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HPM 10.2 Flashcards

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1
Q

What must employees do in response to lawful orders from a supervisor?

A

Employees must promptly obey any lawful orders or directives from a supervisor, manager, or officer-in-charge (OIC)

This includes orders from superiors conveyed by employees of the same or lesser rank.

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2
Q

What should an employee do if they receive a conflicting order?

A

The employee must respectfully call the conflict to the attention of the supervisor giving the last order

If the last order is not changed or rescinded, the employee must obey it.

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3
Q

What may happen if an employee disobeys a lawful order?

A

The employee may be subject to disciplinary action

This applies to both verbal and written orders.

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4
Q

What must managers and supervisors ensure during administrative investigations?

A

They must ensure all investigations are conducted in compliance with the provisions of POBR and protect the rights of employees.

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5
Q

What should commanders require staff to review during administrative investigations?

A

Commanders should require staff to review Chapter 11, Public Safety Officers Procedural Bill of Rights Act.

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6
Q

When must a supervisor notify the next level in the chain of command regarding alleged misconduct?

A

Notification must be made as soon as it is practical, if serious misconduct immediately

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7
Q

What happens upon a commander’s knowledge of serious employee misconduct?

A

The commander shall notify their Division Chief and initiate an internal investigation with concurrence

An investigation control number will be assigned, initiating a one-year timeframe pursuant to GC Section 3304.

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8
Q

What must the Division do within three business days of initiating an internal investigation?

A

The Division must notify the appropriate Assistant Commissioner and the Office of Internal Affairs (OIA).

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9
Q

What does PC Section 13510.9 require the Department to notify POST about?

A

The Department must notify POST within ten days about:
* Termination or separation of any peace officer
* Any serious misconduct complaint against a peace officer
* Final disposition of investigations related to peace officer conduct
* Any civil judgment or court finding against a peace officer.

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10
Q

Define ‘Serious Misconduct’ as per Penal Code Section 13510.8.

A

Serious misconduct includes:
* Dishonesty
* Abuse of Power
* Physical Abuse
* Sexual Assault
* Demonstrating Bias
* Acts that violate the law
* Law enforcement Gang
* Failure to cooperate
* Failure to intercede.

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11
Q

What is an Internal Investigation?

A

An official inquiry into alleged misconduct by a departmental employee(s) which may lead to administrative action.

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12
Q

What are the four possible outcomes of an administrative investigation?

A

The outcomes are:
* Adverse Action
* Rejection During Probation
* Miscellaneous Investigation
* Nonpunitive Termination.

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13
Q

What constitutes ‘Adverse Action’?

A

Adverse Action is a disciplinary legal action taken in response to an employee’s misconduct, including:
* Formal written reprimand
* Suspension
* Reduction in salary
* Demotion
* Involuntary transfer
* Dismissal.

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14
Q

What is required to establish a nexus to employment for misconduct investigations?

A

There must be a connection between the misconduct and the individual’s employment with the Department.

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15
Q

When does misconduct by uniformed employees warrant investigation?

A

All criminal acts, whether on or off-duty, warrant investigation.

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16
Q

What defines ‘Dishonesty’ under Penal Code Section 13510.8?

A

Dishonesty relates to false statements, filing false reports, tampering with evidence, and perjury.

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17
Q

What does ‘Abuse of Power’ include?

A

Abuse of Power includes intimidating witnesses and knowingly making a false arrest.

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18
Q

What is defined as ‘Physical Abuse’?

A

Physical Abuse includes excessive or unreasonable use of force.

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19
Q

What does ‘Sexual Assault’ entail according to Penal Code Section 13510.8?

A

Sexual Assault involves initiating a sexual act with a member of the public through force, threat, or coercion.

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20
Q

What is meant by ‘Demonstrating Bias’?

A

Demonstrating Bias occurs when a peace officer violates law or department policy based on a person’s protected status.

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21
Q

What constitutes ‘Failure to Cooperate’?

A

Failure to cooperate is the failure to assist in an investigation into potential police misconduct.

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22
Q

What is ‘Failure to Intercede’?

A

Failure to Intercede occurs when a peace officer does not act against another officer using excessive force.

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23
Q

What is a Notice of Administrative Interrogation?

A

A notice given to an employee prior to an administrative interrogation detailing the nature of the interrogation and rights.

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24
Q

What does a Notice of Adverse Action notify an employee about?

A

It notifies the employee of the adverse action being taken for specified acts of misconduct.

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25
What is the purpose of a Notice of Internal Investigation?
It formally advises an employee that they are under investigation and outlines directives regarding the investigation.
26
What is the Public Safety Officers Procedural Bill of Rights Act?
The POBR Act establishes due process rights and protections for peace officers in California.
27
What is 'Tolling' in relation to the POBR Act?
Tolling refers to the suspension of the one-year limitation period for imposing punitive action during a criminal investigation.
28
What is the purpose of Progressive Discipline?
Progressive discipline is intended to modify an employee’s behavior through instruction and training.
29
What is the time limit for serving notice of adverse action against a state employee under GC Section 19635?
Three years after the cause of discipline first arose ## Footnote Adverse action based on fraud, embezzlement, or falsification is valid if served within three years after discovery.
30
What is the primary purpose of progressive discipline?
To modify an employee’s behavior and provide tools to meet performance standards.
31
What are the key responsibilities of supervisors and managers regarding employee expectations?
* Ensure employees are informed of expectations * Recognize employees meeting or exceeding standards
32
What should a commander determine when an employee’s performance does not meet expectations?
If the employee has been provided with adequate training or notice of performance expectations.
33
What is the goal of interim reporting in the progressive discipline process?
To provide the employee with tools and assistance to bring performance to an acceptable level.
34
What are preventative actions in the context of employee performance?
* Training * Defined Expectations * Workplace Communication * Routine Assessment * Supervision * Employee Assistance Program
35
What is the goal of corrective actions?
To bring the employee's performance to an acceptable level and prevent continued misconduct.
36
When should a formal request for adverse action be initiated?
If the employee does not respond to preventive and/or corrective actions or if the misconduct is severe.
37
What is required for notification when initiating an internal investigation? Division does this
Notification within three business days to the appropriate Assistant Commissioner and Internal Affairs Section.
38
What is the purpose of the CHP 7E, Internal Investigation Control Log?
To track internal investigations and update relevant parties on case status.
39
How long must the CHP 7E be maintained?
Five years from the end of the calendar year.
40
What is the primary responsibility of commanders in the internal investigation process?
To oversee the internal investigation process at the command and Division level.
41
What should investigators avoid to ensure impartiality in internal investigations?
Being a party or witness to the incident in question.
42
What should be done if a commander discovers an employee has been arrested?
Notify their Division commander, the Office of the Commissioner, and the Internal Affairs Section immediately.
43
What is required when an employee discovers a law enforcement agency is investigating them?
Notify a supervisor or manager immediately.
44
What are the two accepted methods for conducting an administrative investigation?
* Concurrent Investigation * Consecutive Investigation
45
What is the advantage of conducting a concurrent investigation?
The administrative investigation can be completed in an expeditious manner.
46
What prohibits the sharing of certain information from a criminal investigation involving nonuniformed employees?
Labor Code Section 432.7.
47
What should be done if allegations of misconduct are submitted anonymously?
An inquiry should verify the validity of the allegation before proceeding with a formal investigation.
48
What is the one-year time frame for conducting an adverse action investigation? When does it begin
One year from the discovery of employee misconduct.
49
Under what circumstances can the one-year time frame for adverse action be tolled?
* Criminal investigation by allied agency * Civil litigation pending * Workers’ compensation fraud allegations
50
What is necessary for reopening an internal investigation beyond one year?
Significant new evidence that could affect the outcome.
51
What exceptions allow misconduct to be investigated beyond three years under GC Section 19635?
* Fraud * Embezzlement * Falsification of records
52
What are the three exceptions to the rule regarding disciplinary hearings as per Government Code Section 19635?
Misconduct involving fraud, embezzlement, or falsification of records ## Footnote These exceptions allow for misconduct to be addressed even if it occurred beyond three years.
53
How many days prior to the last day of the probationary period must a probationary employee be served with a notice of Rejection During Probation?
10 to 15 days ## Footnote This notice is required to allow time for a pre-disciplinary hearing.
54
What is the required action within 60 calendar days regarding investigations?
Forward the investigation to the IAS ## Footnote Timeliness should not compromise the thoroughness of the investigation.
55
What must be ensured to maintain confidentiality during an investigation?
Conduct discussions in private locations and limit information shared with witnesses ## Footnote Employees should be instructed not to discuss the investigation except with authorized individuals.
56
True or False: An employee under investigation can be visited by the press without their consent.
False ## Footnote Media coverage is restricted and requires employee consent.
57
What happens to an employee's schedule when placed on Administrative Time Off (ATO)?
It reverts to an eight-hour schedule ## Footnote Normal schedule can resume after the next pay period post-ATO.
58
What is required if an employee's ATO extends beyond 30 calendar days?
CalHR approval is required ## Footnote This applies to administrative time off beyond the specified duration.
59
What form is used for Notice of Administrative Time Off With Pay?
CHP 51WP ## Footnote This form also indicates the removal of peace officer powers.
60
Fill in the blank: ATO Without Pay must be served within _______ calendar days after placing an employee on unpaid ATO.
15 ## Footnote If not served within this timeframe, the ATO will revert to pay status.
61
What must employees surrender when placed on ATO?
Department-issued ID, state building access cards/keys, badges, firearms, and officer safety equipment ## Footnote Incidental items like rain gear do not need to be surrendered.
62
What does the Notice of Removal of Peace Officer Powers relieve an employee of?
All duties, powers, and rights authorized by PC Section 830.2 ## Footnote This includes carrying a concealed firearm and entering Department facilities.
63
What must be done if an employee loses or damages state property?
Review the employee's bargaining unit memorandum of understanding ## Footnote Options may include reimbursement or using leave credits.
64
What is a nonpunitive termination?
Termination for failing to meet minimum qualifications without punitive measures ## Footnote Examples include failing training or having a suspended/revoked driver's license.
65
What should be done if an employee expresses a desire to return to previous state employment during probation?
Utilize expedited Rejection During Probation (RDP) process ## Footnote This applies if the employee has not had a break in state service.
66
What should be included in the initial steps of an investigation?
Begin Chronological Summary, Conduct Public Safety Officers Procedural Bill of Rights/Policy Review, Outside Resources ## Footnote These steps set the foundation for the investigation.
67
What does Labor Code § 432.7 allow regarding peace officer’s records (does not apply to non-uniform)?
Request copies of records pertaining to their arrest or detention prior to conviction ## Footnote This is not applicable to civilian employees.
68
What conditions must be met for searching an employee's locker or storage?
Conducted in the employee's presence, with consent, or after a valid search warrant ## Footnote Notification to the employee should be made prior to the search.
69
What is the time frame for providing notice to an employee before an administrative interrogation?
Three business days ## Footnote Exceptions may apply for time-sensitive investigations.
70
What is required before conducting a criminal interrogation?
Employee notification is not required ## Footnote However, employees are entitled to legal counsel per the U.S. Constitution.
71
What must be done if an employee is interrogated about misconduct?
The interview shall be stopped if they admit to actionable misconduct ## Footnote This protects the employee's rights.
72
What types of recordings are to be used as part of an administrative interrogation?
MVARS, BWC, and SCS recordings ## Footnote MVARS refers to Mobile Video Audio Recording System, BWC refers to Body Worn Camera, and SCS refers to Security Camera System.
73
Are employees allowed to keep a copy of the recordings before the administrative investigation is completed?
No, a copy shall not be provided prior to the completion of the administrative investigation.
74
What does marital privilege exempt a married person from?
Testifying against their spouse in any proceeding.
75
Does marital privilege apply to administrative investigations regarding peace officer misconduct where both individuals are departmental employees?
No, it does not apply.
76
What is created for submission to the Internal Affairs Section (IAS) during an investigation?
A digital draft of the investigative file.
77
What type of disciplinary actions can the Assistant Commissioner impose?
Formal Written Reprimand, Suspension of one (1) to 20 working days, Removal from specialty pay position.
78
What disciplinary actions can the Commissioner impose?
* Suspensions in excess of 20 working days * Demotion * Dismissal * Rejection During Probation * Non-Punitive Termination
79
How are suspension days scheduled?
Consecutively, with no regular days off or holidays during the suspension period.
80
What is the maximum duration for suspensions?
42 days.
81
When does the predisciplinary hearing (PDH) period start?
The first business day after the Notice is served at 0800 hours.
82
What should an employee do to receive a redacted copy of the investigative file after an adverse action?
Sign a Release of Miscellaneous Investigation File memorandum.
83
What does the predisciplinary hearing allow an employee to do?
Respond prior to the effective date of an adverse action.
84
Can employees use leave credits to serve an adverse action penalty?
Yes, but requires specific authorization.
85
What is the limitation on using leave credits for suspensions of five days or less?
Employees may use leave credits to satisfy the entire suspension period.
86
What happens if an employee is absent for five or more consecutive working days?
It results in an automatic resignation from state service (AWOL).
87
What is the purpose of the Stipulated Adverse Action Process (SAAP)?
To expeditiously resolve employee discipline issues.
88
What conditions must be met for the SAAP to be utilized?
The facts must be straightforward and undisputed.
89
What must an employee do as part of the SAAP regarding their misconduct?
Accept responsibility and waive all appeal rights.
90
What documentation serves as the employee's waiver for the SAAP?
CHP 7S, Stipulated Adverse Action.
91
What happens if an employee disagrees with the terms of the CHP 7S?
The standard administrative investigation process will be followed.
92
What must be done if misconduct does not rise to the level of Adverse Action during the SAAP?
Complete the investigation as a miscellaneous investigation.
93
Preventative actions within progressive discipline
Defined expectations Workplace communication Routine assesment Supervision Training.
94
Progressive discipline Corrective actions
The goal of written or verbal corrective action is to bring the employees performance to an acceptable level, and to prevent continued misconduct or poor performance.
95
What are “other” complaints
Frivolous Departmental Rescinded Citation validity
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