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North Sac Sgt Study ?s > HPMS 10.2 (Internal Investigations) and 10.4 (Citizens Complaints) > Flashcards

HPMS 10.2 (Internal Investigations) and 10.4 (Citizens Complaints) Flashcards

1
Q

Bazemore refers to:

A

This term refers to an appeal by Ms. Carla Bazemore and subsequent precedential decisions by the State Personnel Board in 1996. This case was determined by SPB to have bearing on discipline matters conducted by all state departments and agencies. Employees shall be notified of misconduct for which they are being counseled may be charged in a future adverse action if the written document contains the Bazemore admonition

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2
Q

TRUE OR FALSE?
The Bazemore admonishment shall be included in all Memoranda of Direction (MODs) which are counseling or remedial in nature. The Bazemore admonishment shall be stated verbatim

A

true

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3
Q

What is Government Code 19572?

A

The authority and specific charging sections for taking adverse action against an employee.

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4
Q

Supervisors and managers are expected to :

A

Ensure employees are informed of expectations via briefings, ride-alongs, one-on-one discussions, training days, written acknowledgments of policy review, etc.
Recognize those individuals who are meeting or exceeding standards by providing positive reinforcement and recognition, e.g., CHP 100 Form comments, commendable CHP 2, Incident Report, etc.

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5
Q

Preventative Actions: Proactive 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. Examples of preventative actions include but are not limited to, the following:

A

Adequate ongoing training for all classifications
Clearly defined job duties, conduct, expectations and objectives
Ensure employees have positive and respectful workplace communication with the chain of command, peers, and subordinates.
Provide periodic and routine assessment and feedback of job performance to all employees
Provide fair , engaged, and impartial supervision
Make referrals to the Employee Assistance Program (EAP)

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6
Q

TRUE OR FALSE?
The primary difference between formal and informal counseling is documentation. After formal counseling, the employee receives some form of documentation regarding the counseling session.

A

true

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7
Q

There are six types of penalties for adverse actions. What are they?

A 
Formal Written Reprimand
Salary Reduction within Salary Range of the Class
Suspension
Involuntary Transfer
Demotion
Dismissal from State Service
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8
Q

TRUE OR FALSE?
Formal written reprimand and suspension: The effective date of the adverse action shall be no less than 25 calendar days after the date of service of the notice.

A

TRUE

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9
Q

The Department must notify the employee of its proposed disciplinary action within this one-year period, except under any of the following circumstances:

A

The internal investigation cannot be completed due to a pending criminal investigation by another law enforcement agency involving the subject employee
The employee waives the one-year time period in writing
A reasonable extension is necessary to coordinate a multi-jurisdictional investigation
The investigation involves more than one employee and requires a reasonable extension
The investigation involves an employee who is incapacitated or otherwise unavailable
The investigation involves a matter of civil litigation and the employee is a defendant
The investigation involves a matter under criminal investigation and prosecution, and the complainant is a criminal defendant
The investigation involves an allegation of workers’ compensation fraud by the employee

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10
Q

“Other” Complaints. Complaints which may contain Category I or II allegations as outlined above, but which also meet the definition of one of the following types of complaints, as defined in this chapter:

A
  • Departmental complaint
  • Citation Validity complaint (if this is the sole allegation)
  • Rescinded complaint
  • Frivolous complaint
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11
Q

Non-Complaints. Issues brought to the attention of the Department which are not normally considered citizens’ complaints for the purpose of investigation and documentation in accordance with this manual. Refer to Chapter 3 for specific guidance on the acceptance and proper processing of these complaints. Examples of such non-complaint issues include:

A
  • Traffic
  • Vehicle Storage/Impound Validity
  • Other Agency
  • Off-duty conduct
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12
Q

TRUE OR FALSE?
13. All citizen complainants shall be provided a CHP 240B and 240D within 5 days and the supervisor shall request the form be returned within 10 days.

A

TRUE

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13
Q

What are the 4 Citizen Complaint Categories?

A

Category I, Category II, Other Complaints, Non-Complaints

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14
Q

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).

A

5 days / 5 months

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15
Q

When a meeting is held with an employee and his/her superior for the purpose of eliciting information to support adverse action, the employee has a right to _______.

A

Representation

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16
Q

The employee shall have his/her assigned locker, or other place for storage searched when the search is conducted under any of the following conditions:

A

In his/her presence
With consent
After a warrant has been obtained
Where the employee has been notified that a search will be conducted

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17
Q

An employee shall have how many days within which to file a written response to any adverse comment entered in his/her personnel file?

A

30 calendar days

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18
Q

TRUE OR FALSE?

The employee is not entitled to representation in the normal course of duty, counseling, instruction, issuance of Incident Report (CHP 2), informal verbal admonishment, or other routine contact with a supervisor.

A

TRUE

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19
Q

Name the complaint findings, list them in order of severity:

A

(1) Sustained
(2) Unintentional Error
(3) Undetermined/No Finding
(4) Departmental
(5) Exonerated

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20
Q

Normally, who will accept telephone calls from, or conduct personal interviews with, potential complainants.

A

Supervisor

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21
Q

The _______ or _________ , as appropriate, must be provided to all potential complainants.

A

CHP 240B / CHP 240D

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22
Q

TRUE OR FALSE?
If an employee refuses to submit to a polygraph examination, the refusal CAN NOT be commented on or recorded in the investigation?

A

TRUE

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23
Q

An Adverse Action can result in what results in what 6 outcomes?

A

Formal written reprimand, reduction in salary dismissal, involuntary transfer ,demotion, suspension

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24
Q

Copies of the adverse action shall be retained at both Area and Division levels for ____________.

A

5 years

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25
Q

An employee has the right to be represented at all times during investigations that focuses of matters which are likely to result in__________ against the employee

A

adverse action

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26
Q

It is the policy of this Department to restrict the number of departmental representatives (interrogators) to a maximum of _____ during an administrative interrogation and the investigator must be at least____rank higher.

A

Two and one

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27
Q

A complaint alleging physical contact, excessive force, and/or criminal, racial, sexual, or immoral conduct is a ________ complaint

A

Category I

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28
Q

If the complaint investigation uncovers any actual or alleged damage to property, or injuries to persons which may result in a claim against the state, a CHP 268, Potential civil litigation Report, shall be completed. The CHP 268 ___________ be attached to the complaint investigation.

A

Shall not

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29
Q

In accordance with Penal Code Section 832.5, all citizens’ complaint investigations shall be retained for a period of _______ years.

A

Five

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30
Q

Any employee covered under POBR who expresses a desire to submit a response to a complaint investigation has ________ days to respond.

A

Thirty

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31
Q

The Public Safety Officers Procedural Bill of Rights (POBR) Act, as specified in California Government Code Sections 3300 through 3311 applies to all probationary and permanent departmental personnel who are peace officers. By policy, the Department has extended POBR rights to all employees except?

A

Cadets

32
Q

Adverse action does not include?

A

Censurable Incident Reports (CHP 2), memorandums of correction/direction, or other documentation of supervisory counseling.

33
Q

An internal investigation is defined as?

A

an inquiry by departmental personnel concerning alleged misconduct or substandard performance on the part of any departmental employee which leads to or may lead to adverse action.

34
Q

In those instances where the investigation is unusually complex or extremely sensitive, the Commissioner may assign who to either conduct or assist with the investigation?

A

Office of Internal Affairs

35
Q

Commanders shall ensure the primary investigator is at least how many ranks higher than the involved employee?

A

one

36
Q

If prior to or during the interrogation of the employee, it is deemed that he/she may be charged with a criminal offense, he/she shall be immediately informed of his/her Miranda rights?

A

TRUE

37
Q

No employee shall be compelled to submit to a polygraph examination against his/her will?

A

TRUE

38
Q

Managers and supervisors shall ensure all investigations are conducted in compliance with the provisions of ______________ and protect the rights of employees.

A

POBR

39
Q

What are the four possible outcomes of an administrative investigation?

A

Adverse Action
Rejection During Probation
Miscellaneous Investigation
Non Punitive Termination

40
Q

What are the 6 different penalties of adverse action?

A

a. Formal Written Reprimand
b. Suspension
c. Reduction in Salary
d. Demotion
e. Involuntary Transfer
f. Dismissal

41
Q

What is a Bazemore admonition?

A

Employees shall be notified that misconduct for which they are being counseled may be charged in a future adverse action

42
Q

What is a Coleman Hearing?

A

The process by which an employee who has resigned (by being AWOL) has the opportunity to present information to an impartial and uninvolved departmental member with authority to recommend a final disposition

43
Q

What is a Lybarger admonishment?

A

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

44
Q

What are the four forms of corrective documentation?

A

a. Monthly evaluation comment
b. Memorandum of Counseling
c. Memorandum of Direction
d. Censurable CHP 2

45
Q

Area and Division Commanders shall ensure the investigation is forwarded to OIA within how many days from the date the Area becomes aware of the misconduct?

A

60 calendar days

46
Q

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 whom?

A

The employee’s permanent commander

47
Q

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 how long?

A

1 year of the Department’s discovery of the allegation

48
Q

What are the four “Other Complaint” categories?

A

a. Departmental
b. Citation Validity
c. Rescinded Complaint
d. Frivolous Complaint

49
Q

What are four examples of Non Complaints?

A

a. Traffic
b. Vehicle Storage/Impound
c. Other Agency
d. Off Duty Conduct

50
Q

What is the definition of an aggrieved person?

A

The individual reportedly injured or offended by the actions of the Department or one of its employees

51
Q

What are the commonly used CHP Citizen complaint forms?

A

CHP 240 (Citizen Complaint), CHP 240A (Complaint Control Log), CHP240B (Citizen Complaint Information Uniform), CHP240D (Citizen Complaint Information Non Uniform)

52
Q

What is the time frame for acknowledging a citizen’s complaint by the Department?

A

5 business Days

53
Q

What time frame is requested of a complainant to return the CHP 240B or CHP 240D?

A

10 business days

54
Q

How long will evidence be held pertaining to a citizen complaint investigation?

A

5 years beginning from the date the complaint was filed

55
Q

How long will corrective documentation resulting from a citizen complaint investigation be held in the employee’s personnel file?

A

3 years commencing from the date of issue

56
Q

When can Category I, Category II, and Other Complaints be destroyed?

A

5 years commencing from the date received by the Department

57
Q

What is the goal of Corrective Actions?

A

The goal of written or verbal corrective actions is to bring the employee’s performance to an acceptable level and to prevent continued misconduct or poor performance. This is accomplished by providing specific directives to the employee.

58
Q

When poor performance or misconduct merits more severe disciplinary measures, but falls short of a request for initiating an adverse action, a memorandum of direction (MOD) may be issued. The MOD ____ contain the Bazemore Admonition.

A

Shall

59
Q

If an employee separates from the Department during an investigation, the investigation ____ be completed and processed in accordance with Chapters 7 and 8 HPM 10.2

A

Shall

60
Q

When an employee is subject to a criminal interrogation, the employee _____ be admonished of Miranda rights prior to any questioning.

A

Shall

61
Q

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.

A

30

62
Q

If a Citizens’ complaint originates while an employee is in training at the Academy, it will be the responsibility of the _____ commander.

A

Academy

63
Q

If a supervisor desires to tape record an interview with an employee, outside the scope of a formal Administrative Interrogation, prior permission ____ be obtained from the employee.

A

Must

64
Q

A citizen files a complaint against Officer Smith for handcuffing him after an arrest. The complainant states Smith was only attempting to harass and embarrass him. Since Smith was within policy by handcuffing a subject in custody, a finding of _________ is warranted.

A

Exonerated

65
Q

Citizens Complaint ;

Each allegation _____ have only one finding, even if several instances of that specific allegation are alleged.

A

shall

66
Q

Rescinded/Frivolous complaints will still have a finding?

A

no they will not

67
Q

If an investigator is satisfied that a complainant has filed a complaint knowing that it was false or that it was filed with malicious intent, he/she ____ recommend a criminal complaint be filed with the local district attorney charging a violation of 148.6 P.C.

A

May

68
Q

The ______ is responsible for monitoring complaint trends and patterns.

A

Bureau of Internal Affairs

69
Q

Citizens’ complaint investigations _______ be completed and approved as specified in Highway Patrol Manual 10.4 before being used as the basis for an administrative investigation which results in an adverse action or rejection during probation.

A

Should

70
Q

A Department-initiated leave of absence may be terminated at any time by providing the employee with ______ notice.

A

48 hours

71
Q

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.

A

15

72
Q

The ________ shall be included in all Memoranda of Direction (MODs) which are counseling or remedial in nature.

A

Bazemore admonition

73
Q

May a statement made during an administrative interrogation be used in a subsequent criminal proceeding?

A

No, it cannot be used

74
Q

When a departmental supervisor or manager is notified of or discovers alleged misconduct on the part of an employee, notification to the next level in the chain of command shall be made when?

A

As soon as it is practical

75
Q

Conduct not rising to the level of adverse action should be viewed as what?

A

A training opportunity

76
Q

Regardless of the findings of a complaint, the overall classification of the complaint will be based upon the _______ made during any stage of the investigation?

A

Highest category allegation

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