Procedure Section 3 (Personnel)

Question 1

3.2 Complaints against Sheriff’s Employees-Receiving Complaints

Answer 1

The Internal Affairs Unit is the central controlling point for logging, assigning, investigating, and filing complaints. All formal complaints shall be forwarded immediately to Internal Affairs.
Any employee receiving a verbal complaint must decide whether to handle it informally; i.e., verbally, or document the complaint in writing. Employees may attempt to resolve the complaint, but shall never attempt to dissuade any citizen from lodging a complaint. If the employee does not believe the complaint has been handled to the complainants’ satisfaction, the employee shall notify their immediate supervisor. The supervisor will determine the next course of action.
The person receiving the verbal complaint must not handle informally those complaints of a serious nature and/or those complaints which are not resolved to the complete satisfaction of the complainant. When in doubt, the person receiving the complaint shall invite the complainant to complete a citizen’s complaint form and forward the original forthwith to Internal Affairs. For the purposes of this section, minor complaints are generally those which allege discourtesy or improper procedures.
Complaints of a minor nature, which are received 30 days or more after the date of the alleged incident, will generally not be investigated. If a complaint of this nature is received in written form it shall be the responsibility of Internal Affairs to respond to the complainant. Should the complaint be received orally, the receiving party shall merely explain our policy to the complainant. When in doubt as to the timeliness of the complaint or whether the complaint is minor or major, accept the complaint and forward it to Internal Affairs.

Question 2

3.2 Complaints-Subject to Investigation

Answer 2

Investigations shall be conducted into the following types of allegations:
 On-duty misconduct allegations
 Off-duty criminal allegations
 Off-duty, non-criminal conduct where the alleged conduct has a reasonable nexus to the accused employee’s position as a member of this Department.

Question 3

3.2 Complaints-NOT Subject to Investigation

Answer 3

 Complaints of off-duty conduct lacking a reasonable nexus to the employee’s position as a member of this Department.
 Complaints that do not involve members of this Department.
 Matters that have more appropriate methods of resolution (i.e., traffic court, employee grievance procedure, inmate grievance procedure, civil action, etc.)
 Complaints that are not timely (generally 30 days for minor complaints).

Question 4

3.2 Complaints-Reporting/Assignment by IA/Completion

Answer 4

The person receiving the complaint shall complete all applicable sections of the complaint form. The “How Complaint Received” portion should be completed to reflect how the complaint was received (i.e., in person, over the telephone, or via U.S. mail, etc.) The original shall be forwarded to the Internal Affairs Unit.
Assignment of Cases by Internal Affairs
If a complaint is initiated at the command level, the supervisor initiating the complaint shall complete a Complaint Form and fax it to the Internal Affairs Unit as soon as practical. If a citizen’s complaint is received at the command, a copy of the complaint shall be sent to Internal Affairs via fax as soon as practical. This section shall not apply to vehicle accidents where the sole charge is operation of vehicles.
Once the Internal Affairs Lieutenant authorizes the investigation of a complaint, it is assigned a case number, logged and either investigated by Internal Affairs personnel or sent to the appropriate Bureau Commander/Manager for an investigation by a supervisor under his/her command. Reserves, 960 hour Rehires, student workers, interns, contract professionals and volunteer employees are to be handled in accordance with I.A. Manual Section 2.4.
Action Upon Completion of Investigation
If the complaint is sustained or some form of misconduct is found to have been committed by an employee, appropriate disciplinary action shall be initiated from within the operational division to which the employee was assigned at the time of the misconduct. (See P & P Section 3.3). With certain exceptions, disciplinary actions against peace officers must be recommended within one year of the discovery of the conduct supporting the charges (GC 3304(c)).

Question 5

3.2 Complaints-filing of reports

Answer 5

Filing of Reports
All complaints and relevant reports regardless of their disposition shall be forwarded to Internal Affairs for filing.
All complaints, relevant reports, and their disposition will be kept on file in Internal Affairs. (This material is confidential and maintained only at the Internal Affairs Office and shall be purged at the direction of the Sheriff.)

Question 6

3.2 Complaints-Notification

Answer 6

Notification of Complainant
At the conclusion of the investigation, whether investigated by the operational division or Internal Affairs, it shall be the responsibility of the Internal Affairs Lieutenant to notify the complainant of the complaint conclusion.

Question 7

3.2 Complaints-Conclusions

Answer 7

SUSTAINED: A true finding supported by facts.
NOT SUSTAINED: Facts revealed do not substantiate the allegation – insufficient evidence available.
UNFOUNDED: Not true. Actions alleged did not occur.
EXONERATED: Allegation is true but actions were lawful.
RESOLVED: No other method available to close case.

Question 8

3.3 Disciplinary Procedures-Investigations resulting in Discipline

Answer 8

Investigations Resulting in Discipline
 Investigations into alleged employee misconduct can be initiated at any level in the chain of command.
 If the investigation results in a conclusion that some form of misconduct has been committed by the employee, a recommendation for disciplinary action shall be initiated from within the operational division where the employee was assigned at the time of the misconduct.
If at any time during the investigation it becomes necessary for the accused (full-time sworn personnel) to be interviewed regarding an allegation of misconduct, the person conducting the interview shall adhere to all the procedural rights afforded the accused under the Public Safety Officers Procedural Bill of Rights (Government Code Section 3300-3311).

Question 9

3.3 Disciplinary Procedures-Causes for Disciplinary Action

Answer 9

 Causes for disciplinary action are specifically set forth in:
Sheriff’s Department Policy and Procedure Manual, Rules of Conduct (Section 2).
Rules of the Civil Service Commission (Rule VII, Section 7.2).
 Personnel will be charged with violations of the Sheriff’s Department Policy and Procedure Manual, Rules of Conduct. The Internal Affairs Unit will be responsible for charging disciplined employees with appropriate sections of the Civil Service Rules.

Question 10

3.3 Disciplinary Procedures-Administrative Assignment

Answer 10

 Whenever it is deemed necessary, a member of this Department may be placed on Administrative
San Diego County Sheriff’s Department - Procedure Section
SECTION 3 Personnel_______________________________________________________
Assignment pending an investigation for an unlawful act or violation of the rules set forth above.
The supervisor placing a subordinate on Administrative Assignment shall notify the Internal Affairs Unit, via their chain of command, no later than the next working day.
Should the chain of command deem it necessary to keep an employee on Administrative Assignment for an extended period of time it shall be the responsibility of the Internal Affairs Unit to serve written notification of such fact upon the employee.
The written notification of Administrative Assignment shall be from the Assistant Sheriff, Human Resource Services Bureau, and shall elaborate on the conditions set forth below.
 An employee placed on Administrative Assignment will receive notice of the following:
That they are temporarily relieved of present assignment (duty station).
Instructions to telephonically report to a specific person at a specific time on a daily basis to receive that day’s assignment.
Designations of days off.
The effective date of the assignment, anticipated duration, and reason for the action will be stated.
 During the time on Administrative Assignment, the employee will not lose any vested rights as a member of this Department, and will receive full pay.
 No member of this Department may be suspended without pay until he/she has been officially served a formal order imposing discipline.
 The only exception to this procedure is in the event that circumstances exist in which the immediate removal of the employee is essential to avert harm to the County or the public. (Refer to Civil Service Rules, Section 7.2.1(b)).
 In lieu of Administrative Assignment, an employee may be temporarily reassigned to another command, subject to the provisions of Govt. Code 3303(j).
 Employees who are removed from normal job duties during the pendency of an investigation shall not be removed for longer than 45 calendar days, except where the business necessities of the Department require the removal from normal duties to extend beyond those 45 days. After 45 days, the employee may request a hearing with the Assistant Sheriff, Human Resource Services Bureau to review the continued necessity of the assignment. In any event, the assignment will be reviewed after 60 days, and every 60 days thereafter.

Question 11

3.3 Disciplinary Procedures-in general

Answer 11

Following an investigation by the immediate supervisor or Internal Affairs concluding some form of misconduct has been committed by the employee, the package will be forwarded to the second level supervisor for a disciplinary recommendation. If the second level supervisor conducted the investigation, the recommendation should be made by someone else at the second level, or by the third level supervisor.

Question 12

3.3 Disciplinary Procedures- Discipline Defined

Answer 12

Counseling (as a result of alleged misconduct)
Written Reprimand
Reassignment (as a result of alleged misconduct)
Pay Step Reduction
Suspension
Demotion
Termination

Question 13

3.3 Disciplinary Procedures-Discipline Recommendation

Answer 13

Prior to recommending discipline, the second level supervisor will meet with the accused employee, outside the presence of the investigator, explain the findings, and allow the employee an opportunity to provide information which could mitigate the findings, or affect a recommendation for discipline.
The employee may be accompanied by a representative.
If discipline, other than counseling, is to be recommended, the second level supervisor will initiate the “Notice of Proposed Disciplinary Action” form (AS 1/3) and serve it on the employee. This process informs the employee of the proposed charges and recommended discipline as well as specifying any similarly related priors within the past five years.
The employee does not receive any reports at this time but, upon request, will be allowed to review the reports. The second level supervisor will prepare a report containing the disciplinary recommendation and rationale. The report will document the pre-recommendation discussion with the employee and include whether or not the employee was allowed to review any reports. This report, together with all reports, will be forwarded to the third level supervisor (usually station/facility commander).
If the third level supervisor elects to take action other than discipline, all documents which contain the discipline will be destroyed, and the supporting documents will be filed in the Internal Affairs investigation file.
The third level supervisor will notify the employee of any modification of the proposed discipline, and record such notification in the accompanying reports.
Upon approval of the third level supervisor, the package will be forwarded to the Internal Affairs Unit. If counseling is recommended, it may be initiated at that time.

Question 14

3.3 Disciplinary Procedures-Counseling

Answer 14

Supervisors may make a written record of the facts leading to counseling but it is not the Department’s intention that any/all counseling be recorded. If a record is made, a copy of the report shall be placed in the individual’s division performance/training file after the counseled employee has read and initialed all the items. (Refer to Section 3.20, Policy and Procedure Manual.)
In any event where a sustained finding, resulting in either counseling or no discipline, is filed in the Internal Affairs Unit, the employee shall have the same opportunity to respond as with a written reprimand.

Question 15

3.3 Disciplinary Procedures-Discipline other than counseling & Skelly Procedure

Answer 15

For discipline other than counseling, Internal Affairs will prepare the written reprimand or appropriate “Notice of Intent” letter. After obtaining the signature of the third level supervisor, Internal Affairs will serve the employee with the written reprimand or appropriate “Notice of Intent” letter complying with all the provisions required by Civil Service Rule VII, Section 7.2.1. Suspensions of one working day may be administered in the form of a pay step reduction. Discipline of two days or more shall be administered in the form of a suspension.
An employee may request a Skelly Conference for any proposed discipline other than a written reprimand or counseling. (For written reprimand review process, refer to procedures below).
The employee shall have five (5) working days in which to request a Skelly Conference. The Skelly Conference must take place within ten (10) working days of the request for the conference. A waiver of the ten (10) working day limit must be mutually agreeable to both the employee and the conference officer.
Failure of the employee to request a Skelly Conference within the allotted time, or failure to appear at the designated time and place without just cause, shall constitute a waiver, and the package will be forwarded to the appropriate level for final decision via Internal Affairs.
Skelly Conference officers will normally be a Sheriff’s representative, usually a third level supervisor (station/facility commander not in the employee’s chain of command). Where appropriate, due to the
employee’s rank or position, the Sheriff may be the conference officer, at his discretion

Question 16

3.3 Disciplinary Procedures-After the Skelly Conference

Answer 16

The Skelly Conference officer will forward the disciplinary package along with a written summation and recommendation to the Internal Affairs Unit. The disciplinary package will then be forwarded to the employee’s Assistant Sheriff/Executive Director, via the chain of command. It will then be forwarded by Internal Affairs to the Undersheriff and Sheriff for final review and approval.
After a final decision has been rendered, the Internal Affairs Unit will prepare the formal final order imposing discipline complying with all the provisions of Civil Service Rule VII, Section 7.3.
The final order of discipline will be signed by the Sheriff or his designee and will be served on the employee by the Internal Affairs Unit. The employee will be advised of all appeal rights at this time.
Discipline should be carried out as soon as possible after service of the order. In the case of suspensions, the employee shall be notified by his/her supervisor of the beginning and ending dates of the suspension. The suspension shall be carried out in consecutive working days.
The employee shall not be allowed to work in any capacity during the period of the suspension.

Question 17

3.3 Disciplinary Procedures-Appeals to Discipline-Written Reprimand

Answer 17

Written Reprimand
Written reprimands are not appealable to the Civil Service Commission. However, within thirty (30) days of receipt of the reprimand, the employee may submit to the fourth level supervisor a written response to the reprimand. After review by the fourth level supervisor, the written response will be attached to the reprimand and filed in the employee’s discipline file. The fourth level supervisor, after review of the written response may elect an alternate course of action in lieu of the written reprimand.
Further review of a written reprimand may be pursued through the grievance procedure applicable to the employee’s classification. (Refer to the Civil Service Rules, Rule VII, Section 7.3(c).)

Question 18

3.3 Disciplinary Procedures-Appeals to Discipline-Suspensions and Pay Step Reductions

Answer 18

Suspensions and temporary pay step reductions are appealable according to the following criteria:
Permanent Employees: Have a right to a Skelly Conference and may appeal to the Civil Service Commission. This includes permanent employees who are in the probationary period following a promotion.
Probationary Employees: Have a right to a Skelly Conference only.

Question 19

3.3 Disciplinary Procedures-Appeals to Discipline-Demotion

Answer 19

Demotions are appealable according to the following criteria:
Permanent Employees: Have a right to a Skelly Conference and may appeal the discipline to the Civil Service Commission.
Probationary Employees
Have a right to a Skelly Conference only. This includes permanent employees who are in the probationary period following a promotion.

Question 20

3.3 Disciplinary Procedures-Appeals to Discipline-Termination

Answer 20

Terminations are appealable according to the following criteria:
Permanent Employees
Permanent employees, including those serving probationary periods following a promotion, have a right to a Skelly Conference and may appeal the discipline to the Civil Service Commission.

Question 21

3.3 Disciplinary Procedures-Skelly Conference

Answer 21

The Skelly Conference officer usually is a third level supervisor not in the employee’s chain of command. The purpose of the conference is to review/hear the employee’s written/oral response to a proposed disciplinary action.
Prior to the Skelly Conference, Internal Affairs will provide the employee with copies of all the documents upon which the proposed discipline is based so that an oral/written response to the proposed discipline can be prepared.
At the Skelly Conference the employee may be accompanied by an attorney and/or representative of the employee’s choice. (Excluding persons involved in the investigation or the disciplinary action.) In conducting a Skelly Conference, the Skelly officer will be allowed access to the personnel and training files relating to the employee.
At the conclusion of the Skelly Conference, the Skelly officer shall prepare a written summation of the conference with a recommendation of the appropriate charges and discipline to be imposed. The Skelly officer may affirm, reject or modify the original recommended charges and/or level of discipline. The entire disciplinary package is forwarded to Internal Affairs for processing and routing.
Should the Skelly recommendation result in an increase in the proposed discipline, Internal Affairs will be required to serve the employee a modified “Notice of Intent”, provide the employee with a copy of the appropriate documents and advise the employee of the right to another Skelly Conference.
Probationary Employees
Probationary employees may be “non-retained” as a result of an Internal Affairs investigation but are not entitled to a Skelly Conference. A probationary employee dismissed at any time within the probationary period shall have no right to appeal to the Civil Service Commission in regard to his/her separation. A probationary employee who alleges facts showing a violation of his/her liberty interest shall be entitled to a hearing in
accordance with the rules, procedures, and policies implemented by the Civil Service Commission. (See Civil Service Section 4.2.5).
A dismissed probationary employee may request a review and/or meeting with the Assistant Sheriff of the Human Resource Services Bureau or his/her designee for the sole purpose of presenting any facts of mitigation. (9-29-11)

Question 22

3.4 Reporting non-work related absences

Answer 22

If an employee is absent for more than five (5) days, an Payroll Exception Time Report (Form PR1)” shall be completed by the employee and attending physician and submitted to the supervisor prior to returning to work. This applies to non-work related absences only. Employees absent due to work related injury or illness should refer to Policy and Procedure Section 3.16 for documentation requirements.
Upon request of the supervisor, an employee shall be required to provide the above described verification of proper use of sick leave for periods of less than five (5) consecutive work days, if the supervisor has good cause to require such earlier verification and has so informed the employee prior to or during the employee’s absence. (08-18-97) (Reviewed 4-8-2011)

Question 23

3.5 EMPLOYEE PERFORMANCE APPRAISALS-Monthly

Answer 23

Monthly evaluations are given to all probationary employees to insure communication between the supervisor and employee and to provide the basis for preparing the formal performance reports. These evaluations should reflect the communicated standards met by the employee and should address any performance deficiencies observed during the probationary months. These probationary evaluations should receive the same chain of command review as the regular performance reports. Although an employee may not appeal a monthly evaluation, they may opt to write a rebuttal in response to it. These evaluations are for Sheriff’s Department internal use only and will not become a part of the employee’s master personnel file which is maintained by the County’s Department of Human Resources.

Question 24

3.5 EMPLOYEE PERFORMANCE APPRAISALS-Log Events

Answer 24

The log event section is a tool for supervisors to document employee performance on a monthly basis and provides a record for supervisors preparing an evaluation. All logged events shall be presented to the employee for signature with a signed copy retained in the station file.
Should a supervisor need to document a conversation with an employee regarding a violation of Sheriff’s Policy and Procedures, no specific facts of the incident will be entered and the following language shall be used:
On (today’s date), I spoke with (employee’s name) regarding Sheriff’s Policy and Procedure (applicable section), (applicable title).
Logged events may or may not be memorialized in the annual evaluation based on the employee’s overall performance and the supervisor’s discretion. If they are included in the evaluation, the inclusion of specific details is appropriate.

Question 25

3.5 EMPLOYEE PERFORMANCE APPRAISALS

Answer 25

The supervisor will complete and present written evaluations to employees within 30 days from the close of the rating period. The employee shall have a maximum of 5 days to consider the performance appraisal before signing. Reports should be forwarded to Sheriff’s Personnel for processing immediately after completion so that Personnel can file with the County within the 10 day “after signature” deadline.
Ratings should be based on facts and be sufficiently detailed so that the employee understands the rating. Raters should not be influenced by previous ratings and should never review past employee performance reports in preparation of filling out a current performance report. Any rating other than meets expectations should be sufficiently detailed to support the rating. For professional staff, a rating other than exceeds expectations or meets expectations should be sufficiently detailed to support the rating.
Raters should review and consider current station/division employee performance files which may contain memorandums of discussion, commendations, and letters of appreciation etc… for that rating period. The employee performance file should be purged of materials that are no longer relevant following the yearly evaluation and the completion of any appeals.
When an employee’s job performance falls below the established standards of the job, the employee’s supervisor shall advise the employee immediately in order to provide the employee the opportunity to improve performance. Repeated or continuing failure to meet established performance standards after appropriate notice is given to the employee is justification for a Does not Meet Expectations rating which may have the effect of delaying pay step advancement.

Question 26

3.5 EMPLOYEE PERFORMANCE APPRAISALS-Appeals

Answer 26

Employees are entitled to appeal their Performance Reports according to County of San Diego Human Resources Policy 1003. Hearing Officers may modify performance reports when there has been a clear showing of bias on the part of the rater, when the employee was not previously advised of their work deficiencies, or if any of the information contained in the EPR is factually incorrect. If an employee disagrees with an appraisal but does not want a formal appeal, the employee may prepare a written rebuttal for attachment to the appraisal.
If the employee requests an appeal of the performance report, the Sheriff’s Personnel Lieutenant or designee, acting on behalf of the Sheriff, will provide the employee with the names of 3 prospective appeals officers from which to select. The names will be provided from a list of all department professional staff managers and sworn staff, at the rank of Lieutenant and above. Serving as an Appeal Officer is a leadership duty and responsibility expected of all department managers. The Personnel Captain is authorized to excuse a department member from serving as an appeal officer on a given appeal.

Question 27

3.5 EMPLOYEE PERFORMANCE APPRAISALS-Appeal Process

Answer 27

 The appellant has seven days to select an appeals officer from the choices provided. If the appellant does not select an appeals officer within the given time frame, a second notice will be provided. If there is still no response the appeal is considered withdrawn.
 The chosen appeals officer is notified by the Personnel Division and is provided with a copy of the disputed evaluation, DHR Policy 1003, a sample report and a hearing officer’s guide.
 The appeals officer must meet all parties involved in the investigation within 30 days of appointment.
 The employee is entitled to bring a representative to the appeal hearing to assist in the discussion and/or presentation of material supporting the employee’s position in the matter.
 The appeals officer will prepare and submit a report including their findings and recommendations to the Assistant Sheriff of Human Resources, via the Personnel Captain, within five days of meeting with all of the involved parties.
 The appeals officer must not change the performance report unless all or any of the following criteria apply:
o A Clear finding of bias
o The employee was never advised of work deficiencies
o The information in the performance report is factually incorrect
 If the appeals officer recommends changes to the evaluation, the appeals officer will re-write the evaluation, sign the appeal review completion line, and attach a signature page for the Personnel Captain and the Assistant Sheriff of Human Resources.
 The Assistant Sheriff shall consider, but is not bound by, the appeal officer’s findings and recommendations within 5 calendar days of submittal.
 If the Assistant Sheriff concurs with the appeals officer, it will be noted on the signature page and the reports returned to Personnel.
 Any changes or modifications recommended by the Assistant Sheriff will be executed by the Personnel Captain or designee.
 If the Assistant Sheriff does not accept the Appeal Officer’s recommendations, he/she shall serve the employee with the Appeal Officer’s report and written notice of the intended decision.
 The employee may respond to the intended changes in writing to the Assistant Sheriff within 5 calendar days of receipt of the intended decision.
 The Assistant Sheriff’s final decision and a copy of the final performance appraisal shall be issued within 10 calendar days and may not be appealed to the Civil Service Commission.
 The time limits in the appeals process may be modified by mutual agreement of the parties.
(06-17-14)

Question 28

3.12 UNIFORM REQUIREMENTS, External Vest Covers

Answer 28

Rural Enforcement
Crime Suppression Team (CST)
Criminal Apprehension Team (CAT)
Gang Enforcement Team (GET)
County Parole and Alternative Custody (CPAC)
Border Crime Suppression Team (BCST)

Canine, COPPS, SRO’s, Community College SRO’s, Railway Enforcement Team, SADLE, SPO’s, and Detectives are authorized to wear the green external vest only during the below law enforcement operations. If time allows, the aforementioned specialized units and Detectives electing to wear the green external vest shall also wear the appropriate black polo shirt with patches.
High risk directed patrols targeting prolific offenders
Probation/Parole searches
Service of search and arrest warrants
The external vest is not to be worn during routine patrol functions with the exception of Rural Enforcement. The external vest shall not be worn to court, during school presentations, City Council meetings, formal meetings, community events or community presentations.

Question 29

3.12 UNIFORM REQUIREMENTS-Full duty Leather

Answer 29

Full duty leather shall include the following safety equipment: gun belt and holster, handgun, spare magazines, handcuffs, OC spray, approved impact weapon and TASER if TASER trained.

Question 30

3.16 OCCUPATIONAL INJURIES, ILLNESS OR DEATH-Injury reports

Answer 30

Occupational injury reports shall be completed whenever a job related injury occurs.
The injured employee must be provided an “Employee’s Claim for Workers’ Compensation Benefits” Form DWC-1, within 24 hours. In addition, the employee shall complete the “Report of Occupational Injury (MLU-4)” worksheet whenever that employee is injured on the job. It is the supervisor’s responsibility to see that the worksheet is “faxed” to the Medical Liaison Unit no later than the next business day after the injury or illness. After sending the fax, the original will be forwarded to the Medical Liaison Unit by messenger mail.
The supervisor shall then complete a “Supervisor’s Accident Investigation Report (RM-3)”. This report will be routed to the Medical Liaison Unit no later than the next business day following the injury or illness.
If the employee’s injury or illness requires medical treatment, a “Medical Disability Status Report (MLU-1)” must be completed by the employee. The MLU-1 serves as a doctor’s note, prescription for any work restrictions, absences from work and/or is to restore the Light Duty employee’s leave balances when their balances are used for release time. Release time will only be granted to those employees who are on Light Duty and not for employees who are Full Duty, or have reached a Permanent and Stationary status on an injury. The MLU-1 must be completed and signed by the treating physician or therapist, and submitted to the employee’s supervisor. A new MLU-1 form is required each and every time the employee is seen by a physician or therapist. The supervisor shall route this form to the Medical Liaison Unit no later than the next business day from the day it is received from the employee.
The Workers’ Compensation Code of Regulations requires the treating physician to provide a progress report every 45 days from the last report if continued treatment is being provided. It is the employee’s responsibility to see that their supervisor and the Medical Liaison Unit is updated with the MLU-1 form every 45 days, or sooner, and to schedule follow up examinations and re-checks within this period to avoid interruption of benefits.

Question 31

3.19 CAREER DEVELOPMENT FOR SWORN PERSONNEL-Temporary Assignments

Answer 31

A temporary re-assignment of a Deputy Sheriff may be made by mutual agreement between the concerned division/facility/station commanders. All temporary re-assignments require an approved Personnel Action Request (form PER-25). The Captain of the Personnel Division shall be notified of all temporary assignments and all extensions of temporary assignments for record-keeping purposes. Bureau commanders may temporarily re-deploy personnel within their assigned bureau for operational needs. If the position to be filled is considered a specialty/competitive position and requires a competitive process the selection for the temporary re-assignment shall be made from the position’s current list. The names provided to the command shall be the top six (6) or top eleven (11) eligible names, depending on the position. Temporary assignments shall be for operational purposes only and shall not be used for matters related to performance or discipline.

Question 32

3.19 CAREER DEVELOPMENT FOR SWORN PERSONNEL-Employee files

Answer 32

Personnel File (3.20)
Performance Reports (3.5)
Department Awards (3.23)
Report of Exemplary Performance (3.23)
Personnel File Review Record, Duty Assignment Record
Training File (3.20)
P.O.S.T. /S.T.C. Certificates
Training certificates, diplomas and other documents of training completion
Training Summary Record
Station File (3.20)
Counseling slips – purged annually
Non-Department Commendations, below the level of Exemplary Performance
Letters of Appreciation
Training Attended

Question 33

3.25 THREATS OF PHYSICAL HARM TO EMPLOYEES AND ELECTED OR PUBLIC OFFICIALS

Answer 33

The employee’s supervisor will promptly confer with the threatened employee and take appropriate action in an attempt to ensure the employee and the employee’s family member’s immediate safety. The employee’s supervisor shall initiate immediate verbal notification, via the chain of command, to his/her appropriate Assistant Sheriff for proper notification. In addition, the employee’s supervisor shall immediately verbally report the threat to the Threat Assessment Group (TAG) Sergeant.
The employee’s supervisor will ensure that the threat is properly documented in NetRMS. The special studies field located in NetRMS for “Employee Threatened” will be appropriately marked for statistical purposes. The primary investigation of the threat will be handled by the Threat Assessment Group.
Command’s responsibilities:
A crime or miscellaneous incident report will immediately be taken by the affected command. The Approving Sergeant will immediately forward the case to the TAG Sergeant for follow-up and disposition of the case.

Question 34

3.30 SHERIFF’S SPECIAL FUNDS

Answer 34

The Sheriff’s Special Fund is to be used primarily for purchases that must be kept confidential due to the nature of an investigation. It is not to be used in lieu of other budgeted funding sources or methods of procurement, such as the P-card or petty cash. The fund may be used to purchase investigative equipment to a limited degree if the equipment directly relates to a specific case and there is no other expeditious means to purchase that equipment. The Financial Services Division (FSD) must be notified in writing of such equipment purchases within 14 days to insure proper inventory tracking. This requirement may be delayed for sensitive cases with the written permission of the Undersheriff.
Generally, the fund is not to be used for travel, unless it relates to a specific investigation and prior written permission of the Sheriff or Undersheriff has been obtained. An investigative case number is to be used for each transaction.
Special Fund Management
 The fund is to be used primarily for Purchasing Evidence and Purchasing Information (referred to as PE/PI) but can be used for emergency purchases or where purchases must be kept confidential due to the nature of an investigation. Personnel will only be issued money for specific operations or investigations. They will not maintain individual, running PE/PI cash balances for unspecified use.
 Station and unit/division commanders are the persons designated to receive and control special funds within their respective commands. They will perform spot check audits at such time as he/she deems as necessary.
 Each command will establish an account book which will record:
 All deposits to the account by amount, date of receipt, and name of person making the deposit.
 The receipt number corresponding to any disbursements from the fund, date of disbursement, name of person to whom the disbursement was made and the category of expense the disbursement was for;
 A running balance of money in the fund.
 When money is withdrawn from the fund, a Department issued numbered Special Fund receipt will be signed by the deputy receiving the money. The receipts shall be used in numerical order. The Special Funds receipts will be retained by the person responsible for the fund. Numbered receipts shall be issued by the Special Fund accountant.
 An employee shall not be issued more money if he/she still has an outstanding balance of Special Funds which have not been fully accounted for.
 While advances to investigators and supervisors are acceptable, an advance will never be kept out longer than 30 days.
 When Special Funds are returned, there must be documentation of the expenses incurred which should include receipts and be accompanied by the appropriate report (Informant Contact Report (ICR), Crime Report, Deputy’s Report, etc.)
 All payment vouchers, ICR’s and reports related to payment of Special Funds must be reviewed by the Unit Lieutenant before being filed into the Informant File at CID.
 Receipts are not required where obtaining them would endanger the deputy or jeopardize an investigation or undercover operation. If a receipt is not obtained, a reason must be noted by the deputy on the Special Fund numbered receipt.
 All related reports must be completed as soon as practical, but no more than seven days from the date of contact and/or payment.
 Employees are discouraged from comingling Special Funds from multiple investigative units without consent of their immediate supervisor. When possible, an employee should use only one source of funds for a specific operation.
 Special funds receipts and record books should never have items “whited out.” The only acceptable method of correcting items is a single line crossing out the mistake with the initials of the corrector and the date written next to it. If it is necessary to void out an entire receipt and start fresh, that is acceptable as long as the voided receipt is kept in order.
 The originals of the completed Special Fund receipts, with attached purchase receipts, will be maintained and made available with the account book for audit purposes.
 The Special Funds receipts, the cash in the Special Fund and the Special Funds logbook shall be returned to Financial Services Division when a Sergeant or Lieutenant who has custody and control of said funds is transferred. Financial Services will reissue these items when a replacement supervisor is identified and a change of command audit is complete.
 At the time of appointment and at each annual performance review, sworn staff assigned to the Special Investigation Division (SID) will undergo training as it relates to Special Fund use and management. Training will be documented and will be placed in the employee’s training file.
Payment of Informants
Informant Fees
Approval of the Sheriff or Undersheriff is required prior to payment on all informant fees in excess of $5,000 from the Special Fund. Payment of funds to cooperating individuals for amounts less than $5,000.00 will be approved and authorized prior to payment by the person responsible for Special Funds at the respective stations and units based on the following:
 Payments will only be made to informants that have been properly documented and are currently in “active” status per P&P 6.62.
 The deputy making the payment will ensure the presence of another deputy or officer to witness such payment. The informant will then sign the paying deputy’s copy of the SID payment voucher (Form# SID 11) as having received the money. Both deputies/officers will then sign this form, and place it in the informant’s numbered file.
 If the informant is currently housed in a facility where they cannot receive cash in person or it is impractical to meet in person, a supervisor can authorize an electronic payment to their inmate account and the confirmation receipts and/or pre-pay credit/debit cards used to make the transfer will be attached to the payment voucher (SID 11).
Informant Expenses
Payment (reimbursement) to a cooperating individual for expenses he/she has incurred in providing information, but which is not payment for the information (informant fees) shall be approved and authorized by the person responsible for Special Funds.
Expenses which would be eligible for reimbursement may include but are not limited to meals, transportation gasoline, lodging, etc. The amounts will normally be under $25.00 and an informant contact report and voucher for payment will be completed and witnessed by two deputies, just like payment for information. All such payments will be considered benefits to the informant by the District Attorney’s Office and may be questioned in court.
Purchase of Evidence
Allocation of funds to purchase stolen property or other contraband shall be approved and authorized by the person responsible for Special Funds at the respective Stations/Commands. A reasonable belief that the property to be purchased is in fact stolen or contraband should be evident.
The procedures to be followed are set forth in Section 6.62 “Payment of Informants/Purchase of Evidence” of the Departmental Policy and Procedure Manual. Appropriate signatures will be obtained on the “Voucher for Payment for Information and Purchase of Evidence” (Form #AS 5/23).
All funds expended for the purchase of evidentiary items shall be documented according to the above procedures and be briefly described on the Special Fund receipt.
Responsibility for Audits and Reports on Sheriff’s Special Fund
Unit/Station/Division Commanders
 Request funds from the Special Fund accountant with written justification.
 File written monthly reports by the 15th day of the following month detailing expenditures and fund balance at the end of the prior month. File annual reports in accordance with the approved format by July 31st detailing annual fund transactions and balance at the end of the fiscal year.
Bureau Commanders
 Attend annual on-site reviews of special fund records to ensure that special funds are being utilized properly.
Special Fund Accountant-Financial Services Division
 Processes claim to Auditor and Controller for funds.
 Maintains central records of Special Fund.
 Receives requests for funds from station/unit/division commanders and prepares checks from the Central Fund for the Undersheriff’s signature.
 Routes checks through the Undersheriff.
 Disburses money from the Central Fund bank account.
 Reviews and reconciles monthly and annual reports received from station/division commanders.
 Prepares the year-end report to Auditor and Controller according to the fiscal year-end closing schedule, usually by mid July .
 In conjunction with the bureau commanders, conducts the annual audit of all operational special funds by October 15th and reports audit findings to the Sheriff via the Chief Financial Officer and Undersheriff by October 31st.
Chief Financial Officer, Fiscal Services Division
 Reviews records maintained by the Special Fund accountant throughout the year.
 Reviews and approves checks prepared by Special Fund Accountant.
 Discusses unusual requests for funds with Bureau Commanders or Assistant Sheriff, Law Enforcement Services.
 Forwards checks to Undersheriff for signature.
 Reviews and approves annual audit of special funds. Prepares report of findings and recommendations for the Undersheriff, via the Bureau Commanders, Executive Director and Assistant Sheriff of Law Enforcement Services.
Undersheriff
 Reviews and approves the annual audit report on Special Funds from the Chief Financial Officer.
 Reports any deviation from normal policies and procedures to the Sheriff. (11-06-14)

Question 35

3.31 PROCEDURE UPON DEATH OR SERIOUS INJURY OF EMPLOYEE

Answer 35

The deceased employee’s commanding officer or designee will notify, where applicable, the Sheriff or Undersheriff, the Personnel Captain, the Medical Liaison Unit and the Peer Support representative upon the death of an employee.
The commanding officer or designee will then see to the timely notification of the employee’s family.
The Medical Liaison designee shall personally and promptly contact the surviving spouse or family and advise them of the Department’s policy to provide assistance as may be appropriate or desired.

Question 36

3.37 EMOTIONAL STRESS PROCEDURE

Answer 36

When an employee suffers psychologically and/or physically as a result of a critical incident:
 The employee’s immediate supervisor shall ensure that all necessary reports documenting the incident are completed.
 The employee involved may be placed on Administrative Assignment with pay, by the Captain or Manager of his or her facility immediately following questioning or investigation of the incident. The employee may not return to duty in less than 24 hours. The Captain or Manager shall notify the Human Resource Services Captain.
 The Human Resource Services Captain or his/her designee may schedule an appointment for the involved employee with a medical and/or mental health provider.
 The medical and/or mental health provider will recommend to the Human Resource Services Captain or his/her designee the amount of administrative assignment if any, the employee requires.
 When the Human Resource Services Captain, or his/her designee, reviews the facts of the incident and the medical and/or mental health provider, he/she shall decide the duration of approved Administrative Assignment.
 An employee involved in a critical incident may be relieved of their duties and may be given a temporary assignment. The employee will remain in this capacity until cleared to return to duty by the Human Resource Services Captain. If the incident was related to the use of a firearm, sworn personnel are required to make arrangements with weapons training unit personnel, to qualify with their issued firearm, prior to returning to their original assignment. After successfully demonstrating firearms proficiency, sworn personnel may be returned to their original assignment held prior to the incident.
 The Human Resource Services Captain, or his/her designee, will advise the employee’s command, in writing, of the employee’s ability to return to duty from a physical and/or mental health standpoint.
 Once the employee is placed on administrative assignment, the Risk Management Unit should maintain regular contact with the employee.
 The employee is expected to fully participate in the initial medical and/or mental evaluation and on any follow-up session.
 Mandatory administrative assignment and contacts with the psychologist are not an indication of fault or related to any criminal investigation of the incident. All contacts between the employee and the medical and/or mental health professional are confidential.
When an on-duty sworn or non-sworn employee’s life has been in critical danger, or the employee has witnessed or been exposed to an unusual traumatic incident the employee’s immediate supervisor shall meet with the employee and assess the need for counseling and/or other action.
The supervisor may:
 Refer the employee to a member of the Peer Support Unit.
 Refer the employee to the Department’s Employee Counseling Services contractor.
Recommend the employee be placed on administrative assignment and be referred to a medical and/or
mental health provider. (09-29-11)

Question 37

3.47 DISCRIMINATION AND SEXUAL HARASSMENT-Defined

Answer 37

Unwelcome sexual advances, requests for sexual favors and other verbal or physical conduct of a sexual nature, constitutes sexual harassment when:
 Submission of such conduct is made either explicitly or implicitly a term or condition of an individual’s employment;
 Submission to or rejection of such conduct by an individual is used as the basis for employment decisions affecting such individuals; or,
 Such conduct has the purpose or effect of unreasonably interfering with an individual’s work performance or creating an intimidating, hostile or offensive working environment.

Question 38

3.47 DISCRIMINATION AND SEXUAL HARASSMENT-Supervisor Role & Responsibility

Answer 38

 It is the responsibility of all supervisors to establish and maintain a working environment which is free from discriminatory intimidation, ridicule, and insult.
 Individual supervisors are responsible to report and/or effectively resolve all known discrimination and/or sexual harassment incidents.
 Any supervisor who is informed or becomes aware of a suspected discrimination and/or sexual harassment incident shall take prompt corrective action.
 It is the supervisor’s obligation to document all incidents, and action taken thereafter, involving allegations of discrimination and sexual harassment. Whether the complaining party requests formal or informal action, the supervisor must follow through, either by the formal complaint process or by admonishing the harasser and documenting the incident.
Supervisors receiving the complaint shall carefully and objectively listen to and evaluate the complaint. Supervisors will promptly and clearly inform the employee of his or her rights and how to protect them.

The supervisor shall conduct an investigation to determine whether or not wrongful conduct has been committed and take appropriate action. The investigation should include talking with the accused harasser and any witnesses.
If a formal complaint is requested, the employee and/or supervisor will fill out a citizen’s complaint form and forward it to the Internal Affairs Unit for follow-up and investigation.
If a formal complaint is not requested but, in the supervisor’s opinion, is warranted, the same procedures apply.
If it is requested and warranted for the complaint to be handled on an informal basis, the supervisor should exercise discretion in effectively resolving the situation. The supervisor shall document the incident and all follow-up actions. The documentation shall be kept in the counseled employee’s station performance
file in accordance with Policy and Procedure Sections 3.3 and 3.20.
In any event, the supervisor will take action to stop the harassment and prevent any future incidents or retaliation against the complainant.
All situations which may involve discipline will be handled in accordance with the Peace Officer’s Bill of Rights (Government Code 3300-3311) and Department Policy (Section 3.3 and 3.20). During the course of the investigation, the Department may temporarily or permanently reassign an involved subject(s) pending completion of a complaint.

Question 39

3.47 DISCRIMINATION AND SEXUAL HARASSMENT-Complaint Procedure

Answer 39

It is the responsibility of all Sheriff’s supervisors and managers to investigate and resolve any incidents or complaints of discrimination and/or sexual harassment. Whenever possible, complainants should first be directed to the employee’s immediate supervisor. If circumstances dictate other action, employees may go to ANY supervisor to report the complaint.
Alternative methods of reporting are available to employees through the following agencies: Employee Relations, IA, SD county office of Ethics and Compliance, CA Dept of Fair Housing, Federal EEOC

Question 40

3.50 Sick Leave-Defined

Answer 40

Sick Leave is a paid leave earned and granted to an eligible employee for absences from work due to medical or dental reasons relating to themselves or their immediate family. For purposes of this policy, “immediate family” includes husband, wife, child, stepchild, brother, stepbrother, sister, stepsister, parent, stepparent or any person serving as a parent, or who has served as a parent, or any other person living in the same household as the employee.

Question 41

3.50 Sick Leave-usage

Answer 41

Requests for more than five (5) consecutive workdays of sick leave shall be accompanied by a physician’s verification or other evidence satisfactory to the appointing authority, which demonstrates the employee’s incapacity to work or necessity to be absent.

Question 42

3.50 Sick Leave-Supervisory Review

Answer 42

It is the responsibility of all supervisors to monitor and review the sick leave usage of their subordinates. Abuse of sick leave has a severe impact on operations, productivity, and morale. It may result in staff conflict regarding replacement, workload, and shift coverage, and makes scheduling difficult causing delays or missed deadlines on important assignments.
To facilitate the supervisor’s review, the Payroll Unit shall provide quarterly reports of sick leave usage to each command. The reports shall include individual employee’s usage and balances, and unit/division/detail use.
Other factors to consider in evaluating a potential sick leave use problem are:
 Repetitive uses of sick leave in conjunction with holidays or days off.
 Repetitive uses of sick leave on the same day of the week.
 Use of sick leave for frequently arriving at work late or for leaving early. Consistently low sick leave balances or use of sick leave as quickly as it is earned.
 Low sick leave balance relative to tenure and absent mitigating factors.
 Consistent use of sick leave offset by scheduled overtime.
 A combination of above factors or other demonstrable patterns of usage.
Resolving Department and Employee Concerns
If a supervisor has cause to suspect an employee is abusing sick leave, the supervisor shall notify and conduct a review with the employee. The supervisor should meet with the employee to resolve the issue. This may include:
 Providing the employee with a copy of this policy and clarifying expectations regarding sick leave use.
 Referring the employee to appropriate county and department assistance programs.
 Obtaining agreement from the employee to work within department policies and procedures and advising the employee that findings of sick leave abuse could result in consequences consistent with progressive discipline guidelines.
 Requiring the employee to submit written verification from a physician for each subsequent sick leave absence.The supervisor taking the action outlined above shall document the steps taken and follow-up within an established time frame to insure satisfactory resolution. If an employee continues to exhibit a pattern of alleged abuse, the supervisor shall then pursue progressive discipline.
Disapproval of Sick Leave
When a supervisor does not approve an employee’s use of sick leave, the number of days absent, the employee’s request, the supervisor’s reason for disapproval, and any other information required to support the supervisor’s decision shall be documented and placed in the employee’s facility or station file.
Employee’s Right to Appeal
Any dispute that arises concerning the application or interpretation of this policy is reviewable via the employee grievance procedures detailed in the appropriate Memorandums of Agreement. (Reviewed 4-8-2011)

Question 43

3.54 OVERTIME MANAGEMENT

Answer 43

Overtime management is an on-going fiscal responsibility. All supervisors are responsible for managing overtime and shall consider or ensure the following:
 Both cash and compensatory time off are considered overtime.
3.53 COMPENSATORY TIME OFF REQUESTS
3.54 OVERTIME MANAGEMENT
 Facility and station schedules shall be posted at least 14 days in advance and will indicate authorized staffing levels and relief positions.
 All personnel will be scheduled for their 10-hour day at the convenience of the command.
 All overtime worked shall have prior approval of the employee’s current command.
 All payroll entries, including overtime worked at another station/facility, will be entered by personnel at the employee’s current command.
 Overtime opportunities will be offered first to facility/station employees and then Bureau employees, before being offered Department-wide. (10-24-05) (Reviewed 4-8-2011)

Question 44

3.56 RETALIATORY CONDUCT BY EMPLOYEES

Answer 44

Duty to Report Misconduct
All employees both sworn and non-sworn have an affirmative duty to report misconduct (See 2.6 P&P). Failure to report misconduct could result in disciplinary action. When reporting serious acts of misconduct, employees do not have to adhere to the chain of command. If the misconduct has implications of illegal activity, corruption or other serious offenses, there are alternative methods of reporting available to employees through the following agencies: IA, Employee Relations, SD County Office of Ethics and Compliance
Retaliatory Conduct
Any retaliatory action made by an employee against another employee who made a good faith report of misconduct, will result in disciplinary action. When reporting complaints of retaliatory action, employees do not have to adhere to the chain of command.
Public Disclosures and Legal Remedies
Employees have the right to make public disclosures, so long as they are deemed to be of public concern and in so doing, they are protected by the First Amendment. There are limitations to the protection of speech, so employees should consult with this departments Rules of Conduct policy section.
Supervisor’s Responsibility
If a supervisor is made aware of a complaint of retaliatory action, they will either investigate it themselves, or notify the appropriate entity. There may be cases where internal affairs or another unit is conducting the original investigation and would be better suited to investigate the retaliatory action.
It is the supervisor’s obligation to document all incidents, and action taken thereafter, involving allegations of retaliation.
Supervisors need to be aware that employees who have been subjected to retaliation may be under stress. If a supervisor believes the employee needs counseling or other services they should refer the employee to The Counseling Team. (10-31-13)