Discipline & Grievance

The purpose of this policy is to establish procedural due process guidelines for employees, concerning citizen complaints, internal complaints, internal investigations and other disciplinary considerations.  Allegations of employee conduct in violation of UW-Platteville, UW-System, Departmental, rules and regulations, and/or city, state, or federal statutes will be investigated as soon as possible after the department becomes aware of the existence of the problem or incident. The department does

Policy: Discipline & Grievance Procedures

Author: Chief Joseph M. Hallman

WILEAG Standard: 1.9.1, 4.2.1

Issue Date: July 19, 2017

Reviewed Date: March 31, 2026

Revised Date: March 31, 2026

 

Purpose:

The purpose of this policy is to establish procedural due process guidelines for employees, concerning citizen complaints, internal complaints, internal investigations and other disciplinary considerations.  Allegations of employee conduct in violation of UW-Platteville, UW-System, Departmental, rules and regulations, and/or city, state, or federal statutes will be investigated as soon as possible after the department becomes aware of the existence of the problem or incident. The department does not require a formal complaint from a victim of the alleged misconduct prior to initiating an internal investigation.

Policy:

This department takes seriously all complaints regarding service provided by this department and the conduct of its employees. The Department will accept and address all complaints of employee misconduct in accordance with this policy and applicable federal, state and local law, University System and UW-Platteville rules and the regulations.  It is also the policy of this department to ensure that the community served can report misconduct without concern for reprisal or retaliation.  All forms of discipline for sworn employees will be administered in accordance with this directive and Wis. Stat. §164.

Definitions:

1. Appeal- the right to take proceedings of a ruling to a higher authority.
2. Bribe- money or favors bestowed on or promised to a person in a position of public trust to pervert their judgment or corrupt their conduct. It can serve to influence behavior.
3. Cause of Action: the matter for which an action may be brought or sustained.
4. Just Cause - for purposes of enforcement, the department defines cause as any situation when a member fails to comply with any of management's lawful expectations, whether such expectations be written or established through day-to-day customs and practices. The term "just cause" embraces the concept of fundamental fairness as functionally defined in the following (7) seven principles:

1. Members receive advance notice of what is prohibited and the possible or probable disciplinary consequences of their actions or inaction,
2. A reasonable relationship exists between the expectation and the safe and efficient operations of the department,
3. Fact-finding efforts were made before discipline or removal actions are imposed,
4. A fair and objective investigation was conducted,
5. Substantial evidence exists to prove the member is guilty as charged,
6. Discipline or removal actions are applied without unlawful discrimination,
7. And, the degree of discipline is reasonably related to the seriousness of the offense as well as the member's employment and work history.

5. Compel- to drive or urge a statement with force.
6. Counseling- a consultation between a supervisor and subordinate employee. The goal of counseling is to provide guidance to the employee to correct a minor deficiency in performance and/or minor rule violations.
7. Days off- those days determined by the Chief of Police on which any member of the department is relieved of duty without compensation.
8. Demotion- the act of reducing to a lower rank or grade.
9. Disciplinary Action- a punishment or penalty for the violation of the rules governing the personnel of the department.
10. Discreditable conduct- an act that is injurious to the reputation of the officer and/or the department.
11. Dismissal- the act of terminating an employee.
12. Exonerated- to free from blame, acquit, absolve, exculpate.
13. Grievance- a cause of distress affording reason for complaint.
14. Hearing- a scheduled proceeding before a regulating person or body of higher authority.
15. Incompetence: incapable of satisfactorily performing duties.
16. Internal Investigations Authority- the Chief of Police or his/her designee responsible for reviewing citizen complaints, and/or conducting investigations into allegations of employee misconduct.
17. Insubordination- the willful disobedience or disregard of orders lawfully issued by a supervisor or senior officer, or any disrespectful, mutinous, insolent, or abusive language or actions towards a supervisor or senior officer in the form of oral, written, digital, and/or any other communication.
18. Neglect of duty- failure to give proper attention to duty through carelessness or negligence.
19. Probationary period- each sworn officer shall be required to complete a (12) twelve-month period probationary period.
20. Resignation- the voluntary act by which an employee of the department terminates their employment.
21. Ruling- a guide or principle for a governing action which is a binding decision.
22. Sustained (or not)- to support as true, legal, or valid. To prove.
23. Unfounded- lacking a solid basis, groundless.

Procedures:

1. Processing criminal complaints:
   1. Investigations into criminal allegations of University Police personnel will be two-fold
      1. One investigation shall focus on the alleged criminal activity and may be conducted internally, by an outside agency, or the Chief’s designee. (1.9.1.2)
      2. The other investigation shall focus on any non-criminal disciplinary aspects of the incident. This shall be conducted by the internal investigations’ authority (Chief or his/her designee) internally. (1.9.1.1)
2. Internal Investigations (1.9.1.2)
   1. The Internal Investigations Authorities (Chief of Police or his/her designee) shall initiate an internal investigation into the conduct of members of the department whenever evidence of wrongdoing or violations of Department Policy, Procedures or Rules of Conduct come to the Chief's attention. Such investigations and disciplinary actions will be in accordance with UW System and UW-Platteville personnel policies.
   2. The Chief of Police may require members to submit written statements concerning their involvement as a police member in any action being investigated.
   3. The Chief of Police may require members to submit to an appropriate examination; provided, however, that all such examinations shall be in accordance with established law, due process, and judicial declarations.
   4. All members are required to cooperate fully with members of the department charged with the responsibility of conducting department investigations.
   5. The officer shall be informed of the nature of the investigation. (Wis. Stat. §164.02(1)(a)). If an officer refuses to answer questions, he/she should be given his/her Garrity rights (Appendix A) and ordered to provide full and truthful answers to all questions. The officer shall be informed that the interview will be for administrative purposes only and that the statement cannot be used criminally.
   6. Department members desiring to prefer formal charges against any civilian member shall initiate those charges with the Chief of Police.
   7. Responsibilities of Internal Investigations Authority (Chief or his/her designee) (1.9.1.2)
      1. The internal investigations authority shall have primary supervisory responsibility for the review and investigation of all complaints against officers, whether initiated by a citizen or the department. While investigating a complaint of misconduct, the internal investigations authority is delegated the authority of the Police Chief for the purposes of directing the investigation.
      2. Upon receipt of a complaint, an initial determination whether to assume primary investigative responsibility for the case or to refer it to the appropriate supervisor/external agency shall be made.  A supervisor’s investigation may be ordered stopped at any time, and full investigative authority assumed by internal investigations.
      3. The internal investigations authority shall have the following responsibilities:
         1. Maintaining a complaint log;
         2. Maintaining a central file for complaints in a secured area, kept in conformity with state law;
         3. Conducting a regular audit of complaints to ascertain the need for changes in training or policy; and
         4. Publishing an annual summary that shall be made available to the public of the complaints received and investigated by the department, and their final disposition.
      4. The internal investigations authority may recommend that a case be referred to the District Attorney for criminal charges.
   8. Officer’s Duties and Rights During Investigation (4.2.1.3)
      1. Wis. Stat. §164, Law Enforcement Officers’ Bill of Rights:§164.02
         1. Interrogation- If a law enforcement officer is under investigation and is subjected to interrogation for any reason which could lead to disciplinary action, demotion, dismissal or criminal charges, the interrogation shall comply with the following requirements:
            1. The law enforcement officer under investigation shall be informed of the nature of the investigation prior to any interrogation.
            2. At the request of any law enforcement officer under interrogation, he or she may be represented by a representative of his or her choice who, at the discretion of the officer, may be present at all times during the interrogation.
         2. Evidence obtained during the course of any interrogation not conducted in accordance with sub. (1) may not be utilized in any subsequent disciplinary proceeding against the law enforcement officer.
      2. §164.03 Recrimination- No law enforcement officer may be discharged, disciplined, demoted or denied promotion, transfer or reassignment, or otherwise discriminated against in regard to employment, or threatened with any such treatment, by reason of the exercise of the rights under this chapter.
      3. §164.04 Rights not to be diminished- The rights under this chapter shall not be diminished or abridged by any ordinance or provision of any collective bargaining agreement. These rights may be supplemented and expanded by ordinance or collective bargaining agreement in any manner not inconsistent with this chapter.
   9. Rights During an Internal Investigation
      1. Prior to any interview or special examination, the officer under investigation will receive confidential written notification of the complaint. This notification will include a copy of the original complaint or a summary adequately listing the relevant facts, and the officer’s rights and responsibilities during the investigation.
      2. All interviews will be conducted while the officer is on duty, unless the seriousness of the investigation is such that an immediate interview is required.
      3. The interview will be held at the officer’s work area or at a location agreeable to both parties.
      4. During interviews conducted by the internal investigation’s authority, there will be one member designated as the interviewer; only the interviewer will ask questions of the officer.
      5. Officers under investigation shall not be subjected to offensive language, nor threatened with transfer, dismissal, or disciplinary action during an interview. No promise or reward shall be made by the internal investigators as an inducement to answer any questions.
      6. The complete interview shall be recorded whenever conducted by the internal investigation’s authority. Any interruptions will be noted, and any relevant discussions transpiring during breaks will be summarized on the tape recorder and verified for accuracy by the officer.
      7. Accused officers may contact the internal investigations authority to ascertain the status of the investigation of a complaint filed against them.
      8. The accused officers will be given an opportunity to explain their actions to the chief prior to the imposition of any disciplinary action.
   10. Scope of Questioning During Interview
       1. Prior to an internal interview concerning alleged criminal misconduct, the officer under investigation shall be read the Miranda rights. The provisions of Miranda will be adhered to throughout the interview.
       2. Prior to an internal interview concerning allegations of administrative violations, the officer under investigation shall be advised as follows:
          1. The officer can be required to answer all questions specifically, narrowly, and directly related to the performance of his official duties.
          2. Refusal to comply with an order to answer such questions is a violation of departmental rules, which may subject the officer to further discipline up to and including dismissal.
          3. Any required self-incriminatory admission made during the interview may be used only in subsequent administrative proceedings, and shall not be used against the officer in subsequent criminal proceedings.
   11. Counsel at Interview
       1. Officers will be permitted to have an attorney, union representative, supervisor, or other personal representative with them in the room during any interview concerning allegations of misconduct by the employee.
       2. The officer’s representative is limited to acting as an observer of the interview, except where the interview focuses on, or leads to, evidence of potential criminal activity by the officer. In that case, an officer’s legal representative may advise and confer with the officer during the interview.
   12. Special Examinations
       1. An officer under investigation may request an intoximeter, blood, urine, psychological, polygraph, or medical examination if it is believed that such an examination would be beneficial to his or her defense. Also, the department may require such examination upon the direction of the designated departmental official.
       2. A supervisor is required to direct an officer to submit to a breath, blood, or urine test when a level of inebriation or drug usage is suspected as the factor directly related to duty performance or operating a department vehicle.
       3. If an identification lineup is solely for administrative purposes and criminal prosecution is not anticipated, an officer can be required to participate in a lineup.
       4. Property belonging to the law enforcement agency is subject to inspection where the employer has a reasonable suspicion that evidence of work-related misconduct will be found therein. Property includes, but is not limited to, vehicles, desks, files, and storage lockers.
       5. If a polygraph is ordered by the department for an officer, the complainant must also agree to submit to a polygraph.
   13. The Chief of Police shall review the investigation file and determine the appropriate disposition of the matter. (1.9.1.3)
       1. Findings of fact will be reported as and may fall into one or more of the following classifications:
          1. Sustained: A preponderance of the evidence demonstrated conduct in violation of at least one department rule, regulation, or procedure, city, state, or federal statute, UW-Platteville, UW-System rules or regulations, and/or UW-Platteville Police Department Policy/Procedure substantiating the original allegation(s).
          2. Sustained-not based on original complaint: A preponderance of the evidence demonstrated conduct in violation of at least one department rule, regulation, or procedure, city, state, or federal statute, UW-Platteville, UW-System rules or regulations, and/or UW-Platteville Police Department Policy/Procedure substantiating this finding not based on original allegation(s).
          3. Not sustained: Insufficient information was developed or available to prove or disprove the allegation(s).
          4. Exonerated: Act occurred, but actions were justified within the scope of current department rules, regulations, and procedures, city, state and federal statutes, UW-Platteville, UW-System rules or regulations, and/or UW-Platteville Police Department Policy/Procedure.
          5. Unfounded: Alleged act(s) did not occur.
       2. Records and reports will be maintained following Wisconsin’s Record Retention schedules.
       3. Discipline letters issued after an investigation will go into a person's personnel file.
       4. A person may review all information contained in their personnel or internal investigation file after a matter has been resolved. A written request must be made to review any files and forwarded to the Chief of Police.
   14. Discipline with Charges and Specifications
       1. When recommended disciplinary action may result in suspension, dismissal, or demotion, a formal statement of charges and specifications shall be prepared by the appropriate officer.
       2. The charging form shall include the following:
          1. The particular rule(s) alleged to have been violated;
          2. The dates and places where the alleged acts or omissions occurred;
          3. A statement of the alleged acts or omissions;
          4. The recommended disciplinary action;
          5. The officer’s right to appeal and appellate procedures; and
          6. Hearing date, time and place.
   15. The supervisor of the accused officer shall serve the charges and specifications upon the officer within the departmentally specified time period prior to the hearing date.
       1. Where possible, service shall be made while the officer is on duty.
       2. Where on-duty service is not feasible, the officer may be served at home.
3. Steps for progressive discipline
   1. Counseling/Remedial Training: This is a consultation between a supervisor and subordinate employee in regards to a deficiency in performance or very minor rule infractions.  The goal of counseling and/or remedial training is to provide guidance and put the employee on notice.  If the guidance is not followed future deficiencies will result in a more formal type of discipline.  Both counseling sessions and remedial training actions will be documented and mentioned in the employee’s annual evaluation. (4.2.1.1)
   2. Verbal/oral reprimands: These are verbal warnings given by a supervisor to a subordinate for violations of a minor nature. These are intended to correct action or behavior. (4.2.1.1)
   3. Written reprimands: These are administered by a supervisor to a subordinate for violations of a more serious nature and are also to correct action or behavior which has not been adjusted due to past warnings or notices. If circumstances dictate a higher level of discipline, this may be by-passed as well as verbal reprimands.
   4. Suspensions: Suspension shall only be issued in the event of serious infractions of rules, regulations and procedures. These will be administered by the Chief’s office and will be based upon a finding of fact. (4.2.1.2)
   5. Demotions: This form of discipline may occur concurrently with a suspension when a supervisor in involved. These will also be administered by the Chief’s office and will be based upon a finding of fact. (4.2.1.2)
   6. Termination: All members of the department are subject to termination of employment including, but not limited to, the following conditions: (4.2.1.2)
      1. Reductions in work force due to economic considerations,
      2. Decisions based upon findings of fact in serious matters that have been thoroughly investigated.
      3. Willful violations of ordinances, laws, and/or statutes,
      4. Other acts listed within UW-Platteville and UW-System rules and regulations, and other UW-Platteville Police Department Policies & Procedures.
4. Grievances Procedures
   1. Grievances will follow the University of Wisconsin-Platteville grievance policy.

APPENDIX A