HPM 10.2 Internal Investigations Manual

Question 1

What is the purpose of the internal investigations manual?

Answer 1

To establish policy, and to provide supervisors clear guidelines on internal investigations where adverse action or rejection during probation appears warranted.

Question 2

When shall internal investigations be undertaken?

Answer 2

All instances of alleged misconduct by department employees, and when appropriate , adverse action or rejection during probation.

Question 3

Who has the Department extended the protections of the POBR?

Answer 3

All departmental employees, except cadets.

Question 4

Who has final approval authority for all adverse action penalties?

Answer 4

The Commissioner.

Question 5

What level of review do Division Commanders handle?

Answer 5

Formal written reprimand up to, and including, five day suspensions.

Question 6

What level of review does AC Field handle?

Answer 6

Six through 2-day suspensions, or removal of BU 5 personnel from specialty pay positions.

Question 7

What level of review does AC Staff handle?

Answer 7

Six through 2-day suspensions for headquarters personnel, and rejections during probation for cadets.

Question 8

What level of review do the Commissioner and Deputy Commissioner handle?

Answer 8

Final review for all suspensions in excess of 2 days, dismissals, demotions, and rejections during probation.

Question 9

What is the purpose of the Dismissal Review Panel?

Answer 9

To determine if allegations of an employee warrant dismissal. Recommendations are submitted to the Commissioner prior to final decision.

Question 10

Who investigates adverse actions or rejections during probation, which allege misconduct of cadets?

Answer 10

BIA.

Question 11

Who investigates adverse actions or rejections during probation, for performance related deficiencies?

Answer 11

Personnel and Training Division.

Question 12

What are the two primary functions of the BIA Investigation Unit?

Answer 12

Conducting internal investigations. Investigating possible worker’s comp fraud.

Question 13

What is required prior to requesting assistance from the BIA Investigation Unit?

Answer 13

Permission through channels to the appropriate Asst. Commissioner.

Question 14

What is the definition of adverse action?

Answer 14

Dismissal, demotion, suspension, or other disciplinary action.

Question 15

What is not included in the definition of adverse action?

Answer 15

Censurable Incident Report (CHP 2). Memorandum of Correction. Memorandum of findings. Other documentation of supervisory counseling.

Question 16

What is part of the initial selection process for the various ranks and classifications within the Department?

Answer 16

Probationary period.

Question 17

What can the appointing power reject a probationer for?

Answer 17

Reasons relating to the probationer’s qualifications, the good of the service, or failure to demonstrate merit, efficiency, fitness, and moral responsibility.

Question 18

Under what circumstances would a commander consider relieving the employee from his or her duties?

Answer 18

When dismissal or rejection during probation is probable.

Question 19

Under what circumstances would an employee generally be put on leave of absence with pay?

Answer 19

If the employee is under investigation for a serious offense, or is deemed to be in the best interest of the Department or employee.

Question 20

A commander may terminate the leave by giving how much notice to the employee in writing?

Answer 20

48 hours.

Question 21

May a commander remove peace officer powers from a uniformed employee?

Answer 21

Yes, with approval through channels from the appropriate Assistant Commissioner.

Question 22

What is done when an employee voluntarily resigns in lieu of adverse action or rejection during probation?

Answer 22

The investigation will be completed and sent to BIA where it will be included in the employees personnel file.

Question 23

May a manager or supervisor exert undue influence, or subject employees to duress, to obtain a resignation?

Answer 23

No

Question 24

Can an employee be forced to wait prior to submitting his resignation?

Answer 24

No, it is the employee’s right to resign immediately.

Question 25

When an employee indicates an intention to resign due to an alleged act of misconduct or substandard performance, what should the supervisor do?

Answer 25

Suggest employee to seek advice (union rep., attorney). Give employee reasonable time to consult with an advisor and reach a final decision. Let the employee resign immediately.

Question 26

What is the definition of internal investigation?

Answer 26

An inquiry by the departmental personnel concerning alleged misconduct or substandard performance that may lead to adverse action.

Question 27

When can an internal investigation be initiated?

Answer 27

Complaint. Departmental knowledge. Any other source of info.

Question 28

What is the objective of internal investigations?

Answer 28

Gather facts which will either clear the employee, provide a basis for corrective action, or lead to adverse action.

Question 29

Who is handles the internal investigation when it involves employees assigned to different commands?

Answer 29

The appropriate Division commander or Assistant Commissioner may designate a primary investigator; however, all commands should provide a representative to assist.

Question 30

What rank must a primary investigator be?

Answer 30

At least one rank higher than the involved employee.

Question 31

What is required of an employee if he/she finds out that another agency is conducting any investigation involving departmental personnel (including the employee subject to the investigation)?

Answer 31

Shall immediately notify their commander, this does not apply to infractions.

Question 32

How shall an investigator conduct an investigation?

Answer 32

In an ethical and professional manner.

Question 33

How many photos are required to be used on a photo lineup?

Answer 33

6

Question 34

When should witnesses be interviewed?

Answer 34

Immediately after the investigation is initiated.

Question 35

What should be done for a witness that requests confidentiality?

Answer 35

Witness information should be placed in an envelope marked “confidential”, and retained by the original command. The witness’ name shall be omitted from all investigative files.

Question 36

Where is the witness information documented in an internal investigation?

Answer 36

CHP 7, Subject/Witness Summary.

Question 37

In serious cases, what should be done with witness statements?

Answer 37

They shall be tape recorded.

Question 38

Can investigators demand any tape recordings made by uniformed employees associated with an alleged event?

Answer 38

Yes, employees can be instructed, under penalty of insubordination, to provide tape the recordings.

Question 39

When an employees bills are requested to complete an investigation, the employee will be directed to do what with the bill?

Answer 39

Remove all references to monetary amounts billed, charged, or paid. The employee will need to certify that the documents are copies of the actual records.

Question 40

What shall an investigator do if they need to obtain documents from other than departmental sources and the employee and/or custodian of records refuses to supply the documents?

Answer 40

The investigator should consider obtaining a subpoena duces tecum to compel production of the desired documents.

Question 41

Can investigators demand that employees take a polygraph test?

Answer 41

No, but they may request it.

Question 42

Can an employee’s refusal to submit to a polygraph test be used against him?

Answer 42

No, adverse comments or other record may be made.

Question 43

Who must approve the use of a polygraph test?

Answer 43

The Commissioner.

Question 44

All searches and seizures conducted by the investigator must comply with what?

Answer 44

POBR and related case law.

Question 45

Are employee interrogations required in all internal investigations?

Answer 45

No.

Question 46

What shall be read to an employee prior to interrogation?

Answer 46

The administrative side of the CHP 8.

Question 47

When should employee interrogations take place?

Answer 47

After gathering all other available information.

Question 48

Must an employee be given advanced notice of an interrogation?

Answer 48

Yes, normally done by memorandum, but may be verbal.

Question 49

What can the employee being interrogated or their representative be allowed to bring to an interrogation.

Answer 49

Their own tape recorder.

Question 50

What interrogations are investigators required to record?

Answer 50

All complete interrogations shall be recorded.

Question 51

When shall interrogations be fully transcribed?

Answer 51

For all dismissal cases and those involving serious allegations.

Question 52

What shall be done if during an investigation of alleged misconduct it is revealed that the employee may have committed a criminal offense?

Answer 52

The applicable authorities (PD, SO) shall be contacted to develop an appropriate course of action.

Question 53

When an adverse action involves a criminal act, when is the criminal investigation conducted?

Answer 53

First, so the allied agency report may be used by the Department as a starting point in the administrative interrogation.

Question 54

What happens when alleged misconduct of an employee reveals a criminal offense may have been committed and the crime is within the investigative responsibility of the Department, or the responsible agency refuses to investigate?

Answer 54

Separate criminal and administrative files shall be completed.

Question 55

If during a criminal investigation the employee refuses to waive his rights, an administrative interrogation should not be conducted until after approval is obtained from the prosecuting authority. If criminal charges are possible, who shall the investigator obtain approval from before contacting the prosecuting authority?

Answer 55

The Office of the Commissioner.

Question 56

Are civil rights violations criminal or civil in nature?

Answer 56

Criminal.

Question 57

What guidelines apply if employees are requested to be interviewed by investigators pursuant to a civil rights violation?

Answer 57

The decision to consent to the interview is up to the employee. Is such an interview is conducted on state time, a departmental supervisor will be present. To preserve the accuracy of the statements, interviews conducted on state time will be tape recorded.

Question 58

Administrative actions resulting from substandard performance shall include what documentation?

Answer 58

Documentation showing the employee repeatedly failed to improve after being advised that his substandard performance must be brought up to an acceptable level. Each corrective interview. Comparisons of others performing tasks under similar conditions. Training results.

Question 59

What is an internal investigation which does not result in a recommendation for adverse action or rejection during probation.

Answer 59

A miscellaneous investigation.

Question 60

Who is a misc. investigation forwarded to?

Answer 60

BIA.

Question 61

How long is a misc. investigation retained by the area?

Answer 61

3 years, except in instances where the employee resigns during the investigation.

Question 62

Does the employee get a closing memorandum at the conclusion of a misc. investigation?

Answer 62

Yes, but only after routing through BIA and approval by appropriate Asst. Commissioner, or the Office of the Commissioner.

Question 63

What additional rights are provided to employees during the internal investigation process?

Answer 63

The POBR and applicable collective bargaining agreements.

Question 64

As written by the legislature, who is protected by the POBR?

Answer 64

All peace officers as defined in 83.1 and 83.2(a)(b) PC, and all state employees designated as peace officers.

Question 65

Who does the Department extend the protection of the POBR?

Answer 65

The POBR is extended to all departmental employees, except cadets.

Question 66

What code is the POBR found in?

Answer 66

The Government Code.

Question 67

Can an employee, on duty or in uniform, be prohibited from engaging, or be coerced or required to engage in political activity?

Answer 67

No.

Question 68

According to the POBR, what is the definition of punitive action?

Answer 68

Any action which may lead to dismissal, demotion, suspension, reduction in salary, written reprimand, or transfer for purposes of punishment.

Question 69

Per POBR, if an interrogation takes place during the employee’s off-duty time what is the employee entitled to?

Answer 69

Overtime.

Question 70

Per POBR, what information is an employee subject to interrogation required to be given prior to the commencement of interrogation?

Answer 70

The name, rank, and command of the person in charge of the interrogation, interrogators, and all persons to be present.

Question 71

Per POBR and Department policy, how many interrogators are allowed at one time?

Answer 71

Two.

Question 72

Per POBR, is the employee entitled to be told the nature of the investigation prior to its commencement?

Answer 72

Yes, the employee shall be told prior to the interrogation.

Question 73

Per POBR, when may an employee be threatened with adverse action during the interrogation?

Answer 73

When the employee refuses to respond to questioning, they may be advised that failure to answer could result in adverse action for insubordination.

Question 74

Per POBR, what type of promise are interrogators prohibited from making?

Answer 74

Promise of reward or immunity from adverse action.

Question 75

Per POBR, under what condition may the identity, address, or photograph of an employee under investigation be given to the media?

Answer 75

Only with the employees consent.

Question 76

Per POBR, what is an employee entitled to if a subsequent interrogation is scheduled?

Answer 76

A copy of the prior tape-recording, transcribed notes, and reports or complaints made by investigators or other persons, except confidential info.

Question 77

Per POBR, what happens to an employee that requests pre-interrogation discovery of notes, reports, complaints, etc.?

Answer 77

It will be denied.

Question 78

Per POBR, what shall the investigator do if prior to or during an interrogation of the employee, it is deemed that he may be charged with a criminal offense?

Answer 78

Immediately informed of Miranda rights.

Question 79

Per POBR, upon filing of a formal written statement of charges, or whenever an interrogation focuses on matters which are likely to result in an adverse action, what does the employee have the right to do?

Answer 79

Request representation during the interview.

Question 80

Per POBR, when is an employee not entitled to representation?

Answer 80

In the normal course of duty. Counseling. Instruction. CHP form 2s. Informal verbal admonishment. Other routine or unplanned contact with a supervisor. During an investigation concerned solely and directly with alleged criminal activities.

Question 81

Per POBR, is the representative required to be a passive observer?

Answer 81

No, they must be afforded some opportunity to participate in the interview.

Question 82

Per POBR, Does the interrogator have the duty to bargain with the representative?

Answer 82

No

Question 83

Per POBR, can an employee be reassigned to a location or duties that are not within the normal scope of their employment?

Answer 83

No.

Question 84

Per POBR, may an employee refuse to cooperate with other agencies involved in criminal investigations?

Answer 84

If directed by the commander, employees shall cooperate with other agencies. Refusal could be insubordination. This does not apply if the employee is suspected in the alleged crime.

Question 85

Per POBR, how long does an employee have to file a written response to any adverse comment entered in his personnel file?

Answer 85

3 days.

Question 86

Per POBR, what are the two exceptions that allow investigators to require employees to disclose items of his/her property, income, assets, source of income, debts, or personal or domestic expenditures.

Answer 86

If obtained or required under state law or proper legal procedure tends to indicate a conflict of interest with respect to the performance of his official duties. When necessary for the employing agency to ascertain the desirability of assigning the employee to a specialized unit in which bribes there is a strong possibility that bribes or other improper inducements may be offered.

Question 87

Per POBR, under what conditions may an employee have his assigned locker, or other place for storage searched?

Answer 87

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

Question 88

Per POBR, may briefcases in a state owned or leased locker be searched?

Answer 88

A warrant should be obtained where there is an expectation of privacy for a specific container.

Question 89

Per Department policy, when does an employee have a right to representation?

Answer 89

When a meeting is held with an employee and his superiors for the purpose of eliciting information to support an adverse action.

Question 90

If the employee requests a representative during non-investigatory meetings where there is no right to representation what should he be told?

Answer 90

There is no right to representation. If they refuse to be interviewed they shall be informed why there is no right to representation and that he will be subject to disciplinary action.

Question 91

Who can the employee’s representative be?

Answer 91

Can be someone other than designated union representative, but shall not be in the employee’s immediate chain of command.

Question 92

What is the primary role of an employee representative?

Answer 92

To assure compliance with the rights of the employee.

Question 93

Can an employee representative be asked to leave an interrogation?

Answer 93

Yes, if the representative is disruptive and the interrogator had re-admonished the representative of the limits of his role.

Question 94

Can an employee representative make a closing statement at an employee interrogation?

Answer 94

Yes, a brief statement.

Question 95

Do attorneys have more authority or rights than a representative at an interrogation?

Answer 95

No, same a representative.

Question 96

At the conclusions of the interrogation, who can the employee representative question?

Answer 96

The employee.

Question 97

How are alleged violations of POBR initiated by uniformed members?

Answer 97

By legal action in Superior Court.

Question 98

How are alleged violations of POBR initiated by non-uniformed members?

Answer 98

By the grievance procedure to the third level (Office of the Commissioner).

Question 99

What option does a BU 5 employee have if they lose or damage departmentally issued equipment?

Answer 99

Can reimburse the Department for the lost or damaged item at current replacement or repair cost.

Question 100

Can adverse actions be brought against a BU 5 employee that loses or damages state equipment if he agrees to reimbursement?

Answer 100

No

Question 101

How many days prior to any adverse action, rejection during probation, termination, or transfer between classes of an employee for medical reasons must the appointing power provide the employee with written notice of the proposed action?

Answer 101

At least five days (1 days for managerial employees).

Question 102

How many different internal investigation formats are there?

Answer 102

Two, the full format and the short format.

Question 103

When should the short format be used?

Answer 103

For investigations within the approval range of the Division Commander (five days off or less)

Question 104

Who prepares the final Notice of Adverse Action and Rejections During Probation?

Answer 104

BIA.

Question 105

What is the Problem Summary in regard to the short format and the full format?

Answer 105

A statement which sets forth all of the acts of misconduct or substandard performance.

Question 106

Rejections during probation for acts of misconduct shall be prepared in what format?

Answer 106

The same format as an adverse action.

Question 107

Once the investigation is complete, the initiating command will send one indexed copy of the investigative file to where?

Answer 107

The next level of command for approval.

Question 108

How long shall adverse actions be retained for?

Answer 108

Five years from the effective date of the action taken.

Question 109

Who prepares all final Notices of Adverse Action and Rejection During Probation?

Answer 109

BIA

Question 110

What is the Departments definition of a minor adverse action?

Answer 110

An action which requests a penalty of five days or less or a step reduction in salary for five months or less.

Question 111

How are suspensions for employees on an alternate schedule computed?

Answer 111

All suspensions are based on a 24-hour day, and eight hour work day.

Question 112

The time between the employee’s receipt of the final Notice of Adverse Action and the date of the predisciplinary hearing (formerly Skelly hearing) shall be a minimum of how many days?

Answer 112

5 (1 for managerial)

Question 113

What is an employee require to do with their state issued property when they are suspended or removed from service?

Answer 113

Surrender all state property.

Question 114

How can an employee who was the subject of a miscellaneous investigation get a copy of the investigation file?

Answer 114

Pursuant to a written request.

Question 115

What is the purpose of the predisciplinary or rejection hearing?

Answer 115

Allows the affected employee with an opportunity to respond prior to the implementation of the discipline.

Question 116

Who normally serves as the predisciplinary hearing officer?

Answer 116

At a minimum, the Division commander or a designated Asst. Chief.

Question 117

What is the role of the predisciplinary hearing officer?

Answer 117

To serve as an unbiased, non-involved reviewer of the proposed action.

Question 118

What four issues are to be addressed by the predisciplinary hearing officer?

Answer 118

Was the alleged offense committed? Was the employee responsible, or did they commit the offense? Is the assessed penalty appropriate? Were any new issues raised which are mitigating or merit further investigation?

Question 119

Does the Service of the Notice of Rejection During Probation need to be made prior to the conclusion of the probationary period?

Answer 119

Yes.

Question 120

Is a Rejection During Probation constitute and adverse action?

Answer 120

No.

Question 121

Are probationary employee’s granted the same rights as permanent employees?

Answer 121

Yes, except cadets.

Question 122

What is the filing deadline for an appeal of an adverse action with the State Personnel Board?

Answer 122

No later than 3 calendar days after service of the adverse action.

Question 123

What is the filing deadline for an appeal of a Rejection During Probation with the State Personnel Board?

Answer 123

No later than 15 calendar days after the effective date.

Question 124

What is the case coordinator responsible for?

Answer 124

Takes an active role in the appeal process by ensuring the matter is properly prepared for hearing.

Question 125

What happens if the appellant fails to appear at their State Personnel Board hearing?

Answer 125

Shall be deemed a withdrawal of appeal, and the decision of the Department becomes final.

Question 126

Who is authorized to approve settlements and/or stipulated agreements?

Answer 126

Office of the Commissioner.

Question 127

Are adverse action investigation files part of an employee’s personnel file?

Answer 127

Yes.

Question 128

Any release of employee information should be coordinated through what unit?

Answer 128

Legal Coordination Unit and BIA

Question 129

Are miscellaneous investigations subject to public disclosure?

Answer 129

No.

Question 130

When can a final Notice of Adverse Action be released to the public?

Answer 130

After service is made on the affected employee and the notice is filed with SPB.

Question 131

What bargaining unit has a separate appeals process for minor discipline issues?

Answer 131

BU 5.

Question 132

What internal investigation format is used for minor disciplinary actions?

Answer 132

Short format.

Question 133

What is the imposition of penalty timeline for minor discipline issues?

Answer 133

No earlier than 25 calendar days from the date of service of the final Notice of Adverse Action.

Question 134

How long does an employee have to request a review of the minor discipline after the final notice of minor discipline is served?

Answer 134

Within 1 calendar days.

Question 135

Is the predisciplinary hearing officer required to provide a written decision to the employee?

Answer 135

Yes.

Question 136

How much time does a predisciplinary hearing officer have to respond to an employees written response?

Answer 136

Within 14 calendar days.

Question 137

How much time does a predisciplinary hearing officer have to respond to an employees verbal response?

Answer 137

Within seven calendar days.

Question 138

What happens if the predisciplinary hearing officer rescinds the penalty of a minor discipline adverse action?

Answer 138

It is converted to a miscellaneous investigation.

Question 139

What can the union do if the employee is not satisfied with the decision of the predisciplinary hearing officer?

Answer 139

The union can submit a written request for arbitration within 14 calendar days to BIA.

Question 140

Who chooses the arbitrator?

Answer 140

The union and the Department jointly choose the arbitrator from a predetermined panel.

Question 141

Who is the departmental representative at an arbitration hearing?

Answer 141

The applicable Division Chief will select one of the following: Manager of supervisor who complete internal investigation. Division manager or supervisor who reviewed the request for adverse action. A representative from BIA.

Question 142

Are witnesses allowed to testify at an arbitration hearing?

Answer 142

No, only the departmental representative, the union representative, and the employee.

Question 143

How many days before the arbitration hearing are the CAHP and BIA required to provide each other with a copy of their documents?

Answer 143

No less than 4 days prior to the arbitration.

Question 144

How much time does the arbitrator have to make a decision?

Answer 144

Within two calendar days from the time of the hearing.

Question 145

Is the decision of the arbitrator final?

Answer 145

Yes.

Question 146

Use of leave credits to discharge a minor discipline penalty will not be approved within how many days prior to the scheduled arbitration hearing?

Answer 146

With 3 days prior.

Question 147

How can an officer appeal the predisciplinary hearing officer over a written reprimand?

Answer 147

The union may submit a written appeal to the Commissioner within 14 calendar days of the predisciplinary hearing.

Question 148

How much time does the Commissioner have to respond to the written reprimand appeal?

Answer 148

14 calendar days.

Question 149

Who participates in the dismissal review panel?

Answer 149

It is a panel of five Department employees from a different division than the employee’s. Two members of the panel shall be the same rank as the employee. The balance of the panel consists of three employees of ascending rank, higher than the rank of the employee. The commander of BIA should act as chairperson.

Question 150

Are the decisions of the dismissal review panel binding?

Answer 150

No, the Commissioner retains final authority.

Question 151

When can an employee use leave credits to satisfy 1 % of their penalty involving suspension or step reduction?

Answer 151

An adverse action in the Division commander’s range (five day suspension or less).

Question 152

Can the employees request to use leave credits be denied?

Answer 152

A penalty in the Division commander’s range will be granted without dispute and the employee shall waive all rights to appeal.

Question 153

If the employee is subject to an adverse action involving penalties above the Division Commander’s range, can they use leave credits to satisfy their penalty?

Answer 153

They may use leave credits to satisfy up to 5% of the penalty and shall waive all rights to appeal. In most cases these will be granted without dispute.

Question 154

When must the written request to use leave credits be submitted by?

Answer 154

Prior to the conclusion of the predisciplinary hearing response period.