HPM 10.2 (b) Internal Investigations Manual Flashcards
Who does the POBR apply to?
All permanent departmental peace officers. The Department has extended POBR rights to all employees except cadets.
Who has the final authority for up to, and including 5-day suspensions, or the equivalent number of monthly step reductions in salary for non-managerial employees.
Divisions.
Who has the final authority of six through 2-day suspensions, the equivalent number of monthly step reductions in salary or removal of bargaining Unit 5 personnel from specialty pay positions for field personnel?
Assistant Commissioner - Field.
Who has the final authority for review and approval of all actions recommending a penalty of six through 2-day suspensions, the equivalent number of monthly step reductions in salary for headquarters personnel and rejections during probation for cadets?
Assistant Commissioner – Staff.
Who is the final level of review for all suspensions in excess of 2 days, or the equivalent number of monthly step reductions, dismissals, demotions and rejections during probations – except rejections of cadet?
The Commissioner or Deputy Commissioner.
What is a Dismissal Review Panel?
If requested, it is a panel which reviews actions where dismissal is the recommended penalty. They determine if the allegation merit dismissal or a lesser punishment.
What is an adverse action?
Dismissal, demotion, suspension or other disciplinary action. It does not include censurable Form 2’s, MOD or other supervisory counseling.
Who is authorized to initiate an adverse action with the concurrence of the next level of command?
Any Commander or designee.
Who is authorized to initiate rejection during probation with the concurrence of the next level of command?
Any Commander or designee.
The Department must notify the Department of Personnel Administration (DPA) when an employee is placed on a Leave of Absence With Pay exceeding how many days?
Five.
Who makes that notification to DPA?
BIA.
BIA must receive approval from DPA for a Leave of Absence With Pay exceeding how many days?
3
Who has the authority to remove an officer’s peace officers power?
The appropriate Assistant Commissioner.
If an employee submits his/her resignation during probation and is under investigation for an adverse action or rejection during probation, does the investigation still need to be completed?
Yes.
If an employee is ready to retire or separate due to an injury, should an internal investigation be stopped?
No, a disciplinary action shall not be influenced by either factors.
When the commander of an employee determines an investigation is necessary, the commander shall send a brief Comm-Net, fax or e-mail to Division. Division is then required to inform whom?
IAS.
Within how many days are area and Division commanders required to forward an investigation to IAS?
6 days but can obtain an extension from the appropriate Assistant Commissioner.
How often are areas required to update Divisions on the status of ongoing investigations?
On the first of each month.
How often are Divisions required to update IAS on the status of ongoing investigations?
Prior to the 5th of each month.
During an investigation, the Commander shall ensure the primary investigator is at least one rank higher than the involved employee. Who is authorized to allow a deviation of this policy?
The Division Commander.
Whenever any employee of the Department learns that another agency is conducting any investigation involving departmental personnel, he/she shall immediately notify who?
His or her Commander.
Who is the Commander to notify?
IAS.
During an investigation when should witness be interviewed?
Immediately after the investigation is initiated.
Should witness interviews be done over the phone?
No, usually in person.
Can the Department allow a witness to remain “confidential”?
Yes, they shall be referred to as confidential witness #1, etc.
All original physical evidence gathered during an investigation shall be booked into evidence and shall be documented on what form?
CHP 36.
When a request is made for personal phone records, what information shall be removed?
All monitory amounts billed or charged. (Pursuant to 338 GC).
Is an investigator allowed to request a polygraph examination for a Departmental employee?
Yes, approval must be obtained prior by the Office of the Commissioner and it is voluntary. If the employee refuses, no adverse comments or other record may be made.
Should an interrogation of an employee be done before or after the gathering of all other available information?
After.
When should the administrative side of the CHP 89 be read to an employee.
When it is a matter which could lead to an adverse action.
Does an interrogation have to be recorded.
Yes, it shall be recorded.
Can an interrogated employee also record the interview?
Yes.
If a criminal and administrative investigation are conducted at the same time, should the criminal investigator assist with the administrative investigation?
No, shall not.
If administrative action is the result of continued substandard performance, documentation shall be included showing the employee repeatedly failed to improve after being advised his/hers performance was substandard and must be brought up to acceptable levels. This may be accomplished how?
By referring to: Performance records, memorandums, corrective interviews by supervisors, comparison to others with performing like tasks under similar conditions, additional training.
Internal investigations, which do not result in a recommendation for adverse action or rejection during probation, shall be documented as what?
A miscellaneous investigation.
For a miscellaneous investigation, how long shall a copy be retained at the area level?
Three years - unless the employee resigns during the investigation.
If, during the course of an investigation, allegations of discrimination, harassment, and/or racial profiling may be made or discovered, who is to be notified?
His/her commander. Division commander. EEOS. OOI. IAS.
Who is protected by the POBR?
All peace officers. Departmental policy covers all employees.
Punitive action is defined as what?
Action which may lead to dismissal, demotion, suspension, reduction in salary, written reprimand or transfer.
During an interrogation regarding matters, which could lead to adverse action, the interrogation shall be conducted under the following conditions.
Reasonable hour, when the employee would be on duty. Timely. Prior to interrogation, employee shall be informed of the rank, name and commands of all persons present. Shall be done in private. All questions shall be asked and directed by no more than two interrogators at one time. Employee shall be informed of the nature of the investigation. Employee shall be given breaks for necessities, lunch, misc. Employee shall not be subject to offensive language or threats. No promise of reward or immunity. Not subject to the media without his/her consent. Tape-recorded. Employee shall be entitled to a transcribed copy of any notes, unless deemed confidential. If, during the interrogation, it is deemed he/she may be charged with a criminal offense, Miranda rights shall be read. The interrogated employee has the right to be represented.
Should an employee be temporarily reassigned to a location or duty not within the normal scope of their employment?
No.
Can an employee have any comment adverse to his/her interest in his/her personnel file without knowing of it?
No, the employee is required to read and sign all documents. If an employee refuses to sign the document then the supervisor shall make the refusal notation and sign it together with a witness.
How long does an employee have to file a written response to any adverse comment entered in his/her personnel file?
3 calendar days.
Is an employee compelled to submit to a polygraph examination?
No and no disciplinary action or other recrimation shall be taken.
Is an employee required to complete a financial disclosure?
No, only where it is permitted by state law or if the employee is assigned to a specialized unit in which there is a strong possibility that bribes or other improper inducements may be offered.
What are the conditions an employees locker can be searched?
In his/her presence. With his/her consent. Valid search warrant. Where an employee has been notified that a search will be conducted.
When a meeting is held with an employee and his/her superiors for the purpose for eliciting information to support adverse action, does an employee have the right to representation?
Yes.
Can an employees representative, other that a designated union representative, be in that employees chain of command.
No, shall not.
Is the representative required to be passive?
No, but not disruptive or adversarial.
What is to be done if a representative is disruptive?
Admonishment from the CHP 8 and threat of possible removal.
If there is a suspected violation of the POBR where can a uniformed employee and a non uniformed employee initiate legal action?
Uniformed employee – Superior Court. Non-uniformed – a grievance procedure to the third level (Office of the commissioner).
If there is a violation of the POBR, who in the Department will coordinate with the Attorney General’s Office to determine potential courses of action?
Internal affairs.
Whenever a Bargaining Unit 5 employee loses or damages departmentally issued safety and police protective equipment, what may the employee do.
Reimburse the state for the item.
The “Skelly Rule” or “Skelly Decision” provides an employee with a pre-disciplinary opportunity to respond to proposed adverse action or rejection during probation. How may days does an employee get prior to receiving notice of the proposed action?
5 days.
How about for a managerial employee?
1 days.
In preparation for an adverse action there are two formats, what are they?
Short format and a long format.
When would the short format be used?
Loss of state equipment when repayment will not be sought. First preventable property-damage-only collision. Accidental discharge of a departmental weapon without injury or gross negligence. Single, minor incident of discourtesy or lack of service with no significant consequence. An occurrence of improper CLET’s usage. Other minor acts of misconduct which result in a penalty recommendation of 5 days of or less.
What are the headers or the layout for a full format adverse action?
Table of contents. Preliminary Notice of Adverse Action. Problem summary. Charges. Response. Recommendations. Work history (includes prior adverse actions and form 2’s). Additional items. CHP 7. Chronological Summary. Exhibits.
How does the layout of the short format differ from the layout of the long format?
The elimination of the Chronological Summary. Expanded use of the CHP 7 to replace some exhibits.
How should a rejection for acts of misconduct be prepared for rejection during probation?
The same as an adverse action.
Who prepares all final notices of Adverse Action and Rejections During Probation?
BIA.
With the exception of dismissals and rejections, the effective date of the adverse action should not be less than how many days form the date of service?
25 calendar days.
Suspensions shall be computed on what basis?
24-hours a day, 8 hour work day. Based on the employees current schedule.
When a legal holiday falls within a period of suspension, how is it to be counted?
As a regular work day for uniformed and a legal holiday for non-uniformed employees.
An employee must be allowed how many days between service of the final notice of an adverse action and the predisciplinary hearing days to respond to the Hearing Officer?
A minimum of 5 days.
In accordance with Government Code Section 1959, managerial employees must be notified how may days prior to the effective date of the adverse action and allowed how many days to respond to the Predisciplinary Hearing Officer?
2 days and 1 days.
