Chapter 3 – Personnel, Training, and Employee Relations

33030.23 Adverse Action Documentation – Summary of Adverse Action

• The Summary of Adverse Action shall be completed for non-designated cases by the EROEmployee Relations Officer/Disciplinary Officer as follows:

  • Work History: A biographical summary of the employee’s employment history:

    • Location and dates of assignment.

    • Prior adverse actions with causes and dates listed.

    • Special commendations (restricted to departmental commendations or commendations from other agencies). Do not include routine letters of thanks or routine training certificates of accomplishment.

    • Incident reports-commendable and censurable. (Include any current Letters of Instruction.)

  • Chronological Summary of the Investigation: Write the summary as briefly and concisely as possible. Supporting reports, documents, and complete statements should be included as exhibits and referenced in the chronological summary.

    • The summary shall be in chronological sequence based on the steps taken by the investigator beginning with receipt of the information that precipitated the investigation.

    • Briefly describe each act of misconduct that supports the allegation.

    • Obtain dates, times, and the names of supervisors conducting corrective interviews. Copies or corrective memorandums, incident reports, etc., shall be included as exhibits.

  • Summary of Witnesses Statements: Prepare a list of witnesses as follows:

    • Include the witness’ full name and, if the witness is a State employee, his/her civil service classification title.

    • Below each name, identify the facts of the case for which the witness shall testify.

    • Briefly summarize witness’ statements in the sequence they were developed. The summary should contain all pertinent points contained in the statement.

  • Attachments: All documents gathered during the investigation including signed statements, transcripts, vouchers, receipts, performance reports, incident reports, photographs, and CDC Form 602 (Inmate/Parolee Appeal Form).