HPM 10.2 Internal Investigations - Quiz 1 Flashcards Preview

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6. Who gives the final approval for removing an employee from a specialty pay position?

D) Appropriate Assistant Commissioner

6. D 10.2, 2-10


10) A commander (Should, Shall, May) accept a resignation submitted voluntarily by an employee against whom an internal investigation is pending. The commander shall provide the employee with a Response to Voluntary Resignation.

10) Shall (10.2, 10-4)


6. What are the six penalty types for adverse actions?

1) Formal written reprimand
2) Salary reduction
3) Suspension
4) Involuntary transfer
5) Demotion
6) Dismissal


5. Within the progressive discipline process there is the “Wheel of Discipline / Motivation”. Which if the following is NOT an option on the Wheel of Discipline/Motivation?

A) Verbal Counseling
B)Interim Reporting
C)Denial of Salary Adjustment
D)Involuntary Transfer
E)Adverse Action
F)Censurable CHP 2

D (Chapter 3, page 3-4)


2. Does the Department extend POBR to other employee classes other than peace officers?

2. yes, (all others except cadets)


4. During the interrogation, the employee has the right to representation by a person of the employee’s choosing.
True or False

4. True 10.2, 2-5


10. If so desired an employee must file an appeal of an adverse action with SPB Appeals Division within __________ after the effective date of the Notice of Adverse Action.

B) 30 Days

10) B (Chapter 9, page 9-12)


3. When a departmental supervisor or manager is notified of or discovers alleged misconduct on the part of an employee, notification to the next level in the chain of command ______ be made as soon as it is practical.

C) Shall


Informal Counseling is considered a routine business communication and, therefore, is not subject to the grievance process, nor is the employee entitled to representation. True or False

8. True 10.2, 3-6


4. What may be initiated when an employee’s actions or performance are substandard?

4. The progressive discipline process


(5) It is the Commander’s Responsibility to notify what State agency when an employee is placed on a Department-initiated leave of absence? Such notification is coordinated by the OIA.

5) California Department of Human Resources (CalHR) (10.2, 4-15)


9) In cases involving a formal written reprimand and suspension of an Officer or Sergeant, the effective date of the adverse action shall be no less than how many days after the date of service of the notice?

9) 25 calendar days (10.2, 8-6)


10. When an employee is subject to a criminal interrogation, the employee _____be admonished of Miranda rights prior to any questioning (Government Code § 3303[h]).

C. Shall

10. C 10.2, 6-12


7. Although not disciplinary, interim reporting may be included in the progressive discipline wheel when substandard performance is an issue. The goal of interim reporting is to:

A. Provide the employee with tools and assistance to bring their performance to an acceptable level.

7. A 10.2, 3-4


1. What code do the representational rights known as the Peace Officer Bill of Rights (POBR) come from?

1. California Government Code (sections 3300 and subsequent)


3) According to HPM 10.2, Managers, supervisors, or other authorized personnel may only review non-threshold event video recordings (MVARS) under what circumstances?

3) Employee responsible for the MVARS event voluntarily agrees.
Prior to the approved release due to a legal request
Proving or disproving specific allegations of misconduct.


5. Is an employee entitled to representation during a formal counseling session?

5. No, (it is considered a routine business communication)


8. How long does the Department have to undertake adverse action against an employee once an alleged misconduct has been discovered?

8. One year, (except under certain circumstances)


2. A copy of an internal investigation file which resulted in a formal reprimand shall be retained at the Area level for _______ years, except when the employee resigns.

2) 5 years (Chapter 8, page 8-15)


8. Evidence pertaining to an administrative investigation shall be stored for a minimum of?

B) 5 Years

B (Chapter 5, page 5-15)


5. Absence for _____ 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.

C) 5

5. C 10.2, 2-5


9. Evidence pertaining to an administrative investigation shall be stored for a minimum of?

B. 5 years

9. B 10.2, 5-15


1) According to HPM 10.2, the case management process is designed to allow the Area commander to track the status of the investigation. Once the investigation has been completed at the Area level, associated forms shall be removed from the investigative package and retained. Once removed, where are these case management forms retained?

1) At the Area level (HPM 10.2, 12-4)


10. In most instances, it is reasonable to provide the employee ___ hours notice prior to an administrative interrogation.

10. 24


8) Commanders contemplating the rejection of an employee should closely monitor the employee’s probation hours and/or days required to complete probation. 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 what three things?

8) The investigation,
The approval process
Service on the employee (10.2, 7-10)


7. An internal investigation shall be completed and forwarded to OIA within ____ days.

7. 60


1. An Adverse Action is disciplinary legal action taken in response to an employee’s misconduct or continued failure to meet the rules of conduct established by law and/or departmental policy. The potential penalties are?

1) 1) Formal written reprimand (2) Suspension (3) Reduction in salary
(4) Demotion (5) Involuntary transfer and (6) Dismissal
(Chapter 2, page 2-3)


7) During the course of an internal investigation, a commander requires the telephone and Internet records belonging to the employee. What is the legal document most commonly used to compel the production of such records?

7) Administrative subpoena duces tecum (10.2, 5-16)


6) The commander shall ensure the investigation of an employee on a Department-initiated leave of absence is given the highest priority and completed as expeditiously as possible. 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 how many days?

6) 15 calendar days (10.2, 4-16)


7. Allegations involving potential criminal misconduct by a non-uniformed employee shall be administratively investigated under which of the following circumstances?

A) Any criminal misconduct which could lead to a felony conviction.
B) Any criminal misconduct constituting a misdemeanor involving moral turpitude.
C) Any Criminal misconduct where the employee has established a nexus to the Department.
D) All of the above.
E) A and C only.

D) All of the above.

7) D (Chapter 4, page 4-9)