Chapter 3 – Personnel, Training, and Employee Relations

31010.1 Policy

• The California Department of Corrections and Rehabilitation (CDCRCalifornia Department of Corrections and Rehabilitation) is committed to providing Equal Employment Opportunity (EEOEqual Employment Opportunity Office (see Office of Internal Affairs)) and creating a work environment in which all individuals are treated with respect and professionalism. Consistent with this commitment, it is the policy of CDCRCalifornia Department of Corrections and Rehabilitation to provide a workplace free from discrimination, harassment, and retaliation for all applicants, employees, contractors, interns, and volunteers. The CDCRCalifornia Department of Corrections and Rehabilitation EEOEqual Employment Opportunity Office (see Office of Internal Affairs) policy is a zero-tolerance policy which applies to all aspects of employment within CDCRCalifornia Department of Corrections and Rehabilitation including recruitment, hiring, promotion, transfer, training, corrective adverse action, and other terms, conditions, and benefits of employment. Zero tolerance means that violations of this policy shall not be tolerated. When policy violations are found to have occurred, appropriate corrective action and/or adverse action, up to and including dismissal, depending on the severity of the violation, shall be taken. 

• All employees are prohibited from discriminating against or harassing anyone on the basis of their protected status. In addition, all employees are prohibited from engaging in behavior that constitutes biased conduct as defined within this policy.

• The basis for filing an EEOEqual Employment Opportunity Office (see Office of Internal Affairs) complaint are:

  • Age (40 years old or older)

  • Ancestry

  • Color

  • Disability (physical or mental)

  • Genetic Information

  • Marital Status

  • Medical Condition (cancer or genetic characteristics)

  • National Origin

  • Political Affiliation (includes opinion or activities)

  • Race

  • Religion and/or Religious Creed

  • Sex and/or Gender (including pregnancy, childbirth, lactation, or medical conditions related thereto, gender, gender identity, and gender expression)

  • Sexual Orientation

  • Veteran Status and/or Military Service

  • Request or usage of leave rights permissible under the Family and Medical Leave Act (FMLA), California Family Rights Act (CFRA), and/or Pregnancy Disability Leave Act.

  • EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Retaliation: All employees are prohibited from retaliating against any person based on the person:

• All employees are prohibited from aiding or coercing any acts forbidden under this policy.

• All employees are prohibited from engaging in behavior that rises to the level of discrimination, harassment, or retaliation in violation of: 

  • Title VII of the Civil Rights Act of 1964 (including amendments)

  • California Fair Employment and Housing Act (FEHA) of 1959 (including amendments)

  • California Code of Regulations (Titles 2 and 15)

  • Penal Code section 2605(d)

  • Departmental EEOEqual Employment Opportunity Office (see Office of Internal Affairs) policies and procedures

  • Other California and federal EEOEqual Employment Opportunity Office (see Office of Internal Affairs) laws

• This policy applies to conduct that occurs in any location operated by CDCRCalifornia Department of Corrections and Rehabilitation or is considered a workplace by CDCRCalifornia Department of Corrections and Rehabilitation, as well as any location that can reasonably be regarded as an extension of the workplace, such as an off-site business or social function, or other non-CDCRCalifornia Department of Corrections and Rehabilitation facility where CDCRCalifornia Department of Corrections and Rehabilitation business is being conducted. This policy also applies to conduct that occurs off-duty and is brought back to the workplace, when such conduct adversely affects a protected individual or the workplace in a manner otherwise prohibited by this policy.

31010.2 Purpose

• The purpose of this policy is to outline and communicate the CDCRCalifornia Department of Corrections and Rehabilitation policy prohibiting discrimination, harassment, and retaliation in the workplace, define the roles and responsibilities of CDCRCalifornia Department of Corrections and Rehabilitation management and employees in the implementation of this policy, and describe the process for reporting complaints of violations of this policy. 

31010.3 Definitions of Discrimination Basis

• Age – Refers to the chronological age of any individual who has reached their 40th birthday. 

• Ancestry – The national or cultural origin of a line of familial descent.

• Color – The color of skin of an individual, including shades of skin within a racial group. 

• Disability (Physical or Mental) – A physical or mental impairment affecting one or more body systems which limits a major life activity, including but not limited to work; a record of such an impairment; or being regarded as having such an impairment.  

• Genetic Information – Includes information about the individual’s genetic tests, genetic tests of family members, as well as information about any disease, disorder, or condition of an individual’s family members (e.g., an individual’s family medical history).

• Marital Status – The legal status in a relationship such as married, never married, single, separated, divorced, or widowed. 

• Medical Condition – A person’s genetic characteristics or a diagnosis of cancer, record or history of cancer.

• National Origin – Physical, cultural or linguistic characteristics, tribal affiliation, marriage or association, organizational membership, or name associated with a national origin group. National origin groups include, but are not limited to, ethnic groups, geographic places of origin and countries that are not presently in existence. 

• Political Affiliation – Membership or association in a political party or special interest group (union issues are not included).

• Race – One of the widely recognized biological racial groups: e.g., Caucasian, Black or African American, Aboriginal, Asian, Native Hawaiian, or other Pacific Islander. Race is inclusive of traits historically associated with race, including, but not limited to, hair texture and protective hairstyles. 

• Religion – Any traditionally recognized religion, as well as beliefs, observances, and practices which an individual sincerely holds and which occupy in their life a place of importance parallel to that of traditionally recognized religions. This protection encompasses all aspects of religious belief, observance, and practice including religious dress and grooming. 

• EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Retaliation – An adverse employment action taken against an individual due to their protected activity (including the individual opposing any practices forbidden under this policy, or because the individual has filed a complaint, testified, or assisted in any investigation or proceeding related to this policy, or the person has requested a reasonable accommodation for disability, medical condition, pregnancy, or religious reasons).  

• Sex – “Sex” includes: 

  • A person’s gender. “Gender” includes a person’s gender identity and gender expression. 

    • “Gender Identity” means a person’s sense of identification and deeply held sense of being a man, woman, or non-binary person, and is distinct from sexual orientation. 

    • “Gender expression” means a person’s external manifestations of gender, expressed through names, pronouns, clothing, behavior, voice, etc. 

    • “Transgender” means a person whose gender identity differs from their assigned sex at birth. 

  • Pregnancy, childbirth, lactation, or related medical conditions. 

• Sexual Orientation – Refers to heterosexuality, homosexuality, bisexuality, etc.

• Military and Veteran Status – A member or veteran of the United States Armed Forces, United States Armed Forces Reserve, the United States National Guard, and the California National Guard, and any person entitled to the rights and benefits under the Uniformed Services Employment and Reemployment Rights Act. 

31010.3.1 Definitions of Other Terms

• Abusive Conduct – Abusive conduct is conduct of an employer or employee in the workplace, with malice, that a reasonable person would find hostile, offensive, and unrelated to an employer’s legitimate business interests. Abusive conduct may include repeated infliction of verbal abuse, such as the use of derogatory remarks, insults, and epithets, verbal or physical conduct that a reasonable person would find threatening, intimidating, or humiliating, or the gratuitous sabotage or undermining of a person’s work performance. A single act shall not constitute abusive conduct, unless especially severe and egregious. An abusive conduct complaint which is not based on a protected class, should be addressed through the chain of command.  

• Association – An individual’s involvement with a member of a protected group or membership in an advocacy organization representing a protected group.

• Bias – Bias is defined by the department as a preformed negative opinion or attitude toward a group of persons based on their race, religion, disability, sexual orientation, ethnicity, gender, or gender identity.  

• Biased Conduct – Biased conduct refers to the conduct of an employee that is motivated, implicitly or explicitly, by an employee’s beliefs about someone based on the person’s actual or perceived personal characteristics. Conduct is biased if a reasonable person would conclude so using the facts at hand; such conduct may occur in an encounter with incarcerated people, parolees, the public, with other employees, or online, such as conduct on social media. An employee’s actions or conduct need not be intentionally biased or prejudiced for that conduct to be reasonably deemed biased. 

• Complainant – Any individual or group of individuals who allege discrimination in violation of a state or federal EEOEqual Employment Opportunity Office (see Office of Internal Affairs) law or regulation or departmental policy. 

• Discrimination – Discrimination is subjecting an individual to a harmful employment action or harassment on the basis of their real or perceived membership in a protected class or participation in a protected activity. Unlike biased and abusive conduct, discrimination requires 1) a harmful employment action or harassment and 2) that the harm was motivated by the individual’s protected status. 

• Equal Employment Opportunity (EEOEqual Employment Opportunity Office (see Office of Internal Affairs)) – EEOEqual Employment Opportunity Office (see Office of Internal Affairs) is the legal right of all individuals to be afforded full and equal consideration for employment, retention, and advancement on the basis of merit. 

• EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator/Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator – A person designated by a hiring authority to receive and coordinate internal discrimination complaints. 

• EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Counselor – A departmental employee trained to assist in the discrimination complaint process. 

• External Discrimination Complaint – A complaint alleging discrimination, harassment, or retaliation filed with or by a state or federal compliance agency against the Department.

• Family and Medical Leave Act (FMLA) and California Family Rights Act (CFRA) 

  • Provisions in state and federal statutes that allow eligible employees to take up to 12 work weeks (26 work weeks to care for a military service member) of unpaid, job-protected leave in a 12-month period, and the continuation of health benefits for one or more of the following reasons: 

    • The birth and care of a newborn child of the employee, placement of a child in the employee’s family for adoption or foster care, and for bonding leave within 12 months of birth, adoption, or foster care placement.  

    • The qualified serious health condition of the employee, or to care for the qualified serious health condition of the following family members: 

      • FMLA and CFRA: parent, spouse, or child.  

      • CFRA only: domestic partner, grandparent, grandchild, sibling, parent-in-law, or designated person.

    • A qualifying exigency related to the covered active military duty or call to covered active military duty of the following family members in the Armed Forces of the United States (including the National Guard and Reserves): 

      • FMLA and CFRA: spouse, child, or parent. 

      • CFRA only: domestic partner. 

    • Military caregiver leave, up to 26 work weeks of unpaid leave to care for a covered military service member who has a qualifying serious health condition.  

  • The program responsible for the administration of these statutes is Human Resources.  

• Hiring Authority – The Secretary, Undersecretary, General Counsel, Chief Information Officer, or any Assistant Secretary, Executive Officer, Director, Deputy Director, Associate Director, Warden, Regional Parole Administrator, Assistant Deputy Director, Superintendent, Superintendent of Correctional Education, Associate Superintendent of Education, Regional Health Care Executive, Chief Medical Executive, Chief Nurse Executive, Chief Executive Officer, or any other person authorized by the Secretary, CDCRCalifornia Department of Corrections and Rehabilitation, or Receiver, California Correctional Health Care Services, to hire, discipline and dismiss employees under their authority.

• Internal Discrimination Complaint – A complaint alleging discrimination filed with the OCROffice of Civil Rights (see OIA) or any local EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator or Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator.

• Respondent – The person(s) who is alleged to have committed an unlawful practice or engaged in conduct that violates this policy, in a complaint filed through Local Intervention Process (LIP), referral to OIAOffice of Internal Affairs/OCROffice of Civil Rights (see OIA), or compliance agency; for complaints received from external compliance agencies, CDCRCalifornia Department of Corrections and Rehabilitation is the Respondent, though individuals can be named as well.

31010.4 Complainant’s Rights

• Every person covered by this policy has the following rights:

  • The right to a discrimination-free work environment.

  • The right to work in an environment free from biased or abusive conduct.

  • The right to file a discrimination complaint, freedom from influence to refrain from filing a complaint, and freedom from retaliation after filing a complaint, (see “Filing a Complaint” below). Applicants, employees, contractors, interns, and volunteers shall immediately report the discriminatory action or conduct.

  • The right to have their complaint promptly reported, objectively reviewed, and investigated when appropriate.

  • The right to be informed of the disposition of the complaint.

  • The right to be represented by a person of the complainant’s choosing at each and all steps of the process..

  • The right to file a complaint with the California Civil Rights Department (CRD), Equal Employment Opportunity Commission (EEOCU.S. Equal Employment Opportunity Commission), and other appropriate state and federal compliance agencies.

31010.5 Conduct Violations

• The type of prohibited behavior which may be found to constitute a violation of CDCRCalifornia Department of Corrections and Rehabilitation’s EEOEqual Employment Opportunity Office (see Office of Internal Affairs) policy includes, but is not limited to:

  • Making employment decisions on the basis of an individual’s protected characteristics.

  • Changing the terms, conditions, or privileges of employment of an employee in retaliation for filing a discrimination complaint or participating in the discrimination complaint process.

  • Failing to consider reasonable accommodation request for a disability or for religious reasons.

  • Denying a leave request for which an employee is eligible under FMLA, CFRA, or because of pregnancy and pregnancy-related conditions.

  • Using discriminatory terms or telling discriminatory jokes that are based on an individual’s protected status.

  • Abusive conduct, including repeated infliction of verbal abuse and use of derogatory remarks, insults, and epithets.

  • Verbal and physical conduct that a reasonable person would find threatening, intimidating, or humiliating

  • Displaying objects, cartoons, pictures, or posters that are derogatory, sexual in nature, or discriminatory based on an individual’s protected status.

  • Posting, sending, uploading, or downloading messages with discriminatory, retaliator, or sexual content in any form via electronic mail, the intranet or internet websites, cell phone, interoffice mail, or public or private mail.

  • Discriminating against any employee in violation of this policy so as to create a hostile or offensive work environment.

  • Engaging in any unwanted physical contact or leering

  • Making harassing or offensive telephone calls to a coworker or sending harassing or offensive correspondence to an individual by any means including, but not limited to, public or private mail, interoffice mail, facsimile, electronic mail or text messaging.

  • Restricting or denying restroom access, in accordance with a transitioning transgender or non-binary individual’s gender identity and/or gender expression; or consistently failing to use the gender pronoun and honorific an individual has specified in all verbal and written communications with or regarding the individual, after the transgender or non-binary employee has provided notice of their pronouns.

  • Engaging in biased conduct as defined within the EEOEqual Employment Opportunity Office (see Office of Internal Affairs) policy. Examples, which if severe enough can rise to the level of harassment or discrimination, including: promoting stereotypes, or considering a person’s identity characteristics when taking actions, even if those actions do not constitute a “harmful” employment action.

31010.6 Sexual Harassment Violations

• Sexual harassment is defined under State and federal laws and by this policy as unsolicited and unwelcome sexual advances, requests for sexual favors, and other verbal, physical, or visual conduct of a sexual nature that interferes with work performance by creating an intimidating, hostile, or offensive work environment. Such conduct constitutes sexual harassment in violation of this policy when:

  • Submission to the conduct or communication is made either explicitly or implicitly a term or condition of employment.

  • Submission to or rejection of the conduct or communication is used as a basis for employment or service decisions affecting the individual.

  • Such conduct or communication has the potential to negatively affect an individual’s work performance and/or create an intimidating, hostile, or offensive work environment.

• The type of prohibited discriminatory or harassing behavior which may be found to constitute a violation of CDCRCalifornia Department of Corrections and Rehabilitation’s EEOEqual Employment Opportunity Office (see Office of Internal Affairs) policy includes, but is not limited to:

  • Demanding sexual favors in exchange for employment benefits, or as a term or condition of employment, whether explicitly or implicitly.

  • Engaging in any unwanted physical contact, including touching, leering, making sexual gestures, impeding or blocking movements, pinching, grabbing, patting, intentionally brushing up against another individual in a sexual manner, rape, or sexual assault.

  • Engaging in retaliation after a negative response to sexual advances.

  • Using sexually derogatory terms or telling sexual jokes and/or stories.

  • Displaying objects, cartoons, pictures, or posters of a derogatory or sexual nature.

  • Posting, sending, or uploading/downloading sexual or demeaning materials in any form via electronic mail, the intranet/internet websites, cell phone, interoffice mail, or public or private mail.

  • Following or stalking an employee.

  • Making harassing telephone calls of a sexual nature to a coworker, or sending sexually harassing correspondence to an individual by any means including, but not limited to, the use of public or private mail, interoffice mail, facsimile, electronic mail, or text messaging.

31010.7 Responsibilities

• Deputy Director, Office of Internal Affairs (OIAOffice of Internal Affairs) shall establish an Office of Civil Rights (OCROffice of Civil Rights (see OIA)) within OIAOffice of Internal Affairs. The OCROffice of Civil Rights (see OIA) shall develop policy and provide training to meet the Department’s obligation to ensure EEOEqual Employment Opportunity Office (see Office of Internal Affairs) and a work environment free of discrimination, harassment, and retaliation.

• Associate Director, Office of Civil Rights shall:

  • Serve as the department’s EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Officer. As needed, the Associate Director, OCROffice of Civil Rights (see OIA) reports to the CDCRCalifornia Department of Corrections and Rehabilitation Secretary on matters related to EEOEqual Employment Opportunity Office (see Office of Internal Affairs).

  • Develop and review EEOEqual Employment Opportunity Office (see Office of Internal Affairs) policies and procedures.

  • Provide statewide direction in the implementation of the Department’s EEOEqual Employment Opportunity Office (see Office of Internal Affairs) policy and procedures in compliance with state and federal laws and departmental policies to ensure a work environment free of discrimination, harassment, and retaliation.

  • Oversee the statewide discrimination complaint process and provide technical assistance to hiring authorities.

  • Ensure the Department is in compliance with requirements mandated by external state and federal agencies, including California Civil Rights Department (CRD), and the Equal Employment Opportunity Commission (EEOCU.S. Equal Employment Opportunity Commission).

  • Monitor the most sensitive and/or complex cases.

  • Consult with the Office of Legal Affairs when necessary.

  • Conduct research and prepare reports regarding EEOEqual Employment Opportunity Office (see Office of Internal Affairs) matters.

  • Ensure the Disability Advisory Committee (DACDisabled Advisory Committee) and other EEOEqual Employment Opportunity Office (see Office of Internal Affairs) and Sexual Harassment Prevention workgroups are effectively implemented throughout the Department.

  • Coordinate with the Office of Training and Professional Development in the development and delivery of EEOEqual Employment Opportunity Office (see Office of Internal Affairs) and Sexual Harassment Prevention training, including monitoring and evaluating the effectiveness of such training.

  • Act on behalf of the Secretary to maintain a department free of discrimination, harassment, and retaliation.

  • Serve as the department’s expert, key advisor, and resource for departmental management regarding EEOEqual Employment Opportunity Office (see Office of Internal Affairs) or sexual harassment, discrimination or retaliation prevention, workforce diversity matters, and engage with community and advocacy organizations.

• Office of Civil Rights Staff Shall:

  • Review discrimination complaints received by OCROffice of Civil Rights (see OIA).

  • Provide analysis of discrimination complaints alleging a violation of the CDCRCalifornia Department of Corrections and Rehabilitation EEOEqual Employment Opportunity Office (see Office of Internal Affairs) policy.

  • Provide a response to external compliance agencies regarding complaints or requests for information.

  • Develop and conduct EEOEqual Employment Opportunity Office (see Office of Internal Affairs) and Sexual Harassment Prevention training for CDCRCalifornia Department of Corrections and Rehabilitation staff and managers.

  • Provide consultation to hiring authorities, EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinators and Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinators on requests for religious accommodation.

  • Assist OIAOffice of Internal Affairs Special Agents with investigations involving allegations of harassment and/or discrimination.

  • Serve as a liaison between OCROffice of Civil Rights (see OIA) and Hiring Authorities, EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinators, Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinators, EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Counselors, and field training staff.

  • Coordinate with the Office of Training and Professional Development in the development and delivery of EEOEqual Employment Opportunity Office (see Office of Internal Affairs) and Sexual Harassment Prevention training, including monitoring and evaluating the effectiveness of such training.

  • Provide EEOEqual Employment Opportunity Office (see Office of Internal Affairs) program support; ensure the adequacy and accuracy of training materials; identify training needs; and customize training to meet training requirements.

  • Complete the annual Workforce Analysis Report, including goals for persons with disabilities and upward mobility, and other reports related to EEOEqual Employment Opportunity Office (see Office of Internal Affairs) compliance and regulation.

  • Provide technical assistance to CDCRCalifornia Department of Corrections and Rehabilitation staff regarding EEOEqual Employment Opportunity Office (see Office of Internal Affairs) and Sexual Harassment issues, internal and external complaint processes, and completion of forms.

  • Serve as a liaison for the Limited Examination and Appointment Program (LEAPLimited Examination and Appointment Program); incorporate LEAPLimited Examination and Appointment Program into training programs to encourage hiring of qualified persons with disabilities.

• The Hiring Authority shall:

  • Ensure compliance with the EEOEqual Employment Opportunity Office (see Office of Internal Affairs) policy and procedures and applicable state and federal laws by all employees under their authority and take immediate and appropriate course of action as necessary.

  • Ensure that employees under their management or supervision have received EEOEqual Employment Opportunity Office (see Office of Internal Affairs) and Sexual Harassment training and a copy of the CDCRCalifornia Department of Corrections and Rehabilitation EEOEqual Employment Opportunity Office (see Office of Internal Affairs) policy.

  • Ensure discrimination complaints received are referred to, recorded, and reviewed by the EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator or Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator and logged in compliance with Department Operations Manual (DOMDepartment Operations Manual), Section 31140.13, regardless of the nature of the complaint.

  • Assign appropriate employees to the positions of EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator and Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator, equivalent to the level of a Captain, Parole Agent III, Staff Services Manager II or above.

  • When appropriate, the hiring authority may conduct an allegation inquiry in compliance with DOMDepartment Operations Manual Section 31140.14.

  • Ensure engagement of interactive process with the requesting employee has occurred. Review requests for religious accommodation and make the final determination regarding such requests.

    • Consult with OCROffice of Civil Rights (see OIA) staff on requests for religious accommodation prior to rendering a final determination.

  • Take disciplinary action pursuant to CDCRCalifornia Department of Corrections and Rehabilitation DOMDepartment Operations Manual, Chapter 3, Articles 14 and 22, and the California Code of Regulations, Title 15, sections 3392 through 3392.10, when necessary, to address violations of the CDCRCalifornia Department of Corrections and Rehabilitation EEOEqual Employment Opportunity Office (see Office of Internal Affairs) policy.

  • Inform Complainants, in writing, of the determination and/or disposition of their complaint. At no time should the specifics related to any personnel action related to another employee be shared with the complainant. The notification of the determination and/or disposition of the complaint shall be limited to whether the original complaint is sustained, not sustained, exonerated, or unfounded.

• The EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator and Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator, under the supervision of the hiring authority, shall:

  • Receive discrimination complaints (whether or not they are documented on a Discrimination Complaint Form [CDCRCalifornia Department of Corrections and Rehabilitation Form 693]) and initiate the discrimination complaint process following the EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator’s manual provided by OCROffice of Civil Rights (see OIA).

  •  Review the complaint, including the CDCRCalifornia Department of Corrections and Rehabilitation Form 693, and collect any other documents submitted or identified by the complainant and EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Counselor.

  • Provide respondent with a Cease and Desist Letter after initial review, when appropriate, to order the alleged conduct or retaliation to stop and cease.

  • Provide support to the hiring authority regarding EEOEqual Employment Opportunity Office (see Office of Internal Affairs) policy, complaints, and related concerns.

  • Serve as a liaison between employees and management to help resolve discrimination complaints by discussing problems with employees and appropriate supervisors, by advising employees and by developing appropriate solutions, in consultation with the OCROffice of Civil Rights (see OIA).

  • Make recommendations for the selection of EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Counselors to the hiring authority, and provide training, technical assistance, direction, and maintain their contact information.

  • Provide assistance to OCROffice of Civil Rights (see OIA) in coordinating on-site interviews, including interviews conducted by external compliance agencies, and obtaining any requested documents.

  • Receive, review, and evaluate requests for religious accommodation, on behalf of the hiring authority.

  • Gather additional information or documents related to requests for religious accommodation, as needed, to evaluate such requests.

  • Make a recommendation to the hiring authority regarding requests for religious accommodation.

  • Serve as liaison between the employee requesting a religious accommodation and management to determine an appropriate accommodation, if any.

  • Consult with OCROffice of Civil Rights (see OIA) staff on requests for religious accommodation, as needed.

  • Log complaints on the CDCRCalifornia Department of Corrections and Rehabilitation Form 2140, Internal Affairs Allegation Log, in compliance with DOMDepartment Operations Manual Section 31140.13.

  • Serve as a member of the EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Advisory Committee, as outlined in
    Section 31010.12, and participate in quarterly meetings (at a minimum) to advise the hiring authority regarding local EEOEqual Employment Opportunity Office (see Office of Internal Affairs) complaints and training.

  • Attend Annual EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator, Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator, and EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Counselor training conducted by a Training for Trainer (T4T) certified trainer provided by OCROffice of Civil Rights (see OIA).

  • Be responsible for maintaining complaint files in a locked cabinet and electronic storage with restricted access.

  • Maintain a numbered log system, logging allegations of EEOEqual Employment Opportunity Office (see Office of Internal Affairs) violations.

  • Provide notification to OCROffice of Civil Rights (see OIA) upon any changes in assignment to the EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator, EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Assistant Coordinator, and EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Counselors.

• EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Counselors, under the supervision of the EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator or Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator, shall:

  • Establish and provide an open channel of communication through which employees may discuss complaints.

  • Advise employees of their rights and responsibilities with regard to the internal and external discrimination complaint procedures.

  • Inform employees of the EEOEqual Employment Opportunity Office (see Office of Internal Affairs) policy and procedures and the discrimination complaint process.

  • Receive discrimination complaints and forward them to the EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator or Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator within 24 hours.

  • Conduct the LIP intake interview with the complainant and submit the completed CDCRCalifornia Department of Corrections and Rehabilitation Form 693 and documentation to the EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator or Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator.

  • Assist the EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator or Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator, as needed, in gathering information or documentation related to requests for religious accommodation.

  • Serve as a member of the EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Advisory Committee, as outlined in Section 31010.12, and participate in quarterly meetings (at a minimum).

• Managers and Supervisors

  • Under the supervision of the hiring authority, all CDCRCalifornia Department of Corrections and Rehabilitation managers and supervisors shall:

    • Maintain and promote a work environment free from discrimination, harassment, retaliation, and abusive or biased conduct, as defined under this policy.

    • Adhere to the EEOEqual Employment Opportunity Office (see Office of Internal Affairs) policy and procedures, applicable state and federal law, discrimination complaint process and ensure they are communicated to all employees under their supervision.

    • Take immediate and appropriate action to stop conduct that violates this policy. Ensure that employees under their management or supervision have received EEOEqual Employment Opportunity Office (see Office of Internal Affairs) and Sexual Harassment Prevention training and a copy of the policy.

    • Advise employees of their rights and the process for filing an EEOEqual Employment Opportunity Office (see Office of Internal Affairs) complaint

    • Notify in writing their direct supervisor and the local EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator or Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator within 24 hours of becoming aware of conduct that may violate CDCRCalifornia Department of Corrections and Rehabilitation’s EEOEqual Employment Opportunity Office (see Office of Internal Affairs) policy. Prepare and submit a memorandum to the EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator or Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator within three working days from the date the employee informed the supervisor of the alleged violation.

    • Attend mandated EEOEqual Employment Opportunity Office (see Office of Internal Affairs) and Sexual Harassment Prevention training

    • Submit any requests for religious accommodation to the EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator or Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator within two working days.

    • Cooperate with the EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator or Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator to identify possible accommodations to address requests for religious accommodation.

  • Failure by a manager or supervisor to adhere to the above responsibilities may result in corrective and/or adverse action up to and including dismissal from CDCRCalifornia Department of Corrections and Rehabilitation. Separate from any action taken by CDCRCalifornia Department of Corrections and Rehabilitation, managers and supervisors should be aware that their conduct may result in personal civil liability.

• Employees

  • All CDCRCalifornia Department of Corrections and Rehabilitation employees shall:

    • Adhere to CDCRCalifornia Department of Corrections and Rehabilitation’s EEOEqual Employment Opportunity Office (see Office of Internal Affairs) policy and procedures, applicable state and federal laws, and the discrimination complaint process.

    • Not engage in, condone, tolerate, or leave uncorrected conduct that violates the EEOEqual Employment Opportunity Office (see Office of Internal Affairs) policy.

    • Report any EEOEqual Employment Opportunity Office (see Office of Internal Affairs) policy violations to any supervisor or manager.

    • Cooperate with any investigation conducted by OIAOffice of Internal Affairs or OCROffice of Civil Rights (see OIA).

    • Attend mandated EEOEqual Employment Opportunity Office (see Office of Internal Affairs) and Sexual Harassment Prevention training.

  • Failure by an employee to adhere to the above responsibilities may result in corrective and/or adverse action, up to and including dismissal from the Department, regardless of rank, level, or classification.

31010.8 Religious Accommodation

• The need for religious accommodation may arise when an employee’s sincerely held religious beliefs, observances, or practices conflict with a requirement or an essential function of the employee’s work. If a conflict exists between an employee’s religious beliefs, observances, or practices and the employee’s work requirements or essential functions, that employee may request a religious accommodation. An employee who seeks a religious accommodation shall make the employer aware of the need for an accommodation.

• The employer shall consider a request for an accommodation that eliminates the conflict between the employee’s religious beliefs, observances, or practices and the employee’s work requirements or essential functions.

• An accommodation includes, but it is not limited to, adjustment to the work environment that when reasonable, eliminates a conflict between an employee’s religious beliefs, observances, or practices, and the employee’s work requirements and essential functions.

• Under the Government Code, section 12926, subdivision (u), an undue hardship is an action requiring significant difficulty or expense. An undue hardship may exist if the requested accommodation creates safety or security risks, conflicts with a Memorandum of Understanding (MOUMemorandum Of Understanding), or conflicts with state or federal laws.

• Request for Religious Accommodation

  • An employee in need of a religious accommodation shall make a request and cooperate in good faith with their supervisor, manager, Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator, EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator, or hiring authority to provide the necessary information to process the request. The request for religious accommodation should be submitted by an employee in writing, on a CDCRCalifornia Department of Corrections and Rehabilitation Form 2273, Request for Religious Accommodation, or verbally.

  • The CDCRCalifornia Department of Corrections and Rehabilitation Form 2273 shall state the specific religious belief, observance, or practice in conflict with specific work requirements or essential functions; it shall explain how the religious belief, observance, or practice conflicts with specific work requirements or essential functions; and it shall state the specific accommodation requested, and explain how the requested accommodation resolves the conflict between the employee’s religious belief, observance, or practice and the employee’s work requirements or essential functions. This may also include providing the appropriate and verifiable information from a religious leader within the employee’s religious group.

  • Upon receipt of a CDCRCalifornia Department of Corrections and Rehabilitation Form 2273, it shall be forwarded to the Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator or EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator within two working days. A verbal request for religious accommodation shall be documented in writing by the person receiving the request and delivered to the Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator or EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator within 2 working days. The employee shall make a request for religious accommodation at least 15 calendar days prior to the requested accommodation. Failure to submit the request 15 calendar days prior to the requested accommodation may delay the processing of the request for accommodation.

31010.8.1 The Interactive Process

• Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinators, EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinators, and hiring authorities shall engage in a timely, good faith interactive process with the employee requesting a religious accommodation. The interactive process requires employer and employee flexibility and cooperation in informal discussions. An employer is not required to provide the specific accommodation requested by the employee. An employer is also not required to provide an accommodation, if the accommodation creates an undue hardship for the employer, or if the accommodation results in the segregation of the requesting employee from other employees or the public. (See Government Code, Section 12940 [l][2]). If the requested accommodation creates an undue hardship for the Department, the hiring authority shall engage in the interactive process with the employee to determine if there is an alternative accommodation to address the employee’s religious needs. Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinators, EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinators, and hiring authorities shall consult with OCROffice of Civil Rights (see OIA) before making a final decision.

31010.8.2 Evaluation of a Request for Religious Accommodation

• The Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator or EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator shall:

  • Evaluate the request for religious accommodation and request additional information, if necessary. The Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator or EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator shall contact the employee requesting the religious accommodation and ask clarifying questions, if needed, regarding the specific religious belief, observance, or practice that conflict with specified work requirements or essential functions, the specific conflict, and the accommodation requested.

  • Consider alternative accommodations, if the accommodation requested creates an undue hardship for the Department. The Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator or EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator shall consult with the local Labor Relations Analyst to rule out a conflict between the proposed accommodation and a MOUMemorandum Of Understanding. If a conflict with a MOUMemorandum Of Understanding exists, the Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator or EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator shall consult with the Labor Relations Analyst to determine if alternatives are available in accordance with the terms of the MOUMemorandum Of Understanding.

  • Review the information and make a recommendation to the hiring authority regarding the request for religious accommodation.

• The Hiring Authority shall forward all requests for religious accommodation to OCROffice of Civil Rights (see OIA) for review. OCROffice of Civil Rights (see OIA) shall provide a recommendation to the hiring authority regarding such requests. Upon receipt of the recommendation from the OCROffice of Civil Rights (see OIA), the hiring authority shall make the final determination. Once a final determination has been made, the hiring authority shall provide a response to the requesting employee, as soon as operationally feasible.

31010.9 Discrimination Complaint Process

• The CDCRCalifornia Department of Corrections and Rehabilitation’s Discrimination Complaint Process consists of the Local Intervention Process (LIP), direct filing with OCROffice of Civil Rights (see OIA) by the complainant, or referral to OIAOffice of Internal Affairs via CDCRCalifornia Department of Corrections and Rehabilitation Form 989, Confidential Request for Internal Affairs Investigation by the hiring authority. A complaint may also be filed by contacting a state or federal compliance agency.

31010.9.1 The Local Intervention Process

• It is CDCRCalifornia Department of Corrections and Rehabilitation’s policy to resolve a complaint of discrimination, harassment, or retaliation at the lowest level. If an employee reasonably believes that an EEOEqual Employment Opportunity Office (see Office of Internal Affairs) policy violation has occurred, they shall report the alleged misconduct. An employee should file a complaint in writing using the CDCRCalifornia Department of Corrections and Rehabilitation Form 693, Discrimination Complaint form, which can be obtained from the local Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator, EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator, the OCROffice of Civil Rights (see OIA), or the CDCRCalifornia Department of Corrections and Rehabilitation Intranet and Internet websites. An employee shall be allowed a reasonable amount of state time to report a complaint to their supervisor, an EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Counselor, the local EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator, Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator, or any other CDCRCalifornia Department of Corrections and Rehabilitation manager or supervisor. The individual to whom the violation has been reported shall take immediate and appropriate action to assist the employee in reporting the complaint, including submission of a written report to the Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator or EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator in the case of a verbal complaint, and preventing further violation(s) of this policy.

• A discrimination complaint alleging a violation of the CDCRCalifornia Department of Corrections and Rehabilitation EEOEqual Employment Opportunity Office (see Office of Internal Affairs) policy shall be forwarded to the Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator or EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator within 24 hours. The Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator or EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator may assign an EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Counselor to conduct a LIP interview with the complainant. After the Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator or EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator receives the documents from the assigned EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Counselor, the Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator or EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator shall forward the complaint and all associated documents to OCROffice of Civil Rights (see OIA) for further review and analysis. The OCROffice of Civil Rights (see OIA) shall then forward any complaints where potential EEOEqual Employment Opportunity Office (see Office of Internal Affairs) policy violations or general misconduct are found to the local hiring authority for determination of the appropriate course of action. The hiring authority shall forward allegations to OIAOffice of Internal Affairs via CDCRCalifornia Department of Corrections and Rehabilitation Form 989, Internal Affairs Investigation Request, when a reasonable belief of misconduct occurred and the alleged misconduct, if proven true, would result in adverse action, as determined by the hiring authority. The hiring authority shall forward the complaint disposition in cases where EEOEqual Employment Opportunity Office (see Office of Internal Affairs) policy violations may have been found to OCROffice of Civil Rights (see OIA) within 30 days of receipt of the hiring authority referral.

31010.9.2 Filing a Complaint

• A discrimination complaint should be filed via a CDCRCalifornia Department of Corrections and Rehabilitation Form 693, Discrimination Complaint Form, with the local EEOEqual Employment Opportunity Office (see Office of Internal Affairs) coordinator or Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator. A complaint may also be sent directly to the OCROffice of Civil Rights (see OIA) via email at: M_CivilRights@cdcr.ca.gov, or by using the OCROffice of Civil Rights (see OIA), EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Discrimination Complaint Hotline at 1-800-272-1408. An employee may also file an external complaint with a state or federal agency. See External Complaint, 31010.9.4. An employee is not required to confront the person(s) engaged in the conduct believed to be in violation of this policy at any time before or after filing a complaint. If the complaint involves a supervisor(s) or manager(s) in the employee’s direct chain of command, the employee may report the behavior to any uninvolved supervisor, manager, EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator, Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator, or EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Counselor.

31010.9.3 Allegation Inquiry

• An allegation inquiry may be conducted when violations of the CDCRCalifornia Department of Corrections and Rehabilitation EEOEqual Employment Opportunity Office (see Office of Internal Affairs) policy are alleged, but the allegations(s) and/or complainants and respondent(s) are not clearly defined. The OCROffice of Civil Rights (see OIA) staff may be consulted to determine whether an inquiry is appropriate. The inquiry shall be conducted in accordance with DOMDepartment Operations Manual Section 31140.14.

31010.9.4 External Complaint

• All persons covered by this policy may elect to file a discrimination complaint with the following external compliance agencies:

  • The California Civil Rights Department (CRD) – A complainant may file with CRD within three (3) years from the date the discrimination occurred.

  • United States (U.S.United States) Equal Employment Opportunity Commission (EEOCU.S. Equal Employment Opportunity Commission) – A complainant may file a discrimination complaint with EEOCU.S. Equal Employment Opportunity Commission within 300 days from the date the discrimination occurred.

  • U.S.United States Department of Labor – A complaint filed with the U.S.United States Department of Labor should be filed within a reasonable time of when the employee discovers that their Family and Medical Leave Act (FMLA) rights have been violated. In no event may a complaint be filed more than two years after the action which is alleged to be a violation of FMLA occurred, or three years in the case of a willful violation.

• When a charge of discrimination is received from external compliance agencies, OCROffice of Civil Rights (see OIA) shall review the charge to determine the appropriate course of action and take suitable corrective action where appropriate. On behalf of CDCRCalifornia Department of Corrections and Rehabilitation, the OCROffice of Civil Rights (see OIA) shall submit a position statement, including a response to the requested supplemental information to the external compliance agencies.

31010.10 Logging Discrimination Complaints

• The hiring authority, or designee, shall log each discrimination complaint on the CDCRCalifornia Department of Corrections and Rehabilitation Form 2140, Internal Affairs Allegation Log, in compliance with DOMDepartment Operations Manual, Section 31140.13.

31010.11 Use of State Time

• Use of State time for filing a discrimination complaint or participating in investigations shall be approved by the employee’s supervisor. Absent an emergency, employees may request and shall be allowed reasonable State time by the supervisor to contact/secure a representative and to discuss the matter with the representative prior to any interview.

31010.12 EEO Advisory Committee

• Each institution and parole region shall establish an EEOEqual Employment Opportunity Office (see Office of Internal Affairs) committee. The EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Committee shall meet on a quarterly basis and serve in an advisory capacity to the hiring authority on EEOEqual Employment Opportunity Office (see Office of Internal Affairs) matters including complaints and training.

• EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Advisory Committee Membership shall include the following individuals:

  • Warden or Regional Parole Administrator (RPARegional Parole Administrator) and Deputy RPARegional Parole Administrator.

  • EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator and/or Assistant EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Coordinator.

  • EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Counselors.

31010.13 Disability Advisory Committee

• The Associate Director, OCROffice of Civil Rights (see OIA), or designee, serves as the liaison to the Disability Advisory Committee (DACDisabled Advisory Committee) and shall provide advice and assistance to the CDCRCalifornia Department of Corrections and Rehabilitation Secretary, and the OIAOffice of Internal Affairs Deputy Director, on disability issues, such as:

  • Developing and maintaining EEOEqual Employment Opportunity Office (see Office of Internal Affairs) programs and activities for persons with disabilities.

  • Making recommendations to improve the personnel practices and employment opportunities for persons with disabilities.

  • Establishing contact with groups and organizations that are concerned with achieving equitable representation and utilization of persons with disabilities in the CDCRCalifornia Department of Corrections and Rehabilitation workforce.

  • Monitoring of disability issues identified by the committee, including, but not limited to, reasonable accommodation and accessibility, to ensure that necessary actions occur within reasonable time frames.

  • Assisting the Department in complying with the Americans with Disabilities Act and other related statutes.

• Membership – The Associate Director, OCROffice of Civil Rights (see OIA), or designee serves as the liaison to the DACDisabled Advisory Committee.

  • The DACDisabled Advisory Committee shall consist of volunteers selected by the DACDisabled Advisory Committee Chairperson and DACDisabled Advisory Committee Vice Chairperson with input from the hiring authority and current DACDisabled Advisory Committee members. DACDisabled Advisory Committee membership, when possible, shall include persons with disabilities.

• Meetings – The DACDisabled Advisory Committee shall meet at least annually.

• Resources – Members of the DACDisabled Advisory Committee shall be primarily involved with the duties and responsibilities of their specific assignments; local administrators shall make the necessary arrangements to allow members reasonable time to perform committee activities.

31010.14 Revision

• The Deputy Director, OIAOffice of Internal Affairs, or designee, shall ensure the content of this Article is accurate and current.

References

• Federal

• Title VII of the Civil Rights Act of 1964 (including amendments).

• Family and Medical Leave Act.

• Age Discrimination in Employment Act of 1967.

• Americans with Disabilities Act of 1990.

• Uniformed Services Employment and Reemployment Rights Act.

• Title II of the Genetic Information Nondiscrimination Act of 2008.

• State  

• California Fair Employment and Housing Act of 1959 (including amendments).

• California Family Rights Act.

• California Department of Corrections Code of Regulations (Title 15).

• California Government Code Sections 12920 – 12922; 12925 – 12928; 19230 – 19237; 19400 – 19406; 12940 – 12951; 12960 – 12976; 19700 – 19706; 19790 – 19799.

• California Code of Regulations, Title 2, Division 4.1

Revision History

• Revised Article: August 25, 2015

• Revised Section 31010.3.1: December 23, 2021

• Revised Article: January 1, 2024

31020.1 Policy

• The California Department of Corrections and Rehabilitation (CDCRCalifornia Department of Corrections and Rehabilitation) and California Correctional Health Care Services (CCHCS) policy is to conduct business in the safest manner possible adhering to all applicable State and Federal laws, rules and regulations relating to occupational safety and health. The CDCRCalifornia Department of Corrections and Rehabilitation Office of Employee Health Management (OEHM) will provide administrative services and addresses communicable diseases statewide. OEHM develops and distributes educational material on California Code of Regulations (CCRCalifornia Code of Regulations) Title 8, and is the key department contact with CCHCS on occupational and public health issues throughout the department.

31020.2 Purpose

• The Health and Safety Program is designed to prevent workplace incidents, injuries, hazardous exposures, and illnesses. Employees and inmate workers are responsible to support the safety program and perform their duties in a manner that ensures their personal safety and the safety of others. To be successful in this endeavor, all employees and inmate workers shall adopt proper and cooperative attitudes towards the Health and Safety Program.

31020.3 Definitions

• Unless specifically indicated, the terms used in this section are defined as follows:

• Employees

  • A person legally holding a position in the State civil service. Contractors, registry staff, and subcontractors are not considered to be CDCRCalifornia Department of Corrections and Rehabilitation or CCHCS employees. Employees refers to supervisors, managers, and staff.

• Inmate Worker

  • An incarcerated person whose work substantially replaces the work of a civil service employee.

• Worksite Administrators

  • Have the authority and responsibility for implementing the provisions of Health and Safety Programs for their assigned worksite as well as ensuring all non-CDCRCalifornia Department of Corrections and Rehabilitation and non-CCHCS employees (e.g., registry workers, contractors, subcontractors) have equivalent Health and Safety programs such as Injury and Illness Prevention Program (IIPP) before performance of the work, both under the contract for the performance of the work and in fact. Worksite Administrators include working titles such as IIPP Administrator, Respiratory Protection Program (RPP) Administrator, and Aerosol Transmissible Disease (ATD) Administrator.

31020.4 General responsibilities of the Health and Safety Program

• A successful Health and Safety Program can only be achieved and maintained when there is active interest, participation, and accountability at all levels within CDCRCalifornia Department of Corrections and Rehabilitation and CCHCS. CDCRCalifornia Department of Corrections and Rehabilitation and CCHCS executive leadership shall have the authority and responsibility to ensure that all Health and Safety Programs are implemented.

  • Compliance

    • The Worksite Administrator, managers, and supervisors have delegated responsibility for implementing and ensuring compliance with all departmental Health and Safety Programs in their work areas and for responding to employee and inmate worker questions about the program. Worksite Administrators, managers, and supervisors shall ensure compliance with the CDCRCalifornia Department of Corrections and Rehabilitation and CCHCS Health and Safety Programs by completing the following:

      • Communicate effectively and ensure all safety, health laws, rules, policies, and procedures are understood by all employees and inmate workers and enforce those laws, rules, policies, and procedures.

      • Investigate and document accidents, injuries, illnesses, and unsafe work conditions, and maintain records of inspections and findings to determine the cause and develop a mitigation strategy to identify, prioritize and implement actions to reduce the risk of reoccurrence.

      • Evaluate the safety performance of employees and inmate workers.

      • Recognize employees and inmate workers who perform safe work practices in an exceptional manner and encourage the reporting of accidents, injuries, or illnesses.

      • Inform employees and inmate workers of the CDCRCalifornia Department of Corrections and Rehabilitation and CCHCS Health and Safety Programs and ensure access to these programs.

      • Provide training and instructions to employees and inmate workers  in  compliance  with CCRCalifornia Code of Regulations, Title 8, section 3203(a)(7).

  • Discipline for non-compliance

    • Worksite Administrators who fail or neglect to ensure that supervisors and managers are in compliance may result in disciplinary action in accordance with the provisions described in California Government Code section 19572, DOMDepartment Operations Manual section 33030.1, and CCRCalifornia Code of Regulations Title 15, section 3392, Employee Discipline.

    • Managers and supervisors shall ensure employees and inmate workers comply with the CDCRCalifornia Department of Corrections and Rehabilitation and CCHCS Health and Safety Programs and maintain a safe and secure work environment by adhering to CDCRCalifornia Department of Corrections and Rehabilitation and CCHCS policies, procedures, and safe work practices.

    • Managers and supervisors shall ensure disciplinary action is taken in accordance with California Government Code section 19572 for employees or inmate workers who fail or neglect to comply with the CDCRCalifornia Department of Corrections and Rehabilitation and CCHCS Health and Safety policies and procedures.

    • Employees and inmate workers who fail or neglect to ensure compliance with Health and Safety Programs may result in disciplinary action in accordance with the provisions described in California Government Code section 19572, DOMDepartment Operations Manual section 33030.1, and CCRCalifornia Code of Regulations Title 15, section 3392, Employee Discipline.

31020.5 Injury Illness Prevention Program

• Purpose

  • The IIPP is designed to prevent workplace incidents, injuries, and illnesses. Employees and inmate workers are responsible to support the safety program and perform their duties in a manner that assures their own personal safety and the safety of others. To be successful in this endeavor, employees and inmate workers shall adopt proper and cooperative attitudes toward injury and illness prevention.

  • The IIPP provides the procedures for complying with the requirements of CCRCalifornia Code of Regulations Title 8, Subchapter 7, General Industry Safety Orders (GISO), section 3203, Injury and Illness Prevention Program. The IIPP is an authoritative source of information to assist managers, supervisors, and employees in promoting the health and safety of CDCRCalifornia Department of Corrections and Rehabilitation and CCHCS employees, inmate workers, and visitors. The IIPP shall be in writing and contain the elements required by CCRCalifornia Code of Regulations, Title 8, section 3203. The IIPP template and instructions are accessible to the Worksite IIPP Administrators at https://cdcr.sharepoint.com/sites/CDCR_IIPPATDBiosafety. Each worksite shall tailor the IIPP template to address the site-specific hazards, operations, and tasks. Employees shall be provided access to the IIPP pursuant to CCRCalifornia Code of Regulations, Title 8, section 3203(a)(8).

  • CDCRCalifornia Department of Corrections and Rehabilitation and CCHCS are committed to maintaining a safe and healthy working environment for all employees, inmate workers, and visitors. Management shall provide necessary safeguards, programs, and equipment to reduce the potential for accidents and injuries.

  • CDCRCalifornia Department of Corrections and Rehabilitation and CCHCS shall strive to provide a healthy environment and safe working conditions therefore:

    • All employees and inmate workers of CDCRCalifornia Department of Corrections and Rehabilitation and CCHCS are responsible for the safety of themselves and others.

    • Safety considerations shall take precedence over convenience and expediency in CDCRCalifornia Department of Corrections and Rehabilitation and CCHCS’s operations.

    • Accident prevention and safety are basic management responsibilities.

    • Supervisors shall be evaluated on the effectiveness of their safety efforts.

    • Employees and inmate workers shall also be evaluated on their adherence to safety rules and safe practices.

31020.6 General Responsibility of the Injury Illness and Prevention Program

• A successful IIPP can only be achieved and maintained when there is active interest, participation, and accountability at all levels within CDCRCalifornia Department of Corrections and Rehabilitation and CCHCS. CDCRCalifornia Department of Corrections and Rehabilitation and CCHCS executive leadership have the authority and responsibility to ensure that an IIPP is implemented.

  • Compliance
    The Worksite IIPP Administrator and all managers, supervisors, and lead employees have delegated responsibility for implementing and ensuring compliance with the IIPP in their work areas and for answering employee and inmate questions about the program. Worksite IIPP Administrators, managers, and supervisors shall ensure compliance with the CDCRCalifornia Department of Corrections and Rehabilitation and CCHCS IIPP by completing the following:

    • Communicate effectively and ensure all safety, health laws, rules, policies, and procedures are understood by all employees and inmate workers and enforce those laws, rules, policies, and procedures.

    • Investigate and document all accidents, injuries, illnesses, and unsafe work conditions, and maintain records of inspections and findings to determine the cause and correct the problem so it does not happen again.

    • Evaluate the safety performance of all employees and inmate workers.

    • Recognize employees and inmate workers who perform safe work practices in an exceptional manner and encourage the reporting of accidents, injuries, or illnesses.

    • Inform employees and inmate workers of the CDCRCalifornia Department of Corrections and Rehabilitation and CCHCS IIPP and ensure access to the program.

    • Provide training and instructions to employees and inmate workers in compliance with CCRCalifornia Code of Regulations, Title 8, section 3203(a)(7).

31020.7 Reporting Requirements for Work‑Connected Injury, Illness, Hospitalization, or Death of an Employee to the California Occupational Safety and Health Administration (Cal/OSHA)

• Cal/OSHA Reporting

  • Pursuant to CCRCalifornia Code of Regulations, Title 8, section 342, all divisions, offices, facilities, and institutions within CDCRCalifornia Department of Corrections and Rehabilitation and CCHCS shall immediately report to Cal/OSHA any serious injury, illness, or death of an employee occurring in a place of employment or in connection with any employment. This includes, but is not limited to communicable disease that results in hospitalization. If the employee becomes seriously injured or ill at work or in connection with their employment, it is not necessary for the Hiring Authority (HA) to determine if the serious injury or illness is work-related prior to reporting. Under Cal/OSHA regulation requirements, employers shall report all serious injuries, illnesses, or deaths occurring at work, without making a determination about work-relatedness. Reporting is not an admission of liability or responsibility. Employees who are unsure about whether or not to report an employee injury, illness, or death, regardless of where it occurred, contact the CDCRCalifornia Department of Corrections and Rehabilitation Office of Legal Affairs (OLAOffice of Legal Affairs).

  • CDCRCalifornia Department of Corrections and Rehabilitation and CCHCS shall report immediately, any serious injury, illness, or death of an employee occurring in a place of employment or in connection with any employment through email to Cal/OSHA at  https://www.dir.ca.gov/dosh/report-accident-or-injury.html with copies to OLAOffice of Legal Affairs’s Compliance,                        Accountability, and Risk Management Team at m_OLA_Accountability_Compliance_Team@cdcr.ca.gov, and the local Return-to-Work Coordinator (RTWCReturn To Work Coordinator). Additionally, all emails reporting an employee death shall copy Human Resources at m_CDCREmpdeathnote@cdcr.ca.gov. The report  shall include the following information, if available:

    • Time and date of accident or event.

    • Employer’s name, address, and telephone number.

    • Name and job title of the person reporting the accident.

    • Address of accident or event site.

    • Name of person to contact at the accident or event site.

    • Name and address of the injured employee(s).

    • Nature of the injuries.

    • Location where injured employee was taken for medical treatment.

    • List and identify other law enforcement agencies present at the accident or event site.

    • Description of accident or event and whether the accident scene or instrumentality has been altered.

• For the Division of Adult Institutions, during work hours, the report to Cal/OSHA shall be made by the Warden and or Public Information Officer. For after-hours, the Administrative Officer of the Day shall report to Cal/OSHA. For the Division of Adult Parole Operations, the Staff Services Manager III Support Services Unit shall report to Cal/OSHA. For all other CDCRCalifornia Department of Corrections and Rehabilitation locations, the HA shall report all work-connected injury, illness, hospitalization, or death of an employee to the OEHM at m_OEHM_EHS@cdcr.ca.gov for CCHCS the Deputy Director (DD) of CCHCS Human Resources (HRHuman Resources). The OEHM or HRHuman Resources DD or designee shall report to Cal/OSHA. “Immediately” means as soon as practically possible but within 8 hours after the employer knows or with diligent inquiry would have known of the death or serious injury or illness.

• “Serious injury or illness” means any injury or illness occurring in a place of employment or in connection with any employment that requires inpatient hospitalization for other than medical observation or diagnostic testing.
  

31020.8 Respiratory Protection Program

• Purpose

  • Each worksite has a written Respiratory Protection Program (RPP) that contains required worksite-specific procedures and elements for required respirators use for compliance with the California Code of Regulations (CCRCalifornia Code of Regulations), Title 8, and section 5144, Respiratory Protection. This RPP policy also assists HA, managers, supervisors, and employees in promoting the health and safety of all CDCRCalifornia Department of Corrections and Rehabilitation and CCHCS employees, inmate workers, and youth workers, and visitors. The RPP model plan and instructions are accessible to the Worksite RPP Administrator at
    https://cdcr.sharepoint.com/sites/CDCR_Admin_fmb_ECS_OCC_RPP/sitepages/home.aspx.

• General Responsibilities for the Respiratory Protection Program

  • CDCRCalifornia Department of Corrections and Rehabilitation and CCHCS shall work with the RPP Administrator to view the ‘User Profiles’ located within the Business Information Systems (BIS), Environmental Health and Safety (EHS), RPP system and the Strategic Offender Management System (SOMSStrategic Offender Management) to identify specific job classifications and task associated with those classification or inmate workers assignments which are required to wear respiratory protection. Employees required to wear a tight-fitting respirator are determined based on a job hazards assessment of the worksite and worksite tasks or other tasks that their classification may require. The RPP Administrator at each worksite shall ensure that employees required to don a tight-fitting respirator are identified and shall generate a compliance report to determine those employees that need medical clearance and need to be fit tested and ensure fit testing and training occurs annually (no less than 12 months from the last fit testing and training) or whenever a different size, make, or model of respirator is used or there is a change in an employee’s health or working conditions that would prompt new fit testing.

  • CDCRCalifornia Department of Corrections and Rehabilitation and CCHCS HAs shall ensure that all employees who are required to wear a tight-fitting respirator have completed an RPP medical questionnaire and medical evaluation within the last four (4) years, before they are fit tested and required to use a respirator to perform their various job functions in the workplace.

  • Medical evaluations of employees may be completed by an Employee Medical Monitoring Services contractor. CDCRCalifornia Department of Corrections and Rehabilitation and CCHCS HAs shall refer to the specific contract language to determine CDCRCalifornia Department of Corrections and Rehabilitation and CCHCS, or the vendor’s responsibilities regarding medical evaluation and fit testing of health care registry providers and contract workers. Consult with the appropriate contract manager for more information.

  • CDCRCalifornia Department of Corrections and Rehabilitation and CCHCS institution and facility employees who are required to wear respirator(s) shall comply with CCRCalifornia Code of Regulations, Title 8, sections 5144 and 5199.

31020.9 Respirator Fit Testing Requirements

• All employees who are required to wear a respirator shall complete a medical questionnaire and be medically evaluated before they are fit tested and required to use a respirator to perform their job functions in the workplace. The medical clearance evaluation may be completed by an Employee Medical Monitoring Services contractor.

• Annually, employees shall submit a CDCRCalifornia Department of Corrections and Rehabilitation 2294 Respiratory Protection Program Screening form to confirm whether there have been any changes in their medical condition or working condition(s) since the submission of their last medical questionnaire. If changes have or may have occurred, a new medical questionnaire and medical evaluation shall be completed. A new medical questionnaire and medical evaluation shall be completed at least every four years following the initial evaluation.

• Training
  CDCRCalifornia Department of Corrections and Rehabilitation and CCHCS shall provide training on the RPP to employees who are required to use respirators. Training must meet the requirements of CCRCalifornia Code of Regulations, Title 8, section 5144(k).

• Facial Hair Requirements
  Employees who are required to wear tight-fitting respirators shall not have facial hair that comes between the sealing surface of the face piece and the face or that interferes with valve function.

• Accommodations
  Any reasonable accommodation requests shall adhere to the following procedures:

  • Requests for Reasonable Accommodations
    Refer to DOMDepartment Operations Manual sections 31040.4.5 through 31040.4.13.

  • Requests for Religious Accommodations
    Refer to DOMDepartment Operations Manual sections 31010.8 through 31010.8.2.

31020.10 Respiratory Protection Program Non‑Compliance and Accountability

• Employees who are unable or unwilling to comply with CCRCalifornia Code of Regulations, Title 8, sections 5144 and 5199 and the department’s fit testing requirements, and who do not have a pending or approved request for a religious or medical reasonable accommodation, shall be subject to corrective or disciplinary action in accordance with CCRCalifornia Code of Regulations Title 15, section 3392, et seq. and DOMDepartment Operations Manual Chapter 3, Article 22, Employee Discipline, sections 33030.8, 33030.9, and 33030.15, et seq.

• Non-compliant healthcare registry providers and contract workers who do not have a pending or approved request for religious or medical reasonable accommodation may be subject to contract or assignment termination.

• Employees who are off work due to military leave or other long-term extended leave at the time the employee is formally noticed regarding the requirements of CCRCalifornia Code of Regulations, Title 8, sections 5144 and 5199 and the department’s fit testing requirements, who return to work, shall be, in compliance with the CCRCalifornia Code of Regulations, Title 8, sections 5144 and 5199 and the department’s fit testing requirements or have submitted a request for religious or medical reasonable accommodation, upon their return to work.

• Employees who are required to use a respirator because of the essential functions of their position shall not report to work until they are medically cleared and properly fit tested or have an approved accommodation or an approved respirator that can provide appropriate respiratory protection that allows employees to fulfill the essential functions of their position without creating additional hazards.
  

31020.11 Procurement and Maintenance of Respirators

• HAs shall ensure there are sufficient sizes, makes, and models of appropriate respirators available for fit testing and use by employees who are required to fit test with a tight-fitting respirator.

• HAs are required to procure and maintain an inventory of respirators to ensure employees have access to an appropriate respirator when necessary. Institutions and facilities are required to establish procurement and inventory procedures of respirators in all sizes and various makes and models and shall conduct monthly audits to ensure respirators are clean and ready for use at any given time.

• Respirators issued to a station or location for possible use by more than one employee shall be cleaned and disinfected before being worn by different individuals and following the use of the respirator prior to securing it. Refer to CCRCalifornia Code of Regulations, Title 8, Section 5144, Appendix B-2, Respirator Cleaning Procedures (Mandatory). As an alternative, institutions and facilities may use the cleaning recommendations provided by the manufacturer of the respirators used by their staff, provided such procedures meet the requirements of CCRCalifornia Code of Regulations Title 8, Section 5144 procedures. The RPP Administrator shall ensure an adequate supply of appropriate cleaning and disinfection material.
  

31020.12 Revisions (old)

• The Deputy Director or designee of the Office of Employee Health Management shall ensure that the content of this Article is accurate and current.

References

• CCRCalifornia Code of Regulations Title 8, Subchapter 7, section 3203, IIPP

• GCGovernment Code section 19572 

• CCRCalifornia Code of Regulations Title 8, section 342,

• CCRCalifornia Code of Regulations Tile 8, 5144, 5199

• CCRCalifornia Code of Regulations 15, Section 3392, Employee Discipline

• DOMDepartment Operations Manual Chapter 3, Article 22, Employee Discipline, sections 33030.8, 33030.9, and 33030.15

Revision History

• Revised: February 6, 1990.

• Revised Sections 31020.7.5.1.1, 31020.7.5.1.4, 31020.7.6, 31020.7.6.1, 31020.7.6.3, 31020.7.6.5, 31020.7.6.6, and 31020.7.7.9: January 16, 2008. 

• Revised: Sections 31020.7.5.1.1 and 31020.7.6: July 1, 2020. 

• Revised: March 7, 2022 

• Revised: December 12, 2022.

31030.1 Policy

• The Department encourages all employees to actively participate in the following awards programs:

  • State Merit Award.

  • Employee Recognition.

  • Safety Awards.

31030.2 Purpose

• This Article provides standards and procedures for participation in the State Merit Award Program, the Employee Recognition Program, the Safety Awards Program, and the 25-Year Service and Retirement Recognition Program.

31030.3 State Merit Award Program

• The California Legislature established the State Merit Award Program in 1950 to improve the operations and efficiency of State government through honorary and cash awards. The objectives of the program are:

  • To encourage all employees to take an active part in improving the effectiveness of State government.

  • To provide recognition for those employees whose individual or group efforts contribute to efficiency and economy through elimination or avoidance of State expenditures, or other improvements.

  • To reward employees for acts or services of an outstanding nature.

  • To reward employees for superior accomplishments.

• The following awards are available under the State Merit Award Program:

  • Employee Suggestion Program.

  • Superior Accomplishment.

  • Sustained Superior Accomplishment.

31030.3.1 Employee Suggestion Program

• The Employee Suggestion Program (ESP) rewards employees who come up with cost-saving ideas and/or ideas to improve the safety or operations of State government. The rules and regulations governing this program include:

  • DPADepartment of Personnel Administration (see CalHR) Rules 599.655 to 599.664, inclusive.

  • Government Code Sections 19815.4(d), 19816, and 19823.

  • State Administrative Manual (SAMState Administrative Manual) Chapter 4700.

• The Department of Personnel Administration (DPADepartment of Personnel Administration (see CalHR)) oversees the ESP statewide to ensure compliance with the laws and rules governing the program. DPADepartment of Personnel Administration (see CalHR) delegates authority to publicize and administer the ESP to state agencies and departments. Each State agency or department designates a Merit Award Administrator (MAA) as a liaison between its department and DPADepartment of Personnel Administration (see CalHR). The Department’s MAA is in the Division of Support Services, Office of Business Services.

• Department Leadership Responsibilities

  • Each supervisor and manager shall:

    • Encourage the submission of suggestions.

    • Be thoroughly familiar with the details of the program as specified in the DPADepartment of Personnel Administration (see CalHR) Rules, Government Code, SAMState Administrative Manual, and this Article.

    • Provide assistance to suggesters when requested.

31030.3.1.1 Participation Criteria

• Active or retired State employees are eligible to participate in the ESP, with the exception of the following:

  • Career Executive Assignments (CEACareer Executive Assignment).

  • Exempt classifications with a collective bargaining designation of managerial.

31030.3.1.2 Eligible Suggestions

• Eligible suggestions are those that have a cost savings to the State and can document one or more of the following:

  • Improvement to State operations.

  • Increase in revenue.

  • Elimination of safety hazards.

  • Improvement in procedures.

• Suggestions include topics in engineering, security, information technology, accounting, clerical support, and many more. Suggestions must describe a specific problem as described above, offer a workable solution, and be of benefit to the Department or another State agency or department.

31030.3.1.3 Ineligible Suggestions

• Ineligible suggestions include those that:

  • Are under evaluation or were evaluated through the Department ESP within the last year.

  • Recommend new or increased taxes or fees.

  • Recommend additional revenues at the expense of a segment of taxpayers and which can be classified as unjust or inequitable.

  • Recommend a change in the pay or classification of a position or class, or the establishment of new positions.

  • Recommend a study, survey, or review to determine a course of action.

  • Involve a personal grievance.

  • Involve terms and conditions of employment which are subject to the collective bargaining process under the Ralph C. Dills Act.

  • Recommend corrections in spelling, punctuation, grammar, or mathematical calculations (these changes should be communicated through established channels).

31030.3.1.4 Submission Criteria and Suggester Responsibilities

• Suggesters must complete an Employee Suggestion form (STDStandard Form (DGS). 645) describing the suggestion. Each suggestion must describe only one specific problem and offer a workable solution. Suggesters must provide as much detail as possible and include examples or attachments to corroborate the problem and its solution. Suggesters may fully describe the suggestion on one or more attachments; however, the STDStandard Form (DGS). 645 must reference the attachment and the attachment must follow the format of the STDStandard Form (DGS). 645.

• Suggesters must complete, sign, and date the STDStandard Form (DGS). 645. The ESP cannot accept an incomplete or unsigned STDStandard Form (DGS). 645. (Note: If your suggestion is a team-developed idea, all members of the team must sign.)

  • If the suggestion impacts a Department institution, division, or program, submit the completed form/package to:

    • CDCRCalifornia Department of Corrections and Rehabilitation Merit Award Administrator P.O. Box 942883 Sacramento, CACorrectional Administrators 94283-0001

  • If the suggestion impacts another department or multiple departments, submit your completed form/package to:

    • Department of Personnel Administration Merit Award Program 1515 S Street, North Building, Suite 400 Sacramento, CACorrectional Administrators 95814

• Suggesters may remain anonymous until the Department approves an award.

31030.3.1.5 Department Merit Award Administrator Responsibilities

• The MAA receives, logs, refers, and tracks suggestions through the evaluation process. Upon receipt of a suggestion the Department MAA:

  • Assigns an identification number and reviews the suggestion for completeness.

  • Sends the suggester an acknowledgment letter.

  • Assigns the suggestion to the division responsible for the suggestion’s program area.

  • Receives the completed Suggestion Evaluation Report (STDStandard Form (DGS). 645A) and ensures it is an impartial and thorough evaluation. The MAA verifies recommended award amounts, if any, and notifies the suggester of the Department’s decision.

  • If the evaluator recommends implementation, the MAA notifies the suggester of the Department’s intention and coordinates award payment to the suggester.

• Evaluation timeframes vary according to the complexity of the suggestion.

• Additional Responsibilities

  • The Department MAA shall:

    • Explain and interpret the program to Departmental employees.

    • Supervise the distribution of Merit Award Program promotional material issued by the Governor, the DPADepartment of Personnel Administration (see CalHR), or the State Merit Award Board.

    • Forward a copy of the Suggestion Evaluation Report to suggester.

    • Ensure awards for adopted suggestions proceed through Executive staff to the Secretary or designee.

    • Ensure the appropriate payroll office requests award payment for suggester.

    • Inform Department management of adopted suggestions that increase departmental economy or efficiency or improve operating procedures.

    • Represent suggesters in meetings before the Merit Award Board.

    • Provide additional information on the program, as requested.

    • Answer questions.

    • Provide ESP forms and/or Internet links to forms.

    • Arrange for speakers to explain the program to employee groups.

    • Provide quarterly status updates to suggesters.

31030.3.1.6 Division Evaluator Responsibilities

• Evaluators are not expected to know all of the facts personally; however, evaluators should know how and where to obtain the information needed to evaluate the suggestion thoroughly. If an evaluator believes he/she lacks the expertise to evaluate a suggestion, or needs access to resources not available to him/her, immediately inform the MAA.

• Evaluators shall:

  • Act promptly.

  • Get the facts.

  • Use the Evaluator’s Handbook throughout the evaluation.

  • Make a sound recommendation based on his/her detailed analysis.

  • Be fair and objective.

  • Base the findings, conclusion, and award recommendation on the feasibility of the idea, not on the suggester’s eligibility to receive an award.

  • Make a definite recommendation for adoption or rejection of the suggestion. If a final decision cannot be reached without a trial implementation and cost-savings analysis, the evaluator shall submit an “Interim Report” to the MAA. In every case, the evaluator shall include appropriate comments and documentation necessary to support his/her recommendation.

  • Complete the Suggestion Evaluation Report (STDStandard Form (DGS). 645A) in terms that can be easily understood by persons unfamiliar with the Department.

  • Be considerate of the suggester’s feelings and encourage further suggestions, regardless of the outcome of the evaluation.

  • Keep the MAA informed of the progress of the evaluation.

• If the evaluator requires additional information from an anonymous suggester, contact the MAA. The MAA will act as a liaison between an anonymous suggester and the evaluator.

• It is very important to process suggestions promptly. The timeframe for completing the evaluation is 25 working days. If the evaluation takes longer, the evaluator must request an extension on the assignment from the MAA and provide the MAA with the projected completion date.

31030.3.1.7 Evaluating the Suggestion

• There are six steps in the evaluation process. Detailed information for each step can be found in the Evaluator’s Handbook. The six steps are summarized as follows:

  • Review the suggestion in its entirety and define the problem and the proposed solution.

    • What problem does the suggestion address?

    • What is the suggester’s solution?

  • Analyze the feasibility of the proposed change.

    • Compare the current method of operation to the method proposed in the suggestion in terms of feasibility, costs, and benefits to the Department.

    • Is the idea timely?

    • Is the idea under independent active consideration? If so, documentation of independent consideration by the Department must be attached to the STDStandard Form (DGS). 645.

    • Is there an alternate solution to the problem?

  • Calculate the cost savings.

  • Determine whether the suggestion should be adopted and the type of award that should be presented.

  • Determine the suggester’s ability to receive a cash award.

    • What are the suggester’s assigned or expected job responsibilities?

    • Was the suggestion assigned to the suggester for research, development, or solution?

  • Prepare the STDStandard Form (DGS). 645A.

31030.3.1.8 Completing the Suggestion Evaluation Report (STD. 645A)

• Detailed information for completing the STDStandard Form (DGS). 645A can be found in the Evaluator’s Handbook. If the evaluation is lengthy, the STDStandard Form (DGS). 645A may state “See Attached Evaluation” in the Comments section. Each STDStandard Form (DGS). 645A must be signed and dated by the evaluator and the evaluator’s division head or designee who signs as the Reviewing Officer, before it is returned to the MAA. The evaluator shall also provide his/her contact telephone number. Evaluators shall return the completed and signed STDStandard Form (DGS). 645A to the MAA with any attachments and all notes, supporting documentation, and evaluation materials.

31030.3.1.9 Rejected Suggestions

• The MAA notifies the suggester if the Department rejects his/her suggestion. Included in the notification is a copy of the STDStandard Form (DGS). 645A, the suggester’s appeal rights, and appeal timeframes.

31030.3.1.10 Right to Appeal a Rejected Suggestion

• Suggesters have the right to appeal rejected suggestions within one year from the date on the rejection letter. The reasons for an appeal and the action the suggester must take are the following:

  • The suggester disagrees with the evaluation report because pertinent information was not considered. In this case, the suggester shall submit a written request for reconsideration to the MAA that includes additional or supplemental information not covered in the original suggestion, or shall point out an error in the evaluation report. The MAA shall return the suggestion with the additional or supplemental information to the division evaluator for a decision.

  • The suggester disagrees with the evaluation report that states the suggester is not eligible to receive an award. The reason may be that the idea was within the scope of his/her duties, or was an assignment given to the suggester. In this case, the suggester shall submit to the MAA a written request for reconsideration. If the MAA determines the appeal is unresolvable at the Department level, the MAA shall submit the appeal to the State Merit Award Program for review and a binding decision.

• Suggesters have the right to appeal rejected suggestions within three years from the date on the rejection letter if the suggester believes the Department implemented the suggestion within three years after rejecting the suggestion. In this case, the suggester shall submit to the MAA a written request to reopen the suggestion, with an explanation of when and how the Department adopted the idea. In addition, the suggester shall provide documentation or proof of implementation. If the MAA determines the appeal is unresolvable at the Department level, the MAA shall submit the appeal to the State Merit Award Program for review and a binding decision.

31030.3.1.11 Administrative Reconsideration

• The MAA may administratively reopen a suggestion submitted through the ESP upon evidence that the Department implemented it without giving the suggester due recognition.

31030.3.1.12 Adopted Suggestions

• The MAA notifies the suggester if the Department intends to adopt the suggestion, coordinates Executive approval of the recommended award, and requests payment to the suggester.

31030.3.1.13 Types of Awards

• Awards range from $50 to a maximum $50,000 per adopted suggestion. The Department Secretary or designee approves awards up to $5,000. Awards over $5,000 require approval by the State Merit Award Board, DPADepartment of Personnel Administration (see CalHR), and concurrent resolution by the Legislature. Below is a summary of the various types of awards available:

• Cash Award

  • Cash awards are based on the net savings or earnings realized by the Department in the first 12 months following the implementation of the suggestion. If the first 12 months are not representative of net savings or revenue, a different period of time may be substituted. The award is 20 percent of the net savings or revenues.

• Note: Suggestions requiring substantial refinement or modification for implementation will be calculated at 5 percent of the net savings or increased revenue.

• One-Time Award

  • When an adopted suggestion results in one-time savings or revenue, the award will be calculated at 5 percent of the net savings or revenue.

• Preliminary and Supplemental Awards

  • The adopting institution, division, or program may recommend a preliminary award after a suggestion has been in place for one year. If the institution, division, or program realizes greater net savings or revenue than the preliminary award represents, it may recommend a supplemental award.

• Improved Procedures Award

  • Where an annual net savings or increased revenue cannot be determined or are calculated at less than $500, a cash award may be recommended by the adopting division in accordance with the Improved Procedures Award Scale on Page two of the STDStandard Form (DGS). 645A. Where annual net savings or increased revenue are calculated as at least $500, but not more that $1,000, the recommended cash award shall be $100.

• Improved Safety Award

  • These suggestions propose improvements in practices or facilities to eliminate or reduce injury to State employees or to the public, but the monetary value cannot be readily determined. Examples are suggestions relating to equipment modification, maintenance that is not routinely expected, and items that are not specified in building codes. To calculate awards for this type of adopted suggestion, the evaluator shall apply the Improved Safety Award Scale on Page two of the STDStandard Form (DGS). 645A.

31030.3.1.14 Award Time Frames

• Some types of awards can be paid relatively quickly. Others must wait until the first 12 months of net savings or revenue can be calculated. All occur after the evaluator returns the STDStandard Form (DGS). 645A to the MAA indicating that a suggestion has been adopted and an award recommended. Timeframes do not include MAA processing timeframes. All cash awards are considered income and subject to tax.

• Cash Awards

  • The length of the process depends on the amount of the recommended award:

    • $50 to $5,000

      • Up to one year to obtain all required levels of approval within the Department and to request payment through the appropriate personnel office.

    • $5,001 to $50,000

      • Up to four years. An award this size requires:

        • All required levels of approval within the Department.

        • A hearing or multiple hearings by the State Merit Award Board.

        • Sponsorship of a concurrent resolution by the Legislature to authorize payment (coordinated by DPADepartment of Personnel Administration (see CalHR)).

• If the Legislature approves the concurrent resolution:

  • Notification issued by DPADepartment of Personnel Administration (see CalHR) to MAA to request payment.

  • MAA requests payment from the appropriate personnel office.

• One-Time Awards

  • The length of the process depends on the amount of the recommended award. See Cash Awards above.

• Improved Procedures Awards

  • Within one year.

• Improved Safety Award

  • Within one year.

31030.3.2 Superior Accomplishment Award

• The Superior Accomplishment Award (SAA) recognizes performance by an individual employee or a team of employees that results in an exceptional contribution to improving State government beyond the accomplishments normally expected of the employee’s classification.

31030.3.2.1 Eligibility

• All employees, except those who are designated supervisory or managerial, are eligible for nomination. Peers or superiors may nominate an employee or team of employees for the SAA. There is no limit on the frequency that employees may be recommended for the SAA; however, an employee who receives an SAA is not eligible to receive another SAA for three years.

31030.3.2.2 Nomination Criteria

• As stated above, SAAs are reserved for on-the-job performance beyond that expected of the employee’s classification(s). Typical nominations consider:

  • Responsibility for major improvements of methods, organization, procedures, services, or products that result in improved State or Departmental operation.

  • Important contributions to research, development, and implementation of Departmental goals.

  • Actions that demonstrably enhance creativity and productivity of subordinates or co-workers.

  • Outstanding and superior achievement that brings recognition to the employee, the team, and/or the Department.

  • Successful completion of an assigned task, project, or special event in a superior manner and/or significantly shorter timeframe than was deemed possible.

  • All nominations shall be made on a STDStandard Form (DGS). 278, Superior Accomplishment Gift or Cash Award Recommendation. It must be signed and submitted with original signatures to the MAA in the Division of Support Services, Office of Business Services.

31030.3.2.3 Selection Process

• The MAA receives, logs, and reviews nomination forms for completeness. The MAA forwards the STDStandard Form (DGS). 278 through all required levels of approval to the Department Secretary or designee. The Secretary or designee shall make the final decision to approve or disapprove the award application and may change the amount of the recommended award. The Office of the Secretary returns the completed STDStandard Form (DGS). 278 to the MAA with the recommendation(s).

31030.3.2.4 Award Process

• Upon receipt of an approved nomination form from the Office of the Secretary, the MAA requests payment for the recommended award amount from the employee’s payroll office. The State Controller’s Office deducts applicable taxes from the award amount.

• In lieu of cash payment, the Department may present a gift equal in value to the award amount; however, this practice is discouraged as it puts the burden of claiming the taxable gift on the recipient(s).

• In addition to a monetary award, award recipients may receive a framed certificate commemorating their accomplishment. The design, purchase, and printing of the certificate are at the discretion of the Department.

31030.3.3 Sustained Superior Accomplishment Award

• The Sustained Superior Accomplishment Award is meant to reward superior performance over a two-year period that results in an exceptional contribution to improving California State Government.

31030.3.3.1 Eligibility

• Efforts which may be recognized with this award include sustained performance significantly exceeding normal job requirements resulting in the completion of a major project or task with substantial benefits to the State.

• All State employees, except agency heads or elected Constitutional officers, are eligible for this award. Individuals or teams of employees may be nominated for this award.

31030.3.3.2 Nomination Criteria

• Nominations for the Sustained Superior Accomplishment Award may be submitted once a year to the MAA, on a date determined by the MAA. Nominations are limited to an amount equal to one nomination per 100 employees of the Department. The Department may nominate fewer employees than this number.

• When a manager or supervisor wishes to nominate an employee for the Sustained Superior Accomplishment Award, he/she must first specify the amount of the award, ranging from $25 to $250, for an individual or for each member of a team.

31030.3.3.3 Submission

• After selecting the award amount, the supervisor or manager must complete an STDStandard Form (DGS). 278, Superior Accomplishment Gift or Cash Award Recommendation. It must be signed and submitted with original signatures to the MAA in the Division of Support Services, Office of Business Services. The MAA logs and tracks the nomination during the review process by the Office of Personnel Services (OPSOutpatient Status).

31030.3.3.4 Selection

• OPSOutpatient Status reviews the application based on staff recommendations, objectives of the employee’s program, and the terms of any previously approved Sustained Superior Accomplishment program. OPSOutpatient Status recommends approval or disapproval to the Secretary or designee. The Secretary or designee shall make the final decision to approve or disapprove the award application and may change the amount of the recommended award. The Office of the Secretary returns the STDStandard Form (DGS). 278 to OPSOutpatient Status with the recommendation. OPSOutpatient Status forwards the recommendation to the MAA for out-processing and to request any approved award payment(s).

31030.3.3.5 Award Process

• Upon receipt of an approved nomination form from the Office of the Secretary, the MAA requests payment for the recommended award amount from the employee’s payroll office. The State Controller’s Office deducts applicable taxes from the award amount.

• In lieu of cash payment, the Department may present a gift equal in value to the award amount; however, this practice is discouraged as it puts the burden of claiming the taxable gift on the recipient(s).

• Award recipients, in addition to a monetary award, may receive a framed certificate commemorating their accomplishment. The design, purchase, and printing of the certificate are at the discretion of the Department.

31030.4 Medal of Valor Awards Program

• The Medal of Valor Awards Program was established to acknowledge those employees and community members who distinguish themselves by acts of heroism, bravery, or service beyond the normal demands of correctional or community service.

31030.4.1 How to Submit Nominations

• An employee may be nominated for a departmental award by any supervisory or managerial employee.  Supervisors and managers have a duty to recognize heroic acts and exemplary service.  The CDCRCalifornia Department of Corrections and Rehabilitation Form 1330, Medal of Valor Employee Nomination Form, used to recognize a colleague for an act of heroism, bravery, or exemplary service, shall be submitted to the hiring authority for approval.  The nominee shall have acted while on duty, or if off duty, while in a departmental facility or in the community. All nomination information shall be confirmed by the nominee’s supervisor.

• The Medal of Valor Awards Program operates on a calendar year basis. All awards for nominations submitted for which the incident occurred between January 1st and
  December 31st of each year are presented in September of the following year.

• Nominations are due to the Assistant Secretary, Office of Public and Employee Communications (OPECOffice of Public and Employee Communications), or their designee, by January 31st of the following year in which the incident or exemplary service occurred.

• The CDCRCalifornia Department of Corrections and Rehabilitation Form shall be forwarded to the Assistant Secretary, OPECOffice of Public and Employee Communications, or their designee.

• All nominations shall include:

  • A completed CDCRCalifornia Department of Corrections and Rehabilitation Form 1330 for each employee being nominated.  EachCDCR Form 1330 shall include the employee’s full name; position; title or rank; employee personnel number, i.e., PERNR; facility or work location; employee’s email address; supervisor’s name; the date of the incident; a brief description of the incident or summary of their exemplary service (not to exceed space provided); and the name, position, and email address of the person submitting the nomination.

  • If additional or substantiating material, such as incident reports, statements of witnesses, news stories, images, etc., are needed, no more than three one-sided sheets(8½” x 11”) may be used.

• All forms and additional information for each submission must be scanned into one PDF file.

• The nomination package shall be sent via email to the Assistant Secretary, OPECOffice of Public and Employee Communications, or their designee, by January 31st of the year after the incident took place. Each nomination shall be sent in a separate email except when multiple employees are involved in the same incident. When multiple employees are involved in the same incident, a separate CDCRCalifornia Department of Corrections and Rehabilitation Form 1330 shall be submitted for each employee and combined in the same email.

31030.4.2 Medal of Valor Awards Committee

• The Medal of Valor Awards Committee shall consist of the following members:

  • Undersecretary, Operations

  • Undersecretary, Health Care Services

  • Undersecretary, Administration

  • Director, Division of Adult Institutions

  • Director, Division of Adult Parole Operations

  • Director, Health Care Services

  • One Division of Adult Parole Operations Regional Parole Administrator/Assistant Deputy Director

  • One Chief Executive Officer

  • Two Wardens

  • Director, Division of Rehabilitative Programs

• The Medal of Valor Awards Committee shall meet annually no later than the middle of May, or as frequently as deemed necessary by the Undersecretary, Operations. The Medal of Valor Awards Committee shall make its recommendations to the Secretary from the prior calendar year’s nominees, no later than the end of June.

• The Assistant Secretary, OPECOffice of Public and Employee Communications, or their designee shall serve as the primary staff member for the Medal of Valor Awards Committee and shall ensure that all seats are properly filled, meetings are scheduled as needed in order to vote on all nominations submitted, and all members listed above or their designee are in attendance.

31030.4.3 Presentation of Awards

• Awards shall be presented annually by the Governor, or their representative, and the Secretary, at a publicized ceremony held in Sacramento. Employees awarded shall be compensated for their travel, lodging and meals, when attending the Medal of Valor Awards Ceremony.

31030.4.4 Wearing of Awards

• Uniformed employees may wear awards in accordance with DOMDepartment Operations Manual Chapter 3, Article 21.  Non-uniformed employees are permitted to wear the lapel pin replicas of awards received.

31030.4.5 Awards – Descriptions and Criteria

• Medal of Valor

  • The Medal of Valor is the department’s highest award, earned by employees distinguishing themselves by conspicuous bravery or heroism above and beyond the normal demands of correctional service.  The employee shall display great courage in the face of immediate life-threatening peril and with full knowledge of the risk involved.  The act should show professional judgment and not jeopardize operations or the lives of others.

  • The medal consists of a gold-color medallion on a red, white, and blue ribbon.

  • With the medal, the employee receives a red, white, and blue ribbon for wear with the Class A uniform and a lapel pin replica of the medallion for wear with civilian attire.

• Corrections Star (Gold)

  • The Corrections Star (Gold) medal is the department’s second highest award for heroic deeds under extra-ordinary circumstances.  The employee shall display courage in the face of immediate peril in acting to save the life of another person.

  • The medal consists of a gold-color medallion in the shape of the departmental badge on a blue and white ribbon.

  • With the medal, the employee receives a blue and white ribbon for wear with the
    Class A uniform and a lapel pin replica of the medallion for wear with civilian attire.

• Corrections Star (Silver)

  • The Corrections Star (Silver) medal is the department’s third highest award for acts of bravery under extra-ordinary or unusual circumstances.  The employee shall display courage in the face of potential peril while saving or attempting to save the life of another person or distinguish themselves by performing in stressful situations with exceptional tactics or judgment.

  • The medal consists of a silver-color medallion in the shape of the departmental badge on a red and white ribbon.

  • With the medal, the employee receives a red and white ribbon for wear with the
    Class A uniform and a lapel pin replica of the medallion for wear with civilian attire.

• Corrections Star (Bronze)

  • The Corrections Star (Bronze) medal is the department’s award for saving a life without placing oneself in peril.  The employee shall have used proper training and tactics in a professional manner to save, or clearly contribute to saving, the life of another person.

  • The medal consists of a bronze-color medallion in the shape of the departmental badge on a yellow and white ribbon.

  • With the medal, the employee receives a yellow and white ribbon for wear with the Class A uniform and a lapel pin replica of the medallion for wear with civilian attire

• Distinguished Service Medal

  • The Distinguished Service Medal is for an employee’s exemplary work conduct with the department for a period of months or years, or involvement in a specific assignment of unusual benefit to the department.

  • The medal consists of a bronze-color medallion presented on a green and white ribbon.

  • With the medal, the employee receives a green and white ribbon for wear with the Class A uniform and a lapel pin replica of the medallion for wear with civilian attire.

• Unit Citation

  • The Unit Citation is for great courage displayed by a departmental unit in the course of conducting an operation in the face of immediate life-threatening circumstances.

  • Recipients shall also receive a green and gold ribbon for wear with the Class A uniform.

31030.5 Safety Awards Program

• The Safety Awards Program was established to promote employee awareness in health and safety through recognition of significant employee contributions and achievements.

31030.5.1 Vehicle Safety Awards

• The Department’s annual goal for a lower number of accidents involving vehicles driven on State business is expressed as a percentage of reduction in the frequency rate of vehicle accidents. Qualifying adult institutions, adult parole regions, and the Department’s Transportation Unit shall receive awards for achieving the goal.

  • The Departmental goal shall be obtained from the “Annual Report of the California State Workers’ Compensation Program,” published by the Department of General Services (DGSDepartment of General Services).

  • Awards shall be made for each calendar year and shall be presented on or before June 15th of the following year.

31030.5.2 Personnel Safety and Health Awards

• Institutions/Parole Regions

  • Each qualifying adult institution, or adult parole region that achieves the injury frequency and severity rate goals established by the Office of Risk Management, shall receive recognition with the presentation of annual awards no later than June 15th of the following year.

    • The goals are based upon the departmental injury frequency and severity rate goals set by the State Safety Advisory Committee.

    • The formulas used in computing the frequency and severity rates for the Department and for each institution/parole region are as follows:

      • Frequency rate = total number of injuries x 200,000 work hours: total number of work hours.

      • Severity rate = total number of days lost x 200,000 work hours: total number of work hours.

    • The Department’s annual goals for the reduction in frequency and severity rates of disabling injuries and illnesses shall be forwarded in a memorandum from the Assistant Secretary, Office of Risk Management to each adult institution, or adult parole region every January.

• Departmental Award to Individuals

  • Departmental Employee Safety Awards shall recognize significant contributions to and/or achievements in the health and safety program.

    • Eligibles: Employees from each adult institution, adult parole region, and Headquarters.

    • Selection: Each local safety committee shall submit the names of those who were selected to receive the local employee safety awards on the Nomination Form for Safety Award to the Warden/RPARegional Parole Administrator, or Assistant Secretary Office of Risk Management, for approval.

    • Submission: The approving authority shall ensure that local award recipient’s nomination forms arrive at the Department’s Office of Risk Management by January 15th each year. The Assistant Secretary or designee shall arrange for selection and presentation of departmental awards.

• Governor’s Award to Individuals and Groups

  • Employees of all state agencies are eligible to receive the Governor’s Employee Safety Award. The Department may nominate for the award its quota of individuals and groups as established annually by the Office of Insurance and Risk Management, DGSDepartment of General Services.

  • The name(s) of those Department Employee Safety Award recipients who meet the Governor’s Employee Safety Award criteria shall be forwarded to the Office of Insurance and Risk Management by the Office of Risk Management, CDCRCalifornia Department of Corrections and Rehabilitation for consideration by the Safety Awards Committee.

  • The award ceremony is held annually at a location of the Office of Insurance and Risk Management’s choosing, and the awards are presented by members of the Governor’s staff. The date of the ceremony is established each year by the Office of Insurance and Risk Management.

31030.6 25‑Year Service Recognition

• Employees completing 25 years of State service are entitled to receive:

  • Employee’s choice of a 25-year service memento described in the catalog provided by the contract vendor.

  • A framed certificate signed by the Governor, also provided by the contract vendor.

  • A 25-year service recognition card signed by the Secretary to be presented to the employee with the framed certificate signed by the Governor.

31030.6.1 Retirement Certificates

• Retiring employees are entitled to receive:

  • A retirement certificate from the Secretary.

  • A congratulatory letter from the Secretary.

  • If the employee has at least 25 years of state service, employees choice of any one of the retirement mementos described in the catalog provided by the contract vendor.

  • If the employee is retiring at the same time that 25 years of service is achieved, the employee is entitled to two momentos from the catalog provided by the contract vendor, one commemorating retirement and one acknowledging at least 25 years of State service.

31030.6.2 Personnel Services Responsibility

• The Local Personnel Officer shall:

  • Notify the supervisor/manager of those employees who are within six months of reaching 25 years of State service and/or retirement using the CDCRCalifornia Department of Corrections and Rehabilitation Form 1785, Service Award Eligibility Notification. The Headquarters Personnel Office shall:

    • Upon receipt of the CDCRCalifornia Department of Corrections and Rehabilitation 3019, Request for Retirement Letter/Certificate, (via electronic mail or FAX from the supervisor/manager) prepare the retirement letter and certificate and send to the Secretary’s Office to obtain signatures.

    • Upon receipt of the signed retirement letter and certificate (from the Secretary’s Office), prepare for presentation to the employee and mail to the office or the employee as indicated on the CDCRCalifornia Department of Corrections and Rehabilitation Form 3019.

31030.6.3 Supervisor’s/Manager’s Responsibility

• Supervisors and/or managers of the employee shall:

  • Submit completed CDCRCalifornia Department of Corrections and Rehabilitation Form 3019, Request for Retirement Letter/Certificate, for a retirement award to the Headquarters Personnel Office via FAX or electronic mail.

  • Allow a minimum of 20 working days after the request is submitted via electronic mail or by FAX.

  • Make the contract vendor’s memento catalog available to the employee. The local institution, facility, or headquarters business office shall provide the name and contact information for the current contract vendor.

  • Prepare and submit the CDCRCalifornia Department of Corrections and Rehabilitation Form 954, IntraOffice Requisition (IOR), to order the 25-Year service certificate signed by the Governor and memento and/or the retirement memento selected by the employee. A copy of the CDCRCalifornia Department of Corrections and Rehabilitation Form 1785, Service Award Eligibility Notification, shall be attached to the CDCRCalifornia Department of Corrections and Rehabilitation 954. Refer to vendor’s “Ordering Instructions” in the vendor’s catalog for instructions on completing the requisition. For retiring employees, submit the order within 60 days of expected retirement date.

  • Present the 25-Year service certificate signed by the Governor along with the momento as close to the employee’s anniversary date as possible.

  • Present the retirement certificate and congratulatory letter from the Secretary to the employee to commemorate the employee’s service to the State. Retirement mementos should be presented at this time if available, or mailed to the employee if not available at the time of retirement.

31030.6.4 Secretary’s Office Responsibility

• The Secretary’s office shall:

  • Upon receipt of the unsigned retirement certificate and the congratulatory letter (from the Headquarters Personnel Office) obtain the signature of the Secretary on each document and return the signed documents to the Headquarters Personnel Office.

31030.7 Revisions

• The Deputy Director, Human Resources, or designee shall ensure that the content of this Article on the 25-Year Service, Retirement Certificate, and Sustained Superior Accomplishment Award programs are current.

• The Deputy Director, Office of Business Services, or designee shall ensure that the content of this Article on the State Merit Award Program, Superior Accomplishment Award, and Sustained Superior Accomplishment programs are current.

• The Assistant Secretary, Office of Public and Employee Communications, shall ensure that the content of this Article on the Employee Recognition Program is current.

• The Assistant Secretary, Office of Risk Management, shall ensure that the content of the Safety Awards Program is current.

References

• SAMState Administrative Manual § 4700 et seq.

• Government Code § 19815.4(d), 19816, 19823, and 19849.9(a).

• California Code of Regulations Title 2, Division 1, Chapter 3, Subchapter 1, Article 4, § 599.655 et seq.

Revision History

• Revised: August 22, 2008.

• Revised subsections 31030.4, 31030.4.1, 31030.4.2, 31030.4.3, 31030.4.4
  and 31030.4.5: June 23, 2023.

31040.1 Policy

• The Office of Employee Wellness (OEW) is responsible for policy development and administration of CDCRCalifornia Department of Corrections and Rehabilitation Peer Support Programs, Return to Work Services, and Substance Abuse Testing Programs in compliance with applicable laws.

31040.2 Purpose

• This Article sets forth the policies of the program administered within the OEW.

31040.3.3 Blood Donations

• Blood donations provide life-saving treatments to accident victims, surgery patients, and many others in need. Donating blood is one of the most generous acts of kindness that one human being can do for another.

• Program

  • The Department encourages employees to participate in blood donation programs, thus making a vital contribution to the community. The OEW is responsible for maintaining and coordinating the CDCRCalifornia Department of Corrections and Rehabilitation’s blood donation program and policies.

• OEW shall:

  • Coordinate and facilitate CDCRCalifornia Department of Corrections and Rehabilitation’s Headquarters’ Blood Drive each calendar year.

  • Provide assistance to EAPEmployee Assistance Program/Return To Work Coordinators (RTWCReturn To Work Coordinator) who are interested in establishing a blood donation program at their facility or region.

• Time Off

  • The Department allows up to two hours off for regular donors when back-up coverage is not required. For special donation programs such as Pheresis, actual donation time plus up to 30 minutes travel time may be approved. Supervisors retain approving authority for granting time off for blood donations.

31040.3.4 Workplace Violence Prevention

• It is the policy of the CDCRCalifornia Department of Corrections and Rehabilitation to provide all employees and members of the public with a safe and healthful work environment. Violent acts or threats against another person’s life, health, well being, family, or property, infringe upon CDCRCalifornia Department of Corrections and Rehabilitation’s right and obligation to provide a safe workplace for its employees. CDCRCalifornia Department of Corrections and Rehabilitation has a zero tolerance policy for workplace violence and will respond to any acts or threats of violence with appropriate administrative or legal remedies.

31040.3.4.1 Workplace Violence – Defined

• Disruptive Behavior – Disturbs, interferes with, or prevents normal work functions or activities. Includes yelling, using profanity, waving arms or fists, leering, insubordination, refusing to cooperate with others, bullying, belligerency, verbally abusing others, making inappropriate demands for time and attention, making unreasonable demands for action (demanding an immediate appointment or a response to a complaint on the spot), or refusing a reasonable request for identification.

• Act of Violence – The use (or attempted use) of force or violence with the intent to threaten, harass, intimidate, intentionally commit an injury to self or others, or damage or destroy property.

• Harassment – Unwelcome verbal or physical conduct which creates a hostile or intimidating work environment, not resulting in physical harm; disparaging or derogatory comments, slurs or profanity.

• Intimidate – To make afraid, frighten, alarm or scare; forcing action or inaction by inducing concerns for one’s safety by means of any physical action and/or verbal comment.

• Stalking – An act of willful, malicious, and repeated following or harassing by another person by any means, direct or indirect, that causes a reasonable person to fear for his/her safety or the safety of his/her immediate family.

• Threat – An action (verbal, written, or physical) that is intended to intimidate by expressing the intent to harass, hurt, take the life of another person, damage or destroy property, including threats made in jest but which others could perceive as serious.

• State Workplace – Anywhere a State employee is conducting authorized State business, or enroute to and from (excluding normal commute) a location where State business is or will be conducted.

31040.3.4.2 Manager/Supervisor Responsibility

• Managers and Supervisors shall:

  • Comply with the CDCRCalifornia Department of Corrections and Rehabilitation Code of Conduct and General Qualifications as defined in DOMDepartment Operations Manual Sections 33030.3.1 and 33030.3.2.

  • Foster a supportive, amicable work environment.

  • Communicate openly and give employees support and recognition.

  • Participate in training on how to resolve conflicts.

  • Recognize potentially threatening situations for performing State business.

  • Adhere to the incident reporting procedures.

  • Offer the EAPEmployee Assistance Program to affected staff. EAPEmployee Assistance Program provides employees with free, easily accessible and confidential resources for addressing personal concerns.

  • Contact the Office of Employee Wellness to coordinate a Critical Incident Stress Debriefing (CISD) for staff, if necessary.

  • Take all reports of workplace violence seriously.

  • Conduct a follow-up information gathering session with all involved employees to determine the facts.

  • Report all incidents to administration.

  • Take corrective action, when necessary.

  • Contact the Office of Internal Affairs to complete a formal investigation, when appropriate.

31040.3.4.3 Employee Responsibility

• Employees shall:

  • Comply with the CDCRCalifornia Department of Corrections and Rehabilitation Code of Conduct and General Qualifications as defined in DOMDepartment Operations Manual Sections 33030.3.1 and 33030.3.2.

  • Act professional, courteous, and responsible at all times.

  • Immediately report any and all acts of workplace violence to their supervisor or manager without fear of reprisal.

  • Follow-up on the initial verbal report with written documentation, which should include the following critical information: names of the involved parties (i.e. perpetrator, victim, and witnesses), a description of what occurred, when and where the incident took place, and if known, why it happened.

  • Headquarter employees shall call 911 if there is an immediate threat to the life or safety of employees, the public, or State property.

31040.3.4.4 Training

• All employees, including managers and supervisors, shall receive training and instructions on the Workplace Violence Prevention Program. Initial training shall be taught as follows:

  • Headquarters employees shall receive training at the New Employee Orientation.

  • DAIDivision of Adult Institutions (formerly Institutions Division)/DJJDivision of Juvenile Justice (formerly CYA) employees shall receive training through In-Service Training.

  • Parole Regions shall receive training through their unit supervisor.

• The Office of Employee Wellness develops Workplace Violence Prevention Program training curriculum. Workplace Violence Prevention Program training should include, but is not limited to the following:

  • Workplace Violence Prevention Program policy and reporting requirements

  • Expectations of CDCRCalifornia Department of Corrections and Rehabilitation employee conduct

  • Definitions of workplace violence

  • Measures to prevent workplace violence

  • Ways to diffuse hostile or threatening situations

  • Guidelines for notification to law enforcement authorities

  • Referrals to EAPEmployee Assistance Program

  • Resources for employees, managers, and supervisors

31040.3.4.5 Recordkeeping

• Records of Workplace Violence Prevention Program training shall be maintained by the employee’s manager or supervisor for one year. Training records shall include the name of the instructor(s), brief description of the training content, and a roster signed by participants.

31040.3.5 Ergonomics Program

• It is the policy of CDCRCalifornia Department of Corrections and Rehabilitation to provide all employees with a healthy workplace and safe working conditions. CDCRCalifornia Department of Corrections and Rehabilitation is committed to reducing and/or eliminating the risk factors associated with repetitive motion injuries (RMIs), thus increasing employee productivity, quality, and efficiency, while decreasing workers’ compensation claims. Upon request through their Hiring Authority (HA), all employees shall receive an ergonomic evaluation. CDCRCalifornia Department of Corrections and Rehabilitation is committed to providing information regarding the administration of the Ergonomics Program for the purpose of clarity and uniformity within the Department. The Office of Employee Wellness (OEW) is responsible to develop and maintain CDCRCalifornia Department of Corrections and Rehabilitation’s Ergonomics Program policies and procedures. The Ergonomics Program meets the requirements of the California Occupational Health and Safety Administration (Cal/OSHA) and collective bargaining agreements.

31040.3.5.1 Ergonomics Program – Defined

• The Ergonomics Program is conducted in accordance with the California Code of Regulations, Title 8, Subchapter 7, General Industry Safety Orders, Section 5110, Repetitive Motion Injuries.

  • The CDCRCalifornia Department of Corrections and Rehabilitation Ergonomics Program includes the following components:

    • An Ergonomic Consultant (CDCRCalifornia Department of Corrections and Rehabilitation staff)

    • A Certified Ergonomist (external contractor)

    • Identification and prioritization of high-risk jobs and tasks

    • Training for management and employees

  • Hiring Authority Responsibility

    • The HA for each institution, parole region, Division of Juvenile Justice (DJJDivision of Juvenile Justice (formerly CYA)) facility, division, office, and Headquarter’s (HQ) Program shall:

      • Appoint an Ergonomic Consultant (ECEvidence Code) to oversee and complete ergonomic evaluations and ergonomic reports for their employees.

      • Ensure all ECs are properly trained to conduct ergonomic evaluations.

      • Provide all employees with an ergonomic evaluation, upon request.

      • Approve the CDCRCalifornia Department of Corrections and Rehabilitation Form 2252, Ergonomic Workstation Evaluation Request.

      • Contract with a Certified Ergonomist, when necessary.

      • The HA shall make every effort to comply with the recommendations identified as a result of an ergonomic evaluation (If equipment is needed to comply with the recommendations, items maybe available through the warehouse or surplus).

      • Ensure all employees are properly trained on the Ergonomics Program. This includes: exposures which have been associated with RMIs, symptoms and consequences of injuries caused by repetitive motion, the importance of reporting symptoms and injuries to the manager/supervisor, and methods used to minimize RMIs.

  • CDCRCalifornia Department of Corrections and Rehabilitation Ergonomic Consultant Responsibility

    • ECs shall:

      • Attend ECEvidence Code training.

      • Schedule and complete ergonomic evaluations.

      • Identify ergonomic risk factors.

      • Perform detailed job analysis (e.g., by breaking down the jobs into tasks and risk factors and evaluating the level of exposure).

      • Recommend improvements for jobs/tasks with a high level of exposure.

      • Recommend equipment which may reduce or eliminate ergonomic risk factors.

      • Communicate with and advise management of broader ergonomic issues.

      • Provide written documentation to the employee and his/her supervisor with recommendations to reduce or eliminate ergonomic risk factors.

      • Complete follow-up ergonomic evaluations and reports as needed.

      • Complete a monthly ergonomic evaluation log and forward to the OEW.

      • Maintain records of ergonomic evaluations for three years.

      • Provide ergonomic awareness training.

  • Certified Ergonomist Responsibility

    • If a local ECEvidence Code has not been appointed, has not attended ergonomic training, or when additional expertise in ergonomics is needed, the local HA must contract with a Certified Ergonomist to complete ergonomic evaluations. A Certified Ergonomist shall:

      • Complete ergonomic evaluations.

      • Identify ergonomic risk factors.

      • Perform detailed job analysis (e.g., by breaking down the jobs into tasks and risk factors and evaluating the level of exposure).

      • Recommend improvements for jobs/tasks with a high level of exposure.

      • Recommend equipment which may reduce or eliminate ergonomic risk factors.

      • Communicate with and advise management of broader ergonomic issues.

      • Provide written documentation to the employee and his/her supervisor with recommendations to reduce or eliminate ergonomic risk factors.

  • Office of Employee Wellness Responsibility

    • The OEW shall:

      • Provide assistance and resources to the field as needed.

      • Coordinate training for all ECs in conjunction with the local HA.

      • Provide Ergonomics Program, policies and procedures.

      • Provide information on local ECs as requested.

      • Track ergonomic evaluation data to identify best practices and trends analysis on an annual basis.

      • Prepare an annual report summarizing the progress and effectiveness of the program based on monthly ergonomic reports.

  • Manager/Supervisor Responsibility

    • Managers and supervisors must be familiar with the basic principles of their employees’ jobs, workstations, and equipment use. Managers and supervisors shall:

      • Actively support and participate in the Ergonomics Program.

      • Review the Computer User’s Guide to an Ergonomic Workstation located online at: http://www.documents.dgs.ca.gov/dgs/telework/dpahandb.pdf and complete the Easy Ergonomics for Desktop Computer Users training located online at: http://www.dir.ca.gov/dosh/dosh_publications/ComputerErgo.html, to ensure the recognition and control of work-related ergonomic risk factors, recognize RMI signs and symptoms, and encourage early RMI symptom reporting.

      • Ensure employees review the Computer User’s Guide to an Ergonomic Workstation located online at: http://www.documents.dgs.ca.gov/dgs/telework/dpahandb.pdf and complete the Easy Ergonomics for Desktop Computer Users training online located at http://www.dir.ca.gov/dosh/dosh_publications/ComputerErgo.html.

      • Encourage active employee participation in the Ergonomics Program, including: attendance at scheduled ergonomic evaluation, required training, participation and implementation of ergonomic recommendations.

      • Address employee concerns and resolve current problems as expeditiously, reasonably and inexpensively as possible.

      • Complete the Ergonomic Workstation Evaluation Request form and submit it to the local HA for approval.

      • Forward the completed Ergonomic Workstation Evaluation Request form to the local ECEvidence Code.

      • Shall make every effort to provide employees with any recommended ergonomic equipment. Purchasing ergonomic equipment is both the decision and responsibility of the evaluated employee’s unit (comparable items may be available locally or through the warehouse or surplus).

      • Ensure the implementation of recommended controls and develop a system to monitor their effectiveness.

      • Maintain records of ergonomic evaluations for three years.

  • Employee Responsibility

    • CDCRCalifornia Department of Corrections and Rehabilitation employees are responsible for conducting themselves in accordance with this policy and program. Employees shall:

      • Review the Computer User’s Guide to an Ergonomic Workstation located online at: http://www.documents.dgs.ca.gov/dgs/telework/dpahandb.pdf.

      • Complete the Easy Ergonomics for Desktop Computer Users training located online at: http://www.dir.ca.gov/dosh/dosh_publications/ComputerErgo.html and apply the knowledge and skills acquired to actual job, tasks, processes, and work activities.

      • Report RMI signs or symptoms and work-related RMI hazards to the manager or supervisor as early as possible to facilitate proactive interventions and/or prompt medical treatment.

      • Take responsibility for personal health and safety.

      • Complete the Ergonomic Workstation Evaluation Request form and submit it to the manager or supervisor for approval.

      • Maintain records of ergonomic evaluations for three years.

31040.3.5.2 Ergonomic Evaluations

• The local ECEvidence Code at each institution, parole region, DJJDivision of Juvenile Justice (formerly CYA) Facility, division, office, HQ Program is responsible for completing ergonomic evaluations. Evaluations must include a review of the employee’s workstation, equipment, and work processes, as well as training on the Ergonomics Program and instruction on proper ergonomic work habits. After the evaluation, a written report must be developed by the ECEvidence Code, which identifies ergonomic risk factors, adjustments made on-site to equipment and furniture, and recommendations for purchasing ergonomic equipment and/or modifying equipment and furniture. The report shall be forwarded to the manager/supervisor with a copy to the employee.

• The HA at each institution, parole region, DJJDivision of Juvenile Justice (formerly CYA) Facility, division, office, HQ Program is responsible for procuring ergonomic equipment and making any modifications to equipment and/or furniture as recommended through the ergonomic evaluation report. Additionally, the HA shall make every effort to comply with the recommendations identified through the ergonomic evaluation report. Local procurement procedures should be followed to order any recommended equipment and/or make modifications to workstations. Comparable items may be available locally or through the warehouse or surplus.

• If additional changes or adjustments are necessary, the ECEvidence Code shall complete a follow-up report and forward to the employee and his or her supervisor.

31040.3.5.3 Training

• The OEW shall facilitate training for ECs. Training shall include:

  • A review of the departmental Ergonomics Program.

  • A review of ergonomic risk factors and RMIs.

  • How to identify high-risk jobs.

  • Understanding the importance of reporting RMI symptoms and injuries to a manger/supervisor.

  • How to conduct ergonomic evaluations.

  • Recommending control measures to reduce/eliminate risk factors.

  • How to develop a written report of findings and recommendations.

• Each employee shall receive ergonomic awareness training which includes:

  • A review of the departmental Ergonomics Program.

  • Understanding risk factors associated with RMIs.

  • Identifying symptoms and consequences of injuries caused by RMIs.

  • Understanding the importance of early reporting of RMI symptoms to their manager/supervisor.

  • Awareness of safe work methods and techniques to minimize risk factors associated with RMIs.

• Ergonomic awareness training shall be provided during the New Employee Orientation at the local level.

31040.3.5.4 Recordkeeping

• Records of ergonomic reports shall be maintained by the employee, his or her manager or supervisor, and the local ECEvidence Code for a period of three years.

• Ergonomic awareness training records shall be kept for a period of three years by the supervisor.

31040.4 Return to Work Programs

31040.4.1 Policy

• It is the policy of the California Department of Corrections and Rehabilitation (CDCRCalifornia Department of Corrections and Rehabilitation) to provide an equal opportunity for all applicants and employees with disabilities. CDCRCalifornia Department of Corrections and Rehabilitation employees, including those in permanent intermittent positions, employment applicants, or interns are entitled to consideration for a reasonable accommodation. This policy applies to qualified individuals with permanent or temporary disabilities, or pregnancy related disabilities.

• Contractors requesting accommodations shall consult with their hiring agency. If appropriate, CDCRCalifornia Department of Corrections and Rehabilitation will work with such hiring agency and contractor to evaluate the requests for accommodations.

31040.4.2 Purpose

• CDCRCalifornia Department of Corrections and Rehabilitation is committed to complying with State and federal laws, including the Americans with Disabilities Act (ADAAmericans with Disabilities Act), Fair Employment and Housing Act (FEHA), and Uniformed Services Employment and Re-Employment Rights Act (USERRA), by making a good faith effort to:

  • Engage in a timely, ongoing, interactive process with employees and applicants when there is knowledge of a physical or mental disability, or medical condition that limits their ability to perform the essential functions of their positions, or complete the application process.

  • Provide a reasonable accommodation to all qualified employees or applicants who need such an accommodation, unless to do so would present an undue hardship on CDCRCalifornia Department of Corrections and Rehabilitation.

• CDCRCalifornia Department of Corrections and Rehabilitation’s goals are to:

  • Keep employees productive in the work environment by eliminating barriers to employment for qualified individuals with disabilities, without waiving the essential function(s) of the position(s).

  • Retain valued, experienced, and qualified employees.

31040.4.3 Definitions

31040.4.3.1 Americans with Disabilities Act

• The ADAAmericans with Disabilities Act is a federal law that mandates the elimination of discrimination against individuals with physical or mental disabilities, with a record of a disability, or being regarded as having a disability.

31040.4.3.2 California Family Rights Act

• The California Family Rights Act (CFRA) is a State law that grants eligible employees, who have more than 12 months and 1,250 hours (during the preceding 12-month period) of service with an employer, a right to take up to 12 workweeks of unpaid, job-protected leave in any 12-month period for medical leave related to a serious health condition; as well as to care for any individual related by blood or whose association with the employee is the equivalent of a family member, a family member who has a serious health condition; or bonding after the birth of a child, adoption, or foster care placement.

31040.4.3.3 Disability

• A Disability is a physical or mental condition, which affects one or more body system(s) and limits one or more of a person’s major life activities, or makes the achievement of a major life activity difficult; or a medical condition (cancer related or genetic characteristic). Working is a major life activity. Disability does not include compulsive gambling, kleptomania, pyromania, pedophilia, exhibitionism, voyeurism, or psychoactive substance use disorders resulting from current unlawful use of controlled substances or other drugs.

31040.4.3.4 Disability Retirement

• Disability Retirement is a benefit for eligible employees of the State of California, which allows for a monthly pension and continuation of health benefits.

31040.4.3.5 Essential Functions

• Essential Functions are the fundamental job duties of the employment position the individual with a disability holds or desires. Essential functions do not include the marginal functions of the position.

• A job function may be essential because:

  • The position exists to perform the function;

  • A limited number of employees are available to perform the function; and/or

  • The function is highly specialized and the person in the position is hired for his or her expertise.

• Essential functions are defined in the written duty statement or List of Essential Functions. Some factors to consider when identifying essential functions are:

  • The amount of time spent performing the function;

  • The consequences of not requiring a person in this job to perform the function;

  • The terms of a collective bargaining agreement;

  • Work experience of employees who have performed the job in the past; or

  • Work experience of employees who currently perform similar jobs.

31040.4.3.6 Fair Employment and Housing Act

• The FEHA is State law that prohibits discrimination in employment against qualified individuals based on a physical or mental disability, or medical condition (cancer related or genetic characteristic); a history of a physical or mental disability; or being regarded as having a physical or mental disability. FEHA provides protections independent from those in the federal ADAAmericans with Disabilities Act.

31040.4.3.7 Family and Medical Leave Act

• The Family and Medical Leave Act (FMLA) is federal law that grants eligible employees, with more than 12 months and 1,250 hours (during the preceding 12-month period) of service with an employer, a right to take up to 12 workweeks of unpaid, job-protected leave in any 12-month period for medical leave related to a serious health condition; as well as to care for a family member who has a serious health condition; or bonding after the birth of a child, adoption, or foster care placement.

• Unpaid, job-protected leave of up to 12 work weeks also may be granted to assist a family member who is called to active duty, or is stationed overseas, during military service. Additionally, up to 26 work weeks of unpaid, job-protected leave may be granted to care for a family member who has been injured in the military.

31040.4.3.8 Good Faith

• Within the context of the interactive process, as used in this article, good faith means that the employer or designee and employee must communicate directly, exchange essential information, and neither side can delay or obstruct the process. For example, the employer or employee who rejects the reasonable accommodation proposed by the other party and offers no alternatives fails to engage in good faith in the interactive process.

31040.4.3.9 Health Care Provider

• A health care provider is:

  • A medical or osteopathic doctor, physician, or surgeon, licensed in California, or in another state or country, who directly treats or supervises the treatment of the applicant or employee;

  • A marriage and family therapist or acupuncturist, licensed in California or in another state or country, or any other persons who meet the definition of “others capable of providing health care services” under FMLA and its implementing regulations, including podiatrists, dentists, clinical psychologists, optometrists, nurse practitioners, nurse midwives, licensed midwives, clinical social workers, chiropractors, physician assistants, who directly treats or supervises the treatment of the applicant or employee; or

  • A health care provider from whom an employer, or a group health plan’s benefits manager, will accept medical certification of the existence of a health condition to substantiate a claim for benefits.

31040.4.3.10 Hiring Authority

• The Hiring Authority (HA) is any person authorized by the Secretary, CDCRCalifornia Department of Corrections and Rehabilitation, or the Receiver of the California Correctional Health Care Services (CCHCS), to hire, discipline and dismiss employees under his or her authority.

31040.4.3.11 Interactive Process

• The Interactive Process, required by both the ADAAmericans with Disabilities Act and FEHA, consists of timely, good faith communication between the Return-to-Work Coordinator (RTWCReturn To Work Coordinator), the supervisor or manager, and an employee or applicant, when necessary due to a physical or mental disability, or medical condition that limits an employee’s or applicant’s ability to perform the essential function(s) of his or her current position, or the position for which he or she is applying. The purpose of this communication includes identifying the employee’s restrictions or limitations and determining whether the applicant or employee needs a reasonable accommodation to perform the essential functions of the job, and if so, what options are available to reasonably accommodate him or her. (Refer to Section 31040.4.5.2.)

31040.4.3.12 Limited Term Light Duty Assignment

• A Limited Term Light Duty Assignment is the temporary placement of a CDCRCalifornia Department of Corrections and Rehabilitation employee who has medical limitations in his or her ability to perform the essential functions of his or her job. Such placement allows for the temporary waiver of the essential functions of the employee’s position, or another position within the employee’s bargaining unit, and shall not extend beyond 60 calendar days in a 6-month period for an employee with such medical limitations.

31040.4.3.13 Medical Personnel Actions

• Medical Personnel Actions (MPA) are voluntary or involuntary, non-disciplinary personnel actions. MPAs are approved by the HA, in consultation with the Office of Employee Wellness (OEW) when necessary or required, and may include the transfer, demotion, termination, or the filing of a disability retirement application, on behalf of a permanent or probationary employee who has become unable to perform the essential functions of his or her position with or without reasonable accommodation.

31040.4.3.14 Options Letter

• The Options Letter is sent to an employee as part of the interactive process. This letter outlines the different options that may be available to an employee with a disability that impairs his or her ability to perform the essential functions of his or her position, and invites discussion of these options. (Refer to Section 31040.4.5.2.)

31040.4.3.15 Pregnancy Related Disabilities

• A woman is disabled by pregnancy, childbirth, or a related medical condition, if in the opinion of her health care provider she is unable to perform any of the essential functions of her job, or if she is unable to perform any of these functions without undue risk to herself, to her pregnancy’s successful completion, or to other persons.

31040.4.3.16 Qualified Individual with a Disability

• A Qualified Individual with a Disability is one who possesses the necessary skill, experience, education, and other job related requirements of the employment position the individual holds or desires, and who, with or without a reasonable accommodation, can perform the essential functions of such position.

31040.4.3.17 Reasonable Accommodation

• Reasonable Accommodation (RA) is any modification or adjustment to a job and/or the work environment that is effective in enabling an employee or applicant to perform the essential functions of the job the employee or applicant holds or desires. RA’s may include, but are not limited to, providing assistive aids and services such as qualified readers or interpreters, job re-structuring, providing a modified schedule, providing additional training, providing paid or unpaid leave, or transfer/demotion, which are accommodations of last resort when no other accommodation is possible in the employee’s current position.

• The Department must reasonably accommodate a qualified individual with a disability, if that individual can perform the essential functions of his or her job with the RA. Failure to provide a RA to the known physical or mental limitations, or medical condition of an otherwise qualified person with a disability, absent an undue hardship to the Department, is considered discriminatory.

31040.4.3.18 Return‑to‑Work Coordinator

• The RTWCReturn To Work Coordinator is an individual at the analyst level, assigned to provide assistance and recommendations to employees, supervisors, managers, and HAs, regarding return-to-work matters relating to MPAs and requests for RA, in compliance with the ADAAmericans with Disabilities Act, FEHA, USERRA, the Civil Service Act, and other applicable laws. RTWCs shall engage in interactive discussions with employees, supervisors, and managers to assist employees through the return-to-work process.

31040.4.3.19 Undue Hardship

• Undue Hardship is any action requiring significant difficulty or expense incurred by CDCRCalifornia Department of Corrections and Rehabilitation when considered in light of the totality of the circumstances. For CDCRCalifornia Department of Corrections and Rehabilitation, this would include, but it is not limited to, any action that would endanger the health or safety of the employee or applicant requesting the accommodation, co-workers, inmates, wards or parolees; any action that violates a bargaining unit agreement; any action that creates a conflict with State or federal laws; or any action that results in a waiver of any essential function of a position.

31040.4.3.20 Uniformed Services Employment and Re‑Employment Rights Act

• The USERRA is a federal law that prohibits employers from discriminating against employees or applicants for employment on the basis of their military status or military obligations. Under USERRA, if a veteran has a disability incurred in, or aggravated during, his or her military service, the employer must make reasonable efforts to accommodate the disability and return the veteran to the position in which he or she would have been employed if the veteran had not performed military service. If the veteran is not qualified for that position due to the disability, USERRA requires the employer to make reasonable efforts to help qualify the veteran for a job of equivalent seniority, status, and pay.

31040.4.4 Roles and Responsibilities

31040.4.4.1 Employee

• An employee with a disability in need of a RA shall initiate the process by making a request for RA and cooperating in good faith with his or her supervisor, manager, RTWCReturn To Work Coordinator, and/or HA in identifying modifications, equipment or services needed to accommodate the employee’s functional limitations. Employees can submit a request for accommodation verbally, in any written format, or on a CDCRCalifornia Department of Corrections and Rehabilitation Form 855, Request for Reasonable Accommodation, which can be obtained from the local RTWCReturn To Work Coordinator, or the OEW website.

• If requested, the employee shall provide information on the need for a RA including medical documentation, as defined in Section 31040.4.5.3. A medical diagnosis shall not be required. Failure to provide the required medical documentation will result in the delay or denial of a request for accommodation.

• Where reassignment to an alternate position is being considered as an accommodation because the employee is not able to perform the essential functions of his or her position with or without a RA, the employee shall also provide information about his or her educational qualifications and work experience that may help determine a suitable alternate position for which the employee is qualified and can perform the essential functions. Failure to provide personal qualifications, when requested, could result in CDCRCalifornia Department of Corrections and Rehabilitation having to rely on outdated information, and placement of the employee in a position at a lower pay rate than the employee would have otherwise been qualified to receive.

31040.4.4.2 Supervisor/Manager

• Supervisors and managers shall attend training on Equal Employment Opportunity covering State and federal laws which protect disabled employees from discrimination, and which require a RA be provided when an employee with a disability needs assistance in performing the essential functions of his or her job. (Refer to Chapter 3, Article 1, Section 31010.6.) Supervisors and managers shall inform employees of the return-to-work policy and refer requests for RAs, either written or verbal, to the RTWCReturn To Work Coordinator upon receipt of the request from an employee.

• In addition, supervisors and managers shall refer employees to the RTWCReturn To Work Coordinator when the supervisor or manager becomes aware that the employee may need a RA to perform the essential functions of his or her position (e.g. through observation, a third party, or the employee’s request for leave due to a serious health condition under the FMLA or CFRA, or due to a work-related injury under the Workers’ Compensation Act [WCA]).

• Supervisors and managers shall work cooperatively with the RTWCReturn To Work Coordinator to identify the essential functions of a position, and to discuss RA options. Supervisors and managers shall not waive (formally or informally) the essential functions of a position to accommodate a disabled employee.

31040.4.4.3 Return‑to‑Work Coordinator

• RTWCs manage and process return-to-work cases to assist the HAs in providing disabled employees with an accommodation when necessary. RTWCs routinely must engage in interactive discussions with employees, supervisors, managers and HAs, to assist employees through the return-to-work process.

• The RTWCReturn To Work Coordinator shall review and process all requests for RA received from supervisors, managers, employees, or HAs. The RTWCReturn To Work Coordinator shall meet with the employee and discuss possible RAs as part of the interactive process to find an effective RA. The RTWCReturn To Work Coordinator shall ask employees to complete a CDCRCalifornia Department of Corrections and Rehabilitation Form 855, and assist the employee in completing the CDCRCalifornia Department of Corrections and Rehabilitation Form 855 as necessary. Completion of the CDCRCalifornia Department of Corrections and Rehabilitation Form 855 is not required to trigger CDCRCalifornia Department of Corrections and Rehabilitation’s responsibility to provide a RA; even if the employee does not complete the CDCRCalifornia Department of Corrections and Rehabilitation Form 855, the RTWCReturn To Work Coordinator must document the employee’s request for a RA and engage in the interactive process with the employee. If the existence of a disability and/or the need for RA is not obvious, the RTWCReturn To Work Coordinator shall request that the employee provide information on the need for a RA including medical documentation as defined in Section 31040.4.5.3. A medical diagnosis shall not be requested.

• When additional medical information is needed, the RTWCReturn To Work Coordinator shall ask the employee to sign a medical release authorizing direct communication between the RTWCReturn To Work Coordinator and the employee’s health care provider; or in the alternative, request the employee to provide the request for additional medical information to his or her health care provider and secure a written response from the health care provider. The RTWCReturn To Work Coordinator shall communicate with the employee’s health care provider only if the employee has consented to such communication and the medical documentation received does not provide the information specified in Section 31040.4.5.3.

• The RTWCReturn To Work Coordinator shall monitor the submission and evaluation of medical information, as well as any correspondence between CDCRCalifornia Department of Corrections and Rehabilitation and the employee that is necessary to process the request for RA. If necessary, the RTWCReturn To Work Coordinator shall ask the employee for additional information or inform the employee that additional information is needed before a decision can be made. Medical inquiries shall be limited to information specifically needed to address the request for a RA and outlined in Section 31040.4.5.3.

• The RTWCReturn To Work Coordinator shall evaluate each request and advise the employee of the return-to-work policy, as well as other employment options available under the return-to-work policy. Options that could be available to the employee shall be outlined in writing in an Options Letter to the employee. The RTWCReturn To Work Coordinator shall consult with OEW, as needed, to determine the appropriateness of any chosen option and to verify any other options that may be available to the employee.

• The RTWCReturn To Work Coordinator shall provide recommendations to employees, supervisors, managers, and HAs regarding appropriate accommodations for every request for RA, after the RTWCReturn To Work Coordinator has gathered the information, specified above, from the employee and/or the employee’s health care provider. The RTWCReturn To Work Coordinator shall submit the completed CDCRCalifornia Department of Corrections and Rehabilitation Form 855 or documentation of the request for RA, with the requisite attachments, to the HA with a recommendation for the HA to make a final determination.

• The RTWCReturn To Work Coordinator shall consult with the OEW, as necessary, when assistive devices or ergonomic equipment are requested in order to identify appropriate equipment, furniture, or facility modifications. The implementation of such approved accommodations should be coordinated with the appropriate Business Services and Accounting offices to purchase the necessary services, equipment, or furniture.

31040.4.4.4 Hiring Authority

• Each Hiring Authority (HA) shall have the responsibility to determine the appropriate course of action to follow when responding to requests for RA and providing RAs to qualified individuals with disabilities consistent with Departmental regulations and policies.  The HA shall make every effort to accommodate each employee’s individual limitation(s) or restriction(s) and consider a combination of return to work options in reaching final determinations.

• The HA shall be responsible for the oversight of the return to work functions within his or her institution, facility, or program.  The HA shall not waive the essential functions of a position to accommodate a disabled employee or provide an accommodation that creates an undue hardship as defined in Section 31040.4.3.19.  In addition, the HA, in consultation with OEW, is responsible for:

  • Reviewing the completed CDCRCalifornia Department of Corrections and Rehabilitation Form 855, Request for Reasonable Accommodation, or the documentation of the request for RA, supporting medical documentation, and the recommendations from the Return to Work Coordinator (RTWCReturn To Work Coordinator) for RA requests;

  • Making the final determination on requests for RA, medical transfers, medical demotions, medical terminations, and employer generated retirement applications;

  • Approving Limited Term Light Duty Assignments (LTLDA) or Temporary Modified Work Assignments (TMWA), consistent with regulations; and

  • Approving requests for Fitness for Duty Evaluations.

31040.4.4.5 Office of Employee Wellness

• The OEW, Return to Work Services Section (RTWSS), an office within Employee Health and Wellness (EHW), Human Resources, shall assist all employees, and their supervisors and managers, in working through the RA, LTLDA, TMWA, and Medical Personnel Action (MPA) processes.  That assistance includes facilitating Fitness for Duty Evaluations; processing medical transfers, demotions, or terminations; and filing for disability retirement on behalf of employees. The OEW is responsible for:

  • Providing return to work services for all Headquarters based personnel;

  • Providing liaison assistance and functional oversight to all CDCRCalifornia Department of Corrections and Rehabilitation RTWCs, statewide;

  • Providing training for all CDCRCalifornia Department of Corrections and Rehabilitation RTWCs, supervisors, and managers at all levels regarding requirements under State and federal laws and CDCRCalifornia Department of Corrections and Rehabilitation policies for the return to work program;

  • Developing and implementing CDCRCalifornia Department of Corrections and Rehabilitation’s return to work policy;

  • Facilitating the development and retention of all standardized and other essential functions lists used in the return to work and RA processes; and

  • OEW must review, consult on, and provide recommendations to the HAs on all of the following:

    • Peace officer requests for RAs;

    • Vest wear RAs;

    • RA, LTLDA, TMWA Denials;

    • Medical demotions/transfers/terminations;

    • Employer generated Disability Retirement Applications;

    • Requests for Fitness for Duty Evaluations; and

    • Pregnancy and Lactation Accommodations.

31040.4.4.6 Disability Management Unit

• For employees under California Correctional Health Care Services (CCHCS), DMU, Human Resources, shall assist all employees, and their supervisors and managers, in working through RA, Limited Term Light Duty Assignments, Temporary Modified Work Assignments, and MPA processes.  That assistance includes facilitating Fitness for Duty Evaluations; processing medical transfers, demotions, or terminations; and filing for disability retirement on behalf of employees.  The DMU shall solicit review of the above requests by the CCHCS Office of Legal Affairs (COLA), as needed, and forward a recommendation for final review and determination by the appropriate HA.  The DMU is responsible for:

  • Providing return-to-work services for all CCHCS employees;

  • Providing training for all supervisors and managers at all levels regarding requirements under State and federal laws and CDCRCalifornia Department of Corrections and Rehabilitation policies for the return-to-work program;

  • Developing and implementing in conjunction with CDCRCalifornia Department of Corrections and Rehabilitation’s return-to-work policy;

  • Facilitating the development and retention of all standardized and other essential functions lists used in the return-to-work and RA processes; and

  • Reviewing, consulting on, and providing recommendations to the HAs on all of the following:

    • Requests for RAs;

    • Medical demotions/transfers/terminations;

    • Employer generated Disability Retirement Applications;

    • Requests for Fitness for Duty Evaluations; and

    • Pregnancy and Lactation Accommodations.

31040.4.5 Reasonable Accommodations

31040.4.5.1 Initiation of the Reasonable Accommodation Process

• It shall never be assumed by any manager or supervisor that an employee is disabled, has a medical condition, or requires RA. The RA process shall be initiated by the employee, supervisor, manager, HA, or RTWCReturn To Work Coordinator when one or more of the following occur:

  • An employee states he or she needs assistance to perform the essential functions of his or her job, due to a physical or mental disability, or medical condition;

  • The supervisor, manager, HA, or RTWCReturn To Work Coordinator becomes aware of the need for an accommodation through a third party or observation; or

  • The supervisor, manager, HA, or RTWCReturn To Work Coordinator becomes aware of the possible need for an accommodation, because the employee takes leave due to his or her serious health condition under the FMLA or CFRA, or due to a work-related injury under the WCA.

• A request for RA can be submitted by employees verbally, in writing, or on a CDCRCalifornia Department of Corrections and Rehabilitation Form 855. A verbal request for an accommodation shall be immediately documented, in writing, by the person receiving the request and delivered to the RTWCReturn To Work Coordinator.

• The HA or designee shall provide a written acknowledgement to the employee regarding his or her request for RA due to a disability or medical condition within a reasonable time, but no later than 20 working days after the receipt of the request from the employee. This acknowledgement shall notify the employee if additional information is needed before a decision can be made.

• The HA or designee shall respond to the employee regarding a request for RA, transfer, or leave due to pregnancy or pregnancy related disabilities, within 10 calendar days from the receipt of the request from the employee. (CCRCalifornia Code of Regulations, Title 2, Section 11050.)

31040.4.5.2 Interactive Process

• The interactive process requires employer and employee flexibility and cooperation to identify appropriate accommodations for qualified individuals with disabilities. The interactive process shall be documented, in writing, by the RTWCReturn To Work Coordinator or any manager or supervisor involved in the process, even if conducted verbally, and shall continue until a RA has been identified and implemented or other resolution has occurred.

• At the employee’s request, a representative of his or her choosing shall be allowed to assist in the interactive process by attending meetings with the employer (or employer representative) convened to explore possible reasonable accommodations to an employee’s disability.

• The assigned RTWCReturn To Work Coordinator shall make every effort to assist the employee by engaging in a timely, good faith, interactive process. The interactive process consists of communications designed to explore whether or not the employee needs an accommodation for the employee’s known functional limitations, to perform the essential functions of the job. As part of the interactive process, and with the employee’s consent, the RTWCReturn To Work Coordinator may send a list of the essential functions of the employee’s position to the employee’s health care provider. Communications between the RTWCReturn To Work Coordinator and the employee requesting RA should be in person, whenever possible, and may include providing an Options Letter to the employee, which identifies information, including but not limited to, RAs, disability benefits, retirement benefits, or leave of absence options. The Options Letter shall be sent to the employee when medical information has been received indicating that the employee may need a RA to perform the essential functions of his or her position.

• If one does not already exist, rapid development of an essential functions list is a critical component of the interactive process. This list facilitates discussion among the supervisor, manager, employee, RTWCReturn To Work Coordinator, OEW, HA, treating health care providers, and/or fitness for duty physicians.

• If the health care provider outlines work restrictions that can be accommodated, the interactive process shall continue and the employee should return to his or her current position with any appropriate RAs. If the requested RA would create an undue hardship for the CDCRCalifornia Department of Corrections and Rehabilitation (as defined in Section 31040.4.3.19), or the employee cannot perform the essential functions of his or her job with the accommodation requested, the interactive process shall continue with the employee to discuss alternatives. The RTWCReturn To Work Coordinator shall consult with the local Labor Relations Analyst, or the Office of Labor Relations for Headquarters employees, as needed, to rule out a conflict between the proposed accommodation and a bargaining unit agreement. An employer is not required to provide the specific accommodation requested by the employee, but has a duty to provide an effective accommodation that is reasonable.

• For those accommodations that cannot be granted initially, RTWCs shall continue the interactive process by communicating with the employee and HA and exploring alternative accommodation opportunities, if any. Alternative accommodations may include, but are not limited to, paid or unpaid leave or transfer/demotion, which are accommodations of last resort when no other accommodation is possible in the employee’s current position. Other options may include disability retirement or medical termination when no accommodation is possible in any CDCRCalifornia Department of Corrections and Rehabilitation position.

31040.4.5.3 Processing Requests for Reasonable Accommodation

• RAs are processed by the assigned RTWCReturn To Work Coordinator, through the appropriate chain of command, to the HA, in consultation with OEW as needed or required. The RTWCReturn To Work Coordinator can receive requests for RA from the requesting employee or any manager or supervisor who received a request for RA from an employee. The RTWCReturn To Work Coordinator shall review the request for RA and/or medical documentation; work cooperatively with managers and/or supervisors to identify the essential functions of the employee’s position and discuss RA options; and make a recommendation to the HA regarding the request for RA.

• If the existence of a disability and/or the need for a RA is not obvious, upon receipt of a request for RA, the RTWCReturn To Work Coordinator shall require the employee to provide medical documentation verifying: the functional limitations that affect the employee’s ability to perform the essential functions of his or her position; the need for a RA; the estimated duration of the RA; and the health care provider’s expertise to certify the employee’s functional limitations and the need for a RA.

• Upon receipt of a request for RA due to pregnancy, the RTWCReturn To Work Coordinator shall require the employee to provide medical certification from her health care provider containing: a description of the requested accommodation; a statement describing the advisability of the RA; the date upon which the need for the RA will become medically advisable; and the estimated duration of the RA. For peace officers, and other classifications that may be required to wear a protective vest, a vest re-fit may be necessary during the employee’s pregnancy.

• A qualified individual with a disability is entitled to a RA, which may include reassignment to a vacant, budgeted position over other applicants and existing employees, when no accommodation is possible in the employee’s current position; however, when considering a reassignment or other RA, the CDCRCalifornia Department of Corrections and Rehabilitation is not required to:

  • Waive the essential functions of the job/classification;

  • Reduce or transfer the employee’s workload involving essential functions to another employee;

  • Create additional employment that would not otherwise have been created;

  • Discharge another employee;

  • Violate the terms of a collective bargaining agreement or Memorandum of Understanding, including post and bid rules;

  • Transfer another employee to create a vacancy for a disabled employee;

  • Promote or transfer any employee who is not qualified to perform the new job and/or who otherwise does not meet civil service requirements or minimum qualifications for such position; or

  • Provide an accommodation, if the accommodation creates an undue hardship for the CDCRCalifornia Department of Corrections and Rehabilitation.

• RAs shall first be considered within the employee’s current position without waiving the essential functions of the job. A RA may include the transfer of the employee to a vacant and budgeted, less strenuous or hazardous position, within the same classification, where the employee is still capable of performing all of the essential functions of his or her classification, when called upon to do so. A RA also can consist of job restructuring, which may include, but is not limited to, reallocation or redistribution of non-essential job functions in a position with multiple responsibilities.

• If an employee requests a transfer to a less strenuous and/or hazardous position, and a vacant, budgeted position within the same classification does not exist that can accommodate the employee’s restrictions, the employee may elect to continue working in his or her present position, performing all the essential functions of the position, with or without an accommodation, or take leave utilizing his or her own leave credits. The RTWCReturn To Work Coordinator will refer employees to the FMLA Coordinator to discuss potential eligibility for protected leave under FMLA or CFRA, or if pregnant, to the Personnel Office for information on Pregnancy Disability Leave entitlements.

• If a RA within the employee’s current classification is not possible, alternate placement, in the form of a transfer or demotion, shall be considered as a RA of last resort. The interactive process shall occur prior to considering alternate placement; and this accommodation shall only be considered after all possible accommodations within the employee’s same classification have been explored.

• A transfer or demotion shall be considered if:

  • The employee can no longer perform the essential functions of his or her current position or classification, either with or without a RA;

  • CDCRCalifornia Department of Corrections and Rehabilitation cannot provide a RA in the current classification without undue hardship; or

  • There are no vacant, budgeted positions in the employee’s current classification for which the employee is qualified and can perform the essential functions either with or without a RA.

• Prior to transferring or demoting an employee, as an accommodation of last resort, documentation (including but not limited to, the employee’s request for RA, documentation of the interactive process, medical reports, a list of essential functions, the employee’s current qualifications, State Application, and resume) must be submitted to OEW for approval and processing. The employee shall meet the minimum qualifications of any proposed position and must be able to perform the essential functions of the proposed position either with or without a RA. Transfers and demotions (except those that occur in compliance with USERRA) shall not result in a salary increase for the affected employee. However, CDCRCalifornia Department of Corrections and Rehabilitation is required to attempt to place the employee in the highest paid, vacant, budgeted position for which the employee meets the minimum qualifications.

• If the transfer or demotion is involuntary, the employee shall be given written notice of the medical action and appeal rights, at least 15 calendar days prior to the effective date of the transfer or demotion. (Government Code, Section 19253.5.)

31040.4.5.4 Finalization of the Reasonable Accommodation Request

• The HA, in collaboration with the OEW when required, shall make the final determination, and provide a written response to the employee, on requests for RA.

• Any grant of a RA request resulting in an alternate placement, or any peace officer accommodation, shall be processed by the assigned RTWCReturn To Work Coordinator and shall require consultation with the EHW, Associate Director, and final approval of the HA.

• No accommodation shall be granted that results in an undue hardship for CDCRCalifornia Department of Corrections and Rehabilitation, as defined in Section 31040.4.3.19.

• Denials of a RA request shall require the approval of the HA, after consulting with the EHW, Associate Director.

• The employee has the right to file a complaint alleging discrimination, at any time during CDCRCalifornia Department of Corrections and Rehabilitation’s process, in accordance with Chapter 3, Article 1, Section 31010.5.2.

31040.4.5.5 Documentation/Record Keeping/Records Retention

• All discussions regarding a potential accommodation must be documented in writing, provided to the RTWCReturn To Work Coordinator, and stored in the return-to-work file. Utilization of the CDCRCalifornia Department of Corrections and Rehabilitation Form 855 is recommended for this purpose, although not required.

• The ADAAmericans with Disabilities Act and FEHA limit the use of information obtained from medical records of employees for the purpose of providing RA. All medical information obtained shall be treated as a confidential medical record. In accordance with the ADAAmericans with Disabilities Act, FEHA, and the California Confidentiality of Medical Information Act (CCMIA), the CDCRCalifornia Department of Corrections and Rehabilitation is responsible for the confidentiality and security of these medically-related materials. Employees improperly disclosing confidential medical information will be held accountable in accordance with departmental policy.

• Information contained in the return-to-work file shall be kept separate from the employee’s Official Personnel File (OPFOfficial Personnel File) or Workers’ Compensation File, and shall be kept confidential, except that: (1) supervisors, managers, and HAs may be informed of restriction(s) on the work duties of employees with disabilities and necessary RAs; (2) first responders and safety personnel may be informed, when appropriate, that the condition may require emergency treatment; and (3) government officials investigating compliance with the ADAAmericans with Disabilities Act, FEHA, or USERRA shall be provided relevant information through the Office of Internal Affairs (OIAOffice of Internal Affairs) or the OLAOffice of Legal Affairs.

• Requests for RAs and supporting documentation shall be retained by the assigned RTWCReturn To Work Coordinator in confidential files and stored in a secure location to prevent unauthorized access, for a period of 30 years, or for the duration of any related pending litigation, whichever is longer.

• For RAs extending beyond one year, the RTWCReturn To Work Coordinator may ask for medical documentation substantiating the need for continued RA, on a yearly basis.

31040.4.6 Lactation Accommodation

• Revised February 18, 2021

• Employees have a right to request a lactation accommodation. It is the policy of the CDCRCalifornia Department of Corrections and Rehabilitation to make every reasonable effort to provide a lactation accommodation for employees as required by state and federal law. This policy shall be distributed to new employees upon hiring, and when an employee makes an inquiry about or requests parental leave.

• Employees may request verbally, in writing, or via CDCRCalifornia Department of Corrections and Rehabilitation Form 855, Request for Reasonable Accommodation, for a lactation accommodation to express breast milk for their child. The Return-to-Work Coordinator (RTWCReturn To Work Coordinator) shall process all requests and submit to the Hiring Authority (HA) to make the determination and provide written notice of the decision to the employee within ten calendar days from the receipt of the request from the employee.

• Employees utilizing a lactation accommodation shall be entitled to a reasonable amount of break time each time the employee has a need to express milk, to be used concurrently with any break time already provided. Employees who do not have authorized breaks may use available leave credits or take unpaid leave during the time spent expressing milk.

• CDCRCalifornia Department of Corrections and Rehabilitation shall provide the employee with the use of a safe and private, locking room or location, as close in proximity to the employee’s work area as reasonably possible. The lactation room or other private location shall comply with the following:

  • Not be in a restroom.

  • Be shielded from view and free from intrusion. Any existing windows must be covered for the employee during lactation.

  • Be safe, clean, and free from hazardous materials.

  • Contain seating and a surface to place a breast pump or personal items.

  • Have access to electricity or alternative devices needed to operate an electric or battery-powered breast pump.

  • Must meet privacy, safety, and security requirements.

• Peace officers, or other classifications that are required to wear a protective vest, a vest re-fit may be needed.

• Essential functions shall not be waived for employees granted a lactation accommodation.

• If an employee has not been properly accommodated or has been denied a lactation accommodation break, the employee should notify their supervisor or RTWCReturn To Work Coordinator immediately. Employees also have a right to file a complaint with the California Labor Commissioner’s Bureau of Field Enforcement (BOFE) for any violations of their lactation accommodation rights.

• For contract employees, the HA shall either provide lactation accommodations, or provide a safe and secure location for a subcontractor employer to provide a lactation accommodation on the worksite, and provide written notice of the decision to the employee within two business days from the receipt of the employee’s written request.

31040.4.7 Limited Term Light Duty Assignment

• A LTLDA temporarily allows an employee with documented temporary medical limitation(s) or restriction(s), which affect the ability to perform one or more of the essential functions, and requires the waiver of one or more essential functions of the employee’s current classification and position, to remain working or return to work after an injury or illness. An LTLDA is intended for utilization when employees cannot be accommodated with an RA.  An LTLDA is subject to the following: 

  • An LTLDA shall not exceed 90 calendar days. Extensions will be considered case-by-case, based on a written request from the employee and supporting documentation from the employee’s health care provider.  However, in no circumstance shall an extension be granted if it would make the total duration of an LTLDA, TMWA, or any combination of the two, exceed 360 calendar days for the same injury or illness.

  • An LTLDA is not a right or entitlement, but is based on availability and operational needs.

  • An LTLDA shall be based on the employee’s medical limitation(s) or restriction(s), employee’s classification, and the needs of the Department.

  • Employees placed in an LTLDA shall maintain all mandatory professional licensure, certification, training, and qualifications appropriate to their regular-duty classification provided the professional licensure, certification, training, or qualifications are not in conflict with any documented medical limitation(s) or restriction(s).

  • An LTLDA would generally be to an assignment with limited inmate/parolee contact and less strenuous than the employee’s regular assignment.

  • It is the employee’s responsibility to provide immediate notice if restriction(s) or limitation(s) change. An LTLDA may not be authorized if the employee’s health care provider fails to specify a termination date of the limitation(s) or restriction(s).

  • The HA may request a Department-ordered Fitness for Duty Evaluation (per GCGovernment Code 19253.5) if the potential exists that the employee’s medical limitation(s) or restriction(s) may bedeemed permanent.

  • Duties and/or essential functions associated with LTLDA shall be made available to the health care provider.

  • For institutions, the HA shall establish and maintain a DOMDepartment Operations Manual Supplement.

  • The RTWCReturn To Work Coordinator and HA or designee shall work together to: (1) identify a potentialLTLDA, (2) monitor and track the duration of approved LTLDAs, and (3) document approved LTLDAs in writing to include acknowledgement between the employee, the employee’s LTLDA Supervisor and the HA or designee, utilizing the CDCRCalifornia Department of Corrections and Rehabilitation Form 3050, Limited Term Light Duty or Temporary Modified Work Assignment – Offer, (4) monitor and process extension requests timely.

  • Upon identifying the LTLDA position or post and prior to placement, the employee shall be required to sign the CDCRCalifornia Department of Corrections and Rehabilitation Form 8019, Nepotism/Fraternization Policy Acknowledgement,per DOMDepartment Operations Manual Section 33010.25.

  • Employees shall not engage in outside employment that is inconsistent with their medical limitation(s) or restriction(s).

  • Overtime is not permitted while in an LTLDA.

  • Swaps are not permitted while in an LTLDA.

  • Order of the LTLDA priority will be determined by the date and time medical substantiation describing the employee’s limitation(s) or restriction(s) is received by the Return to Work Office (email, fax, in person). Tiebreakers shall be made by state service seniority.

  • Fraud, Misuse, or Abuse: Any employee who willfully makes false statements, misrepresents circumstances, or fails to disclose material facts, shall be subject to progressive discipline up to and including termination, in addition to civil, criminal, or pension consequences.

  • Refusal by an eligible employee to accept an LTLDA may result in the employee being placed on leave status, paid by using available leave credits, and/or unpaid, if the employee has limitation(s) or restriction(s) that prevent them from performing the essential functions of their position with or without an RA. Refusal may also result in the loss of workers’ compensation wage loss benefits, such as Industrial Disability Leave, Enhanced Industrial Disability Leave, or Temporary Disability.

  • All LTLDA denials (initial or extension requests) shall be submitted to the Division of Adult Institutions Associate Director or comparable Division designee within three business days for a second level review which will include RTWSS.

  • For California Correctional Health Care Services (CCHCS), LTLDA denials (initial or extension requests) that are appealed by the employee shall be submitted to CCHCS, Disability Management and Support Services, Section Chief, within three business days for a second level review which may include CCHCS Office of Legal Affairs and/or the HA.

31040.4.7.1 Fitness for Duty

• The purpose of a Fitness for Duty Evaluation is to determine the employee’s capability of performing the essential function(s) of his or her position and classification through a medical or mental health examination mandated by the HA, and performed by a Board certified physician. The results of this evaluation will be used to determine whether the employee has limitations on his or her ability to perform the essential function(s) of the employee’s position, or any other position in CDCRCalifornia Department of Corrections and Rehabilitation. (Government Code, Section 19253.5.)

• Any Fitness for Duty Evaluation processed by CDCRCalifornia Department of Corrections and Rehabilitation must be job-related and consistent with a business necessity. The evaluation must be limited to determining whether there are functional limitation(s) that require(s) RA.

• A Fitness for Duty Evaluation shall be considered, in consultation with OEW, for various reasons, including, but not limited to, the following:

  • The employee refuses to consent to communications between the RTWCReturn To Work Coordinator and his or her health care provider or to provide the requested medical documentation;

  • The employee’s health care provider refuses to review the list of essential functions and provide written documentation of the employee’s work restrictions;

  • Evidence that the employee with a disability has exhausted leave under the CFRA and/or FMLA, WCA, or other federal, State, or employer leave provisions, but is still unable to perform the essential functions of his or her position with or without a RA;

  • Evidence from a third party, or information from the employee directly, that, due to medical or psychological limitations, he or she cannot perform the essential function(s) of his or her position with or without a RA;

  • The employee displays behavior that causes a safety or security concern for himself or herself, and/or the staff, inmates, wards, or parolees;

  • The employee or employee’s health care provider(s) submits insufficient medical information, after requests from the RTWCReturn To Work Coordinator to the employee or his or her health care provider(s);

    • Sufficient medical information should include: documentation of the existence of functional limitations affecting the employee’s ability to perform the essential functions of his or her position; the need for a RA; the estimated duration of the RA; and the health care provider’s expertise to certify the employee’s functional limitations or need for a RA;

  • The medical documentation is not from a health care provider with the expertise to certify the employee’s functional limitations or need for a RA;

  • Conflicting or disputed medical information is received from health care providers or experts;

  • Indication that the medical documentation is fraudulent; or

  • The employee is not treated by a health care provider, as defined in Section 31040.4.3.9.

• Prior to ordering a Fitness for Duty Evaluation on an employee, approval must be obtained from the EHW, Associate Director, who will review the information submitted by the HA justifying the need for the Fitness for Duty Evaluation. The HA must be able to articulate the reasons for the evaluation that:

  • Are job related; and

  • Indicate the employee may jeopardize the safety or security of the institution, facility or program; or

  • Create a credible question about the employee’s ability to perform the essential functions of their job, with or without a RA.

• After the HA, in consultation with OEW, approves the Fitness for Duty Evaluation, the local RTWCReturn To Work Coordinator shall work with the OEW to procure the Fitness for Duty Evaluation provider.

• Upon receipt of the Fitness for Duty Evaluation report, the HA and designated institution staff (i.e. RTWCReturn To Work Coordinator or designee) shall consult with the assigned OEW Liaison Analyst, Manager, and EHW, Associate Director, along with the assigned OLAOffice of Legal Affairs Attorney, if necessary, to analyze and discuss the findings, a possible plan for the employee’s return-to-work, or other options as follows:

  • Resuming the interactive process discussions with the employee and reviewing available options;

  • Identifying if the employee needs an accommodation; or

  • If the employee is unable to return-to-work to his or her classification with or without a RA, a transfer, demotion, disability retirement, or termination shall be explored, and appropriate action shall be taken, consistent with Government Code, Section 19253.5.

31040.4.8 Temporary Modified Work Assignment

• A TMWA temporarily allows an employee with documented temporary medical limitation(s) or restriction(s), which affect the ability to perform one or more of the essential functions, and requires the waiver of one or more essential functions of the employee’s current classification and position, to remain working or return to work after an injury or illness. A TMWA is intended for utilization when employees cannot be accommodated with an RA or an LTLDA, and provides employees the opportunity of a temporary assignment with duties that meet the employee’s documented medical limitation(s) or restriction(s).

  • The HA may authorize a TMWA without regards to the employee’s classification or position.  A TMWA is only offered as a transitional, short-term program to employees who are expected to be returned to regular-duty status within the time frames specified in this section.

  • A TMWA shall not exceed 90 calendar days. Extensions will be considered case-by-case, based on a written request from the employee and supporting documentation from the employee’s health care provider.  However, in no circumstance shall an extension be granted if it would make the total duration of a TMWA, LTLDA, or any combination of the two, exceed 360 calendar days for the same injury or illness.

  • A TMWA is not a right or entitlement, but is based on availability and operational needs.

  • TMWAs shall be based on the employee’s medical limitation(s) or restriction(s), and the needs of the Department.

  • Employees placed in a TMWA shall maintain all mandatory professional licensure, certification, training, and qualifications appropriate to their regular-duty classification provided the professional licensure, certification, training, or qualifications are not in conflict with any documented medical limitation(s) or restriction(s).

  • Employees resuming regular-duty shall be retrained when applicable.

  • TMWAs would generally be to assignments with limited inmate/parolee contact and less strenuous than the employee’s regular assignment.

  • A vacant position or post is not needed when assigning a TMWA.

  • Probationary employees who are placed in a TMWA shall be considered temporarily absent from their appointment classification and shall be subject to the probationary period extension provisions of CCRCalifornia Code of Regulations Title 2, Article 14, Section 321.

  • It is the employee’s responsibility to provide immediate notice if restriction(s) or limitation(s) change. A TMWA may not be authorized if the employee’s health care provider fails to specify a termination date of the limitation(s) or restriction(s).

  • The HA may request a Department-ordered Fitness for Duty Evaluation (per GCGovernment Code 19253.5) if the potential exists that the employee’s medical limitation(s) or restriction(s) may bedeemed permanent.

  • Duties and/or essential functions associated with a TMWA shall be made available to the health care provider.

  • For institutions, the HA shall establish and maintain a DOMDepartment Operations Manual Supplement.

  • The RTWCReturn To Work Coordinator and HA or designee shall work together to: (1) identify a potential TMWA, (2) monitor and track the duration of approved TMWAs, and (3) document approved TMWAs in writing to include acknowledgement between the employee, the employee’s TMWA Supervisor, and the HA or designee, utilizing the CDCRCalifornia Department of Corrections and Rehabilitation Form 3050, (4) monitor and process extensionrequests timely.

  • Upon identifying a TMWA and prior to placement, the employee shall be required to sign the CDCRCalifornia Department of Corrections and Rehabilitation Form 8019, per DOMDepartment Operations Manual Section 33010.25.

  • If an employee is assigned to a TMWA and an LTLDA subsequently becomes available which meets their medical limitation(s) or restriction(s), the employee will be moved to the available LTLDA.

  • Peace Officer employees shall only perform non-peace officer functions while assigned to a TMWA. During a TMWA post or shift, employees shall not wear a uniform, shall not display a badge, and shall not use or have under their control safety equipment, including but not limited to, restraint gear, chemical agents, batons, firearms, or operate an enforcement vehicle.

  • Employees assigned to a TMWA will essentially be an extra employee working in an assigned area with temporary additional workload needs performing meaningful work. The number of TMWA available will vary dependent on the level of meaningful work available at individual work locations.

  • Employees shall not engage in outside employment that is inconsistent with their medical limitation(s) or restriction(s).

  • Overtime is not permitted while in a TMWA.

  • Swaps are not permitted while in a TMWA.

  • Eligibility for pay differentials may change while in a TMWA.

  • Eligibility for a range change may change or be delayed while in a TMWA.

  • Order of the TMWA priority will be determined by the date and time medical substantiation describing the employee’s limitation(s) or restriction(s) is received by the Return to Work Office (email, fax, in person). Tiebreakers shall be made by state service seniority.

  • Fraud, Misuse, or Abuse: Any employee who willfully makes false statements, misrepresents circumstances, or fails to disclose material facts, shall be subject to progressive discipline up to and including termination, in addition to civil, criminal, or pension consequences.

  • Refusal by an eligible employee to accept a TMWA may result in the employee being placed on leave status, paid by using available leave credits, and/or unpaid, if the employee has limitation(s) or restriction(s) that prevent them from performing the essential functions of their position with or without an RA. Refusal may also result in the loss of workers’ compensation wage loss benefits, such as Industrial Disability Leave, Enhanced Industrial Disability Leave, or Temporary Disability.

  • All TMWA denials (initial or extension requests) shall be submitted to the Division of Adult Institutions Associate Director or comparable Division designee within three business days for a second level review which will include RTWSS.

  • For CCHCS, TMWA denials (initial or extension requests) that are appealed by the employee shall be submitted to the CCHCS, Disability Management and Support Services, Section Chief, within three business days for a second level review which may include CCHCS Office of Legal Affairs and/or the hiring authority.

31040.4.9 Medical Rejection on Probation

• A probationary employee may be rejected during probation for medical reasons if it is determined that the employee has functional limitations that prevent the employee from performing the essential functions of his or her job, with or without a RA.

• A medical rejection on probation shall require the approval of the HA, after consulting with the EHW, Associate Director.

31040.4.10 Disability Retirement

• It is the policy of the CDCRCalifornia Department of Corrections and Rehabilitation to comply with State of California disability retirement laws and to provide information regarding disability retirement benefits through the California Public Employees’ Retirement System (CalPERS) to an employee, upon request, or when the employee can no longer perform the essential functions of his or her position with or without a RA. Disability retirement, if approved, allows for a monthly pension and continuation of health benefits.

• Disability Retirement is a benefit for employees of the State of California as defined under the Government Code, Sections 21150-21176. The CalPERS determines an employee’s eligibility for a disability retirement. Eligibility is determined upon receipt of an application for disability retirement and medical evidence that a member is substantially incapacitated from his or her usual duties. If the employee is eligible, CalPERS provides a monthly retirement allowance payable to the employee for life, or until recovery from a disabling injury or illness allows a person to return to his or her previous employment.

• If the disability is the result of a job-related illness or injury, and the employee is a State safety, State peace officer/firefighter, or State industrial member, he or she may be entitled to an industrial disability retirement.

• Employees shall be informed that disability retirement and industrial disability retirement are considered temporary separations resulting in mandatory reinstatement rights to their classifications, should they recover from the disabling injury or illness and are able to perform the essential functions of their previously held positions or classifications. There is no minimum age requirement for disability or industrial disability retirement, and no minimum service requirement for an industrial disability retirement.

• If the HA, after considering the conclusions of medical reports from the employee’s health care provider(s) or the results of a Fitness for Duty Evaluation, concludes that the employee is unable to perform the work of his or her present position, or any other position in the CDCRCalifornia Department of Corrections and Rehabilitation, and the employee is eligible and does not waive the right to retire for disability, the HA shall file an application for disability retirement on the employee’s behalf. The HA shall give the employee 15 calendar days written notice of its intention to file such an application and a reasonable opportunity to respond to the appointing power prior to the appointing power’s filing of the application. (Government Code, Section 19253.5.) Upon filing the application for disability retirement, the HA may remove the employee from the job and place the employee on involuntary leave status. The employee may use any accrued leave during the period of the involuntary leave. If the employee’s leave credits and other entitlements are exhausted, or if they do not provide benefits at least equal to the estimated retirement allowance, the HA shall pay the employee an additional temporary disability allowance, so that the employee receives payment equal to the retirement allowance. CDCRCalifornia Department of Corrections and Rehabilitation shall continue to make all employer contributions to the employee’s health plans during the period of the involuntary leave. (Government Code, Section 19253.5.) CDCRCalifornia Department of Corrections and Rehabilitation shall submit an employer-generated disability retirement application on behalf of an employee if all of the following occur:

  • The employee is vested and entitled to retirement benefits through CalPERS and has not waived his or her right to those benefits;

  • The employee is unable to perform the essential function(s) of his or her position, or any other position within the CDCRCalifornia Department of Corrections and Rehabilitation statewide; and

  • There is no RA available in his or her current, or any other, position. (Refer to Section 31040.4.5.) All applications for disability retirement filed on behalf of an employee must be approved by the EHW, Associate Director, and are processed through the OEW, with the assistance of the assigned RTWCReturn To Work Coordinator and the HA.

• Upon receipt of a notification that an employee’s application for disability or industrial disability retirement has been denied, and the employee has not previously service retired, the HA and RTWCReturn To Work Coordinator must take immediate steps to determine if the employee will be returned to pay status. In consultation with the RTWCReturn To Work Coordinator, the HA shall immediately contact the employee, in writing, to inquire whether the employee wishes to return to work and arrange for a reporting date. The employee will remain off pay-status only if he or she advises of his or her intent to appeal CalPERS’ decision or provide a current off-work health care provider’s note, at which point the interactive process resumes. If the employee states an intent to return to work and the HA questions the employee’s ability to safely perform all essential functions of the job, the HA or RTWCReturn To Work Coordinator shall contact their OEW liaison/analyst immediately for guidance.

• If the HA has evidence, after an employee’s return to work from retirement, that an employee is unable to perform the essential function(s) of the employee’s position, with or without a RA, or if the employee’s continued employment adversely impacts CDCRCalifornia Department of Corrections and Rehabilitation operations, because the employee’s behavior creates an imminent risk for others in the workplace, the HA shall request a Fitness for Duty Evaluation, subject to OEW’s approval. (Refer to Section 31040.4.8.)

31040.4.11 Medical Termination

• For an employee who, due to a disability or medical condition, has work restrictions that prevent him or her from performing the essential functions of his or her job, or any job in CDCRCalifornia Department of Corrections and Rehabilitation, either with or without a RA, and is not vested through CalPERS, or otherwise waives his or her right to disability retire, it is the policy of the CDCRCalifornia Department of Corrections and Rehabilitation to process a medical termination from State employment. This is an administrative action that separates an employee when all other medical options (e.g., RA, medical leave of absence provided under CFRA or FMLA, or disability retirement) have been exhausted, or discussed with the employee and determined inappropriate under the specific circumstances of the employee’s employment status and medical condition or disability.

• A medical termination shall be considered only if all of the following apply:

  • The employee can no longer perform the essential functions of his or her classification with or without a RA;

  • There are no funded, vacant positions in the employee’s current classification for which the employee is qualified and can perform the essential functions with or without a RA;

  • The employee is unable to perform the essential functions of any other position in the CDCRCalifornia Department of Corrections and Rehabilitation anywhere in the State, for which he or she meets the minimum qualifications, with or without a RA;

  • CDCRCalifornia Department of Corrections and Rehabilitation cannot provide a RA without undue hardship; and

  • The employee: is ineligible for, or waives the right to, disability retirement; refuses to cooperate when CDCRCalifornia Department of Corrections and Rehabilitation files for disability retirement on his or her behalf or has been denied disability retirement (after waiving or exhausting his or her appeal rights), and still refuses; or is unable, for medical reasons, to return to work.

• Prior to the HA serving a notice of medical termination on an employee, consultation with the EHW, Associate Director, or RTWSS Chief, shall occur, including the review of appropriate documentation (including, but not limited to, the employee’s request for RA, documentation of the interactive process, medical reports, and a list of essential functions of the employee’s job/position). OEW, in consultation with the OLAOffice of Legal Affairs, will draft the appropriate Notice of Medical Action – Termination document and forward it to the HA for finalization, signature, and service to the employee. This document shall give the employee written notice of the medical action and appeal rights, at least 15 calendar days prior to the effective date of the medical termination.

31040.4.12 Reinstatement

• An employee who is subjected to a medical action such as a demotion, termination, or disability retirement (voluntary or involuntary), retains mandatory reinstatement rights to the civil service position from which the medical action was taken. These rights may be exercised by the employee if the employee provides sufficient medical evidence that the functional limitations from which he or she previously suffered, and which impacted his or her ability to perform the essential functions of that classification, with or without a RA, are no longer present.

• An employee seeking mandatory reinstatement from disability retirement must initially seek approval from CalPERS. A request for such reinstatement, including all supporting medical documentation, must be addressed to the HA or assigned RTWCReturn To Work Coordinator, who shall then contact the OEW for assistance.

• An employee seeking reinstatement after a medical termination, transfer, or demotion must initially seek approval from the State Personnel Board (SPBState Personnel Board (see CalHR)). In approving or ordering the reinstatement, the SPBState Personnel Board (see CalHR) may require the satisfactory completion of a new probationary period.

31040.4.13 Other Options

• A disabled or injured employee, when he or she is unable to perform the essential functions of his or her current position, may be entitled to additional benefits or employment opportunities; such as, but not limited to, the following:

  • Unpaid leave under the CFRA or FMLA relating to a serious medical condition for up to 12 weeks;

  • An unpaid leave of absence for medical reasons, at the discretion of the HA, for a period not to exceed one year. Extension of an unpaid leave of absence for a rank-and-file employee may be granted in accordance with the applicable bargaining unit contract, federal and State laws. Prior California Department of Human Resources’ approval is required for an extension of an unpaid leave of absence beyond one year for excluded employees. CDCRCalifornia Department of Corrections and Rehabilitation is not required to provide an indefinite leave of absence as a RA;

  • Use of existing leave balances;

  • Pregnancy leave for up to four months, with a right to return to the original or exact same job, if the position still exists;

  • Non-Industrial Disability Insurance payments administered by the California Employment Development Department (EDDEmployment Development Department);

  • State Disability Insurance payments administered by EDDEmployment Development Department;

  • Temporary Total Disability/Industrial Disability Leave for workers’ compensation injuries administered and adjusted through the State Compensation Insurance Fund; or

  • Voluntary medical termination.

31040.5 Substance Abuse Testing Programs

31040.5.1 Policy

• It is the policy of the CDCRCalifornia Department of Corrections and Rehabilitation that employees comply with the departmental substance testing programs. The Department’s commitment is to help ensure that the workplace is free from the effects of drug and alcohol abuse.

31040.5.2 Purpose

• The purpose of this policy is to provide information regarding the administration of the staff substance testing program for the purpose of clarity and uniformity within the Department. The Substance Abuse Testing Section (SATS) is responsible for maintaining and coordinating the CDCRCalifornia Department of Corrections and Rehabilitation’s staff substance testing programs and policies. The SATS was developed to meet the substance testing requirements of Governor’s Executive Order D-58-86, the Federal Department of Transportation (DOTLabor Dictionary of Occupational Titles) regulations, California Department of Human Resources (CalHRCalifornia Department of Human Resources (formerly DPA and SPB)) rules, collective bargaining agreements and the State’s Implemented Terms.

• The testing programs include: Federal DOTLabor Dictionary of Occupational Titles (for safety sensitive commercial drivers); Bargaining Unit 6 Peace Officers (covered by Memorandum of Understanding (MOUMemorandum Of Understanding) or the State’s Implemented Terms); Excluded and Exempt Peace Officers, and reasonable suspicion.

31040.5.3 Substance Abuse Programs – Defined

• Substance collecting and testing is conducted in accordance with standards established by the Substance Abuse and Mental Health Service Administration (SAMHSA), the Federal Motor Carrier Safety Administration and accepted industry standards approved by the CalHRCalifornia Department of Human Resources (formerly DPA and SPB). Alcohol testing is conducted using an evidential breath testing device and the method of determining the presence of a drug is by collection and analysis of a urine sample.

  • Federal Department of Transportation (Safety Sensitive Commercial Drivers)

    • Under the Federal DOTLabor Dictionary of Occupational Titles regulations, departmental employees who must possess a Commercial Driver’s License and are performing safety sensitive duties are subject to drug and alcohol testing requirements. These requirements include random, reasonable suspicion, pre-employment, post accident, pre-duty, return-to-duty, and follow-up testing. Employees whose vehicles meet the Federal requirements for testing for a commercial driver include those required to operate a vehicle with a gross vehicle weight rating in excess of 26,000 pounds; those required to drive a vehicle designed to carry 16 or more passengers (including the driver); or those required to operate a vehicle of any size when used in the transportation of a placardable amount of hazardous material.

    • CDCRCalifornia Department of Corrections and Rehabilitation employees in the DOTLabor Dictionary of Occupational Titles program are in a consortium pool of commercial drivers stored at the CalHRCalifornia Department of Human Resources (formerly DPA and SPB) with other State departments. Names are randomly selected by the CalHRCalifornia Department of Human Resources (formerly DPA and SPB)’s computer software program. The SATS obtains the testing notices from CalHRCalifornia Department of Human Resources (formerly DPA and SPB)’s Testing Program Coordinator and forwards them to the Local Substance Abuse Testing Coordinator for distribution.

    • In addition to random substance testing, a negative substance test result is required prior to assignment to safety sensitive functions as follows:

    • Pre-Duty

      • Prior to a current employee being assigned to a position requiring the operation of a commercial motor vehicle, they must submit to a controlled substance and alcohol test. The negative test result must be found prior to the first day in the assignment.

    • Pre-Employment

      • A pre-employment controlled substance test will be required of any new hire including list appointments, transfers, reinstatements, and retired annuitants following a break in service prior to appointment to a safety sensitive position. A negative test result must be found prior to the first day of performing a safety sensitive function.

      • Other types of safety sensitive driver testing:

    • Post-Accident

      • Following an accident involving a commercial motor vehicle, a post-accident test will be administered to the commercial driver if either of the following exists: 1) the driver was performing a safety sensitive function involving the vehicle and the accident involved a loss of human life; or 2) the driver received a citation under State or local law for a moving traffic violation arising from the accident and the accident resulted in bodily injury with immediate medical treatment away from the scene and/or resulted in disabling damage to any vehicle requiring the vehicle to be transported or towed.

    • Return-to-Duty

      • Employees who have engaged in prohibited conduct under the federal DOTLabor Dictionary of Occupational Titles regulations must submit to and pass a return-to-duty test prior to resuming the performance of safety sensitive duties.

    • Follow-Up

      • Following a determination that a driver is in need of assistance, each employer shall ensure that the driver is subject to a minimum of six unannounced follow-up alcohol and/or controlled substance tests during the first twelve months following their return to work as directed by a Substance Abuse Professional (SAP) service. DOTLabor Dictionary of Occupational Titles regulations require than an employee who tests positive for drugs and/or alcohol must be referred to a SAP for evaluation. If it is determined that education or treatment is needed, the SAP will refer the employee to an appropriate program and follow-up to ensure completion.

    • Bargaining Unit 6 Peace Officers

      • Random drug and alcohol testing conducted per prevailing MOUMemorandum Of Understanding or the State’s Implemented Terms.

    • Excluded and Exempt Peace Officers

      • California Code of Regulations (CCRCalifornia Code of Regulations) 599.960 – 599.966 require random drug and alcohol testing of excluded and exempt State employees who are peace officers under Part 2, Title 3, Chapter 4.5, Sections 830.2(d) and 830.5, of the Penal Code.

    • Reasonable Suspicion

      • Departmental employees designated by the CDCRCalifornia Department of Corrections and Rehabilitation as working in sensitive positions may be tested for reasonable suspicion. Reasonable suspicion is the good faith belief based on specific articulable facts or evidence that an employee may have violated the policy prescribed in CCRCalifornia Code of Regulations 599.960(b) and that
        substance testing could reveal evidence related to that violation. Reasonable suspicion provisions exist only when an employee is on duty or on standby for duty. A finding of reasonable suspicion is based on direct observation concerning the appearance, behavior, speech, and/or body odor of the employee. These findings must be documented using the Reasonable Suspicion Checklist (CDCRCalifornia Department of Corrections and Rehabilitation Form 1874).

      • Sensitive positions include all departmental peace officer positions, as defined beginning with Section 830 of the Penal Code, and all civil service positions located at a State correctional institution, juvenile facility, camp, correctional hospital, parole outpatient clinic, parole office, and community correctional facility.

31040.5.4 Substance Abuse Testing Section – Administration

• The SATS is responsible for establishing and maintaining the CDCRCalifornia Department of Corrections and Rehabilitation’s staff substance abuse testing programs and has the following primary responsibilities:

  • Coordinates the implementation, compliance, and auditing of the SATS’ policies and procedures for the substance testing programs.

  • Maintains random pool databases and executes random selections. The SATS with the Institution Personnel Officers and Office of Personnel Services, properly maintains the pools of eligible employees for the various testing programs; and executes, distributes, and coordinates with the field the random draws for the DOTLabor Dictionary of Occupational Titles (executed by CalHRCalifornia Department of Human Resources (formerly DPA and SPB)), BU 6 (database located at CalHRCalifornia Department of Human Resources (formerly DPA and SPB)) and the Excluded and Exempt Peace Officer testing programs. Names are randomly selected by a computer software program and are forwarded by the SATS to the Local Substance Abuse Testing Coordinator for distribution.

    • Provides training and education to departmental management and staff in accordance with the requirements cited in DOMDepartment Operations Manual Section 31040.5.1. Training includes New Employee Orientation, Basic Supervision, Advanced Supervision, Management Training, and the Parole Academy. On-site training is also provided for Local Substance Abuse Testing Coordinators, Designees and Administrative Officers of the Day, as well as managers, supervisors, and executive staff.

    • Provides timely and appropriate management consultation and technical assistance to departmental management and staff.

    • Acts as a liaison with other appropriate State departments and outside contractors.

• Local Substance Abuse Testing Coordinator

  • The Local Substance Abuse Testing Coordinator (LSATC) has the overall responsibility of coordinating the testing program at the local facility and consulting with the SATS regarding policies and procedures. The LSATC notifies supervisors of staff scheduled for tests (the SATS coordinates the testing when the LSATC is selected for random testing), receives test results from the SATS and informs the appointing authority or the Designee of a positive test result. The LSATC is also responsible for maintaining a current list of DOTLabor Dictionary of Occupational Titles commercial drivers for their facility.

• Designee

  • An individual at a classification no lower than management. The Designee shall act as the management representative who is the final authority in determining whether reasonable suspicion exists. The Designee makes the decision whether substance testing will be conducted. If the Designee is not available, the Administrative Officer of the Day may act in the capacity of the Designee provided they have been trained by the SATS in this regard. A Designee shall be available every day of the year.

31040.5.5 Substance Abuse Testing Section – Policy Notification

• Bargaining Unit 6 Peace Officers, Excluded and Exempt Peace Officers, and Sensitive Positions

  • Prior to inclusion in a pool, each employee in a random testing pool must be given the testing policy and procedures and the EAPEmployee Assistance Program pamphlet. In acknowledgment of receipt and understanding of the aforementioned, employees are required to sign a Rank and File (BU 6) Signature Sheet (CDCRCalifornia Department of Corrections and Rehabilitation Form 1889) or an Excluded and Exempt Peace Officers Signature Sheet (CDCRCalifornia Department of Corrections and Rehabilitation Form 1889A). Employees who could be tested for reasonable suspicion must sign the Notice of Possible Substance Abuse and Alcohol Testing for Designated Sensitive Positions (CDCRCalifornia Department of Corrections and Rehabilitation Form 1875). All employees subject to substance testing are required to sign a bulletin that includes advisory information on the use of drugs obtained in a foreign country.

  • An Employee Substance Testing Education Video is available for viewing in the In-Service Training Office. Division of Adult Parole Operations personnel are directed to contact their designated LSATC to view the video. All other locations should contact the SATS to view the video.

• Safety Sensitive Commercial Drivers

  • Prior to appointment to a safety sensitive driving position requiring a Commercial Driver’s License, the applicant will be notified of the DOTLabor Dictionary of Occupational Titles pre-employment testing requirements at the time of interview. Hiring commitments are contingent on a negative test result. The applicant will be provided the DOTLabor Dictionary of Occupational Titles alcohol and drug rules, CDCRCalifornia Department of Corrections and Rehabilitation policy, substance abuse professional service counseling information, and the EAPEmployee Assistance Program pamphlet. Upon a negative test result, the applicant is to complete the Federal DOTLabor Dictionary of Occupational Titles Employee Signature Sheet (CDCRCalifornia Department of Corrections and Rehabilitation Form 1888), if hired.

31040.6 Revisions

• The Associate Director, Office of Employee Health Management, or their designee shall ensure that the content of this Article is accurate and current.  

References

• Government Code Sections 3527(b), 12926, 12940, 12945, 19050.8, 19170, 19253.5, 19253.5(1)(d), 19261, 19572, and 19991.6.

•  California Labor Code Sections 139.48, 1030 – 1033, and 6400 – 6413. 

• CCRCalifornia Code of Regulations, Title 15, Sections 3391, and 3436. 

• CCRCalifornia Code of Regulations, Title 8, Sections 3203, 5110 and 14300 – 14400. 

• CCRCalifornia Code of Regulations, Title 2, Sections 52.3, 53.2, 321, 426, 11035 et seq., 11065, 11066, 11087, and 11093. 

• DOTLabor Dictionary of Occupational Titles, Federal Motor Carrier Safety Regulations, Controlled Substances and Alcohol Use and Testing, Part 382, Title 49, Code of Federal Regulations, Part 40. 

• U.S.United States Occupational Safety and Health Act of 1970, 29 USC 654. 

• SAMHSA, Mandatory Guidelines for Federal Workplace Drug Testing Programs,  
  Sub-part B, Section 2.4, Parts, (e) and (f), 59 Federal Register 29916. 

• DPADepartment of Personnel Administration (see CalHR), Article 29, Substance Abuse, Rules 599.960 – 599.966. 

• Governor’s Executive Order D-58-86. 

• State of California Penal Code Part 2, Title 3, Chapter 4.5, Sections 830.2(d) and 830.5. 

• FMLA 29 U.S.C. 2601, et seq. & FMLA regulations, 29 CFR 825 

• Pregnancy Discrimination Act of 1978 

• Prevailing MOUMemorandum Of Understanding.

• State’s Implemented Terms.

• References specific to Return to Work Programs: 

• 29 U.S.C. § 2601 et seq.; 38 U.S.C. §§ 4301 et seq.; 42 U.S.C. §§ 12101-12213; 

• 20 C.F.R. §§ 1002.198, 1002.225, 1002.226;

• Civil Code, § 56.20(a);  

• Government Code, §§ 12900-12993, 19253.5, 19991.1, 19786, 21150 – 21176;  

• Labor Code, §§ 1030-1033;  

• CCRCalifornia Code of Regulations, Title 2, §§ 11035, 11040, 11042, 11050, 11065, 11067, 11068, 11069; 

• CCRCalifornia Code of Regulations, Title 15, § 3436. 

Revision History

• Revised: May 7, 2012.

• Revised Sections 31040.4 and 31040.7: June 15, 2015.

• Revised: Sections 31040.4.4.4, 31040.4.4.5, 31040.4.7, and 31040.7:
  July 1, 2020.

• Effective: Section 31040.4.8: July 1, 2020.

• Revised Subsection 31040.4.6 February 18, 2021. 

• Sections 31040.3 through 31040.3.2.14 are deleted: September 13, 2021.

• Revised Subsections: 31040.4.3.2 and 31040.6: December 29, 2023. 

31050.1 Policy

• The Department shall work closely with colleges and universities of the State and participate in federally funded programs to maximize the effectiveness and efficiency of correctional programs and for the betterment of persons received as staff from these resources. Through liaison with colleges and universities, the Department shall:

  • Recruit academically qualified employees.

  • Provide for the academic and professional development of existing employees.

  • Make correctional goals and methods known to the academic community by:

    • Increasing and coordinating departmental employee contact with various college and university departments which have an interest in correctional programs (Social Welfare, Criminology, Sociology, Police Science, etc.).

    • Encouraging cooperative training efforts such as courses offered in correctional facilities and use of departmental employees as guest lecturers or instructors on campus.

    • Providing for the placement of students who are interested in a correctional career.

31050.2 Purpose

• This section describes job classifications and federally funded programs for the recruitment and development of paraprofessional employees.

31050.3 Responsibility

• Hiring authorities shall develop and implement evaluative techniques and methods for the selection and assignment of paraprofessional employees.

• The Department’s TSBTraining Services Branch and the HRS shall assist by providing whatever material, information, etc., is needed to carry out plans regarding college liaison or intern and training programs.

31050.4 Federally Funded Programs

• The Work Incentive Program (WIN) is administered jointly by the U.S.United States Departments of Labor and Health and Human Services. The Department’s Selection and Standards Branch coordinates all departmental involvement in the WIN program.

• Work Incentive Program

  • The Department participates in two types of WIN training:

    • OJTOn-the-Job Training experience. The Department contracts with WIN to provide a work situation wherein enrollees can prepare for and obtain permanent employment. Under this program, WIN enrollees receive their regular grant from local welfare departments and incentive pay from WIN.

    • Focused Recruitment Program (FRP). Under this Career Opportunity Development Program, the Department contracts with the Employment Development Department and the SPBState Personnel Board (see CalHR) to hire WIN eligibles.

• The Department’s Selection and Standards Branch recruits, tests, and hires the departmental FRP personnel. This branch advises facilities of the identity of FRP personnel, and provides instructions on billing SPBState Personnel Board (see CalHR) for their 80 percent contribution to FRP personnel’s salaries.

31050.5 Job Classifications

• Appointment to these job classifications depends upon the number of positions available through funds acquired from State resources. The positions are nontesting, nonstatus classes and temporary in nature.

  • Student Intern

    • This program is designed for the student who desires to extend the learning experience to include actual work assignments in the correctional setting. Applicants shall be enrolled in an accredited college program. The positions are not civil service and are not salaried. However, most colleges allow units of credit for this type of experience. Tenure may be for several weeks or months.

  • Student Assistant

    • The student assistant assists regular departmental employees in services such as psychological, sociological, educational or administrative; assists in experimental and research projects by gathering data; observes and reports on departmental methods and procedures. Candidates shall produce proof of application for, or enrollment as a student in an appropriate college or university program. Work assigned to incumbents shall be directly related to their college curriculum and academic goals.

  • Graduate Student

    • This temporary authorization class is designed to provide currently enrolled graduate students with an opportunity to familiarize themselves with the State’s professional work, consistent with their course of study. The major Department use of the class has been in the law student program.

  • Professional Intern

    • There are several ways to qualify for the class of professional intern; the most typical being registration in a recognized college or university. The professional intern functions in much the same capacity as the student assistant; however, as experience and training are acquired, responsibilities are increased. The class is nonsalaried, but maintenance items such as employee quarters may be provided if available. The local business manager and personnel representative act as coordinators for this type of appointment.

31050.6 Revisions

• The Deputy Director, ASDSee Division of Administrative Services (DAS) (see ASB), or designee shall be responsible for ensuring that the contents of this article are kept current and accurate.

31050.7 References

• None.

31060.1 Policy

• Personnel appointments shall be accomplished in a uniform manner consistent with applicable laws, policies, and sound personnel practices.

31060.2 Purpose

• This Section outlines the procedures and requirements that shall be followed for personnel appointments.

31060.3 Power of Appointment

• The Agency Secretary is the appointing authority for all civil service positions in the California Department of Corrections and Rehabilitation (CDCRCalifornia Department of Corrections and Rehabilitation).  The Receiver is the appointing authority for all civil service positions in the California Correctional Health Care Services (CCHCS).

• Hiring Authority – The following are delegated authority by the Agency Secretary to make civil service appointments:

  • For CDCRCalifornia Department of Corrections and Rehabilitation:

    • Undersecretaries.

    • Assistant Secretaries.

    • Directors.

    • Deputy Directors.

    • Associate Directors.

    • Wardens.

    • Regional Personnel Administrators.

    • General Manager, California Prison Industry Authority.

  • For CCHCS:

    • Chief Deputy Receiver.

    • Undersecretary.

    • Directors.

    • Deputy Directors.

    • Assistant Deputy Directors.

    • Regional Health Care Executives.

    • Chief Executive Officer.

• In accordance with 28 Code of Federal Regulations (CFR), part 115, standard 115.17, Hiring Authorities shall not hire or promote anyone whose job duties may put them in contact with inmates, who:

  • Have engaged in sexual abuse of an inmate in a prison, jail, lockup, community confinement facility, juvenile facility, or other institution;

  • Have been convicted of engaging or attempting to engage in sexual activity in the community facilitated by force, overt or implied threats of force or coercion, or if the victim did not consent or was unable to consent or refuse; or

  • Have been civilly or administratively adjudicated to have engaged in the activity described immediately above.

• Hiring Authorities shall:

  • Implement and enforce departmental Equal Employment Opportunity (EEOEqual Employment Opportunity Office (see Office of Internal Affairs)) policy.

  • Maintain the highest standards of personnel selection.

  • Ensure that women and ethnic minorities are represented whenever possible on all interview panels, including examination and hiring interviews.

  • Consider substantiated incidents of sexual harassment in all hiring decisions.

  • Provide new and prospective employees with an explanation of the following:

    • A summary of the applicable civil service position, with salary ranges and steps.

    • Information describing where on the California Department of Human Resources website new and prospective employees will find the following:

      • Information on benefits afforded to employees by membership in the Public Employees’ Retirement System.

      • Benefits and protections provided to public employees per the State Civil Service Act.

  • Ask all applicants and employees who may have contact with inmates directly about previous staff sexual abuse and sexual harassment of inmates, in written applications or interviews for hiring or promotions and in any interviews or written self-evaluations as part of reviews of
    current employees.

• Except for appointments requiring approval of the Agency Secretary or the Director, the hiring authority’s signature constitutes departmental approval on all appointment documents.

• Managers and Supervisors – Managers and supervisors shall work with the headquarters personnel analyst assigned to their program, their Institutional Personnel Officer and business manager to ensure:

  • Submittal of accurate job descriptions and organization charts, when required, with proposals for personnel actions, (i.e., establishing new positions, reclassifying existing positions).

  • Clarification of questionable personnel issues (i.e., appropriate classification, use ofhiring lists).

  • Appropriate action is taken for personnel commitments or changes in new/borderline areas.

  • Appointment procedures and practices are consistent with the EEOEqual Employment Opportunity Office (see Office of Internal Affairs) policy of the Department (see DOMDepartment Operations Manual Section 31010).

  • Women and ethnic minorities are represented on all hiring interview panels whenever possible.

  • Employment references are conducted with all prior institutional employers to gather information on substantiated allegations of staff sexual abuse or any resignation during a pending investigation of an allegation of staff sexual abuse.  The efforts made shall be documented on the reference check form.

  • Documentation on CDCRCalifornia Department of Corrections and Rehabilitation forms shall be retained for review regarding the gender and ethnic composition of all interview panels, including both examination and hiring interviews.  Such documentation shall include justification in all instances in which gender or ethnic representation for an interview panel was not possible.

  • New and prospective employees are supplied with the summary of applicable civil service benefits prior to a formalized job offer.

  • Quarterly progress reports are submitted to appropriate division administration noting and justifying all exceptions in which representation of women or ethnic minorities was not possible for a specific interview panel.

31060.4 Appointments Requiring Agency

• Exempt appointments require the approval of the Agency Secretary, YACA.

31060.4.1 Exempt Appointments

• For exempt appointments, the hiring authority shall forward the following documents to the Personnel Operations Section.

• Hiring Authority Responsibility

  • Standard (STDStandard Form (DGS)) Form 678, Application for Examination, and resume.

  • Duty statement and organization chart for the position.

  • Governor’s Office application form.

31060.4.2 Career Executive Assignment

• The procedure for processing Career Executive Assignment (CEACareer Executive Assignment) appointments is the same as for exempt appointments except:

  • The following documents are not required:

    • Duty statement and organization chart.

    • Governor’s Office application form.

  • The memorandum from the Director shall be addressed to the Agency Secretary, YACA.

31060.5 Appointments Requiring Director/ Chief Deputy Director Approval

• The Director of CDC retains appointing authority for all appointments designated as “managerial” under the Ralph C. Dills Act.

• Each hiring authority shall submit formal requests to appoint individuals to designated managerial positions. The “Approval-to-Appoint” memoranda shall be addressed to the Director/Chief Deputy Director and be routed through all appropriate management levels in the respective program area.

• This applies to all methods of appointment including:

  • Employment list appointment (Permanent or Limited-Term).

  • Temporary authorization.

  • Training and Development (T&DTraining and Development) assignments.

  • Transfers.

  • Permissive reinstatements.

• Emergency appointments, retired annuitant appointments, and mandatory reinstatements are exempt from these procedures.

• All the necessary appointment requirements such as position justification, appointment eligibility, budgetary approvals, and/or compliance with any freeze requirements (STDStandard Form (DGS) Form 607, Change in Established Positions; STDStandard Form (DGS) Form 625, Request for Certification; or CDC Form 647, CDC Personnel Action Request, as Appropriate), or the State Restriction of Appointment Procedures must be met prior to submission of the package to the Directorate.

• “Approval-to-Appoint” Time Frame

  • The “Approval-to-Appoint” request must be received by the Chief Deputy Director’s Office at Least two weeks prior to the requested date of appointment.

• Hiring Commitments

  • Final hiring commitments cannot be made until receipt of the Director’s/Chief Deputy Director’s approval.

• Approval Process

  • Upon the Director/Chief Deputy Director’s approval, the “Approval-to Appoint” package will be forwarded to the Assistant Deputy Director, OPMOffice of Personnel Management who will be responsible for notifying the appropriate Deputy Director and/or Warden so that the applicants and selected candidate can be notified.

  • The appointment shall be announced in the next issue of Correction News.

  • Disapproved requests shall be returned by the Director’s office through the appropriate management levels to the hiring authority.

31060.5.1 Civil Service Appointment at or Above Staff Services Manager I, Captain, and PA‑III

• The Director has delegated approval authority to the Deputy Directors for civil service appointments at or above the Staff Services Manager I (SSMStaff Services Manager-I) and PAProgram Administrator-III level.

• The hiring authority’s “Approval-to-Appoint” package shall include the following:

  • Contents of Request

    • Civil service classification of position to be filled, approved duty statement, and a current organization chart.

    • A description of the recruitment efforts made to attract applicants and a statement of the efforts make to fulfill the Department’s affirmative action goals.

    • A summary breakdown by ethnicity, gender, and disability of all candidates interviewed on CDC Form 973, Affirmative Action Report of Appointment. In compliance with GCGovernment Code 8310 and 18704, this summary shall no include names of the candidates. Instead, this summary should consist of generic characteristics (gender and ethnicity) of the candidates and any apparent disabilities.

    • A comparative analysis of the qualifications of at least the top three candidates.

    • The name of the individual recommended for appointment and a suggested date of appointment along with a statement of reasons for recommendation.

    • A current resume, the most recent performance evaluation (STDStandard Form (DGS) Form 636, Report for Probationary Employee, or STDStandard Form (DGS) Form 637, Individual Development Plan/Performance Appraisal Summary), and a Completed STDStandard Form (DGS) Form 678.

31060.5.2 Peace officer Supervisors – Other Than List Appointments

• Individuals appointed to the classification of Sergeant, other than by list appointment, must meet specific appointment criteria stipulated in an agreement with the union. In order to be laterally transferred or placed on a T&DTraining and Development assignment, individuals must meet the following criteria:

• Appointment to Sergeant

  • Two years of custodial experience performing duties comparable to those of Officer, Group Supervisor, Youth Counselor, or Senior MTA, Correctional Facility and Senior Medial Technical Assistant, and work performed in the P&CSDParole & Community Services Division (see DAPO)’s Return-to Custody and Work-Furlough facilities, as well as duties performed at city and municipal jails. Additionally, experience in the abolished Correctional Program Supervisor classification qualifies for credit towards the two-year requirement.

  • Custody experience approved by the Joint Apprenticeship Committee may also qualify for credit. For example, six months credit toward the two-year custody experience requirement will be given for individuals transferring from Parole Agent, Adult Parole classifications who have completed the two-Year apprenticeship program.

  • Proposed appointees who are not currently Department’ peace officers must meet all legal requirements to be a peace officer and be cleared for appointment by a background investigation and preemployment medical. Successful completion of the Basic Academy is also required unless previously completed.

• Proposed appointments to Sergeant positions, which are not list appointments or mandatory reinstatements must be approved in advance by the respective Deputy Director and the appropriate headquarters personnel operations analyst. Only appointments from employment lists, mandatory reinstatements, or of individuals who have clearly served two or more years in an Officer position do not require advance headquarters approval.

• Appointment to Lieutenant and Captain

  • Prior written approval of the respective Deputy Director and the Chief Deputy Director is required for any appointment, other than a list appointment, to the classifications of Lieutenant and Captain. Such appointments must be fully justified in the written request.

• Hiring Authority Responsibility

  • The hiring authority shall carefully review lateral transfers, T&DTraining and Development assignments, reinstatements and other forms (excluding list appointments) to the Lieutenant and Captain classifications to ensure that the applicant:

    • Possesses related custody experience, including supervision of custody staff.

    • Meets all legal requirements to be a peace officer and can be cleared for appointment by a background investigation and preemployment medical.

• Basic Academy

  • Persons appointed to the Lieutenant and Captain classifications shall attend the Basic Academy if they have not previously served in a correctional peace officer classification.

31060.5.3 Classification Staff Representative (CSR) Appointments Process

• The process for selection of CSRClassification Staff Representative is as follows:

  • The Chief, Classification Services, shall canvass for interested candidates by the departmentwide job opportunity bulletin.

  • All candidates shall submit, a STDStandard Form (DGS) Form 678, to the Chief, Classification Services, for review.

  • The CSUClassification Services Unit shall pre-screen all applications for qualifying experience.

  • Those applicants accepted for consideration as a CSRClassification Staff Representative shall be scheduled for interviews.

  • Applicants not selected for an interview shall be so notified by memorandum or telephone call.

  • All CSRClassification Staff Representative appointments require the approval of the Director/Chief Deputy Director.

31060.5.4 Ex‑Offender Appointments

• The Department prohibits discrimination on the basis of ex-offender status. However, all factors which relate to legal requirements and restraints, facility security, commitment history, and experience shall be considered. Hiring commitments shall not be made without written approval of the Secretary or Designee.

• Licensing

  • Applicable certification or licensing for a position shall not be waived for ex-offenders.

• Completion of CDCRCalifornia Department of Corrections and Rehabilitation Form 1951

  • A CDCRCalifornia Department of Corrections and Rehabilitation Form 1951, Supplemental Application for all CDCRCalifornia Department of Corrections and Rehabilitation Employees is required of all applicants seeking employment with the Department. This form is utilized at the time the employment interview is conducted and should be completed by both internal and external candidates with the exception of peace officers applying to the same classification. Completion of the form should prevent the hiring of any ex-offenders without prior approval of the Secretary. This form will also be utilized to ensure compliance with 28 CFR, Part 115, National Standards to Prevent, Detect, and Respond to Prison Rape under the Prison Rape Elimination Act (PREA), Standard 115.17 – Hiring and promotion decisions.

  • Peace officer promotions or transfers to different classifications must complete the applicable sections of Form CDCRCalifornia Department of Corrections and Rehabilitation 1951 at the time of interview.

• Restricted Employment Areas

  • Ex-offenders shall not be hired or assigned work in areas which provide access to:

    • Any records pertaining to staff.

    • Sensitive personal or medical information on inmates.

  • These areas include, but are not limited to, the following:

    • Medical.

    • Personnel.

    • Records.

    • Accounting.

    • Data processing.

• Legal Prohibition For Peace Officer Classifications

  • Persons convicted of a felony in this or another state may not be employed as a peace officer of this State. CCRCalifornia Code of Regulations 3291(b) lists the classes designated as peace officers in this Department.

  • Procedural Responsibilities

    • For all hires other than initial peace officer hires, the hiring authority shall:

      • Submit an “Approval to Appoint” request to the Secretary via the Chief, Office of Correctional Safety (OCSOffice of Correctional Safety) at least 60 days prior to the requested appointment date. This shall include a copy of the ex-offender’s CI&ICriminal Identification and Information SSCHState Summary - Criminal History and the completed CDCRCalifornia Department of Corrections and Rehabilitation Form 1951 for nonpeace officer classifications.

• If the individual is on parole, the request shall identify the name and address of the Parole Agent. If discharged, that date shall be indicated.

• The Chief, OCSOffice of Correctional Safety, shall:

  • Review the original submittal for possible gang affiliations.

  • Note the results of this review on the request.

  • Forward the request to either the Director, Division of Adult Institutions, or Director, Division of Adult Parole Operations, for appropriate data if they are not the hiring authority.

• If the request is approved by the affected Director, it shall be returned to the Chief, OCSOffice of Correctional Safety, for final review.

• The Chief, OCSOffice of Correctional Safety, shall:

  • Ensure completion of required materials.

  • Forward approved packages to the Agency Secretary.

  • Return denied packages to the hiring authority.

  • Return packages with Agency Secretary’s approval/disapproval to the hiring authority.

  • Ensure that a copy of all denials/approvals are sent to the Office of Internal Affairs, Office of Civil Rights.

31060.6 Appointments Requiring Headquarter’s Approval

• Appointments requiring approval of designated headquarter’s staff are described in DOMDepartment Operations Manual 31060.6.1 through 31060.6.5.1.

31060.6.1 Chaplain Appointments

• All chaplain appointments shall be approved by the appropriate Regional Administrator, IDInstitutions Division (see DAI).

• The applicant shall meet the criteria outlined in the SPBState Personnel Board (see CalHR) specifications before being appointed to the position of full-time or intermittent chaplain.

• Muslim Chaplain. The appointee shall be currently in good standing with the American Muslim Community, verified and approved by the local resident Imam where the applicant attends as a member. All candidates shall attach to their application a letter of certification of good standing issued by the local resident Imam.

• Jewish Chaplain. The appointee shall be accredited by and in good standing with a recognized California rabbinical body. The two official ecclesiastical endorsing agencies are the Board of Rabbis of Northern California and the Board of Rabbis of Southern California.

• Catholic Chaplain. The appointee shall be duly accredited by and in good standing with the Roman Catholic Church and approved by the Bishop of the diocese in which the facility is located.

• Protestant Chaplain. The appointee shall be currently ordained, duly accredited by and in good standing with a nationally recognized Protestant denomination.

• Native American Spiritual Leader. The appointee shall be currently recognized as a spiritual leader and in good standing with their Native American Tribe, Nation, Band or Rancheria. All candidates shall attach to their application a letter of certification of good standing issued by their Native American Tribe, Nation, Band or Rancheria.

• Intermittent Chaplains

  • The Department may employ, under state civil service, intermittent Catholic, Jewish, Muslim and Protestant chaplains.

• Part-Time Chaplains

  • The Department may contract with clergy of any faith as part-time or intermittent chaplains to provide religious services and chaplaincy activities for a small group.

• Substitute Chaplains

  • When a staff chaplain is on an authorized absence and a substitute chaplain cannot be obtained without cost to the state, a fee can be paid to the substitute for any single day of service.

31060.6.2 Retired Annuitant Appointments

• A retired annuitant is a person who has retired from:

  • State service and is appointed to a civil service position and paid a salary without being reinstated from retirement; or

  • A Career Executive Assignment (CEACareer Executive Assignment) position and is temporarily employed and paid a salary following retirement.

• Class – A retired annuitant shall be appointed to a position in a class in which the person had permanent or probationary status or a CEACareer Executive Assignment appointment at the time of retirement or in a class to which the person could have permanently transferred, reinstated, or demoted at the time of retirement.

• Duration – Retired annuitants are appointed for a limited duration, not to exceed 960 total hours in a fiscal year. Retired annuitants must be evaluated each fiscal year and require annual approval by the Office of the Secretary or designee.

• Salary – Retired annuitants are paid at a rate substantially the same as other employees performing comparable duties

• Benefits – Retired annuitants are compensated only for actual time worked and shall not earn benefits of any kind (e.g., sick leave, vacation, holiday pay, personal holiday, or retirement credits).

• Impact of a retired annuitant working over the 960-hour work cap in a fiscal year – A retired annuitant who works more than 960 hours in a fiscal year is subject to mandatory reinstatement to state service, reimbursements to California Public Employees’ Retirement System (CalPERS) and potentially other earned entitlements and benefits, unless authorized by the Governor during a state of emergency.

• Nature of Work – Retired annuitants may be appointed for a limited duration:

  • On a short-term basis to cover emergency-related work.

  • To use their special skills.

  • To provide mentoring to staff, and/or knowledge transfer.

  • To temporarily fill a hard-to-recruit vacancy behind an employee on extended absence.

  • To complete a one-time workload or projects associated with policy change or to gain compliance with court orders.

• Eligibility – To be eligible for employment as a retired annuitant, the following requirements must be met:

  • The Bona Fide Separation Requirement/Normal Retirement Age (if applicable):

    • A service-retired employee of the State of California who has not yet reached “normal retirement age” must have a minimum 60 calendar-day separation from service prior to returning to employment as a retired annuitant. The definition of “normal retirement age” is the member’s benefits formula age, or, if the member retires with more than one benefit formula, the highest specified age. There must be no agreement made (either verbal or written) with an employee to return to employment as a retired annuitant prior to retirement if they have not attained “normal retirement age” as defined above.

  • The 180-Day Wait Period Requirement:

    • A retired person shall not be eligible for employment as a retired annuitant for a period of 180-calendar days after the date of retirement unless the appointment is necessary to fill a critically needed function and California Department of Human Resources (CalHRCalifornia Department of Human Resources (formerly DPA and SPB)) approval has been obtained. The 180-day waiting period does not apply to a retired peace officer or a retired firefighter returning as either a peace officer or firefighter.

    • Definition of Critical Need: An immediate need for a particular skill set that only the retired annuitant can provide to complete a function for the department to meet one of the requirements outlined below and that cannot be met by a current State employee:

      • Legislative Mandate

      • Court Ordered Mandate

      • Health and Safety Emergencies

      • Fiscal Impact – Loss of Funding

      • Any disruption in normal business that may result in the failure of business operations

  • Note: The bona fide separation requirement does apply to peace officers or firefighters who have not reached normal retirement age. Appointments to other classifications would meet the bona fide separation requirement while serving the 180-day wait period requirement since these periods run concurrently.

• Approval – To be approved for employment as a retired annuitant, the following requirements must be met:

  • A new retired annuitant appointment (not including annual renewals) requires prior approval documented on the CDCRCalifornia Department of Corrections and Rehabilitation Form 1823, Retired Annuitant Hiring Approval, as follows:

    • Correctional Officer (CO) Academy: Director, Administrative Services

    • Special Projects/Skills: Secretary

    • Mentoring/Knowledge Transfer: Secretary

    • Operational Vacancies: Secretary

    • Posted Positions (Adult Institutions): Director, Division of Adult Institutions

    • Parole Agents with caseload: Director, Division of Adult Parole Operations

    • All other Division of Adult Parole Operations’ positions: Secretary

    • All Health Care: CCHCS Undersecretary

  • Former employees who are named as a defendant or identified as a percipient witness in department-related lawsuits shall not be appointed as a retired annuitant to compensate the employee for their cooperation.

  • A statement of justification is required for all retired annuitant appointment requests and must include start date (for extension, this date is the date the employee was first appointed into the position), end date, duty statement and organizational chart. Retired annuitants cannot be appointed into a supervisory classification unless serving in a specialist capacity.

  • Extension requests for retired annuitants that have expiration dates within the same fiscal year must document the number of hours the employee has worked.

  • The hiring authority is required to verify if the individual has prior or pending adverse actions, legal actions, or was the subject of an investigation. For CDCRCalifornia Department of Corrections and Rehabilitation, contact the CDCRCalifornia Department of Corrections and Rehabilitation Office of Legal Affairs and the Office of Internal Affairs. For CCHCS, contact the CCHCS Office of Legal Affairs and the Health Care Employee Relations Officer. If any of the aforementioned is found, a summary of the information is to be attached to the CDCRCalifornia Department of Corrections and Rehabilitation Form 1823, Retired Annuitant Hiring Approval that includes a detailed justification.

31060.6.3 Appointment

• Emergency appointments shall be justified by significant need.

  • Any expanded use of emergency appointments, particularly for emergency acting assignments not supported by a significant need, are in conflict with basic constitutional provisions requiring appointments based on competitive examinations.

  • All available civil service alternatives shall be considered before making emergency appointments for short duration work assignments.

• Appointments which may be approved by the hiring authority are described in Sections 31060.6.2.1 through 31060.6.2.4.

31060.6.3.1 Extreme Emergency

• This type of appointment shall not exceed 60 working days in any 12-month period.

• Extreme emergencies include fires, floods, storms, epidemics, riots, earthquakes, and other such serious situations presenting extreme peril to persons or property or seriously interrupting the performance of public business.

• When an extreme emergency is declared by the Governor or the Director, appointments may be made without regard to employment lists and, if necessary, without regard to existing classes in order to prevent the stoppage of public business.

31060.6.3.2 Short Duration Work

• A short duration work situation is one which:

  • Because of its unusual urgency, nature, volume, location(s), duration, or other special characteristics is distinct from the range of work normally performed by regular staff.

  • Is not expected to be performed within the department for more that 30 working days within any 12-month period.

• Short duration work assignments shall not be extended nor shall they be consecutive. Appointments may be converted to acting assignments when circumstances warrant.

• Positions that are readily filled by the regular civil service process or for routine needs (i.e., vacation relief) shall not be filled by short duration appointments.

31060.6.3.3 Out‑of‑Class Assignments

• Out-of-class assignments (also called acting assignments) shall be used only as the last option when filling a position. Limited-term (LTLimited Term) appointments are the appropriate means to fill critical positions on a short-term basis.

• Advance planning and scheduling can reduce an operation’s dependency on out-of-class assignments. By using established certification lists, qualified employees can be appointed immediately to vacant critical positions.

• Misuse of out-of-class assignments results in grievances (circumventing list procedures), higher costs (lost person hours, working on out-of-class claims), the potential loss of delegated testing authority and the centralization of approval for all out-of-class assignments. However, bonafide emergency out-of-class assignments may be used.

• Guidelines

  • Managers and supervisors shall ensure that all employees are assigned duties and responsibilities that are within the scope of their classification. Employees shall not work out-of-class on a regular, ongoing basis.

  • Current bargaining unit language, as well as DPADepartment of Personnel Administration (see CalHR) Rule 599.810, states that “an employee may be required to perform work other than that described in the specification for their classification for up to 120-consecutive calendar days during a fiscal year.” This language is intended to provide appointing authorities the flexibility necessary to meet short-term, temporary staffing needs. All viable alternates shall have been exhausted before any out-of-class assignment is approved.

  • An employee may be assigned out-of-class work for more than 120 days if the additional out-of-class work is required to meet a need that cannot be met through other administrative or civil service alternatives. Prior approval from DPADepartment of Personnel Administration (see CalHR) is required. Such assignments shall be subject to termination by the Director of DPADepartment of Personnel Administration (see CalHR) upon determination that other reasonable alternatives do exist.

  • The “120-consecutive calendar days during a fiscal year” applies to both the assignment and the individual. The same assignment cannot extend beyond July 1 or a new fiscal year resulting in an individual serving in the assignment for more than 120 calendar days. Such situations would require DPADepartment of Personnel Administration (see CalHR) approval to extend beyond 120 calendar days.

  • Recent interpretation from DPADepartment of Personnel Administration (see CalHR) states that good personnel management practice precludes an indefinite out-of-class assignment by rotating employees in and out of the assignment. The 120 days should be a sufficient period of time to resolve and out-of-class situation. Rotations are inappropriate and circumvent the intent of the out-of-class provisions.

  • The out-of-class provisions apply to both rank and file and non-represented employees. Managerial employees are not covered under DPADepartment of Personnel Administration (see CalHR) Rule 599.810 and there is no authorization to assign the out-of-class duties.

• Criteria

  • Out-of-class assignments may be made only to established positions and only if it can be demonstrated that:

    • The assignment is needed to meet a specific operating need.

    • The need cannot be feasibly met through civil service procedures or other administrative alternatives.

    • The employee is assigned duties which are clearly outside the scope of their current class and which include the full range of duties of the assigned class. The out of class duties must be performed for more than 50 percent of the employee’s time.

    • The supervisor requests the employee, in writing and in advance of the assignment, to perform the duties of a higher class.

  • No out-of-class assignments shall be considered for approval retroactively. The grievance process is the appropriate method for employees to obtain payment if their out-of-class assignment was not approved accordance with established guidelines.

  • No out-of-class assignments to “MCR NONE” classes shall be approved retroactively.

• Operating Needs

  • An operating need may exist when leaving a position vacant results in:

    • Inadequate management or supervision of a unit or function that cannot be offset from other sources.

    • Risk to public health and safety.

    • The interruption of public service.

    • An economic loss or program delay.

• Alternatives

  • If a need is established, the following alternatives should be considered before an employee is given an out-of-class assignment:

    • Delaying or canceling other less critical work.

    • Temporarily redirecting the unit’s staff, workload, or resources in order to “work around” the vacancy.

    • Filling the position with a locally available person on a temporary basis through another civil service procedure such as emergency, LTLimited Term, temporary authorization (TAUTemporary Authorization), or intermittent appointment.

    • Modifying the duties temporarily until the position can be filled.

• Appropriate Assignments

  • Examples of out-of-class assignments that are viewed by the Department as appropriate consist of the following:

    • An immediate assignment involving risk of life, property, or critical operation of the Department.

    • Back-up for an employee absent on extended sick leave.

    • A vacant position that needs temporary filling until an employment list is available.

    • The assignment is temporary in nature, with no definite time period but less that 120 calendar days, and all viable recruitment efforts to fill the position have been exhausted.

• Inappropriate Assignments

  • Examples of inappropriate/out-of-class assignments are as follows:

    • An assignment where no budgeted positions exist.

    • A certification list is available so that a LTLimited Term appointment could be made, the desired employee is on the list but is not reachable, or the list was canvassed but the candidate group is undesirable.

    • An assignment was made to bypass the Departmental Restrictions of Appointment (DROADepartmental Restrictions Of Appointment), State Restrictions of Appointment (SROAState Restrictions Of Appointment), and/or re-employment list process.

    • The assignment can be covered by a T&DTraining and Development assignment, a reinstatement, an emergency appointment, or a TAUTemporary Authorization appointment.

    • An intermittent pool of candidates is available.

    • Changes have been made to a class specification and/or allocation standards and the employee claims to have been working in a higher classification prior to the effective date of the change.

    • The employee requests some of the higher level duties for career development, personal convenience, or gain.

    • In the following situations, unless pre-approved by DPADepartment of Personnel Administration (see CalHR):

      • To positions or levels requiring classification pre-approval by DPADepartment of Personnel Administration (see CalHR) (MCR NONE).

      • To positions or levels not authorized in the appointing power’s budget. Before considering pre-approval in these situations, DPADepartment of Personnel Administration (see CalHR) will require specific written notice from the DOFDepartment Of Finance that funding is available.

      • Where the employee’s class specification provides for the proposed work assignment.

  • When any of these options are considered, the Personnel Operations Analyst shall be contacted for guidance and interpretation.

• Process

  • The supervisor shall prepare the following documents:

    • A request for approval to make an out-of-class assignment.

    • A CDC Form 1821, Out-of-Class Checklist .

    • A duty statement.

    • An organizational chart.

    • A CDC Form 1820, Out-of-Class Justification For Assignments Exceeding 120 Days .

  • The Out-of-Class Checklist shall provide the information necessary for the review and evaluation of the request and for completion of the Out-of-Class Justification.

  • The checklist will also serve as an audit trail for peer audits, payment of claims, and examination eligibility.

  • The document shall be forwarded to the appropriate approval levels in accordance with Section IX of the Out-of-Class Checklist.

• Approvals

  • All out-of-class assignments requests require the approval of the IPOInstitutional Personnel Officer or Personnel Operations Analyst to ensure that all viable alternatives have been exhausted before the request is forwarded for final approval.

  • Prior final approval is required for out-of-class assignments as follows:

    Duration of Assignment	Documents Required	Approval Required
    Up to 60 Calendar Days	Request for Approval Out-o-Class Checklist	IPOInstitutional Personnel Officer or Personnel Operations Analyst
    61 to 120 Calendar Days*	The above	The above and Personnel Operations Analyst
    Over 120 Calendar Days**	The Above and Out-of-Class Justification form (2 Copies)	The Above and the Departmental Personnel Officer, the Chief Deputy Directors, and DPADepartment of Personnel Administration (see CalHR)
    	* When the hiring authority becomes aware that the assignment may extend beyond 60 days, the Personnel Operations Section shall be notified. The written request shall be received by Personnel Operations Section no later than day 50 of the assignment.	** Requests shall be received by Personnel Operations Section no later than day 100 of the assignment. The Departmental Personnel Officer shall forward approved requests to the DPADepartment of Personnel Administration (see CalHR) for review.

• The departmental personnel officer may deny a claim if it does not meet existing criteria.

• When a request is inconsistent with departmental policy, the Personnel Operations Section shall return the unapproved request directly to the hiring authority.

• Log/Record

  • For audit purposes each approval authority shall keep a log/record of all out-of-class assignment requests and/or out-of-class compensations claims.

• Compensation

  • See DOMDepartment Operations Manual 31150.9 for out-of-class compensation guidelines.

31060.6.3.3.1 Applying Out‑of‑Class Experience for Admittance To State Examinations

• Out-of-Class experience is work experience gained in the performance of duties outside the class concept of the employee’s current class of appointment.

• A departmental employee, regardless of employee relation designation, may request verification of out-of-class experience once they have performed out-of-class work for 30 consecutive calendar days.

• Personnel Operations analysts review these requests and apply the same standards of more than 50 percent used for out-of-class claims.

• Employee Requests

  • An employee who wants verification shall, in writing, request the hiring authority to verify that they have accepted and performed assigned duties that were not consistent with the employee’s class.

• Time Restraints

  • Requests shall not be made:

    • Prior to performing out-of-class duties 30 consecutive calendar days.

    • Later than 180 calendar days after the ending of the out-of-class duties.

• Certification

  • The hiring authority’s certification shall include:

    • The employee’s name and social security number.

    • A description of type and level of duties performed.

    • A duty statement with percentages.

    • A conclusion regarding whether the duties are or are not consistent with the employee’s class of appointment at the time; and if not consistent, an identification of the class to which such duties are appropriate.

    • A detailed explanation of the situation which necessitated the out-of-class assignment.

    • An explanation of the other administrative and/or civil service options considered and why they were not used.

    • A copy of the departmental memorandum from the employee’s supervisor who assigned the duties to the employee.

    • The dates of the out-of-class assignment.

    • When the certification is for admission to an examination, the title of the examination to which the employee is applying.

• Approval Responsibility

  • The hiring authority certification shall be forwarded to the Personnel Examining Section who shall:

    • Review the verification.

    • Provide the employee and the hiring authority with a memorandum advising whether the certification met SPBState Personnel Board (see CalHR) standards.

    • Forward the certification to the Personnel Operations Analyst for analysis and recommendation of the appropriate class.

    • If approved, forward the verification to the SPBState Personnel Board (see CalHR).

  • Once approved by the Personnel Examining Section, the certification can be used as additional qualifying experience for current or future examinations by attaching a copy to the application.

• Appeal Rights

  • If the request for verification is denied, the employee has the right to appeal the denial to the SPBState Personnel Board (see CalHR).

31060.6.3.4 Reinstatement After Emergency

• Permanent or probationary employees who vacate positions to accept emergency appointments shall have mandatory right of return to their former position upon the conclusion of the emergency appointment if:

  • The emergency appointment is under the same appointing power as the position the employee is vacating; or,

  • The employee is granted paid or unpaid leave to accept the emergency appointment.

31060.6.3.5 Emergency Appointment Documentation

• For audit purposes, the hiring authority shall prepare a written justification for all emergency and short duration work appointments.

• The justification shall include:

  • A detailed explanation of the situation requiring the appointment.

  • An explanation of the other administrative and/or civil service alternatives that were considered and why each was not used.

  • The name, social security number, and current classification (if applicable) of the appointee.

  • A duty statement, position title, and estimate of the number of days the appointment will be necessary.

  • When appropriate, a copy of the Declaration of Emergency signed by the Governor or the Director.

• The justification shall be retained in the official personnel file.

• A copy shall be submitted to the Personnel Operations Section no later than 20 calendar days after the effective date of the appointment.

31060.6.4 Limited‑Term Appointments

• The Department has authority to make and extend LTLimited Term appointments. Initial appointments shall be limited to up to one year. The extension shall be limited to up to one additional year and may be considered when a permanent appointment is likely to cause a layoff, demotion, or mandatory transfer requiring a change of residence upon the conclusion of the temporary staffing need.

• Requirements

  • Eligible lists shall not be circumvented by a LTLimited Term appointment to a permanent position. Positions which are of limited duration shall not be filled on a permanent basis since this removes the appointee from consideration for true permanent positions and bestows unwarranted permanent status.

  • Permanent rather than LTLimited Term appointments may be more appropriate when:

    • The temporary vacancy is in a classification subject to high turnover.

    • New positions are established on a temporary basis pending approval of the State budget, since the positions shall be converted to permanent when the budget is adopted.

• Local Approval

  • In the following situations, the hiring authority may authorize one or more LTLimited Term appointments, provided the total time of an employee’s appointment(s) does not exceed one year.

    • Seasonally recurrent positions. Appointments to non-testing or TAUTemporary Authorization only classes may be made for a period of up to nine months in one transaction.

    • Positions established for a specific study or survey. Research projects may require the creation of specific classes for the duration of the project.

    • Temporary vacancies. A person being on a leave of absence for one year or less.

    • The appointment of a permanent employee to a different position on a LTLimited Term basis.

• Headquarters Approval

  • The following appointments require advance approval from the Personnel Operations Section:

    • Temporary filling of vacancies during or pending a reorganization or possible layoff situation.

    • Vacancies filled in anticipation of reorganization or layoff expected to span a period of more than one year may be filled by permanent appointment.

  • This approval process shall ensure consistency with the Department’s restriction of appointment process.

• Two-Year Appointments

  • One-year, limited-term appointments may be extended for up to a total period of two years upon prior approval by the Chief, Personnel Management. All such requests shall be forwarded to the Personnel Operations Section at least 30 days prior to the effective date, and include the following information:

    • Name, social security number, and civil service classification of employee.

    • Period of time involved.

    • Justification for the need to authorize a LTLimited Term appointment to exceed one year.

  • The anticipated number of limited-term appointments, the number and location of permanent positions in the classification, turnover rate for the classification, budgetary trends, and issues which impact the Department’s ability to absorb permanent employees either locally or department wide shall be considered when the justification is prepared.

• Justification File

  • For audit purposes, the Personnel Operations Section shall file and retain for three years the hiring authority’s requests and justifications for appointments to exceed one year.

31060.6.5 Training and Development Assignments

• Purpose

  • The Department shall use T&DTraining and Development assignments:

    • To provide employees broader experiences and skills, to improve their ability to perform in their current assignments.

    • To assist employees in seeking future advancements.

    • To facilitate employees’ entry into different occupational fields.

    • To enhance the Department’s affirmative action and upward mobility goals.

    • As an effective tool for upward mobility purposes.

  • Hiring authorities shall consider affirmative action needs and protected group deficiencies prior to the selection of an employee for a T&DTraining and Development assignment.

• General Requirements

  • The hiring authority shall ensure a T&DTraining and Development assignment:

    • Is consistent with the career development plan of the employee.

    • Duties are significantly different than those the employee has performed in the preceding five years.

    • Provides a clear management advantage to the state.

    • Shall not result in a layoff or demotion at the termination of the T&DTraining and Development assignment.

  • No more than one person shall be appointed to a T&DTraining and Development assignment for each available vacancy.

  • T&DTraining and Development opportunities require a minimum publicity period of seven days to ensure that all interested employees are afforded the opportunity to apply. Posting may be limited to geographic areas where employees could reasonably be expected to accept the opportunity without a change in residence.

  • If a permanent class has not been identified for the training position, the position must be permanently allocated to an appropriate civil service class prior to considering a T&DTraining and Development assignment.

• Class Relationships

  • As long as the SPBState Personnel Board (see CalHR) criteria are met, an employee may accept T&DTraining and Development assignents to a class with substantially the same salary to which the employee could voluntarily transfer (within two salary steps) even if they are currently on an employment list for the assigned training class.

• Eligibility

  • Permanent and probationary (with prior permanent status) employees are eligible for T&DTraining and Development assignments. time on a T&DTraining and Development assignment counts toward completion of probation. Employees on temporary or limited-term appointments shall return to their former position before being appointed to a T&DTraining and Development assigned training class.

  • Employees shall not be considered for T&DTraining and Development assignments in classes which have a promotional relationship to their current class. The class specification shall be reviewed to ensure that the individual’s permanent class is not listed in the minimum qualifications (MQs) of the training class and there is no promotional class.

• Higher than Three Salary Steps

  • T&DTraining and Development assignments to higher level classes (beyond three salary steps) shall only be considered as exceptions and shall meet the following additional criteria:

    • The intent is to prepare the employee for a permanent career change.

    • The higher salaried class is the nearest class (in salary) that will provide the appropriate training experience.

    • The employee may meet the MQs of the training class prior to appointment and shall meet them by the conclusion of the assignment.

    • The T&DTraining and Development assignment shall not circumvent the normal competitive promotional process.

• Lower than Two Salary Steps

  • T&DTraining and Development assignments to lower-level classes (beyond two salary steps) shall be considered as exceptions and shall meet the following additional criteria:

    • T&DTraining and Development assignments to lower-level classes shall only be used in very broad class series in which employees expect to reach the journey or supervisory level within one specialty, without having had experience in other major specialties covered by the class.

  • For example, a SSMStaff Services Manager I whose career had been limited to management analysis, could participate in a T&DTraining and Development assignment as an Associate Budget Analyst position in preparation for assumption of SSMStaff Services Manager I level duties in the budget area.

    • The lower salaried class is the nearest class (in salary) that provides the appropriate training experience.

    • The training experience differs from the duties the employee has previously performed, i.e., they cannot have immediate previous experience in the assigned training class.

• Duration

  • T&DTraining and Development assignments for an individual shall not be limited in number or frequency, but shall not exceed 24 months in any consecutive 36-month period.

• Peace Officer Training

  • Employees in positions designated as peace officers shall:

    • Successfully participate in the required peace officer training course.

    • Obtain a background clearance.

    • Pass all required medical examinations and physical abilities test.

• Formal Class Requirements

  • While employees are not generally required to meet the “experience and education” requirements of the training class, employees shall possess any credential, license, certificate, or other formal requirements of the class prior to assumption of the duties of the T&DTraining and Development assignment.

  • It is required that employees meet the minimum qualifications to be placed on a T&DTraining and Development to Sergeant, Lieutenant, or Captain. Exceptions to this requirement for T&DTraining and Development assignments to Lieutenant and Captain must be approved in advance, in writing, by the Director.

• Shift Differentials/ Housing Stipends

  • Alternate Range 40 shift differential compensation and/or housing stipends shall be terminated when a T&DTraining and Development assignment does not meet established criteria/requirements.

  • Employees serving in CEAs shall not participate in T&DTraining and Development assignments to ensure that they are assigned only to those positions that have been specifically approved for inclusion in the CEACareer Executive Assignment category.

31060.6.5.1 Documentation and Procedural Requirements

• A formal T&DTraining and Development assignment plan shall be prepared and submitted on a CDC Form 1825, Training and Development Plan and CDC Form 1825 A, Training and Development Request and shall include:

  • The civil service class of the training position.

  • The permanent classification of the employee.

  • The basic objectives of the training.

  • The duties to be performed.

  • The training to be accomplished.

  • Return rights of the employee.

  • Statement that the assignment may be terminated at any time by either the employee or the Department.

  • Certification that:

    • This assignment shall not result in a layoff or demotion upon its termination.

    • SROAState Restrictions Of Appointment procedures were observed.

  • The signatures of the employee and the hiring authority of both the receiving and releasing organizations.

• The individual’s STDStandard Form (DGS) Form 678 and resume shall be attached.

• To allow adequate processing time, the plan shall be submitted to the Personnel Operations Section at least 30 days before the reporting date.

• Starting Date

  • The Personnel Operations Section may adjust the starting date on any T&DTraining and Development assignment. It shall be clearly understood that any T&DTraining and Development changes required by the Personnel Operations Section may impact such issues as relocation expenses and eligibility to participate in the proposed T&DTraining and Development program.

• Approval

  • The T&DTraining and Development assignment plan shall be approved by the Personnel Operations Analyst prior to the actual reporting date of the employee.

  • Upon approval, the Personnel Operations Section shall retain the original T&DTraining and Development assignment plan and forward copies to the receiving and releasing hiring authorities and the employee.

  • Written notification shall be submitted to the Personnel Operations Section if:

    • There are subsequent changes/revisions to the original plan.

    • The assignment is terminated prior to its expiration date.

• Position Reclassification

  • The reclassification of the position is required before the training is implemented.

  • The hiring authority shall submit a STDStandard Form (DGS) Form 607, to OBMOffice of Budget Management (see OFS) so that the position is reclassified to the permanent class of the employee upon approval of the T&DTraining and Development assignment. The STDStandard Form (DGS) Form 607 shall clearly indicate that the reclassification is for T&DTraining and Development purposes and include the employee’s name and approved T&DTraining and Development plan.

  • If the T&DTraining and Development assignment is denied, the STDStandard Form (DGS) Form 607 shall be denied at the same time and returned to the originator.

• Vacated Position

  • To ensure employee placement, the position vacated by the employee accepting the training assignment shall be filled on a temporary basis unless it can be clearly demonstrated that an appropriate position in the employee’s “home” organization and location shall be available at the completion of the T&DTraining and Development assignment.

31060.6.5.2 Promotion/Transfer While on a T&D Assignment

• Promotion/transfer opportunities shall not be jeopardized as a result of a T&DTraining and Development assignment. Provisions for promoting/transferring the individual while on the training assignment are:

  • The individual clearly would have been considered for promotion/transfer if not on the training assignment.

  • In a promotional situation, the individual must be reachable on the eligible list and receive a bonafide job commitment.

• When a firm commitment is made in a promotional or transfer situation, the offering organization shall appoint the individual and transfer the employee back to the training location to complete the training assignment. This ensures the employee mandatory right of return to the offering organization/location.

• The new appointment shall not create an inappropriate training assignment. If the promotional/transfer class does not meet the training assignment criteria relative to the training class, the appointment shall not be authorized while on the training assignment; or the T&DTraining and Development assignment shall be terminated upon the appointment of the employee.

31060.7 Restriction of Appointments

• Restriction of Appointments lists are established to aid in the placement of employees facing transfer, layoff, or demotion. Both the state and the departmental restriction of appointment processes, described below, shall be followed prior to filling vacant positions.

31060.7.1 State Restriction of Appointments (SROA)

• The SROAState Restrictions Of Appointment policies and procedures:

  • Are published periodically by the DPADepartment of Personnel Administration (see CalHR).

  • Shall be followed in making all appointments not specifically exempted from SROAState Restrictions Of Appointment. Questions regarding which appointments are exempt from SROAState Restrictions Of Appointment shall be directed to the IPOInstitutional Personnel Officer for the correctional facility or the Personnel Operations Section analyst for headquarter programs.

• SROAState Restrictions Of Appointment eligible lists:

  • Are maintained by the SPBState Personnel Board (see CalHR) and are issued to hiring departments.

  • Contain classes of employees who, as a result of position reductions, are facing layoff or demotion if placements are not made.

• SROAState Restrictions Of Appointment Coordinator’s Responsibility

  • The SROAState Restrictions Of Appointment Coordinator in the Personnel Operations Section is responsible for ensuring that all policy and procedure updates are disseminated throughout the Department.

• Institutional Personnel Officer’s Responsibility

  • The IPOInstitutional Personnel Officer is responsible for:

    • Providing consultation to institutional program staff regarding DROADepartmental Restrictions Of Appointment requirements.

    • Reviewing and approving SROAState Restrictions Of Appointment clearances for all facility appointments. The CDC Form 8022, State Restrictions of Appointment/Departmental Restrictions of Appointment Clearances Worksheet, shall be used for requesting clearances.

    • Preparing SROAState Restrictions Of Appointment exemption requests following all criteria requirements listed in the SROAState Restrictions Of Appointment Policy and Procedures Manual and forwarding requests to the Personnel Operations Section analyst for review, consideration, final approval, an submission to the DPADepartment of Personnel Administration (see CalHR).

    • Ensuring that approved SROAState Restrictions Of Appointment clearance forms and approved SROAState Restrictions Of Appointment exemption requests are attached to all appointment documents which are not specifically exempted from SROAState Restrictions Of Appointment.

• Personnel Operations Section Analyst’s Responsibility

  • The Personnel Operations Section analyst is responsible for:

    • Providing consultation to headquarter program staff and to the IPOInstitutional Personnel Officer regarding SROAState Restrictions Of Appointment requirements.

    • Reviewing and approving SROAState Restrictions Of Appointment clearance requests for all headquarter programs.

    • Reviewing, preparing, and forwarding SROAState Restrictions Of Appointment exemption requests received from either the facility or headquarter programs to the DPADepartment of Personnel Administration (see CalHR).

    • Ensuring that approved SROAState Restrictions Of Appointment clearance forms and approved SROAState Restrictions Of Appointment exemption requests are attached to all appointment documents that are not specifically exempted from SROAState Restrictions Of Appointment.

• Hiring Supervisor’s Responsibility

  • The hiring supervisory is responsible for:

    • Following SROAState Restrictions Of Appointment policies and procedures.

    • Completing a SROAState Restrictions Of Appointment clearance form or SROAState Restrictions Of Appointment exemption request and ensuring that it is submitted to either the IPOInstitutional Personnel Officer or the Personnel Operations Section analyst for processing.

    • Ensuring that SROAState Restrictions Of Appointment clearance or exemption approval is received prior to making a hiring commitment for all appointments not specifically exempted from SROAState Restrictions Of Appointment.

• SROAState Restrictions Of Appointment Exemption Requests

  • All SROAState Restrictions Of Appointment exemption requests shall:

    • Provide sufficient information to support the exemption and meet all criteria requirements listed in the SROAState Restrictions Of Appointment Policy and Procedures Manual.

    • Be signed by the appropriate hiring authority or any member of the Director’s Executive Staff.

    • Be forwarded to the Personnel Operations Section analyst for review and submission to the DPADepartment of Personnel Administration (see CalHR). Requests for facilities shall be submitted to the IPOInstitutional Personnel Officer form submission to the Personnel Operations Section analyst.

31060.7.2 Departmental Restriction of Appointments

• The DROADepartmental Restrictions Of Appointment process is intended to assist in the placement of surplus employees resulting from administratively approved program changes or budget-induced position reductions and to avoid a layoff.

• This process applies to all appointments except:

  • Emergency appointments.

  • Mandatory reinstatements.

  • Promotions in place that do not result in a true vacancy (e.g., Staff Services Analyst to Associate Governmental Program Analyst).

• Departmental Placement Coordinator Responsibilities

  • The departmental placement coordinator shall:

    • Publish and distribute the list of classes for which approval is required prior to appointment.

    • Update the list as necessary.

    • Upon notification from the IPOInstitutional Personnel Officer that a surplus exists, submit a memorandum to the LRBLabor Relations Branch (see OLR) requesting union notification of the surplus.

    • When the union has been notified, send an informational surplus employee memorandum to all employees in the affected classification(s).

    • Review requests to fill vacancies on an exceptional basis or when no interest in the vacant position has been expressed by the DROADepartmental Restrictions Of Appointment candidates.

    • Take or recommend appropriate appointment actions.

    • Actively monitor the voluntary placement of surplus employees to appropriately classified vacant positions.

    • If necessary, work with the hiring authority, the Labor Relations Office and the appropriate control agencies to coordinate involuntary transfers and/or an employee layoff.

  • The informational surplus employee memorandum shall include a current list of vacancies in the affected employee’s classification.

  • The employee will be given the opportunity to voluntarily seek a vacant position.

  • If voluntary placement options are unsuccessful, the employee shall be reassigned to a different location or a comparable classification in the same location.

• Institutional Personnel Officer Responsibilities

  • The IPOInstitutional Personnel Officer shall submit timely monthly lists of current and anticipated vacant positions for the classes on DROADepartmental Restrictions Of Appointment directly to the departmental Personnel Officer.

  • Prior to filling a position listed on the restricted hiring list, the IPOInstitutional Personnel Officer shall take the following steps:

    • Contact the IPOInstitutional Personnel Officer of the organization where the surplus exists to obtain the names and addresses of the employees on DROADepartmental Restrictions Of Appointment.

    • Send out a CDC Form 1486, Departmental Restriction of Appointment (DROADepartmental Restrictions Of Appointment) Clearance and Waiver, to all affected employees. Telephone contacts may be made but shall be followed up with a CDC Form 1486.

    • Secure approval to fill the vacancy from the Personnel Operations Analyst if no interest is expressed by the employees on DROADepartmental Restrictions Of Appointment. This approval only applies to the DROADepartmental Restrictions Of Appointment restrictions and is not intended to replace or supersede other hiring requirements. Such requests for approval may be by telephone but shall be confirmed in writing.

    • Complete a CDC Form 1162, State of California Departmental Restriction of Appointments Confirmation Letter, for each classification.

    • Submit a copy to the Personnel Operations Analyst within ten calendar days after verbal approval is received and to the IPOInstitutional Personnel Officer at the surplus institution for audit purposes.

    • Retain a copy for the originator’s files.

• Special Exceptions

  • Requests for exceptions (including LTLimited Term and intermittent appointments) to this process shall:

    • Be signed by the appropriate hiring authority or any member of the Director’s executive staff.

    • Be forwarded to the Personnel Operations Analyst for review and approval.

    • Provide the following information:

    • The nature of the critical need and why identified DROADepartmental Restrictions Of Appointment eligibles cannot meet the needs of the position.

    • A copy of the position duty statement.

    • The consequence if any exception is not granted.

  • The projected time frame for any employee to remain on the DROADepartmental Restrictions Of Appointment list is approximately 120 days. Within this 120 days, the following activities take place:

    • The classification is placed on DROADepartmental Restrictions Of Appointment and frozen to preclude appointments to the class without obtaining appropriate DROADepartmental Restrictions Of Appointment clearances.

    • The Personnel Operations analyst notifies the employees in the affected class of the action while simultaneously notifying the LRBLabor Relations Branch (see OLR) so they can notify the union.

    • The Personnel Operations analyst actively monitors the placement of surplus employees to appropriately classified vacant positions. If the employee is not placed, they are given an official involuntary transfer notification 60 days prior to the proposed action.

31060.8 Peace Officer Designations

• Certain departmental employees are designated as peace officers (see CCRCalifornia Code of Regulations (15)(3) 3291[b]).

• Temporary Peace Officer Designations

  • Any person summoned to the aid of a uniformed peace officer shall be vested with such powers as are delegated by the summoning officer or as are reasonably necessary to properly assist such an officer.

  • Therefore, any employee officially assigned to act in the peace officer capacity of classifications listed in CCRCalifornia Code of Regulations (15) 3291(b) is a peace officer.

  • Employees assigned to perform peace officer duties or summoned to aid during an emergency are designated peace officers for the duration of the emergency or until relieved of peace officer duties.

31060.8.1 Designating Additional

• The Director is authorized by PCPenal Code 830 to designate any non-listed employee as a peace officer. Performance of the following functions as a regular, on-going job requirement shall be a major determinant in designating non-listed employees as peace officers:

  • Regular use of firearms with authorization to use deadly force and less-than-lethal devices for which specialized training is mandated.

  • Transportation or supervision requiring arms and/or restraints of inmates outside of facility property.

  • Investigation of felonies committed in prison as a major part of the employee’s duties.

  • Exercise of peace officer powers as applied to the general public as in the case of visitors or demonstrators.

  • Regular supervision of a significant number of peace officers in the performance of their duties.

31060.8.2 Minimum Legal Standards for Peace Officer

• Appointments: Persons appointed to peace officer classifications shall meet all of the following minimum legal qualifications and standards prior to appointment:

  • Be a citizen of the U.S.United States or a lawful permanent resident.

  • Be 21 years of age or older.

  • Be fingerprinted for purposes of search of local, State, and national fingerprint files to disclose any criminal record.

  • Be of good moral character, as determined by a thorough background investigation.

• Education: Persons appointed to peace officer classifications shall meet at least one of the following education requirements: 

  • Be a high school graduate. The high school shall be either a United States public school, an accredited United States Department of Defense high school, or an accredited or approved public or nonpublic high school.

  • Have passed the General Education Development Test or other high school equivalency test approved by the State Department of Education that indicates high school graduation level.

  • Have passed the California High School Proficiency Examination.

  • Have attained a two-year, four-year, or advanced degree from an accredited college or university.

  • Any accreditation or approval, as required by this section shall be from a state or local government educational agency using state or local government approved accreditation, licensing, registration, or other approval standards, a regional accrediting association, an accrediting association recognized by the Secretary of the United States Department of Education, an accrediting association holding full membership in the National Council for Private School Accreditation, an organization holding full membership in AdvancED or Cognia, an organization holding full membership in the Council for American Private Education, or an accrediting association recognized by the National Federation of Nonpublic School State Accrediting Associations.

• Pre-Employment Screening: Persons appointed to peace officer classifications shall be free from any physical, emotional, or mental condition which might adversely affect the exercise of the powers of a peace officer. Physical condition shall be evaluated by a licensed physician/surgeon. Emotional and mental condition shall be evaluated by a licensed physician/surgeon or by a licensed psychologist who has a doctoral degree in psychology and at least five years of postgraduate experience in the diagnosis and treatment of emotional and mental disorders. 

31060.8.2.1 Required for Peace Officers

• No person shall be appointed or begin training as a peace officer until a background investigation, medical examination, and psychological screening have been completed and written clearance has been received from the Chief, Office of Peace Officer Selection (OPOS) or designee. For the Special Agent classification, the Deputy Director, Office of Internal Affairs (OIAOffice of Internal Affairs) or designee shall make the final determination as to a candidate’s clearance or withholding from candidacy for appointment.

  • Exceptions: A background investigation shall not be required if the applicant is:

    • A peace officer currently employed by the department.

    • Being appointed by mandatory reinstatement to a peace officer classification.

    • A retired annuitant who will be performing in an administrative capacity only.

31060.9 Peace Officer Recruitment, Evaluation, Testing, and Selection

• To ensure an effective and diverse peace officer work force, the Department shall:

  • Actively recruit entrance-level applicants.

  • Carefully evaluate, examine and test applicants prior to appointment, including:

    • List appointment.

    • Reinstatement.

    • Lateral Transfer.

    • T&DTraining and Development Assignment.

    • Other forms of appointment.

31060.9.1 Office of Peace Officer Selection Functions

• OPOS shall administer the following:

  • Examinations for the Correctional Officer (CO) classification.

  • Background investigations, medical examinations, and psychological screenings pursuant to the requests of hiring authorities looking to appoint non-peace officer applicants to peace officer positions (see DOMDepartment Operations Manual Section 31060.9.3.3).

  • Appointments of COs from the eligible list.

  • Reinstatements to the CO classification for cadets rejected from the Basic Academy.

  • Coordination of requests for Criminal Identification and Information (CI&ICriminal Identification and Information) State Summary Criminal History (SSCHState Summary - Criminal History) from the State Department of Justice (DOJDepartment Of Justice) (see DOMDepartment Operations Manual Section 31060.18).

31060.9.2 Peace Officer Recruitment

• Various Federal and State laws, executive orders, and court decisions regulate California civil service employment and provide the basis for recruitment programs.

• Peace officer recruitment shall be conducted by OPOS.

• Goals and Objectives

  • The Department is committed to an aggressive EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Program, recognizing the need to employ all segments of the population.

  • The Department intends to:

    • Use to the maximum all available human resources.

    • Provide EEOEqual Employment Opportunity Office (see Office of Internal Affairs) to all on the basis of merit and fitness, without regard to age, sex, race, national origin, religion, disability, sexual orientation, or political affiliation.

    • Achieve and maintain a work force which represents by occupational group, responsibility level, and salary level the diverse ethnic and cultural groups found within the State.

    • Attract qualified applicants to compete for appointment in the Department.

    • Increase the overall effectiveness of our law enforcement community.

    • Increase qualified minority group/affirmative action representation within the Department’s law enforcement community.

    • Enhance the Department’s public image through advertising in all phases of the media, personal contacts with citizens in the community, and enlightening the public with regard to the operations of the Department.

31060.9.2.1 Office of Peace Officer Selection Responsibilities

• OPOS shall ensure the development and maintenance of a dynamic recruitment program to attract the most qualified applicants to compete in the selection process for entry-level peace officer classifications.

31060.9.2.2 Institution/Parole Responsibilities

• Division of Adult Institutions (DAIDivision of Adult Institutions (formerly Institutions Division)) and Division of Adult Parole Operations (DAPODivision of Adult Parole Operations (formerly P&CSD)) staff perform specific recruitment activities tailored to meet the needs of their respective communities as well as those with statewide impact.

31060.9.3 Peace Officer Appointment Process

• OPOS shall appoint qualified applicants to the CO classification. For each appointment, the hiring authority shall ensure that all legal and policy requirements are met prior to the effective date of the appointment.

31060.9.3.1 Office of Peace Officer Selection Clearances

• The hiring authority is to obtain the necessary OPOS clearances (see DOMDepartment Operations Manual Section 31060.8.2.1) prior to appointing any applicant who is not currently a departmental peace officer employee to a peace officer position by submitting CDCRCalifornia Department of Corrections and Rehabilitation Form 1923, Individual Service Request to the appropriate Selection Center.

31060.9.3.2 Selection Center Service Areas

• The Selection Centers, which are located in Sacramento, Fresno, and Rancho Cucamonga, shall provide assistance to the hiring authorities within the various regional service areas (see DOMDepartment Operations Manual Section 15090.2.10) as outlined below:

  • Northern Selection Center – Sacramento:

    • Headquarters.

    • CCCCalifornia Correctional Center.

    • CHCF.

    • CMFCalifornia Medical Facility.

    • DAPODivision of Adult Parole Operations (formerly P&CSD) Northern Region.

    • FSPFolsom State Prison.

    • HDSPHigh Desert State Prison.

    • MCSPMule Creek State Prison.

    • NACYCF.

    • NCYCC.

    • PBSPPelican Bay State Prison.

    • SACCalifornia State Prison, Sacramento.

    • SOLCalifornia State Prison, Solano or Statute of Limitations .

    • SQCalifornia State Prison, San Quentin.

  • Central Selection Center – Fresno:

    • ASPAvenal State Prison.

    • CCWFCentral California Women's Facility.

    • CCICalifornia Correctional Institution.

    • CMCCalifornia Men's Colony.

    • CORCalifornia State Prison, Corcoran.

    • CTFCorrectional Training Facility.

    • DVIDeuel Vocational Institution.

    • KVSPKern Valley State Prison.

    • NKSPNorth Kern State Prison.

    • PVSPPleasant Valley State Prison.

    • SATFCalifornia Substance Abuse Yreatment Facility & State Prison, Corcoran.

    • SCCSierra Conservation Center.

    • SVSPSalinas Valley State Prison.

    • VSPValley State Prison.

    • WSPWasco State Prison.

  • Southern Selection Center – Rancho Cucamonga:

    • CACCommission on Accreditation for Corrections.

    • CALCalipatria State Prison.

    • CENCentinela State Prison.

    • CIMCalifornia Institution for Men.

    • CIWCalifornia Institution for Women.

    • CRCCalifornia Rehabilitation Center.

    • CVSPChuckawalla Valley State Prison.

    • DAPODivision of Adult Parole Operations (formerly P&CSD) Southern Region.

    • ISPIronwood State Prison.

    • LACCalifornia State Prison, Los Angeles County.

    • RJDRichard J. Donovan Correctional Facility at Rock Mountain.

    • VYCF.

31060.9.3.3 Individual Service Request Process

• Revised July 27, 2021

  • The Individual Service Request, CDCRCalifornia Department of Corrections and Rehabilitation Form 1923, shall be signed by one of the following: the IPOInstitutional Personnel Officer; Business Manager; Associate Warden, Business Services; Chief Deputy Warden; Warden; Parole Administrator; Regional Parole Administrator; Assistant Deputy Director; Regional Administrator; Assistant Director; Deputy Director or designee. The signed CDCRCalifornia Department of Corrections and Rehabilitation Form 1923 shall be submitted to the Selection Center closest to the applicant’s residence, Attn: Testing Unit Manager.

  • The following shall be included with the signed CDCRCalifornia Department of Corrections and Rehabilitation Form 1923:

    • State Examination/Employment Application (STDStandard Form (DGS) 678).

    • Copy of applicant’s driver’s license.

  • Upon notification by the OPOS Background Investigation Unit, applicants shall be required to submit the following items as instructed in the notification:

    • Completed Personal History Statement questionnaire.

    • Notarized “Authorization for Release of Information” agreement.

    • Certified birth certificate or original naturalization certificate or approved USCIS Application for Certificate of Citizenship.

    • Copy of marriage certificates or divorce decrees.

    • Sealed and certified high school and college transcripts.  Transcripts may be submitted via electronic mail directly from the educational facility, school district office, or by use of a secure transcript service.

    • Copy of Proof of Valid Auto Insurance.

    • Copy of Certificate of Release or Discharge from Active Duty (DD Form) 214 (Member 4 – Long Form).

  • The Chief, OPOS, or designee, will notify the hiring authority by memorandum as to whether the clearance for hire is granted or withheld.

  • If the hiring authority disagrees with the Chief, OPOS, the decision may be appealed to the Deputy Director, Peace Officer Selection and Employee Development (POSEDPeace Officer Selection and Development). The hiring authority shall document the appeal in writing and submit it to the
    Deputy Director, POSEDPeace Officer Selection and Development, for consideration and forward a copy of the appeal to the
    Chief, OPOS.  The Deputy Director, POSEDPeace Officer Selection and Development shall make a determination and forward copies of the decision to the submitting hiring authority and the Chief, OPOS.

31060.9.3.4 Office of Internal Affairs Individual Service Request Determinations and Appeals

• The Office of Internal Affairs (OIAOffice of Internal Affairs) will select candidates to perform internal affairs investigations for the department based on merit and will submit their candidate selections to the Office of Peace Officer Selection (OPOS) to conduct a secondary background investigation in accordance with Penal Code (PCPenal Code) section 6065(b)(1).

  • OPOS shall determine if a candidate passes a secondary background check based upon the criteria established by OPOS in consultation with OIAOffice of Internal Affairs and consistent with PCPenal Code section 6065.

  • If OPOS determines a candidate passed the secondary background check, Human Resources will determine if the candidate satisfies the minimum qualifications and appointment eligibility prior to a Conditional Offer of Employment (COE). When the Deputy Director, OIAOffice of Internal Affairs, or designee makes a COE, they shall provide a copy of the COE to the Chief, OPOS or designee for completion of the medical and psychological examination process.

  • If OPOS determines the candidate did not pass the secondary background check and will be removed from consideration for appointment, the OPOS shall notify the candidate. Human Resources shall be responsible for responding to appeals for minimum qualification and examination eligibility. Furthermore, if a candidate does not pass the secondary background check, Human Resources shall be responsible for removing the candidate from the certification list for which the secondary background check was required. OIAOffice of Internal Affairs shall be responsible for responding to merit-based appeals.

31060.10 Basic Academy

• Revised March 20, 2020

• All appointees to the class of officer must attend the Basic Correctional Officer Academy (BCOA).  Effective dates of appointments are to coincide with the first date of BCOA they are to attend.

31060.10.1 Permanent Intermittent Officers

• Permanent Intermittent (PIPermanent Intermittent) Officers shall be given priority consistent with list eligibility or SPBState Personnel Board (see CalHR) Rule 277 for permanent full-time vacancies.

• Within two weeks of the start of each Basic Academy, the OPOS will issue a notice to the Wardens of the eligibility standing of the PIs for full-time positions.

31060.10.2 Hardship Transfers

• Officers attending the Basic Academy requesting a hardship transfer shall submit a request to the Chief, OPOS. All other officers requesting a hardship transfer shall submit requests to the Warden of the proposed and the releasing facility. (See DOMDepartment Operations Manual 3310.21.1 for process.)

31060.11 Good Faith Civil Service Appointments

• A valid civil service appointment is made and accepted in “good faith” under the civil service statutes and SPBState Personnel Board (see CalHR) rules.

• To Make a Valid Appointment

  • In order to make an appointment in “good faith,” the Secretary and the designated hiring authorities shall meet the following requirements:

    • Intend to observe the spirit and intent of the law.

    • Make a reasonable and serious attempt to determine how the law is applied.

    • Assure that positions are properly classified.

    • Assure that appointees have civil service appointment eligibility.

    • Intend to employ the appointee in the class, tenure, and location to which appointed under the conditions reflected by the appointment documents.

    • Assure the Personnel Transactions staff have reference materials, training, and supervision necessary to avoid mistakes.

    • Respect the rights and privileges of other persons affected by the appointment; avoid any appearance of coercing an eligible to waive rights to an appointment.

  • In order to accept an appointment in “good faith,” an employee shall:

    • Intend to serve in the class to which the employee is being appointed under the tenure, location, and other elements of the appointment as reflected by the appointment document.

    • Provide the appointing power with complete factual and truthful information necessary for a proper appointment.

    • Make a reasonable attempt to seek correction of any aspects of the appointment that the employee knows are illegal.

31060.11.1 Sanctions for Violating Good Faith Requirements

• Any officer or employee who knowingly violates or directs any officer or employee to violate these provisions shall be subject to any or all of the following:

  • Adverse action.

  • Civil sanctions.

  • Criminal sanctions.

• The SPBState Personnel Board (see CalHR) Executive Officer may cancel an illegal or improper appointment if lack of “good faith” exists on the part of either appointing power or employee.

31060.12 Request to Appoint Into a Different Location

• When making appointments to positions that are rostered in a different location than the hiring authority, the hiring authority shall use the agency code where the position is rostered on its internal appointment request document.

  • This occurs, for example, when an employee of the Education and Inmate Programs Section works at the CIMCalifornia Institution for Men, and the position is actually rostered in Sacramento County.

  • This separate identification is critical for audits and seniority list requests. Seniority lists must accurately reflect all employees in affected classes and their locations.

31060.14 Oath of Allegiance/Declaration of Permission to Work

• The STDStandard Form (DGS) Form 689, Oath of Allegiance and Declaration of Permission to Work for Persons Employed by the State of California, shall be signed by every employee within thirty days of appointment.

  • Citizen

    • U.S.United States citizens shall sign the Oath of Allegiance; which shall be valid until the employee permanently separates from State employment. Validation may be made by the following:

      • Executive staff, hiring authorities, personnel assistants, and those in the direct chain of command of the personnel assistants.

      • Anyone who by law has the authority to administer oaths (i.e., public notaries; the Attorney General; judicial officers; and county officers like the DA, sheriff, county clerk, or justice of the peace).

    • No fee shall be charged by any person before whom the Oath is taken and subscribed.

  • Noncitizen

    • Non-citizen employees shall complete the Declaration of Permission to Work.

    • If a legally employed non-citizen becomes a naturalized citizen, the Oath of Allegiance shall be completed.

31060.15 Federal Employment Eligibility Verification

• All applicants hired after November 6, 1986, shall complete and sign a U.S.United States Citizenship and Immigration Services (USCIS) Form I-9, Employment Eligibility Form, before being appointed.

• Staff shall review and verify in accordance with directions on the back of the form.

• The OPOS shall:

  • Ensure completion, review and verification for all entry-level peace officer applicants including lateral transfers and reinstatements.

  • Forward the completed forms to the appropriate local personnel/payroll office.

• Local personnel/payroll officers shall:

  • Ensure completion, review and verification of applicants for all other classifications.

  • File and retain the forms (see DOMDepartment Operations Manual 31060.18).

31060.16 Criminal Records Check

• Revised September 2, 2021

  • A criminal records check is a requirement for employment with California Department of Corrections and Rehabilitation (CDCRCalifornia Department of Corrections and Rehabilitation) and includes:

    • Consent to be fingerprinted (live scanned).

    • Request for and review of the Criminal Identification and Information – State Summary Criminal History (CI&ICriminal Identification and Information SSCHState Summary - Criminal History).

  • Process.  If an appointment is expected, each applicant shall be live scanned pursuant to Department Operations Manual (DOMDepartment Operations Manual) section 31060.16.2 by personnel staff at the earliest possible time. For California Correctional Health Care Services staff, reference Health Care Department Operations Manual, Administrative Policy, Section 2.1 Live Scan Fingerprinting Policy and Procedure. Each live scan shall be processed as follows:

    • The fingerprint images and personal information shall be transferred directly to the State of California Department of Justice (DOJDepartment Of Justice) through an automated transferal process made via the live scan device.

    • A personnel staff member shall fax CDCRCalifornia Department of Corrections and Rehabilitation Form 3056, Request for Live Scan Service to the Office of Peace Officer Selection (OPOS) Live Scan Unit the day the applicant is live scanned.

      • Note:  On CDCRCalifornia Department of Corrections and Rehabilitation Form 3056, the facility or office region acronym shall be written in the space entitled “OCA No. of Receiving Location.”

      • The OPOS Live Scan Unit (LSU) shall forward the DOJDepartment Of Justice response to the originator of the request, i.e., the hiring authority or designee. The hiring authority or designee shall process the DOJDepartment Of Justice response pursuant to section 31060.16.3(f).

  • The hiring authority or designee shall complete the CDCRCalifornia Department of Corrections and Rehabilitation Form 2164, Live Scan Response Form DOJDepartment Of Justice/FBIFederal Bureau of Investigation/Firearms provided by OPOS and shred the response from the State DOJDepartment Of Justice unless the response is a Record of Arrests and Prosections (RAP) sheet. 
    If a RAP sheet is received, the RAP sheet is to be filed in a secure, confidential location by the hiring authority or designee.

  • The hiring authority or designee shall review the DOJDepartment Of Justice responses for persons appointed to positions which allow them access to inmate records or Electronic Data Processing (EDPElectronic Data Processing (see IT)) terminals capable of accessing electronically stored inmate records.

31060.16.1 Individuals Mandated for Live Scanning

• Non-Sworn Personnel (NSP) – Employees in Non-Peace Officer classifications:those who are paid by the state.

• Peace Officer (POPurchase Order) – Any Peace Officer classification including Retired Annuitants working in Peace Officer positions.

• All Contractors and Volunteers must be live scanned pursuant to DOMDepartment Operations Manual Chapter 10, Article 9.

  • Contractors (CON) – Contractors, Sub-contractors.

  • Volunteer (CON) – Per DOMDepartment Operations Manual section 101090.6.3 all provisional and regular volunteers receiving Volunteer Identification Cards (VIC) shall be live scanned.

    • Provisional volunteers are those who provide their services under escort as determined by the Community Resources Manager and are subject to performance evaluation requirements.

    • Regular volunteers are those who provide services on an ongoing basis and have completed six months of trial evaluation.

• Retired Peace Officers (RPO)/Carry Concealed Weapon (CCW) Permit – Any employee retiring and requesting a CCW permit shall be live scanned.

  • Before live scanning an individual for a CCW permit/renewal, email the Live Scan Unit (LSU) to verify that a RPO record is not already on file.  Per DOMDepartment Operations Manual section 31070.8.5, the CCW live scan is good for the life of the applicant, therefore when the CCW applicant returns to renew their permit every five years, the clearance information from the original live scan is sufficient to process the renewal.

  • Each applicant requesting a new RPO live scan shall pay a CDCRCalifornia Department of Corrections and Rehabilitation $68 processing fee.  The $68 payment is collected at the time of the live scan submission. CCW payments must be in the form of a check or money order, made to CDCRCalifornia Department of Corrections and Rehabilitation with a copy of the
    CDCRCalifornia Department of Corrections and Rehabilitation Form 3056 attached.  Mail to the Southern California Regional Accounting Office (SRAO).  Additionally, fax a copy of the CDCRCalifornia Department of Corrections and Rehabilitation Form 3056 to LSU.

31060.16.2 CDCR FORM 3056 Request for Live Scan Service

• A criminal records check is a requirement when an applicant accepts employment with CDCRCalifornia Department of Corrections and Rehabilitation. The applicant shall provide their appropriate identification and personal information when submitting the CDCRCalifornia Department of Corrections and Rehabilitation Form 3056 to the CDCRCalifornia Department of Corrections and Rehabilitation Live Scan Operator.

• The Live Scan Operator checks the applicant’s identification, inputs the applicant’s personal descriptor information, captures the applicant’s fingerprints electronically, and transmits the data to DOJDepartment Of Justice.  At the conclusion of the session, an Applicant Transaction Identifier (ATI) number shall be notated on the CDCRCalifornia Department of Corrections and Rehabilitation Form 3056 to identify the transaction.

• A staff member shall fax CDCRCalifornia Department of Corrections and Rehabilitation Form 3056 to the Office of Peace Officer Selection (OPOS), LSU the same day the applicant is live scanned.

31060.16.3 Live Scan Components

• Peace Officer (POPurchase Order) and Retired Peace Officer (RPO)/Carrying Concealed Weapon (CCW) classifications have four components (Department of Justice (DOJDepartment Of Justice),Federal Bureau of Investigations (FBIFederal Bureau of Investigation), Firearms (FA), and Child Abuse Central Index (CACI).

• Non-Sworn Personnel, Contractor, and Volunteer classifications have two components (DOJDepartment Of Justice, FBIFederal Bureau of Investigation).

• All Division of Juvenile Justice (DJJDivision of Juvenile Justice (formerly CYA)) staff must be live scanned under CACI.

• DJJDivision of Juvenile Justice (formerly CYA) W/CACI Series – Non-Peace Officer, Volunteer, and Contractor classifications have three components. (DOJDepartment Of Justice, FBIFederal Bureau of Investigation, CACI).

• DJJDivision of Juvenile Justice (formerly CYA) W/CACI Peace Officer classification has four components. (DOJDepartment Of Justice, FBIFederal Bureau of Investigation, Firearms, and CACI).

• The hiring authority shall be responsible for completing the CDCRCalifornia Department of Corrections and Rehabilitation Form 2164 and placing it in the applicant’s Official Personnel File (OPFOfficial Personnel File).  All live scan responses unless there is a RAP sheet.

• If a DAIDivision of Adult Institutions (formerly Institutions Division) employee is transferring from one institution to another, send an inquiry to CDCRLivescan@cdcr.ca.gov to check for an active record on file.

• If a DJJDivision of Juvenile Justice (formerly CYA) employee is transferring to a DAIDivision of Adult Institutions (formerly Institutions Division) facility, a CDCRCalifornia Department of Corrections and Rehabilitation Form 1797,No Longer Interested Notification, shall be submitted to the Live Scan Unit.  The employee must be live scanned under DAIDivision of Adult Institutions (formerly Institutions Division) components DOJDepartment Of Justice, FBIFederal Bureau of Investigation and FA.

31060.16.4 Record of Arrests and Prosecutions (RAP) Sheets

• If the response is a Record of Arrests and Prosecutions (RAP) sheet or CACI response, the Institutional Personnel Officer (IPOInstitutional Personnel Officer) shall file a RAP or CACI sheet in a secured location in their office, not in the OPFOfficial Personnel File.

• If the RAP/CACI sheet will be forwarded to the Warden or Superintendent, attach DOJDepartment Of Justice Form, Employee Statement, for signature.

• If an employee transfers to another facility, both the RAP and CACI shall be placed in a confidential envelope addressed to the IPOInstitutional Personnel Officer Manager of the receiving hiring authority.

• If the employee contractor or volunteer separates from CDCRCalifornia Department of Corrections and Rehabilitation, shred both the CACI and RAP sheet.

31060.16.5 No Longer Interested Notifications (NLI) CDCR Form 1797

• CDCRCalifornia Department of Corrections and Rehabilitation Form 1797, No Longer Interested Notification shall be submitted to the OPOS Live Scan Unit by the hiring authority for the following:

  • Employees who are terminated, deceased, separated, or retired from the department.

  • Contracted workers, volunteers, vendors, or other service providers whose services are no longer required by the department.

  • Applicants who were fingerprinted but not hired by the department.

• When an employee, contractor, or volunteer separates from service, the hiring authority shall submit one of the following forms to the OPOS Live Scan Unit:

  • CDCRCalifornia Department of Corrections and Rehabilitation Form 1797.

  • Subsequent Arrest Notification stamped “No Longer Interested.”

  • DOJDepartment Of Justice/FBIFederal Bureau of Investigation RAP sheet stamped “No Longer Interested” (For OPOS Background Investigations Unit).

• If a Peace Officer/Non-Peace Officer employee transfers within the department, a CDCRCalifornia Department of Corrections and Rehabilitation Form 1797 is not required.  When an employee separates from the department a CDCRCalifornia Department of Corrections and Rehabilitation Form 1797 is required.

• Pursuant to the California Penal Code section 11105.2, CDCRCalifornia Department of Corrections and Rehabilitation is required to notify the DOJDepartment Of Justice when it no longer has a legitimate interest in this subject, (i.e., the applicant is no longer interested, or was never employed; the individual’s license or certification is denied or revoked; or the individual is no longer eligible to renew or re-instate the license or certificate.)

31060.16.6 Subsequent Arrest Notification/Firearms Restriction Notices

• Once a CDCRCalifornia Department of Corrections and Rehabilitation employee has been live scanned, DOJDepartment Of Justice will send Subsequent Arrest Notifications or Firearms Restriction Notices to the LSU in the event the individual is arrested, detained, or a court disposition is rendered.

• These notifications shall be processed on the day they are received and a memorandum is forward to the Warden, Superintendent, Director, Regional Administrator, Correctional Administrator, or other qualifying Executive Management.

31060.17 Pre‑Employment Documentation

• The following records shall be on file in the local personnel/payroll office prior to appointment of an applicant:

  • CI&ICriminal Identification and Information SSCHState Summary - Criminal History.

  • Live scan.

  • USINSUnited States Immigration and Naturalization Service (see USICE) Form I-9.

  • Physical examination report.

  • CDCRCalifornia Department of Corrections and Rehabilitation Form 1951, Supplemental Application for all CDCRCalifornia Department of Corrections and Rehabilitation Employees.

31060.18 Retention of Personnel Records

• All applications; supplemental applications; personnel, membership, or employment referral records; and files of applicants shall be retained a minimum of two years in a confidential file.

• Unsolicited applications are excluded from the retention requirement.

• Transferring Employees

  • The following documents are retained in the separated employee’s folder once the employee transfers:

    • One copy of the CDC Form 647, Request for Personnel Action,or CDC Form 647-A, Request for Personnel Action-Institutions.

    • One copy of the STDStandard Form (DGS) Form 612, Transfer Data Sheet.

    • One copy of the CDCRCalifornia Department of Corrections and Rehabilitation Form 1951, Supplemental Application for all CDCRCalifornia Department of Corrections and Rehabilitation Employees

    • CDC Form 648, Report of Separation.

    • One copy of the separation checkout list (if used).

  • Other material in the Official Personnel Folder shall be purged according to the SAMState Administrative Manual 1670 and the remaining contents forwarded to the receiving location.

• Employment Eligibility Verification Forms

  • USCIS Form 1-9 shall be:

    • Maintained in a file separate from the Official Personnel Folder.

    • Retained for three years after the date of employment or for one year after termination of employment, whichever is later.

• No Longer Interested Notification Forms

  • A DOJDepartment Of Justice, CI&ICriminal Identification and Information Form 8302, No Longer Interested Notification (NLINo Longer Interested Notification) Form, shall be submitted to the OPOS Live Scan Unit by each personnel section on any of the following who were fingerprinted at the time of application or appointment:

    • Employees who are terminated, spearated, or retired from the Department.

    • Contracted workers, volunteers, vendors, or other service providers whose services are no longer required by the Department.

    • Applicants who were fingerprinted but not hired by the Department.

31060.19 Photographs

• Current photographs shall be taken of all employees.

• One photograph shall be used on the employee’s personnel identification card (see DOMDepartment Operations Manual 31070).

• One photograph shall be placed and retained in the employee’s Official Personnel Folder.

• Responsibility

  • The Personnel Transactions Section shall photograph headquarters’ employees.

  • Facility personnel/payroll offices shall photograph facility employees.

  • Parole regions shall photograph their employees and forward one photograph to Personnel Transactions Section.

31060.20 Employee Exit Questionnaire

• The Employee Exit Questionnaire (CDC 1144) is a tool designed to examine employee movement from and within the Department.

• Responsibility

  • The responsibility for the Employee Exit Questionnaire rests with the Personnel Services Section.

  • On-site coordinators within each division, facility, and parole region shall be responsible for coordinating the distribution of the questionnaire to all employees transferring, leaving, or changing classifications. If the responsibility for coordinating the distribution of the exit questionnaire is reassigned, the name of the new survey coordinator shall be provided to the Personnel Services Section promptly.

  • Completion of the questionnaire is voluntary. Names shall not be used and a self-addressed envelope shall be provided for mailing the questionnaire directly to headquarters.

  • Information from the questionnaire shall be reviewed and evaluated by staff from the Personnel Management Branch. The results and findings of the questionnaire shall then be reported to management on a regular basis.

  • If an employee wishes, an exit interview may be made by the employee with the Personnel Services Section.

31060.21 Revisions

• The CDCRCalifornia Department of Corrections and Rehabilitation or CCHCS Deputy Director, HRHuman Resources, or designee shall be responsible for ensuring the contents of this Article are kept current and accurate.

References

• CCRCalifornia Code of Regulations Title 2, Division 1, §§ 212, 258, 277, 300-304, and 599.810.

• CCRCalifornia Code of Regulations Title 15, Division 3, §§ 3000, 3291(b), 3390, and 3404.

• GCGovernment Code §§ 1029, 1029.1, 1031, 7290-7299.8, 12946, 12976, 18150, 18157, 18158,18522, 19080-19083, 20022, 21153, and 21220-21233.

• PCPenal Code §§ 830 and 830.6(b).

Revision History

• Revised: January 17, 2000.

• Revised Sections 31060.9, 31060.10.1, 31060.10.2, 31060.11, 31060.11.1, 31060.12, 31060.14, 31060.15, 31060.19, 31060.20, and 31060.21: December 27, 2010.

• Revised Section 31060.8.12: July 19, 2012.

• Revised Sections 31060.3, 31060.5.5, 31060.17, and 31060.18: July 1, 2015.

• Revised Section 31060.6.2: November 25, 2015.

• Revised Sections 31060.9.1, 31060.9.2, 31060.9.2.1, 31060.9.2.2, 31060.9.3, 31060.9.3.1, 31060.9.3.2, 31060.9.3.3, 31060.9.3.4, 31060.16, and 31060.22:  June 28, 2017.

• Revised Section 31060.8.2.1: June 29, 2017.

• Revised Sections 31060.10: March 20, 2020.

• Revised Sections 31060.3 and 31060.22: February 16, 2021.

• Revised Section 31060.9.3.3: July 27, 2021.

• Revised Sections 31060.16, 31060.16.1, 31060.16.2, 31060.16.3, 31060.16.4, 31060.16.5 and 31060.16.6: September 2, 2021.

• Revised Sections 31060.6.2 and 31060.21: July 1, 2024.

• Revised Sections 31060.9.3 and 31060.21: October 14, 2025.

31070.1 Policy

• In order to maintain security and order within Department facilities and provide proof to other agencies and private citizens of an individual’s relationship with the Department, departmental identification (IDInstitutions Division (see DAI)) cards or memoranda shall be issued to employees, contractors, consultants, volunteers, advisory group members, and Department retirees.

31070.2 Purpose

• This article specifies the procedural requirements for issue, retrieval, and control of departmental IDInstitutions Division (see DAI) cards or memoranda.

31070.3 Definitions

• For this article only the following definitions apply:

  • Employee: a person employed by the State of California, California Department of Corrections and Rehabilitation (CDCRCalifornia Department of Corrections and Rehabilitation).

  • Individual: an employee, volunteer, CDCRCalifornia Department of Corrections and Rehabilitation retiree, consultant, contractor, union representative, or advisory group member.

31070.4 Responsibilities

• Local personnel offices shall:

  • Issuance

    • Order, securely store, and issue IDInstitutions Division (see DAI) cards.

    • Verify completion of preemployment documentation (i.e., criminal records check, medical examination/health questionnaire, etc.). [See Department Operations Manual (DOMDepartment Operations Manual) Subsection 31060.]

    • Maintain the hiring authority’s record of issuance and retrieval of IDInstitutions Division (see DAI) cards.

    • Individuals shall complete and sign CDCRCalifornia Department of Corrections and Rehabilitation Form 894-A, Personnel IDInstitutions Division (see DAI) Card Info, for each IDInstitutions Division (see DAI) card issued to them. Individuals shall, while on duty and/or while on the grounds of a Department institution/facility, carry their identification cards on their person and produce the card upon request.

  • Retrieval

    • Individuals shall surrender the IDInstitutions Division (see DAI) card to their supervisors or local personnel offices under the following circumstances:

      • On or before the expiration date shown on the card.

      • Upon separation from the Department.

  • An employee transferring, promoting, or demoting within the Department shall retain the IDInstitutions Division (see DAI) card until a new card is issued.

    • The receiving facility or headquarters shall collect and destroy the old IDInstitutions Division (see DAI) card.

    • The receiving facility or headquarters shall email the sending location, notifying them of the date the IDInstitutions Division (see DAI) card was destroyed.

    • The sending location shall record and maintain the date the IDInstitutions Division (see DAI) card was destroyed.

  • Tracking

    • Each hiring authority, by the local personnel, shall maintain a database, binder, or bound book for a record of information on the issue, return, and disposition of each IDInstitutions Division (see DAI) card. This record shall include the following information:

      • Name of the individual.

      • Class title.

      • Date issued to the individual.

      • Serial number.

      • Signature of individual.

      • Public Employment Representative Board (PERBPublic Employment Representative Board) or designation,
        (i.e., management, supervisory, confidential, rank and file, retired, temporary,
        or volunteer).

      • Expiration date.

      • Date the card is destroyed because of expiration, separation, transfer, promotion, demotion, or replacement issued because the card was lost, stolen, or mutilated.