Cal. Code Regs. tit. 15 § 3486.2

Current through Register 2025 Notice Reg. No. 2, January 10, 2025

Section 3486.2 - Staff Misconduct Investigations Involving Misconduct toward Incarcerated or Supervised Persons

(a) Investigation Processing.

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

(2) A manager shall review the investigation file to determine the level of investigator to be assigned, in consultation with EAPT for designated cases.

(b) Staff Misconduct Investigations.

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

(2) When an investigator is assigned a case, they shall disclose if they have a potential conflict of interest in the case prior to investigating the allegations of staff misconduct toward incarcerated or supervised persons. If a potential conflict is disclosed then a manager shall determine whether a conflict exists and, if so, shall assign the case to another investigator.

(3) Completion of Investigations.

(A) When investigators conduct investigations, they shall ensure that all relevant evidence is gathered, recordings are preserved, and interviews are conducted.

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

(4) Closure of Investigation Based on Special Conditions.

(A) The investigator may recommend an investigation be closed when one of the following special conditions is met:

1) Review of video and audio recordings provides conclusive evidence that the alleged misconduct did not occur; or

2) No additional investigatory steps can be pursued due to the lack of specificity provided by the claimant and the claimant's refusal to cooperate with the investigator's efforts to obtain additional information.

(B) If the investigator determines that one of the special conditions contained in subsection (A) apply, the investigator shall document and forward their recommendation to a manager and, if the case is designated, to the assigned VA. Thereafter:

1) If the case is designated and the manager and VA concur that one of the special conditions apply, then the manager shall approve the recommendation to close the investigation, and notify the hiring authority of the decision.

2) If the case is not designated and the manager concurs that one of the special conditions apply, then the manager shall refer the case to the OIA regional administrator to review. If the OIA regional administrator concurs, then the manager shall notify the hiring authority of the decision.

3) If the case is designated and the manager or the VA do not concur that one of the special conditions apply, then the manager shall refer the investigation back to the investigator for further investigation.

(C) After receiving notification, if the hiring authority:

1) Does not concur that one of the special conditions apply or determines additional investigation is warranted, then the hiring authority shall refer the investigation back to the investigator for further investigation.

2) Concurs that one of the special conditions apply and determines additional investigation is not warranted, then the hiring authority shall notify the subject of the investigation and the claimant that the investigation was closed.

(5) Investigative Report Review.

(A) A manager shall review the draft investigativereport, 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 investigative report and all supporting exhibits and recordings, and provide feedback to the assigned investigator.

(C) After the investigative report is finalized, the confidential final investigative 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.

Cal. Code Regs. Tit. 15, § 3486.2

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.

1. New section filed 12-28-2021 as an emergency; operative 1/1/2022 (Register 2021, No. 53). A Certificate of Compliance must be transmitted to OAL by 6-10-2022 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-13-2022 as an emergency; operative 6/13/2022 (Register 2022, No. 24). A Certificate of Compliance must be transmitted to OAL by 9-12-2022 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-13-2022 order, including amendments, transmitted to OAL 9-9-2022 and filed 10/20/2022 (Register 2022, No. 42). Effective on filing based on good cause pursuant to Government Code section 11343.4(b)(3).
4. Change without regulatory effect amending section heading and subsection (b)(2) filed 7-1-2024 pursuant to section 100, title 1, California Code of Regulations (Register 2024, No. 27).
5. Amendment filed 12-26-2024 as an emergency; operative 1/1/2025 (Register 2024, No. 52). A Certificate of Compliance must be transmitted to OAL by 6-10-2025 or emergency language will be repealed by operation of law on the following day.