Skip to main content

910 - Personnel Complaints

910.1 PURPOSE AND SCOPE

This policy provides guidelines for the reporting, investigation and disposition of complaints regarding the conduct of members of the Hartwell County Sheriff’s Department. This policy shall not apply to any questioning, counseling, instruction, informal verbal admonishment or other routine or unplanned contact of a member in the normal course of duty, by a supervisor or any other member, nor shall this policy apply to a criminal investigation.

910.2 POLICY

The Hartwell County Sheriff’s Department takes seriously all complaints regarding the service provided by The Office of The Sheriff and the conduct of its members. The Office will accept and address all 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 office to ensure that the community can report misconduct without concern for reprisal or retaliation.

910.3 PERSONNEL COMPLAINTS

Personnel complaints are specific allegations that, if true, would constitute a violation of office policy or of federal, state or local law, policy or rule. Personnel complaints may be generated internally or by the public.

Inquiries about conduct or performance that, if true, would not violate office policy or federal, state or local law, policy or rule, or which the complaining party appropriately requests informal resolution such as training or admonishment, may be handled informally by a supervisor and shall not be considered a personnel complaint.

910.3.1 SOURCES OF COMPLAINTS

The following applies to the source of complaints:

  • Individuals from the public may make complaints in any form, including in writing, by email, in person or by telephone.
  • Any office member becoming aware of alleged misconduct shall immediately notify a supervisor.
  • Supervisors shall initiate a complaint based upon observed misconduct or receipt from any source alleging misconduct that, if true, could result in disciplinary action.
  • Anonymous and third-party complaints should be accepted and investigated to the extent that sufficient information is provided.
  • Tort claims and lawsuits may generate a personnel complaint.

910.4 AVAILABILITY AND ACCEPTANCE OF COMPLAINTS

910.4.1 COMPLAINT FORMS

Personnel complaint forms will be maintained in a clearly visible location in the public area of the sheriff's facility and be accessible through the office website. Complaint forms will be provided upon request. Forms may also be available at other County facilities.

Personnel complaint forms in languages other than English may also be provided, as determined necessary or practicable.

910.4.2 ACCEPTANCE

All complaints will be courteously accepted by any office 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 Office (Penal Code § 832.7).

When available, complaints should be taken by the supervisor of the employee(s) that are the focus of the complaint. When this is not possible, the complaint should be taken by another supervisor, and forwarded to the appropriate supervisor in a timely manner in the SHIELD/LEFTA database.

910.4.3 AVAILABILITY OF WRITTEN PROCEDURES

The Office shall make available to the public a written description of the investigation procedures for complaints (Penal Code § 832.5).

910.4.4 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 a deputy 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).

910.5 DOCUMENTATION

Supervisors should ensure that all complaints are documented on a complaint form, but if that is not possible, they should attach a complaint form to whatever documentation is submitted. The supervisor shall insure that the nature of the complaint is defined as clearly as possible. All complaints shall be entered into the Employee Conduct application in the SHIELD/LEFTA database as soon as possible All complaints and inquiries that relate to child abuse or neglect issues shall be categorized as "CANRA" so that such complaints can be tracked to insure they are being addressed in accordance with Policy 920.

910.6 PROCESSING COMPLAINTS

910.6.1 SUPERVISOR RESPONSIBILITIES

Upon receipt of a complaint, supervisors shall assess the circumstances, and conduct a supervisory inquiry where and when appropriate to determine the severity of the allegation(s) and potential discipline. Supervisors should make every effort to provide outstanding service to the complainant.

In the event that the complaint can be handled at the supervisory level, the supervisor will document their inquiry and findings in SHIELD/LEFTA, and forward it to their Division Commander for approval. In these instances, the Division Commander will review, and if they agree with the findings, they shall document this in SHIELD/LEFTA, and will be responsible for sending an official letter to the complainant. No further forwarding of the complaint is required and the complaint can be closed in the SHIELD/LEFTA database. In the event that there is a training issue, or a minor policy violation requiring verbal counseling or a written reprimand, the complaint will be escalated to the Sheriff, via chain of command, with each level documenting their review in the SHIELD/LEFTA database. The Undersheriff or Office Manager will prepare the formal letter, to be signed by the Sheriff, and mailed by the Office Manager.

In the event that the allegations are severe, and/or their is a high likelihood of serious discipline, liability, exposure to litigation, etc. the complaint will be escalated to the Sheriff via chain of command, in the SHIELD/LEFTA database, with all documentation attached. The Sheriff will decide a course of action for the complaint, which will either be pushing it back down to be handled at the Division Commander level, or assigned to be Administratively Investigated (Internal Affairs Investigation) by the Professional Standards Division. This decision and documentation will be forwarded down the chain of command, as appropriate, in the SHIELD/LEFTA database.

A supervisor or administrator who becomes aware of alleged misconduct shall take all reasonable steps to prevent aggravation of the situation.

It should be noted, that a complaint filed in the Employee Conduct application, within the SHIELD/ LEFTA database, can be transferred internally to the Internal Affairs application by typing the report number in the box asking if it is the result of a complaint existing in the system.

910.6.2 ADMINISTRATIVE INVESTIGATION PROCEDURES

Whether conducted by a supervisor or a member of the Professional Standards Division, the following applies to members covered by the Public Safety Officers Procedural Bill of Rights Act (POBR) (Government Code § 3303):

  • Interviews of an accused member shall be conducted during reasonable hours and preferably when the member is on-duty. If the member is off-duty, they shall be compensated.
  • Unless waived by the member, interviews of an accused member shall be at the Hartwell County Sheriff’s Department or other reasonable and appropriate place.
  • No more than two interviewers should ask questions of an accused member.
  • Prior to any interview, a member shall be informed of the nature of the investigation, the name, rank, and command of the deputy in charge of the investigation, the interviewing officers and all other persons to be present during the interview.
  • All interviews shall be for a reasonable period and the member's personal needs should be accommodated.
  • No member should be subjected to offensive or threatening language, nor shall any promises, rewards, or other inducements be used to obtain answers.
  • Any member refusing to answer questions directly related to the investigation may be ordered to answer questions administratively and may be subject to discipline for failing to do so.
  1. 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).
  2. No information or evidence administratively coerced from a member may be provided to anyone involved in conducting the criminal investigation or to any prosecutor.
  • The interviewer should record all interviews of members and witnesses. The member may also record the interview. If the member has been previously interviewed, a copy of that recorded interview shall be provided to the member prior to any subsequent interview.
  • All members subjected to interviews that could result in discipline have the right to have an uninvolved representative present during the interview. However, 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.
  • All members shall provide complete and truthful responses to questions posed during interviews.
  • No member may be requested or compelled to submit to a polygraph examination, nor shall any refusal to submit to such examination be mentioned in any investigation (Government Code § 3307).

910.6.3 ADMINISTRATIVE INVESTIGATION PROCESS

Investigator Duties- The investigator is a finder of fact who should complete a thorough investigation. All relevant evidence should be included in the investigation. Evidence may include, but is not limited to, documents, statements, audio, video, and photographs. The investigator should organize the investigation into a memorandum addressed to the Sheriff, to be routed through the appropriate division Captain and Undersheriff. The report should be submitted in the SHIELD/LEFTA database and include the following components:

Introduction, Synopsis, Allegations, Investigative Analysis, Conclusion, and Supporting Documents (contact the Professional Standard Division for examples and templates). The investigation should not include findings or recommendations. Upon completion, the investigation should be forwarded to the Captain of the involved member.

At any point in the process, the Captain, Undersheriff, or Sheriff may request follow up or clarification from the Investigator. Likewise, as deemed appropriate by the independent reviewer, additional allegations, as supported by the facts, may be added during the review process.

Captain/Chief Deputy- Upon receipt, the Captain of the involved member should independently evaluate the allegations in light of the facts. The Captain should write a memorandum to the Undersheriff documenting suggested findings as to each allegation (i.e. sustained, not sustained, exonerated, unfounded, or frivolous). Sustained findings are based on a preponderance of the evidence standard. The memorandum should factually justify each suggested finding. Upon completion, the Captain should forward their memorandum, and the investigation, to the Undersheriff.

Undersheriff Duties- Upon receipt, the Undersheriff should independently evaluate the allegations in light of the facts. The Undersheriff should write a memorandum to the Sheriff documenting their suggested findings and, if appropriate, recommendations as to discipline. The Undersheriff may adopt, reject, or modify, the suggestions of the Captain. The Undersheriff's memorandum should carefully consider the allegations, facts, and principles of progressive discipline, with ample factual support for the findings and any recommendations. Upon completion, the Undersheriff should forward their memorandum, and the investigation, to the Sheriff.

Sheriff Duties- Upon receipt, the Sheriff should independently evaluate the allegations in light of the facts. The Sheriff should write a memorandum to the file, and involved member, documenting the Sheriff's findings and, where appropriate, discipline. The Sheriff may adopt, reject, or modify, the suggestions of the Captain and/or Undersheriff. The Sheriff's memorandum should factually justify each finding and discipline imposed. The initial memorandum to the involved member is pre-discipline and, where discipline is proposed, should outline the pre-discipline employee response rights available to the involved member. Upon waiver, or after exercise, of the procedural rights, the Sheriff should issue a second memorandum to the case file, and the involved member, imposing any final discipline.

910.6.4 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 (commonly referred to as a Skelly hearing) to the Sheriff after having had an opportunity to review the supporting materials and prior to imposition of any recommended discipline. The response is not intended to be an adversarial or formal hearing. 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. The employee may suggest that further investigation could be conducted or the employee may offer any additional information or mitigating factors for the Sheriff to consider and may, thereafter, have the opportunity to further respond orally or in writing to the Sheriff on the limited issues of information raised in any subsequent materials. The Sheriff shall serve as the hearing officer.

910.6.5 COMPLETION OF INVESTIGATIONS

Every investigator or supervisor assigned to investigate a personnel complaint or other alleged misconduct 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 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 Government Code § 3304(d) or Government Code § 3508.1.

910.6.6 NOTICE TO COMPLAINANT OF INVESTIGATION STATUS

The member conducting the investigation should provide the complainant with periodic updates on the status of the investigation, as appropriate.

910.6.7 LIMITATIONS ON INVESTIGATIONS

Investigations shall not be undertaken against any deputy in the following limited circumstances:

  • The deputy has been placed on a prosecutor's Brady list, or the name of the deputy may otherwise be subject to disclosure pursuant to Brady v. Maryland (Government Code § 3305.5).
  1. An investigation may be initiated based on the underlying acts or omissions for which the deputy has been placed on a Brady list or may otherwise be subject to disclosure pursuant to Brady v. Maryland.
  • A court finding against a deputy in a challenge brought under Penal Code § 745 (California Racial Justice Act of 2020) (Government Code § 3305.6).
  1. An investigation may be Initiated based on the underlying acts or omissions which formed the basis of the action brought pursuant to Penal Code § 745 (Government Code § 3305.6).

910.7 ADMINISTRATIVE SEARCHES

Assigned lockers, storage spaces and other areas, including desks, offices and vehicles, may be searched as part of an administrative investigation upon a reasonable suspicion of misconduct.

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. Lockers and storage spaces may only be administratively searched in the member's presence, with the member’s consent, with a valid search warrant or where the member has been given reasonable notice that the search will take place (Government Code § 3309).

910.7.1 DISCLOSURE OF FINANCIAL INFORMATION

An employee may be compelled to disclose personal financial information under the following circumstances (Government Code § 3308):

  • Pursuant to a state law or proper legal process
  • Information exists that tends to indicate a conflict of interest with official duties
  • If the employee is assigned to or being considered for a special assignment with a potential for bribes or other improper inducements

910.8 ADMINISTRATIVE LEAVE

When a complaint of misconduct is of a serious nature, or when circumstances indicate that allowing the accused to continue to work would adversely affect the mission of the Office, the Sheriff or the authorized designee may temporarily assign an accused employee to administrative leave. Any employee placed on administrative leave:

  • May be required to relinquish any office badge, identification, assigned weapons and any other office equipment.
  • Shall be required to continue to comply with all policies and lawful orders of a supervisor or administrator.
  • 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.

910.9 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. The Sheriff shall be notified as soon as practicable when a member is accused of criminal conduct. The Sheriff 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 Hartwell County Sheriff’s Department may release information concerning the arrest or detention of any member, including a deputy, that has not led to a conviction. No disciplinary action should be taken until an independent administrative investigation is conducted.

910.10 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).

910.11 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 a deputy 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).

Additionally, any evidence of a court finding that a deputy violated Penal Code § 745 (California Racial Justice Act of 2020) shall not be introduced for any purpose in any administration appeal of a punitive action (Government Code § 3305.6).

910.12 PROBATIONARY EMPLOYEES AND OTHER MEMBERS

At-will, 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 deputy or other member 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 Sheriff 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 Sheriff shall be final.

910.13 RETENTION OF PERSONNEL INVESTIGATION FILES

All personnel complaints shall be maintained for a minimum time period of five years. All sustained personnel Complaints and Sustained Internal Affairs complaints shall be maintained and stored in the employees personnel file for a minimum of 15 years. (Penal Code 832.5(b)) A record shall not be destroyed while a request related to that record is being processed or any process or litigation to determine whether the record is subject to release is ongoing. All complaints retained pursuant to this subdivision may be maintained either in the employees general personnel file or in a separate file designated by the Sheriff, in accordance with all applicable requirements of law.

910.14 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 Sheriff after having had an opportunity to review the supporting materials and prior to imposition of any recommended discipline. The employee shall consider the following:

  • The response is not intended to be an adversarial or formal hearing.
  • 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.
  • The employee may suggest that further investigation could be conducted or the employee may offer any additional information or mitigating factors for the Sheriff to consider.
  • In the event that the Sheriff elects to cause further investigation to be conducted, the employee shall be provided with the results prior to the imposition of any discipline.
  • The employee may thereafter have the opportunity to further respond orally or in writing to the Sheriff on the limited issues of information raised in any subsequent materials.

910.15 REQUIRED REPORTING TO POST

The Sheriff or the authorized designee shall notify POST on the appropriate POST form within 10 days of certain deputy personnel events, including but not limited to (Penal Code § 13510.9):

  • Termination or separation from employment or appointment. Separation from employment or appointment includes any involuntary termination, resignation, or retirement.
  1. A POST affidavit-of-separation form shall be executed and maintained by the Office and submitted to POST as required by Penal Code § 13510.9 and 11 CCR 1003.
  • Events that could affect a deputy's POST certification, such as:
  1. Complaints, charges, or allegations of serious misconduct (as defined by Penal Code § 13510.8).
  2. Findings of civilian review boards.
  3. Final dispositions of any investigations.
  4. Civil judgments or court findings based on conduct, or settlement of a civil claim against a deputy or the Hartwell County Sheriff’s Department based on allegations of conduct by a deputy.

The Sheriff 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.

910.15.1 NOTIFICATIONS TO POST FOR SERIOUS MISCONDUCT

The Sheriff or the authorized designee shall report allegations of serious misconduct by a deputy to POST and the report shall include the following (11 CCR 1207):

  • Name of the Office
  • Administrative case number
  • Name, current address, and phone number of the complainant, if available (d) Name, POST ID, current address, and phone number of the involved deputy (e) A summary of the alleged misconduct including:
  1. A narrative of the allegations
  2. Date and time of incidents
  3. Location of occurrence
  4. Any witness information, if available
  5. Summary of arrest or indictment of involved deputy
  • A change in employment status of the involved deputy (e.g., administrative leave, suspension, termination)
  • Name and contact information of the assigned investigator The Sheriff 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 Sheriff or the authorized designee shall submit to POST the final disposition of the investigation as well as investigation materials and the deputy's service record as provided by 11 CCR 1207.

910.15.2 ADDITIONAL NOTIFICATIONS TO POST FOR SERIOUS MISCONDUCT

Additional notification shall be made to POST (11 CCR 1207):

  • If the imposed disciplinary action is pending appeal or other review through an administrative or judicial proceeding:
  1. The Office shall provide the name of the body conducting the proceeding.
  2. The status of the proceeding, if known.
  • If criminal charges are pending:
  1. The name of the court having jurisdiction over the criminal charges against the deputy.
  2. The status of the criminal case, if known.

910.16 ANNUAL SUMMARY OF COMPLAINTS

The Professional Standards Division shall prepare an annual statistical summary report on personnel complaints that shall be forwarded to the Sheriff. The report should not contain any identifying information about any specific complaint, individual, or deputy and shall be made available to the public upon request.

Seat Belts

Back to top