HPM 10.2 Chapters 5-7

Question 1

1. The principal goal of all internal investigations is to identify all of the regarding allegations of misconduct or substandard performance.

Answer 1

Objectively, Facts (p. 5-3, 1)

Question 2

2. For each allegation of misconduct or substandard performance, what are the three things an investigator must examine/determine?

Answer 2

If the alleged act(s) or omissions actually occurred

What the employee specifically violated (government code, policy, etc.)

What prior knowledge did the employee have that such conduct was not acceptable (p. 5-3, 1, a, b, c)

Question 3

3. Each investigation is unique and is directed by the allegations, facts, and evidence. This material must be systematically , , and . To assist the investigator, a preliminary meeting be held with the commander to outline the proposed scope of the investigation and formulate an investigative plan.

Answer 3

Gathered, Verified, Documented, Shall (p. 5-3, 2)

Question 4

4. A is a detailed accounting of all actions taken and evidence obtained from the time Area became aware of the misconduct until the investigation was completed. A comprehensive will document case progress and can prove invaluable for other investigators who may be assigned to the investigation.

Answer 4

Chronological Summary, Chronological Summary (p. 5-3, 3b (1))

Question 5

5. Entries made on the chronological summary should be concise but understandable to personnel who will review the investigation. Chronological summary entries are to be written in the third person. List a minimum of four things summary entries shall include?

Answer 5

The circumstances under which the area became aware of the misconduct

The assignment of an investigator(s) to the case

Event date and approximate time, unless not applicable
In the first entry they are mentioned, identify all individuals by rank, classification or title, first and last name, ID number and assigned command

Contacts with witnesses or other parties related to the case, whether in person or by telephone

Interviews and interrogations. Identify all who were present, where the event took place, and where the recording is stored

Briefly describe all evidence collected, its relevance, and where it is being retained

A brief description of all exhibits

Explain lengthy investigation delays which would include investigator absences, unavailability of key witness, etc (p. 5-4 through 5-5, (a) through (k))

Question 6

6. California Penal Code Section 135.5 makes it a offence for any person to knowingly alter, tamper with, conceal, or destroy relevant evidence in any disciplinary proceeding against a public safety officer for the purpose of harming that public safety officer.

Answer 6

Misdemeanor (p. 5-5, (k))

Question 7

7. In order to ensure an investigation is conducted in accordance with policy and law, what two things in addition to Government Code 19572, and the Office of Internal Affairs (OIA) website should investigators review prior to the beginning of an investigation?

Answer 7

Public Safety Officers Procedural Bill of Rights Act (POBR), HPM 10.2 (p. 5-5, c)

Question 8

8. If an employee separates from the Department during an investigation, the investigation be completed in its entirety and processed in accordance with Chapters 7 and 8 of this manual.

Answer 8

Shall (p. 5-6, e)

Question 9

9. If at the conclusion of an internal investigation the actions of the employee(s) do not merit adverse action or rejection during probation, the investigative file be prepared as a Investigation.

Answer 9

Shall, Miscellaneous (p. 5-6, f)

Question 10

10. An plan will improve efficiency and facilitate proper management of the investigation.

Answer 10

Investigative (p. 5-6, 4 a)

Question 11

11. List at least three items that should be considered when planning an investigation.

Answer 11

Allegations/Scope, Background, Resources Needed, Evidence, Interviews/Interrogations, Administrative Matters (p. 5-6, 5-7, (1) through (6))

Question 12

12. When if applicable, should an investigator visit the scene of the incident?

Answer 12

At the same or approximate time of day of the occurrence (p. 5-8, 5 a)

Question 13

13. Consist of testimony, writings, material objects, or anything presented to the senses and offered to prove or disprove a fact.

Answer 13

Evidence (p. 5-8, 6 b)

Question 14

14. Copies of relevant documents gathered during the investigation shall be included in the investigative file. include documents such as transcriptions, memoranda, copies of arrest reports, copies of policies and procedures, copies of photographs, etc.

Answer 14

Exhibits (p. 5-9, c)

Question 15

15. When looking at the employee’s history, investigators should review the employee’s for evidence of prior misconduct or performance problems. Additionally, items which are positive and may be mitigating in nature should be reviewed.

Answer 15

Official Personnel File (p. 5-9, d)

Question 16

16. What things should be reviewed when reviewing an employee’s personnel file?

Answer 16

Review previous citizens’ complaints with findings of sustained, unintentional error, or undetermined/no finding; Notice(s) of Adverse Action, performance evaluations, corrective memoranda, or CHP 2

Review training records in relevant areas

Collect standards of conduct or performance appraisals including signed copies of documents received (p. 5-9, d (1) (2) (3))

Question 17

17. List at least three various types of physical evidence which may be appropriate for inclusion in an investigation.

Answer 17

Photographs, Photo Line-Up, CHP Network/Telecommunications Access, Electronic Devices/Data, Alcohol/Drug Test Samples, Recordings, MVARS, Medical Records, Financial Records, Law Enforcement Databases, Arrest or Detention Reports/Records, Publicly Available Information, EEO Investigations, Private Records or Documents, and Polygraph/Voice Stress Analysis (p. 5-9, f (1) through 5-14, (15))

Question 18

18. The Mobile Video/Audio Recording System (MVARS) was designed for the sole purpose of generating monthly and/or annual employee performance evaluations, nor for the sole purpose of locating policy violations. List at least three threshold incidents in which recordings may be viewed.

Answer 18

Any incident in which a member of the Department is severely injured or killed during the performance of their duties

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

Any in-custody death

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

Any pursuit involving departmental participation

When any member of the Department intentionally or accidentally discharges a firearm at a person regardless whether an individual is struck

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.”

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 (p. 5-10 (7)(a) through p. 5-11)

Question 19

19. Managers, supervisors or other authorized personnel may only review non-threshold event video recordings under what following circumstances?

Answer 19

Anytime an employee responsible for the MVARS event recording voluntarily agrees to the viewing

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)

For the purposes of proving or disproving specific allegations of misconduct
(p. 5-11 (b))

Question 20

20. In the course of authorized video review, there is a possibility of discovering policy and/or criminal violations committed by MVARS users. Conduct not rising to the level of should be viewed as a training opportunity. The manager or supervisor should discuss the incident with the employee (i.e., informal counseling)

Answer 20

Adverse Action (p. 5-11, (d) through 5-12 (d)1)

Question 21

21. In both criminal and administrative investigations, it is necessary, when substantiated, to define and include any applicable sections violated. Accordingly, investigators review and obtain copies of policies violated (HPM’s, G.O.’s, SOP), including how they are communicated to employees. Investigators also contact the Office of Primary Interest (OPI) to obtain and verify the version of policy in place at the time of the incident.

Answer 21

Shall, Shall (p. 5-14, g)

Question 22

22. When the collected evidence will not be retained in its original condition until the case is fully adjudicated (i.e., a damaged patrol vehicle which requires immediate repair), the subject employee be provided with a memorandum.

Answer 22

Shall, Destruction/Repair of Evidence (p. 5-15 h(3))

Question 23

23. Evidence pertaining to an administrative investigation shall be stored for a minimum of years (beginning with the date the investigation is initiated or the life of the investigative file, whichever is longer.) To ensure evidence is not inadvertently destroyed, the CHP 36 be annotated with the appropriate date of destruction.

Answer 23

Five, Shall (p. 5-15, i)

Question 24

24. Evidence remain in the command which completed the investigation, regardless of any subsequent transfers of the evolved employee(s). Should another command require access to the evidence, the request shall be made through channels.

Answer 24

Shall, Originally (p. 5-15, j)

Question 25

25. All searches and seizures conducted by the Department must be completed within the , comply with , and/or related case law.

Answer 25

Law, POBR (p. 5-16, a)

Question 26

26. In what instances are Investigators authorized to search an employee’s assigned locker, or other place for storage, which are owned or leased by the Department?

Answer 26

Involved employee’s presence

Involved employee’s consent

With a valid search warrant

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. (p. 5-16, b(1-4))

Question 27

27. Administrative interrogations involve compelled statements. Since the employee is ordered to answer questions, statements obtained during administrative interrogations be used to support a criminal investigation.

Answer 27

Shall Not (p. 6-3, 1)

Question 28

28. Investigators have a and obligation to maintain the confidentiality of an internal investigation. This confidentiality specifically included interviews and/or interrogations conducted by the investigator(s).

Answer 28

Legal, Ethical (p. 6-3, 2 a)

Question 29

29. During the course of the investigation, an investigator may receive a request from a witness to remain confidential. Due to the accused departmental employee’s right to review the allegation(s), as well as the right to prepare a potential defense, request for witness confidentiality be honored.

Answer 29

Cannot (p. 6-4, 2 c)

Question 30

30. All statements from departmental employees who are interviewed as witnesses during internal investigations be recorded. Prior approval to record a statement be obtained.

Answer 30

Shall, Need Not (p. 6-4, 3 a)

Question 31

31. Statements obtained from non-departmental witnesses are to be recorded, unless the witness objects to the recording. In such instances, a shall be prepared by the investigator summarizing the statements.

Answer 31

Memorandum (p. 6-4, 3 b)

Question 32

32. Both federal and state law provide for law enforcement personnel to record/monitor/eavesdrop on contacts with individuals their knowledge.

Answer 32

Without (p. 6-4, 3 c)

Question 33

33. In accordance with Penal Code 630 et seq. and Rattray v. City of National City (51 F.3d 793), an investigator surreptitiously record, monitor, or eavesdrop on a departmental employee unless it is part of a 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.

Answer 33

Shall Not, Criminal (p. 6-5, c(2))

Question 34

34. Unless previously approved by the Office of the Commissioner, video recordings be made of administrative interrogations.

Answer 34

Shall Not (p. 6-5, d)

Question 35

35. Due to their versatility, it is recommended that be used during interviews and interrogations. If a digital device is used to record an interrogation and/or interview, a copy of all recordings made 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 also be booked into evidence in accordance with Highway Patrol Manual (HPM) 70.1, Evidence Manual.

Answer 35

Digital Audio Recorders, Shall, Shall (p. 6-5, e)

Question 36

36. All interviews and criminal and/or interrogations shall be either summarized on a or .

Answer 36

Memorandum, Transcribed (p. 6-5, 4 a)

Question 37

37. For the summaries of key witnesses, departmental or otherwise, the investigator should request the witness review and the summary memorandum.

Answer 37

Sign (p. 6-6, c)

Question 38

38. For all dismissal cases, the employee’s interrogation be transcribed in its entirety. The assigned investigator(s) be responsible for ensuring the accuracy of such transcriptions.

Answer 38

Shall, Shall (p. 6-6, 5 a. (1))

Question 39

39. All transcripts shall be verified by an investigator. The verifying investigator 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. The original transcription, prior to verification, shall also be booked into evidence in accordance with HPM 70.1 but not included as an exhibit.

Answer 39

Shall (p. 6-7 (5) d)

Question 40

40. The interview is one of the most important tools an investigator has at their disposal. Pre-planning is essential for conducting a successful interview. All interviews, regardless of the exculpatory, incriminating, or benign nature of the information obtained, be included in the investigation.

Answer 40

Shall (p. 6-8, 6 a)

Question 41

41. In what order should interviews be conducted?

Answer 41

Begins with the least involved witness, and works towards those with the most direct knowledge of the matter under investigation. (p. 6-8, 6 c)

Question 42

42. Prior to conducting an interview with an employee regarding potential criminal acts, investigators issue a to protect the employee’s rights.

Answer 42

Shall, Miranda Warning (6-9, 6 f)

Question 43

43. Employees are allowed representation during an investigative interview. Employees expressing concern should be advised that they are not suspected of misconduct and, if such issues arise, the interview will be . 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 in the chain of command for guidance. In some instances, it may be necessary to conduct an administrative instead of an interview.

Answer 43

Not Normally, Stopped, Manager, Interrogation (p. 6-9, 6 g (1))

Question 44

44. If an employee refuses to be interviewed, whether due to a perception of culpability or for any other reason, the investigator 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 instead of an interview.

Answer 44

Should, Interrogation (p. 6-9, 6 g (2))

Question 45

45. If, at any time during the interview, the investigator believes the employee is either to actionable misconduct or is in misconduct through failure to cooperate, the interview be immediately stopped to protect the employee’s rights. An administrative interrogation may then be required.

Answer 45

Admitting, Engaging, Shall (p. 6-10 6 g (3))

Question 46

46. Being thoroughly prepared for an interview will ensure the highest quality of information is obtained in the timeliest manner. What steps should be accomplished when preparing for an interview? List at least three steps.

Answer 46

Become thoroughly familiar with the allegations prior to the interview. Review the investigative file and investigative plan (if created).

Create a list of questions that will adequately cover the interviewee’s knowledge of the matter under investigation. With concurrence of Division when appropriate, OIA is available to assist with question development.

Schedule the interview as soon as possible after contacting the interviewee. If the employee is unavailable, document attempts to contact in the chronological summary (if used) and continue with the investigation. Persistence when contacting witnesses will help answer future questions if a particular witness was not interviewed.

Ensure the recording equipment is working properly and sufficient batteries and tapes, if used, are available. Two recording devices should be used, in case of mechanical failure.

Question 47

47. Interviews can be accompanied by a investigator or by an investigative team limited to a maximum of investigators. The investigative team approach is the method.

Answer 47

Single, Two, Preferred (p. 6-10, I (1))

Question 48

48. Criminal interrogations are compelled statements; therefore, the person questioned choose which questions to answer.

Answer 48

Not, May (p. 6-12, 7 a)

Question 49

49. To preclude improper sharing or contamination of the criminal investigation by the administrative investigation, investigators conduct any criminal interrogations to any administrative interrogations. Although employees are generally given advance notice of administrative interrogations, such notice is not normally given prior to criminal interrogations.

Answer 49

Should, Prior (p. 6-12, 7 c)

Question 50

50. An employee may be represented by of the employee’s choosing during a criminal interrogation. If another departmental employee is used in this capacity, the employee acting as a representative be a person subject to the same investigation, which could include victims, witnesses, or supervisors/managers within their immediate chain of command. The role of the representative is explained in Chapter 11.

Answer 50

Anyone, Shall Not (p. 6-12, 7 e)

Question 51

51. Employees are to be present for a criminal interrogation; however, by law, the employee is obligated to answer questions or provide any information. The employee be subjected to any departmental sanction for exercising these rights.

Answer 51

Required, Not, Shall Not (p. 6-12, 7 f)

Question 52

52. While criminal investigators participate in an administrative interrogation, an administrative investigator 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.

Answer 52

May Not, Should (p. 6-12, 7 h)

Question 53

53. To maintain the separation between investigations, criminal investigators participate in administrative interrogations.

Answer 53

Shall Not (p. 6-13, 7 i)

Question 54

54. An administrative interrogation is a statement. An employee refusing to answer questions or provide requested information can be deemed .

Answer 54

Compelled, Insubordinate (p. 6-13, 8 a (1))

Question 55

55. The employee being interrogated have the right to bring a personal recording device and record any and all aspects of the interrogation.

Answer 55

Shall, Audio (p. 6-13, 8 a (3))

Question 56

56. Although it is not prohibited, subjecting an employee to multiple administrative interrogations regarding the same matter be .

Answer 56

Should, Avoided (p. 6-13 8 a (4))

Question 57

57. The involved employee be provided official notice of interrogation covering the full scope of questioning. A sample Notice of Administrative Interrogation is located in Annex A.

Answer 57

Shall (p. 6-15, 8 c)

Question 58

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

Answer 58

24 p. 6-16, 8 c (2))

Question 59

59. All applicable portions of the CHP 8 should be completed to the interrogation. The nature of the investigation on the CHP 8 be the same as the Notice of Administrative Interrogation unless further clarification was needed prior to beginning the interrogation.

Answer 59

Prior, Should (p. 6-16 8 d (1))

Question 60

60. What ground rules should be established before the interrogation begins? List at least three items.

Answer 60

Audible responses only. “Yes” or “no” answers should be answered as such rather than “uhhh, ummm, uhuh.”

Request that all parties speak in a clear voice so responses can be heard clearly on the recording.

Confirm the comfort of all parties (e.g., water, bathroom, seating).

Confirm all parties can be there for the duration of the interrogation.

All cellular telephones, pagers, public address systems, and/or desk phones are turned off.

Explain the interrogation proceeding to the employee.

Does the employee (or representative) have any questions prior to starting?
(p. 6-16 through 6-17, 8 d (2)(a through g)

Question 61

61. 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 be immediately informed of rights. An employee has a right against self-incrimination and, by issuing the “Lybarger warning,” the Department may obtain a compelled statement. Therefore, shall be read verbatim.

Answer 61

Shall, Miranda, CHP 8A (p. 6-17, 8 d (3))

Question 62

62. The interrogation shall be conducted at a hour, preferably when the employee is , or during the employee’s normal 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 .

Answer 62

Reasonable, On Duty, Waking, Overtime (p. 6-17, 8 d (4))

Question 63

63. The interrogating session 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 shall be granted (e.g., restroom, lunch period).

Answer 63

Shall, Breaks (p. 6-17, 8 d (5))

Question 64

64. The investigators are acting on behalf of the Department and, as such, are responsible for obtaining answers from the employee. What guidelines should investigators adhere to when interrogating a departmental employee? List at least three (there are a lot).

Answer 64

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.

All questions directed to the employee under investigation shall be asked by and through no more than two interrogators at one time.

The purpose of the interrogation is to elicit facts and not to intimidate the employee. Therefore, the employee shall not be subjected to any offensive language or threatened with adverse action, except that an employee refusing to respond to questions or submit to an interrogation shall be informed that failure to answer questions directly related to the investigation or interrogation may result in adverse action.
The interrogator should avoid asking leading questions. It is important to obtain the employee’s statement in the employee’s own words. In cases where the employee is evasive or non-responsive, a leading question may be appropriate.

While conducting an interrogation, investigators should be careful of their choice of words and tonal inflections, since these may subject the employee to duress. Each aspect of the incident must be covered thoroughly and an answer or explanation obtained for each charge.

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.

While the investigator is under no obligation to respond to the representative’s objections, it may be appropriate to take a break to seek advice. Otherwise, the investigator should acknowledge the representative’s objection and continue with the interrogation as previously planned.

Typically, investigators should not question employees regarding matters not mentioned in the Notice of Administrative Interrogation; however, such issues volunteered by the employee during the interrogation may be addressed to their logical conclusion.

The investigator may take notes during the interrogation to keep the employee’s responses fresh in the investigator’s mind. Additionally, this allows for clarification of inconsistent or contradictory statements if the employee is evasive, deceptive, or untruthful during questioning. Once a statement has been transcribed or summarized, the investigator may purge the notes. For information regarding the retention of notes, refer to HPM 70.1. (p. 6-17 through 6-18, 8 d (6)(a through i)

Question 65

65. At the conclusion of the interrogation (but while still being recorded) the investigator 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. The employee should be reminded that violations of this order are considered insubordination and could result in punitive action.

Answer 65

Shall (p. 6-19, 8 d (10))

Question 66

66. The Department has the capability to toll (suspend) the time limit during the course of an investigation when the subject employee is unavailable. The OIA should be consulted regarding the tolling of time.

Answer 66

One-Year (p. 6-20, 8 f)

Question 67

67. In accordance with Evidence Code § 970 - 981, the marital privilege exempts a married person from having to testify against a spouse in any proceeding. The intention of the martial privilege is to protect confidential communications between two individuals at the time they were in a marital relationship. However, in accordance with the opinion of the Office of Attorney General for the State of California, the above marital privilege exist when both spouses are uniformed members of the Department.

Answer 67

Does Not (p. 6-21, 9)

Question 68

68. Once the allegation(s) have been thoroughly and impartially investigated, the investigation must be documented. The documentation shall consist of specific forms and narrative formats. Investigations be typed and documented in the person.

Answer 68

Shall, Third (p. 7-3, 1)

Question 69

69. What forms are used for an internal investigations report only?

Answer 69

CHP 7 – Internal Investigation, CHP 7A – Involved Parties, CHP 7B – Employee Profile (p. 7-3, 2 a-c)

Question 70

70. What Narrative Format should be used when completing an Internal Investigation?

Answer 70

Investigative Summary, Findings, Chronological Summary, List of Exhibits (p. 7-3, d(1) through (4))

Question 71

71. Which unit shall be consulted for guidelines in documenting and processing the investigative file for an employee who is to be dismissed in lieu of rejection during probation?

Answer 71

Office of Internal Affairs (OIA) (p. 7-10, 4 a)