Chapter 3 – Personnel, Training, and Employee Relations

31140.16 Review, Evaluation, and Disposition

• The CIU shall review each CDC Form 989 and all supporting documentation and shall evaluate and make a determination regarding each matter within thirty (30) calendar days.

• Requests for investigation shall receive a case number and be evaluated using a priority approach. Outcomes of the evaluation are as follows:

  • Accepted for Investigation

    • Allegations of misconduct accepted by the CIU for investigation shall be forwarded to one of the OIAOffice of Internal Affairs regional offices for assignment. Once received, the OIAOffice of Internal Affairs regional will assign the investigation as follows:

      • Assign the investigation to a Special Agent from the OIAOffice of Internal Affairs regional office within ten (10) calendar days;

      • Assign the investigation to a locally designated investigator within ten (10) calendar days. The investigation shall be supervised and monitored by a Senior Special Agent from the respective OIAOffice of Internal Affairs Regional Office.

    • The SACCalifornia State Prison, Sacramento, CIU, shall provide written acceptance of the case by memorandum to the Hiring Authority. The memorandum shall include the OIAOffice of Internal Affairs regional office with case responsibility and the CMS case number. This acceptance memorandum shall remain a permanent record in the Internal Affairs investigator’s case file.

  • Referred for Investigation

    • These cases contain allegations that are more appropriately investigated by other entities (i.e., outside law enforcement, the OIGOffice of the Inspector General, or OCROffice of Civil Rights (see OIA)).

  • Returned to the Hiring Authority Without Investigation

    • Investigation requests may be returned to the Hiring Authority for failing to provide all necessary information, for failing to meet the criteria for an Internal Affairs investigation, or when the CIU determines no investigation is warranted. These requests are returned to the Hiring Authority with a recommendation for the following:

      • Direct Discipline/Supervisory Action:

        • If misconduct is sufficiently well-documented, the case may be referred back to the Hiring Authority for direct adverse action with consultation from an assigned Vertical Advocate for designated cases or in consultation with the Vertical Advocate for all other cases. If the Vertical Advocate or EROEmployee Relations Officer/Disciplinary Officer determines that a subject interview or other interview(s) is necessary, the Vertical Advocate or EROEmployee Relations Officer/Disciplinary Officer shall notify the CIU and request an interview(s). Locally designated investigators are not authorized to initiate investigations or conduct interviews without approval of OIAOffice of Internal Affairs.

        • Some misconduct should be addressed by taking corrective action, such as training, policy or procedure change, or other progressive discipline measures.

      • Further Investigation or Inquiry Required:

        • Some requests for investigation may require the Hiring Authority to provide additional information or investigation. When the CIU determines insufficient information or documentation was submitted with the CDC Form 989, CIU staff shall contact the Hiring Authority or designee and request additional information. The requested information and/or documentation shall be provided to the CIU within ten (10) calendar days, if the information is available.

      • No action:

        • Some requests may not warrant any corrective or adverse action.

• For requests returned without investigation, a memorandum shall be completed by the SACCalifornia State Prison, Sacramento and forwarded to the Hiring Authority. The memorandum shall include a detailed explanation for the action taken and shall direct the Hiring Authority, as appropriate, to determine the appropriate disciplinary action while taking into account any prior misconduct by the employee or corrective action imposed. A copy of the memorandum shall be retained in the CIU file. In addition to responding in writing, the SACCalifornia State Prison, Sacramento shall be available to the Hiring Authority to discuss the decision for the return of the investigation. The Hiring Authority may appeal the decision in writing to the Chief, OIAOffice of Internal Affairs, Headquarters Operations, promptly following issuance of a returned case memorandum.