Personnel Complaints
1020.1 PURPOSE AND SCOPE
This policy provides guidelines for the reporting, investigation and disposition of complaints
regarding the conduct of members of the UC Santa Cruz Police Department except for
represented dispatch personnel. Guidelines for reporting, investigation, and disposition of
complaints regarding the conduct of represented dispatch personnel will follow existing UCSC Human Resources Policy and Procedure. More information can be found on the UC Santa Cruz HR website.
This policy shall not apply to any interrogation, counseling, instruction, informal verbal admonishment, or other routine or unplanned contact of an employee in the normal course of duty, by a supervisor or any other employee, nor shall this policy apply to an investigation concerned solely and directly with alleged criminal activities (Cal. Govt. Code § 3303(i)).
1020.2 POLICY
The UC Santa Cruz Police Department takes seriously all complaints regarding the service
provided by the Department and the conduct of its members.
The Department will accept and address all complaints, including anonymous complaints, of
misconduct in accordance with this policy and applicable federal, state and local law, municipal and county rules and the requirements of any collective bargaining agreements.
It is also the policy of this department to ensure that the community can report misconduct without concern for reprisal or retaliation. It is also policy of this Department that the Chief of Police be notified, as soon as practical, when a complaint is made against the agency, its employees, volunteers, student staff, and on site workers contracted by the agency.
1020.3 PERSONNEL COMPLAINTS DEFINED
Personnel complaints consist of any allegation of misconduct or improper job performance against any Department employee that, if true, would constitute a violation of Department policy, University policy, federal, state or local law. Personnel complaints may be generated internally or by the public.
Personnel Complaints shall be classified in one of the following categories:
External Member of the Public or Community Complaint - A person who is not an employee
of the UC Santa Cruz Police Department who makes an allegation against a department member that if true, would constitute misconduct, and/or violations of Department policy, University policy, federal, state, or local laws. Such complaints will be investigated by the Office of Compliance. The Office of will share the redacted investigation reports and findings with the Police Accountability Board (PAB). The PAB, after review of the investigation report will provide the Chief of Police with recommendations on the findings. If the Chief of Police is the subject of the complaint, then the recommendation will be made by the Vice Chancellor for the Finance, Operations and Administration which oversees the police department and will provide the final disposition of matters regarding the Chief of Police.
Internal Affairs Investigation or an Internal Complaint- Any member of the department makes an allegation or complaint of any other member of the police department that, if true, would constitute misconduct, a violation of Department policy, University policy, federal, state or local law. Such complaints may be investigated by a Department supervisor or designee of a rank greater than the accused employee depending on the seriousness and complexity of the investigation, as determined by the Chief of Police or their designee.
Allegations or inquiries of employee conduct which, even if true, would not constitute a violation of any of the above may be handled informally by a department supervisor and shall not be considered a personnel complaint. Such inquiries generally include clarification regarding policy, procedures, or the response to specific incidents by the Department.
Complaints involving allegations of sexual violence, sexual harassment, or discrimination on a protected basis will be referred to the UC Santa Cruz’s Office for Diversity Equity and Inclusion or Title IX Office for review and resolution and shall not be considered a personnel complaint.
1020.4 HATE COMPLAINTS AGAINST PEACE OFFICERS
Internal complaints or complaints from the public shall be accepted and investigated in accordance with this policy where it is alleged that an officer has in the previous seven years, and since 18 years of age, engaged in membership in a hate group, participated in a hate group activity, or advocated any public expression of hate (Penal Code § 13682).
1020.5 POLICE ACCOUNTABILITY BOARD (PAB)
It is the intent of the University of California, Santa Cruz (UCSC) to develop and promote accountability, trust, and communication between the Santa Cruz and Sacramento campus communities and the UCSC Police Department (UCSC PD). To that end, and consistent with Penal Code 832.5 et seq,UC Santa Cruz established a Police Accountability Board (hereinafter referred to as "PAB"), to impartially review investigative reports related to allegations of police misconduct and make recommendations in a timely manner regarding complaints filed by members of the public against the UCSC PD. The complaint procedures provide oversight and investigation by the Office of Compliance, investigatory report review, recommendations by the PAB, and final determinations with respect to each complaint to the Chief of Police. The Chief of Police will ensure Department cooperation with all investigations.
1020.6 COMPLAINT ACCEPTANCE
All complaints will be courteously accepted by any department member and promptly given to the appropriate supervisor. Although written complaints are preferred, a complaint may also be filed orally, either in person or by telephone. Such complaints will be directed to a supervisor. If a supervisor is not immediately available to take an oral complaint, the receiving member shall obtain contact information sufficient for the supervisor to contact the complainant. The supervisor, upon contact with the complainant, shall complete and submit a complaint form as appropriate.
Although not required, complainants should be encouraged to file complaints in person so that proper identification, signatures, photographs, or physical evidence may be obtained as necessary.
A complainant shall be provided with a copy of the complaining party's statement at the time it is filed with the Department (Penal Code § 832.7).
A community complaint may also be filed using the following:
1. Accessing and submitting a complaint form online at the UCSC PD's website;
2. Accessing and submitting a complaint form online at the UCSC Office of
Compliance and/or the PAB website;
3. Accessing and submitting a complaint form online at UC Ethics Point;
4. Calling the UCSC Office of Compliance and/or the PAB at (530) 752-6550 to
schedule an appointment; or
5. Submitting a completed complaint form to the UCSC Office of Compliance and/or
the PAB or UCSC PD.
6. Submitting a complaint to the Commission on Peace Officer Standards and Training
(POST)
-Via their online public complaint form (https://post.ca.gov/public-complaint-form), or
-Submitting a Local Law Enforcement Agency Complaint Form, POST 2-354
(https://post.ca.gov/Portals/0/post_docs/forms/2-354.pdf), or
-Contacting POST at ComplaintIntake@post.ca.gov or 916-227-2822.
7. Submitting a complaint to the State of California Department of Justice, Office of the
Attorney General:
-Via their online public complaint form (https://oag.ca.gov/police-complaints-form) or
-Submitting a Complaint About Peace Officers/Law Enforcement Agency Form,
PIU 3 to the Attorney General's Public Inquiry Unit (https://oag.ca.gov/system/
files/media/piu3.pdf).
1020.6.1 COMPLAINT FORMS
Personnel complaint forms will be maintained in a clearly visible location in the public area of the police facility and be accessible through the department website. Forms may also be available at other University facilities and websites.
Personnel complaint forms in languages other than English may also be provided, as determined necessary or practicable.
1020.7 AVAILABILITY OF WRITTEN PROCEDURES
The Department shall make available to the public a written description of the investigation procedures for complaints (Penal Code § 832.5).
1020.8 ASSIGNMENT TO ADMINISTRATIVE LEAVE
When a complaint of misconduct is of a serious nature or when circumstances practically dictate that it would impose an unreasonable risk to the Department, the employee, other employees or the public, a supervisor may assign the accused employee to inactive duty, with the concurrence of the Chief of Police, pending completion of the investigation or the filing of administrative charges.
It shall be the responsibility of the assigning supervisor to promptly notify the employee in writing and to notify the employee's manager, human resources and the Chief of Police of the assignment to administrative leave.
1020.9 AUDIO/VIDEO RECORDING
A. Statements by complainants and witnesses shall be recorded in potentially serious cases. Given the inherent advantages of having a completely objective version of the event, the recording of statements and interviews should be considered in virtually all instances.
B. Surreptitious Recording--both federal and state law, in most cases, provide for law enforcement personnel to record contacts with members of the public without their knowledge. However, in the interest of public confidence, the surreptitious recording of members of the public should be limited to those situations which indicate it is warranted.
C. Complainants or witnesses who desire to use a recorder to record an interview or discussion with an investigator shall be allowed to do so. However, to preclude such a recording from being adulterated and thereby used inappropriately, anytime a complainant or witness uses a recorder, the investigator shall also record the interview or statement.
1020.10 ADMINISTRATIVE INVESTIGATIONS
Allegations of misconduct will be administratively investigated as follows.
1020.10.1 INVESTIGATIONS PROCEDURES
The following applies to all members covered by the Public Safety Officers Procedural Bill of Rights Act (POBR) (Government Code 3303). These rights shall be afforded to all police department employees. The rights afforded under the POBR include, but are not limited to the following:
(a) The member under investigation shall be conducted at a reasonable hour, preferably at a time when the member is on duty, or during the normal waking hours for the member, unless the seriousness of the investigation requires otherwise. If the interrogation does occur during off-duty time of the member being interrogated, the member shall be compensated for any off-duty time in accordance with regular department procedures, and the member shall not be released from employment for any work missed.
(b) The member under investigation shall be informed prior to the interrogation of the rank, name, and command of the officer in charge of the interrogation, the interrogating officers, and all other persons to be present during the interrogation. All questions directed to the member under interrogation shall be asked by and through no more than two interrogators at one time.
(c) The member under investigation shall be informed of the nature of the investigation prior to any interrogation.
(d) The interrogating session shall be for a reasonable period taking into consideration gravity and complexity of the issue being investigated. The member under interrogation shall be allowed to attend to their own personal physical necessities.
(e) The member shall not be subjected to offensive language or threatened with punitive action, except that an officer refusing to respond to questions or submit to interrogations shall be informed that failure to answer questions directly related to the investigation or interrogation may result in punitive action.
(a) No information or evidence administratively coerced from a member may be provided to anyone involved in conducting the criminal investigation or to any prosecutor.
(b) A member should be given an order to answer questions in an administrative investigation that might incriminate the member in a criminal matter only after the member has been given a Lybarger advisement. Administrative investigators should consider the impact that compelling a statement from the member may have on any related criminal investigation and should take reasonable steps to avoid creating any foreseeable conflicts between the two related investigations. This may include conferring with the person in charge of the criminal investigation (e.g., discussion of processes, timing, implications).
(f) The complete interrogation of a member shall be recorded. The member shall have access to the audio recording if any further proceedings are contemplated or prior to any further interrogation at a subsequent time. The member shall be entitled to a transcribed copy of any notes made by a stenographer or to any reports or complaints made by investigators or other persons, except those which are deemed by the investigating agency to be confidential. No notes or reports that are deemed to be confidential may be entered in the officer's personnel file. The member being interrogated shall have the right to bring their own recording device and record any and all aspects of the interrogation.
(g) If prior to or during the interrogation of a member it is deemed that they may be charged with a criminal offense, they shall be immediately informed of their constitutional rights.
(h) Upon the filing of a formal written statement of charges, or whenever an interrogation focuses on matters that are likely to result in punitive action against any member, that member, at their request, shall have the right to be represented by a representative of their choice who may be present at all times during the interrogation. The representative shall not be a person subject to the same investigation. The representative shall not be required to disclose, nor be subject to any punitive action for refusing to disclose, any information received from the member under investigation for noncriminal matters.
1. In order to maintain the integrity of each individual's statement, involved members shall not consult or meet with a representative or attorney collectively or in groups prior to being interviewed.
(i) All members shall provide complete and truthful responses posed during interrogations and interviews.
(j) No member shall be compelled to submit to a lie detector test against their will. No disciplinary action or the recrimination shall be taken against a member refusing to submit to a lie detector test, nor shall any comment be entered anywhere in the investigator's notes or anywhere else that the member refused to take, or did not take, a lie detector test, nor shall any testimony or evidence be admissible at a subsequent hearing, trial, or proceeding, judicial or administrative, to the effect that the member refused to take, or was subjected to, a lie detector test (Government Code 3307).
1. A lie detector includes a polygraph, deceptograph, voice stress analyzer, psychological stress evaluator, or any other similar device, whether mechanical or electrical, that is use, or the results of which are used, for the purpose of rendering a diagnostic opinion regarding the honesty or dishonesty of an individual.
(k) No promise of reward shall be made as an inducement to answering any question.
(l) The UCSC PD shall not cause the member under interrogation to be subjected to visits by the press or news media without their express consent nor shall their home address or photograph be given to the press or news media without their express consent.
(m) No member shall be loaned or temporarily reassigned to a location or duty assignment if a sworn member of their department would not normally be sent to that location or would not normally be given that duty assignment under similar circumstances.
(n) Lockers or other space for storage that may be assigned to a member, that are owned or leased by the Department, e.g., desks, offices and vehicles.
(o) May only be searched as part of an administrative investigation (Government Code 3309):
(a) In the member's presence, or
(b) With the member's consent, or
(c) With a valid search warrant, or
(d) When the member has been notified that a search will be conducted.
-Such areas may also be searched any time by a supervisor for non-investigative purposes, such as obtaining a needed report, radio, or other document or equipment (O'Connor v. Ortega, 480 U.S. 709 [at 725-26] & City of Ontario v. Quon, 560 U.S. 746 [at 761].)
(p) Computer Usage, Internet, E-mail, Phone, Messaging and all forms of Electronic Communications owned or leased by the Department.
(a) The Department reserves the right to monitor and log all network, call, messaging and communications activity including computer usage, mobile digital computers, internet use, email, phone, messaging and all forms of electronic communications owned or leased by the Department. Users should have no expectation of privacy or confidentiality when using these resources.
(b) May be searched as part of an administrative investigation,
No investigation shall be undertaken against any officer solely because the officer has been placed on a prosecutor's Brady list or the name of the officer may otherwise be subject to disclosure pursuant to Brady v. Maryland. However, an investigation may be based on the underlying acts or omissions for which the officer has been placed on a Brady list or may otherwise be subject to disclosure pursuant to Brady v. Maryland (Government Code 3305.5).
1020.10.2 INTERNAL COMPLAINT PROCEDURES
A supervisor who becomes aware of alleged misconduct, shall take reasonable steps to prevent further potential misconduct and notify the appropriate chain of command to ensure notification to the Chief of Police for assessment of appropriate action.
In circumstances in which the integrity of the investigation could be jeopardized by reducing the complaint in writing or where the confidentiality of a complainant is at issue, a supervisor shall orally report the alleged misconduct to the employees' supervisor, chain of command or the Chief of Police, for assessment of appropriate action.
Every investigator or supervisor assigned to investigate an Internal Complaint or other alleged misconduct shall proceed with due diligence. Barring mitigating factors, the investigation should be completed, and an investigation report submitted to the Investigations Lieutenant within 30 University business days of it being assigned to an investigator, unless an extension is authorized by the Investigations Lieutenant upon a showing of good cause for the delay or legitimate need for additional time to complete the investigation. Investigations which extend beyond 30 days from the date of assignment require extension notification with status and provision for the extension (e.g. witness availability, evidence examination or testing, investigator availability, etc.) to be provided to the Chief of Police, employee, and complainant. An extension notification with status will be provided for every subsequent 30-day extension until the investigation is completed.
Specifically, if the investigation is likely to (or does) extend beyond 30 University business days from the date of assignment, and for every subsequent 30-day extension so required, the complainant shall be notified of the extension and investigation status, until such time as the investigation is completed.
Every effort shall be made to complete the investigation within one year from the date of discovery by an individual authorized to initiate an investigation. In the event that an investigation cannot be completed within one year of discovery, the assigned investigator or supervisor shall ensure that an extension or delay is warranted within the exceptions set forth in Cal. Government Code 3304(d) or Cal. Government Code § 3508.1. If the nature of the allegations dictates that confidentiality is necessary to maintain the integrity of the investigation, the involved employee(s) need not be notified of the pending investigation unless and until the employee is interviewed or formally charged within one year of discovery.
Upon completion of the investigation, the report should be forwarded to the Chief of Police for acceptance or modification of the classification and recommendation for disciplinary action.
In general, the primary responsibility for the investigation of a personnel complaint shall rest with the member's immediate supervisor, unless the supervisor is the complainant, or the supervisor is the ultimate decision-maker regarding disciplinary action or has any personal involvement regarding the alleged misconduct. The Chief of Police or the authorized designee may direct that another supervisor investigate any complaint.
A supervisor who becomes aware of alleged misconduct shall take reasonable steps to prevent aggravation of the situation.
The responsibilities of supervisors include but are not limited to:
(a) Ensuring that upon receiving or initiating any formal complaint, a complaint form is completed.
(a) The original complaint form will be directed to the Watch Commander of the accused member, via the chain of command, who will take appropriate action and/or determine who will have responsibility for the investigation.
(b) In circumstances where the integrity of the investigation could be jeopardized by reducing the complaint to writing or where the confidentiality of a complainant is at issue, a supervisor shall orally report the matter to the member's Division Commander or the Chief of Police, who will initiate appropriate action.
(b) Responding to all complainants in a courteous and professional manner.
(c) Resolving those personnel complaints that can be resolved immediately.
1. Follow-up contact with the complainant should be made within 24 hours of the Department receiving the complaint.
2. If the matter is resolved and no further action is required, the supervisor will note the resolution on a complaint form and forward the form to the Watch Commander.
(d) Ensuring that upon receipt of a complaint involving allegations of a potentially serious nature, the Watch Commander and the Chief of Police are notified via the chain of command as soon as practicable.
(e) Promptly contacting the Department of Human Resources and the Watch Commander for direction regarding their roles in addressing a complaint that relates to sexual, racial, ethnic or other forms of prohibited harassment or discrimination.
(f) Forwarding unresolved personnel complaints to the Watch Commander, who will determine whether to contact the complainant or assign the complaint for investigation.
(g) Informing the complainant of the investigator's name and the complaint number within three days after assignment.
(h) Investigating a complaint as follows:
1. Making reasonable efforts to obtain names, addresses and telephone numbers of witnesses.
2. When appropriate, ensuring immediate medical attention is provided and photographs of alleged injuries and accessible uninjured areas are taken.
(i) Ensuring that the procedural rights of the accused member are followed (Government Code 3303 et seq.).
(j) Ensuring interviews of the complainant are generally conducted during reasonable hours.
1020.10.3 COMMUNITY COMPLAINT PROCEDURES
Any community complaint received by the UC Santa Cruz Police Department will be forwarded to the Office of Compliance by the Chief of Staff or the Chief of Police for review and processing as soon as practicable or within two (2) University business days with notification to the Chief of Police. Any community complaint received by Office of Compliance and/or the PAB will be shared with the Chief of Police, within two (2) University business days, or as soon as practicable.
At the initial filing of a community complaint with the UC Santa Cruz Police Department, when an uninvolved supervisor or the Watch Commander determines that the complainant, after discussion of the matter, is satisfied that their complaint required nothing more than an explanation regarding the proper implementation of department policy, procedure, or law, the complaint shall be labeled "Resolved" and forwarded to the Office of Compliance and/or the PAB within two (2) business days. The Office of Compliance and/or the PAB may follow-up with the complainant to confirm that they are satisfied with the early resolution.
The Office of Compliance and/or the PAB will evaluate each formal complaint not resolved via the procedure in the foregoing paragraph, for information necessary to conduct an investigation and proceed as follows, and in accordance with the law.
(1) If additional information is needed, the Office of Compliance may request information from the complainant to the extent that the identity of the complainant is known. If the complainant is anonymous and there is insufficient information to warrant conducting an investigation, the Office of Compliance will close the file and no investigation will be conducted.
(2) If the Office of Compliance determines there is insufficient information to conduct an investigation, the allegations themselves demonstrate on their face that the acts complained of were proper, or the nature of the complaint is not suitable for investigation and review by the body, the Office of Compliance will notify the complainant, the Chief of Police, and the PAB of the disposition in writing citing the specific reasons for the determining that the complaint will not be investigated.
(3) If the Office of Compliance determines there is sufficient information and cause to investigate a community complaint, they will assign the complaint to an investigator, external to the police department, to initiate an investigation and notify the complainant, and the Chief of Police in writing of the complaint's referral to investigation.
Whether conducted by the Office of Compliance or an external investigator jointly selected by the Office of Compliance and the Chief of Police, the procedures in Sections 1008.8.2 – 1008.8.4 shall govern the investigation process. The investigation of a complaint shall consist of conducting interviews with the complainant, the subject employee(s), and any witnesses, collecting relevant evidence, including, but not limited to, Department reports and records, photographs, video, and audio records related to the subject community complaint.
The Chief of Staff, will be the investigator's point of contact and coordinate access to UCSC PD information, documentation, and personnel. In this role, the Chief of Staff will ensure necessary access to subject employee(s), information, records, evidence, and documentation needed to conduct a thorough and timely investigation. If there is a question of relevancy regarding a request for information made by the investigator, the Chief of Staff will coordinate with the Chief of Police or their designee and will review the request and determine whether the requested information is relevant to the scope of the investigation.
Barring mitigating factors, the investigation should be completed, and an investigation report submitted to the PAB within 30 University business days of it being assigned to an investigator, unless an extension is authorized by the Office of Compliance or their designee upon a showing of good cause for the delay or legitimate need for additional time to complete the investigation.
The Chief of Staff, the Chief of Police, complainant, and subject employee(s) will be provided notification of the extension. Specifically, if the investigation is likely to (or does) extend beyond 30 days from the date of assignment, and for every subsequent 30-day extension so required, the complainant shall be notified of the extension and investigation status, until such time as the investigation is completed.
Upon completion of a formal investigation of a community complaint, a redacted investigation report consistent with California Public Records Act redaction rules shall be provided to the PAB. In closed session, the PAB will collectively review the redacted report. The PAB will vote on its recommendations to either adopt, amend, or reject the investigator's findings. The PAB has the authority to direct the investigator to re-open the investigation to pursue additional information requested by the PAB. In addition to its recommendations with respect to whether the investigator's findings are sustained, the PAB may also recommend other actions to the Chief of Police, including, for example, modifying policies or training.
The PAB, however, will not recommend a particular level of discipline or a specific corrective action, as the Chief of Police retains the responsibility of and discretion to impose discipline. The PAB's policy recommendations may result from issues related to a specific complaint or from a general policy review and analysis. The PAB's recommendations regarding the investigative findings shall be in writing and forwarded to the Chief of Police within 5 business days after the PAB has voted in closed session.
Any written copies of the investigation (including redacted and original copies) shall be submitted/returned to the Department for placement into the personnel complaint file. Department will retain all copies, summaries, investigator notes, or other documentation related to the complaint and maintain the records according to the University's retention schedule.
1020.10.4 INVESTIGATION REPORT FORMAT
Investigation reports shall include the following:
Background Summary – Brief summary of the facts giving rise to the investigation, the initial date and source of the complaint, and the identity of the Department employee(s) involved.
Investigative Actions – Summary of the actions taken by the investigator(s) assigned to the case.
Summary of Allegations - List the allegations separately, including applicable policy sections, with a brief summary of the evidence relevant to each allegation.
Evidence - Each allegation should be set forth with the details of the evidence applicable to each allegation provided, including comprehensive summaries of member and witness statements.
Other evidence related to each allegation should also be detailed in this section.
Conclusion - A recommendation regarding further action or disposition should be provided.
Exhibits - A separate list of exhibits (e.g., recordings, photos, documents) should be attached to the report.
1020.10.5 DISPOSITION OF COMPLAINTS
The investigator will apply the preponderance of the evidence standard, a standard of proof that requires that a fact be found when its occurrence, based on the evidence, is more likely than not.
Each allegation shall be classified with one of the following dispositions:
Unfounded - When the investigation discloses that the alleged act(s)are not true or did not involve department members. Complaints which are determined to be frivolous (totally and completely without merit or for the sole purpose of harassing an opposing party. Cal. Civ. Proc. Code 128.5) will fall within the classification of unfounded (Penal Code 832.8).
Exonerated - When the investigation clearly established that the actions of the employee that formed the basis for the complaint are not a violation of law or department policy or university policy (Penal Code 832). If an investigator discloses that the alleged act occurred, but that the act was justified, lawful and/or proper.
Not sustained - When the investigation discloses that there is insufficient evidence to sustain the complaint or fully exonerate the member.
Sustained - When the investigation discloses sufficient evidence to establish that the act occurred and that it constituted misconduct. If an investigation discloses misconduct or improper job performance that was not alleged in the original complaint, the investigator shall take appropriate action with regard to any additional allegations.
1020.10.6 COMPLETION OF INVESTIGATIONS
Every investigator or supervisor assigned to investigate complaints shall proceed with due diligence in an effort to complete the investigation within one year from the date of discovery by an individual authorized to initiate an investigation (Government Code 3304). In the event that any complaint investigation cannot be completed within one year of discovery, the assigned investigator or supervisor shall ensure that an extension or delay is warranted within the exceptions set forth in Government Code 3304(d) or Government Code 3508.1.
1020.10.7 NOTICE TO COMPLAINANT OF INVESTIGATION STATUS
The member conducting the investigation should provide the complainant with periodic updates on the status of the investigation, if it extends past 30 days. The Office of Compliance is responsible for notice to the complainant involving PAB investigations.
1020.11 ADMINISTRATIVE SEARCHES
Administrative searches will be conducted in accordance with Government Code § 3309, and sections 1020.9.1 (n) and (o) of this policy.
1020.11.1 DISCLOSURE OF FINANCIAL INFORMATION
An employee may be compelled to disclose personal financial information under the following circumstances (Government Code § 3308):
(a) Pursuant to a state law or proper legal process
(b) Information exists that tends to indicate a conflict of interest with official duties
(c) If the employee is assigned to or being considered for a special assignment with a potential for bribes or other improper inducements
1020.12 REASSIGNMENT AND ADMINISTRATIVE LEAVE
When a complaint of misconduct is of a serious nature, or when circumstances practically dictate that it would impose an unreasonable risk to the Department, the member, other employees, or the public, the Chief of Police or the authorized designee may temporarily reassign an accused employee or place the accused member on administrative leave pending review of the complaint, completion of the investigation, or the filing of administrative charges. Any reassignment or placement on administrative leave pursuant to this section shall not affect the pay or benefits of the employee who is involuntarily reassigned or placed on administrative leave:
(a) May be required to relinquish any department badge, identification, assigned weapons and any other department equipment.
(b) Shall be required to continue to comply with all policies and lawful orders of a supervisor.
(c) May be temporarily reassigned to a different shift, generally a normal business-hours shift, during the investigation. The employee may be required to remain available for contact at all times during such shift, and will report as ordered.
1020.13 CRIMINAL INVESTIGATION
Where a member is accused of potential criminal conduct, a separate supervisor or investigator shall be assigned to investigate the criminal allegations apart from any administrative investigation. Any separate administrative investigation may parallel a criminal investigation. However, information obtained through administratively compelled interviews shall not be shared directly or indirectly with any personnel assigned to investigate alleged criminal activities.
Nonsworn Members
The Department shall not:
(a) Seek from any source whatsoever, or utilize, as a factor in determining any condition of employment including hiring, promotion, termination, or any training program leading to employment, any record of arrest or detention that did not result in conviction, or any record regarding a referral to, and participation in, any pretrial or post trial diversion program, or concerning a conviction that has been judicially dismissed or ordered sealed pursuant to law (Labor Code § 432.7 (a)(1)). This does not prevent the Department from asking the member about an arrest for which the member is out on bail or on their own recognizance pending trial.
(b) Seek from any source whatsoever, or utilize, as a factor in determining any condition of employment including hiring, promotion, termination, or any training program leading to employment, any record concerning or related to an arrest, detention, processing, diversion, supervision, adjudication, or court disposition that occurred while a person was subject to the process and jurisdiction of the juvenile court (Labor Code § 432.7(a)
(2).
Sworn Members
The Department shall not
(a) determine any condition of employment other than paid administrative leave based solely on an arrest report concerning a sworn member. The information contained in an arrest report may be using as the starting point for an independent, internal investigation of a sworn member (Labor Code § 432.7 (b)).
The Chief of Police shall be notified as soon as practicable when any member is accused of criminal conduct. The Chief of Police may request a criminal investigation by an outside law enforcement agency.
A member accused of criminal conduct shall be advised of their constitutional rights (Government Code § 3303(h)). The member should not be administratively ordered to provide any information in the criminal investigation.
The UC Santa Cruz Police Department may release information allowable by law concerning the arrest or detention of any member, including an officer, that has not led to a conviction. No disciplinary action should be taken until an independent administrative investigation is conducted.
Investigations will include a "conclusion of fact" for each allegation of misconduct.
1020.14 POST-ADMINISTRATIVE INVESTIGATION PROCEDURES
Upon completion of a formal investigation, an investigation report should be forwarded to the Chief of Police through the chain of command. Each level of command should review the report and include their comments in writing before forwarding the report. The Chief of Police may accept or modify any classification or recommendation for disciplinary action.
1020.14.1 CHIEF OF POLICE RESPONSIBILITIES
Upon completion of a formal investigation, an investigation report should be forwarded to the Chief of Police Upon receipt of any written recommendation for disciplinary action, the Chief of Police shall review the recommendation and all accompanying materials. The Chief of Police may modify any recommendation and/or may return the file to the assigned investigator for further investigation or action.
Once the Chief of Police is satisfied that no further investigation or action is required by staff, the Chief of Police shall determine the discipline, if any, that should be imposed. In the event disciplinary adverse action is proposed, the Chief of Police shall provide the member with a pre_disciplinary procedural due process hearing (Skelly) by providing written notice of the charges, proposed action and reasons for the proposed action. Written notice shall be provided within one year from the date of discovery of the misconduct (Government Code § 3304(d), Skelly v. State Personnel Board (1975) 15 Cal.3d 194). The Chief of Police shall also provide the member with:
(a) Access to all of the materials considered by the Chief of Police in recommending the proposed discipline.
(b) An opportunity to respond orally or in writing to the Chief of Police within five days of receiving the notice.
(a) Upon a showing of good cause by the member, the Chief of Police may grant a reasonable extension of time for the member to respond.
(b) If the member elects to respond orally, the presentation may be recorded by the Department. Upon request, the member shall be provided with a copy of the recording. Once the member has completed their response or if the member has elected to waive any such response, the Chief of Police shall consider all information received in regard to the recommended discipline. The Chief of Police shall render a timely written decision to the member and specify the grounds and reasons for discipline and the effective date of the discipline. Once the Chief of Police has issued a written decision, the discipline shall become effective.
1020.14.2 NOTICE OF FINAL DISPOSITION TO THE COMPLAINANT
The Chief of Police or the authorized designee shall ensure that the complainant is notified within 30 days of the final disposition (i.e., sustained, not sustained, exonerated, unfounded) of the complaint. This release shall not include what discipline, if any, was imposed (Penal Code § 832.7(f)).
1020.15 PRE-DISCIPLINE EMPLOYEE RESPONSE
The pre-discipline process is intended to provide the accused employee with an opportunity to present a written or oral response to the Chief of Police, or designee, after having had an opportunity to review the supporting materials and prior to imposition of any recommended discipline. The employee shall consider the following:
(a) The response is not intended to be an adversarial or formal hearing.
(b) Although the employee may be represented by an uninvolved representative or legal counsel, the response is not designed to accommodate the presentation of testimony or witnesses.
(c) The employee may suggest that further investigation could be conducted or the employee may offer any additional information or mitigating factors for consideration.
(d) In the event that the Chief of Police elects to cause further investigation to be conducted, the employee shall be provided with the results prior to the imposition of any discipline.
(e) The employee may thereafter have the opportunity to further respond orally or in writing to the Chief of Police on the limited issues of information raised in any subsequent materials.
1020.16 RESIGNATIONS/RETIREMENTS PRIOR TO DISCIPLINE
In the event that a member tenders a written resignation or notice of retirement prior to the imposition of discipline, it shall be noted in the file. The tender of a resignation or retirement by itself shall not serve as grounds for the termination of any pending investigation or discipline (Penal Code § 13510.8).
1020.17 POST-DISCIPLINE APPEAL RIGHTS
Non-probationary employees have the right to appeal a suspension without pay, punitive transfer, demotion, reduction in pay or step, or termination from employment. The employee has the right to appeal using the procedures established by any collective bargaining agreement, Memorandum of Understanding and/or personnel rules.
In the event of punitive action against an employee covered by the POBR, the appeal process shall be in compliance with Government Code § 3304 and Government Code § 3304.5.
During any administrative appeal, evidence that an officer has been placed on a Brady list or is otherwise subject to Brady restrictions may not be introduced unless the underlying allegations of misconduct have been independently established. Thereafter, such Brady evidence shall be limited to determining the appropriateness of the penalty (Government Code § 3305.5).
1020.18 PROBATIONARY EMPLOYEES AND OTHER MEMBERS
At-will and probationary employees and those members other than non-probationary employees may be released from employment for non-disciplinary reasons (e.g., failure to meet standards) without adherence to the procedures set forth in this policy or any right to appeal. However, any probationary officer subjected to an investigation into allegations of misconduct shall be entitled to those procedural rights, as applicable, set forth in the POBR (Government Code § 3303; Government Code § 3304).
At-will, probationary employees and those other than non-probationary employees subjected to discipline or termination as a result of allegations of misconduct shall not be deemed to have acquired a property interest in their position, but shall be given the opportunity to appear before the Chief of Police or authorized designee for a non-evidentiary hearing for the sole purpose of attempting to clear their name or liberty interest. There shall be no further opportunity for appeal beyond the liberty interest hearing and the decision of the Chief of Police shall be final.
1020.19 RETENTION OF PERSONNEL INVESTIGATION FILES
All copies of the completed investigation (including redacted and original copies) shall be submitted/returned to the police department for placement into the personnel complaint file. The UCSC PD will retain all copies, summaries, investigator notes, or other documentation related to the complaint and maintain the records as required under Cal. Penal Code section 832.7 in a file separate from the employees personnel file or the University's records retention schedule, whichever is longer.
All personnel complaints shall be maintained in accordance with the established records retention schedule and as described in the Personnel Records Policy, 1026.
1020.20 REQUIRED REPORTING TO POST
The Chief of Police or the authorized designee shall notify POST on the appropriate POST form within 10 days of certain officer personnel events, including but not limited to (Penal Code § 13510.9):
(a) Termination or separation from employment or appointment. Separation from employment or appointment includes any involuntary termination, resignation, or retirement.
- A POST affidavit-of-separation form shall be executed and maintained by the Department and submitted to POST as required by Penal Code § 13510.9 and 11 CCR 1003.
(b) Events that could affect an officer's POST certification, such as:
- Complaints, charges, or allegations of serious misconduct (as defined by Penal Code § 13510.8).
- Findings of civilian review boards.
- Final dispositions of any investigations.
- Civil judgments or court findings based on conduct, or settlement of a civil claim against an officer or the UC Santa Cruz Police Department based on allegations of conduct by an officer.
The Chief of Police or the authorized designee shall be responsible for providing POST access to or duplication of investigation documentation (e.g., physical or documentary evidence, witness statements, analysis, conclusions) within the applicable timeframe provided in Penal Code § 13510.9.
1020.20.1 NOTIFICATIONS TO POST FOR SERIOUS MISCONDUCT
The Chief of Police or the authorized designee shall report allegations of serious misconduct by an officer to POST and the report shall include the following (11 CCR 1207):
(a) Name of the Department
(b) Administrative case number
(c) Name, current address, and phone number of the complainant, if available
(d) Name, POST ID, current address, and phone number of the involved officer
(e) A summary of the alleged misconduct including:
- A narrative of the allegations
- Date and time of incidents
- Location of occurrence
- Any witness information, if available
- Summary of arrest or indictment of involved officer
(f) A change in employment status of the involved officer (e.g., administrative leave, suspension, termination)
(g) Name and contact information of the assigned investigator The Chief of Police or the authorized designee shall provide updates of the investigation to POST every 90 days until the final disposition in the method designated by POST (11 CCR 1207).
Upon completion of the investigation, the Chief of Police or the authorized designee shall submit to POST the final disposition of the investigation as well as investigation materials and the officer's service record as provided by 11 CCR 1207.
1020.20.2 ADDITIONAL NOTIFICATIONS TO POST FOR SERIOUS MISCONDUCT
Additional notification shall be made to POST (11 CCR 1207):
(a) If the imposed disciplinary action is pending appeal or other review through an administrative or judicial proceeding:
- The Department shall provide the name of the body conducting the proceeding.
- The status of the proceeding, if known.
(b) If criminal charges are pending:
- The name of the court having jurisdiction over the criminal charges against the officer.
- The status of the criminal case, if known.
1020.21 ANNUAL REVIEW OF COMPLAINTS
The internal complaint process is subject to a complete annual administrative review. The Investigations Lieutenant will submit an audit of the complaints directly to the Chief of Police by January 31 of each year. The audit will include:
(a) Total number of complaints filed,
(b) Disposition of the complaints,
(c) An analysis of trends or patterns.
All complaints made by members of the public are subject to a complete annual administrative review. The Police Accountability Board will submit a report of the complaints and recommendations directly to the Chief of Police each year. The report will include:
(a) Total number and types of complaints filed,
(b) Disposition of the complaints (e.g. sustained, not sustained, exonerated or unfounded),
(c) An analysis of trends or patterns,
(d) Percentage of Board findings accepted, rejected or modified by the Chief of Police,
(e) Policy, procedure and training recommendations.