California Code of Regulations
Title 15 - Crime Prevention and Corrections
Division 3 - Adult Institutions, Programs and Parole
Chapter 1 - Rules and Regulations of Adult Operations and Programs
Subchapter 5.1 - Incarcerated and Supervised Person Programs
Article 1.5 - Staff Misconduct Complaints
Section 3486.2 - Staff Misconduct Investigations and Allegation Inquiries Involving Misconduct Toward Incarcerated or Supervised Persons

Universal Citation: 15 CA Code of Regs 3486.2

Current through Register 2024 Notice Reg. No. 38, September 20, 2024

(a) AIU Investigation Processing.

(1) Upon receipt of a complaint from CST, AIU staff shall analyze the complaint, obtain initial information including records, documents, evidence, or recordings relating to the complaint, and assemble an investigation file.

(2) An AIU manager shall review the investigation file and make an Investigation Assignment Decision in consultation with EAPT for designated cases.

(b) AIU Staff Misconduct Investigations.

(1) The department shall ensure that each AIU Investigation is conducted pursuant to existing laws, regulations, and CDCR policies and procedures.

(2) AIU investigators shall conduct an investigation for all allegations of staff misconduct toward incarcerated or supervised persons referred to AIU by CST.

(3) Completion of Investigations.

(A) AIU investigators shall conduct thorough investigations, and ensure all relevant evidence is gathered and reviewed, and necessary interviews are conducted.

(B) At the conclusion of an investigation, the assigned AIU investigator shall prepare a confidential draft investigation report which summarizes the facts and evidence gathered during the investigation.

(4) Investigation Report Review.

(A) An AIU manager shall review the draft Investigation Report, and supporting exhibits and recordings, to determine whether the investigation is sufficient, complete, and unbiased.

(B) For designated cases, the VA shall review the draft Investigation Report and all supporting exhibits and recordings, and provide feedback to AIU.

(C) After the Investigation Report is finalized, the confidential final Investigation Report and all supporting exhibits and recordings, shall be provided to the VA for designated cases, and the hiring authority.

(D) If the hiring authority finds the investigation insufficient to determine a finding for each allegation, they shall request additional investigation in accordance with section 3392.5(c).

(E) If the hiring authority finds the investigation sufficient to determine a finding for each allegation, they shall do so in accordance with section 3392.1.

(1) When CST refers an allegation of staff misconduct to the hiring authority, the hiring authority shall have the Allegation Inquiry conducted by an LDI.

(2) The LDI shall be at least one rank higher than the highest-ranking subject allegedly involved in the misconduct.

(3) Completion of Allegation Inquiries.

(A) LDIs shall conduct thorough allegation inquiries, and ensure all relevant evidence is gathered and reviewed, and necessary interviews are conducted. The LDI shall complete the Allegation Inquiry except when one of the following situations occurs:

1. If the LDI discovers evidence of staff misconduct which requires investigative skills or resources as described in subsection 3486(c)(21), the LDI shall cease further inquiry, document the evidence in an Allegation Inquiry Report which summarizes the facts and evidence gathered during the inquiry, and refer the Allegation Inquiry to AIU for an investigation with notification to the hiring authority.

2. If the LDI finds evidence of staff misconduct which may not require investigative skills or resources as described in subsection 3486(c)(21), but which may result in adverse action, the LDI shall cease further inquiry, document the evidence in an Allegation Inquiry Report, and refer the Allegation Inquiry to the hiring authority for review. If the hiring authority agrees, the Allegation Inquiry shall be referred to AIU for investigation or request for direct adverse action. If the hiring authority does not believe adverse action may result, the matter shall be returned to the LDI for completion of the Allegation Inquiry.

(B) Upon completion of the Allegation Inquiry, the LDI shall author a confidential draft Allegation Inquiry Report with all applicable supporting exhibits, and provide the draft report to the AIU manager for review and approval.

(4) Allegation Inquiry Report Review.

(A) An AIU manager shall review the draft Allegation Inquiry Report, and supporting exhibits, to determine whether the Allegation Inquiry is sufficient, complete, and unbiased.

(B) Once approved by an AIU manager, the Allegation Inquiry Report shall be provided to the hiring authority.

(C) If the hiring authority finds the allegation inquiry insufficient to determine a finding for each allegation, they shall request additional fact gathering either by inquiry or investigation.

(D) If the hiring authority finds the allegation inquiry sufficient to determine a finding for each allegation, they shall do so in accordance with section 3392.1.

Note: Authority cited: Section 5058, Penal Code. Reference: Section 5054, Penal Code; Armstrong et al. v. Newsom et al., United States District Court for the Northern District of California, Court Case number 94-cv-02307-CW; Madrid v. Woodford, Special Masters Final Report Re: Department of Corrections Post Powers Investigations and Employee Discipline; Case No. C90-3094-T.E.H; Madrid v. Woodford, Order; and Case No. C90-3094-T.E.H. Class Action.

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