Complete Manual Flashcards
Understanding of Internal Investigations (212 cards)
1
Q
Who has the authority to take adverse action?
A
- The appointing power (The Commissioner)
- The Commissioner may designate an authorized representantive
HPM 10.2, p1-4
2
Q
By policy who has the Commissioner authorized to initiate an internal investigation?
A
If an internal investigation appears appropriate, the commander shall discuss the allegations with the assistant chief in the commander’s immediate chain of command. With Division concurrence, an internal investigation shall be initiated
HPM 10.2, p1-5
3
Q
Who may give a lawful order?
A
- Supervisor, Manager or OIC
- Including orders or directives from a superior which are conveyed by an employee of the same or lesser rank
- Employees shall never obey orders they know or reasonably should have known would require them to commit reasonably-apparent illegal acts.
- Any employee who disobeys or disregards a lawful order or directive (verbal or written) given by a supervisor, manager, or officer-in-charge may be subject to disciplinary action
HPM 10.2, p. 1-4
4
Q
What is the employee’s responsibility when recieving conflicting orders?
A
- 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 must obey it, and is not responsible for disobeying the first order
5
Q
Who makes notification to whom of the initiation of an internal investigation?
A
- Division shall notify the appropriate Assistant Commissioner
- OIA shall be notified either by Division or Area with a Division control number
HPM 10.2, p.1-5
6
Q
An Administrative Investigation has what 4 possible outcomes?
A
- Adverse Action
- Rejection During Probation (RDP)
- Miscellaneous Investigation
- Non-Punitive Termination
HPM 10.2, p.2-3,4
7
Q
What are the 6 possible penalties resulting from an Adverse Action?
A
- Formal written reprimand
- Suspension
- Reduction in Salary
- Demotion
- Involuntary transfer
- Dimissal
8
Q
What are 4 possible reasons for an Administrative Investigation to be deemed a Miscellaneous Investigation?
A
- Employee is Exonerated
- Employee separates from state service
- Employee transfers to a new agency
- The conduct does not warrant adverse action or rejection during probation
9
Q
What acts create a nexus to employment?
A
- The act occurred while on duty
- All criminal acts by uniformed employees (on or off duty)
- All criminal acts by non-uniform employees which constitute a felony or crimes of moral turpitude
- While off duty an individuals employment is affirmativel established by an overt act.
- Any off-duty conduct with a clear connection tot he employee’s ability to effectively perform their duties
- The misconduct is of such a nature that it could bring descredit to the Department.
10
Q
What constitutes an Absence Without Leave (AWOL)?
A
Absence for five consecutive working days (whether the absence was voluntary or involuntary) is considered an automatic resignation
from state service, effective the last day the employee worked
HPM 10.2, p.2-5
11
Q
- What is the purpose behind the Bazemore admonition?
- Which documents shall include the Bazemore admonition?
A
- To notify the employee that misconduct for which they are being counseled may be charged in a future adverse action.
- Memorandum of Direction (MOD)
HPM 10.2, p.2-5
12
Q
What 4 documents are considered closing documentation?
A
- Notice of AA
- MOD
- MOF
- CHP2
HPM 10.2, p. 2-6
13
Q
What is the purpose of a Coleman Hearing?
A
Process for employees who have resigned (by AWOL) to present information to an impartial and uninvolved departmental member with the authority to recommend a final disposition.
14
Q
Define dishonesty as it pertains to administrative investigations.
A
Knowingly providing false statements, making an intentional
misrepresentation of facts, or intentionally omitting information of a material nature
Material in nature to the allegations being investigated
15
Q
A leave of absence was previously referred to as?
A
Administrative Time Off (ATO)
16
Q
Who approves administrative time off (ATO)?
A
Appropriate Assistant Commissioner prior to placing the employee on a leave of absence
17
Q
What is the purpose of the Lybarger Admonishment?
A
- It 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
18
Q
What documentation is the employee issued at the close of a Miscellaneous Investigation?
A
Memorandum of Findings (MOF)
19
Q
Does a Memorandum of Counseling contain the Bazemore Admonition?
A
An MOC should not contain Bazemore, although this is at the
discretion of the commander
20
Q
What does “Minor discipline” consist of, and who does it apply to?
A
Minor discipline is a penalty consisting of a one to five working day(s) suspension or equivalent step-reduction in pay. Applies to Bargaining Unit 5 members only (officers and sergeants)
21
Q
Who can serve a Notice of Administrative Interrogation?
A
Usually given by memorandum from the employee’s commander, but may be delivered verbally under exigent circumstances.
HPM 10.2, p.2-9
22
Q
What is a PDH?
A
It is the process whereby a departmental employee and representative have the right to present material for which a notice of AA or RDP was served, prior to the penalty being imposed.
HPM 10.2, p.2-9
23
Q
What is the term used for the process intended to modify an employee’s behavior?
A
Progressive Discipline
HPM 10.2, p3-3
24
Q
Name the two types of counseling and describe the primary difference?
A
- Informal Counseling
- Formal Counseling
- Both are routine business communications and not subject to the grievance process, nor is the employee entitled to representation.
- Primary difference is documentation, after formal counseling the employee will receive documentation (CHP100 or MOC)
HPM 10.2 p 3-7
25
What are the three action steps used in Progressive Discipline?
1. **Preventative** Action
2. **Corrective** Action
3. **Adverse** Action
HPM 10.2 Chapter 3
26
1. What form is used at the division level to track internal investigations?
2. What's the retention period?
1. CHP 7E Internal Investigation Control Log
2. "5 years from the end of the calendar year"
HPM 10.2 p. 4-3
27
How often does the updated CHP7E have to be forwarded to the appropriate Assistant Commissioner and OIA?
Close of business every Thursday (excluding holidays)
HPM 10.2 p. 4-3
28
Area and Division Commanders shall ensure the investigation is forwarded to OIA within _____ *calendar* days from when?
1. **60 calendar** days
2. From the date **Area** becomes **aware** of the misconduct
HPM 10.2 p. 4-5
29
What are the two accepted methods for conducting a criminal investigation without negatively influencing the administrative investigation?
1. **Concurrent**-simultaneous
* Separate investigative teams but shared resources (gathering evidence, interviews, etc.)
* The administrative is completed quicker
2. **Consecutive**-criminal investigation is completed first and a decision is made by the prosecuting authority
* Precludes improper sharing of information
HPM 10.2 p. 4-6
30
If the Department is conducting the criminal investigation can we toll the 1 year time limitation?
**No**, (Andrew Ruiz SPB Case No 04-2391A)
31
Can a Department of Motor Vehicles document or criminal history regarding the subject employee be shared between the Administrative and Crimal investigators?
**Yes**
## Footnote
HPM 10.2 p.4-8
32
What penal code section pertains to the protection of personnel records?
**832.7(a)** Peace officer or custodial officer personnel records and records maintained by any state or local agency pursuant to Section 832.5, _or information obtained from these records_, are confidential and shall not be disclosed in any criminal or civil proceeding except by discovery pursuant to Sections 1043 and 1046 of the Evidence Code. (Pitchess)
## Footnote
HPM 10.2 p. 4-8
33
What is the retention period for the CHP 7E, Internal Investigation Control Log?
The CHP 7E shall be maintained at Division offices for a period of **five (5) years** from the end of the calendar year and in a location that ensures confidentiality.
HPM 10.2 p4-3
34
The assigned primary investigator shall be at least one rank higher than the highest ranking involved employee;
## Footnote
**True or False**
**True** with one exception-unless otherwise approved by the Division commander or appropriate Assistant Commissioner.
HPM 10.2 p 4-4
35
When assigning an investigator, can that investigator be a party or witness to the incident(s) in question?
To ensure impartiality, the assigned investigator **_shall not_** be a party or witness to the incident(s) in question.
HPM 10.2 p4-4
36
Area and Division commanders shall ensure the investigation is
forwarded to OIA within ____ (days) from when?
*(two part question)*
Area and Division commanders shall ensure the investigation is
forwarded to OIA within **_60 calendar 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 Assistant Commissioner to request an extension.*
HPM 10.2 p4-5
37
If an employee becomes aware that they are the subject to an investigation or inquiry of criminal misconduct by another law enforcement agency what are they require to do?
Are there any requirements for an employee who becomes aware that another employee is subject to an investigation or inquiry of criminal misconduct by another law enforcement agency?
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 criminal misconduct involving a member of the Department, **the employee shall immediately notify a supervisor or manager.** After notification, the commander shall notify OIA through proper channels.
HPM 10.2 p4-5
38
Are there any requirements of the commander to address the *subject* employee's welfare during the investigation?
Employees **_shall_** be informed of the availability of resources, such as Employee Assistance Program (EAP), at appropriate times during the
investigation.
HPM 10.2 p4-5
39
Is it acceptable to run a case involving an employee's potential criminal misconduct by the District Attorney without any prior notifications?
**_NO_**
Commanders **shall also notify**, through channels, the Office of the Commissioner **prior to any contact** with a prosecuting authority regarding potential criminal misconduct by any departmental employee. This specifically **includes informal or hypothetical** inquiries that do not disclose the employee’s name or alleged
offenses
HPM 10.2 4-6
40
If the investigation involves a criminal allegation what are the two options for proceeding with the investigation?
* **Concurrent**-*simultaneously conducted*
* Shared evidence
* Interviews done together
* *More efficient*
* **Consecutive**-Criminal investigation is completed prior to the administrative investigation being initiated
* More time consuming, may involve tolling
* Precludes any improper sharing of information
HPM 10.2 p4-6
41
What must a commander do to ensure coordination with criminal investigations done by allied agencies?
commanders **shall ensure** the agency is contacted to develop an appropriate course of action and ensure proper coordination between the allied agency, any prosecuting authority, and the
Department.
HPM 10.2 4-7
42
What does the commander have to ensure if the allied agency or prosecuting authority requests that the departmental investigation not be conducted?
OIA **_shall be consulted_** through channels. The OIA will coordinate a final decision with OLA. The time to complete the investigation may be tolled depending upon the circumstances surrounding the delay.
HPM 10.2 p 4-7
43
If an allied agency with primary investigative authority relinquishes or declines to conduct the investigation what does the commander do?
the involved employee’s commander **shall initiate the criminal investigation.** When the Department is completing the criminal investigation, the one (1) year time limitation as specified in Government Code § 3304 is _not tolled_ as it would when an allied agency is conducting the investigation.
HPM 10.2 p4-7
44
What are some considerations concerning interviews during joint (criminal/admininstrative) investigations?
It is acceptable, and in many cases desirable, for the criminal
and administrative investigators to either share statements (via summary memorandum or recording) or conduct joint interviews of witnesses.
Investigator notes: consider **compartmentalizing** the interviews where questions addressing policy violations are kept separate from the criminal line of questioning.
HPM 10.2 p 4-7
45
When should the criminal interrogation be conducted?
they **_shall be conducted prior_** to the administrative interrogation if involving the same employee and the same act(s).
HPM 10.2 p4-7
46
If a criminal interrogation is conducted and released to the administrative investigators is an administrative interrogation necessary?
an administrative interrogation is **not necessarily required** unless additional information is needed to reach a reasonable conclusion. The investigating and/or prosecuting authorities shall be consulted to ensure the criminal investigation will not be compromised. When the investigating and/or prosecuting authorities request an administrative interrogation be delayed or not conducted, the **OIA shall be consulted**, through channels, for guidance.
HPM 10.2 p4-7
47
Can the criminal investigator participate in the administrative interrogation?
criminal investigators **_shall not_** participate in administrative interrogations (although it may be permissible to assist in planning the interrogation).
HPM 10.2 p4-8
48
What evidence can be shared between the criminal and administrative investigators?
information gathered during either a criminal or administrative investigation may be included in the other investigation, as long
as it was gathered from a source that both administrative and criminal investigators would have had legal access; e.g., a DMV or criminal history could be collected once and shared between both investigations, but information gathered from an employee’s personnel file could not be provided to the criminal investigation
without proper legal process.
HPM 10.2 p4-8
49
Does the criminal investigation get included in the administrative investigation?
1. For **uniformed** employees, a copy of the criminal investigation and/or arrest record **shall be included** with the administrative investigation.
2. For **non-uniformed** employees, arrest reports which have not resulted in a conviction **cannot be included** in the investigative file (Labor Code § 432.7).
HPM 10.2 p4-8
50
Under what circumstances does the Department investigate criminal misconduct by Non-Uniform employees?
1. Any criminal misconduct which could lead to a **felony** conviction.
2. Any criminal misconduct constituting a misdemeanor involving **moral turpitude**.
3. Any criminal misconduct where the employee has established a **nexus** to the Department.
HPM 10.2 p4-9
51
What must be documented in the administrative investigation in reference to the decision to file criminal charges?
```
The decision (whether criminal charges are filed or rejected by the prosecuting authority) **shall be documented** in the administrative
investigation file, listing the name of the person authorizing or rejecting criminal prosecution, as well as the date the case was referred to the prosecuting authority.
```
HPM 10.2 p 4-9
52
Can the Department compel an employee to speak with outside investigators regarding a civil rights investigation?
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 employee_** (either as a witness to, or the subject of, an investigation).
HPM 10.2 p4-9
53
Is the employee afforded any representation by the Department during the interview of a civil rights investigation?
* If such an interview is conducted on state time, a departmental **supervisor shall be present**.
* To preserve the accuracy of the statements, interviews conducted on state time **shall be tape recorded**.
HPM 10.2 p4-9
54
Is the Department required to initiate an ***administrative*** ***investigation*** based on a complaint 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 merit to the complaint. Unless the complaint involves a violation of law (e.g., threat, retaliatory, other evidence of a crime), departmental resources **should not** be expended to determine the source of such complaints.
HPM 10.2 p4-10
55
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. What is the commander's responsibility?
The commander **shall** make an initial ***inquiry***. The inquiry shall attempt to determine the merits of the allegation(s).
HPM 10.2 p4-10
56
What are the commanders responsibilities for departmental employees assigned to special programs that remove them from direct departmental supervision (e.g., drug/vehicle theft task forces)?
However, it may prove more practical to coordinate the investigation and documentation of any investigations with the employee's special assignment supervisor. **Commanders shall** develop a MOU with the agencies involved in such assignments, detailing the procedures to be followed for internal investigations. **Commanders shall not** **abdicate** responsibility for conducting or determining the appropriate penalty if necessary in internal investigations involving departmental personnel.
HPM 10.2 p4-11
57
When allegations involve multiple employees assigned to different commands does each command initiate an investigation?
**_NO_**-A **single** Division, Area, section, or unit **shall** be appointed as the primary investigative command. The designation of the primary investigative command **shall** be coordinated with the Division commander or appropriate Assistant Commissioner, as necessary. Each employee **shall** have a separate internal investigation file prepared with its own investigation control number.
HPM 10.2 p4-11
58
Explain the 1 year time frame as dictated under GC3304
* The investigation must be completed within 1 year
* 1 year from the Department's discovery of the allegation by a person authorized to initiate an investigation (typically supervisor or above).
HPM 10.2 p4-12
59
GC3304 indicates the Department **must notify the employee** of it's proposed disciplinary action within the 1 year period **except** when?
*Hint: There are 8 exceptions*
1. The internal investigation cannot be completed due to a pending **criminal investigation** _by another law enforcement agency_ involving the subject employee
2. The **employee waives** the one-year time period in writing. Time shall be tolled for the time specified in the written waiver.
3. A reasonable extension is necessary to coordinate a **multi-jurisdictional investigation**
4. The investigation involves **more than one employee** and requires a reasonable extension
5. The investigation involves an **employee who is incapacitated or otherwise unavailable** (e.g., military leave, extended vacation). This includes medical “stay away” orders from treating physicians or psychologists
6. The investigation involves a matter of **civil litigation** and the employee is a defendant
7. The investigation involves a matter under criminal investigation and prosecution, and **the complainant is a criminal defendant**.
8. The investigation involves an allegation of workers’ compensation fraud by the employee
HPM 10.2 p4-12
60
An internal investigation of an employee may be reopened beyond the oneyear time period if ____________ circumstances exist?
Hint: Two
1. Significant **new evidence** has been discovered that is **likely to affect the outcome** of the investigation, and
2. One of the following conditions exists
1. The evidence _could not_ reasonably have been discovered without resorting to extraordinary measures by the Department.
2. The evidence resulted from the employee’s **predisciplinary hearing response or procedure**
HPM 10.2 p4-13
61
1. 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.
2. What are the 3 exceptions to the above time limit?
1. 3 Years
2. GC § 3300 et seq, adverse actions based on **fraud**, **embezzlement**, or **falsification of records** is valid provided the employee was served the notice of adverse action within one (1) year of the Department’s discovery of the misconduct.
HPM 10.2 p4-13
62
In accordance with GC § 19173, a probationary employee must be served with a notice of rejection during probation prior to?
Prior to the last day of the probationary period, _allowing time_ for the predisciplinary hearing.
HPM 10.2 p4-13
63
How does PC 135.5 protect the employee?
PC135.5-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 misdemeanor.
(Excluding or *concealing* exculpatory evidence from the investigation)
HPM 10.2 4-13
64
Is it always necessary to admonish the employee not to discuss the investigation at the conclusion of an interview or interrogation?
Departmental employees, upon receiving notification of an interview/interrogation (and at the conclusion of each
interview/interrogation), **shall be given a direct order** not to discuss their interview/interrogation with anyone other than their chosen representative or a supervisor/manager within their chain of command.
HPM 10.2 p4-14
65
What is necessary to write on all evidence?
Ensure all physical evidence is properly labeled as “**Confidential**” and chain of custody is maintained.
HPM 10.2 4-14
66
Can the Department release the employee's residence information or photographs to the media? Even if the employee is being criminally prosecuted?
The employee under investigation **shall not** be subjected to visits by the press or news media without the employee’s express consent, **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 residence information or photographs to the media, even if the employee is criminally prosecuted.
HPM 10.2 p4-14
67
Do you have to finish a Civilians Complaint if it becomes apparent that an adverse action is warranted?
Civilians’ complaint investigations **should** normally 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. In all cases, the civilian’s complaint investigation **will be an exhibit** in the administrative file.
HPM 10.2 4-14
68
1. Who authorizes a leave of absence (ATO)?
2. What does a leave of absence invoke for a uniformed employee?
1. The appropriate Assistant Commissioner
2. Removal of peace officer powers (POP)
HPM 10.2 p4-15
69
What are some examples of situations in which a leave of absence would be appropriate?
1. Employee is under investigation for a serious offense and **dismissal** or **rejection** during probation is probable.
2. Employee is accused of a serious **criminal offense** and is in custody for an extended period of time.
3. **After service** of a notice of adverse action for dismissal, rejection during probation or non-punitive action for termination.
4. The employee is a **highly disruptive influence** in the workplace or may interfere with the investigation. A temporary transfer to another command may be considered as an alternative(Contact OIA or OER for guidance).
HPM 10.2 p4-15
70
Who shall be notified once an employee is placed on a leave of absence?
1. OIA **shall** be notified by e-mail, OIA\_Notification@chp.ca.gov
2. A copy to Human Resources Section at PTU@chp.ca.gov
71
A leave of absence (ATO) notification **shall** contain\_\_\_\_?
1. Name, rank, and identification number
2. Assigned command
3. Date and time the employee was placed on the leave of absence.
4. Whether the leave of absence is paid or unpaid.
HPM 10.2 p4-15
72
If the leave of absence (ATO) extends past \_\_\_\_\_\_days CalHR approval is required.
**30 Calendar Days**
OIA shall immediately be informed (by electronic mail) when a Department-initiated leave ofabsence status changes or is removed.
HPM 10.2 p4-16
73
How soon shall an investigation be completed if an employee is on leave of absence without pay?
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 **15 calendar days**.
HPM 10.2 4-16
74
Who keeps the original *Notice of Leave of Absence*?
The **employee shall be provided the original** Notice of Leave
of Absence and both the **employee and person serving it shall sign**. Copies shall be retained for inclusion in the investigation file and the employee’s personnel file
If a photocopy is not available two copies shall be signed.
HPM 10.2 p4-16
75
All employees being placed on a leave of absence shall surrender what?
* all Department-issued identification and state building access cards/keys to a supervisor or manager
* Uniformed employees shall surrender all safety equipment
HPM 10.2 p4-17
76
How much notice is required to terminate an employee's leave of absence?
A Department-initiated leave of absence may be terminated at any time by providing the employee with **48 hours notice**. For uniformed employees, peace officer powers are simultaneously restored with the ending of the leave.
HPM 10.2 p4-17
77
Who approves the remove of peace officer's powers (POP)?
The appropriate Assistant Commissioner
HPM 10.2 p4-17
78
What are examples of situations in which removal of peace officer powers would be appropriate?
1. An employee is under investigation for a serious offense involving **misuse of position**, but dismissal or rejection during probation is not yet indicated.
2. An employee is the subject of a temporary restraining order, emergency protective order, or other **court action which prohibits possessing or carrying a firearm**.
3. An employee has been placed on medical leave for stress or other **psychological impairment** which indicates exercise of peace officer powers is not prudent.
HPM 10.2 p4-18
79
Does the Department collect state issued equipment for the removal of peace officer powers?
All peace officer employees having those powers removed **shall surrender** all Department-issued badges and officer safety equipment (incidental items, such as rain gear, need not be surrendered)
HPM 10.2 p4-18
80
Is a commander required to serve a notice of investigation to an employee under investigation?
Although such notice is **not required**, it articulates the importance of confidentiality and the sensitivity of the investigation. The notice specifically advises the employee of the existence of the investigation, the basic nature of the allegations, and **directs the employee not to discuss** the investigation with any member of the Department other than a representative and/or supervisor or manager in the employee’s chain of command
HPM 10.2 p4-19
81
If during the course of an investigation, allegations of discrimination, harassment, and/or racial profiling are discovered who **shall** be notified?
**Division** and the **Office of Equal Employment Opportunity (OEEO)**.
A separate investigation, conducted concurrently or consecutively with the internal investigation, may be initiated in accordance with HPM 10.12, *Equal Employment Opportunity Manual*
HPM 10.2 p4-19
82
If state equipment is lost or damaged and an internal investigation is warranted it is shall be conducted in accordance with\_\_\_\_?
HPM 10.2, *Internal Investigations Manual*
*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)*
HPM 10.2 p4-19
83
What manual defines absence without leave (AWOL)?
* HPM 10.3, *Personnel Transactions Manual*, Chapter 9, *Separations*
* AWOL is considered a "permanent separation" and an "automatic resignation"
HPM 10.3 p9-3
84
What constitutes an employee being absent without leave (AWOL)?
Employees are considered AWOL on any designated work day
they do not report for work, do not contact their commander, take time off even though their request for time off was disapproved, or do not return from a leave of absence and do not submit their resignation.
HPM 10.3 p9-6
85
How many days must an employee be Absent Without Leave (AWOL) before it's considered an automatic resignation?
Automatic resignation is the separation of an employee who is AWOL for **five or more consecutive working days**, whether the absence is voluntary or involuntary.
*The period of AWOL begins on the next scheduled shift following the last day the employee worked*
HPM 10.3 p9-6
86
If an internal investigation into potential misconduct had been initiated prior to the employee being terminated for AWOL does the investigation have to be completed?
The investigation **shall be completed** and documented in accordance with Chapter 7 of this manual, Investigative
Documentation.
HPM 10.2 p4-20
87
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. What direction shall the commander follow?
HPM 10.3, *Personnel Transactions Manual*, Chapter 9, *Separations*
When a permanent or probationary employee **fails to meet the conditions of employment**, the employee must be told to discontinue working. The Department may consider voluntary demotion, transfer or regular leave of absence until the employee meets the conditions, or the employee may wish to resign; otherwise, **the employee is terminated** under the provisions of GC Section 19585.
88
Does the investigator have to meet with the commander?
To assist the investigator, a preliminary meeting **shall be held** with the commander to outline the proposed scope of the investigation and formulate an investigative plan. As the investigation progresses, the commander and investigator **shall conduct** subsequent discussions to reevaluate and possibly modify the original plan.
HPM 10.2 p5-3
89
What is a 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.
HPM 10.2 p5-3
90
What are the minimum entries that **shall be included** in the chronological summary?
1. The circumstances under which the area became aware of the misconduct.
2. The assignment of an investigator(s) to the case.
3. Event date and approximate time, unless not applicable.
4. In the first entry they are mentioned, identify all individuals by rank, classification or title, first and last name, ID number, and assigned command.
5. Contacts with witnesses or other parties related to the case, whether in person or by telephone. This includes attempts to contact which were unsuccessful.
6. Interviews and interrogations. Identify all who were present, where the event took place, and where the recording is stored.
7. Briefly describe all evidence collected
8. A brief description of all exhibits which were collected, the relevance, and the location it is being retained will be documented. All exhibits in the investigation **shall be accounted for** in the chronological summary.
9. The chronological summary shall be completed by the investigator and include the following language as the final entry:
* “I have used all reasonable diligence in preparing this investigation. To the best of my knowledge, the information contained herein is a true and complete representation of my investigative efforts and includes all information.”*
HPM 10.2 p5-4
91
When the actions of the employee(s) **do not merit** adverse action or rejection during probation then what happens to the investigation?
the investigative file **shall be prepared** as a Miscellaneous Investigation
HPM 10.2 p5-6
92
Testimony, writings, material objects, or anything presented to the senses and offered to prove or disprove a fact shall be evaluated, collected, presreved and entered into evidence in accordance with\_\_\_\_\_\_\_\_\_\_?
HPM 70.1, *Evidence Manual*
HPM 10.2 p5-8
93
How is evidence documented in the internal investigation?
Items retained in the command’s evidence storage facility shall be noted as an **exhibit** by the inclusion of the CHP 36, Evidence/Property Receipt/Report.
Evidence collection should also be recorded in the **Chronological Summary**.
HPM 10.2 p5-8
94
What are included as Exhibits?
Exhibits include documents such as transcriptions, memoranda, copies of arrest reports, copies of policies and procedures, copies of photographs, etc
Exhibits **shall be** physically numbered or tabbed in the order specified in "List of Exhibits"
HPM 10.2 5-9
95
An employee history review **shall** be \_\_\_\_\_\_\_\_\_\_\_\_\_\_?
Employee history review shall be recorded in the chronological
summary.
HPM 10.2 5-9
96
If a Citizens Response Questionairre is utilized what must be done?
a list of recipients **shall** be included in the file and all responses from citizens **shall** be included in the investigative file.
HPM 10.2 5-9
97
What are the eight threshold incidents which allow for the review of MVARS?
1. Any incident in which a member of the Department is severely injured or killed during the performance of their duties.
2. Any incident involving the use of force by a member of the
Department, including canines, which result in the death or severe injury to a suspect or bystander.
3. Any in-custody death.
4. Any incident involving a patrol vehicle collision which results in death or severe injury to a party or both parties, other than a member of the Department, when the liability appears to be that of the Department.
5. Any pursuit involving departmental participation.
6. When any member of the Department intentionally or accidentally discharges a firearm at a person regardless whether an individual is struck.
7. When any member of the Department intentionally or accidentally discharges a Conductive Energy Weapon at a person who is
subsequently struck. This would include the application of a “drive stun.”
8. Any event causing a CHP 268, Potential Civil Litigation Report, or a STD 270, Vehicle Accident Report, to be prepared due to a severe injury to any party.
HPM 10.2 5-10
98
When can managers or supervisors review non-threshold events on MVARS?
1. Anytime an employee responsible for the MVARS event recording voluntarily agrees to the viewing.
2. Prior to the approved release of the recording outside the Department in response to a legal request (e.g., Public Records Act request, Information Practices Act request, formal or informal discovery request).
3. For the purposes of proving or disproving specific allegations of misconduct.
HPM 10.2 p5-11
99
When reviewing MVARS and misconduct is observed outside of the scope of the original viewing intent, can adverse action be taken for that misconduct?
Commander approval **shall** be obtained when issuing corrective action documentation (e.g., MOD or CHP 2) for misconduct unrelated to the incident at hand.
HPM 10.2 5-12
100
GC3308- employees **shall not** be required or requested for purposes of job assignment or other personnel action (e.g., adverse action) to disclose any item of personal property, income, assets, source of income, debts, or personal or domestic expenditures.
What are the exceptions to GC3308?
1. The privilege **does not apply** to information obtained or required under state law or proper legal procedure.
2. If the information tends to indicate a conflict of interest with
respect to the performance of the employee’s official duties, it **does not fall under the privilege**
HPM 10.2 p5-13
101
Can the investigator request copies of arrest reports for;
1. Peace officers?
2. Civilian employees?
1. Yes for peace officers
2. Only _after conviction_ for civilian employees
HPM 10.2 5-13
102
Can any materials from an EEO investigation be used in the administrative investigation?
Because of confidentiality and liability issues OEEO, OIA, and OLA shall be consulted first.
HPM 10.2 p5-13
103
Can the investigator use a polygraph or voice stress analyzer during the investigation?
Only with concurrence of the Commissioner
HPM 10.2 5-14
104
Is it necessary to research the version of the policy effective at the time of the misconduct?
**Yes**, 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
HPM 10.2 p5-14
105
Evidence pertaining to an administrative investigation shall be retained for a minimum of \_\_\_\_\_\_\_\_?
Evidence pertaining to an administrative investigation **shall be**
stored for a **minimum of five years** (beginning with the date the investigation is initiated or the life of the investigative file, whichever is longer.)
HPM 10.2 p5-15
106
Searches of employee's lockers can be done under what conditions?
1. In the involved employee’s presence.
2. With the involved employee’s consent.
3. After a valid search warrant has been obtained. If requesting a search warrant, the appropriate prosecuting authority should be consulted after notifying the appropriate Assistant Commissioner.
4. 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 p5-16
107
Can the investigator search the employee's brief cases, war bags, purses etc.?
**No**, the employee has a reasonable expectation of privacy for that particular container and/or the investigation does not involve work-related misconduct. In most instances, personal containers may not
be searched without a warrant or consent.
HPM 10.2 p5-16
108
Commanders who are contemplating the use of an administrative subpoena **shall** contact\_\_\_\_\_\_\_?
**OIA** through channels for direction.
HPM 10.2 5-16
109
Can statements made in an administrative interrogation be used to support a criminal investigation?
Statements obtained during administrative interrogations **shall not** be used to support a criminal investigation
HPM 10.2 p6-3
110
Where shall administrative interrogations be conducted?
In a private setting away from other personnel.
HPM 10.2 p6-3
111
What are employees admonished of at the conclusion of any interview or interrogation?
At the conclusion of each interview or interrogation, departmental employees shall be directed not to discuss its existence with any member of this Department, other than a chosen representative and/or supervisors and managers within the employee’s chain
of command
HPM 10.2 p6-3
112
Can the Department honor requests for confidentiality?
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 cannot be honored**
HPM 10.2 p6-4
113
In multiple employee investigations what technque can be used during the interviews and interrogations to ensure confidentiality?
Compartmentalization
HPM 10.2 6-4
114
Are statements from departmental employees who are interviewed as witnesses during the internal investigation recorded?
**All statements** from departmental employees who are interviewed as witnesses during internal investigations **shall be recorded**. Prior approval to record a statement need not be obtained. Questions regarding the inadvertent failure to record a statement (i.e., digital recorder fails) should be forwarded to the Office of Internal Affairs (OIA).
HPM 10.2 6-4
115
What if a non-departmental witness doesn't want to be recorded?
Statements obtained from non-departmental witnesses are to be recorded, **unless** the witness objects to the recording. In such instances, a **memorandum shall be prepared** by the investigator summarizing the statements,
HPM 10.2 6-4
116
Is it permitted by the _Department_ to surreptitiously record a witness?
In the interest of public confidence, the surreptitious recording/monitoring/eavesdropping of witnesses **should be limited** to those situations which indicate it is warranted. Questions regarding the appropriateness of using a recording, monitoring, or eavesdropping device should be directed to OIA to be resolved on a case-by-case basis.
HPM 10.2 6-4
117
During the administrative investigation is it permitted to surreptitiously record employees?
In accordance with Penal Code 630 et seq. and Rattray v. City of National City (51 F.3d 793), an investigator **shall not** surreptitiously record, monitor, or eavesdrop on a departmental employee unless it is part of a criminal 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 OIA.
HPM 10.2 p6-5
118
Who approves video recording of administrative interrogations?
Unless previously approved by the Office of the **Commissioner**, video recordings **shall not be made** of administrative interrogations
HPM 10.2 p6-5
119
How many copies are needed of digitally recorded interviews?
At least **two**; If a digital device is used to record an interrogation and/or interview, a copy of all recordings made shall be transferred to a compact disc and a copy of the disc shall be included with each copy of the investigative file (as an **exhibit**). A compact disc containing all interviews and/or interrogations **shall also** be booked into **evidence** in accordance with Highway Patrol Manual (HPM) 70.1, Evidence Manual.
HPM 10.2 p6-5
120
When is it necessary to summarize an interview or interrogation?
All interviews and criminal and/or administrative interrogations
**shall be either** summarized on a memorandum or transcribed. If an interview or interrogation is transcribed, it does not need to be summarized.
HPM 10.2 6-5
121
What **should** investigators adhere to when preparing summaries?
1. The summary must include all material presented. Do not prepare redacted or edited versions of summaries for use in specific investigation files.
2. Include direct quotes when needed to clarify an important point or when establishing or refuting a key issue.
3. Indicate who performed the summary.
4. Write in third person.
HPM 10.2 p6-6
122
Does a witness have to sign the memorandum summarizing their statement?
If not transcribed, witness statements **shall be summarized** on a
memorandum. The memorandum **shall contain a signature line** for the witness and investigator
HPM 10.2 p6-6
123
What recordings **shall** be transcribed?
For all **dismissal** cases, the **employee’s interrogation shall be** transcribed in its entirety
HPM 10.2 p6-6
124
Who is responsible for ensuring the accuracy of the transcription?
The assigned investigator(s) **shall be** responsible for ensuring
the accuracy of such transcriptions.
HPM 10.2 p6-6
125
Are there any special requirements for transcriptions?
1. Each **line will be numbered**.
2. The **name or initials** of each individual will be identified prior to the comment or statement. If an individual’s initials are utilized, the header of the first page will contain a list of names and their corresponding initials.
3. The transcriber should **remove superfluous information** such as verbal pauses (e.g., um, huh, ah) and material that is unintelligible must be marked as such in the transcript. The first page of the transcription shall contain the following statement: *The record reflects all relevant statements and conversations occurring during the course of the [insert interview or interrogation], but is not verbatim. For clarity, superfluous words, phrases, verbal pauses and/or inaudible tones have been eliminated.*
4. The name of the **person who was interrogated/interviewed** will be included in the footer of each page.
5. The name of the **individual who prepared** the transcription shall be identified on the transcription.
HPM 10.2 p6-7
126
Is the transcription required to be verified?
All transcripts **shall be verified** by an investigator. The verifying
investigator shall listen to the entire recording while simultaneously reviewing the transcript and correcting any errors, and shall indicate in the body of the transcript the verifying investigator’s name, ID, and date.
HPM 10.2 p6-7
127
Which version of the transcription gets booked into evidence?
The **original transcription**, prior to verification, **shall** also be booked into evidence in accordance with HPM 70.1 but _not included_ as an exhibit.
HPM 10.2 p6-7
128
All interviews, regardless of the exculpatory, incriminating, or benign nature of the information obtained, **shall be** _______ \_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_.
All interviews, regardless of the exculpatory, incriminating, or benign nature of the information obtained, **shall be** _included in the investigation_
HPM 10.2 p6-8
129
Interviews should be conducted in an order that begins with ___ \_\_\_ \_\_\_\_
Interviews _should_ be conducted in an order that begins with the least involved, or periphery, witnesses and works towards those with the most direct knowledge of the matter under investigation.
HPM 10.2 p6-8
130
Can the investigator interview witness via telephone?
**Yes,** Telephonic interviews can be a useful option for investigators when the interviewee is not readily available for an in person interview or for periphery witnesses who are not expected to provide substantive information.
HPM 10.2 p6-9
131
Prior to conducting an interview with an employee regarding potential _criminal_ acts, investigators **shall ___ \_\_\_ ___ \_\_\_\_?**
Prior to conducting an interview with an employee regarding potential criminal acts, investigators **shall** _issue a Miranda Warning._
HPM 10.2 p6-9
132
Do employees _not accused_ of misconduct have to cooperate with investigators?
Members of the Department not accused of misconduct are **obligated** to **fully cooperate** with investigators and have an affirmative duty to answer questions during internal investigations.
HPM 10.2 p6-9
133
Does a witness employee have the right to representation?
Employees are _not normally allowed_ representation during an investigative interview. 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 manager in the chain of command for guidance. In some instances, it may be necessary to conduct an administrative interrogation instead of an interview.
134
What happens when an employee refuses to be interviewed?
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 ordering the employee to comply. In such instances, it may be necessary to conduct an administrative interrogation instead of an interview.
HPM 10.2 p6-9
135
If, at any time during the interview, the investigator believes the employee is either admitting to _actionable_ misconduct or is engaging in misconduct through failure to cooperate, the interview ___ \_\_\_ ____ \_\_\_\_?
If, at any time during the interview, the investigator believes the employee is either admitting to _actionable_ misconduct or is engaging in misconduct through failure to cooperate, the interview **shall be** immediately stopped to protect the employee’s rights. An administrative interrogation may then be required.
HPM 10.2 p6-10
136
When an employee is subject to a criminal interrogation, the employee shall ____ \_\_\_\_\_ ____ \_\_\_\_\_?
When an employee is subject to a criminal interrogation, the employee shall be admonished of Miranda rights prior to any
questioning (Government Code § 3303[h]).
HPM 10.2 p6-12
137
Can an employee be represented during a criminal interrogation?
An employee **may 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 investigation, which could include victims, witnesses, or supervisors/managers within their immediate chain of command.
HPM 10.2 p6-12
138
If an allied agency wants to interview and employee, is the Department required to present the employee?
Employees **are required to be present** for a criminal interrogation; however, by law, the employee is **not obligated to answer** questions
or provide any information. The employee shall not be subjected to any departmental sanction for exercising these rights.
HPM 10.2 p6-12
139
If an employee waives their Miranda rights, can the administrative investigator observe the criminal 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
HPM 10.2 p6-13
140
Is it necessary in every investigation to conduct an administrative interrogation of the employee?
Interrogation of the employee is not necessary in all cases.
HPM 10.2 p6-13
141
Can an employee be interrogated multiple times if necessary?
Although it is not prohibited, subjecting an employee to multiple administrative interrogations regarding the same matter _should_ be avoided. Prior to an employee being the subject of additional administrative interrogations regarding the same subject area(s), the employee **shall** be given a copy of the recordings of all previous administrative interrogations, as well as the related transcripts from those interrogations if available. “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 p6-13
142
Prior to the administrative interrogation the interrogators should review what?
Prior to the interrogation, the interrogators should review and be familiar with the role of the representative and the employee’s rights pursuant to the Public Safety Officers Procedural Bill of Rights Act (POBR).
HPM 10.2 p6-15
143
The involved employee **shall** be provided official notice of interrogation covering the full scope of questioning. When does the notice have to be served?
In most instances, it is **reasonable** to provide the employee
**24 hours** notice prior to an interrogation. However, there may be time-sensitive investigations which require service less than 24 hours (or immediately prior to) the interrogation.
HPM 10.2 p6-16
144
Does mitigating evidence provided by the employee at the interrogation have to be included in the investigative file?
All information and/or evidence submitted by the employee **shall** be included in the internal investigation as an exhibit. Such information and/or evidence **shall** be given appropriate consideration by the investigators when determining the investigation findings.
HPM 10.2 p6-16
145
Can the employee be served a notice of interrogation verbally?
In rare circumstances, an employee may be unavailable for
personal service of the Notice. If this occurs, the employee **shall** be advised verbally. This fact shall be noted in the investigative file. Additionally, the employee’s representative should be notified of the verbal notice. Regardless of the verbal notification, the employee **shall** be served with a hard (printed) copy of the notice **prior** to the actual interrogation
HPM 10.2 p6-16
146
if employee or representative request disclosure of
evidence to be used in the interrogation how should the interrogator respond?
*“Pursuant to policy contained within HPM 10.2, Government Code Section 3303(g), and the decision rendered in Pasadena Police Officers Association v City of Pasadena, your request for disclosure of evidence is denied”*
HPM 10.2 p6-17
147
What does the investigator do if, prior to or during the interrogation, information is presented which suggests the employee subject to interrogation may be charged with a criminal offense?
If, prior to or during the interrogation, information is presented which suggests the employee subject to interrogation may be charged with a criminal offense, the employee **shall** be immediately informed of
Miranda rights.
HPM 10.2 p6-17
148
When should the administrative interrogation take place?
The interrogation **shall** be conducted at a **reasonable hour**, preferably when the employee is on duty, or during the
employee's normal waking 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 overtime.
HPM 10.2 p6-17
149
How long can an administrative interrogation last?
The interrogating session **shall** be for a **reasonable** period, taking into consideration the gravity and complexity of issues being
investigated. If the interrogation is lengthy, a reasonable number of breaks shall be granted (e.g., restroom, lunch period).
HPM 10.2 p6-17
150
When does the investigator read the CHP8?
The CHP 8 **shall** be read in its entirety **while being recorded**. The
investigator should complete any blank portions of the CHP 8 as it is being read and have all parties present sign it.
HPM 10.2 p6-17
151
How many interrogators can particpate in a single administrative interrogation?
All questions directed to the employee under investigation **shall** be
asked by and through **no more than two** interrogators at one time
HPM 10.2 p6-17
152
If things get heated in the adminstrative interrogation is it acceptable for the interrogators to use offensive language?
...the employee **shall not** be subjected to any offensive language or threatened with adverse action,...
HPM 10.2 p6-17
153
What happens when the employee refuses to answer questions during an adminstrative interrogation?
The employee **shall** be informed that failure to answer questions directly related to the investigation or interrogation may result in adverse action.
HPM 10.2 p6-17
154
Can the employee be promised a reward as an inducement for answering any question?
**No promise** of reward **shall** be made to an employee as an
inducement for answering any question. This includes a promise of
immunity from adverse action.
HPM 10.2 p6-18
155
Is the employee representative allowed to ask clarifying questions of the employee?
At the conclusion of the interrogation, the employee representative **shall be allowed** an opportunity to question the
employee to clarify facts, make clarifying statements, or suggest other employees who have knowledge of them.
HPM 10.2 p6-18
156
If the employee or representantive asks when the investigation will be finalized, what **shall** the investigator say?
If the employee (or representative) asks when the investigation will be concluded, they **shall be assured** it will be finalized as expeditiously as possible
HPM 10.2 p6-18
157
Does the investigator have to offer EAP at the conclusion of the administative interrogation?
At the conclusion of the interrogation, the investigator **should** advise the employee of the Department’s Employee Assistance Program (EAP), the services it offers, and, if applicable, provide the employee with a formal supervisory EAP referral. Investigators should also consider follow-up communications with the employee’s representative to ensure the employee’s well-being throughout the
investigation
HPM 10.2 p6-19
158
At the conclusion of the interrogation (but while still being recorded) the investigator **shall** advise the employee the investigation is
ongoing and **order** the employee not to discuss the interrogation or
investigation with anyone other than a chosen representative, attorney, commander (if not a party to the investigation), or investigators assigned to the case. How long does this confidentiality order last?
These direct orders will remain in effect until the employee is either **served** with a final Notice of Adverse Action, **or** the investigation is **concluded**.
HPM 10.2 p6-19
159
What does the investigator do with the digital recordings after the interrogation?
At the conclusion of the interrogation, the digital recording **should** be copied to a location which allows for transcription or summary.
A copy **shall** be saved to compact disc to be booked into evidence
(refer to HPM 70.1 for proper preservation of digital evidence). If applicable, the CHP 36, Evidence/Property Receipt/Report, **shall** be included as an **exhibit** in the investigative package.
HPM 10.2 p6-19
160
Can the investigator use written interrogatories instead of an in person interrogation?
Written interrogatories **should be used sparingly** and only at the **discretion of the Area or Division commander**. Circumstances:
* Simplistic allegations where there are only a few questions
* Employee is on leave, illness or injury and a medical condition which precludes an interrogation in person.
HPM 10.2 p6-20
161
Does the employee still have a right to representation for a written interrogatory?
...the employee **shall** be afforded the right to a representative. 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 words.
HPM 10.2 p6-20
162
Does the employee still get served with a CHP 8 when doing the written interrogatory in lieu of the physical interrogation?
So the employee has a full understanding of the employee’s rights, instructions for completing the CHP 8 are incorporated into the memorandum. It **shall** also be completed and attached.
HPM 10.2 p6-20
163
Can the written interrogatory be completed on a computer or does it have to be handwritten?
The employee **may** handwrite the answers **or**, if resources allow, utilize a computer and **sign/date at the bottom of each
printed page**.
HPM 10.2 p6-20
164
Does the Marital Privilege (IAW EC970-981) still apply when both spouses are employees?
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 uniformed members of the Department
HPM 10.2 p6-21
165
Investigations **shall** be typed and documented in the _____ person?
Investigations **shall** be typed and documented in the **third** person.
HPM 10.2 p7-3
166
If there are more entries than spaces on the CHP 7 what **should** the investigator do?
If there are more entries than spaces available in a given section, additional CHP 7 forms should be used for the additional information. _Only the control number and the employee identification information_, along with the information that necessitated the additional form are required on any subsequent
pages of the CHP 7.
HPM 10.2 p7-3
167
The Investigative Summary shall include what?
1. A description of the basic facts from the initiating incident or problem that caused the investigation to be initiated.
2. How and when the Department became aware of the initiating incident or problem.
3. Name of the commander initiating the investigation and date the investigation is initiated.
4. Description of any corresponding criminal investigation and disposition thereof.
5. Numerical list of the specific allegation(s) investigated
HPM 10.2 p7-3
168
In the "Findings" section, what follows the listed allegation and how is it formatted?
The heading is followed by a _separate listing of the allegation(s)_ specified in the investigative summary, with a finding of either “founded” or “unfounded” in **bold** after each allegation.
HPM 10.2 p7-4
169
If the allegation is _founded_, what is listed next?
If the allegation is founded, a listing of the applicable **Government
Code § 19572 violations** for that allegation (as supported by the
investigation) is included.
HPM 10.2 p7-4
170
If investigating a Rejection During Probation (RDP) what goes in place of the Government Code 19572 subsections?
When documenting this type of investigation, in place of the Government Code § 19572 subsections (which are not applicable), insert the following: “This action has been initiated in accordance with Government Code § 19173.”
HPM 10.2 p7-5
171
When documenting an investigation involving mangerial employees what replaces the Government Code 19572 sections?
When documenting this type of investigation, in place of the Government Code § 19572 subsections (which are not applicable), insert the following: “This action has been initiated in accordance with Government Code § 19590.”
HPM 10.2 p7-5
172
173
The list of exhibits **shall** be separated by _numerical tabs_ and **shall** include...?
1. One entry for the CHP 36, Evidence/Property Receipt/Report
2. Copies of documentary evidence
3. Compact disc with all digital recordings obtained during the
investigation
4. Crime reports and/or investigations
5. CHP 8, Administrative Interrogation Record, including notification memorandums
6. Notice of Leave of Absence With Pay
7. Copies departmental policy, Area SOP, sections of law or regulations, with relevant sections of the material highlighted
HPM 10.2 p7-6
174
An internal investigation and a rejection during probation investigative file **shall** be composed of what?
1. CHP 7, CHP 7A, CHP 7B
2. Narrative Sections:
1. Investigative Summary
2. Findings
3. Chronological Summary
4. Exhibits
HPM 10.2 p7-7
175
A Non-Punitive Termination investigative file is lacking which narrative section compared to the internal investigation?
There is no chronological summary required in the Non-Punitive Termination investigative file.
HPM 10.2 p7-8
176
A miscellaneous investigation file is lacking one form and a narrative section. Which ones?
The miscellaneous investigation investigative file does not require the **CHP7 B** or a **chronological summary**.
HPM 10.2 p7-8
177
A miscellaneous investigation **shall** include what as the final exhibit?
A miscellaneous investigation **shall** include, as the final exhibit, recommended closing documentation to the involved employee
HPM 10.2 p7-8
178
What are the only three types of closing documentation allowed in a miscellaneous investigation?
1. **Censurable CHP 2**, Incident Report. This is, by definition,
corrective in nature
2. **Memorandum of Direction**. This is, by definition, corrective in
nature.
3. **Memorandum of Findings**. Depending on the specific language, this may or may not be corrective in nature
HPM 10.2 p7-9
179
Government Code 3306 admonition is added in the closing documentation to a miscellaneous investigation. What right, under this section in POBR, is allowed to the employee?
the right to submit a written response within 30 days to any adverse comment entered into the employee’s personnel file, including a censurable CHP 2, Memorandum of Direction, or Memorandum of Findings. (The time limit may differ between bargaining units)
HPM 10.2 p7-9
180
What's required to happen with the Government Code 3306 response once received by the Department?
A copy of the employee’s response **shall** be attached to all copies of the investigation, including the copy retained by the Office of Internal Affairs (OIA).
HPM 10.2 p7-9
181
When an internal investigation originates as the result of information reported by another departmental employee, Is the reporting employee ever notified of the outcome?
**Yes**. However, if disciplinary action resulted from the
investigation, the employee should be apprised only that appropriate corrective action was taken.
This closing correspondence shall be prepared by the investigating command and provided to the reporting employee **within 30 calendar days** of the administrative investigation being approved.
HPM 10.2 p7-9
182
What does a commander have to do if they decide to seek dismissal in lieu of or in conjuction with rejection during probation?
Should a commander seek dismissal in lieu of or in conjunction with rejection during probation, **OIA shall be consulted** for guidelines in documentation and processing of the investigative file
HPM 10.2 p7-10
183
Can a probationary period be extended to allow additional time for completion of an internal investigation?
Probationary periods **cannot** be extended to allow additional
time for completion of the investigation.
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. Refer to HPM 10.3, Personnel Transactions Manual, Chapter 7, Probationary Periods.
HPM 10.2 p7-10
184
If an employee separates from the Deparment prior to the completion of the internal investigation does that impact the investigation?
An employee’s separation from the Department prior to the
completion of the internal investigation **shall not impact** the investigation and documentation level. If the misconduct meets the burden of proof for adverse action, rejection during probation, or non-punitive termination, the investigation shall be documented and processed accordingly
HPM 10.2 p7-10
185
When documenting prior adverse actions and civilians complaints on the CHP7B how far back can the investigator look?
prior adverse actions within **five (5) years**; citizens’ complaints with findings of sustained, undetermined/no finding, or unintentional error within **five (5) years**
HPM 10.2 p7-18
186
When documenting prior MOD's, CHP2's, CHP118's on the CHP7B how far back can the investigator look?
Memorandum of Direction, CHP 2, Incident Report – Censurable or Commendable, or CHP 118, Performance Appraisal **within three (3) years**
HPM 10.2 p7-18
187
Once Division reviews and approves the investigation, the command shall prepare four *copies* and distribute how?
* (2) Original plus one copy to OIA
* (1) One copy to Division (used for PDH)
* (1) One copy retained in commands master file
* (1) One copy retained by the command to be issued to the involved employee
HPM 10.2 p8-3
188
The appointing power, the Commissioner has delegated final approval authority for all administrative investigations to the Divison commander for what range?
* Formal written reprimand
* Suspension of 1-5 working days, or the equivalent monthly step reduction
HPM 10.2 p8-4
189
The appointing power, the Commissioner has delegated final approval authority for all administrative investigations to the respective Assistant Commissioner for what range?
* Suspension of 6-20 working days, or the equivalent monthly step reduction.
* Removal from a specialty pay position (Bargaining Unit 5 personnel)
HPM 10.2 p8-5
190
After review by the respective Assistant Commissioner (in the chain of command of the involved employee), the Commissioner or Deputy Commissioner is the final level of approval for?
1. Dismissal
2. Demotion
3. Suspension in excess of 20 working days, or the equivalent monthly step reduction
4. Rejection during probation
5. Non-punitive termination
HPM 10.2 p8-5
191
The effective date of the adverse action shall be no _less_ than ____ \_\_\_\_ days after the date of service of the notice?
Formal Written Reprimand and Suspension (Officers and Sergeants).
Enter the effective date(s) of the action based upon the following:
1. The effective date of the adverse action **shall** be no less than **25 calendar days** after the date of service of the notice.
HPM 10.2 p8-6
192
Suspensions shall be computed based upon an ___ \_\_\_\_\_\_ ___ ?
Suspensions shall be computed based on an **eight (8) hour shift**
within a **24-hour workday**. Those employees assigned to an
alternate work week (9/80, 4/10, or 3/12) will need to be placed on a
standard eight (8) hour shift for the duration of the suspension
HPM 10.2 p8-6
193
Suspensions day are to be scheduled \_\_\_\_\_\_?
Suspension days are to be scheduled **consecutively**, with no
regular days off (RDOs) or holidays during the suspension period.
Any RDOs for a given state pay period must be scheduled outside of
the suspension period. As such, for longer suspensions it may be
necessary to set the suspension period to occur over consecutive
pay periods.
HPM 10.2 p8-6
194
What the maximum number of suspensions days?
Suspension can be up to a maximum of **42 days**. Suspensions in excess of 42 days shall be coordinated by OIA and the Office of the Commissioner.
HPM 10.2 p8-6
195
Are suspension days counted as work days in respect to FLSA overtime?
Suspensions **shall not** result in Fair Labor Standards Act (FLSA)
overtime or positive excess hours. This is accomplished by setting
the suspension period such that the number of RDOs either before or after the suspension period satisfies the requirements for that
particular pay period (e.g., 8, 9 or 10 days). Since suspension days
are not counted as workdays, FLSA overtime will not be incurred no
matter how many RDOs are in a given FLSA period
HPM 10.2 p8-6
196
Whens do suspension _times_ begin and end?
Suspension times begin at the start of the employee's assigned
shift and end one (1) minute before that shift start time on the first
day after the suspension period (which may be an RDO).
HPM 10.2 p8-6
197
Who chooses the dates of the suspensions?
The dates of a suspension are at the discretion of the commander
in conjunction with the operational needs of the Department. Due to
the complexity of suspensions in excess of 20 days, OIA assistance
is recommended.
HPM 10.2 p8-6
198
How many _working days_ in a monthly pay period make a qualifying pay period?
An employee must have 11 or more working days (includes the
usage of leave credits, compensated time off) in a monthly pay
period to have a qualifying pay period.
HPM 10.2 p8-7
199
The time absent from the Department due to a suspension is considered what?
Since time absent due to a suspension is considered a **temporary separation** from the Department, the employee's next merit salary adjustment may be delayed and/or accrual of vacation, annual leave, and sick leave credits may be affected.
HPM 10.2 p8-7
200
An employee must have how many working days in a pay period to qualify for paid medical benefits?
An employee must have one (1) working day (includes the usage
of leave credits, compensated time off) in a monthly pay period to
qualify for paid medical benefits. Commanders shall make every
effort to ensure scheduled suspensions do not result in the loss of
paid medical benefits.
HPM 10.2 p8-7
201
The effective date for formal written reprimand and suspensions for non-uniformed employees can no less than __ \_\_\_\_\_ days?
For non-uniformed employees, excluding managers, the effective
date of the adverse action shall be no less than 25 calendar days fromthe date of service of the notice.
HPM 10.2 p8-7
202
The effective dates for formal written reprimands and suspensions for all managerial employees shall be no less than ___ \_\_\_\_ days?
For all managerial employees, the effective date of the adverse
action shall be no less than 20 calendar days from the date of service of the notice.
HPM 10.2 p8-7
203
An adverse action with a penalty of dismissal, a non-punitive termination, or rejection during probation shall become effective at 1700 hours on the date specified;
1. For non-uniformed employees except managers?
2. For uniformed employees except managers?
3. For managers?
1. For non-uniformed employees except managers, the effective date is **five (5) business days** after the last day of the PDH period.
2. For uniformed employees (except managers), the effective
date is **ten (10) business days** after the last day of the PDH
period.
3. For managers, the effective date is ten **(10) calendar days**
after the last day of the PDH period.
HPM 10.2 p8-9
204
An adverse action with a penalty of demotion shall become
effective at 1700 hours on a date at least _____ \_\_\_\_\_ days after the last day of the PDH period?
An adverse action with a penalty of demotion shall become
effective at 1700 hours on a date at least **15 calendar days** after the
last day of the PDH period.
HPM 10.2 p8-9
205
The employee and employee’s representative shall be granted _____ hours of state time to review the administrative investigation file and prepare a PDH response.
The employee and employee’s representative shall be granted four **(4) hours** of state time to review the administrative investigation file and prepare a PDH response.
HPM 10.2 p8-10
206
Per policy, the PDH period starts the day after the notice is served
and ends at 1700 hours ____ working days later for uniformed
employees, and\_\_\_\_\_working days later for non-uniformed
employees.
Per policy, the PDH period starts the day after the notice is served
and ends at 1700 hours **ten (10)** working days later for uniformed
employees, and **five (5)** working days later for non-uniformed
employees.
HPM 10.2 p8-10
207
Can the PDH time period be amended?
If a PDH officer is unavailable within a reasonable time period, the
period may need to be amended to allow more time.
HPM 10.2 8-11
208
How many days does the Department have to serve the employee after the decision to impose discipline?
All notices shall be served within **30 calendar days** of the Department’s decision to impose discipline, defined as when the
notice is approved by the Office of the Commissioner.
HPM 10.2 8-11
209
Can an employee be served their discipline if they are on vacation, injury status, military leave etc.?
Employees who are on vacation, on injury status, on military leave, etc., **may still be served** if the employee is physically available. In cases where the employee is unavailable for service, the Area commander or designee shall contact OIA for guidance.
HPM 10.2 8-11
210
What is the preferred method of service?
Whenever possible, the notice shall be personally served on the employee. Service should be made by a disinterested person who has not been actively involved in the investigation.
HPM 10.2 8-12
211
What's required to be given to the employee at the time of service?
* The original notice
* a copy of the entire file
* a copy of any recording(s) and/or transcription(s) made of the employee's interrogation(s) and/or witnesses’ statements.
HPM 10.2 8-12
212
Can the Department serve someone else on behalf of the employee?
A designated person, such as an attorney or labor representative can be served instead, but the involved employee must have provided prior written notification of such a designation.
HPM 10.2 8-12
