Chapter 5 – Adult Custody and Security Operations

54100.25.2 Processing of Staff Complaints

• No less than weekly (within five working days), complaints alleging staff misconduct will be presented by the appeals coordinator to and shall be reviewed by the hiring authority or designee who shall make a determination whether the allegation will be processed as a staff complaint. That determination shall consider whether the appeal alleges staff behavior which would be a violation of law, regulation, policy, procedure or prevailing professional or ethical standards. Such misconduct need not be the focus of the appeal, but if facts are alleged which suggest misconduct, the matter must be referred to the hiring authority to determine the following type of processing:

  • As a routine appeal, but not as a staff complaint, as there is no evidence to suggest staff misconduct.

  • As a confidential staff complaint appeal inquiry as the nature of the allegation or the lack of evidence makes adverse action unlikely.

  • As a referral to Internal Affairs for an investigation as the evidence or the circumstances suggest that adverse action is likely if the allegations are proven.

• The employee shall be notified as soon as possible in accordance with any applicable bargaining unit agreement when an appeal is accepted as a staff complaint unless the hiring authority determines that the matter involves a confidential investigation that would be compromised by such notice.

• If the hiring authority makes a determination that the complaint warrants an Internal Affairs investigation, the following shall occur:

  • The appeals coordinator shall bypass the first level review and respond at the second level, noting that the appeal is granted or partially granted and referred for an Internal Affairs investigation.

  • An Internal Affairs Investigation Request shall be completed and forwarded to the Office of Internal Affairs with all accompanying information and documentation.

  • Upon completion of the investigation, the appellant shall be notified of the outcome.

• When an allegation does not warrant an Internal Affairs investigation or the matter is declined by the Office of Internal Affairs, but does warrant an inquiry, the following shall occur:

  • The appeals coordinator will assign the staff complaint for a first or second level response at the discretion of the hiring authority.

  • A Confidential Appeal Inquiry shall be conducted in conjunction with the review response.

    • Review and approval of the Confidential Appeal Inquiry supplement by the hiring authority or their delegated representative no lower than the level of a Chief Deputy Warden or equivalent shall occur.

    • The appellant need not be interviewed by the person preparing the appeal response if a confidential inquiry has been completed.

    • The appeal inquiry supplement with a red cover sheet attached, designating it as confidential, is to be placed in the appeal file. The appellant will not be provided a copy.

  • After completing interviews with pertinent witnesses, the subject of the staff complaint may be interviewed (if necessary to reach a determination) by a person trained to conduct administrative reviews. A Notice of Interview shall be served at least 24 hours prior to such interview.

    • If the subject chooses to waive the 24 hour requirement, he or she must indicate this at the time he or she is given notice.

    • Upon voluntary waiver, the subject may be interviewed immediately, if desired.

  • At the time of the interview the subject of the interview shall be served with an advisement of rights which is to be signed prior to any interview.

    • The subject may request to record the interview and will be allowed to retain their copy of the recording. However, under such circumstances, a concurrent separate recording shall be made by the Department and retained in the appeal office. Only the subject can initiate a request to record the interview.

    • Pertinent witnesses are those individuals in possession of information or knowledge necessary to come to a reasonable conclusion as to whether or not policy was violated.

    • The witnesses need not be noticed or admonished, nor shall a witness be allowed to record the interview or have a representative present.

  • If at any time during the course of the appeal inquiry the reviewer discovers information indicating misconduct may have taken place of a severity that would likely lead to adverse personnel action the reviewer shall:

    • Cease further interviewing of staff or inmates/parolees.

    • Bring the matter to the attention of the hiring authority.

    • The hiring authority shall make a determination whether the matter will be referred for Internal Affairs investigation.

  • The confidential inquiry shall review the information available to determine whether policy was violated and the confidential report shall summarize the review and include a determination of the findings concerning the allegation.

    • The author of the report shall provide sufficient facts and testimony to reasonably support the conclusion(s) given.

    • This report shall be kept with the appeal file in the Appeals Office and no other copies shall be kept or maintained except as described in this subsection or as needed for third level review or litigation. The document is strictly confidential to all inmates and any staff except those involved in the inquiry process or ligitation involving the Department.

    • Accused staff may view the confidential report in the appeals office upon approval of the Litigation Coordinator, but if any information relating to other staff is contained therein, a copy shall be made and that confidential information redacted prior to the review. Neither the original nor the copy shall leave the appeals office (except as specified above) and any redacted copy shall be placed with the original after review.

• The institution/parole region’s appeal response to a staff complaint shall inform the appellant of the status of the referral for investigation and outcomes as follows:

  • The referral for investigation and the status of the investigation. Additionally, the appellant shall be notified of the outcome at the conclusion of the investigation.

  • The decision to conduct a confidential inquiry and whether the findings determined that the staff in question did or did not violate department policy with regard to each of the specific allegations(s) made.

  • In the event that the matter is rejected by Office of Internal Affairs (OIAOffice of Internal Affairs) due to insufficient evidence and the hiring authority elects not to complete an inquiry because the OIAOffice of Internal Affairs review is sufficient to exonerate staff, the appellant shall be noticed that a finding has been made that policy was not violated.

• An appeal alleging staff misconduct by an appeals coordinator shall be reviewed by the hiring authority for determination of processing. If accepted for processing at the first level, neither the appeal response nor the Confidential Supplement to Appeal, Appeal Inquiry shall be prepared or reviewed by staff assigned to the Appeals Office.