Chapter 3 – Personnel, Training, and Employee Relations

31140.3 Definitions

• Allegation Inquiry – The collection of preliminary information concerning an allegation of employee misconduct necessary to evaluate whether a matter shall be referred to the Central Intake Unit.

• Appointing Power – The Secretary of the Department.

• Assistant General Counsel (AGC) – An individual responsible for managing the Employment Advocacy and Prosecution Team (EAPT) in the Department’s Office of Legal Affairs (OLAOffice of Legal Affairs).

• Assistant Secretary, Office of Internal Affairs (OIAOffice of Internal Affairs) – An individual responsible for the operation and functions of the OIAOffice of Internal Affairs.

• Bureau of Independent Review (BIR) – A unit within the Office of the Inspector General (OIGOffice of the Inspector General) responsible for contemporaneous public oversight of the Department’s investigative and disciplinary processes.

• Case Management System (CMS) – An electronic system that allows real-time documentation on investigative case activity and allows various participants within the employee disciplinary process to monitor cases and record key decisions and due dates. The CMS tracks all investigative requests, case acceptance and rejections, and case activity on all Internal Affairs investigations, as well as direct adverse actions that impose penalties without an investigation.

• Central Intake Panel (CIP) – A collection of stakeholders led by the OIAOffice of Internal Affairs that ensures all referred allegations of employee misconduct are evaluated consistently and assigned appropriately throughout the Department. Individuals who participate regularly in the CIP include, but are not limited to, the following: Assistant Secretary, OIAOffice of Internal Affairs, or designee; Chief Assistant Inspector General (CAIG), BIR, or designee; AGC, EAPT, or designee; assigned Special Agents; and other pertinent Department representatives. The Assistant Secretary, OIAOffice of Internal Affairs, has the authority to initiate Internal Affairs investigations and is ultimately responsible for the acceptance and rejection of all cases that come before the CIP.

• Central Intake Unit (CIU) – A team of Special Agents, supervisors, and support staff within the OIAOffice of Internal Affairs responsible for receiving, screening, and analyzing allegation inquiries for presentation to the CIP.

• Chief Assistant Inspector General (CAIG) – An individual responsible for the operation and functions of the BIR, OIGOffice of the Inspector General.

• Deputy Inspector General – An investigator employed by the OIGOffice of the Inspector General.

• Designated Cases – Those cases assigned to the Vertical Advocates, including matters involving staff integrity and/or dishonesty, abuse of authority, sexual misconduct, use of force in which an inmate suffers death or serious injury, use of deadly force, serious allegations made against supervisors, and high profile or dismissal cases assigned to the Vertical Advocate by the AGC.

• Employee Relations Officer (EROEmployee Relations Officer)/Disciplinary Officer – An employee designated by the Hiring Authority to coordinate adverse actions.

• Employment Advocacy and Prosecution Team (EAPT) – The team in the Department’s OIAOffice of Internal Affairs responsible for operation of the Vertical Advocacy Program.

• Hiring Authority – The Undersecretary, General Counsel, Chief Information Officer, or any Assistant Secretary, Executive Officer, Chief Deputy Secretary, Director, Deputy Director, Associate Director, Warden, Parole Administrator, Superintendent, Superintendent of Education, Assistant Superintendent of Education, Health Care Manager, Regional Health Care Administrator, or any other person authorized by the appointing power to hire, discipline, and dismiss staff under his/her signature authority. The Administrator at the Richard A. McGee Correctional Training Center shall serve as the Hiring Authority for Correctional Officer Cadets. The appointing power includes a Hiring Authority for purposes of this Article.

• Investigation – The collection of evidence that supports or refutes an allegation of misconduct, including criminal investigations, administrative investigations, retaliation investigations, or allegation inquiries.

• Locally Designated Investigator(s) – A local investigator or a team of local investigators who meet the requirements to conduct Internal Affairs investigations and who perform allegation inquiries and conduct local Internal Affairs investigations as delegated and assigned by OIAOffice of Internal Affairs regional offices.

• Office of Civil Rights (OCROffice of Civil Rights (see OIA)) – The entity with authority to investigate complaints related to Equal Employment Opportunity (EEOEqual Employment Opportunity Office (see Office of Internal Affairs)) issues.

• Office of Internal Affairs – The entity with authority to investigate allegations of employee misconduct.

• Senior and Special Assistant Inspectors General (SAIG) – Attorneys employed by the BIR who report to the CAIG.

• Vertical Advocacy Model – A system that ensures legal representation for the Department during the investigative and employee disciplinary process in order to hold staff accountable for misconduct by way of thorough and complete internal investigations, principled decision-making, assessment of the investigations, and consistent and appropriate discipline.

• Vertical Advocate – An EAPT attorney assigned to one or more specific Hiring Authority locations to consult with investigators and Hiring Authorities concerning investigative findings, disciplinary decisions, and to prosecute designated cases.