HPM 10.2 Internal Investigations manual Flashcards
If an employee receives a conflicting order or directive, the employee must respectfully call the conflict to the attention of the supervisor giving the last order. If the person giving the last order does not change or rescind it, the employee _______ obey it, and _______ responsible for disobeying the first order.
Must, is not
The Public Safety Officers Procedural Bill of Rights (POBR) is specified in California _______________.
Government Code 3300 et seq.
By _______, POBR applies to all probationary and permanent departmental personnel who are peace officers. By ________, the Department has extended POBR rights to all other employees with the exception of cadets.
Law, policy
Once initiated, an administrative investigation has four possible outcomes:
(AARP MINT)
Adverse action
Rejection from probation
Miscellaneous investigation
Non-punitive termination
Adverse action penalties consist of:
(FRIDDS)
Formal written reprimand Reduction in salary Involuntary transfer Demotion Dismissal Suspension
____________________ is an administrative investigation in which the employee is exonerated, separates from state service, transfers to a new agency, or the conduct does not warrant adverse action or rejection during probation.
Miscellaneous investigation
____________________ is action resulting in involuntary separation from state service, although not as a disciplinary measure. Examples include, termination resulting from absence without leave, failure to meet minimum qualifications, and medical disqualification.
Non-punitive termination
A(n) __________ Hearing is 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 department member with the authority to recommend a final disposition.
Coleman
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. Subjects are also advised that failure to answer administrative questions will be deemed insubordination. Further, any statement made during an administrative interrogation cannot be used in a subsequent criminal proceeding.
Lybarger
The goal of written or verbal corrective actions is to bring the employee’s performance to an ___________ level and to prevent continued misconduct or poor performance.
Acceptable
The following are considered corrective documentation:
Monthly evaluation (CHP 100)
Memorandum of Counseling
Memorandum of Direction
Censurable CHP 2
A salary reduction may be _______________ salary steps down to the minimum salary of the employee’s class.
One or more
Regarding an internal investigation, the assigned primary investigator shall be at least _____ rank(s) higher than the highest ranking involved employee, unless otherwise approved by the Division commander or appropriate Assistant Commissioner
One
What are the two accepted methods for conducting a criminal investigation without negatively influencing the corresponding administrative investigation?
Concurrent and consecutive
If the commander feels a polygraph or VSA examination is necessary, the commander shall request approval through channels from ______________ and coordinate through OIA.
The Office of the Commissioner
An employee’s desk __________ normally be entered by a supervisor when looking for work product. However, when the command has allowed a reasonable expectation of privacy, such as issuance of a key to the desk, the provisions of Government Code section 3309 apply.
Can
An administrative subpoena _______________ is a legal document utilized by state departments to compel the production of papers, books, accounts, documents, any writing as defined by Evidence Code 250, tangible things, and testimony pertinent or material to any inquiry, investigation, hearing, proceeding, or action conducted in any part of the state.
Duces tecum
Prior to conducting an interview with an employee regarding potential criminal acts, investigators shall issue a _____________________ to protect the employee’s rights.
Miranda warning
True or false? While criminal investigators may not participate in an administrative interrogation, an administrative investigator should observe the criminal interrogation. This is desirable if an employee waives Miranda rights during a criminal interrogation and agrees to answer questions. In this case, the entire criminal statement should be included in both investigations.
True
A _______________________ 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.
Pre-disciplinary hearing
A photo line-up for an internal investigation should have a minimum of _______ photographs.
Six
Copies of the adverse action shall be retained at the Area level for ____________.
Five years
An employee shall have ________ calendar days within which to file a written response to any adverse comments entered in his/her personnel file.
Thirty
A “minor” adverse action is an action which requests a penalty of ______ days or less or a step reduction in salary for ______ months or less (excluding formal written reprimands).
Five, five
Investigations of allegations ___ be done thoroughly, objectively, and in a timely manner.
Shall
Investigations ___ be conducted in a manner which will ensure all applicable protections
are afforded.
Shall
All employees ________ be treated professionally, with dignity and respect.
Will
All instances of alleged misconduct by departmental employees ___ be investigated and,
when appropriate, adverse action or rejection during probation initiated.
Shall
Government Code § ___ provides the authority to reject a probationary employee for
reasons relating to the probationer’s qualifications, the good of the service, or failure to
demonstrate merit, efficiency, fitness, and moral responsibility.
§ 19173 GC
Collective bargaining agreements (CBAs) contain the terms and conditions of employment
for represented employees. If an employee is subject to the terms of a CBA, it _________ always be reviewed.
Shall
If the CBA has different processes than policy, the process identified in the ____________ is controlling.
CBA
Except where otherwise indicated, the authority to take adverse action or initiate a
rejection during probation is vested with the appointing power, the ___.
Commissioner
True or false? Employees must promptly obey any lawful orders or directives from a supervisor,
manager, or officer in charge. This includes orders or directives from a superior which are conveyed by an employee of the same or lesser rank.
True
Employees ___ never obey orders they know or reasonably should have known would
require them to commit reasonably-apparent illegal acts.
Shall
If an internal investigation appears appropriate, the commander ___ discuss the allegations with the assistant chief in the commander’s immediate chain of command. With Division concurrence, an internal investigation ___ be initiated.
Shall, shall
Upon initiation of an internal investigation, Division shall notify the appropriate Assistant Commissioner. ________________ shall also be notified for tracking purposes.
The Office of Internal Affairs (OIA)
The OIA, which reports directly to the Office of the Assistant Commissioner, ___, is the
Department’s primary resource for guidance and assistance with the internal investigation
process.
Staff
True or false? An internal investigation is an official inquiry, utilizing departmental investigative
resources, into alleged misconduct by departmental employees. Internal investigations may lead to administrative action.
True
True or false? Administrative Investigation is an 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.
True
The Department _________ reject any employee during the probationary period for reasons
relating to the probationer’s qualifications, for the good of the service, or for failure to demonstrate merit, efficiency, fitness, and moral responsibility.
May
True or false? Preponderance of evidence is a significantly lesser threshold than “beyond a reasonable doubt.” Preponderance of evidence is often referred to as “the standard of 51 percent.”
True
True or false? Progressive discipline is intended to modify an employee’s behavior, and should not
instruct and train the employee to act and perform in accordance with established standards of conduct.
False
Should
True or false? Progressive discipline provides the employee with the tools and awareness to bring
performance to an acceptable level.
True
True or false? Interim reporting is a disciplinary option.
False
Preventative actions are __________ steps that reduce or eliminate the need for corrective or adverse action. It is the supervisor’s responsibility to engage and lead the employee in the right direction, as opposed to merely documenting the actions of the employee.
Proactive
True or false? Adequate ongoing training for all classifications is a preventative action. Supervisors and managers must ensure that employees attend required training and address training issues in a timely manner when appropriate (e.g., officer safety, policy changes).
True
Providing clearly defined job duties, conduct, expectations, and objectives is a ______________ action.
Preventative
Types of counseling are Informal and Formal. The primary difference between the two is ____________.
Documentation
True or false? A memorandum of counseling will not normally contain a Bazemore Admonition.
True
A memorandum of direction _______ contain a Bazemore Admonition.
Shall
A censurable CHP 2 __________ contain a Bazemore Admonition.
Shall not
A formal request for adverse action _________ be initiated if the employee does not respond to preventive and/or corrective actions, or the acts of misconduct are severe.
Should
True or false? A formal request for adverse action should be initiated if the employee does not respond to preventive and/or corrective actions, or the acts of misconduct are severe.
True
A salary reduction penalty ________ available for an employee working at bottom step.
Is not
Suspension shall be specified in __________ days and may consist of a penalty ranging from one (1) work day to several pay periods.
Working
Any holiday falling within the suspension ______ counted as a working day.
Is not
An _____________ transfer is a transfer from one Area office to another Area office, or a transfer out of a specialized position. An ___________ transfer included as a penalty in an Adverse Action is subject to review by the State Personnel Board.
Involuntary
True or false? A demotion may be permanent or temporary. 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 promotion at a later date.
True
Dismissal may or may not be preceded by other forms of adverse action (i.e., progressive
discipline). Dismissed employees _________ not thereafter be permitted to take any state civil service examination, or be certified from an eligible list to any position in the state service, without the prior consent of the State Personnel Board Executive Officer (Title 2, CCR, Section 211).
Shall
The ___ is responsible for the quality and timeliness of the internal investigation.
Commander
Area and Division commanders shall ensure the investigation is forwarded to OIA within _____ calendar days from the date the Area becomes aware of the misconduct.
60
In complex cases where the investigations will exceed ___ days, the Division commander
should contact the appropriate Assistant Commissioner to request an extension.
60
Whenever any employee of this Department, including the employee subject to
investigation, learns that another law enforcement agency is conducting an inquiry into allegations of __________ misconduct involving a member of the Department, the employee shall immediately notify a supervisor or manager.
Criminal
Employees ___ be informed of the availability of resources, such as Employee Assistance
Program (EAP), at appropriate times during the investigation.
Shall
When potential criminal misconduct is identified, the commander ______ ensure the appropriate Division commander and OIA are notified.
Shall
To maintain the separation between investigations, criminal investigators _________ not participate in administrative interrogations (although it may be permissible to assist in planning the interrogation).
Shall
True or false? Commonly, the administrative investigator will have access to all information gathered in the criminal investigation, but can preclude the criminal investigator from having access to material from the administrative investigation.
True
If an employee of this Department is requested to be interviewed by investigators pursuant to a civil rights investigation, the decision to consent to an interview with an outside investigator regarding a civil rights investigation ________ be at the sole discretion of
the departmental employee (either as a witness to, or the subject of, an investigation
Shall
If an employee of this Department is requested to be interviewed by investigators pursuant to a civil rights investigation, if such an interview is conducted on state time, a departmental supervisor _________ be present.
Shall
The Department ________ investigate all allegations of misconduct filed as a citizens’ complaint as provided in Section 832.5 of the California Penal Code.
Is required to
All internal investigations which involve a cadet as the subject, regardless of a temporary
assignment, will be the responsibility of the ____________.
Academy commander
Employees assigned to special programs that remove them from direct departmental
supervision (e.g., drug/vehicle theft task forces) will be the responsibility of the employee’s:
Departmental commander
True or false? Internal investigations which originate while an employee is working a temporary assignment within the Department, such as a protective services detail, motor carrier inspection program, watch officer, etc., remain the responsibility of the employee’s
permanent commander.
True; however, Division commanders may direct such investigations be conducted by the temporary assignment commander or supervisor.
When an investigation involves multiple employees assigned to different commands, a single Division, Area, section, or unit ________ be appointed as the primary investigative command. As with all multiple employee investigations, each employee ________ have a separate internal investigation file prepared with its own investigation control number.
Shall, shall
Pursuant to Government Code (GC) § 3304, adverse action shall not be undertaken
against an employee for any act, omission, or other allegation of misconduct if the investigation is not completed within ___ of the Department’s discovery of the allegation by a person authorized to initiate an internal investigation (typically a supervisor or above).
12 months
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 ___ after the cause for discipline, upon which the notice is
based, first arose. Adverse action based on fraud, embezzlement, or the falsification of records shall be valid, if notice of the adverse action is served within three years after the discovery of the fraud, embezzlement, or falsification.”
Three years
