1.2 Employees shall, when requested, assist AIU Investigators in the course of an investigation.

1.3 When interviewed by an AIU Investigator during the investigation of an administrative matter, employees shall respond fully and truthfully.

1.4 When conducting investigations, AIU Investigators represent the Director. If an Approving Authority determines that employees have failed to cooperate at any level of the administrative investigation, corrective disciplinary action may be taken up to and including dismissal.

1.5 Deputy Directors, Assistant Directors, the Chief of Staff, Wardens, Deputy Wardens, Administrators and Bureau Administrators shall be informed of investigations occurring in their area of supervision. The permitted exception shall be when there is an allegation against an individual who is normally notified.

1.1.1 Conduct interviews during normal business hours, i.e., when the employee being interviewed is on duty.

1.1.1.1 Unless justified by unusual circumstances, interviews shall not be conducted while the employee is on leave. Especially if the employee is on leave for medical reasons.

1.1.2 Conduct interviews at a Department facility, institution or private prison.

1.1.3 Immediately notify the employee's supervisor if the employee is required to leave his or her assigned post during an interview.

1.1.4 Prior to starting an interview, provide the following information to the concerned employee:

1.1.4.1 The name and position title of all persons present, and the nature of the investigation.

1.1.4.2 The name of the complainant, unless the Professional Standards Bureau (PSB) Administrator determines that it is reasonable to keep that information confidential, (i.e., to contribute to the complainant's safety or to avoid jeopardizing the investigation.)

1.1.4.2.1 If the complainant is anonymous, a statement to that effect shall be made.

1.1.4.3 If, during the investigation, it is determined to keep the identity of the complainant confidential, it shall be so noted on the Administrative Investigations - Complaint Advisory, Form 601-2PF.

1.1.5 Limit interviews to a reasonable length of time, not to exceed four hours for any single interview session.

1.1.6 Make written notes and/or tape recordings of the interview, and permit the concerned employee to do so.

1.1.6.1 Only new tapes shall be used by the investigator.

1.1.6.2 Before beginning the interview, the investigator shall check the recording equipment to ensure that it is operating properly.

1.1.7 Afford the concerned employee reasonable rest periods for personal necessities, meals, and telephone calls during the interview session.

1.1.8 Not subject an employee being interviewed to offensive or abusive language.

1.1.9 Not promise rewards as an inducement to gain cooperation or answers from the concerned employee.

1.1.10 Not allow an employee to be questioned by more than two interviewers at one time, except that an observer approved by the interviewers and/or the AIU manager may be present for training or supervisory purposes.

1.2 The employee's supervisors shall approve unscheduled work hours when the investigators determine that it is necessary to schedule an interview while the concerned employee is off-duty.

1.2 The concerned employee shall not be allowed to have legal counsel or any other representative present during the interview.

1.3 The concerned employee shall truthfully answer all of the interviewer's questions concerning the investigation. Refusal to answer may result in disciplinary action.

1.4 The results of an administrative interview are not admissible in a criminal trial and shall not be used in any criminal action against the employee.

1.5 Should previously unknown criminal conduct become evident during an interview, the investigator shall terminate the interview and contact the PSB Administrator.

1.1.1 Immediately contact a supervisor in their chain of command or, the institution Duty Officer during normal non-duty hours, and provide the facts of the situation when involved as the principal in an arrest incident.

1.1.2 Keep their supervisors informed by submitting Information Reports when there are any developments in the status of their case, including the final disposition. Employees shall, at a minimum submit:

1.1.2.1 An Information Report to their supervisor outlining the circumstances of the arrest/citation immediately upon return to duty.

1.1.2.2 Periodic Information Reports outlining any change in the status of the case, including the results of any court hearings/appearances.

1.1.2.3 A final Information Report and copies of court documents, at the conclusion of the court case.

1.2 Supervisors' Responsibility to Notify and Report - Upon being advised of a staff arrest incident involving a subordinate, supervisors shall:

1.3 Information from Law Enforcement Agencies - PSB shall, upon being notified, contact the appropriate law enforcement agencies and obtain copies of their reports and/or other information relevant to the staff arrest incident.

1.4 Major Investigation by the PSB - Within 30 work days of receipt of the staff arrest information in accordance with Section 601.04, 1.2 or 1.3, the PSB shall:

1.4.1 Open a major investigation and conduct additional investigations into the significant details of the documentation provided, as necessary.

1.4.2 Forward the case file and cover sheet to the employee's Assistant Director or, if appropriate, the Deputy Director or the Chief of Staff.

1.5 Initial Determination of Findings/Corrective Disciplinary Action

1.5.1 Within five work days, the employee's Deputy Director, Assistant Director or, if appropriate, the Chief of Staff shall evaluate the information to determine if:

1.5.1.1 It adequately details the principal elements of the staff arrest incident as reported.

1.5.1.2 The employee's behavior during the contact with law enforcement authorities reflects adversely on the Department, pursuant to A.A.C. R2-5-501, Standards of Conduct.

1.5.1.3 There are unique circumstances that clearly justify withholding a decision on initial administrative and/or corrective disciplinary action pending final disposition of the charges.

1.5.2 If additional information is needed regarding the evaluations required in Section 601.04, 1.5.1.1, 1.5.1.2 or 1.5.1.3, the employee's Assistant Director, Deputy Director or the Chief of Staff shall return the case to the PSB with a memorandum attached that specifies the information needed.

1.5.3 The PSB shall conduct the additional investigation and return the case to the Deputy Director, Assistant Director or the Chief of Staff within five work days.

1.5.4 If it is determined that initial administrative and/or corrective disciplinary action is warranted, the Chief of Staff, Deputy Director or Assistant Director shall give prompt and appropriate direction to the approving authority.

1.5.5 The approving authority shall forward a copy of any documentation related to completed initial administrative and/or corrective disciplinary action to the PSB, through the employee's Deputy Director or Assistant Director or, if appropriate, the Chief of Staff.

1.6 Final Disposition of Charges

1.6.1 The PSB shall:

1.6.1.1 Continue to monitor the status of disposition of the staff arrest incident.

1.6.1.2 Obtain all copies of relevant documentation when the final disposition is made.

1.6.2 Upon receiving the documentation, the PSB shall provide an addendum report to the approving authority.

1.6.3 The approving authority shall:

1.6.3.1 Take corrective disciplinary action for a conviction, if appropriate, in accordance with Department Order 508, Employee Discipline System.

1.6.3.2 Return the case file to the PSB.

601.05 MISCONDUCT/INVESTIGATIONS - ACCEPTING/REPORTING COMPLAINTS - RESTRICTED

601.06 ASSIGNING THE INVESTIGATION/INITIALLY NOTIFYING THE EMPLOYEE - RESTRICTED

601.07 REASSIGNING THE EMPLOYEE/ADMINISTRATIVE LEAVE WITH PAY - RESTRICTED

601.08 CONDUCTING THE INVESTIGATION - RESTRICTED

601.09 PREPARING THE INVESTIGATION REPORT - RESTRICTED

601.10 DETERMINING FINDINGS - RESTRICTED

601.11 ADJUDICATING THE COMPLAINT/NOTIFICATION - RESTRICTED

601.12 ACCESS/CONFIDENTIALITY/FILING OF REPORTS AND PSB FILES - RESTRICTED

COMPLAINANT - The person(s) who makes the initial complaint, or files a formal charge, against an employee. The name of the individual requesting the investigation may not be used as a substitute for the name of the actual complainant.

COMPLAINT - An allegation of employee misconduct, which may be initiated by any person.

CORRECTIVE DISCIPLINARY ACTION - Sanctions that an approving authority may take for sustained allegations of misconduct, pursuant to Department Order 508, Employee Discipline.

GREEN BOOK INVESTIGATION - An investigation of minor staff misconduct.

INITIAL ADMINISTRATIVE ACTION - Temporary administrative remedies (i.e., immediate temporary reassignment of an employee from current duties or administrative leave with pay pending review of the investigation report) that an approving authority may take immediately following a PSB investigation of a staff arrest incident/serious traffic violation involving a subordinate.

RED BOOK INVESTIGATION - An investigation of major staff misconduct

SERIOUS TRAFFIC VIOLATION - Any criminal violation under the provisions of A.R.S. Title 28 (Traffic Code), i.e., hit and run, driving under the influence (DUI), reckless driving, or other violations that could result in the imposition of a jail sentence and/or suspension/revocation of the violator's driver license.

STAFF ARREST INCIDENT - The arrest, citation, summons or indictment of a staff member for a felony or misdemeanor (including an arrest or citation for a serious traffic violation), or other contacts or confrontations with law enforcement authorities that could cause embarrassment to the Department.

A.A.C. R2-5-501, Standards of Conduct

ARIZONA DEPARTMENT OF CORRECTIONS

INSPECTIONS AND INVESTIGATIONS DIVISION

MEMORANDUM

TO:                                 , Administrator, Professional Standards Bureau

DATE:

SUBJECT: Request for RED BOOK Investigation

After consultation with you (DATE) it was agreed upon to conduct a RED BOOK investigation concerning the following:

Person(s) Involved:

Synopsis of Incident:


Alleged Violations

1.

2.

• Criminal history inquiries

• Surveillance

• Searches