HPM 10.2 - INTERNAL INVESTIGATIONS MANUAL Flashcards by Christopher Smith

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

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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

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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

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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

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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

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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

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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

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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

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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

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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

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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

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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.

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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

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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

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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

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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

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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

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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

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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

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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

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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

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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

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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

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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

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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

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 5 INVESTIGATIVE PROCEDURES If unrelated improper conduct is discovered during the review of MVARS video, the following will apply: Counsel the employee - Informal Counsel the employee - Formal if there is a pattern of minor misconduct

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 5 INVESTIGATIVE PROCEDURES A medical release (IS / IS NOT) necessary for medical records contained within the employee’s personnel file or as a part of a work-related injury/illness.

IS NOT ***Does not violate HIPPA***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 5 INVESTIGATIVE PROCEDURES Arrest or Detention Reports/Records: Peace Officers: Labor Code § 432.7 ______ investigators to request copies of records pertaining to the arrest or detention of peace officer employees prior to conviction. Any records of arrest or detention, which have not resulted in conviction, may not be used as the sole criteria for administrative action; rather, they should be utilized as a ______ point for the investigation. Civilian Employees: Labor Code § 432.7 ______ investigators from seeking or requesting copies of records pertaining to the arrest or detention of non-uniformed employees prior to conviction, or any record regarding a referral to, and participation in, any pretrial or post-trial diversion program.

Allows / Starting Prohibits

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 5 INVESTIGATIVE PROCEDURES Employees (SHALL / SHALL NOT) be compelled to submit to a polygraph or voice stress analysis.

SHALL NOT

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 5 INVESTIGATIVE PROCEDURES Policy Violations: Investigators shall also contact the Office of Primary Interest (OPI) to obtain and verify the version of policy in place at the time of the incident. The specific policy passages should be marked in ink with an ______ (highlighting alone will not suffice since it is not normally visible after being photocopied).

Asterisk

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 5 INVESTIGATIVE PROCEDURES If the case is adjudicated, and evidence is to be destroyed, the employee shall be notified via a ______/______ of Evidence Memorandum

Destruction / Repair

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 5 INVESTIGATIVE PROCEDURES Retention: Evidence pertaining to an administrative investigation shall be stored for a minimum of ______ years (beginning with the date the investigation ______.)

Five (5) Years Initiated Longer

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 5 INVESTIGATIVE PROCEDURES Employee Transfer: Evidence shall remain in the command which ______ completed the investigation, regardless of any subsequent transfers of the involved employee(s). Should another command require access to the evidence, the request shall be made through channels.

Originally

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 5 INVESTIGATIVE PROCEDURES Search of Locker/Storage: An employee shall not have an assigned locker, or other place for storage, which are owned or leased by the Department, searched unless the search is conducted under any one of the following conditions: In the involved employee’s ______. With the involved employee’s ______. After a valid search ______ has been obtained. A desk with an issued key (IS / IS NOT) subject to a supervisor's search.

Presence Consent Warrant IS NOT - Same as their locker ***When the involved employee has been notified that a search will be conducted. The employee should be provided a reasonable opportunity to respond to the Department’s search location and observe the search.***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 5 INVESTIGATIVE PROCEDURES Personal Property: Care shall be given when searching briefcases, purses, etc., contained in lockers or desks, where the employee has a reasonable expectation of ______ for that particular container and/or the investigation does not involve work-related misconduct. In most instances, personal containers (MAY / MAY NOT) be searched without a warrant or consent.

Privacy MAY NOT

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ______ evidence is often the most valuable information obtained in an investigation.

Testimonial

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION Following an Administrative Interview uniformed employees are ______ not to discuss the case with anyone. Non-uniformed employees are ______ not to discuss the case with anyone.

Ordered Requested

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION During the course of the investigation, an investigator may receive a request from a witness to remain confidential. Due to the accused departmental employee’s right to review the allegation(s), as well as the right to prepare a potential defense, requests for witness confidentiality (SHOULD NOT / CANNOT) be honored.

CANNOT

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION Multiple Employee Investigations: Due to confidentially issues since employees are entitled to transcripts and file review, the commander will determine the need to compartmentalize the interviews and/or interrogations. This may necessitate conducting separate interviews or interrogations regarding the various allegations.

***EXAMPLE: Two officers are being investigated for excessive force, but one is being investigated for sexual harassment. The other officer is not entitled to that information so separate interviews should be conducted.***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION All statements from departmental employees who are interviewed as witnesses during internal investigations (SHOULD / SHALL) be recorded.

SHALL BE ***APPROVAL IS NOT NEEDED***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION Statements obtained from non-departmental witnesses are to be recorded unless the witness ______ to the recording. In such instances, the investigator will prepare a ______ summarizing the statements.

Objects Memorandum

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION In accordance with Penal Code 630 et seq. and Rattray v. City of National City (51 F.3d 793), an investigator shall not surreptitiously (SECRETLY) record, monitor, or eavesdrop on a departmental employee unless it is part of a ______ investigation. This restriction does not apply to recordings obtained from in-car camera systems, building security systems, etc. Prior approval to surreptitiously record a departmental employee shall be obtained from the ______ of ______ Affairs.

Criminal Office of Internal Affairs

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION Video Recordings: Unless previously approved by the Office of the Commissioner, ______ recordings shall not be made of Administrative Interrogations.

Video

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION Digital Recording: It is recommended that digital audio ______ be used during interviews and interrogations. If a digital device is used to record an interrogation and/or interview, a copy of all recordings made shall be transferred to a ______ ______ and a copy of the disc shall be included with each copy of the investigative file (as an ______). A compact disc containing all interviews and/or interrogations shall also be booked into ______. It is recommended that digital recordings be backed-up to another ______ ______ as soon as ______ after being made.

Recorders / Compact Disk / Exhibit Evidence Storage Device / Practical

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION All interviews and criminal and/or administrative interrogations shall be either summarized on a ______ or ______.

Memorandum Transcribed

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION If an interview or interrogation is transcribed, (DOES / DOES NOT) need to be summarized.

DOES NOT

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION Each summary shall be a concise synopsis of the information provided during the interview and shall not contain the investigator’s ______.

Opinion

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION Investigator’s notes need not be preserved as long as the information is incorporated into a ______ summarizing the interview. The lead investigator shall be responsible for ensuring the ______ of each summary.

Memorandum Accuracy

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION Avoid use of a ‘______ and ______’ style of summary, as this method can be overly lengthy.

Question and Answer

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION Investigators should adhere to the following for all summaries: The summary must include all ______ presented - NO REDACTIONS. Include direct ______ when needed to clarify an important point or when establishing or refuting a key ______. Indicate who ______ the summary. Write in ______ person.

Material Quotes / Issue Performed Third

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION If not transcribed, witness statements shall be ______ on a memorandum.

Summarized

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION Transcriptions are verbatim written records of an interview or interrogation, completed by departmental personnel or through professional transcription services (OUTSIDE VENDOR). Since there is no ______ or ______ (as in a summary), transcripts offer the best record of an interview or interrogation.

Interpretation or Filtering

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION For all dismissal cases, the employee’s interrogation shall be ______ in its entirety. The assigned investigator(s) shall be responsible for ensuring the accuracy of such transcriptions.

Transcribed

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION Statements of primary witnesses for potentially serious cases are to be transcribed and ______ by the witness.

Signed

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION In cases where the allegations are relatively minor in nature, a summary of the pertinent points in ______ form will suffice.

Memorandum

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION In general, interviews should be conducted in an order that begins with the ______ involved, or periphery, witnesses and works towards those with the most direct ______ of the matter under investigation. This will help ensure that the investigator has the ______ amount of information when preparing for and conducting interviews of key ______.

Least Knowledge Maximum Witnesses

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ______ interviews can be used when a witness refuses to be interviewed in person or if they are not readily available.

Telephonic

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION MIRANDA - Prior to conducting an interview with an employee regarding potential criminal acts, investigators shall issue a ______ Warning.

Miranda

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION Members of the Department not accused of misconduct are obligated to fully ______ with investigators and have an affirmative ______ to answer questions during internal investigations.

Cooperate Duty

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION Departmental employees who are witnesses (HAVE / DO NOT HAVE) a right to know the nature of the investigation. Investigators should use their discretion when revealing those parts of the investigation they believe the witness needs to know to answer the questions.

DO NOT HAVE

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION Employees (witnesses) (ARE / ARE NOT) normally allowed representation during an investigative interview. Employees expressing concern should be advised that they are not suspected of ______ and, if such issues arise, the interview will be ______.

ARE NOT Misconduct Stopped

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION When an employee insists on having a representative present, whether due to a perception of culpability or for any other reason, the investigator should consult with a ______ in the chain of ______ for guidance. In some instances, it may be necessary to conduct an ______ interrogation instead of an interview.

Manager Command Administrative Interrogation

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION Refusal: If an employee refuses to be interviewed, whether due to a perception of culpability or for any other reason, the investigator should consult with the chain of command for guidance before ______ the employee to comply. In such instances, it may be necessary to conduct an ______ interrogation instead of an interview.

Ordering Administrative Interrogation

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION Interviewee Misconduct: If, at any time during the interview, the investigator believes the employee is either admitting to actionable ______ or is engaging in misconduct through failure to ______, the interview shall be immediately stopped to protect the employee’s ______. An ______ interrogation may then be required.

Misconduct Cooperate Rights Administrative Interrogation

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION An Investigative Interview is different from an Administrative Interrogation

***INFO ONLY***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION Preparation for the investigative interview: The following steps should be accomplished when preparing for an interview: Become thoroughly familiar with the ______ prior to the interview. Review the investigative ______ and investigative ______ (if created). Create a list of ______ that will adequately cover the interviewee’s knowledge of the matter under investigation. Schedule the ______ as soon as possible after contacting the interviewee. If the employee is unavailable, document attempts to contact in the ______ summary (if used) and continue with the investigation. Ensure the recording equipment is working properly and sufficient batteries and tapes, if used, are available. ______ recording devices should be used, in case of mechanical failure.

Allegations / File / Plan Questions Interview / Chronological Two (2)

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION Conducting the investigative interview: ______ of the investigator is key to conducting a successful interview. Investigators shall not prejudge the circumstances, approaching the task with an open mind and a ______, ______ attitude.

Objectivity Fair Unbiased

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION Conducting the investigative interview: The following guidelines have been established to assist the investigator(s): Interviews can be accomplished by a ______ investigator or by an investigative team, limited to a maximum of ______ investigators. The investigative ______ approach is the preferred method, as one investigator can act as the primary, or “______,” interviewer while the other can act as the “______” investigator.

Single / Two (2) Team / Contact / Cover ***The second investigator serves a critical role by ensuring the interview stays focused and all the relevant prearranged questions have been answered, while also observing the interviewee for valuable non-verbal cues.***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION Begin the recorded portion of the interview by stating the ______, ______, and specific ______ of the interview. All persons present shall ______ identify themselves by ______, ______ or ______, and ______ (to enable subsequent voice identification of the persons present).

Date Time Location Verbally Name Rank or Title Assignment

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION To set the interviewee more at ease, it is often valuable to begin with asking a few ______ questions. Examples of such questions include asking about current ______, past ______, ______ with the Department, etc.

Background Assignment Assignments Tenure

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION Allow the person being interviewed to relate that person’s version of the incident without ______.

Interruption

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION CRIMINAL INTERROGATIONS: Criminal interrogations are not ______ statements; therefore, the person questioned may choose which questions to answer.

Compelled

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION CRIMINAL INTERROGATIONS: Notification (IS / IS NOT) required.

IS NOT ***No 4-hour requirement for a criminal interrogation like in an administrative interview.***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION CRIMINAL INTERROGATIONS: Investigators (SHOULD / SHALL) conduct any criminal interrogations prior to any administrative interrogations.

SHOULD

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION CRIMINAL INTERROGATIONS: When an employee is subject to a criminal interrogation, the employee shall be admonished of ______ rights prior to any questioning.

Miranda

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION CRIMINAL INTERROGATIONS: Representation: An employee (MAY BE / MAY NOT BE) represented by anyone of the employee’s choosing during a criminal interrogation. If another departmental employee is used in this capacity, the employee acting as a representative shall not be a person subject to the same ______, which could include victims, witnesses, or supervisors/managers within their immediate chain of command.

MAY BE Investigation

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION CRIMINAL INTERROGATIONS: Employees are required to be present for a criminal interrogation; however, by law, the employee is not ______ to answer questions or provide any information. The employee shall not be subjected to any _____ for exercising these rights.

Obligated Sanction ***CAN’T PUNISH FOR NOT ANSWERING***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION CRIMINAL INTERROGATIONS: The CHP ________, Criminal Interrogations Report shall be used for all criminal interrogations.

CHP 8A, Criminal Interrogations Report ***The CHP 8, Administrative Interrogations Report (Form 8) shall be used for Administrative Interrogations***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION CRIMINAL INTERROGATIONS: While criminal investigators may not participate in an administrative interrogation, an administrative investigator should ______ the criminal interrogation. This is desirable if an employee waives ______ rights during a criminal interrogation and agrees to answer questions. In this case, the entire criminal statement should be ______ in both investigations.

Observe Miranda Included

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION CRIMINAL INTERROGATIONS: To maintain the separation between investigations, criminal investigators (SHOULD NOT / SHALL NOT) participate in administrative interrogations.

SHALL NOT

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: An administrative interrogation is a ______ statement.

Compelled

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: An employee refusing to answer questions or provide requested information can be deemed ______.

Insubordinate

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: The employee being interrogated shall have the right to bring a personal ______ recording device and record any and all aspects of the interrogation.

Audio ***THEY CAN RECORD IT AS WELL***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: Prior to an employee being subjected to additional administrative interrogations regarding the same subject, the employee shall be given a copy of the audio ______ and ______ of all previous administrative interrogations.

Recordings Transcripts ***“Prior to" in this case does not mean immediately before since the employee should have time to review the employee’s previous statements.***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: Employee Rights: When an employee is under investigation and subjected to interrogation regarding matters which will likely lead to adverse action, the interrogation shall be conducted under the provisions of Government Code § ______ (POBR).

3303

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: Question Formulation: Background: About the employee Understanding of Policy: Their words Clarification of Policy: Give them policy and compare Training: Knowledge of the employee Prior Progressive Discipline: Past actions / Pattern Allegations: Questions for the employee's version of the events Present Evidence: Show the evidence and have the employee confirm the accuracy Direct Question: Question(s) directly related to the employee’s culpability in the matter, and an explanation thereof.

***INFO ONLY*** ***Study this for the oral as well***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: Locations outside the workplace (MAY / MAY NOT) be used for Administrative Interrogations.

MAY ***Out of consideration for the employee or to maintain confidentiality.***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: Review ______ prior to any interrogation.

POBR

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: Notice of Administrative Interrogation: The involved employee shall be provided official notice of interrogation covering the full ______ of questioning.

Scope

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: In most instances ______ hours notice is reasonable prior to an Administrative Interrogation.

Twenty-Four (24) Hours

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: There may be time-sensitive investigations which require service less than 24 hours (or ______ prior to) the interrogation.

Immediately

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: If the employee is unavailable for personal service of the Notice of Administrative Interrogation, they SHALL BE notified ______, as well as their representative. Regardless of the verbal notification, the employee shall be served with a ______ (printed) copy of the notice prior to the actual interrogation.

Verbally Hard Copy

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS:

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: An admonishment given in administrative interrogations which advises the subjects of the interrogations that they do not have the right to refuse to answer administrative questions is the ______ Admonishment. 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.

Lybarger Insubordination / Criminal

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: If, prior to or during the administrative interrogation, the employee may be charged with a criminal offense, the employee shall be immediately informed of ______ rights. An employee has a right against self-incrimination and, by issuing the “______ warning,” for an Administrative Interrogation, the Department may obtain a compelled statement. Therefore, the CHP 8A shall be read verbatim for a criminal interrogation.

Miranda Lybarger

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: Fair Labor Standards Act: The interrogation shall be conducted at a reasonable hour, preferably when the employee is ______-duty, or during the employee's normal ______ hours, unless the seriousness of the investigation requires otherwise. If conducted outside of the employee's scheduled hours of work, the employee shall be entitled to ______.

On-Duty Waking Overtime

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: If the interrogation is lengthy, a reasonable number of ______ shall be granted (e.g., restroom, lunch period).

Breaks

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: The CHP 8 shall be read in its entirety while being ______. The investigator should complete any ______ portions of the CHP 8 as it is being read and have all parties present ______ it.

Recorded Blank Sign

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: There shall be no more than ______ interrogators at one time.

Two (2)

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: The purpose of the interrogation is to elicit ______ and not to ______ the employee. Therefore, the employee shall not be subjected to any offensive ______ or ______ with adverse action, except that an employee refusing to respond to questions or submit to an interrogation shall be informed that may result in adverse action.

Facts Intimidate Language Threatened

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: The interrogator should avoid asking ______ questions. It is important to obtain the employee’s statement in the employee’s own ______. In cases where the employee is ______ or non-______, a leading question may be appropriate.

Leading Words Evasive Non-Responsive

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: While conducting an interrogation, investigators should be careful of their choice of words and tonal ______ since these may subject the employee to ______. Each aspect of the incident must be covered thoroughly, and an answer or explanation obtained for each ______.

Inflections Duress Charge

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: No promise of ______ shall be made to an employee as an inducement for answering any question. This includes a promise of ______ from adverse action.

Reward Immunity

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: The investigator (IS / IS NOT) obligated to respond to the employee's representative's objections. It may be appropriate to take a break to seek advice. Otherwise, the investigator should ______ the representative’s objection and continue with the interrogation as previously planned.

IS NOT Acknowledge

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: Typically, investigators should not question employees regarding matters not ______ in the Notice of Administrative Interrogation; however, such issues volunteered by the employee during the interrogation may be ______ to their logical ______.

Mentioned Addressed Conclusion

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: The investigator may take ______ during the interrogation to keep the employee's responses fresh in the investigator’s mind. Additionally, this allows for clarification of ______ or ______ statements if the employee is ______, ______, or ______ during questioning. Once a statement has been transcribed or summarized, the investigator may ______ the notes. For information regarding the retention of notes, refer to HPM 70.1.

Notes Inconsistent Contradictory Evasive Deceptive Untruthful Purge

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: At the end of the interrogation, the employee's representative may ask the employee ______ questions. The investigators (ARE / ARE NOT) required to respond to any queries from the representative as to the employee's perceived truthfulness.

Clarifying ARE NOT

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: The employee may offer mitigating information (e.g., divorce, illness, death in the family, or past practice) during the interrogation with an understanding that the employee is doing so ______ and without any promise of ______. All mitigating information will be objectively evaluated to determine its merit in the outcome of the investigation.

Voluntarily Leniency

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: Employee Assistance Program: Investigators should be mindful of the employee’s well-______. At the conclusion of the interrogation, the investigator should advise the employee of the Department’s ______ ______ Program (EAP), the services it offers, and, if applicable, provide the employee with a formal supervisory EAP ______. Investigators should consider follow-up ______ with the employee’s representative to ensure the employee’s well-being throughout the investigation.

Well-Being Employee Assistance Program Referral Communications

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: Confidentiality Order: At the conclusion of the interrogation (but while still being ______) the investigator shall advise the employee the investigation is ongoing and ______ the employee not to discuss the interrogation or investigation with anyone other than a chosen ______, ______, ______ (if not a party to the investigation), or investigators assigned to the case.

Recorded Order Representative Attorney Commander

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: The employee should be reminded that violations of the confidentiality order are considered ______ and could result in ______ action. If applicable, the employee shall be directed not to disclose copies, or the contents of the interrogation recording made on behalf of the employee. These direct orders will remain in effect until the employee is either served with a final Notice of ______ ______, or the investigation is ______.

Insubordination Punitive Adverse Action Concluded

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: Post-Interrogation: At the conclusion of the interrogation, the digital recording should be copied to a location which allows for ______ or ______. Additionally, a copy shall be saved to compact ______ disc to be booked into ______. If applicable, the CHP 36, Evidence/Property Receipt/Report, shall be included as an ______ in the investigative package.

Transcription or Summary Disc Evidence Exhibit

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: Written interrogatories should be used ______ and only at the discretion of the Area or Division commander. Some of the circumstances in which the use of written interrogatories in lieu of an in-person physical interrogation are as follows: The allegations are so ______ the interrogation only consists of a few ______. An employee is on extended ______, and travel to the employee’s location is ______. The employee is on leave due to an injury or illness, and there is a ______ reason which precludes an interrogation in person.

Sparingly Simplistic / Questions Leave / Impractical Medical

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: Use of a written interrogatory (IS / IS NOT) required. Rather than using a written interrogatory, the Department has the capability to toll (suspend) the one-year time limit when the subject employee is unavailable. The OIA should be consulted regarding the tolling of time.

IS NOT

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: Right to Representation: If a written interrogatory is used as a means of interrogating an employee suspected of misconduct, the employee shall be afforded the right to a ______. The representative’s role is the same as during a standard administrative interrogation. Like a standard interrogation, answers to all of the interrogatories shall be provided by the employee and in the employee’s own ______.

Representative Words

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: The written interrogatory is done in ______ format which includes instructions for completing the CHP ______, Administrative Interrogation Report. The employee is then given a ______ amount of time to complete and return the interrogatory.

Memorandum CHP 8, Administrative Interrogation Report Reasonable

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: The specific process for completing written interrogatories is as follows: The employee shall be provided a ______, ______ area to complete the written interrogatory. The employee may ______ the answers or, if resources allow, utilize a ______ and ______/______ at the bottom of each printed page. When serving the employee with the memorandum and CHP 8, the ______ shall be provided to the employee for completion. A copy of the memorandum and CHP 8 shall be retained until the original is returned, at which time the copy may be ______.

Private / Secure / Handwrite / Computer / Sign-Date Original / Destroyed

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 6 INTERVIEW AND INTERROGATION ADMINISTRATIVE INTERROGATIONS: MARITAL PRIVILEGE. In accordance with Evidence Code § 970 - 981, the marital privilege exempts a married person from having to testify against a spouse in any proceeding. However, in accordance with the opinion of the Office of Attorney General for the State of California, the above marital privilege does not exist when both spouses are ______ members of the Department.

Uniformed

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 7 INVESTIGATION DOCUMENTATION Once the allegation(s) have been thoroughly and impartially investigated, the investigation must be ______.

Documented

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 7 INVESTIGATION DOCUMENTATION One investigation file is prepared for ______ involved employee.

Each

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 7 INVESTIGATION DOCUMENTATION Investigations shall be typed and documented in the ______ person.

Third Person

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 7 INVESTIGATION DOCUMENTATION This form serves as the cover page for all administrative investigations (e.g., adverse actions, rejections during probation, miscellaneous investigations, complaints from departmental personnel, and non-punitive terminations). CHP ______, Internal Investigation.

CHP 7, Internal Investigation.

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 7 INVESTIGATION DOCUMENTATION This form documents basic information regarding involved parties specifically defined as: witnesses, investigators not listed on the CHP 7, and employee representative(s). CHP ______, Involved Parties.

CHP 7A, Involved Parties

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 7 INVESTIGATION DOCUMENTATION This form is a summary of the employee’s employment history, specifically including performance evaluations, commendations, progressive discipline actions and other pertinent information. CHP ______, Employee Profile. Additionally, this section may contain employee-supplied ______ information.

CHP 7B, Employee Profile. Mitigating

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 7 INVESTIGATION DOCUMENTATION Investigative Summary: The investigative summary shall include: A description of the basic facts from the initiating ______ or ______ (for longer term issues) that caused the investigation to be initiated. ______ and ______ the Department became aware of the initiating incident or problem. Name of the ______ initiating the investigation and ______ the investigation is initiated. Description of any corresponding ______ investigation and disposition thereof. Numerical list of the specific ______(s) investigated.

Incident or Problem How and When Commander / Date Criminal Allegation(s)

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 7 INVESTIGATION DOCUMENTATION Findings: This section provides a finding for each allegation as well as a detailed justification for that finding. The heading is followed by a separate listing of the allegation(s) specified in the investigative summary, with a finding of either “______” or “______” in ______ after each allegation.

"Founded" or "Unfounded" Bold

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 7 INVESTIGATION DOCUMENTATION This is a detailed sequential accounting of all investigatory actions taken by the investigator, documented as separate entries. ______ Summary.

Chronological Summary

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 7 INVESTIGATION DOCUMENTATION The List of Exhibits is followed by the actual exhibits, each of which shall be separated by numbered tab ______. The exhibits are generally listed in the order in which they were ______.

Dividers Collected

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 7 INVESTIGATION DOCUMENTATION REQUIRED COMPONENTS OF AN INVESTIGATIVE FILE: Internal Investigation. CHP ______, Internal Investigation CHP ______, Involved Parties CHP ______, Employee Profile Narrative Sections: Four (4) Things

CHP 7, Internal Investigation CHP 7A, Involved Parties CHP 7B, Employee Profile Investigative Summary / Findings Chronological Summary / Exhibits.

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 7 INVESTIGATION DOCUMENTATION By definition, a miscellaneous investigation either ______ an employee or documents ______ which does not warrant an adverse action or rejection during probation. In either case, closing ______ to the involved employee is required. A miscellaneous investigation shall include, as the final ______, recommended closing documentation to the involved employee.

Exonerates / Misconduct / Documentation Exhibit

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 7 INVESTIGATION DOCUMENTATION Closing Documentation Type. The closing documentation shall be one of the following: Censurable CHP ______, Incident Report. This is, by definition, ______ in nature. Memorandum of ______ (MOD). This is, by definition, ______ in nature. Memorandum of ______. Depending on the specific language, this ______ or ______ not be corrective in nature.

CHP 2, Incident Report / Corrective Direction / Corrective Findings / May or May Not

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 7 INVESTIGATION DOCUMENTATION These two (2) types of closing documentation, by definition, are corrective in nature.

Censurable CHP 2, Incident Report Memorandum of Direction (MOD)

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 7 INVESTIGATION DOCUMENTATION Government Code § 3306 Admonition. Employees covered under the Public Safety Officers Procedural Bill of Rights Act (POBR) have the right to submit a written response within ______ days to any adverse comment entered into the employee’s personnel file, including: o A censurable CHP ______, Incident Report o Memorandum of ______ (MOD), or o Memorandum of ______.

Thirty (30) Days Censurable CHP 2, Incident Report (Form 2) Memorandum of Direction (MOD) Memorandum of Findings ***May or may not be corrective in nature***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 7 INVESTIGATION DOCUMENTATION Probationary Status. Commanders contemplating the rejection of an employee should closely monitor the employee’s probation hours and/or days required to complete probation. Probationary periods (CAN / CANNOT) be extended to allow additional time for completion of the investigation.

CANNOT ***As such, commanders must initiate the process early enough to allow sufficient time for the completion of the investigation, approval process and service on the employee.***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 7 INVESTIGATION DOCUMENTATION SEPARATION: An employee’s separation from the Department prior to the completion of the internal investigation (SHALL / SHALL NOT) impact the investigation and documentation level.

SHALL NOT ***If the employee separates, the investigation will still be completed.***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION Commander reviews the investigation file, sends it to Division Commander and it’s returned to the command after approval.

***INFO ONLY***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION Area Duplication and Distribution. Upon receipt of the approved investigation file from Division, the command shall prepare ______ total copies (the original plus four (4) copies) and distribute according to the following: Original and one (1) copy forwarded to the Office of ______ Affairs. One (1) copy forwarded to ______. This copy will be used for the ______ hearing. One (1) copy retained in initiating ______'s master file. One (1) copy retained in initiating ______ for later issuance to the involved ______.

Five (5) Office of Internal Affairs - (2) Division / Predisciplinary Command's Command / Employee ***OIA gets (2)*** ***Division gets (1) ***Command gets (1)*** ***Employee gets (1)***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION Handling: All communications or transmittals concerning the investigation shall be marked ______.

Confidential

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION Commissioner Approval: As the appointing power, the Commissioner has final approval authority for all administrative investigations.

***INFO ONLY***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION Employee Review Time: The employee and employee’s representative shall be granted ______ hours of state time to review the administrative investigation file and prepare a ______ Hearing (PDH) response. This is normally scheduled during the first working day of the scheduled PDH period but may also be the same day the notice is served if sufficient duty time remains.

Four (4) Pre-Disciplinary

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION Per policy, the PDH period starts the day after the notice is served and ends at ______ hours ______ working days later for uniformed employees, and ______ working days later for non-uniformed employees.

1700 Hours Ten (10) Working Days - Uniformed Five (5) Working Days - Non-uniformed ***Example: For an employee served with a Notice on Monday the 1st, the PDH period would begin on Tuesday the 2nd and end Monday the 15th at 1700 hours.***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION If the notice is served by mail, the Area commander shall take into account ______ calendar days for delivery when designating the PDH period. If the address is out of state, ______ calendar days shall be added.

Five (5) Calendar Days Ten (10) Calendar Days

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION Service Delays: If there is a delay in service which exceeds 29 working days, the Office of ______ Affairs shall be contacted. All notices shall be served within ______ calendar days of the Department’s decision to impose discipline, defined as when the notice is approved by the Office of the Commissioner.

Office of Internal Affairs Thirty (30) Calendar Days

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION Employees who are on vacation, on injury status, on military leave, etc., may still be served if the employee is ______ available. In cases where the employee is unavailable for service, the Area commander or designee shall contact ______ of ______ Affairs for guidance. A notice (SHALL / SHALL NOT) be delayed simply because an employee is pending retirement.

Physically Office of Internal Affairs SHALL NOT

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION Whenever possible, the notice shall be ______ served on the employee. Service should be made by a ______ person who has not been actively involved in the investigation.

Personally Disinterested

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION If the commander was an integral party to the investigation, it is recommended that another ______ or ______ within the command serve the notice.

Manager or Supervisor

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION The involved employee is given a copy of the entire case file.

***INFO ONLY***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION Service by Mail: In those incidents where personal service is not possible and/or in the best interest of the Department, service by mail is ______.

Authorized

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION When an employee writes a written response within 30 days: Receiving commands shall ensure that a copy of an employee’s response documentation is attached to all known copies of the ______, including forwarding a copy to OIA. If the response was submitted as a result of documentation which was placed in the employee’s personnel folder (such as corrective action), a copy of the response shall also be placed in the personnel file, attached to the ______ action.

Investigation Corrective

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION All administrative investigations shall be destroyed after a period of ______ years, commencing from the date the employee is ______ with the Notice of Adverse Action or the closing documentation.

Five (5) Years Served

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION Investigations which resulted in a formal written reprimand shall be retained for ______ years; however, a copy of the formal written reprimand shall be removed from the field personnel folder after a period of ______ years from the date the employee was served with the Notice of Adverse Action.

Five (5) Years Three (3) Years

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION Censurable CHP 2, Memorandum of Direction, Memorandum of Findings if corrective or remedial in nature) shall be removed from the employee’s field personnel folder after a period of ______ years from the date of issuance. However, the same document, which is an exhibit, shall remain with the internal investigation itself until the scheduled destruction of the investigation.

Three (3) Years

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION Transferred Employees: When an employee transfers, all internal investigation files in the command’s master file for that employee shall be ______ to the new command in a manner that will ensure confidentiality is ______.

Transferred Maintained

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION As the Department's legal representatives, a copy of the internal investigation, administrative investigation, and/or miscellaneous investigation may be released to the ______ ______ ______ ______ (SCIF), Office of the Attorney ______, or other ______. Normally, such releases will be coordinated through OIA or OLA.

State Compensation Insurance Fund Attorney General Counsel

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION A notice involving disciplinary action against a peace officer is considered a ______ document which (IS / IS NOT) subject to disclosure under California’s Public Records Act (PRA).

Confidential IS NOT

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION Although the notice of a non-uniformed employee becomes a ______ document once filed with the State Personnel Board (SPB), any person requesting information concerning a Notice of Adverse Action shall ordinarily be referred to SPB.

Public

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION Penal Code § 832.7 provides that if a peace officer or representative releases a statement through “an established ______ of communication,” the Department may respond with specific facts to refute any ______ public statements.

Medium False

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION Release of Adverse Action Information: Facts from a Notice of Adverse Action involving a non-uniformed employee may be released after ______ is made on the affected employee and the notice is filed with ______ ______ Board (SPB).

Service State Personnel Board

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION Notices involving peace officers are strictly confidential and information may not be released to anyone either verbally or in writing.

***INFO ONLY***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION Release of Miscellaneous Investigations. Miscellaneous investigations are not filed with SPB and, therefore, not subject to public disclosure.

***INFO ONLY***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION Surrender of State Property. When the employee is suspended or removed from service, it is considered a separation (either ______ or ______) from the Department. Therefore, state property (ID card, badge, cap piece, state-owned police protective equipment) assigned to or in possession of the employee (SHOULD / SHALL) be surrendered.

Temporary or Permanent

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION Removal of Peace Officer Powers: For uniformed employees, the peace officer powers are ______ during a temporary or permanent separation from the Department.

Suspended

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION Subpoenas: While on suspension, an officer is considered a departmental employee. However, should a process server attempt to serve a subpoena for an officer on suspension, the immediate superior or designated agent should (ACCEPT / REFUSE TO ACCEPT) service of process in accordance with Penal Code § 1328(d).

REFUSE TO ACCEPT ***An Area commander may make arrangements to have another officer testify, seek a postponement, etc., as in other situations where the officer is unavailable.***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION Separations: Employees (ARE / ARE NOT) permitted to resign, retire, or otherwise separate from state service prior to the effective date of any punitive or non-punitive action.

ARE

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION If an employee separates prior to being served with a notice, they will be given a notification of the ______ of the investigation as well as the intent to serve the notice if they ______.

Findings Reinstate

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION An employee who is placed on industrial disability retirement (IDR) is deemed to be temporarily ______ from the Department and shall still be ______ with a Notice of Adverse Action.

Separated Served

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 8 REVIEW, APPROVAL, AND CLOSING DOCUMENTATION Rescinding Corrective or Closing Documentation. When rescinding such documents, the following procedures shall apply: Remove all copies of the document from the employee’s field ______, personnel ______, and, if applicable, all copies of the ______ and or citizens’ complaint ______. The rescinded documents shall be ______. Ensure all electronic copies of the document are permanently deleted. If a Government Code Section 3306 response (from the employee) is attached, this document shall also be ______ and ______ to the employee. If a new document is to be issued in place of the one being rescinded, replace all copies with the new version after it is ______ by the employee. If the employee refuses to sign the document, the supervisor shall note “______ to ______” in the signature block.

Folder / File / Investigation / Package Destroyed / Removed / Returned Signed / Refuse to Sign

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS A ______ ______ (PDH) provides the affected employee with an opportunity to respond prior to the imposition of discipline, rejection during probation, or termination, or reassignment for medical reasons as required by state law.

Predisciplinary Hearing ***Employee must respond in person or in writing within 30 days***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS What type of hearing provides the affected employee with an opportunity to respond prior to the imposition of discipline, rejection during probation, or termination, or reassignment for medical reasons as required by state law?

A Predisciplinary Hearing ***Employee must respond in person or in writing within 30 days***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS The employee’s reply may be ______ or ______. The oral response may be in ______ or over the ______. The written response may be submitted by ______, ______, or ______. An employee’s representative may present the employee’s response at the PDH on the employee’s behalf.

Oral or Written Person Telephone Mail Facsimile Email

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS When an employee wants a PDH Hearing and responds within the 30 day timeframe: Oral employee Responses - PDH officer must responding in writing within ______ ______ days. Written employee Responses - PDH officer must responding in writing within ______ ______ days.

Seven (7) Calendar Days Fourteen (14) Calendar Days ***If the employee fails to submit a formal response or appear at a PDH, the PDH officer shall notify the employee’s commander that the penalty shall remain unchanged.***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS If the employee fails to submit a formal response or appear at a PDH, the PDH officer shall notify the employee’s commander that the penalty shall remain ______.

Unchanged

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS The commander (or designee) will preferably deliver the written decision to the employee in person. Service of the decision will be verified by completion of a CHP ______C, Declaration of Service, form.

CHP 7C, Declaration of Service

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS At a minimum, an ______ ______ will serve as the PDH officer. Additionally, the PDH officer shall be someone who is reasonably impartial and uninvolved.

Assistant Chief

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS It is the ______'s responsibility to schedule the PDH and/or provide a response prior to the end of the response period as designated in the notice.

Employee's

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS For rare instances in which either the employee or a selected representative are not available within the designated timeframe, the PDH may be ______ until after the effective date of the disciplinary action, provided the employee waives the time limits and any right to back pay that might otherwise accrue if the action is subsequently withdrawn or modified after the PDH.

Postponed Time Pay

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS The specific time and place for the hearing is at the discretion of the ______ ______ officer, but it can occur at any time during the response period and should be within normal ______ hours. Upon mutual agreement between the PDH officer and the employee, the PDH may occur during the employee’s assigned shift, if ______ of normal business hours.

Predisciplinary Hearing Officer Business Outside

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS Since compensation is permitted for an employee’s attendance at the PDH, an employee’s ______ days should be considered when scheduling the PDH, if at all possible.

Working

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS There is (A SET TIME LIMIT / NO SET TIME LIMIT) for the Predisciplinary Hearing.

NO SET TIME LIMIT

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS Rejections During Probation: State law entitles probationary employees to the same PDH rights as permanent employees. It may become necessary to extend an employee’s probation for ______ days beyond the probationary period to allow sufficient time for the PDH period.

Five (5) Days ***The employee shall be notified in writing that the probationary period is being extended for five days.***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS Coleman Hearing: Similar to the PDH, the Coleman hearing is an informal review conducted by an “______ and ______” representative of the appointing power (the “______” officer) as a response to “______ without ______” (AWOL) proceedings. The Coleman officer has the same requirements as the PDH officer.

Impartial and Disinterested Coleman Absence Without Leave Same ***COLEMAN HEARING IS FOR AWOL***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS The term "hearing" is used, it is not intended to be a formal process involving the presentation of ______, formal ______ to evidence, or the calling and cross-examination of ______. The PDH officer may ask questions in order to clarify facts related to the employee’s rebuttal or offer of mitigating circumstances.

Evidence Objections Witnesses ***The PDH officer’s objective is to reach a determination of whether there are reasonable grounds to justify the proposed discipline.***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS Recording of Coleman Hearings: Audio recordings of a PDH are not required as a matter of law but are ______. If an employee requests to record a PDH with a personally owned recording device, the PDH officer shall ensure the PDH is concurrently ______ using a departmental recording device. When recording a PDH, it shall always be done with the employee’s (PERMISSION / KNOWLEDGE). Recordings shall be entered into ______ in accordance with HPM 70.1, Evidence Manual.

Permitted Recorded KNOWLEDGE Evidence

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS Representation for the PDH: The employee (IS / IS NOT) entitled to have a representative of the employee’s choice, within reason, when meeting with the PDH officer.

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS The employee’s representative may be a union ______, an ______, or any other individual, provided the representative is not a party to the ______ (e.g., victim, witness, or subject). Since the PDH is not adversarial in nature, and given the limited role of the PDH officer, it is generally not appropriate to have other personnel present to represent the Department’s case, such as the ______ or ______. Consideration should be given to whether additional individuals would intimidate the employee or restrict the free exchange of information, thereby defeating the purpose of the PDH.

Representative Attorney Investigation Commander or Investigator

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS Issues: The issues to be addressed by the PDH officer are: Was the alleged offense ______? Was the employee ______, or did the employee commit the ______? Is the assessed ______ appropriate, based upon the alleged offense(s)?

Committed Responsible / Offense Penalty

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS Minor Discipline - Bargaining Unit 5. If the employee is not satisfied with the PDH officer’s decision, the California Association of Highway Patrolmen may submit a request for ______. However, if the employee does not provide a response, or fails to appear at the arbitration hearing, the Department’s action will be ______.

Arbitration Final

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS The request must be submitted in writing to OIA within ______ calendar days of the date the PDH officer’s decision was received by the employee. The union may file on the employee’s ______. The OIA will then notify SPB and the appropriate Division of the request for arbitration.

Fourteen (14) Calendar Days Behalf

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS An employee may use leave credits to satisfy the ENTIRE suspension of ______ days or less and/or a step reduction of ______ months or less.

Five (5) Days Five (5) Months

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS An employee may use leave credits to satisfy up to one-half of a suspension of ______ days or more and/or a step reduction of ______ months or longer.

Six (6) Days Six (6) Months

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS For each month of step reduction to be satisfied by leave credits, ______ hours of the requested leave credits will be deducted.

Eight (8) Hours

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS The request to use leave credits shall be made by the employee or representative prior to the ______ of the PDH period.

Conclusion

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS The request shall be made by using a CHP ______D, Request to Use Leave Credits, and must be submitted directly to the employee's commander or the designated PDH officer.

CHP 7D, Request to Use Leave Credits

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS Leave credits which may be used for the penalty offset are limited to: Five (5) Things

Compensating Time Off (CTO) Vacation Time Annual Leave Personal Leave Any combination of whole-hour credits

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS Commanders shall ensure the involved employee does not remain on suspension for the time being satisfied with leave credits. For example, in a ten (10) day suspension for which the employee has been approved to use 40 hours of leave credits, the employee would be away from work for only ______ days (8 HOUR DAYS).

Five (5) Days

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS Adverse Action: An employee may file an appeal with the SPB Appeals Division no later than ______ calendar days after the effective date of a Notice of Adverse Action. When mailed, SPB uses the ______ as the filing date.

Thirty (30) Calendar Days Postmark ***The 30 calendar day response time is repeated over and over throughout my flashcards.***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS Rejection During Probation: A rejected, probationary employee may file an appeal with the SPB Appeals Division no later than ______ calendar days after the effective date of the rejection.

Fifteen (15) Calendar Days

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 9 PREDISCIPLINARY HEARINGS, LEAVE CREDITS, AND APPEALS Appeals for minor discipline are heard by an arbitrator. A departmental representative and a representative from the California Association of Highway Patrolmen (CAHP) will each make oral arguments at a hearing, with no other ______ allowed.

Witnesses

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 10 SEPARATIONS DURING AN INTERNAL INVESTIGATION If an employee separates from the Department during an administrative investigation, the file shall be converted to a ______ investigation.

Miscellaneous

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 10 SEPARATIONS DURING AN INTERNAL INVESTIGATION A memorandum shall be included in the miscellaneous investigation stating, “Should the employee return to the Department, the miscellaneous investigation will revert to a ______ for Adverse Action, as appropriate.”

Request

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 10 SEPARATIONS DURING AN INTERNAL INVESTIGATION Short-Term Military Leave: If the employee begins short-term military leave prior to the completion of the investigation (specifically including an ______ or ______), or prior to service of the notice or closing documentation, the employee shall be provided with a memorandum advising that the one-year timeframe for completion and service of the investigation has been tolled due to the employee’s ______.

Interview or Interrogation Unavailability

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 10 SEPARATIONS DURING AN INTERNAL INVESTIGATION Disability Retirement: An employee who disability retires is considered to be temporarily ______ from the Department. If an adverse action has been initiated, the investigation shall be ______, and the employee shall be ______ with the Notice of Adverse Action.

Separated Completed Served

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 10 SEPARATIONS DURING AN INTERNAL INVESTIGATION An employee may voluntarily resign from a position with the Department by submitting a ______ or ______ resignation to the employee’s commander. Either form of resignation is equally ______ on an employee.

Written or Oral Binding

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 10 SEPARATIONS DURING AN INTERNAL INVESTIGATION Internal Investigation Information: The separation of an employee shall not ______ the investigation process, and the investigation shall be ______ as a Request for Adverse Action, rejection during probation, non-punitive termination, or miscellaneous investigation, as appropriate.

Alter Completed

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 10 SEPARATIONS DURING AN INTERNAL INVESTIGATION Absent Without Leave - Documentation. If an employee becomes absent without leave (AWOL), an investigation should be documented using the CHP ______, Internal Investigation form, and both the investigative summary and exhibits narrative components. This documentation could be used in a “______” hearing and employee appeal, if applicable.

CHP 7, Internal Investigation Coleman

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 10 SEPARATIONS DURING AN INTERNAL INVESTIGATION Termination for Failure to Meet Minimum Qualifications: If an employee fails to meet the minimum qualifications for the employee’s job classification and a decision has been made to terminate the employee, an ______ investigation shall be completed and documented as a non-______ termination.

Administrative Non-Punitive ***Non Punishment - No Adverse Action***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT The Public Safety Officers Procedural Bill of Rights Act (POBR) specifies elements of procedural rights that must be afforded to “public safety officers.” By departmental policy, these rights are to be extended to all employees, with the exception of ______.

Cadets

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3302 - Political Activity: Except as otherwise provided by law, or whenever on-duty or in uniform, no public safety officer shall be prohibited from engaging, or be coerced or required to engage, in ______ activity.

Political

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT No public safety officer shall be prohibited from seeking election to, or serving as a member of, the governing board of a ______ district.

School

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3303. Interrogations that could result in punitive action: Punitive action means any action that may lead to dismissal, demotion, suspension, reduction in salary, written reprimand, or transfer for purposes of punishment.

***INFO ONLY***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3303. Interrogations that could result in punitive action: The interrogation shall be conducted at a reasonable hour, preferably at a time when the public safety officer is ______-duty, or during the normal ______ hours for the public safety officer, unless the ______ of the investigation requires otherwise. If the interrogation does occur during off-duty time, the public safety officer shall be ______ for any off-duty time, and the public safety officer shall not be ______ from employment for any work missed.

On-Duty Waking Seriousness Compensated Released

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3303. Interrogations that could result in punitive action: The public safety officer under investigation shall be informed prior to the interrogation of the ______, ______, and ______ of the ______ in charge of the interrogation, the interrogating officers, and all other persons to be present during the interrogation.

Rank Name Command Officer

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3303. Interrogations that could result in punitive action: All questions directed to the public safety officer under interrogation shall be asked by and through no more than ______ interrogators at one time.

Two (2)

Nature

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3303. Interrogations that could result in punitive action: The interrogating session shall be for a reasonable period taking into consideration gravity and complexity of the issue being investigated. The person under interrogation shall be allowed to attend to his or her own personal physical ______.

Necessities

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3303. Interrogations that could result in punitive action: The public safety officer under interrogation shall not be subjected to offensive ______ or threatened with ______ action, except that an officer refusing to respond to questions or submit to interrogations shall be informed that failure to answer questions directly related to the investigation or interrogation may result in ______ action.

Language Punitive Punitive

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3303. Interrogations that could result in punitive action: No promise of ______ shall be made as an inducement to answering any question.

Reward

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3303. Interrogations that could result in punitive action: The employer shall not cause the public safety officer under interrogation to be subjected to visits by the ______ or news ______ without his or her expressed consent nor shall his or her home ______ or ______ be given to the press or news media without his or her expressed consent.

Press or News Media Address or Photograph

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3303. Interrogations that could result in punitive action: No statement made during interrogation by a public safety officer under duress, coercion, or threat of punitive action shall be admissible in any subsequent ______ proceeding.

Civil

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3303. Interrogations that could result in punitive action: No notes or reports that are deemed to be ______ may be entered in the officer's personnel file.

Confidential

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3303. Interrogations that could result in punitive action: The public safety officer being interrogated shall have the right to bring his or her own recording ______ and record any and ______ aspects of the interrogation.

Device All

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3303. Interrogations that could result in punitive action: 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 constitutional ______.

Rights ***Miranda***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3303. Interrogations that could result in punitive action: Upon the filing of a formal written statement of ______, or whenever an interrogation focuses on matters that are likely to result in punitive ______ against any public safety officer, that officer, at his or her request, shall have the right to be ______ by a representative of his or her choice who may be present at ______ times during the interrogation.

Charges Action Represented All ***The representative shall not be a person subject to the same investigation.*** ***No representative allowed for informal or formal counseling***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3303. Interrogations that could result in punitive action: The representative shall not be required to ______, nor be subject to any punitive action for ______ to disclose, any information received from the officer under investigation for ______ matters.

Disclose Refusing Noncriminal

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3303. Interrogations that could result in punitive action:

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3303. Interrogations that could result in punitive action: No public safety officer shall be loaned or temporarily ______ to a location or duty assignment if a sworn member of his or her department would not normally be sent to that location or would not normally be given that duty assignment under similar ______.

Reassigned Circumstances

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3304. Interrogations that could result in punitive action: SECTION 3304 - No public safety officer shall be subjected to punitive action, or denied promotion, or be threatened with any such treatment, because of the lawful ______ of the rights granted under this chapter, or the exercise of any rights under any existing administrative grievance procedure.

Exercise

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3304. Interrogations that could result in punitive action: Nothing in this section shall preclude a head of an agency from ordering a public safety officer to cooperate with other agencies involved in ______ investigations. If an officer fails to comply with such an order, the agency may officially charge him or her with ______.

Criminal Insubordination

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3304. Interrogations that could result in punitive action: For administrative investigations, no punishment can be implemented unless the investigation is completed within one (1) year. Notice of Adverse Action shall be given within that one (1) year time period.

***INFO ONLY***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3304. Interrogations that could result in punitive action: The public agency (SHALL / SHALL NOT) be required to impose the discipline within that one-year period.

SHALL NOT ***The one year time period is for the completion investigation and the notice of adverse action only*** ***The Department can implement the discipline any time***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3304. Interrogations that could result in punitive action: If the employee is also under criminal investigation as well as an administrative investigation, the time spent on the criminal investigation shall ______ the one year time period.

Toll (Suspend)

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3304. Interrogations that could result in punitive action: An officer (MAY / MAY NOT) waive the one year time period in writing.

MAY

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3304. Interrogations that could result in punitive action: The one year time period may be extended if: The investigation involves more than one ______ and requires a reasonable extension. The investigation involves an employee who is ______ or otherwise ______. The investigation involves a matter in ______ litigation where the public safety officer is named as a party ______. The investigation involves an allegation of workers' compensation ______ on the part of the public safety officer.

Employee Incapacitated / Unavailable Civil / Defendant Fraud

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3304. Interrogations that could result in punitive action: If the Department decides to impose discipline after the investigation and predisciplinary hearing, the employee shall be notified within ______ days of the discipline.

Thirty (30) Days

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3304. Interrogations that could result in punitive action: Despite the one year time period, an investigation may be reopened if all of the following occur: Significant new ______ has been discovered that is likely to affect the outcome of the investigation, and... One of the following conditions exist: The evidence could not reasonably have been ______ in the normal course of investigation without resorting to extraordinary ______ by the agency. The evidence resulted from the public safety officer's ______ response or procedure.

Evidence Discovered / Measures Pre-disciplinary

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3305. Interrogations that could result in punitive action: No adverse comment shall be entered into the employee's personnel file unless the employee ______ and ______ it.

Reads and Signs ***If the employee refuses to sign it, a note shall be made and initialed by the investigator.***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3306. Interrogations that could result in punitive action: A public safety officer shall have ______ days within which to file a written to any adverse comment entered in the employees personnel file. Such written response shall be attached to, and shall accompany, the adverse comment.

Thirty (30) Days

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3306.5: Employees (CAN / CANNOT) examine their personnel file at reasonable times, reasonable intervals, and during normal business hours.

CAN

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3306.5: If the employee believes something has been placed in their personnel mistakenly or unlawfully, the employee may request in writing that it be ______ or ______. The Department has ______ calendar days to either grant or deny the employee's request.

Corrected or Deleted Thirty (30) Calendar Days ***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 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3307: No public safety officer shall be compelled to submit to a lie ______ test against his or her will. No disciplinary action or other recrimination shall be taken against a public safety officer refusing to ______ to a lie detector test, nor shall any comment be entered anywhere in the investigator's ______ or anywhere else that the public safety officer refused to take, or did not take, a lie detector test, nor shall any testimony or evidence be admissible at a subsequent hearing, trial, or proceeding, judicial or administrative, to the effect that the public safety officer refused to take, or was subjected to, a lie detector test.

Detector Submit Notes ***If the employee refuses, there can be no mention anywhere that they refused.***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3307: For the purpose of this section, "lie detector" means a polygraph, deceptograph, voice stress analyzer, psychological stress evaluator, or any other similar device, whether mechanical or electrical, that is used, or the results of which are used, for the purpose of rendering a diagnostic opinion regarding the honesty or dishonesty of an individual.

***INFO ONLY***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3307.5: No public safety officer shall be required as a condition of ______ by his or her employing public safety department or other public agency to consent to the use of his or her ______ or ______ as a public safety officer on the ______ 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.

Employment Photograph or Identity Internet

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3307.5: If the employee's picture is used, they may issue a cease and desist order. The court may impose a civil penalty in an amount not to exceed ______$ per day commencing ______ working days after the date of receipt of the notification to cease and desist.

Five Hundred Dollars ($500) Two (2) Working Days

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3308: No public safety officer shall be required or requested for purposes of job assignment or other personnel action to disclose any item of his property, income, assets, source of income, debts or personal or domestic expenditures (including those of any member of his family or household) unless such information is obtained or required under state law or proper legal procedure, tends to indicate a conflict of interest with respect to the performance of his official duties.

***INFO ONLY***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3309: No public safety officer shall have a locker or other space for storage that may be assigned to the employee searched except in the employees ______, with the employees’ ______, with ______ to the employee that a search will be conducted, or unless a valid search ______ has been obtained. This section shall apply only to lockers or other space for storage that are ______ or ______ by the employing agency.

Presence Consent Notification Warrant Owned or Leased

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3309.5. It shall be unlawful for any public safety department to deny or refuse to any public safety officer the rights and protections guaranteed to him or her by this chapter.

***INFO ONLY***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT The ______ court shall have initial jurisdiction over any proceeding brought by any public safety officer against any public safety department for alleged violations of this chapter.

Superior

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT SECTION 3312: A ______ that the officer's pin or other item violates an existing rule, regulation, policy, or local agency agreement or contract regarding the wearing of a pin, or the displaying of any other item, containing the American flag. A ______ to the specific rule, regulation, policy, or local agency agreement or contract that the pin or other item violates. A statement that the officer may file an ______ against the employer challenging the alleged violation pursuant to applicable grievance or appeal procedures adopted by the department or public agency that otherwise comply with existing law.

Statement Citation Appeal ***HPM 73.5 - Uniform/Grooming and Equipment Standards - Chapter 1- says, "The U.S. flag pin may be attached to the left pocket flap of the shirt or green dress jacket, one inch to the left of the right edge and centered midway between the top and bottom of the flap."***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT REPRESENTATION: An employee does not have the right to representation during any ______ in the normal course of duty, ______, instruction, ______ verbal admonishments, or other routine or unplanned ______ with a supervisor or fellow employee.

Questioning Counseling Informal Contact

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT REPRESENTATION: If, during a contact, ______ surfaces which indicates the employee is likely to be subject to an adverse action, the solicitation of information shall immediately ______, and the employee shall be informed of the right to ______.

Information Cease Representation

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT REPRESENTATION: If a representative is requested, the meeting should be ______ to allow the employee a reasonable opportunity to obtain representation.

Postponed

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT REPRESENTATION: Supervisors and managers must remain cognizant of the employee’s ______ of the nature of an interview or meeting. A ______ on the employee’s part that adverse action is being considered, irrespective of the interviewer’s ______ or ______, may be sufficient grounds to warrant granting representation rights.

Perception Belief Designs or Intentions

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT REPRESENTATION: Before refusing a request for representation, it is recommended that commanders and supervisors consult with the Office of ______ Relations (OER) or the Office of Internal ______ (OIA) for additional guidance (with the concurrence of ______, as appropriate).

Office of Employee Relations Office of Internal Affairs Division

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT REPRESENTATION: To preclude any potential violation of POBR, directing an employee to prepare a memorandum (describing the employee’s version of the matter in question) when an adverse action is warranted is ______.

Prohibited This prohibition does not apply when the employee has to complete a written interrogatory memo after consulting a rep.

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT REPRESENTATION: This prohibition does not apply when the employee has to complete a written ______ memo after consulting a rep.

Interrogatory

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT REPRESENTATION: However, subsequent to an interview, an employee may be directed to prepare a memorandum, after consulting or obtaining assistance from a representative, for the purpose of ______ specific issues.

Clarifying

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT REPRESENTATION: An employee is not entitled to a representative when the investigation is solely and directly concerned with ______ activities. During criminal investigations, employees are entitled to criminal ______.

Criminal Representative

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT REPRESENTATION: Selection: When an employee requests a specific representative, the request (SHOULD / SHALL) be accommodated, if reasonably possible.

SHALL BE

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT REPRESENTATION: If the employee chooses someone who is unable or unwilling to attend within a reasonable period of time, the interrogation (SHOULD / SHOULD NOT) be postponed.

SHOULD NOT ***The involved employee must then use another employee representative who is available.***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT REPRESENTATION: Investigators should be prepared for objections or discovery requests by the employee representative. Requests for pre-interrogation discovery of notes, reports, complaints, etc., will normally be ______ pursuant to Pasadena Police Officer's Association vs. City of Pasadena (147 Cal.App.3d 695 [1983]).

Denied

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT Information gathered during the course of an administrative investigation shall be deemed ______ and only provided to the employee prior to the employee's ______ hearing (when they are served the Notice of Adverse Action or Notice of Rejection During Probation).

Confidential Predisciplinary

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT Attorney Representatives: Lawyers acting as a representative have no more rights or authority than labor ______. To avoid potential problems, the attorney’s role should be clarified prior to the ______.

Representatives Interrogation

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT Disclosure: The representative shall not be required to ______, nor be subject to any adverse action for refusing to ______, any information received from the employee under investigation for noncriminal matters. Employees who are being investigated for criminal misconduct can only be assured of confidentiality if represented by an ______ (who is not a sworn officer).

Disclose Disclose Attorney ***For administrative interrogations, the rep / employee relationship is like an attorney / client privilege.***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT Although not relegated to the role of a passive ______, the representative cannot be ______ or transform the interview into an adversarial ______.

Observer Disruptive Contest

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT In the event the representative is disruptive or interfering with the interrogation, the investigator should re-______ the representative using the CHP 8, Administrative Interrogation Record, advising that further disruptions will result in the representative’s ______ or ______.

Re-admonish CHP 8, Administrative Interrogation Record Removal or Replacement

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT Additionally, it may be beneficial to take a break to assist with reestablishing composure. If the disruption continues, the representative should be ______, and the employee advised to select another. This may require the interrogation to be ______.

Dismissed Postponed ***It is ok to postpone an interrogation if the rep becomes disruptive and continues it.***

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT If a rep is removed from an interrogation, it shall be reported to the Office of ______ ______ (OER), who will in turn notify the employee organization (CAHP).

Office of Employee Relations

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT If it is not practical to postpone the interrogation, the investigators should make reasonable attempts to obtain a representative for the employee and should only proceed without one as a ______ ______ in the most time-critical interrogations.

Last Resort

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT Questions: Representatives may ask questions during or near the end of an interrogation regarding the interrogator(s) opinions as to the involved employee’s ______ and/or ______. (For example, “Do you have reason to believe my client has been dishonest with you here today?”)

Culpability and/or Veracity

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 11 PUBLIC SAFETY OFFICERS PROCEDURAL BILL OF RIGHTS ACT Interrogators shall refrain from answering such questions, as any responses may be ______ in an employee’s subsequent response to the action. Rather, the interrogator’s role as a finder and reporter of ______ should be clarified. Additionally, the interrogator should explain that ______ in the involved employee’s chain of command will make determinations regarding culpability or evasiveness.

Quoted Facts Managers

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 12 CASE MANAGEMENT Investigations completed as either adverse actions or miscellaneous investigations must be tracked from ______ to ______. The tracking of an investigation is vital if it is to be completed in a timely and thorough manner. To this extent, commanders shall ensure cases are properly tracked while the case is within Area’s ______.

Inception to Conclusion Control

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 12 CASE MANAGEMENT An internal investigation needs to be tracked throughout its ______ within the Area command. To this end, the use of an investigative plan and case management will allow commanders to track the status of any case.

Life

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 12 CASE MANAGEMENT As an investigation commences, the investigative ______ will be used as the basis for the investigation. Once each task in the investigative plan is completed, the investigator will note this on the investigative plan form. In this way, the status of the case will always be known to a commander even if the investigator is unavailable.

Plan

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 12 CASE MANAGEMENT The investigative file shall be kept at a secure location accessible to the ______ and ______. Once the investigation has been completed at the Area level, associated forms shall be ______ from the investigative package and ______ at the area level.

Investigator Commander Removed Retained

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 12 CASE MANAGEMENT Upon service of the Notice of Adverse Action or other closing documentation, the case management ______ are no longer needed and shall be ______ by the Area command.

Forms Destroyed

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 12 CASE MANAGEMENT All steps taken during the investigation must be documented in the ______ log.

Chronological

HPM 10.2 - INTERNAL INVESTIGATIONS - CHAPTER 12 CASE MANAGEMENT Case management forms are designed to assist the ______ command only. They are not to be sent to Division when the case is forwarded for review.

Area ***Investigative Plan / Chronological Log.***