Performance History Audits
1056.1 PURPOSE AND SCOPE
Performance History Audits are collections of data designed to assist supervisors evaluating the performance of their employees. Performance History Audits can help identify commendable performance as well as early recognition of training needs and other potential issues. While it is understood that the statistical compilation of data may be helpful to supervisors, it cannot account for, and must be carefully balanced with the many variables in law enforcement such as:
- An officer's ability to detect crime.
- An officer's work ethic.
- An officer's work assignment and shift.
- An officer's physical abilities, stature, etc.
- Randomness of events.
1056.2 RESPONSIBILITIES
Under the authority of the Division Commander, the Professional Standards Unit is responsible for collecting performance indicators and other relevant data to generate and provide a quarterly Performance History Audit Report for each officer to the appropriate Division Commander. Though generated quarterly, each Performance History Audit will contain data from a one-year time period.
The Division Commander will also forward a copy of each Performance History Audit Report to the Office of the University Counsel for review and retention as attorney work product and confidential personnel information.
1056.3 COMPONENTS OF PERFORMANCE HISTORY AUDITS
Performance History Audits will include the following components:
- Performance indicators
- Data analysis
- Employee review
- Follow-up monitoring
1056.4 PERFORMANCE INDICATORS
Performance indicators represent the categories of employee performance activity that the Chief of Police of University of California Santa Cruz Police Department has determined may be relevant data for the generation and analysis of Performance History Audits. Performance indicators may include but are not limited to:
(a) The frequency and findings of use of force incidents.
(b) Frequency of involvement and conduct during vehicle pursuits.
(c) Frequency and findings of citizen complaints.
(d) Number of commendations, compliments and awards (citizen and Department).
(e) Claims and civil suits related to the employee’s actions or alleged actions.
(f) Canine bite incidents.
(g) Internal Affairs investigations.
(h) Frequency and reasons for District Attorney case rejections.
(i) Intentional or accidental firearm discharges (regardless of injury).
(j) Vehicle collisions.
(k) Missed court appearances.
(l) Documented counseling memos.
1056.5 COMPILATION OF DATA
The Professional Standards Unit will utilize secure systems and other confidential methods to compile and track information regarding performance indicators for each officer during each quarter in order to prepare Performance History Audit Reports.
1056.6 EMPLOYEE NOTIFICATION AND RESPONSE
The Professional Standards Unit will notify each officer prior to retaining any performance indicator for entry into a Performance History Audit Report. The affected officer may submit a written comment within 10 days regarding each performance indicator. Any such written comment will be attached to the related performance indicator in such a way as to be readily noticed by supervisors reviewing a Performance History Audit Report.
1056.7 DATA ANALYSIS AND ACTION
Upon receipt, the Division Commander will review each Performance History Audit Report and determine whether it should be provided to an officer’s immediate supervisor for further consideration. The officer’s immediate supervisor will carefully review the Performance History Audit Report with the officer to assess any potential trends or other issues which may warrant informal counseling, additional training or a recommendation for other action, including discipline. The officer shall date and sign the Performance History Audit Report and may be provided a copy of the report upon request.
If a supervisor determines that an officer’s performance warrants action beyond informal counseling, the supervisor shall advise the Division Commander of such recommendation. If the Division Commander concurs with the recommendation of the supervisor, he/she shall take steps to initiate the appropriate action.
If discipline or other adverse action is initiated against an officer as a result of a Performance History Audit, the officer shall be entitled to all rights and processes set forth in the Personnel Complaints Policy.
1056.8 CONFIDENTIALITY OF DATA
Information, data and copies of material compiled to develop Performance History Audit Reports shall be considered confidential as part of the employee’s personnel file and will not be subject to discovery or release except as provided by law. Access to the data in the system will be governed under the same process as access to an officer’s personnel file as outlined in the Department Peace Officer Personnel Files Policy.
1056.9 RETENTION AND PURGING
Except as incorporated in separate training or disciplinary records, all performance indicators and Performance History Audit Reports shall be purged from the Professional Standards Unit and all other locations within the Department one year from the date generated. The University Counsel however, shall retain a copy of Performance History Audit Reports for an additional one year period as attorney work product.
