of command. Failure to make timely notification may result in disciplinary action. HPM 10.2 1-5
immediate
Upon the commander’s knowledge of alleged employee misconduct, which is either serious in nature, or is likely to lead to an internal investigation, the commander shall make notification to their Division Chief. With Division Chief concurrence, an internal investigation shall be initiated, and an investigation control number assigned. This “________ _____ ____” will initiate the one-year timeframe pursuant to GC Section 3304. HPM 10.2 1-5
Division Aware Date
Within _____ business days of the initiation of an internal investigation, Division shall make notification to the appropriate Assistant Commissioner and the Office of Internal Affairs (OIA). HPM 10.2 1-6
three
Notification shall be made utilizing the CHP __, Notice of Internal Investigation, via email to the appropriate Assistant Commissioner and to OIA, at OIA_Notification@chp.ca.gov. HPM 10.2 1-6
7G
Pursuant to PC Section 13510.9, the Department shall make notification to POST within ___ days. HPM 10.2 1-6
ten
An official inquiry, utilizing departmental investigative resources, into alleged misconduct by a departmental employee(s). ___________ __________ may lead to administrative action. (HPM 10.2 CH. 2-3).
Internal Investigations
A formal investigation into alleged _______ misconduct which may lead to exoneration or a recommendation of criminal prosecution, with concurrence of the Office of the Commissioner. (HPM 10.2 CH. 2-3).
Criminal
A formal investigation into alleged violations of policies, procedures, or poor performance. __________ investigations may result in the employee being exonerated or subject to administrative sanctions specific to Section 19572 of the Government Code (GC). (HPM 10.2 CH. 2-3).
Administrative
Adverse ________. 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. (HPM 10.2 CH. 2-3).
Action
The Department shall only administratively investigate allegations of misconduct when there is a _______ (or connection), between the act(s) and the individual’s employment with the Department. (HPM 10.2 CH. 2-4).
Nexus
Penal Code Section 13510.8 (b)(1) defines __________ as relating to the reporting, investigation, or prosecution of a crime, or relating to the reporting of, or investigation of misconduct by, a peace officer or custodial officer, including, but not limited to, false statements, intentionally filing false reports, tampering with, falsifying, destroying, or concealing evidence, perjury, and tampering with data recorded by a body-worn camera or other recording device for purposes of concealing misconduct. (HPM 10.2 CH. 2-5).
Dishonesty
______ ________ ________ is 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 (refer to Chapter 10, Separations During an Internal Investigation, of this manual, and Highway Patrol Manual [HPM] 10.3, Personnel Transactions Manual; Chapter 9, Separations). (HPM 10.2 CH. 2-7).
Absent without leave
An __________________ is a legal document that compels the production of evidence related to such administrative investigations consistent with the scope of that investigation as described in GC Section 11181(e). (HPM 10.2 CH. 2-7).
Administrative Subpoena
An ________ action is a formal administrative action taken to correct an employee’s on-the-job, or job-related, behavior or performance. It imposes one or more penalties including: official reprimand, salary reduction, suspension without pay, involuntary transfer, demotion, or dismissal. (HPM 10.2 CH. 2-8).
Adverse
Bazemore Admonition. This term refers to an appeal by Ms. Carla Bazemore and subsequent precedential decisions by the State Personnel Board (SPB) in 1996 (Carla Bazemore SPB Case No. 96-02). This case was determined by SPB to have a bearing on discipline matters conducted by all state departments and agencies. Employees _______ be notified that misconduct for which they are being counseled may be charged in a future adverse action if the written document contains the Bazemore admonition. Accordingly, the Bazemore admonition shall be included in all Memoranda of Direction (MOD) which are counseling or remedial in nature. (HPM 10.2 CH. 2-8).
Shall
_____ _____ consists of exculpatory or impeaching information that is material to the guilt or punishment of the defendant. The term comes from the U.S. Supreme Court case, Brady v. Maryland, (1963) 373 U.S. 83, in which the Supreme Court ruled that suppression by the prosecution of evidence favorable to a defendant who has requested it violates due process. Following Brady, the prosecutor is required to disclose any evidence favorable to the accused, which includes any evidence that goes towards negating a defendant’s guilt, that would reduce a defendant’s potential sentence, or evidence going to the credibility of a witness. (HPM 10.2 CH. 2-8).
Brady Material
__________ Admonishment. An admonishment given in administrative interrogations which advises the subject of the interrogation that their compelled statement cannot be used against them in a criminal proceeding and the employee does not have the right to refuse to answer administrative questions (_______ v. City of Los Angeles (1985) 40 Cal.3d 822). Subjects are also advised that failure to answer administrative questions will be deemed insubordination. (HPM 10.2 CH. 2-11).
Lybarger
The _______ Act is comprised of GC Section 3300 et seq., and it established due process rights and protections for peace officers within California. By policy, the Department extends ______ to all employees, except cadets. (HPM 10.2 CH. 2-13).
POBR / POBR
______ ________. A written agreement between an employee and the Department specifying terms and conditions resolving an adverse action or rejection during probation. _______ ________ are completed by the Office of Legal Affairs and approved by the Commissioner or the Deputy Commissioner. (HPM 10.2 CH. 2-13).
Stipulated Agreement / Stipulated Agreements
_________ discipline 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. Likewise, __________ discipline provides the employee with the tools and awareness to bring performance to an acceptable level. (HPM 10.2 CH. 3-3).
Progressive / Progressive
Supervisors and managers are expected to: (1) Ensure employees are informed of _________ via briefings, ride-alongs, one-on-one discussions, training days, Memorandum of Expectations, written acknowledgments of policy review, etc. (2) Recognize employees meeting or exceeding standards by providing ______________ and recognition, e.g., documented comments on monthly reviews, commendable CHP 2, Incident Report, etc. (HPM 10.2 CH. 3-3).
Expectations / Positive Reinforcement
When an employee’s actions or performance are substandard, departmental managers and supervisors should adhere to the _______ ______ process with the goal of improving employee behavior and/or performance. The Department’s _____ _______ process will first look to prevent poor performance or misconduct, take corrective action if needed, and finally, take adverse action if the employee does not respond to preventative and/or corrective actions, or the acts of misconduct are severe. (HPM 10.2 CH. 3-3).
Progressive discipline / Progressive discipline
Although not intended to be disciplinary, ______ _______ may be included in the progressive discipline process when substandard performance is an issue. The goal of _______ ________ is to provide the employee with the tools and assistance reasonably necessary to bring their performance to an acceptable level. Refer to Highway Patrol Manual (HPM) 10.10, Performance Appraisal Manual. (HPM 10.2 CH. 3-4).
Interim Reporting / Interim Reporting
Proactive steps that reduce or eliminate the need for corrective or adverse action. _______ and ________ have the responsibility to engage and lead the employee in the right direction, as opposed to merely documenting the actions of the employee. Examples of preventative actions include, but are not limited to, the following: Training, Defined Expectations, Workplace Communication, Routine Assessment, Supervision, Employee Assistance Programs. (HPM 10.2 CH. 3-4).
Managers / Supervisors
The goal of written or verbal corrective actions is to bring the employee’s performance to an acceptable level and to prevent continued misconduct or poor performance. This is accomplished by providing specific directives to the employee. Corrective actions may be initiated by a ________ but are usually prepared with the concurrence and approval of the commander. Corrective actions include informal and formal counseling, and any corresponding corrective documentation issued as a result. The primary purpose of corrective documentation is to memorialize corrective actions. (HPM 10.2 CH. 3-5).
Supervisor
During an _______ counseling session, the manager or supervisor meets with the employee and discusses the misconduct or substandard performance. _______ counseling is considered a routine business communication and, therefore, is not subject to the grievance process, nor is the employee entitled to representation. (1) _______ counseling provides the opportunity for a supervisor to speak with an employee in a relaxed manner regarding a problem in a private setting away from other departmental employees. It is often the first attempt by a supervisor to address an issue. (HPM 10.2 CH. 3-5).
Informal / Informal / Informal
The primary difference between formal and informal counseling is documentation. After formal counseling, the employee _______ receive documentation in the form of comments on the employee’s monthly evaluation form, (e.g., CHP 100, Officer’s Evaluation/Activity Summary, CHP 100PSD, Monthly Job Performance Summary, and CHP 112). If the employee does not have a monthly evaluation form, the counseling session _______ be documented on a Memorandum of Counseling (MOC), which is then issued to the employee. (HPM 10.2 CH. 3-6).
Shall / Shall
A formal counseling session should be documented on the _________ evaluation form (e.g., CHP 112) in general terms which are not intended to be used against the counseled employee but, rather, to document the _________ actions in a work capacity. (HPM 10.2 CH. 3-6).
Supervisors / Supervisors
A memorandum issued to an employee to formally document supervisory counseling pertaining to misconduct, behavior, or poor performance. A _____ _____ ______ (MOC) does not normally contain the Bazemore admonition. If seeking to add the Bazemore admonition, the Office of Internal Affairs (OIA) should be consulted. (HPM 10.2 CH. 3-6).
Memorandum of Counseling
A memorandum issued to an employee to formally document misconduct, behavior, or poor performance, and to provide specific direction to preclude a recurrence. A Memorandum of Direction (MOD) is remedial or counseling in nature. The Bazemore admonition _______ be included in all MODs. (HPM 10.2 CH. 3-6).
Shall
This corrective documentation is a record of censurable acts or omissions which is intended to correct inappropriate behavior, conduct, or performance. A censurable ______ should be used for a single act which is unlikely to recure in the future and shall not contain the Bazemore admonition. A censurable ______ shall not be issued if adverse action will be taken against the employee for the same acts. (Refer to Annex B for a sample censurable CHP 2.) (HPM 10.2 CH. 3-6).
CHP 2 / CHP 2
In accordance with the Collective Bargaining Agreement (CBA) for Bargaining Unit (BU) 5, California Highway Patrol officers, adverse comments are subject to the Informal Dispute Resolution process (refer to the CBA for BU 5). For grievance or appeal procedures involving other bargaining units, refer to the employee’s respective CBA. Additionally, employees in BU 5 and BU 7, Protective Services and Public Safety (Public Safety Dispatchers and Motor Carrier Specialist), have the right to submit a written response within _____ days to any adverse comment entered into the employee’s personnel file, including a censurable CHP 2, MOD, or Memorandum of Findings. A copy of the employee’s response shall be attached to all copies of the corrective documentation. (HPM 10.2 CH. 3-7).
30
If the employee does not respond to preventive and/or corrective actions, or the acts of misconduct are severe, a formal request for ________ should be initiated. It is incumbent upon managers and supervisors to recognize when __________ is appropriate since it is the most severe option in the progressive discipline process. When considering _________, all involved supervisors and managers should review Chapter 11 of this manual before proceeding. (HPM 10.2 CH. 3-8).
Adverse Action / Adverse Action / Adverse Action
A formal written reprimand is the lowest penalty level in the adverse action process and may be used when a penalty greater than corrective action is necessary. A formal written reprimand shall be retained for ______ years as an official part of the employee’s personnel record. (HPM 10.2 CH. 3-9).
Three
