HomeMy WebLinkAbout2022-08-18; Police Use of Force Incident Public Record Release; Williams, MickeyTo the members of the:
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Aug. 18,2022
To:
From:
Via:
Re:
Council Memorandum
Honorable Mayor Hall a bers of the City Council
Mickey Williams, Chief
Scott Chadwick, City M na
POLICE USE OF FORCE I EN PUBLIC RECORD RELEASE
{cityof
Carlsbad
Memo ID #2022091
This memorandum provides information related to an incident in April 2021 where the use of
force by City of Carlsbad police officers is subject to public disclosure under new state laws. The
city has received two California Public Records Act requests related to this incident and will be
providing responsive records starting Thursday, Aug. 18, 2022. The estimated time for release
of the Body-Worn Camera video is Monday, Aug. 22, 2022.
Staff is providing incident details to the City Council for the council members' awareness and so
the council members can be prepared should they be contacted by members of the public or
media with questions or concerns. The Police Department has plans in place to host a
community meeting to review the incident and answer questions from the public and the
media, should that be needed.
Summary
• The Police Department takes the use of force very seriously.
• Although the Police Department did not receive an external complaint related to this
incident, the department took it upon itself to investigate the officers' use of force.
• The investigation concluded that four officers violated department policy.
• Three of the officers were disciplined and one left the department.
• The Police Department used the incident as an opportunity to provide additional
training for the entire department.
• The Police Department also created a use of force de-escalation policy in collaboration
with law enforcement agencies throughout our region.
• Of the 27 allegations of policy violations, 11 were sustained.
The relationship the Police Department has built with the community is extremely important,
and the department understands it needs to continue to earn the community's trust every day.
The department will continue to evaluate incidents where force is used, whether or not there is
a public complaint, and make information available to the public to the full extent allowed by
law.
Police Department
2560 Orion Way I Carlsbad, CA 92010 I 760-931-2170 t
Council Memo -Police Use of Force Incident Public Record Release
August 18, 2022
Page 2
SUMMARY OF INCIDENT1CARLSBAD P.D CASE# 21-02328:
Background
On April 10, 2021, at approximately 10:40 p.m., multiple officers from the Police Department
were involved in a use of force incident with two subjects. The incident began with a traffic stop
of a vehicle that was reported as a stolen/unreturned rental vehicle and was driving along
Avenida Encinas on three wheels and one rim.
The circumstances around an unreturned rental vehicle can vary. Sometimes these simply
involve someone that was late on the return to the rental company, while other times it
involves criminals that truly intend to keep the vehicle and not return it. Due to the vehicle in
this incident driving on three wheels and one rim, it appeared suspicious to the officer making
the stop.
Protocol for Stopping Stolen Vehicles
Due to the potential for further criminal activity occurring with subjects occupying stolen
vehicles, to include possession of weapons, and taking officer safety into consideration, officers
are trained to conduct what is called a "hot-stop" on a stolen vehicle. A hot-stop, also known as
a felony vehicle stop, is a traffic stop where officers do not walk up to the vehicle, but instead
wait for additional officers to arrive, at which time they give verbal commands to the occupants
to get out of the vehicle and slowly walk back to the officers with their hands up. During a hot-
stop, suspects are taken into custody at gunpoint. These types of traffic stops require multiple
officers so that there are lethal force options, less-lethal force options, and officers available to
take the subjects into custody safely. If possible, a K-9 Officer is usually present on a hot-stop.
The officers assisting with this incident included Carlsbad Police Sergeant Griggs, Carlsbad
Police Corporal Harvey, Carlsbad Police Officers Benavidez, Hubka, Molina, Ramirez, Teyechea,
and Walker, California State Parks Sergeant Fortin and San Diego County Sheriff's K-9 Deputy
Elwess.
Driver's Actions After the Vehicle Stop
The vehicle was being driven by a female adult and there was a male adult in the front right
passenger seat. During the traffic stop, the female driver became agitated and was yelling out
the window to the officer. She ultimately drove away from the scene and traveled a short
distance across the street and into the cul-de-sac of Macadamia Drive, which is adjacent to two
hotels, where her vehicle was stopped again.
1 For a more detailed overview of the incident, please refer to the documents which will be released in
response to the public records request. The documents will be available via the City's online records
request portal, GovQA, once they are released to the requestor.
Council Memo -Police Use of Force Incident Public Record Release
August 18, 2022
Page 3
Actions Involving the Male Passenger
During the second stop on Macadamia Drive, the male passenger cooperated when officers
asked him to exit the vehicle and walk back towards the patrol vehicles. However, when Officer
Walker attempted to place the male passenger in handcuffs to detain him while the
investigation continued, the male passenger became uncooperative and ultimately went to the
ground. A use of force occurred while attempting to place handcuffs on the male passenger.
Involved in this use of force were Officer Walker, Officer Benavidez, Officer Teyechea, Officer
Hubka, and Sergeant Fortin of the California State Parks Department. Carlsbad Police Sergeant
Griggs was monitoring this use of force.
Officer Walker used a head control takedown technique to bring the male passenger to the
ground because he attempted to pull away from Officer Walker. Body-Worn Camera video
shows the male passenger resisting, and it appears that the male passenger lowered his body to
try and w rap his right arm around Officer Walker's lower body before being taken to the
ground. Officer Benavidez assisted Officer Walker with the detention. As they all fell to the
ground, Officer Benavidez became pinned under the male passenger's legs and the rear of a
patrol car. Body-Worn Camera video shows Officer Benavidez on her side and back. A portion of
her body was under a police vehicle. Officer Teyechea arrived to assist and gave several verbal
commands to the male passenger, ordering him to stop resisting and give them his hands.
Sergeant Fortin of the California State Parks came to assist and used his bodyweight to help
control the male passenger. Lastly, Officer Hubka arrived to assist with gaining control of the
male passenger's arms and hands. While all officers were attempting to subdue the male
passenger, Officer Walker struck the male passenger approximately 20 times in rapid
succession in the head/face with a closed fist. During this time, Officer Teyechea attempted to
control the male passenger's arm while Officer Benavidez maintained control of the male
passenger's legs. Officer Walker then struck the male passenger two more times on the head
with Officer Walker's right elbow.
After the male passenger stopped resisting, he was handcuffed and transitioned to a recovery
position. He was assessed by medics on scene and transported to a hospital for medical
evaluation. He sustained minor abrasions to his forehead and a general complaint of pain to his
head. The officers involved in the use of force also sustained minor injuries.
Actions Involving the Female Driver
Once the male passenger was handcuffed and detained, detaining the female driver became
the priority for the officers on the scene. The female driver was still inside the vehicle and was
not cooperating with officers' directions or commands to get out of the vehicle and was
reaching around inside the vehicle. Sheriff's K-9 Deputy Elwess arrived on scene and, after
speaking with Officer Ramirez, made two announcements to the female driver that a K-9 would
be deployed if she did not comply with officers' orders.
After Deputy Elwess's announcements, Officer Ramirez deployed one volley of pepper ball
rounds (approximately 13 rounds) from his department issued air powered launching system
Council Memo -Police Use of Force Incident Public Record Release
August 18, 2022
Page 4
into the right rear window of the vehicle. Officer Ramirez gave announcements for the female
driver to "put her hands up." The female driver did not comply and began revving the engine of
the vehicle while it was still in park. Officer Ramirez then deployed a second volley of pepper
ball rounds (approximately 9 rounds) into the right rear window of the vehicle, which was
partially open. Corporal Harvey possessed a Less Lethal Bean Bag Shotgun, which he used to
break the rear right window to allow for easier access into the vehicle for either a K-9
deployment or further chemical agent deployment into the vehicle.
I The female driver opened the driver side door of the vehicle and exited while holding a small
bag close to her body. Simultaneous to the female driver opening the driver side door, Officer
Ramirez fired a third volley of pepper ball rounds (approximately 2) at the right rear opening of
the vehicle.
Within 1 second, Officer Ramirez fired a fourth volley of pepper ball rounds (approximately 10),
hitting the female driver or striking the ground next to her. Officer Ramirez yelled at the female
driver to "get onto the ground" as she moved away from her vehicle, laterally across the front
ofthe police vehicles. He deployed additional (approximately 15) pepper ball rounds, hitting
the femal'e driver or striking the ground next to her. The female driver did not follow the
commands to "get onto the ground" as instructed by the officers on scene. She instead ran
about the cul-de-sac. Approximately 1-2 seconds later and as the female driver ran away from
Officer Ramirez, he deployed (approximately 10) rounds of pepper ball, hitting the female
driver or striking the ground next to her.
The female driver ran in the direction of where Corporal Harvey was positioned. Corporal
Harvey yelled for her to "get on the ground" and immediately deployed two rounds of less-
lethal bean bags from his shotgun, hitting the female twice in her legs. The female continued to
run toward the lobby of the Best Western Hotel, which is located adjacent, and just south of
the street. She entered the lobby, and shortly after, she was physically knocked down and taken
into custody by Sergeant Griggs and Officers Molina, Hubka and Benavidez. The female driver
sustained one round welt on -each of her thighs, two welts on her lower back and numerous red
spots on the back of her neck and lower back. She was assessed by medics on scene and
transferred to the hospital for medical evaluation.
During this incident, Lieutenant Greg White was the highest-ranking officer on-duty as the
Watch Commander. Lieutenant White did not arrive at the scene during the incident or for the
subsequent documentation of the use of force required by Department Policy 300.7, even
though he was working out in the field, and he was listening to the radio traffic. Per policy
300.7, when a supervisor is notified of an incident involving any application of force defined in
policy 300.5.1 (a)-(i), the supervisor shall respond to the incident (Attachment 1).
Both the male passenger and female driver were taken into custody and booked into the Vista
Detention Facility. The male suspect was booked into jail for violating Penal Code Section 69 by
C.ouncil Memo -Police Use of Force Incident Public Record Release
August 18, 2022
Page 5
resisting a peace officer by using threats or violence. The female driver was booked into jail for
violation of Vehicle Code Section 10855 by not returning a rental vehicle.
INVESTIGATION INTO USE OF FORCE:
Following this incident, a police supervisor reported his concerns regarding how this incident
was handled by the officers and supervisors at the scene. A formal investigation was ordered by
the Police Chief.
After each policy listed below is the associated finding for each allegation of a policy violation.
These findings were rendered upon the conclusion of the investigation.
Definitions of Dispositions of Personnel Complaints per Policy 1020.4:
a) Unfounded -When the investigation clearly established that the allegation is not true.
Complaints that are determined to be frivolous will fall within the classification of
unfounded (Penal Code§ 832.5(c)).
b) Exonerated -When the investigation clearly establishes that the actions ofthe officer
that formed the basis for the complaint are not violations of law or department policy.
c) Not Sustained -When the investigation discloses insufficient evidence to sustain the
complaint or fully exonerate the employee.
d) Sustained -When the investigation clearly established that the act occurred and
constituted a violation of department policy, federal, state, or local law.
Officer Jordan Walker was investigated for the following:
1) Carlsbad Police Department Policy 300.3 Use of Force
Finding: Exonerated
2) Carlsbad Police Department Policy 300.3.1 Use of Force to Effect an Arrest
Finding: Exonerated
3) Carlsbad Police Department Policy 300.3.3 Pain Compliance Techniques
Finding: Exonerated
4) Carlsbad Police Department Policy 300.3.5 Alternative Tactics De-Escalation
Finding: Exonerated
5) Carlsbad Police Department Policy 340.3 . .S (v) Standards of Conduct
Finding: Exonerated
Officer Edward Ramirez was investigated for the following:
1) Carlsbad Police Department Policy 300.3 Use of Force
Finding: Not Sustained
2) Carlsbad Police Department Policy 300.3.1 Use of Force to Effect an Arrest
Finding: Not Sustained
Council Memo -Police Use of Force Incident Public Record Release
August '18, 2022
Page 6
3) Carlsbad Police Department Policy 300.3.3 Pain Compliance Techniques
Finding: Not Sustained ·
4) Carlsbad Police Department Policy 300.3.5 Alternative Tactics De-Escalation
Finding: Exonerated
5) Carlsbad Police Department Policy 308.3 Issue, Carry, and Using Control Devices
Finding: Sustained
6) Carlsbad Police Department Policy 308.9.'1 Deployment and use of a Kinetic Energy
Munition
Finding: Sustained
7) Carlsbad Police Department Policy 340.3.5 (v) Standards of Conduct
Finding: Exonerated
Corporal Derek Harvey was investigated for the following:
'1) Carlsbad Police Department Policy 300.3 Use of Force
Finding: Not Sustained
2) Carlsbad Police Department Policy 300.3.'1 Use of Force to Effect an Arrest
Finding: Not Sustained
3) Carlsbad Police Department Policy 300.3.5 Alternative Tactics De-Escalation
Finding: Not Sustained
4) Carlsbad Police Department Policy 308.3 Issue, Carry, and Using Control Devices
Finding: Sustained
5) Carlsbad Police Department Policy 308.9.'1 Deployment and use of a Kinetic Energy
Munition
Finding: Sustained
6) Carlsbad Police Department Policy 340.3.5 (v) Standards of Conduct
Finding: Exonerated
7) Carlsbad Police Department Policy 340.3.9 (a) Supervisor Responsibilities
Finding: Sustained
Sergeant Morgan Griggs was investigated for the following:
1) Carlsbad Police Department Policy 300.2.3 Duty to report excessive force
Finding: Exonerated
2) Carlsbad Police Department Policy 300.3.5 Alternative Tactics De-Escalation
Finding: Sustained
)
~
Council Memo -Police Use of Force Incident Public Record Release
August 18, 2022
Page 7
3) Carlsbad Police Department Policy 300.7 (h) Supervisor Responsibilities
Finding: Exonerated
4) Carlsbad Police Department Policy 340.3.9 (a) & (b) Supervisor Responsibilities
Finding: Sustained
Lieutenant Greg White was investigated for the following:
1) Carlsbad Police Department Policy 300.7.1 Watch Commander responsibility
Finding: Not Sustained
\
2) Carlsbad Police Department Policy 340.3.5 (c)&(r) Performance
Finding: Sustained on both counts
3) Carlsbad Police Department Policy 340.3.6 Competency in the Performance of One's
Duties
Finding: Sustained
4) Carlsbad Police Department Policy 340.3.9 (a) Supervision Responsibility
Finding: Sustained
Discipline for Sustained Findings: .
Officer Ramirez
Officer Ramirez received discipline of a reduction in pay by 10% for two two-week pay periods,
and by 5% for one two-week pay period, resulting in the loss of the equivalent of 20 hours of
standard pay. Officer Ramirez also waived any rights he had to appeal, grieve, respond to or
otherwise challenge the reduction in pay. Additionally, Officer Ramirez was prohibited from
carrying, deploying or utilizing a department purchased, approved and issued air powered
launching system (pepper ball gun) until he attended the department's updated certified
training. Officer Ramirez was further suspended from the Field Training Officer assignment and
from being a trainer in any capacity for the department for 3 years, as required by law.
Corporal Harvey
Corporal Harvey received discipline of a reduction in pay by 5% for three two-week pay periods,
resulting in the loss of the equivalent of 12 hours of standard pay. Corporal Harvey also waived
any rights he had to appeal, grieve, respond to or otherwise challenge the reduction in pay.
Additionally, Corporal Harvey was prohibited from carrying, deploying or utilizing a department
purchased, approved and issued less lethal bean bag shotgun until he attended the
department's updated certified training. Corporal Harvey was further suspended from the Field
Training Officer assignment and from being a trainer in any capacity for the department for 3
years, as required by law.
Sergeant Griggs
Sergeant Griggs received discipline of a reduction in pay by 50% for one two-week pay period
which represents the equivalent of 40-hours of standard pay. Sergeant Griggs also waived any
Council Memo -Police Use of Force Incident Public Record Release
August 18, 2022
Page 8
rights he had to appeal, grieve, respond to or otherwise challenge the reduction in pay.
Additionally, Sgt. Griggs is being required to attend an Advanced Critical Incident Response
course that will take place on September 21, 2022.
Lieutenant White
Lieutenant White received notice the city intended to demote him from Lieutenant to Sergeant.
Lieutenant White subsequently retired from the police department.
DEPARTMENT ACTIONS FOLLOWING THIS INCIDENT
Immediately after this incident, the less lethal bean bag shotgun and the air powered launching
system (pepper ball gun) were taken offline and not authorized to be used by any department
member while the investigation took place. Upon the conclusion of the investigation, all
department members authorized to carry either tool received additional training prior to being
able to use it in the field.
The Police Department developed, implemented and trained all personnel on a.new de-
escalation policy, which became effective on October 23, 2021. The training on the new policy
and the values within the policy were trained department wide the week of October 18-22, 2021.
Incident management, strategic/crisis communication, equipment, mindset, and continuous
assessment were just some of the skills and capabilities tou.ched on in the training of the new
policy.
CONCLUSION
To date there has been no external complaint regarding this case. This internal investigation,
the discipline that followed and the departmental actions in regard to less-lethal weapon
deployment and training, as well as de-escalation and crisis management training, was an effort
for the department to hold itself accountable and learn from mistakes made.
Chief Williams, Assistant Chief Calderwood, and Professional Standards and Services Division
Lieutenant Reid Shipley will be prepared to hold a community meeting in the near future to
address the release of information related to this incident, if needed.
Additionally, Chief Williams and Assistant Chief Calderwood would like to provide 1-on-1
briefings for the Mayor and all Councilmembers to discuss the content of this memorandum
and incident further, if desired.
Council Memo -Police Use of Force Incident Public Record Release
August 18, 2022
Page 9
Attachments:
A. Policy 300-Use of Force Policy
B. 2. Policy 303-De-Escalation Policy
C. 3. Policy 308-Control Devices and Techniques
D. 4. Policy 340-Standards of Gonduct Policy
E. 5. Policy 1020-Personnel Complaints
cc: Geoff Patnoe, Assistant City Manager
Cindie McMahon, City Attorney
Allegra Frost, Deputy City Attorney
Christie Calderwood, Assistant Chief
Attachment A
Policy Carlsbad Police Department
300 Carlsbad PD Policy Manual
Use of Force
300.1 PURPOSE AND SCOPE
This policy provides guidelines on the reasonable use of force. While there is no way to specify
the exact amount or type of reasonable force to be applied in any situation, every member of
this department is expected to use these guidelines to make such decisions in a professional,
impartial, and reasonable manner (Government Code§ 7286).
In addition to those methods, techniques, and tools set forth below, the guidelines for the
reasonable application of force contained in this policy shall apply to all policies addressing
the potential use of force, including but not limited to the Control Devices and Techniques and
Conducted Energy Device policies.
Retaliation prohibitions for reporting suspected violations are addressed in the Anti-Retaliation
Policy.
300.1.1 DEFINITIONS
Definitions related to this policy include:
Deadly force -Any use of force that creates a substantial risk of causing death or serious bodily
injury, including but not limited to the discharge of a firearm (Penal Code § 835a).
Feasible -Reasonably capable of being done or carried out under the circumstances to
successfully achieve the arrest or lawful objective without increasing risk to the officer or another
person (Government Code§ 7286(a)).
Force -The application of physical techniques or tactics, chemical agents, or weapons to another
person. It is not a use of force when a person allows him/herself to be searched, escorted,
handcuffed, or restrained.
Serious bodily injury - A serious impairment of physical condition, including but not limited to
the following: loss of consciousness; concussion; bone fracture; protracteq loss or impairment
of function of any bodily member or organ; a wound requiring extensive suturing; and serious
disfigurement (Penal Code§ 243(f)(4)).
Totality of the circumstances -All facts known to the officer at the time, including the conduct
of the officer and the subject leading up to the use of force (Penal Code§ 835a).
300.2 POLICY
The use of force by law enforcement personnel is a matter of critical concern, both to the public
and to the law enforcement community. Officers are involved on a daily basis in numerous and
varied interactions and, when warranted, may use reasonable force in carrying out their duties.
Officers must have an understanding of, and true appreciation for, their authority and limitations.
This is especially true with respect to overcoming resistance while engaged in the performance
of law enforcement duties.
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I The Department recognizes and respects the value of all human life and dignity without prejudice
to anyone. Vesting officers with the authority to use reasonable force and to protect the public
welfare requires monitoring, evaluation and a careful balancing of all interests.
300.2.1 DUTY TO INTERCEDE
Any officer present and observing another law enforcement officer or an employee using force
that is clearly beyond that which is necessary, as determined by an objectively reasonable officer
under the circumstances, shall, when in a position to do so, intercede (as defined by Government
Code § 7286) to prevent the use of unreasonable force.
When observing force used by a law enforcement officer, each officer should take into account
the totality of the circumstances and the possibility that other law enforcement officers may have
additional information regarding the threat posed by the subject (Government Code§ 7286(b)).
300.2.2 FAIR AND UNBIASED USE OF FORCE
Officers are expected to carry out their duties, including the use of force, in a manner that is fair
and unbiased (Government Code § 7286(b)). See the Bias-Based Policing Policy for additional
guidance.
300.2.3 DUTY TO REPORT EXCESSIVE FORCE
Any officer who observes a law enforcement officer or an employee use force that potentially
exceeds what the officer reasonably believes to be necessary shall immediately report these
observations to a supervisor (Government Code§ 7286(b)).
As used in this subsection, "immediately" means as soon as it is safe and feasible to do so.
300.2.4 FAILURE TO INTERCEDE
An officer who has received the required training on the duty to intercede and then fails to act to
intercede when required by law, may be disciplined in the same manner as the officer who used
force beyond that which is necessary (Government Code§ 7286(b)).
300.3 USE OF FORCE
Officers shall use only that amount of force that reasonably appears necessary given the facts
and totality of the circumstances known to or perceived by the officer at the time of the event to
accomplish a legitimate law enforcement purpose (Penal Code§ 835a).
The reasonableness of force will be judged from the perspective of a reasonable officer on the
scene at the time of the incident. Any evaluation of reasonableness must allow for the fact that
officers are often forced to make split-second decisions about the amount of force that reasonably
appears necessary in a particular situation, with limited information and in circumstances that are
tense, uncertain, and rapidly evolving.
Given that no policy can realistically predict every possible situation an officer might encounter,
officers are entrusted to use well-reasoned discretion in determining the appropriate use of force in
each incident. Officers may only use a level of force that they reasonably believe is proportional to
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, Use of Force
the seriousness of the suspected offense or the reasonably perceived level of actual or threatened
resistance (Government Code§ 7286(b)).
It is also recognized that circumstances may arise in which officers reasonably believe that it would
be impractical or ineffective to use any of the approved or authorized tools, weapons, or methods
provided by the Department. Officers may find it more effective or reasonable to improvise their
response to rapidly unfolding conditions that they are confronting . In such circumstances, the use
of any improvised device or method must nonetheless be objectively reasonable and utilized only
to the degree that reasonably appears necessary to accomplish a legitimate law enforcement
purpose.
While the ultimate objective of every law enforcement encounter is to avoid or minimize injury,
nothing in this policy requires an officer to retreat or be exposed to possible physical injury before
applying reasonable force.
300.3.1 USE OF FORCE TO EFFECT AN ARREST
Any peace officer may use objectively reasonable force to effect an arrest, to prevent escape,
or to overcome resistance. A peace officer who makes or attempts to make an arrest need not
retreat or desist from his/her efforts by reason of resistance or threatened resistance on the part
of the person being arrested; nor shall an officer be deemed the aggressor or lose his/her right to
self-defense by the use of reasonable force to effect the arrest, prevent escape, or to overcome
resistance. Retreat does not mean tactical repositioning or other de-escalation techniques (Penal
Code§ 835a).
300.3.2 FACTORS USED TO DETERMINE THE REASONABLENESS OF FORCE
When determining whether to apply force, draw or point a firearm at a person, and evaluating
whether an officer has used reasonable. force, a number of factors should be taken into
consideration, as time and circumstances permit (Government Code§ 7286(b)). These factors
include but ar~ not limited to:
(a) The apparent immediacy and severity of the threat to officers or others (Penal Code
§ 835a).
(b) The conduct of the individual being confronted, as reasonably perceived by the officer
at the time (Penal Code§ 835a).
(c) Officer/subject factors (age, size, relative strength, skill level, physical injuries
sustained, physical disabilities, level of exhaustion or fatigue, pregnancy, the number
of officers available vs. subjects).
(d) The conduct of the involved officer leading up to the use offorce (Penal Code§ 835a).
(e) The effects of suspected drugs or alcohol.
(f) The individual's apparent mental state or capacity to include disabilities. (Penal Code
§ 835a).
(g) The individual's apparent ability to understand and comply with officer commands
(Penal Code § 835a).
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(h) Proximity of weapons or dangerous improvised devices.
(i) The degree to which the subject has been effectively restrained and his/her ability to
resist despite being restrained.
U) The availability of other reasonable and feasible options and their possible
effectiveness (Penal Code § 835a). ·
(k) Seriousness of the suspected offense or reason for contact with the individual prior
to and at the time force is used.
(I) Training and experience of the officer.
(m) Potential for injury to officers, suspects, bystanders, and others.
(n) Whether the person appears to be resisting, attempting to evade arrest by flight, or
is attacking the officer.
(o) The risk and reasonably foreseeable consequences of escape.
(p) The apparent need for immediate control of the subject or a prompt resolution of the
situation.
(q) Whether the conduct of the individual being confronted no longer reasonably appears
to pose an imminent threat to the officer or others.
(r) Prior contacts with the subject or awareness of any propensity for violence.
(s) The officer's and person's surroundings and potential risks to bystanders.
(t) Any other exigent circumstances.
300.3.3 PAIN COMPLIANCE TECHNIQUES
Pain compliance techniques may be effective in controlling a physically or actively resisting
individual. Officers may only apply those pain compliance techniques for which they have
successfully completed department-approved training. Officers utilizing any pain compliance
technique should consider:
(a) The degree to which the application of the technique may be controlled given the level
of resistance.
(b) Whether the person can comply with the direction or orders of the officer.
(c) Whether the person has been given sufficient opportunity to comply.
The application of any pain compliance technique shall be discontinued once the officer
determines that compliance has been achieved.
300.3.4 USE OF FORCE TO SEIZE EVIDENCE
In general, officers may use reasonable force to lawfully seize evidence and to prevent the
destruction of evidence. However, officers are discouraged from using force solely to prevent
a person from swallowing evidence or contraband. In the instance when force is used, officers
should not intentionally use any technique that restricts blood flow to the head, restricts respiration
or which creates a reasonable likelihood that blood flow to the head or respiration would be
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restricted. Officers are encouraged to use techniques and methods taught by the Carlsbad Police
Department for this specific purpose.
300.3.5 ALTERNATIVE TACTICS -DE-ESCALATION
As time and circumstances reasonably permit, and when community and officer safety would
not be compromised, officers should consider actions that may increase officer safety and may
decrease the need for using force:
(a) Summoning additional resources that are able to respond in a reasonably timely
manner.
(b) Formulating a plan with responding officers before entering an unstable situation that
does not reasonably appear to require immediate intervention.
(c) Employing other tactics that do not unreasonably increase officer jeopardy.
In addition, when reasonable, officers should evaluate the totality of circumstances presented at
the time in each situation and, when feasible, consider and utilize reasonably available alternative
tactics and techniques that may persuade an individual to voluntarily comply or may mitigate the
need to use a higher level of force to resolve the situation before applying force (Government
Code§ 7286(b)). Such alternatives may include but are not limited to:
(a) Attempts to de-escalate a situation.
(b) If reasonably available, the use of crisis intervention techniques by properly trained
personnel.
300.3.6 ADDITIONAL RESTRICTIONS
Officers are not authorized to use a carotid restraint, choke hold or any technique or transportation
method which involve a substantial risk of positional asphyxia.
A carotid restraint means a vascular neck restraint or any similar restraint, hold, or other defensive
tactic in which pressure is applied to the sides of a person's neck that involves a substantial risk
of restricting blood flow and may render the person unconscious in order to subdue or control
the person.
A choke hold means any defensive tactic or force option in which direct pressure is applied to a
person's trachea or windpipe.
Positional asphyxia means situating a person in a manner that compresses their airway and
reduces the ability to sustain adequate breathing. This includes, without limitation, the use of
any physical restraint that causes a person's respiratory airway to be compressed or impairs the
person's breathing or respiratory capacity, including any action in which pressu~e or body weight is
unreasonably applied against a restrained person's neck, torso, or back, or positioning a restrained
person without reasonable monitoring for signs of asphyxia. (Gov. Code, § 7286.5)
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300.4 DEADLY FORCE APPLICATIONS
Where feasible, the officer shall, prior to the use of deadly force, make reasonable efforts to identify
him/herself as a peace officer and to warn that deadly force may be used, unless the officer has
objectively reasonable grounds to believe the person is aware of those facts (Penal Code 835a).
If an objectively reasonable officer would consider it safe and feasible to do so under the totality
of the circumstances, officers shall evaluate and use other reasonably available resources and
techniques when determining whether to use deadly force. To the extent that it is reasonably
practical, officers should consider their surroundings and any potential risks to bystanders prior to
discharging a firearm (Government Code§ 7286(b)).
The use of deadly force is only justified when the officer reasonably believes it is necessary in the
following circumstances (Penal Code § 835a):
(a) An officer may use deadly force to protect him/herself or others from what he/she
reasonably believes is an imminent threat of death or serious bodily injury to the officer
or another person .
(b) An officer may use deadly force to apprehend a fleeing person for any felony that
threatened or resulted in death or serious bodily injury, if the officer reasonably
believes that the person will cause death or serious bodily injury to another unless
immediately apprehended.
Officers shall not use deadly force against a person based on the danger that person poses to him/
herself, if an objectively reasonable officer would believe the person· does not pose an imminent
threat of death or serious bodily injury to the officer or to another person (Penal Code§ 835a).
An "imminent" threat of death or serious bodily injury exists when, based on the totality of the
circumstances, a reasonable officer in the same situation would believe that a person has the
present ability, opportunity, and apparent intent to immediately cause death or serious bodily injury
to the officer or another person. An officer's subjective fear of future harm alone is insufficient as
an imminent threat. An imminent threat is one that from appearances is reasonably believed to
require instant attention (Penal Code § 835a).
300.4.1 SHOOTING AT OR FROM MOVING VEHICLES
Shots fired at or from a moving vehicle are rarely effective and may involve additional
considerations and risks. When feasible, officers should take reasonable steps to move out of
the path of an approaching vehicle instead of discharging their firearm at the vehicle or any of
its occupants. An officer should only discharge a firearm at a moving vehicle or its occupants
when the officer reasonably believes there are no other reasonable means available to avert the
imminent threat of the vehicle, or if deadly force other than the vehicle is directed at the officer
or others (Government Code§ 7286(b)).
Officers should not shoot at any part of a vehicle in an attempt to disable the vehicle.
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300.4.2 DISPLAYING OF FIREARMS
Given that individuals might perceive the display of a firearm as a potential application of force,
officers should carefully evaluate each tactical situation and use sound discretion when drawing
a firearm in public by considering the following guidelines (Government Code§ 7286(b)):
(a) If the officer does not initially perceive a threat but reasonably believes that the
potential for such threat exists, firearms should generally be kept in the low-ready or
other position not directed toward an individual.
(b) If the officer reasonably believes that a threat exists based on the totality of
circumstances presented at the time (e.g., high-risk stop, tactical entry, armed
encounter), firearms may be directed toward such threat until the officer no longer
perceives such threat.
Once it is reasonably safe to do so, officers should carefully secure all firearms.
300.5 REPORTING THE USE OF FORCE
Any use of force by a member of this department shall be documented promptly, completely,
and accurately in an appropriate report, depending on the nature of the incident. The officer
should articulate the factors perceived and why he/she believed the use of force was reasonable
under the circumstances. To collect data for purposes of training, resource allocation, analysis,
and related purposes, the Department may require the completion of additional report forms, as
specified in department policy, procedure, or law. See the Report Preparation Policy for additional
circumstances that may require documentation.
300.5.1 NOTIFICATION TO SUPERVISORS
Any use of force by an officer shall be reported immediately to a supervisor, including but not
limited to the following circumstances (Penal Code§ 832.13):
(a) The application caused a visible injury.
(b) The application would lead a reasonable officer to conclude that the individual may
have experienced more than momentary discomfort.
(c) The individual subjected to the force complained of injury or continuing pain.
(d) The individual indicates intent to pursue litigation.
(e) Any application of a TASER device or control device.
(f) Any application of a restraint device other than handcuffs, shackles, or belly chains.
(g) The individual subjected to the force was rendered unconscious.
(h) An individual was struck or kicked.
(i) An individual alleges unreasonable force was used or that any of the above has
occurred.
As used in this subsection, "immediately" means as soon as it is safe and feasible to do so.
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300.6 MEDICAL CONSIDERATION ,
Once it is reasonably safe to do so, properly trained officers should promptly provide or procure
medical assistance for any person injured or claiming to have been injured in a use offorce incident
(Government Code§ 7286(b)).
Prior to booking or release, medical assistance shall be obtained for any person who exhibits signs
of physical distress, who has sustained visible injury, expresses a complaint of injury or continuing
pain, or who was rendered unconscious. Any individual exhibiting signs of physical distress after
an encounter should be continuo'usly monitored until he/she can be medically assessed.
Based upon the officer's initial assessment of the nature and extent of the subject's injuries,
medical assistance may consist of examination by fire personnel, paramedics, hospital staff, or
medical staff at the jail. If any such individual refuses medical attention, such a refusal shall be
fully documented in related reports and, whenever practicable, should be witnessed by another
officer and/or medical personnel. If a recording is made of the contact or an interview with the
individual, any refusal should be included in the recording, if possible.
The on-scene supervisor or, if the on-scene supervisor is not available, the primary handling officer
shall ensure that any person providing medical care or receiving custody of a person following any
use of force is informed that the person was subjected to force. This notification shall include a
description of the force used and any other circumstances the officer reasonably believes would
be potential safety or medical risks to the subject (e.g., prolonged struggle, extreme agitation,
impaired respiration).
Persons who exhibit extreme agitation, violent irrational behavior accompanied by profuse
sweating, extraordinary strength beyond their physical characteristics and imperviousness to pain
(sometimes called "excited delirium"), or who require a protracted physical encounter with multiple
officers to be brought under control, may be at an increased risk of sudden death. Calls involving
these persons should be considered medical emergencies. Officers who reasonably suspect a
medical emergency should request medical assistance as soon as practicable and have medical
personnel stage away if appropriate.
See the Medical Aid and Response Policy for additional guidelines.
300.7 SUPERVISOR RESPONSIBILITY
When a supervisor is notified of an incident involving any application of force defined in policy
section 300.5.1 (a)-(i), the supervisor shall respond to the incident. The supervisor is expected to:
a. Obtain the basic facts from the involved officers. Absent suspected misconduct or excessive
force, this will be considered a routine contact in the normal course of duties.
b. Ensure that any injured parties are examined and treated.
c. When possible, separately obtain a recorded interview with the subject(s) upon whom
force was applied. If this interview is conducted with a person who is in police custody, a
Miranda Admonishment must be given and a waiver of rights obtained prior to any interview.
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If the suspect(s) invokes either a right to silence or for representation, no interview shall be
conducted.
d. Once any initial medical assessment has been completed or first aid has been rendered,
ensure that photographs have been taken of any areas involving visible injury or complaint of
pain, as well as overall photographs of uninjured areas. These photographs should be retained.
until all potential for civil litigation has expired.
e. Identify any witnesses and insure that ,all witnesses are interviewed. These interviews
should be audio recorded if possible.
f. Insure that all reports are reviewed and approved by a supervisor.
g. Determine if there is any indication that the subject may pursue civil litigation, if appropriate
the supervisor should complete and route a notification of a potential claim through their chain
of command.
h. Evaluate the circumstances surrounding the incident and complete a Supervisor's
Complaint Summary report and forward it to the Professional Standards and Services Division
Lieutenant through the supervisor's chain of command if there is a question of policy non-
compliance or if for any reason further administrative investigation may be appropriate.
i. Prepare a Supervisor's Use of Force investigation report. This report shall be attached to the
associated crime and/or arrest reports documenting the incident. This report shall be reviewed
and approved by another supervisor.
300.7.1 WATCH COMMANDER RESPONSIBILITY
The Watch Commander shall ensure that a supervisor responds to all use of force incidents by
any personnel within his/her command to ensure compliance with this policy and to address and
training issues.
300.8 USE OF FORCE COMPLAINTS
The receipt, processing, and investigation of civilian complaints involving use of force incidents
should be handled in accordance with the Personnel Complaints Policy (Government Code §
7286(b)).
300.9 POLICY REVIEW
The Chief of Police or the authorized designee should regularly review and update this policy to
reflect developing practices and procedures (Government Code§ 7286(b)) ..
300.10 POLICY AVAILABILITY
The Chief of Police or the authorized designee should ensure this policy is accessible to the public
(Government Code§ 7286(c)).
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300.11 PUBLIC RECORDS REQUESTS
Requests for public records involving an officer's personnel records shall be processed in
accordance with Penal Code§ 832.7 and the Personnel Records and Records Maintenance and
Release policies (Government Code§ 7286(b)).
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Attachment B
Policy Carlsbad Police Department
303 Carlsbad PD Policy Manual
De-escalation
303.1 PURPOSE AND SCOPE
The purpose of this policy is to provide members of this department with guidelines on de-
escalation techniques, crisis intervention tactics, and other alternatives to force when feasible. The
overall goal of this policy is to promote thoughtful resolutions to situations and reduce the likelihood
of harm to all persons (Government Code§ 7286).
303.2 DEPARTMENT EXPECTATIONS AND DEPLOYMENT PRIORITIZATION
Law enforcement is guided by the overarching principle of the sanctity and reverence for human
life. This philosophy is supported by policy, law, and the department's organizational culture.
To uphold this standard, law enforcement officials must exhibit professionalism, civility, equality,
and transparency in all interactions with members of our diverse community. Accordingly, the
Carlsbad Police Department is committed to providing members with the training, equipment, and
resources necessary to encourage peaceful resolutions with the expectation that members adopt
this philosophy in such a way that its values can be observed in action.
The department recognizes that some situations require an immediate response, while other
situations may allow members the opportunity to communicate with the individual, refine tactical
plans and, if necessary, call on additional resources. When a reasonable opportunity exists,
members shall consider the concepts of pre-engagement, de-escalation, and disengagement
consistent with the definitions provided in this document.
303.3 DUTY TO INTERCEDE
It is expected that all department members should employ the best practices contained in this
policy as reasonably appropriate under the circumstances. Any officer present and observing
another department member acting in a manner that is clearly inconsistent with this policy, as
determined by an objectively reasonable officer under the circumstances, shall, when in a position
to do so, intercede to further compliance with de-escalation best practices.
303.4 DEFINITIONS
Feasible: Reasonably capable of being done or carried out under the circumstances to
successfully achieve the arrest or lawful objective without increasing risk to the officer or another
person (Government Code§ 7286(a)).
Pre-Engagement: Pre-Engagement considerations involve the process of gathering and
assessing information prior to deploying the available personnel, tactics, equipment, and other
appropriate and obtainable resources. Discretionary time, reactionary distance, communication,
and barriers are key objectives to enhance the probability of a peaceful outcome. Self-regulation
is a key component of the decision-making process.
De-escalation: De-escalation is the use of strategies and/or techniques to gain voluntary
compliance from an individual to gain or maintain control of an incident while reducing the need
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for physical coercion. These strategies and/or techniques are used to increase time and distance
from the individual while attempting to establish effective communication.
Criminal Suspects: Criminal suspects are identified as individuals who, based on their actions,
statements, or other conduct appear to be voluntarily engaged in criminal behavior. While crisis
individuals often require time and distance for successful resolution, criminal suspects may use
that time to escape or further resist law enforcement efforts.
Person in Crisis: A person whose level of distress or mental health symptoms have exceeded the
person's ability to manage his/her behavior or emotions. A crisis can be precipitated by any number
of things, including an increase in the symptoms of mental illness despite treatment compliance;
non-compliance with treatment, including a failure to take prescribed medications appropriately;
or any other circumstance or event that causes the person to engage in erratic, disruptive or
dangerous behavior that may be accompanied by impaired judgment.
Engagement: Engagement occurs when contact is initiated with the individuals involved in an .
incident. Engagement may represent the first moment the involved parties are aware of police
involvement.
Disengagement: Disengagement is a method designed to avoid potentially violent outcomes.
Disengagement may be a viable option for individuals in crisis who pose no additional threats to
others or resistant offenders who may later be apprehended under safer conditions.
De-escalation is reviewed and evaluated under the totality of the circumstances as reasonably
known, understood, or reasonably available to be known at the time of the incident. De-escalation
is not static; it is fluid and can be started, paused, restarted, or stopped at any time. The
most effective law enforcement professionals possess the mental dexterity to lawfully modify
or adjust their approaches to situations under circumstances that are tense, uncertain, and/or
rapidly evolving. This policy recognizes that there are occasions where the use of force serves
a de-escalating purpose and can result in safer outcomes than using no force at all. This policy
recognizes that sometimes the use of force is necessary to safely resolve an incident.
303.5 PRE-ENGAGEMENT (INCIDENT PREP/PLANNING)
Pre-Engagement: Pre-Engagement considerations involve the process of gathering and
assessing information prior to deploying the available personnel, tactics, equipment, and other
appropriate and obtainable resources. Discretionary time, reactionary distance, communication,
and barriers are key objectives to enhance the probability of a peaceful outcome. Self-regulation
is a key component to the decision-making process.
303.5.1 COMMUNICATION CENTER STAFF'S RESPONSIBILITIES
The responsibility of the Communications Center is for the call taker to obtain critical information
regarding incidents and for the radio dispatcher to relay the information to officers as early as
possible, which will allow the officers to plan their response. Call takers should make every effort
to ascertain if the actions or behaviors of a person involved in an incident indicate that the person
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may be in crisis, and not only criminal in nature. Indicators of a crisis may include, but are not
limited to:
• The presence or a history of mental illness, psychiatric treatment, or psychiatric
medications.
• The presence or a history of suicidal ideations or attempts, or of self-harm.
• The presence or a history of substance abuse (drugs, alcohol, etc.).
• The presence or a history of aggressive behavior or violent rage.
• A history in CAD of prior police responses for the individual or the location address.
When any of these or other indicators of a crisis are present, the call taker should thoroughly
document the pertinent details into the CAD notes, using clear and concise language, and the radio
dispatcher should communicate that information to the officers as soon as reasonably possible.
Crisis events might be caused by (or result in) a medical emergency, which could potentially be
life-threatening, so the involvement of paramedics as part of the response should be considered.
The radio dispatcher should also assign additional resources if the situation dictates, including
adding more officers and requesting a supervisor as reasonably available.
303.5.2 OFFICER RESPONSE
The concept of de-escalation often begins before officers arrive at a call for service or initiate
proactive enforcement. De-escalation may begin at the first moment an officer knows they will
be engaging and interacting with the subjects of an investigation. De-escalating a situation often
includes mitigating the ability of a situation to escalate by taking the appropriate precautions and
preemptive measures prior to initial contact. When feasible, preemptive measures and precautions
should include:
• Conducting an initial assessment of the incident and attempt to identify the nature of
the situation.
• Determine if the nature of the incident requires an immediate response or permits
staging or waiting for the appropriate resources and personnel before proceeding to
engage a situation or individual.
• Request the appropriate equipment and resources such as less-lethal weapon
systems, air support, drone operators, medical assistance, PERT, etc.
• Developing a plan of action (pre-briefing) which should include objectives,
contingencies for possible outcomes and officer actions.
• Establishing officer roles such as primary officer, contact, cover, less-lethal,
handcuffing, etc. Officers should request a supervisor as needed or appropriate for
the incident.
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Age, physical or cognitive disabilities as well as language barriers and cultural norms should be
taken into consideration when handling incidents. Some individuals may have limitations in their
ability or willingness to comply, understand directions or recognize the consequences of their
actions. (Policy 370).
303.5.3 CRISIS/ CRIMINAL SUSPECTS
Criminal Suspects-Criminal suspects are identified as individuals who, based on their actions,
statements, or other conduct appear to be voluntarily engaged in criminal behavior. While crisis
individuals often require time and distance for successful resolution, criminal suspects may use
that time to escape or further resist law enforcement efforts.
Person in Crisis
A person in crisis is one whose level of distress or mental health symptoms have exceeded the
person's ability to manage his/her behavior or emotions. A crisis can be precipitated by any number
of things, including an increase in the symptoms of mental illness despite treatment compliance;
non-compliance with treatment, including a failure to take prescribed medications appropriately;
or any other circumstance or event that causes the person to engage in erratic, disruptive or
dangerous behavior that may be accompanied by impaired judgment.
Members should be alert to any of the following possible signs of mental health issues or crisis.
Members should be aware that this list is not exhaustive. The presence or absence of any of these
indicators should not be treated as proof of a mental health issue or crisis:
• A known history of mental illness
• Threats of or attempted suicide
• Loss of memory
• Incoherence, disorientation, or slow response
• Delusions, hallucinations, perceptions unrelated to reality or grandiose ideas
• Depression, pronounced feelings of hopelessness or uselessness, extreme sadness
or guilt
• Social withdrawal
• Manic or impulsive behavior, extreme agitation, lack of control
• Lack of fear
• Anxiety, aggression, rigidity, inflexibility, or paranoia
• Presence of drug or alcohol impairment
It should be recognized that individuals in crisis can commit criminal offenses. Officers should
balance the individual's behavior and actions with their capability and willingness to comply with
directions, and the danger posed by the subject to others.
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When danger to others is reasonably mitigated, Officers should evaluate that taking no action or
passively monitoring the situation may be the most reasonable response to a mental health crisis.
303.6 ENGAGEMENT
Engagement occurs when contact is initiated with the individuals involved in an incident.
Engagement may represent the first moment the involved parties are aware of police involvement.
When choosing to engage with a subject, officers should act within the following considerations:
Mindset: Engagement should occur with a mindset of striving to minimize risk and increase safety
for all persons.
Adaptability: It is important to recognize that situations requiring de-escalation are dynamic and
may change without notice based on the actions of the person or the circumstances of the situation.
Incident Management and Continuous Assessment: Effective engagement requires an
ongoing assessment of cause-and-effect factors from multiple perspectives. Attempt to identify
the cause(s) which have resulted in the effect, or the situation requiring de-escalation. Implement
strategies designed to manage behaviors, conditions, and circumstances contributing to the need
for de-escalation. Strategies should attempt to mitigate escalating factors to achieve a more
desirable effect and resolve the situation. Some examples of continuous assessment may include:
• Ensuring that those subjected to the use of force are provided with timely access to
medical care.
• Evaluating the necessity of the position and level of restraint applied to the subject.
303.6.1 COMMUNICATIONS
Communication is a primary method used to accomplish de-escalation. Communication should be
used to gain voluntary compliance when safe, feasible, and without unreasonably compromising
law enforcement priorities. In many cases, effective communication will be the method in which
successful de-escalation is accomplished. Communication can be both verbal and non-verbal.
Mirroring or matching your non-verbal communication with your verbal communication can help
reduce confusion by the subject.
Some effective methods that may be utilized to accomplish successful communication:
• Attempt to explain your intentions and provide clear expectations.
• Engage in active listening techniques.
• Attempt to build rapport.
• Recognize that many disabilities, mental illness and/or drug/alcohol use may inhibit
an individual's ability to communicate or follow directions.
• Avoiding profanity when interacting with individuals.
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303.7 DISENGAGEMENT
Disengagement is a method designed to avoid potentially violent outcomes. Disengagement may
be a viable option for individuals in crisis where the danger of further police interactions outweighs
the risk posed to others. Disengagement may also be a viable option for criminal offenders where
the risk posed to others outweighs the benefit of immediate apprehension.
Any time peace officers intend to disengage from an incident, they should attempt to advise
involved individuals of the withdrawal from the incident. Peace officers should attempt to ensure
those involved have had the opportunity to establish a position of relative safety with respect to
the incident, and they are aware that officers will no longer be present to protect the safety of the
involved persons.
Officers should consider special relationship concerns with respect to the handling of an incident,
and subsequent decisions to disengage. Reasonable efforts should be made to notify the involved
parties and affected community members of our disengagement as appropriate. Officers should
also look for opportunities to communicate with bystanders, or the general public regarding police
actions and resolutions as appropriate.
303.8 SUPERVISOR RESPONSIBILITIES
If available, a supervisor or designee should respond to all critical incidents and occurrences
that have a reasonable likelihood of resulting in the use of force or the implementation of
tactical or incident command. Such incidents include, but are not limited to, persons in crisis who
are engaged in violent behavior, high-risk vehicle stops and the conclusion of pursuits, events
involving persons with weapons, or those in crisis that represent a threat to the public or officers,
barricaded individuals, or any other event that would benefit from additional training, experience,
or formal incident command structure. When time allows, a supervisor shall ensure the following
objectives:
• Notification:' Upon notification of a critical incident in progress, a supervisor will
acknowledge the incident on the radio and maintain awareness of officer activities.
Supervisors will ensure that officers are engaging in appropriate pre-engagement
considerations.
• Incident Management: Supervisors will ensure that each critical incident has an
identified Incident Commander. The supervisor does not necessarily need to fill the
role of Incident Commander if the responsibility is adequately being filled, however,
the supervisor will air their presence and responsibility for the incident.
• Incident Classification: As soon as reasonably possible Incident Commanders are
responsible for classifying the nature of the incident to allow for a coordinated mindset
by all involved personnel. This incident designation may change multiple times during
the incident based on the availability of new information.
• Role Designation: Supervisors will ensure that individual roles and responsibilities
that promote de-escalation and successful outcomes are identified. Supervisors
should consider the number of officers and resources at an event and how they
may positively or negatively influence the incident. Role designation enables officers
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to focus on specific tasks and responsibilities, encourages the coordination of the
incident and individual actions and ensures that appropriate resources are available
for deployment as needed. Role designations may include:
0 Less lethal
0 K9
0 Contact officer
0 Designated Handcuffing and Cover Officers
Authorization and coordination of pre-planned actions: As Incident Commander, the
supervisor has operational control over pre-planned actions taken during the event. Supervisors
should take advantage of discretionary time by pre-planning with officers and establishing
contingency plans in response to anticipated suspect actions. The supervisor must also ensure
that pre-planned events are communicated to others assigned to the incident to ensure
deconfliction and to guard against potentially compromising activity. (Blue on Blue events).
Allied Agency Involvement: Mutual aid requests and allied ~gency activity simultaneously allows
for additional available resources and personnel, but can complicate incidents as varying policies,
organizational cultures and mindsets are introduced to the incident. Supervisors should ensure
that expectations and deployment parameters are communicated to allied agency representatives.
Time permitting, supervisors should solicit from allied units, such as responding allied agency K9
units, unique restrictions or policy considerations that may impact the incident.
Disengagement: Supervisors shall consider strategic disengagement absent an imminent threat
to the public. This may include removing or reducing law enforcement resources or engaging in
passive monitoring.
Communication: Supervisors are responsible for communicating the circumstances surrounding
incidents to agency leadership and other impacted units/squads. Supervisors should also look for
opportunities to communicate with bystanders, or the general public regarding police actions and
resolutions as appropriate.
Debriefing: Thorough incident debriefs can benefit those officers involved in the incident,
as well as provide organizational experience to those personnel who did not respond to the
event. Supervisors should conduct an informal debrief as close in time as reasonable to the
conclusion of the incident to identify learning opportunities and areas of needed development.
These debriefs also encourage employee wellness as they enable officers to decompress and
communicate their experiences.
Incidents with significant areas of development or that present beneficial unit improvement should
be reviewed during daily briefings. Supervisors should ensure that these meetings both identify
challenges represented in the incident and focus on individual and unit learning and development.
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303.8.1 WATCH COMMANDER RESPONSIBILITIES
Watch Commanders carry the responsibility for the overall conduct of police personnel during
their assigned shifts. Watch Commanders must confirm that individual incidents are handled
appropriately while ensuring operational effectiveness is maintained city-wide.
Watch Commanders shall ensure compliance with Supervisor responsibilities noted in this
policy.
Watch Commanders are responsible for the incidents, personnel, and actions taken under their
command, and shall take a proactive leadership role as appropriate.
Watch Commanders must balance the specific need of individual incidents with overall operations
and city-wide responsibilities. Watch Commanders shall:
• Ensure proper and necessary information is communicated to department and city
leadership.
• Coordinate pertinent communications with the Department's · Public Information
Officer.
• Ensure debriefing is conducted to encapsulate all elements of the incident.
• Shall ensure an After-Action Report is completed as appropriate.
• When the decision is made to disengage, Watch Commanders shall be responsible
for ensuring that the related investigation is pursued to its appropriate conclusion or
until responsibility is adopted by another division.
303.9 TRAINING
Effective, consistent, and intentional training must be maintained to ensure officers are prepared to
comply with this policy. Department training should work toward incorporating multiple disciplines
of training to a cohesive field application.
All ongoing department training should be consistent with the principles outlined in this policy
emphasizing the importance and practices of de-escalation and crisis management when
reasonably possible and appropriate.
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Attachment C
Policy Carlsbad Police Department
308 Carlsbad PD Policy Manual
Control Devices and Techniques
308.1 PURPOSE AND SCOPE
This policy provides guidelines for the use and maintenance of control devices that are described
in this policy.
308.1.1 APPROVED WEAPONS LIST
The following are approved impact weapons:
• SAP (beaver tail style)
• Fixed side handle baton
• fixed straight baton
Expandable baton -Both straight and side handle (department approved)
flashlight
OPN
308.2 POLICY
In order to control subjects who are violent or who demonstrate the intent to be violent, the
Carlsbad Police Department authorizes officers to use control devices in accordance with the
guidelines in this policy and the Use of Force Policy.
308.3 ISSUING, CARRYING AND USING CONTROL DEVICES
Control devices described in this policy may be carried and used by members of this department
only if the device has been issued by the Department or approved by the Chief of Police or the
authorized designee.
Only officers who have successfully completed department-approved training in the use of any
control device are authorized to carry and use the device.
Control devices may be used when a decision has been made to control, restrain or arrest a
subject who is violent or who demonstrates the intent to be violent, and the use of the device
appears reasonable under the circumstances. When reasonable, a verbal warning and opportunity
to comply should precede the use of these devices.
When using control devices, officers should carefully consider potential impact areas in order to
minimize injuries and unintentional targets.
308.4 RESPONSIBILITIES
308.4.1 WATCH COMMANDER RESPONSIBILITIES
The Watch Commander may authorize the use of a control device by selected personnel or
members of specialized units who have successfully completed the required training.
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308.4.2 RANGEMASTER RESPONSIBILITIES
The Rangemaster shall control the inventory and issuance of all control devices and shall ensure
that all damaged, inoperative, outdated or expended control devices or munitions are properly
disposed of, repaired or replaced.
Every control device will be periodically inspected by the Rangemaster or the designated instructor
for a particular control device. The inspection shall be documented.
308.4.3 USER RESPONSIBILITIES
All normal maintenance, charging or cleaning shall remain the responsibility of personnel using
the various devices.
Any damaged, inoperative, outdated or expended control devices or munitions, along with
documentation explaining the cause of the damage, shall be returned to the Rangemaster for
disposition. Damage to City property forms shall also be prepared and forwarded through the
chain of command, when appropriate, explaining the cause of damage.
308.5 BATON GUIDELINES
The need to immediately control a suspect must be weighed against the risk of causing serious
injury. The head, neck, throat, spine, heart, kidneys and groin should not be intentionally targeted
except when the officer reasonably believes the suspect poses an imminent threat of serious
bodily injury or death to the officer or others.
When carrying a baton , uniformed personnel shall carry the baton in its authorized holder on the
equipment belt. Plainclothes and non-field personnel may carry the baton as authorized and in
accordance with the needs of their assignment or at the direction of their supervisor.
308.6 TEAR GAS GUIDELINES
Tear gas may be used for crowd control, crowd dispersal or against barricaded suspects based
on the circumstances. Only the Watch Commander, Incident Commander or Crisis Response Unit
Commander may authorize the delivery and use of tear gas, and only after evaluating all conditions
known at the time and determining that such force reasonably appears justified and necessary.
When practicable, fire personnel should be alerted or summoned to the scene prior to the
deployment of tear gas to control any fires and to assist in providing medical aid or gas evacuation
if needed.
308.7 OLEORESIN CAPSICUM (OC) GUIDELINES
As with other control devices, oleoresin capsicum (OC) spray and pepper projectiles may be
considered for use to bring under control an individual or groups of individuals who are engaging in ,
or are about to engage in violent behavior. Pepper projectiles and OC spray should not, however,
be used against individuals or groups who merely fail to disperse or do not reasonably appear to
present a risk to the safety of officers or the public.
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308.7.1 OC SPRAY
Uniformed personnel carrying OC spray shall carry the device in its holster on the equipment belt.
Plainclothes and non-field personnel may carry OC spray as authorized, in accordance with the
needs of their assignment or at the direction of their supervisor.
308.7.2 PEPPER PROJECTILE SYSTEMS
Pepper projectiles are plastic spheres that are filled with a derivative of OC powder. Because the
compressed gas launcher delivers the projectiles with enough force to burst the projectiles on
impact _and release the OC powcler, the potential exists for the projectiles to inflict injury if they
strike the head, neck, spine or groin.
Therefore, personnel using a pepper projectile system should not intentionally target those areas,
except when the officer reasonably believes the suspect poses an imminent threat of serious
bodily injury or death to the officer or others. Officers encountering a situation that warrants the
use of a pepper projectile system shall notify a supervisor as soon as practicable.
A supervisor shall respond to all pepper projectile system incidents where the suspect has been
hit or exposed to the chemical agent. The supervisor shall ensure that all notifications and reports
are completed as required per the Use of Force Policy.
Each deployment of a pepper projectile system shall be documented. This includes situations
where the launcher was directed toward the suspect, regardless if the launcher was used.
Unintentional discharges shall be promptly reported to a supervisor and documented on the
appropriate report form. Only non-incident use of a pepper projectile system, such as training and
product demonstrations, is exempt from the reporting requirement.
308.7.3 TREATMENT FOR OC EXPOSURE
Persons in custody or who notify a department employee that they have been sprayed with or
otherwise affected by the use of OC should be promptly provided with clean water to cleanse
the affected areas. Those persons who complain of further severe effects shall be examined by
appropriate medical personnel.
308.8 POST-APPLICATION NOTICE
Whenever tear gas or OC has been introduced into a residence, building interior, vehicle or
other enclosed area, officers should provide the owners or available occupants with notice of
the possible presence of residue that could result in irritation or injury if the area is not properly
cleaned . Such notice should include advisement that clean up will be at the owner's expense.
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Information regarding the method of notice and the individuals notified should be included in
related reports .
308.9 KINETIC ENERGY PROJECTILE GUIDELINES
This department is committed to reducing the. potential for violent confrontations. Kinetic energy
projectiles, when used properly, are less likely to result in death or serious physical injury and can
be used in an attempt to de-escalate a potentially deadly situation.
308.9.1 DEPLOYMENT AND USE
Only department-approved kinetic energy munitions shall be carried and deployed. Approved
munitions may be used to compel an individual to cease his/her actions when such munitions
present a reasonable option.
Officers are not required or compelled to use approved munitions in lieu of other reasonable tactics
if the involved officer determines that deployment of these munitions cannot be done safely. The
safety of hostages, innocent persons and officers takes priority over the safety of subjects engaged
in criminal or suicidal behavior.
Circumstances appropriate for deployment include, but are not limited to, situations in which:
(a) The suspect is armed with a weapon and the tactical circumstances allow for the safe
application of approved munitions.
(b) The suspect has made credible threats to harm him/herself or others.
(c) The suspect is engaged in riotous behavior or is throwing rocks, bottles or other
dangerous projectiles at people and/or officers.
(d) There is probable cause to believe that the suspect has already committed a crime of
violence and is refusing to comply with lawful orders.
308.9.2 DEPLOYMENT CONSIDERATIONS
Before discharging projectiles, the officer should consider such factors as:
(a) Distance and angle to target.
(b) Type of munitions employed.
(c) Type and thickness of subject's clothing.
(d) The subject's proximity to others.
(e) The location of the subject.
(f) Whether the subject's actions dictate the need for an immediate response and the use
of control devices appears appropriate.
A verbal warning of the intended use of the device should precede its application, unless it would
otherwise endanger the safety of officers or when it is not practicable due to the circumstances.
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The purpose of the warning is to give the individual a reasonable opportunity to voluntarily comply
and to warn other officers and individuals that the device is being deployed.
Officers should keep in mind the manufacturer's recommendations and their training regarding
effective distances and target areas. However, officers are not restricted solely to use according to
manufacturer recommendations. Each situation must be evaluated on the totality of circumstances
at the time of deployment.
The need to immediately incapacitate the subject must be weighed against the risk of causing
serious injury or death. The head and neck should not be intentionally targeted, except when the
officer reasonably believes the suspect poses an imminent threat of serious bodily injury or death
to the officer or others.
308.9.3 SAFETY PROCEDURES
Shotguns specifically designated for use with kinetic energy projectiles will be specially marked
in a manner that makes them readily identifiable as such.
Officers will inspect the shotgun and projectiles at the beginning of each shift to ensure that the
shotgun is in proper working order and the projectiles are of the approved type and appear to be
free from defects.
When it is not deployed, the shotgun will be unloaded and properly and securely stored in the
vehicle. When deploying the kinetic energy projectile shotgun, the officer shall visually inspect
the kinetic energy projectiles to ensure that conventional ammunition is not being loaded into the
shotgun.
Absent compelling circumstances, officers who must transition from conventional ammunition to
kinetic energy projectiles will employ the two-person rule for loading. The two-person rule is a
safety measure in which a second officer watches the unloading and loading process to ensure
that the weapon is completely emptied of conventional ammunition.
308.10 TRAINING FOR CONTROL DEVICES
Designated Weapons Training Unit (WTU) personnel shall ensure that all personnel who are
authorized to carry a control device have been properly trained and certified to carry the specific
control device and are retrained or recertified as necessary.
(a) Proficiency training shall be monitored and documented by a certified, control-device
weapons or tactics instructor.
(b) All training and proficiency for control devices will be documented in the officer's
training file.
(c) Officers who fail to demonstrate proficiency with the control device or knowledge of
this agency's Use of Force Policy will be provided remedial training. If an officer cannot
demonstrate proficiency with a control device or knowledge of this agency's Use of
Force Policy after remedial training, the officer will be restricted from carrying the
control device and may be subject to discipline.
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308.11 REPORTING USE OF CONTROL DEVICES AND TECHNIQUES
Any application of a control device or technique listed in this policy shall be documented in the
related incident report and reported pursuant to the Use of Force Policy.
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Attachment D
Policy Carlsbad Police Department
340 Carlsbad PD Policy Manual
Standards of Conduct
340.1 PURPOSE AND SCOPE
This policy establishes standards of conduct that are consistent with the values and mission of
the Carlsbad Police Department and are expected of all department members. The standards
contained in this policy are not intended to be an exhaustive list of requirements and prohibitions
but they do identify many of the important matters concerning conduct. In addition to the provisions
of this policy, members are subject to all other provisions contained in this manual, as well as
any additional guidance on conduct that may be disseminated by this department or a member's
supervisors.
340.2 DISCIPLINE POLICY
The continued employment of every employee of this department shall be based on conduct
that reasonably conforms to the guidelines set forth herein. Failure of any employee to meet the
guidelines set forth in this policy, whether on-duty or off-duty, may be cause for disciplinary action.
An employee's off-duty conduct shall be governed by this policy to the extent that it is related to
act(s) that may materially affect or arise from the employee's ability to perform official duties or to
the extent that it may be indicative of unfitness for his/her position.
340.3 DIRECTIVES AND ORDERS
Members shall comply with lawful directives and orders from any department supervisor or person
in a position of authority, absent a reasonable and bona fide justification.
340.3.1 UNLAWFUL OR CONFLICTING ORDERS
Supervisors shall not knowingly issue orders or directives that, if carried out, would result in a
violation of any law or department policy. Supervisors should not issue orders that conflict with
any previous order without making reasonable clarification that the new order is intended to
countermand the earlier order.
No member is required to obey any order that appears to be in direct conflict with any federal
law, state law or local ordinance. Following a known unlawful order is not a defense and does not
relieve the member from criminal or civil prosecution or administrative discipline. If the legality of
an order is in doubt, the affected member shall ask the issuing supervisor to clarify the order or
shall confer with a higher authority. The responsibility for refusal to obey rests with the member,
who shall subsequently be required to justify the refusal.
Unless it would jeopardize the safety of any individual, members who are presented with a lawful
order that is in conflict with a previous lawful order, department policy or other directive shall
respectfully inform the issuing supervisor of the conflict. The issuing supervisor is responsible
for either resolving the conflict or clarifying that the lawful order is intended to countermand the
previous lawful order or directive, in which case the member is obliged to comply. Members who
are compelled to follow a conflicting lawful order after having given the issuing supervisor the
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opportunity to correct the conflict, will not be held accountable for disobedience of the lawful order
or directive that was initially issued.
The person countermanding the original order shall notify, in writing, the person issuing the original
order, indicating the action taken and the reason.
340.3.2 CONDUCT
(a) Unauthorized or unlawful fighting, threatening or attempting to inflict unlawful bodily
injury on another.
(b) Initiating any civil action for recovery of any damages or injuries incurred in the course
and scope of employment without first notifying the Chief of Police of such action.
(c) Using department resources in association with any portion of an independent civil
action. These resources include, but are not limited to, personnel, vehicles, equipment
and non-subpoenaed records.
(d) Engaging in horseplay resulting in injury or property damage or the reasonable
possibility thereof.
( e) Unauthorized possession of, loss of or damage to department property or the property
of others, or endangering it through unreasonable carelessness or maliciousness.
(f) Failure of any employee to promptly and fully report activities on their own part or the
part of any other employee where such activities may result in criminal prosecution
· or discipline under this policy.
(g) Failure of any employee to promptly and fully report activities that have resulted in
official contact by any other law enforcement agency.
(h) Using or disclosing one's status as an employee with the Department in any way that
could reasonably be perceived as an attempt to gain influence or authority for non-
department business or activity.
(i) The use of any information, photograph, video or other recording obtained or accessed
as a result of employment with the Department for personal or financial gain or without
the express authorization of the Chief of Police or a designee may result in discipline
under this policy.
U) Seeking restraining orders against individuals encountered in the line of duty without
the express permission of the Chief of Police.
(k) Discourteous, disrespectful or discriminatory treatment of any member of the public
or any member of this department.
(I) Unwelcome solicitation of a personal or sexual _relationship while on-duty or through
the use of one's official capacity.
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(m) Engaging in on-duty sexual relations including, but not limited to, sexual intercourse,
excessive displays of public affection or other sexual contact.
340.3.3 DISCRIMINATION
(a) Discriminate against any person because of age, race , color, creed, religion, sex,
sexual orientation, national origin, ancestry, marital status, physical or mental disability
or medical condition.
340.3.4 INTOXICANTS
(a) Reporting for work or being at work following the use of intoxicants where such use
may impair the employee's ability to perform assigned duties or where there is an
immediate suspicion of ineffectiveness during public contact resulting from the use of
intoxicants
(b) Unauthorized possession or use of, or attempting to bring intoxicants to the work site,
except as authorized in the performance of an official assignment. An employee who
is authorized to consume intoxicants is not permitted to do so to such a degree that
it may impair on-duty performance
(c) Reporting for work or being at work following the use of a "controlled substance" or
any drug (whether legally prescribed or otherwise) where such use may impair the
employee's ability to perform assigned duties
(d) Unauthorized possession, use of, or attempting to bring controlled substance or other
illegal drug to any work site
340.3.5 PERFORMANCE
(a) Unauthorized sleeping during on-duty time or assignments.
(b) Careless workmanship resulting in spoilage or waste of materials or work of an
unacceptable nature as applicable to the nature of the work assigned.
(c) Unsatisfactory work performance including , but not limited to, failure, incompetence,
inefficiency or delay in performing and/or carrying out proper orders, work assignments
or instructions of supervisors without a reasonable and bona fide excuse.
(d) Concealing, attempting to conceal, removing or destroying defective or incompetent
work ..
(e) Disobedience or insubordination to constituted authorities, including refusal or
deliberate failure to carry out or follow lawful directives and orders from any supervisor
or person in a position of authority.
(f) The wrongful or unlawful exercise of authority on the part of any employee for malicious
purpose, personal gain , willful deceit or any other improper purpose.
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(g) Disparaging remarks or conduct concerning duly constituted authority to the extent
that such conduct disrupts the efficiency of the Department or subverts the good
order, efficiency and discipline of the Department or which would tend to discredit any
member thereof.
(h) Knowingly making false, misleading statements that are reasonably calculated to harm
or destroy the reputation, authority or official standing of the Department or members
thereof.
(i) Knowingly making malicious statements that are reasonably calculated to harm or
destroy the reputation, authority or official standing of the Departmeilt or members
thereof.
U) The falsification of any work-related records, the making of misleading entries or
statements with the intent to deceive, or the willful and unauthorized destruction and/
or mutilation of any department record, book, paper or document.
(k) Wrongfully loaning, selling, giving away or appropriating any department property for
the personal use of the employee or any unauthorized person.
(I) The unauthorized use of any badge, uniform, identification card or other department
equipment or property for personal gain or any other improper purpose.
(m) The receipt or acceptance of a reward, fee or gift from any person for service incident
to the performance of the employee's duties (lawful subpoena fees and authorized
work permits excepted).
(n) Any knowing or negligent violation of the provisions of the department manual,
operating procedures or other written directive of an authorized supervisor. The
Department shall make this manual available to all employees. Employees shall
familiarize themselves with this manual and be responsible for compliance with each
of the policies contained herein.
(o) Work-related dishonesty, including attempted or actual theft of department property,
services or the property of others, or the unauthorized removal or possession of
department property or the property of another person.
(p) Criminal, dishonest, infamous or disgraceful conduct adversely affecting the
employee/employer relationship, whether on-or off-duty.
(q) Failure to disclose or misrepresenting material facts, or the making of any false or
misleading statement on any application, examination form, or other official document,
report or form or during the course of any work-related investigation.
(r) Failure to take reasonable action while on-duty and when required by law, statute,
resolution or approved department _practices or procedures.
(s) Associating with or joining a criminal gang, organized crime and/or criminal syndicate
when a department member knew or reasonably should have known of the criminal
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nature of the organization. This includes any organization involved in a definable
criminal activity or enterprise, except as specifically directed and authorized by the
Department.
(t) Offer or acceptance of a bribe or gratuity.
(u) Misappropriation or misuse of public funds.
(v) Exceeding lawful peace officer powers by unreasonable, ·unlawful or excessive
conduct.
(w) Unlawful gambling or unlawful betting at any time or any place. Legal gambling or
betting under any of the following conditions: while on department premises; at any
work site; while on-duty or while in uniform; or while using any department equipment
or system. Gambling activity undertaken as part of an officer's official duties and with
the express knowledge and permission of a direct supervisor is exempt from this
prohibition.
(x) Substantiated, active, continuing association on a personal rather than official basis
with a person or persons who engage in or are continuing to engage in serious
violations of state or federal laws, where the employee has or reasonably should
have knowledge of such criminal activities, except where specifically directed and
authorized by the Department.
(y) Solicitations, speeches or distribution of campaign literature for or against any political
candidate or position while on-duty, on department property or while in any way
representing him/herself as a member of this agency, except as expressly authorized
by the Chief of Police.
(z) Engaging in political activities during assigned working hours except as expressly
authorized by the Chief of Police.
(aa) Violating any misdemeanor or felony statute.
(ab) Any other on-duty or off-duty conduct which any employee knows or reasonably should
know is unbecoming a member of the Department or which is contrary to good order,
efficiency or morale, or which tends to reflect unfavorably upon the Department or its
members.
(ac) Any failure or refusal of an employee to properly perform the function and duties of
an assigned position.
(ad) Failure to maintain required and current licenses (e.g. driver's license) and
certifications (e.g., first aid).
(ae) Giving false or misleading statements, or misrepresenting or omitting material
information to a supervisor, or other person in a position of authority, in connection
with any investigation or in the reporting of any department-related business.
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340.3.6 COMPETENCY IN THE PERFOMANCE OF ONES DUTIES
As an officer you must maintain sufficient competency to properly perform your duties and
assume the responsibilities of the position. The ability to observe, describe, or recall an event for
documentation, testifying in court, or remembering details in criminal and internal investigations
is what competent officers are expected to do to properly perform their duties.
(a) Incompetence may be demonstrated by -Failure to observe and remember basic events
at a significant incident. This shall include the officer's ability to observe and recall events and
situations occurring around them.
1. A lack of knowledge of the application of laws required to be enforced.
2. An unwillingness or inability to perform assigned tasks.
3. Failure to conform to work standards established for the member's rank or
position .
4. Failure to take appropriate action on the occasion of a crime, disorder or other
condition deserving police attention .
340.3. 7 SAFETY
(a) Failure to observe posted rules, signs and written or oral safety instructions while
on duty and/or within department facilities or to use required protective clothing or
equipment.
(b) Knowingly failing to report any on-the-job or work-related accident or injury within 24
hours.
(c) Substantiated employee record of unsafe or improper driving habits or actions in the
course of employment.
(d) Failure to maintain good physical condition sufficient to adequately and safely perform
law enforcement duties.
(e) Any personal action contributing to involvement in a preventable traffic collision, or
other unsafe or improper driving habits or actions in the course of employment.
(f) Violating departmental safety standards or safe working practices.
340.3.8 SECURITY
(a) Unauthorized, intentional release of designated confidential information, materials,
data, forms or reports
340.3.9 SUPERVISION RESPONSIBILITY
Supervisors and managers are required to follow all policies and procedures and may be subject
to discipline for:
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(a) Failure to be reasonably aware of the performance of their subordinates or to provide
appropriate guidance and control.
(b) Failure to promptly and fully report any known misconduct of a member to his/her
immediate supervisor or to document such misconduct appropriately or as required
by policy.
(c) Directing a subordinate to violate a policy or directive. acquiesce to such a violation.
or are indifferent to any such violation by a subordinate.
(d) The unequal or disparate exercise of authority on the part of a supervisor toward any
member for malicious or other improper purpose.
340.3.10 PROHIBIT LAW ENFORCEMENT "GANGS"
Officers shall not participate in a law enforcement gang. A violation of this policy is grounds for
termination. (Penal Code§ 13670)
A "law enforcement gang" is a group of peace officers within a law enforcement agency who may
identify themselves by a name and may be associated with an identifying symbol and who engage
in a pattern of on-duty behavior that intentionally violates the law or fundamental principles of
professional policing. including. but not limited to, excluding, harassing, or discriminating against
any individual based on a protected classification, engaging in or promoting conduct that violates
the rights of other employees or members of the public, violating agency policy, the persistent
practice of unlawful detention or use of excessive force in circumstances where it is known to
be unjustified, falsifying police reports, fabricating or destroying evidence, targeting persons for
enforcement based solely on protected characteristics of those persons, theft, unauthorized use
of alcohol or drugs on duty, unlawful or unauthorized protection of other members from disciplinary
actions, and retaliation against other officers who threaten or interfere with the activities of the
group.
Except when prohibited by law, the department shall disclose the termination of a peace officer
for participation in a law enforcement gang to another law enforcement agency that is conducting
a preemployment background investigation of the former officer. (Penal Code § 13670)
340.4 GENERAL STANDARDS
Members shall conduct themselves, whether on-or off-duty, in accordance with the United States
and California constitutions and all applicable laws, ordinances, and rules enacted or established
pursuant to legal authority.
Members shall familiarize themselves with policies and procedures and are responsible for
compliance with each. Members should seek clarification and guidance from supervisors in the
event of any perceived ambiguity or uncertainty.
Discipline may be initiated for any good cause. It is not mandatory that a specific policy or rule
violation be cited to sustain discipline. This policy is not intended to cover every possible type of
misconduct.
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340.4.1 WRITTEN REPRIMANDS
Any employee wishing to formally appeal a written reprimand must submit a written request to
his/her Division Commander within ten days of receipt of the written reprimand. The Division
Commander will then assign the appeal to an uninvolved supervisor of at least one rank above
the rank of the supervisor issuing the original written reprimand.
In the event that a written reprimand is issued by a Captain or Division Commander, the uninvolved
Captain or Division Commander will be the supervisor that will be assigned the appeal.
Absent a written stipulation to the contrary, the employee will be provided with an evidentiary
hearing before the assigned, uninvolved supervisor within 30 days. The decision of the assigned,
uninvolved supervisor to sustain, modify or dismiss the written reprimand shall be considered final.
340.5 POST INVESTIGATION PROCEDURES
340.5.1 RESPONSIBILITIES OF COMMAND STAFF
All completed personnel Type II investigations, as classified pursuant to department policy, shall
be forwarded to the PSSB Lieutenant for approval. Approved investigations shall be forwarded to
the involved employee's Bureau Captain, or other person at the direction of the Chief or Assistant
Chief, for review and determination of findings. The involved employee's Bureau Captain, or
assigned person, will conduct findings for the alleged policy violation(s) and prepare a report for
the Assistant Chief.
The Assistant Chief will have the responsibility to implement and/or recommend disposition,
including discipline for Type II complaints, if determined appropriate by the Assistant Chief, per
each employee's applicable Memorandum of Understanding. The Assistant Chief will notify the
employee of the disposition and discipline if indicated.
340.5.2 RESPONSIBILITIES OF THE CHIEF OF POLICE
In the event disciplinary action is recommended, consistent with all applicable Memorandum
of Understandings, the Assistant Chief shall provide the employee with written () notice of the
following information within one year of the date of the discovery of the alleged misconduct (absent .
an exception set forth in Government Code § 3304(d) or Government Code § 3508.1 ):
(a) Specific charges set forth in separate counts, describing the conduct underlying each count.
(b) A statement that the employee has been provided with or given access to all of the materials
considered by the Assistant Chief in recommending the proposed discipline.
(c) An opportunity to respond orally or in writing to the Chief of Police if requested within seven
days of receiving the notice.
1. Upon a showing of good cause by the employee, the Chief of Police may grant a reasonable
extension of time for the employee to respond.
2. If the employee elects to respond orally, the presentation shall be recorded by the Department.
Upon request, the employee shall be provided with a copy of the recording.
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340.6 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 Chief of Police after having had an opportunity to review
the supporting materials and prior to imposition of any recommended discipline. The employee
shall consider the following:
(a) This Skelly response is not intended to be an adversarial or formal hearing.
(b) Although the employee may be represented by an uninvolved representative or legal
counsel, the Skelly response is not designed to accommodate the presentation of
testimony or witnesses.
(c) The employee may suggest that further investigation could be conducted or the
employee may offer any additional information or mitigating factors for the Chief of
Police to consider.
(d) In the event that the Chief of Police elects to cause further investigation to be
conducted, the employee shall be provided with the results of such subsequent
investigation prior to the imposition of any discipline.
(e) The employee may thereafter have the opportunity to further respond orally or in
writing to the Chief of Police on the limited issues of information raised in any
subsequent materials.
(f) Once the employee has completed his/her response, the Chief of Police shall consider
all information received in regard to the recommended discipline. A written decision
shall be provided to the employee within 30 days, imposing, modifying, or rejecting
the recommended discipline. In the event of a termination, the final notice of discipline
shall also inform the employee of the reason for termination and the process to receive
all remaining fringe and retirement benefits.
(g) Once the Chief of Police has issued a written decision, the discipline shall become
effective.
340.7 RESIGNATIONS/RETIREMENTS PRIOR TO DISCIPLINE
In the event that an employee tenders a wriHen retirement ot resignation prior to the imposition
of discipline, it shall be noted in the file.
The tender of a retirement or resignation by itself shall not serve as grounds for the termination
of pending discipline.
340.8 POST SKELLY PROCEDURE
In situations resulting in the imposition of a suspension, punitive transfer, demotion, termination
of a non-probationary employee, the employee shall have the right to an evidentiary appeal of the
Chief of Police's imposition of discipline pursuant to the operative Memorandum of Understanding
(MOU) and personnel rules.
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340.9 DISCIPLINARY ACTION AGAINST PROBATIONARY EMPLOYEES
In the event that a probationary employee is terminated solely for unsatisfactory performance or
the failure to meet department standards, the employee shall have no right to appeal and the
following shall be considered:
(a) Termination of a probationary employee for such failure to pass probation shall be so
reflected in the employee's personnel file
(b) In the event that a probationary employee is disciplined or terminated for misconduct,
the employee shall only be entitled to appeal the decision in the same manner as set
forth in the Skelly procedure as set forth above. This appeal process may be held prior
to or within a reasonable time after the imposition of discipline
(c) At all times during any investigation of allegations of misconduct involving a
probationary officer, such officer shall be afforded all procedural rights set forth in
Government Code § 3303 and applicable Department policies
(d) · A probationary employee's appeal of disciplinary action shall be limited to an
opportunity for the employee to attempt to establish that the underlying allegations
should not be sustained. Nothing in this policy or procedure, however, should be
construed to establish any sort of property interest in or right to the employee's
continuation of employment
(e) The burden of proof for any probationary employee's appeal of disciplinary action shall
rest with the employee and will require proof by a preponderance of the evidence
(f) In the event that a probationary employee meets his or her burden of proof in such
a disciplinary appeal, the Department shall remove all reference to the underlying
allegations of misconduct from the employee's personnel file
(g) In the event that a probationary employee fails to meet his or her burden of proof in
such a disciplinary appeal, the employee shall have no further right to appeal beyond
the Chief of Police
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Attachment E
Policy Carlsbad Police Department
1020 Carlsbad PD Policy Manual
Personnel Complaints
1020.1 PURPOSE AND SCOPE
This policy provides guidelines for the reporting, investigation, and disposition of complaints
regarding the conduct of the Carlsbad Police Department members. This policy shall not apply
to any questioning, counseling, instruction, informal verbal admonishment, or other routine or
incidental contact of a member in the ordinary course of duty by a supervisor or any other member,
nor shall this policy apply to a criminal investigation.
1020.1.1 PERSONNEL COMPLAINTS DEFINED
Personnel complaints consist of any allegation of misconduct or improper job performance against
any department member that, if true, would constitute a violation of department policy, federal,
state, or local law. Inquiries about member conduct that, even if true, would not constitute a
violation of department policy, federal, state, or local law, is NOT a personnel complaint. Personnel
complaints may be generated internally or by the public.
Inquiries about conduct or performance that, if true, would not violate department policy or federal,
state or local law, policy or rule . may be handled informally by a supervisor and shall not be .
considered a personnel complaint. Such inquiries generally include clarification regarding policy,
procedures, or the response to specific incidents by the Department.
Personnel complaints shall be classified by the Watch Commander, lieutenant responsible for
the work unit involved in the complaint, or the member receiving the complaint if at the rank of
lieutenant or higher. If the complaint concerns the actions of a lieutenant or person of higher rank,
the classification shall be conducted by a person of a higher rank than the person complained
upon.
The classification of personnel complaint,5 shall be in one of the following categories:
Type I - A matter in which an allegation against any department member, if true, would
NOT reasonably result in punitive action. Punitive action means any action that may lead to
dismissal, demotion, suspension, reduction in salary, written reprimand, or transfer for purposes
of punishment.
Type II -A matter in which an allegation against any department member, if true, could reasonably
result in punitive action. Punitive action means any action that may lead to dismissal, demotion,
suspension, reduction in salary, written reprimand, or transfer for purposes of punishment
(Government Code § 3303). If a complaint consists of several allegations, if any allegation would
classify as a Type II complaint, the entire complaint should be classified as Type II.
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1020.2 POLICY
The Carlsbad Police Department takes seriously all complaints regarding the service provided
by the department and the conduct of its members. The department will accept and address all
misconduct complaints per 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 department to ensure that the community can report misconduct without concern for reprisal
or retaliation.
1020.2.1 SOURCE OF COMPLAINTS
(a) A department employee becoming aware of alleged misconduct shall immediately notify a
supervisor.
(b) A supervisor receiving a complaint from any source alleging misconduct of an employee.
(c) Anonymous complaints and third-party complaints should be accepted and investigated to the
extent that sufficient information is provided, consistent with this policy.
1020.2.2 COMPLAINT FORMS
Personnel complaint forms will be maintained .in a visible location in the public area of the police
facility and be accessible through the department website. Forms may also be available at other
City facilities. Personnel complaint forms in languages other than English may also be provided,
as determined necessary or practicable.
1020.2.3 ACCEPTANCE OF COMPLAINTS
All department employees shall accept a complaint regarding a department member. If feasible
under the circumstances, a complainant should be referred to a supervisor to accept a complaint. If
a supervisor is not reasonably available, the employee shall accept the complaint and forward the
compliant to a supervisor.
1020.2.4 SUPERVISOR RESPONSIBILITIES
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A supervisor who becomes aware of alleged misconduct shall -take reasonable steps to prevent
aggravation of the situation.
The responsibilities of supervisors include but are not limited to:
(a) Ensuring that upon receiving or initiating any complaint, proper documentation is completed
as provided in policy 1020.2.5.
(b) In circumstances where the integrity of the investigation could be jeopardized by reducing the
complaint to writing or where the confidentiality of a complainant is at issue, a supervisor may
orally report the matter to the Chief of Police or Assistant Chief, who will initiate appropriate action.
(c) Responding to all complainants courteously and professionally.
(d) Properly securing or recovering any evidence and/or statements that may reasonably be
expected to be lost if immediate action is not taken by the supervisor.
{e) Notifying Human Resources in writing of the receipt of a complaint which is subject to City of
Carlsbad Administrative Order 45, Respectful Workplace and Non-Discrimination Policy, and of
the disposition. Investigations into complaints subject to Administrative Order 45 will be conducted
by the Police Department or as directed by the Chief of Police or Assistant Chief.
1020.2.5 COMPLAINT DOCUMENTATION
Type I Complaint-Type I complaints may be handled informally by a supervisor. This may
include providing counseling or direction, training, or other response as deemed appropriate by
the supervisor and Watch Commander, or responsible lieutenant.
A Complaint Summary form will be completed by the supervisor receiving the complaint. The
Watch Commander and or responsible lieutenant will classify the complaint as a Type I. A
Complaint incident number should be obtained from Professional Standards and Services Bureau
(PSSB). PSSB should capture and log the date the complaint was filed, involved department
personnel, supervisor handling the disposition of the complaint, and the approving Watch
Commander, or responsible lieutenant, and a description of the action taken.
The Watch Commander, or responsible lieutenant, shall promptly notify the appropriate Bureau
Captain of any Type I complaint and disposition, and ensure that the complainant is advised that
the complaint has been addressed.
Type II Complaint-Type II complaints of alleged misconduct shall be documented by a supervisor
on a Complaint Summary form. The supervisor shall ensure that the nature of the complaint
is defined as clearly as possible. The Complaint Summary form will be reviewed by the Watch
Commander, or responsible lieutenant and classified as a Type II complaint.
When a complaint is filed in person, when possible, the complainant should legibly write a detailed
narrative of their complaint. If circumstances indicate that this is not feasible, the complaint may be
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dictated to the receiving supervisor. The receiving supervisor shall record the statement obtained
from the reporting party. However, a refusal by a party to be recorded shall not be grounds to
refuse to accept a complaint.
When feasible, the complainant shall be provided a copy of his or her own statements at the time
the complaint is filed per Penal Code§ 832.?(c).
The Complaint Summary form shall be completed and forwarded to PSSB via the chain of
command, to include the appropriate Bureau Captain, by the end of the, shift for the reporting
supervisor.
1020.3 TYPE II COMPLAINT INVESTIGATIONS
A Type II complaint shall be presented to the Chief of Police and/or Assistant Chief for
direction. Upon review of the filed complaint and surrounding circumstances, the Chief of Police
and/or Assistant Chief shall provide direction in writing on how to resolve the complaint. The
direction may include:
(a) Request a formal investigation of the allegations
(b) Request informal handling of the allegations to potentially include counseling ,
additional training, policy instruction or other reasonable disposition of the allegations
(c) A combination of a formal investigation of a/some allegations and informal handling
of a/some allegations
This written direction by the Chief of Police and/or Assistant Chief shall be retained in the internal
affairs case file for the incident. When informal handling is directed, the assigned supervisor shall
request PSSB to assign a Complaint incident number.
1020.3.1 TYPE II FORMAL ADMINISTRATIVE INVESTIGATIONS
Upon direction of the Chief of Police or Assistant Chief, Type II complaints will be administratively
investigated as fol·lows. The PSSB Lieutenant shall ensure that a specific person is assigned to
conduct the investigation, and that both a Complaint incident number and IA case number are
assigned to'Type II complaints.
No investigation shall be undertaken against any officer solely because the officer has been placed
on a prosecutor's Brady list or the name of the officer may otherwise be subject to disclosure
pursuant to Brady v. Maryland. However, an investigation may be based on the underlying acts
or omissions for which the officer has been placed on a Brady list or may otherwise be subject to
disclosure pursuant to Brady v. Maryland (Government Code § 3305.5).
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1020.3.2 ADMINISTRATIVE INVE.STIGATION PROCEDURES
The following applies to members covered by the Public Safety Officers Procedural Bill of Rights
Act (POBR) (Government Code§ 3303):
(a) 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.
(b) Unless waived by the member, interviews of an accused member shall be at the Carlsbad
Police Department or other reasonable and appropriate place.
(c) No more than two interviewers should ask questions of an accused member.
(d) Before any interview, a member shall be informed of the nature of the investigation, the name
and rank of the officer in charge of the investigation, the interviewing officers, and all other persons
to be present during the interview.
(e) All interviews shall be for a reasonable period, and the member's personal needs should be
accommodated.
(f)No member should be subjected to offensive or threatening language, nor shall any promises,
rewards, or other inducements be used to obtain answers.
(g) 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, absent a valid
court order.
(h) 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 before any subsequent interview.
(i) All members subjected to interviews that could result in discipline have the right to have an
uninvolved representative present during the interview. However, 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 before being interviewed.
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U) All members shall provide complete and truthful responses to questions posed during
interviews.
(k) 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. (Cal. Gov. Code§ 3307) ..
(I) If an investigation discloses misconduct or improper job performance not alleged in the original
complaint, the investigator shall take appropriate action about any additional allegations.
1020.3.3 NOTICE TO COMPLAINANT OF INVESTIGATION STATUS
The PSSB Lieutenant will ensure that the complainant is provided written acknowledgment of
the receipt of the personnel complaint and advise the complainant in writing when the personnel
investigation has been completed.
1020.4 DISPOSITION OF PERSONNEL COMPLAINTS
All completed personnel Type II investigations shall be forwarded to the PSSB Lieutenant for
approval.Approved investigations shall be forwarded to the involved employee's Bureau Captain,
or other person at the direction of the Chief or Assistant Chief, for review and determination of
findings. The involved employee's Bureau Captain, or assigned person, will conduct findings for
the alleged policy violation(s) and prepare a report for the Assistant Chief.
Each allegation of a Type I or Type II complaint shall be classified with one of the following findings:
Unfounded -When the investigation clearly established that the allegation is not true. Complaints
that are determined to be frivolous will fall within the classification of unfounded (Penal Code §
832.5(c)).
Exonerated -When the investigation clearly establishes that the actions of the officer that formed
the basis for the complaint are not violations of law or department policy.
Not Sustained -When the investigation discloses insufficient evidence to sustain the complaint
or fully exonerate the employee.
Sustained -When the investigation clearly established that the act occurred and constituted a
violation of department policy, federal, state, or local law.
The Assistant Chief will have the responsibility to implement and/or recommend disposition,
including discipline for Type II complaints, if determined appropriate by the Assistant Chief, per
each employee's applicable Memorandum of Understanding. The Assistant Chief will notify the
employee of the disposition and discipline if indicated.
All completed investigations of Type I a~d Type II complaints shall be forwarded to the PSSB
Lieutenant who shall maintain sustained complaints in the employee's department personnel file.
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All complaints classified as unfounded, exonerated or not sustained shall be retained by the PSSB
apart from the employee's personnel file. (Penal Code § 832.5).
Type I sustained complaints may be documented in writing in the evaluation file of the involved
member(s) and incorporated into the member's next evaluation as deemed appropriate by the
evaluating supervisor.
Any comment adverse to a member's interest entered in his/her personnel file, or any other file
used for any personnel purposes, to include an evaluation file may only be entered after the
member having first read and signed the instrument containing the adverse comment indicating
he/she is aware of such comment. If after reading such instrument the member refuses to sign
it, that fact shall be noted on that document, and signed or initialed by the supervisor (Cal. Gov.
Code 3305). A member shall have 30 days within which to file a written response to any adverse
comment entered in his/her personnel file. Such written response shall be attached to, and shall
accompany, the adverse comment (Cal. Gov. Code 3306).
1020.5 AVAILABILITY OF WRITTEN PROCEDURES
The department shall make available to the public a written description of the investigation
procedures for complaints (Penal Code § 832.5).
1020.6 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 Department,
the Chief of Police or the authorized designee may temporarily assign an accused employee to
administrative leave pending completion of the investigation or the filing of administrative charges.
Any employee placed on administrative leave:
(a) May be required to relinquish any department badge, identification, assigned weapons and
any other department equipment.
(b) Shall be required to continue to comply with all policies and lawful orders of a supervisor.
(c) 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.
Details pertaining to the reason a member of the department was assigned to administrative leave
are confidential and shall not be disclosed to unauthorized personnel (pursuant to Penal Code
section 832.7 and Policy Manual section 1026). Departmental notification (email, written memo,
etc.) that an employee has been placed on administrative leave shall only be made by the Chief
of Police or an authorized designee.
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1020.7 CONFIDENTIALITY OF PERSONNEL FILES
All investigations of personnel complaints, whether originating from a citizen or internally, shall
be considered confidential peace officer personnel files. The contents of such files shall not be
revealed to other than the involved employee or authorized personnel except pursuant to lawful
process.
If an accused employee (or the representative of such employee) knowingly makes false
representations regarding any internal investigation and such false representations are
communicated to any media source, the department may disclose sufficient information from the
employee's personnel file to refute such false representations (Penal Code § 832.5).
All complaints and any reports· or findings related to those complaints, shall be retained for a period
of no less than five years where there was not a sustained finding of misconduct and for not less
than 15 years where there was a sustained finding of misconduct. (Penal Code § 832.5).
1020.8 REQUIRED REPORTING TO POST
The Chief of Police or the authorized designee shall notify POST on the appropriate POST form
within 10 days of certain officer personnel events, including but not limited to (Penal Code §
13510.9):
(a) 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
Department and submitted to POST as required by Penal Code § 13510.9.
(b) Events that could affect an officer's POST certification, such as :
1. Complaints, charges, or allegations of misconduct
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 an officer or the Carlsbad Police Department based on allegations of
conduct by an officer
The Chief of Police 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) for up to two years after reporting of the disposition of an
investigation (Penal Code§ 13510.9).
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