HPM 10.2 - INTERNAL INVESTIGATIONS MANUAL Flashcards
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 1 INTRODUCTION AND NOTIFICATIONS
Internal Investigation Process Overview
o ______(s) of misconduct or poor performance
o Notification of chain of ______
o ______ Initiated
o Investigation ______
o Review by ______, ______, and ______
o Employee served closing ______ – Final Notice
o Predisciplinary ______
o Discipline ______ or modified
o Employee serves ______
o ______ – If applicable
Allegations
Command
Investigation
Documented
Command / Division / Headquarters
Documentation
Hearing
Imposed
Discipline
Appeal
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 1 INTRODUCTION AND NOTIFICATIONS
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 ______.
Commissioner
Representative
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 1 INTRODUCTION AND NOTIFICATIONS
Employees must promptly obey any lawful ______ or directives from a ______, ______, or ______ in charge. This includes orders or directives from a superior which are conveyed by an employee of the same or ______ rank.
Orders
Supervisor
Manager
Officer in Charge
Lesser
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 1 INTRODUCTION AND NOTIFICATIONS
If an employee receives a conflicting order or directive, the employee must respectfully call the conflict to the attention of the supervisor giving the ______ order.
Last
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 1 INTRODUCTION AND NOTIFICATIONS
If the person giving the last order does not change or rescind it, the employee must ______ it, and is not ______ for disobeying the first order.
Obey
Responsible
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 1 INTRODUCTION AND NOTIFICATIONS
Any employee who disobeys or disregards a lawful order or directive (______ or ______) given by a supervisor, manager, or officer-in-charge may be subject to ______ action.
Verbal or Written
Disciplinary
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 1 INTRODUCTION AND NOTIFICATIONS
Employees shall never obey orders they know or reasonably should have known would require them to commit reasonably apparent ______ acts. Employees in doubt as to the legality of an order shall request ______ 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 the chain of ______.
Illegal
Clarification
Command
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 1 INTRODUCTION AND NOTIFICATIONS
The Public Safety Officers Procedural Bill of Rights Act (POBR) is specified in California GC § ______ et seq.
3300
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 1 INTRODUCTION AND NOTIFICATIONS
By law, POBR applies to all ______ and ______ departmental personnel who are peace officers. By policy, the Department has extended POBR rights to all other employees with the exception of ______.
Probationary
Permanent
Cadets
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 1 INTRODUCTION AND NOTIFICATIONS
Commanders should require all involved supervisory and managerial staff to review Chapter ______ (POBR), prior to the initiation of an internal investigation.
Chapter 11, Public Safety Officers Procedural Bill of Rights Act
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 1 INTRODUCTION AND NOTIFICATIONS
*When a departmental supervisor or manager is notified of or discovers alleged ______ on the part of an employee, notification to the next level in the chain of command shall be made as soon as it is ______.
If the alleged misconduct is egregious, the supervisor or manager shall make ______ notification to the succeeding level in the chain of command.
Upon initiation of an internal investigation, Division shall notify the appropriate ______ ______. The Office of ______ ______ (OIA) shall also be notified for tracking purposes.
Misconduct / Practical
Immediate
Assistant Commissioner / Internal Affairs
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
An official inquiry, utilizing departmental investigative resources, into alleged misconduct by departmental employees is an ______ investigation.
Internal Investigation
Internal investigations may lead to administrative action.
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
A formal investigation into alleged criminal misconduct which may lead to exoneration or a recommendation of criminal prosecution, with concurrence of the Office of the Commissioner is a ______ investigation
Criminal Investigation
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
A formal investigation into alleged violations of policies or procedures, or poor performance, resulting in either exoneration or administrative sanctions, or other civil misconduct contemplated by Government code section 19572 is an ______ investigation
Administrative Investigation
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
Once initiated, an administrative investigation has four (4) possible outcomes:
Adverse ______
Rejection During ______
______ Investigation
Non-Punitive ______
Action
Probation
Miscellaneous
Termination
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
Rejection During Probation: The Department may reject any employee during the probationary period for reasons relating to the probationer’s ______, for the good of the ______, or for failure to demonstrate ______, ______, ______, and moral ______.
Qualifications
Service
Merit
Efficiency
Fitness
Responsibility
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
Adverse Action: A disciplinary legal action taken in response to an employee’s ______ or continued failure to meet the ______ of conduct established by law and/or departmental ______.
Misconduct
Rules
Policy
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
Miscellaneous Investigation: An administrative investigation in which the employee is ______, ______ from state service, ______ to a new agency, or the conduct (DOES / DOES NOT) warrant adverse action or rejection during probation.
Exonerated
Separates
Transfers
DOES NOT
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
Non-Punitive Termination: Actions resulting in ______ separation from state service, although not as a disciplinary measure.
Examples include termination resulting from ______ without ______ (AWOL), failure to meet minimum ______, and ______ disqualification.
Involuntary
Absence without Leave / Qualifications / Medical
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
The Department shall only investigate allegations of misconduct when there is a ______ (or connection), between the act(s) and the individual’s employment with the ______.
Nexus
Department
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
Nexus is established in the following circumstances:
The act(s) occurred while the employee was ______-duty, regardless of location or assignment.
All criminal acts by ______ employees, either ______ or ______-duty.
All criminal acts by non-______ employees, either on or off-duty, which constitute a ______ or crime of moral ______ (IMMORALITY).
While off-duty, an individual’s ______ status is affirmatively established by an ______ act. Examples include employees who are subject to enforcement action requesting ______ while identifying themselves as members of the ______, or employees identifying themselves as members of the Department.
Any off-duty misconduct with a clear connection to the employee’s continued ______ to effectively perform the duties of the employee’s position. Example, a non-uniformed employee with a suspended driver license cannot perform duties which require a valid license.
The misconduct is of such a nature that it could bring ______ to the Department.
Normally, mere knowledge of employment status with the Department is ______ to establish a nexus.
On-Duty
Uniformed / On or Off-Duty
Non-Uniformed / Felony / Turpitude
Employment / Overt / Leniency / Department
Ability
Discredit
Insufficient
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
The formal and direct questioning of an employee to determine the facts of an internal investigation is an ______ interrogation.
Administrative Interrogation
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
Interrogations shall be conducted in compliance with the ______ ______ ______ ______ ______ of ______ Act (POBR), applicable collective bargaining ______, and all relevant statutes.
Public Safety Officers Procedural Bill of Rights Act
Agreements
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
During the interrogation, the employee has the right to ______ by a person of the employee’s choosing.
Representation
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
The officer must choose a representative who is reasonably ______ to represent the officer, and who is physically ______ to represent the officer at the reasonably scheduled interrogation.
But it is the ______ responsibility to secure the ______ of his or her chosen representative at the interrogation.
If he or she is unable to do so, the officer should select another representative so that the interrogation may proceed ‘at a reasonable ______.’”
Available / Able
Officer’s / Attendance
Hour
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
All administrative interrogations shall be ______ recorded.
Audio
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
Absence with Leave (AWOL): Absence for _____ consecutive working days (whether the absence was voluntary or involuntary) is considered an automatic ______ from state service, effective the last ______ the employee worked.
Five (5)
Resignation
Day
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
Bazemore: Employees shall be notified that misconduct for which they are being counseled may be charged in a ______ adverse action if the written document contains the ______ admonition.
Future
Bazemore
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
The Bazemore admonition shall be included in all Memoranda of Direction (MODs) which are ______ or ______ in nature.
Counseling or Remedial
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
The Bazemore admonition shall be stated ______.
Verbatim
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
The Bazemore admonition states: Your conduct on this occasion [these occasions] was unacceptable and will not be tolerated by this Department. If you engage in similar misconduct in the future, the Department may take adverse action against you based on the incident[s] cited in this documentation, as well as any future incidents.
INFO ONLY
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
______ material consists of exculpatory or impeaching information that is material to the guilt or punishment of the defendant.
Brady
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
A CHP 2, Incident Report can be either ______ or ______
Commendable
Censurable
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
CHP 2, Incident Report - Commendable: A record of commendable ______, outstanding levels of ______, outstanding ______, or efforts toward self-______.
Acts
Performance
Accomplishments
Improvement
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
CHP 2, Incident Report - Censurable: A record of censurable ______ or ______ which is intended to correct ______ behavior, conduct, or performance.
Acts or Omissions
Inappropriate
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
A CHP 2 (SHALL / SHALL NOT) be issued if adverse action will be taken against the employee for the same acts.
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
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 is a ______ Hearing.
Coleman
AWOL = Coleman
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
A restraining order issued at the request of a law enforcement officer in response to a domestic ______ victim who is in general danger is an Emergency ______ Order (EPO).
Orders contain a weapons restriction which ______ the subject of the order to ______, ______, and/or ______ any firearm.
Violence / Protective
Forbids / Own / Posses / Carry
NO FIREARMS ALLOWED
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
Failure to Meet Minimum Qualifications: When a permanent or probationary employee fails to meet the minimum qualifications required for a position, the employee must be informed of this and ______ from further work in the current ______.
Prohibited
Classification
Examples include a court order prohibiting a uniformed employee from possessing a firearm, or a driver license revocation for any classification requiring driving.
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
Formal Written Reprimand: A formal written reprimand is the ______ level of adverse action and is considered a “______ adverse action” under certain CBAs or “______ adverse action” for non-represented employees. A formal written reprimand does not result in a monetary ______.
Lowest
Minor
Lesser
Penalty
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
Investigative Plan: A plan formulated by the assigned investigator, in conjunction with a supervisor, as part of an internal investigation. The investigative plan identifies:
The ______ of the investigation,
Anticipated investigative ______ to be taken
Necessary ______ to be obtained
Additional ______(s) needed
Anticipated ______ and ______ to be conducted
Scope
Steps
Records
Investigators
Interviews and Interrogations
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
Leave of Absence: A period of time wherein an employee is ______ to remain away from the work location during scheduled duty hours, either on paid or non-paid status. This has previously been referred to as ______ Time Off (ATO). Approval must be obtained, through channels, from the appropriate Assistant Commissioner prior to placing an employee on a leave of absence.
Directed
Administrative
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
Lybarger Admonishment: An admonishment given in administrative interrogations which advises the subjects of the interrogations that they do not have the right to ______ to answer ______ questions.
Refuse
Administrative
Lybarger COMPELS you to answer questions in an Administrative Interrogation.
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
Subjects are also advised that failure to answer administrative questions will be deemed. Further, any statement made during an administrative interrogation cannot be used in a subsequent ______ proceeding.
Insubordination
Criminal
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
Memorandum of Counseling: Memorandum issued to an employee to formally document ______ counseling pertaining to misconduct, behavior, or poor performance. An MOC (SHOULD / SHOULD NOT) contain Bazemore, although this is at the discretion of the commander.
Supervisory
SHOULD NOT
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
Memorandum of Direction: Memorandum issued to an employee to formally document misconduct, behavior, or poor performance, and to provide specific direction to preclude a ______. The Bazemore Admonition (SHALL / SHALL NOT) be included in all MODs that are remedial or counseling in nature.
Recurrence
SHALL BE
MODs are used to prevent (preclude) future incidents of the same nature.
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
Memorandum of Expectations: Memorandum issued to an employee to formally explain the ______ for conduct or performance.
An example would be an officer assigned to a sensitive position in which confidentiality is required. A memorandum of expectations (MOE) (DOES / DOES NOT) normally contain Bazemore.
Expectations
DOES NOT
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
Memorandum of Findings: Memorandum issued to an employee to document the findings of a ______ investigation or citizen’s ______. The MOF is used when the employee is ______ of misconduct or when substantiated misconduct is not ______Severe enough to warrant a more severe action such as a Memorandum of Direction.
Miscellaneous
Complaint
Exonerated
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
Minor Discipline: Discipline which involves a penalty consisting of a ______ to ______ working day(s) suspension or equivalent step-reduction in ______. Applies to Bargaining Unit 5 members only (officers and sergeants).
One (1) to Five (5)
Pay
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
Miranda warnings shall be given when an employing agency is conducting a ______ investigation on one of its employees.
Criminal
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
Notice of Administrative Interrogation: Advance notice given to an employee (a reasonable length of time) (USUALLY ______ HOURS) prior to an administrative interrogation. The notice is usually given by memorandum from the employee’s commander but may be delivered verbally under ______ circumstances.
Four (4) Hours
Exegent
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
Predisciplinary Hearing Process: This was previously known as a “______” hearing (2 CCR § 52.6). It is the process whereby a departmental employee and representative have the right to present material for which a notice of adverse action or rejection during probation was served, ______ to the penalty being imposed.
Skelly
Prior To
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
Preponderance of Evidence: The greater weight of the evidence, not necessarily established by the greater number of witnesses testifying to a fact, but by evidence that has the most convincing ______. Preponderance of evidence is a significantly ______ threshold than “beyond a reasonable doubt.” Preponderance of evidence is often referred to as “the standard of ______ percent.”
Force
Lesser
51
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
REASONS FOR DISCIPLINARY ACTION
Inefficiency: Inefficiency is related to a failure to perform one’s duties productively and consistently. Inefficiency and incompetency are not ______. Inefficiency applies to the employee who has previously demonstrated ______ and subsequently fails to demonstrate satisfactory ______. Inefficiency (DOES / DOES NOT) require evidence of a specific rule violation.
Interchangeable
Competence
Performance
DOES NOT
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
REASONS FOR DISCIPLINARY ACTION
Inexcusable neglect of duty: An intentional or grossly negligent failure to exercise due ______ in the performance of a known official duty without ______ excuse or justification. This charge is appropriate when the employee fails to follow ______, is ______, or fails to perform the work properly or safely.
Diligence
Lawful
Policy
Careless
Examples on the next flashcard
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
REASONS FOR DISCIPLINARY ACTION
Inexcusable neglect of duty: EXAMPLES
Negligence in performing official duties, including failure to follow departmental policy and procedures, such as not appearing in ______ pursuant to a lawfully issued subpoena.
Frequent unexcused ______ resulting in dock.
______ on duty. (In this instance, inefficiency would also be charged.)
Improper and unauthorized access to and/or disclosure of ______ information.
Accidental discharge of a ______, by a uniformed employee, whether on or off-duty.
Preventable patrol vehicle ______.
Any criminal ______ by a uniformed employee.
Loss or damage to state ______ or ______
Evasiveness during an ______.
Court
Absences
Sleeping
Confidential
Firearm
Collisions
Activity
Property or Equipment
Interrogation
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
REASONS FOR DISCIPLINARY ACTION
Insubordination: A demonstrated unwillingness to _____ to authority. A charge of insubordination is generally applicable to cases involving a ______ attitude toward a supervisor. This can be evidenced by a single incident of a serious nature or a series of incidents of willful disobedience which portray a ______ of unwillingness to submit to authority. The assigned investigator in the action shall not be the supervisor against whom the act was committed.
Submit
Mutinous
Pattern
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
REASONS FOR DISCIPLINARY ACTION
Insubordination: EXAMPLES
Adamantly ______ to carry out a direct order where no legal justification exists for failure to ______ the directive.
Leaving the work area completely after repeatedly being told by a supervisor to ______.
Threatening a supervisor with physical ______.
Refusing / Obey
Remain
Harm
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
REASONS FOR DISCIPLINARY ACTION
Dishonesty: Lacking honesty or ______. By departmental policy, uniformed employees of this Department will not be charged with violation of this subsection except as applicable in ______ or rejection during ______ cases.
Integrity
Dismissal
Probation
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
REASONS FOR DISCIPLINARY ACTION
Dishonesty: EXAMPLES
Willful ______ of sick leave request forms, arrest reports, attendance records, travel expense claims, payroll records, purchase vouchers, etc.
Unauthorized taking of property belonging to the ______ or other employees.
Theft.
Falsifications
State / Employees
Theft
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
REASONS FOR DISCIPLINARY ACTION
Intemperance: Lack of moderation in satisfying an ______ or ______, as in the habitual or excessive use of ______. Intemperance as a grounds for adverse action is normally restricted to the excessive use of intoxicating ______ and/or ______ either on or off duty which has an adverse impact upon the employee’s job. Usually, intemperance (WILL / WILL NOT) lead to incompetency, inefficiency, discourteous treatment of the public or other employees, and/or bring ______ to the Department.
Appetite
Passion
Intoxicants
Beverages
Drugs
WILL
Discredit
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
REASONS FOR DISCIPLINARY ACTION
Conviction of a felony or conviction of a misdemeanor involving moral turpitude.
For example, theft (whether the conviction is for petty theft or grand theft), embezzlement, various sexual crimes, use and possession of narcotics and drugs, etc., (DO / DO NOT) involve moral turpitude. Generally, there (NEEDS TO / NEED NOT) be an established nexus between a conviction involving moral turpitude and the employee’s duties.
DO
NEED NOT
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
REASONS FOR DISCIPLINARY ACTION
Immorality: Such a charge should be limited to obvious outstanding deviations such as ______ with known prostitutes, prostitution, exhibitionism, or other unlawful sexual ______.
Consorting
Behavior
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
REASONS FOR DISCIPLINARY ACTION
Discourteous treatment of the public or other employees.
The ______ of the misbehavior and its ______ on the public service, rather than the ______ or ______ of occurrence, are the determining factors. Discourteous treatment of the public or other employees may occur ______ or ______-duty.
Nature
Effect
Time or Place
On or Off-Duty
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
REASONS FOR DISCIPLINARY ACTION
Improper political activity: The use of state ______ or state ______, or the prestige and influence of the employee’s official ______, to advance the political interest of any person or the interests of any political party.
Time
Property
Position
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
REASONS FOR DISCIPLINARY ACTION
Willful disobedience: Willful disobedience requires that one ______ and ______ violate a direct ______ or ______.
To some degree, insubordination, and willful disobedience ______.
Failure to obey a direct order without ______ or ______ conduct would constitute willful disobedience.
Knowingly / Intentionally / Command / Prohibition
Overlap
Disrespectful / Mutinous
Failure to obey a direct order WITH disrespectful or mutinous conduct would constitute INSUBORDINATION.
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
REASONS FOR DISCIPLINARY ACTION
Misuse of state property: In the context of this section, state property includes ______ and ______. Misuse implies either ______ of state property or intentional use of state property or time for an ______ purpose. Misuse includes conversion of state property for ______ gain.
Time
Equipment
Theft
Unauthorized
Personal
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
REASONS FOR DISCIPLINARY ACTION
Misuse of state property: EXAMPLES
Using a state vehicle for ______ business and/or to transport unauthorized ______ or ______.
Using for private gain or advantage the ______, ______, or ______ of the state.
Misuse of state time would include conducting personal business during ______ hours or otherwise using state time for personal ______ or ______.
Personal / Passengers / Property
Facilities / Equipment / Supplies
Duty / Gain / Advantage
Misuse of state property would not include a preventable patrol car accident. That type of misconduct would more appropriately charge inefficiency, and/or inexcusable neglect of duty.
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
REASONS FOR DISCIPLINARY ACTION
Refusal to take and subscribe any oath or affirmation which is required by law in connection with the person’s employment.
EXAMPLE: Failure to take or adhere to the Oath of ______ or refusing to ______ at a hearing as part of an employee’s official duties.
Allegiance
Testify
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
REASONS FOR DISCIPLINARY ACTION
Discredit to the Department:
EXAMPLE: The ______-duty arrest of a uniformed employee for driving while under the influence of alcohol.
Off-Duty
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
REASONS FOR DISCIPLINARY ACTION
The use during duty hours, for training or target practice, of any material which is not authorized by the appointing power.
Distributing any unofficial ______ for weapons training, including unauthorized ______ to any departmental target which depicts persons by name, race, sex, sexual orientation, national origin, ancestry, religious affiliation, or disability in a ______ or ______ manner.
Targets
Alterations
Demeaning or Inflammatory
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 2 TERMS AND DEFINITIONS
REASONS FOR DISCIPLINARY ACTION
Unlawful retaliation against any other state officer or employee or member of the public who in good faith ______, ______, ______, or otherwise brings to the ______ of the Attorney General, or any other appropriate authority, any facts or information relative to actual or suspected violation of any law of this state or the United States occurring on the job or directly related thereto.
Reports
Discloses
Divulges
Attention
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
Progressive discipline is intended to ______ an employee’s behavior and should ______ and ______ the employee to act and perform in accordance with established standards of ______. Likewise, progressive discipline provides the employee with the ______ and ______ to bring performance to an acceptable level.
Modify
Instruct
Train
Conduct
Tools
Awareness
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
Supervisors and managers are expected to:
Ensure employees are informed of expectations via:
Six (6) Things
Recognize those individuals who are meeting or exceeding standards by providing positive ______ and ______, e.g., CHP 100 Form comments, commendable CHP 2, Incident Report, etc.
Briefings / Ride-Alongs / One-on-One Discussions / Training Days / Written Acknowledgements of Policy Review
Reinforcement and Recognition
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
Whenever an employee’s performance or conduct does not meet expectations, the commander should determine if the employee was provided with adequate ______ or notice of performance ______. If not, appropriate ______ and/or ______ should be provided. If the employee has been provided with adequate training or notice of performance expectations, ______ discipline should be utilized.
Training
Expectations
Training and/or Guidance
Progressive Discipline
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
There are various options available to supervisors that must be initiated in a ______, ______, and ______ manner.
Fair
Impartial
Consistent
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
These options can be compared to a wheel, as illustrated in Figure 3a. At the center of the wheel is the ______ or, in the context of progressive discipline, the employee’s ______ and/or performance ______.
Each of the spokes corresponds to a different ______ or ______ option. Circumstances may call for either ______ or ______ repetitive options.
Hub / Behavior / Deficiency
Disciplinary or Motivational / Bypassing or Imposing
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
Although not disciplinary, ______ reporting may be included in the progressive discipline wheel when substandard performance is an issue. The goal of interim reporting is to provide the employee with ______ and ______ to bring their performance to an acceptable level.
Interim
Tools
Assistance
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
Preventative Actions: Proactive steps that ______ or eliminate the need for ______ or ______ action. It is the supervisor’s responsibility to ______ and ______ the employee in the right direction, as opposed to merely ______ the actions of the employee.
Reduce
Eliminate
Corrective
Adverse
Documenting
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
Examples of preventative actions include, but are not limited to, the following:
Adequate ongoing ______ for all classifications.
Clearly defined job ______, ______, ______, and ______.
Ensure employees have positive and respectful workplace ______ with the chain of command, peers, and subordinates.
Provide ______ and ______ assessment and ______ of job performance to all employees.
Provide employees with ______, ______, and ______ feedback regarding job performance and conduct on an on-going basis before a problem develops.
Provide ______, ______, and ______ supervision. Supervisors and managers must also ______ appropriate conduct and professional job performance at all times. The importance of leading by example cannot be overstated.
Make referrals to the ______ ______ Program (EAP) when appropriate.
Training
Duties / Conduct / Expectations / Expectations
Communication
Periodic and Routine / Feedback
Critical / Constructive / Comprehensive
Fair / Engaged / Impartial / Model
Employee Assistance Program
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
To improve communication:
Supervisors and managers should conduct regular and open ______ with employees on job-related issues.
Actively consider ______ and ______ presented by employees, union job stewards, and employee representatives.
Provide information on ______ or ______ changes that affect the employees or their jobs.
Provide ______ when performance or disciplinary discussions occur.
Provide an opportunity to discuss problems or conflicts with ______, ______, and ______.
Provide access to ______-level supervisors or managers, if requested for conflict resolution.
Discussions
Issues and Concerns
Law or Policy
Privacy
Supervisors / Managers / Coworkers
Higher
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
Corrective Actions: The goal of written or verbal corrective actions is to bring the employee’s performance to an ______ level and to prevent ______ misconduct or poor performance. This is accomplished by providing specific ______ to the employee. Corrective actions (MAY / MAY NOT) be initiated by a supervisor but are usually prepared with the concurrence and approval of the commander. Corrective actions include ______ and ______ counseling, and any corresponding corrective ______ issued as a result.
Acceptable
Continued
Directives
MAY BE
Informal
Formal
Documentation
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
o Considerations prior to taking action:
Read and understand the ______ ______ ______ ______ ______ of ______ Act (POBR).
Clearly identify the specific act or ______ that is unacceptable, along with corresponding policy and ______.
After identifying the act or omission, be sure to fully understand the ______ and ______ of the problem.
Gather all the pertinent ______ relative to the misconduct or substandard performance.
Discuss the issue with the employee before making a decision to take ______ action. (If adverse action is possible, do not discuss the issue outside of an administrative ______.)
Review the employee’s personnel ______. Has this current problem been an issue in the past? How long ago? What prior progressive discipline steps were taken? What was the result? Does a pattern exist?
Public Safety Officers Procedural Bill of Rights Act
Omission / Law
Nature and Extent
Facts
Corrective / Interrogation
Folder
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
Informal Counseling: In an INFORMAL counseling session, the manager or supervisor meets with the employee and discusses the ______ or substandard ______. Informal counseling is considered a routine business ______ and, therefore, is not subject to the ______ process, and the employee (IS / IS NOT) entitled to representation.
Misconduct
Performance
Communication
Grievance
IS NOT
NO REP FOR INFORMAL COUNSELING
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
Purpose/Intent: Informal counseling provides the opportunity for a supervisor to speak with an employee in a ______ manner regarding a problem in a ______ setting away from other departmental employees. It is often the ______ attempt by a supervisor to address an issue. Informal counseling should be documented on a CHP ______, Management Summary.
Relaxed
Private
First
CHP 112, Management Summary
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
Focus: The focus of informal counseling is on the employee’s ______ and/or job ______. If the underlying problem appears to be of a ______ nature, the availability of the EAP should be discussed at the conclusion of the session. Refer to HPM 10.5, Employee Assistance Manual.
Behavior
Performance
Personal
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
Informal Counseling: In an FORMAL counseling session, the manager or supervisor meets with the employee and discusses the ______ or substandard ______. Informal counseling is considered a routine business ______ and, therefore, is not subject to the ______ process, and the employee (IS / IS NOT) entitled to representation.
Misconduct
Performance
Communication
Grievance
IS NOT
NO REP FOR FORMAL COUNSELING
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
The primary difference between formal and informal counseling is ______.
Documentation
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
Documentation will be discussed with the ______ first. A formal counseling session should be documented on the supervisor’s evaluation form (CHP _____) in general terms which (ARE / ARE NOT) intended to be used against the counseled employee but, rather, to document the supervisor’s actions in a ______ capacity. A formal counseling session will also be documented on the counseled employee’s monthly ______ form, (e.g., CHP 100, CHP 100PSD, CHP 112). If the employee does not have a monthly evaluation form, the counseling session shall be documented on a Memorandum of ______ which is then issued to the employee.
Employee
CHP 112
ARE NOT
Work
Evaluation
Counseling
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
Corrective Documentation: After informal/formal counseling, this is the next ______ in the progressive discipline process.
Step
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
Corrective documentation can take the form of any of the following:
Monthly evaluation ______ (e.g., CHP 100, CHP 100PSD, CHP 112).
Memorandum of ______.
Memorandum of ______
Censurable CHP ______, Incident Report.
Comment
Counseling
Direction
CHP 2, Incident Report
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
Purpose/Intent: The primary purpose of corrective documentation is to ______ corrective action in response to unacceptable actions or substandard performance. Personal ______ by a supervisor or manager will yield the most beneficial results.
Memorialize
Service
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
Monthly Evaluation Comment (CHP 100, CHP 100 PSD, CHP 112). A manager or supervisor may provide written comments including ______ and ______ on the employee’s monthly evaluation. The monthly evaluation comment shall not contain the ______ Admonition.
Directives
Expectations
Bazemore
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
Memorandum of Counseling: A memorandum of counseling (MOC) is an ______ level of corrective documentation. A manager or supervisor may provide written comments on a MOC, including ______ and ______. The MOC does not ______ contain the ______ Admonition.
Initial
Directives
Expectations
Normally
Bazemore
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
Memorandum of Direction: When poor performance or misconduct merits more ______ disciplinary measures but falls ______ of a request for initiating an ______ action, a memorandum of direction (MOD) may be issued. The MOD (SHALL / SHALL NOT) contain the Bazemore Admonition.
Severe
Short
Adverse
SHALL
MODs SHALL contain the Bazemore Admonition
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
Censurable CHP 2, Incident Report: This is an ______ form of documentation - A censurable CHP 2 should be used for a ______ act which is not likely to ______ in the future. The censurable CHP 2 (SHALL / SHALL NOT) contain the Bazemore Admonition.
Alternate
Single
Recur
SHALL NOT
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
For Bargaining Unit 5, adverse comments are subject to the ______ Dispute Resolution process (Appeal).
Informal
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
Employees are NOT entitled to Representation for INFORMAL and FORMAL counseling
INFO ONLY
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
The only document that SHALL contain the Bazemore Admonition is the Memorandum of Direction (MOD)
INFO ONLY
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
Adverse Actions: If the employee does not respond to ______ and/or ______ actions, or the acts of misconduct are ______, a formal request for adverse action should be initiated. It is incumbent upon managers and supervisors to recognize when adverse action is appropriate since it is the ______ severe option in the progressive discipline process. When considering adverse action, all involved supervisors and managers should review Chapter ______ (POBR) of this manual before proceeding.
Preventive
Corrective
Severe
Most
Chapter 11
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
Conditions Needed for Cause: Ensure there is sufficient ______ for the discipline prior to initiating an investigation. If the cause for action is not legally sufficient, or if management has acted arbitrarily, capriciously (IMPULSIVELY), or discriminatorily, the manager or supervisor may be subject to disciplinary and legal ______.
Cause
Repercussions
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
The following conditions must be met to establish cause:
The rules or standards the employee has violated must bear a reasonable ______ to the employee’s specific job and/or the goals and mission of the Department.
The employee must have clear ______ of the rules or standards the employee is charged with violating, preferably supported by signed ______ (EMPLOYEE FOLDER) indicating the employee received relevant training or even copies of the rules and standards.
The rules or standards must be ______ enforced.
If adverse action results from an employee’s off-duty conduct, there must be a rational ______ (nexus) between the misconduct and the employee’s position. This includes the use of one’s official position to obtain favorable treatment or ______.
The investigation must be ______, ______, and ______ to determine whether the misconduct occurred as alleged.
There must be sufficient, legally admissible ______ of evidence to support that the alleged misconduct occurred.
Relationship
Knowledge / Documentation
Equitably
Relationship / Gratuity
Thorough / Impartial / Objective
Preponderance
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
The six types of penalties for adverse actions are as follows:
Formal ______ Reprimand
______ Reduction
______ also called - (Days in the Rain)
Involuntary ______
______ (Loss of Rank / Classification
______ From State Service
Written
Salary
Suspension
Transfer
Demotion
Dismissal
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
Formal Written Reprimand: A formal written reprimand is the ______ penalty level in the adverse action process and may be used when an action greater than corrective action is necessary. This (SHALL / SHALL NOT) be retained as an official part of the employee’s personnel record.
Lowest
SHALL BE
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
Salary Reduction within Salary Range of the Class: A salary reduction may be ______ (1) or ______ salary steps down to the ______ salary of the employee’s class and is normally imposed in lieu of a ______ when an employee’s continued service is necessary. This penalty is not available for an employee working at ______ step.
One (1) or More
Minimum
Suspension
Bottom
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
Suspension: Suspension shall be specified in working days and may consist of a penalty ranging from ______ (1) work day to several ______ periods. The suspension is considered a temporary ______ during which the employee does not work, and salary is ______ for the specified period.
Any holiday falling within the suspension (IS / IS NOT) counted as a working day.
One (1)
Pay
Separation
Docked
IS NOT
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
Involuntary Transfer: A transfer from one Area office to another Area office, or a transfer out of a ______ position. An involuntary transfer included as a penalty in an Adverse Action is subject to review by the State Personnel Board.
Specialized
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
Demotion: Demotions shall occur when continued service is of ______, but the employee is not working at the expected ______ level. A demotion may also be for a single incident of sufficiently ______ misconduct. A demotion shall be imposed only when the employee qualifies for and can be expected to do a satisfactory job at the lower level. Demotion may be to any salary range in the next lower class that does not exceed the salary the employee last received. A demotion may be ______ or ______. If temporary, the employee automatically returns to the higher class on the date specified, and at the salary step determined by the hiring authority. If permanent, the employee can compete for a ______ at a later date.
Value
Performance
Egregious
Permanent or Temporary
Promotion
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 3 PROGRESSIVE DISCIPLINE
Dismissal from State Service: Dismissal is appropriate for exceptionally serious misconduct, misconduct that is not ______ through discipline, or misconduct which immediately renders the individual ______ for continued employment. Dismissal may or may not be preceded by other forms of adverse action (i.e., progressive discipline).
Correctable
Unsuitable
Does not need prior Progressive Discipline to be implemented
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
An internal investigation may be initiated as the result of a ______ (including anonymous), departmental ______, or any other source of information. When appropriate, requests for adverse action or rejection during probation shall be initiated.
Complaint
Knowledge
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Commanders should require all involved supervisors and managers to review Chapter ______ of this manual (POBR) prior to initiating an investigation.
Chapter 11 - POBR
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
The assigned primary investigator shall be at least one rank ______ than the highest-ranking involved ______, unless otherwise approved by the Division commander or appropriate Assistant Commissioner.
Higher
Employee
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
When the primary investigator has minimal experience with internal investigations, it is strongly recommended that a ______ investigator with more experience be assigned as a ______.
Secondary
Mentor
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
To ensure impartiality, the assigned investigator shall not be a ______ or ______ to the incident(s) in question.
Party
Witness
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Investigators may use lower ranking employees as resources - Drug recognition evaluators, physical methods of arrest instructors, emergency medical technicians, multi-disciplinary accident investigation team members
INFO ONLY
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Ultimately, the ______ is responsible for the quality and timeliness of the internal investigation.
Commander
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Suspenses: Area and Division commanders shall ensure the investigation is forwarded to OIA within ______ ______ days from the date the Area becomes aware of the misconduct. In complex cases where the investigations will exceed 60-days, the Division commander should contact the appropriate ______ ______ to request an extension.
Sixty (60) Calendar Days
Assistant Commissioner
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Employee Notification Requirement: Whenever any employee of this Department, including the employee subject to investigation, learns that another law enforcement ______ is conducting an inquiry into allegations of ______ misconduct involving a member of the Department, the employee shall ______ notify a supervisor or manager.
Agency
Criminal
Immediately
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
There are two accepted methods for conducting a criminal investigation without negatively influencing the corresponding administrative investigation, ______ and ______.
Concurrent - At the same time, but with separate investigators
Consecutive - One after the other
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
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.
INFO ONLY
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
For instance, ______ statements made during an administrative interrogation (SHALL / SHALL NOT) be included in a criminal interrogation. It is usually best to maintain complete ______ of administrative and criminal investigations.
Compelled
SHALL NOT
Separation
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Consecutive Investigation: In this method, the criminal investigation is completed and a decision (e.g., rejection or filing of charges) is made by the prosecuting authority ______ to initiating the administrative investigation. This applies whether the criminal investigation is being conducted by an allied agency or the Department.
Prior To
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
If an allied agency with primary investigative authority relinquishes or declines to conduct the investigation, the involved employee’s ______ shall initiate the criminal investigation. This would be in addition to any administrative investigation. Investigators must remain aware that when the Department is completing the criminal investigation, the ______ year time limitation as specified in Government Code § 3304 is not tolled (SUSPENDED) as it would when an allied agency is conducting the investigation (Andrew Ruiz SPB Case No 04-2391A). The tolling of time should be documented in the ______ log, to include the timeframe of when an allied agency initiated and completed a criminal investigation.
Commander
One (1) Year
Chronological
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Criminal Interrogations. If performed, they shall be conducted ______ to the administrative interrogation if involving the same employee and the same act(s).
Prior To
Same Employee, Same Act(s)
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
To maintain the separation between investigations, criminal investigators (SHALL / SHALL NOT) participate in administrative interrogations (although it may be permissible to assist in ______ the interrogation).
Once the administrative interrogation has been conducted, the administrative and criminal investigators shall not have any further ______ regarding the investigation until all criminal aspects have been ______.
(SHALL NOT) / Planning
Contact / Resolved
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Evidence: 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 ______ that both administrative and criminal investigators would have had legal ______.
For EXAMPLE: A Department of Motor Vehicles (DMV) or criminal history could be collected once and shared between both investigations, but information gathered from an employee’s ______ file could not be provided to the criminal investigation without proper legal process.
Source / Access
Personnel
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
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 the ______ of ______ Affairs (OLA), and only with approval from the Office of the ______.
Office of Internal Affairs
Commissioner
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
When an allied agency is conducting the criminal investigation, its report may be used by the Department as a starting point for the administrative investigation.
For uniformed employees, a copy of the criminal investigation and/or arrest record (SHOULD BE / SHALL BE) included with the administrative investigation.
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).
SHALL BE
CANNOT
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Non-Uniformed Criminal Misconduct. Allegations involving potential criminal misconduct by a non-uniformed employee shall be administratively investigated only under the following circumstances:
Any criminal misconduct which could lead to a ______ conviction.
Any criminal misconduct constituting a misdemeanor involving moral ______ (SERIOUS CRIMES – ASSAULT, SEX CRIMES, MURDER).
Any criminal misconduct where the employee has established a ______ to the Department.
Felony
Turpitude
Nexus
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
If an employee of this Department is requested to be interviewed by investigators pursuant to a civil rights investigation, the following guidelines shall apply:
The decision to consent to an interview with an outside investigator regarding a civil rights investigation shall be at the sole discretion of the departmental ______ (either as a witness to, or the subject of, an investigation).
If such an interview is conducted on ______ time, a departmental supervisor (SHOULD BE / SHALL BE) present.
To preserve the accuracy of the statements, interviews conducted on state time shall be tape ______.
Employee
State Time / SHALL BE
Recorded
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
COMPLAINTS FROM DEPARTMENTAL PERSONNEL: If the source of the complaint is from departmental personnel or is anonymously submitted but there is evidence to suggest it was sent from a source from within the Department (e.g., employee, employee’s spouse), a formal investigation shall not be undertaken without having a basis for believing there is ______ to the complaint. Unless the complaint involves a violation of law (e.g., threat, retaliatory, other evidence of a crime), departmental resources (SHOULD NOT / SHALL NOT) be expended to determine the source of such complaints.
Merit
SHOULD NOT
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Procedure. When misconduct is alleged to have been committed by a departmental employee, it shall be brought to the attention of the employee’s supervisor or manager. The involved employee’s commander shall make an initial inquiry. The inquiry shall attempt to determine the merits of the allegation(s) by considering the following:
If there is adequate ______ to corroborate the allegation(s), such as documents, witnesses, or other relevant evidence.
The ______ness of the alleged misconduct.
The employee’s work ______ as it pertains to the allegation(s).
The ______ factors which may have generated the complaint.
The statute of ______ as it pertains to administrative and criminal investigations.
Whether the allegation(s) has already been ______.
Evidence
Egregious
History
Causative
Limitations
Investigated
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Employees on temporary assignment will be investigated by their ______ command unless directed otherwise by Division.
Permanent
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Multi-Command Investigations: When an investigation involves multiple employees assigned to different commands, a single Division, Area, Section, or Unit shall be appointed as the primary investigative command. In most instances, this will be the command with the employee associated with the most ______ allegations or the command with the greatest ______ of employees involved.
Severe
Number
As with all multiple employee investigations, each employee shall have a separate internal investigation file prepared with its own investigation control number.
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Adverse Action One-Year Timeframe. Pursuant to Government Code (GC) § ______, 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).
3304
One (1) Year
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
This section also states the Department must notify the employee of its proposed disciplinary action within this one-year period, except under any of the following circumstances:
There is a pending ______ investigation that will not be done within one (1) year.
The employee ______ the one-year time period in writing.
A reasonable extension is necessary to coordinate a multi-______ investigation.
The investigation involves more than one ______ and requires a reasonable extension.
The investigation involves an employee who is incapacitated or otherwise unavailable (e.g., military leave, extended vacation). This includes medical “______ ______” orders from treating physicians or psychologists.
The investigation involves a matter of civil ______, and the employee is a ______.
The investigation involves a matter under ______ investigation and prosecution, and the complainant is a criminal defendant.
The investigation involves an allegation of workers’ compensation ______ by the employee.
Criminal
Waives
Jurisdictional
Employee
Stay Away
Litigation / Defendant
Criminal / Defendant
Fraud
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Adverse Action Three-Year Timeframe: Per GC § 19635, “No adverse action shall 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 after the cause for ______, upon which the notice is based, first arose.
Three (3) Years
Discipline
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Rejection During Probation. A probationary employee must be served with a notice of rejection during probation prior to the ______ day of the probationary period, allowing time for the ______ hearing.
Last
Predisciplinary
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Per Penal Code Section ______, any person who knowingly alters, tampers with, conceals, or destroys relevant evidence in any disciplinary proceeding against a public safety officer for the purposes of harming that public safety officer is guilty of a ______.
135.5
Misdemeanor
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Departmental employees, upon receiving notification of an interview/interrogation (and at the conclusion of each interview/interrogation), shall be given a ______ ______ not to discuss their interview/interrogation with anyone other than their chosen representative or a supervisor/manager within their chain of command.
Direct Order
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
When material is unattended, ensure everything is always secured, preferably in a locked ______ or file ______. Ensure all physical evidence is properly labeled as “______” and chain of custody is maintained.
Drawer
Cabinet
Confidential
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Media Coverage: The employee under investigation shall not be subjected to visits by the press or news media without the employee’s expressed ______, nor shall the employee’s home address or photograph be given to the press or news media without the employee’s consent (GC § 3303[e]). Accordingly, the Department shall not release ______ information or ______ to the media, even if the employee is ______ prosecuted.
Consent
Residence Information or Photographs
Criminally
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Adverse Actions Stemming From Citizens’ Complaints. Citizens’ complaint investigations should normally be completed and approved as specified in Highway Patrol Manual 10.4 ______ being used as the basis for an administrative investigation which results in an adverse action or rejection during probation. In all cases, the citizen’s complaint investigation will be an ______ in the administrative investigation file.
Before
Exhibit
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Administrative interrogations can be conducted as part of the citizens’ complaint investigation and are especially appropriate when adverse action or rejection during probation appear likely.
INFO ONLY
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
A Department-initiated managerial tool in which the employee is ordered to stay away from the work location, typically assigned to remain at the employee’s residence is a ______ of ______.
Leave of Absence (Administrative Time Off - ATO)
Usually PAID but can be UNPAID
Must go through the Assistant Commissioner
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
For uniformed employees, a leave will also invoke a removal of ______ ______ powers.
Peace Office Powers
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Examples of situations in which leave of absence would be appropriate:
Employee is under investigation for a serious offense and ______ or ______ during probation is probable.
Employee is ______ of a serious criminal offense and is in ______ for an extended period of time. ______ leave is most appropriate in this instance.
After service of a notice of adverse action for ______, service of a notice of ______ during probation or service of a notice of non-______ action for termination.
The employee is a highly ______ influence in the workplace or may ______ with the investigation. A temporary transfer to another command may be considered as an alternative. Contact OIA or the Office of Employee Relations for guidance regarding temporary transfers.
Dismissal / Rejection
Accused / Custody / Unpaid
Dismissal / Rejection / Non-Punitive
Disruptive / Interfere
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
When an employee is placed on a leave of absence, OIA shall be notified by email, OIA Notification@chp.ca.gov, with a copy to Human Resources Section at PTU@chp.ca.gov. The leave of absence notification shall contain the following:
Name, rank, and identification number of the employee
Assigned command of the employee
Date and time the employee was placed on the leave
Whether the leave of absence is paid or unpaid.
INFO ONLY
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
If a Department-initiated leave of absence extends past ______ calendar days, CalHR approval is required. Therefore, OIA shall immediately be informed (by electronic mail) when a Department-initiated leave of absence status ______ or is ______.
Thirty (30) Calendar Days
Changes
Removed
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
The commander shall ensure the investigation of an employee on a Department-initiated leave of ______ is given the ______ priority and completed as expeditiously as possible.
Absence
Highest
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
When an employee is placed on a leave of absence without ______, the investigation must be completed, reviewed, and the employee served with the notice of adverse action within ______ calendar days.
Pay
Fifteen (15) Calendar Days
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Placing an Employee on a Leave of Absence:
REMOVAL OF PEACE OFFICER POWERS APPLIES
Creating the Notice: A CHP ______ (MEMO), a Notice of Leave of Absence will be created.
Service: The employee shall be provided the ______ Notice of Leave of Absence and both the employee and person serving it shall ______. Copies shall be retained for inclusion in the investigation file and the employee’s personnel file.
Equipment: All employees being placed on a leave of absence shall ______ all Department-issued identification and state building access cards/keys to a supervisor or manager. Uniformed employees shall also surrender all Department-issued ______ and officer safety ______ (incidental items, such as ______ ______, need not be surrendered).
CHP 51WP
Original / Sign
Surrender / Badges / Equipment / Rain Gear
If an employee is being served at a location other than a California Highway Patrol (CHP) facility where no photocopier is available, the individual serving the Notice of Leave of Absence should bring an additional copy. The employee shall be served with the original but requested to sign the additional copy as well.
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Removing an Employee from Leave of Absence:
A Department-initiated leave of absence may be terminated at any time by providing the employee with ______ hours-notice. For uniformed employees, peace officer powers are simultaneously ______ with the ending of the leave.
Creating the Notice: Utilizing a CHP ______ (MEMO), a Notice of Removal from Leave of Absence will be created.
Service: The employee shall be provided the ______ Notice of Removal from Leave of Absence.
Equipment: Upon being reinstated, all surrendered property shall be ______ to the employee.
48 / Restored
CHP 51WP
Original
Returned
If an employee is being served at a location other than a CHP facility where no photocopier is available, the individual serving the Notice of Leave of Absence should bring an additional copy. The employee shall be served with the original but requested to sign the additional copy as well.
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Usually a leave of absence and removal of peace officer powers go hand in hand. Sometimes this is not the case. Examples of situations in which removal of peace officer powers without a leave of absence would be appropriate:
An employee is under investigation for a serious offense involving misuse of ______, but ______ or ______ during probation is not yet indicated.
An employee is the subject of a temporary ______ order, emergency ______ order, or other court action which prohibits possessing or carrying a ______.
An employee has been placed on medical leave for ______ or other ______ impairment which indicates exercise of peace officer powers is not prudent.
Position / Dismissal / Rejection
Restraining / Protective / Firearm
Stress / Psychological
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Removal of Peace Officer Powers (PROCESS):
ASSISTANT COMMISSIONER
Creating the Notice: Utilizing the CHP ______ (MEMO), a Removal of Peace Officer Powers memorandum will be created.
Service: The employee shall be provided the ______ Removal of Peace Officer Powers memorandum and both the employee and the employee serving it shall ______.
Equipment: All peace officer employees having those powers removed shall ______ all Department-issued ______ and officer safety ______ (incidental items, such as ______ ______, need not be surrendered).
CHP 51WP
Original / Sign
Surrender / Badges / Equipment / Rain Gear
If an employee is being served at a location where no photocopier is available, the individual serving the Removal of Peace Officer Powers should bring an additional copy. The employee shall be served with the original but requested to sign the additional copy as well.
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Reinstatement of Peace Officer Powers:
ASSISTANT COMMISSIONER
Creating the Notice: Utilizing the CHP ______ (MEMO), a Reinstatement of Peace Officer Powers memorandum will be created.
Service: The employee shall be provided the ______ Reinstatement of Peace Officer Powers memorandum, and both the employee and the supervisor/manager serving it shall ______.
Equipment: Upon restoration of peace officer powers, all surrendered property shall be ______ to the employee.
CHP 51WP
Original / Sign
Returned
If an employee is being served at a location where no photocopier is available, the individual serving the Reinstatement of Peace Officer Powers should bring an additional copy. The employee shall be served with the original but requested to sign the additional copy as well.
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Notice to Employee of Internal Investigation:
Although employee notice is not ______, it articulates the importance of confidentiality and the sensitivity of the investigation.
The notice specifically advises the employee of the existence of the ______, the basic nature of the ______, and directs the employee not to discuss the investigation with any member of the Department other than a ______ and/or supervisor or manager in the employee’s chain of ______.
Providing such notice may preclude inappropriate ______ by the employee, as well as reduce potential ______ to the command’s operation.
The notice is entirely ______ and should not be used in instances where, for investigatory reasons, it is not desirable to have the employee notified.
Required
Investigation / Allegations / Representative / Command
Actions / Disruptions
Optional
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
If an EEO violation is discovered during an internal investigation, a separate investigation may be conducted concurrently or consecutively.
INFO ONLY
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Certain collective bargaining agreements (CBAs) contain a clause which permits the Department the option of allowing employees to reimburse the Department for the cost of the lost or damaged equipment in lieu of an adverse action or other corrective action (e.g., censurable CHP 2 or Memorandum of Direction/Findings).
The reimbursement shall cover the current ______ or ______ cost to the Department.
Replacement
Repair
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Failure to Meet Minimum Qualifications: When a manager or supervisor becomes aware that an employee does not meet the minimum qualifications for the employee’s position, the manager or supervisor shall immediately notify the ______.
Commander
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 4 PRE-INVESTIGATION CONSIDERATIONS
Office of Internal Affairs. The OIA is comprised of three distinct units: the ______ unit, ______ unit, and worker’s compensation ______ investigations unit.
Analysis Unit
Investigations Unit
Worker’s Compensation Fraud Investigations Unit
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 5 INVESTIGATIVE PROCEDURES
The principal goal of all internal investigations is to objectively identify the facts regarding allegations of misconduct or substandard performance. For each allegation, the investigator must examine:
If the alleged act(s) or omissions actually ______ and what proof can be ______.
What the employee specifically ______ (Government Code, policy, etc).
What prior ______ did the employee have that such conduct was not acceptable (through training, experience, prior progressive discipline, admission of knowledge, etc.).
Occurred / Obtained
Violated
Knowledge
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 5 INVESTIGATIVE PROCEDURES
To assist the investigator, a preliminary meeting (SHOULD / SHALL) be held with the commander to outline the proposed ______ of the investigation and formulate an investigative ______.
SHALL
Scope
Plan
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 5 INVESTIGATIVE PROCEDURES
Once a plan has been agreed upon, the primary investigator should ensure the following steps are taken:
Begin a Chronological ______ - Written in the ______ person.
Review HPM 10.2, CH 11 - __.__.__.__. Gov’t Code ______, and Office of ______ ______ (OIA).
Review the employee’s ______ file for prior misconduct. Employee history review (SHOULD / SHALL) be recorded in the chronological summary.
Summary / Third
POBR
§ 19572
Personnel / SHALL BE
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 5 INVESTIGATIVE PROCEDURES
Chronological Summary
A detailed accounting of all actions taken and evidence obtained from the time Area became aware of the misconduct until the investigation was completed. Shall contain, at a minimum:
The ______ under which the area became aware of the misconduct.
The assignment of an ______(s) to the case.
Event ______ and approximate ______, unless not applicable.
Circumstances
Investigator(s)
Date / Time
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 5 INVESTIGATIVE PROCEDURES
Miscellaneous Investigations: If at the conclusion of an internal investigation the actions of the employee(s) do not merit adverse action or rejection during probation, the investigative file shall be prepared as a ______ Investigation.
Miscellaneous
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 5 INVESTIGATIVE PROCEDURES
Exhibits. Copies of relevant documents gathered during the investigation shall be included in the investigative file. Exhibits include documents such as transcriptions, memoranda, copies of arrest reports, copies of policies and procedures, copies of photographs.
(DO / DO NOT) include a CHP 268, Potential Civil Litigation Report, as an exhibit.
DO NOT
HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 5 INVESTIGATIVE PROCEDURES
MVARS – Non-Threshold Incidents. Managers, supervisors, or other authorized personnel may only review non-threshold event video recordings under the following circumstances:
Anytime an employee responsible for the MVARS event recording voluntarily ______ to the viewing.
Prior to the approved release of the recording outside the Department in response to a ______ request (e.g., Public Records Act request, Information Practices Act request, formal or informal discovery request).
For the purposes of ______ or ______ specific allegations of misconduct.
Agrees
Legal
Approving or Disproving
