HPM 10.2 - INTERNAL INVESTIGATIONS - PROGRESSIVE DISCIPLINE Flashcards
What contains the terms and conditions of employment for represented employees?
Collective Bargaining Agreements (CBS’s)
The authority to take Adverse Action or initiate a rejection during probation, is vested with the appointing power, __________
The commissioner
When dept. supervisor or manager is notified of or discovers alleged misconduct on the part of an employee, what should happen?
Notify next level in chain of command asap
What are possible penalties resulting from an Adverse Action?
- Formal (written) reprimand
- Salary reduction
- Suspension
- Involuntary Transfer
- Demotion
- Dismissal
Get the FISSDD
All admin interrogations shall be _________
audio recorded
Lowest level of an adverse action
Formal written reprimand (doesn’t result in a monetary penalty)
Admonishment given in admin interrogation which advises subjects of the interrogations that THEY DO NOT HAVE THE RIGHT TO REFUSE TO ANSWER ADMIN QUESTIONS
Lybarger Admonishment
(Nibarger says YOU CAN’T REFUSE))
Minor discipline involves a penalty consisting of a ___ to ___ working day suspension or equivalent step-reduction in pay. (Officers and Sergeants)
1-5 working day suspension
Is informal counseling subject to the grievance process?
Is the employee entitled to representation?
No
No
Is FORMAL counseling subject to the grievance process?
Is the employee entitled to representation?
No
No
Primary difference between formal and informal counseling is
Documentation
Employee receives some form of documentation after session
A formal counseling session should be documented on the supervisors’ _______ and the employee’s ________
CHP 112 - Management Summary
CHP 100 - Monthly Eval Form
(no representation necessary)
Area and division commanders shall ensure the investigation is forwarded to OIA within __ calendar days.
60 calendar days from date the area becomes aware of misconduct.
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(s) of the Dept’s discovery of the allegation by a person authorized to initiate an internal investigation.
Within 1 year
Steps of Progressive Discipline
4
CCCA
- Informal Counseling
- Formal Counseling
- Corrective Documentation (100, 112, MOC, MOD, Form 2)
- Adverse Actions
Rejection during probation - Employee must be served with a notice of rejection during probation when?
Prior to the last day of the probationary period
This allows time for the pre-disciplinary hearing
If an officer is under investigation and the office makes them take a leave of absence that extends past 30 days, ____ approval is required. Also, _____ shall be informed by email when a Department initiated leave of absence status changes or is removed.
CalHR approval required
Notify OIA
When an employee is placed on a leave of absence without pay, the investigation must be completed, reviewed, and the employee served with the notice of adverse action within ____ calendar days
Within 15 calendar days
Can employees be compelled to submit to a polygraph or voice stress analysis?
No - and employee can’t get in trouble for refusing to submit to these
Evidence pertaining to an admin investigation shall be stored for a minimum of ___ years.
5 years
Evidence shall remain in the command which originally completed the investigation, regardless of any subsequent _________ of the involved employee.
Transfers
Only times you can search an employee’s locker or storage (that’s owned by Dept) is when search is conducted under one of following conditions :
- In employee’s presence
- With consent of employee
- Search warrant
- After employee has been notified that a search will happen. Reasonable opportunity given to respond to the location and observe the search
What kind of evidence is often the most valuable?
Testimonial
Criminal interrogations involved people suspected of criminal conduct, so legal protections apply to their statement (__________ advisement)
Administrative interrogations involve ______ statements.
Miranda advisement
Compelled statements. These statements CANNOT be used to support criminal investigation.
All statements from Dept employees who are interviewed as witnesses during internal investigations SHOULD BE / SHALL BE recorded.
SHALL Be. Don’t need approval.
Who has final approval authority for all administrative investigations?
The commissioner. (They have delegated final review of admin investigations in most cases)
Investigations that 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 date the employee was service with AA notice.
Keep for 5 years
Removed from personnel folder after 3 years
Any corrective documentation issued to an employee as result of internal investigation (Form 2, MOD, etc) shall be removed from employee’s personnel folder after ___ years.
3 years
However, document, which is an exhibit, shall remain with internal investigation itself until scheduled destruction of investigation.
Adverse Action - An employee may file an appeal with the SPB Appeals Division no later than __ calendar days after effective date of a Notice of Adverse Action
30 days
Rejection During Probation - A rejected, probationary employee may file an appeal with the SPB Appeals Division no later than __ calendar days after effective date one rejection.
15 calendar days
Public safety officer shall have __ days within which to file a written response to any adverse comment entered in the employee’s personnel file.
30 days
AA is defined as
Dismissal, Demotion, suspension or other disciplinary action.
a Form 2, MOD or MOF are NOT Adverse Actions
Employees shall serve AA time up to __ days off consecutively
43
All complaints against members of the department will be investigated. The conclusion of the complaint will be documented as one of the following: (4 things)
- Adverse Action
- Rejection During Probation
- Anonymous Complaint
- Misc. Investigation (no AA is warranted)
Corrective documentions (CHP 100, CHP 112, MOC, MOD, Form 2) do NOT include the _________ Admonition
Bazemore
Copies of sustained AA’s remain in the employees file for ___ years
5 years
Employee has the right to review anything in their file and have ____ days to file a written response to anything added to their file.
30 days
Can an employee select a private attorney to represent them in an AA?
Yes
Are employees allowed to reimburse the department for lost or damaged equipment in lieu of an AA?
Yes
Cadets are afforded representation through ______.
But are NOT entitled to ________.
Through CAHP. Can be repped from CAHP.
Not entitled to POBR rights.
Minor investigations, with the concurrence of the division commander, can be documented in the _______ format
“Short Format”
When an employee loses or damages state property and AA might happen, ___________ will prepare the memo, not the employee.
The supervisor
If an employee chooses to reimburse the department for lost or damaged equipment, can the employee still be given a written reprimand?
No - they SHALL NOT
If an employee feels their rights are violated during an AA, they may file charges with ____________ against the department.
the Superior Court
Objective of an internal investigation is to gather facts that will either:
1.
2.
3.
- Clear the officer
- Provide for corrective action
- Lead to AA
Whenever an investigation is initiated, commanders shall notify __________ or ___________.
Division or Office of Investigations (OINV)
Commands shall provide updates, via Com-net, on IA investigations the ______ of every month during the investigation.
1st of every month
Can the primary investigator be the same rank as the involved employee?
No - must be one rank higher
The investigation interview narrative should be written in ________ person.
Third person
When collected evidence is going to be destroyed, the effected employee (SHOULD / SHALL) be notified by memo of pending destruction or repair of evidence.
SHALL
Can the employee or union rep inspect evidence prior to its destruction?
Yes
Any infö on a bill/receipt not pertaining to that investigation will be ____________ by the employee.
Crossed out
If employee will not provide files or permission for release of personal files for the investigation, the investigator MAY request an ____________________ to compel the employee to provide the files.
Administrative subpoena
This type of subpoena needs approval from BIA / commissioner
To keep separation between admin and criminal investigation, an investigator who is conducting the criminal case (SHOULD NOT / SHALL NOT) be involved with the admin part.
SHALL NOT
Skelly Decision provides an opportunity for an employee to respond to an AA after it has been completed within _____ days of receiving the decision.
5 days
Managers get 10 days
If employee is management, they have ___ days to respond to an AA.
10 days
Non-management get 5 days
Investigations are required to be written in either a __________ or a __________ format.
Short format or Full format
Short format AA investigations can be written for suspensions of ___ days or less
5 days or less (minor suspension)
Prior AA’s that are within __ years may be used in the new AA.
Within 5 years
Prior MOD’s can only be used in the new AA if they were within __ years
Within 3 years
Managerial employees shall not be suspended for less than __ days
Less than 5 days
Employee and their rep may be given up to __ hours release time to prepare for the response to a form 8 hearing
4 hours
Will completed AA’s be transferred to an employee’s new command?
Yes, but only if the AA’s are within the retention time period when the officer transfers
What form is the Subject/Witness Summary that names all potential witnesses and brief summary to what they will account for in the investigation?
CHP 7
What section of an investigation is the most important part of the file as it will provide evidence to prove the charges?
“Exhibits”
In an investigation, list all Sustained, Unintentional, and Undetermined/No Finding complaints within the last __ years
5 years
DO add _______ from allied agencies and CHP in the report.
DO NOT add _______ to the report.
Add Commendable Form 2’s
Don’t add citizen accommodations/letters.
Managers must be notified ___ days before effective date of AA and have ___ days to file a response.
Notify 20 days prior
Have 10 days to file response
Employees must be notified ___ days before effective date of AA and have ___ days to file a response.
Notify 25 days prior
Have 5 days to file response
A _________________ Hearing provides employee the chance to respond to discipline, rejection during probation or medical termination.
Pre-Disciplinary / Rejection Hearing
*You have 10 days to request this hearing
Employees must request a Pre-Disciplinary / Rejection Hearing within ___ days of final notice of AA.
Within 10 days (verbally or in writing)
If employee conducts a pre-disciplinary hearing request in writing, the hearing officer shall respond back to the employee within ___ days
Within 14 days
If employee is not satisfied with hearing officer’s decision, the employee or union rep may file a request within ___ days for arbitration.
Within 14 days
Are employees allowed to cross-examine witnesses or present new evidence in a pre-discipline hearing?
No
Employees may file an appeal with SPB no later than ___ days after service of an AA
30 days
A employee rejected during probation may file a written appeal within ___ days of notice of service
Within 15 days
Minor AA’s are considered penalties of ___ days or less
5 days or less
