Chapter 3 – Personnel, Training, and Employee Relations

Employees and appointed officials of the Department, California Prison Industry Authority (CALPIACalifornia Prison Industry Authority (formerly PIA)), Prison Industry Board (PIBPrison Industry Board), Board of Parole Hearings (BPHBoard of Parole Hearings (formerly Board of Prison Terms)), and Division of Juvenile Justice shall neither make nor participate in making governmental decisions which may affect their own economic interests.

This section specifies the requirements and categories for disclosure of economic interests and identifies those positions within the Department, CALPIACalifornia Prison Industry Authority (formerly PIA), and PIBPrison Industry Board, which are subject to the disclosure requirements.

Incumbents of designated positions, based on the assigned category, shall complete and file with their local personnel office a Statement of Economic Interest, Form 700.

The local personnel office shall forward these forms to the Filing Officer – the Deputy Director, Human Resources (HRHuman Resources).

The Filing Officer or designee shall:

• After retaining a copy, forward the original statements of the following persons to the Fair Political Practices Commission:

• California Department of Corrections and Rehabilitation Secretary.

• Members of boards and commissions, BPHBoard of Parole Hearings (formerly Board of Prison Terms), State Commission of Juvenile Justice, and Juvenile Parole Board.

• PIBPrison Industry Board members.

• Retain the original statements of all other employees for public inspection.

All incumbents of current designated positions shall file annual statements no later than April 1 each year for the preceding calendar year.

Incumbents of positions which become designated by an amendment of the Conflict of Interest Code shall file initial statements within 30 days after the effective date of the amendment.

Persons who are appointed (from an open or promotional employment list or by transfer, reinstatement, demotion, or any other means) to designated positions shall file assuming office statements as follows:

• Within 30 days of the date of nomination or effective date of appointment if subject to State Senate confirmation; or

• Within 30 days of the effective date of appointment to any other designated position.

• Filing deadlines for filers under active military duty – if a person is under active military duty as defined in the Service Member’s Civil Relief Act, the deadline for the annual Form 700 is 30 days following his/her return to office. The individual or his/her representative must notify the filing officer in writing prior to the filing deadline that he/she is subject to the federal statute and is unable to meet the applicable deadline, and provide the filing officer verification of his/her military status.

Leaving Office Statement

• Each person who leaves a designated position shall file a leaving office statement within 30 days after leaving.

Self-Disqualification

• No designated employee shall make, participate in making, or in any way attempt to use his or her official position to influence the making of any governmental decision which he or she knows or has reason to know will have a reasonably foreseeable material financial effect, distinguishable from its effect on the public generally, on the official or a member of his or her immediate family or on:

  • Any business entity in which the designated employee has a direct or indirect investment worth $2,000 or more;

  • Any real property in which the designated employee has a direct or indirect interest worth $2,000 or more;

  • Any source of income, other than gifts and other than loans by a commercial lending institution in the regular course of business on terms available to the public without regard to official status, aggregating $500 or more in value provided to, received by or promised to the designated employee within 12 months prior to the time when the decision is made;

  • Any business entity in which the designated employee is a director, officer, partner, trustee, employee, or holds any position of management; or

  • Any donor of, or any intermediary or agent for a donor of, a gift or gifts aggregating $440 or more provided to, received by, or promised to the designated employee within 12 months prior to the time when the decision is made.

Exception

• No person in a designated position shall be prevented from making or participating in any decision if the participation is legally required for the decision to be made. The fact that the vote of a person who is on a voting body is needed to break a tie does not make the participation legally required for purposes of this section.

In the case of a person who is the head of an agency, this determination and disclosure shall be made in writing to the appointing authority. When a person in a designated position determines that he or she should not make a governmental decision because of an economic interest, the determination not to act shall be accompanied by disclosure of the economic interest.

Head of Agency Board/Commission Members

• If the person is a board or commission member, the determination and disclosure shall be entered into the official record at the meeting during which consideration of the decision takes place.

Other Persons

• In the case of other persons, this determination and disclosure shall be made in writing to the person’s supervisor.

  • Upon receipt of the determination and disclosure, the supervisor shall immediately reassign the matter to another person.

  • After reassignment of the matter, the supervisor shall forward the determination and disclosure with a notation of the reassignment to the local personnel office for forwarding to the Filing Officer.

The Deputy Director, HRHuman Resources shall ensure that the content of this section is accurate and current.

CCRCalifornia Code of Regulations (2) § 18730.

GCGovernment Code § 81000 et. seq.

CCRCalifornia Code of Regulations (15) (7) § 7001 Article 11- Smoking – Nonsmoking and Tobacco

To provide a healthful, comfortable, and productive work environment for employees, the Governor of the State of California has prohibited cigarette, cigar, and pipe smoking in all State-owned, leased, or occupied buildings. In addition, the Secretary, under the authority of Penal Code § 5030 and 5058, has prohibited the use and possession of all tobacco products at all institutions and facilities that house or detain inmates, with the exception of residential staff housing when inmates are not present. Employees shall not use or possess tobacco products in the presence of inmates. Tobacco products for personal use off institution/facility grounds shall be secured in a locked private vehicle. Smoking is also prohibited in all State passenger vehicles and any other mobile-enclosed equipment. Tobacco product advertising is not allowed inside any State-owned or occupied building unless it is contained in a program, leaflet, newspaper, magazine, or other written material lawfully sold, brought, or distributed within a State building. Posting of any tobacco product or smoking advertisement is prohibited (posters, signs, written, or visual material). Smoking is not allowed within 20 feet of a main entrance, exit, or operative window of a public building.

This Article designates the Department’s responsibilities in providing a smoke-free environment for all employees.

Collective Bargaining Disclaimer

• If any non-statutory provision of this Article conflicts with collective bargaining agreements, the collective bargaining agreement shall prevail as it relates to the specific represented group unless legal exceptions or required legislative action apply.

All employees shall:

• Adhere to and enforce this Policy.

• Attempt to resolve disagreements informally.

• Bring to the attention of the appropriate supervisor any conflicts which cannot be resolved informally.

All supervisors shall ensure that:

• No smoking occurs in a State-owned, leased, or occupied building.

• No smoking is allowed within 20 feet of a main entrance or exit or operative window of a building.

• No smoking occures in any State-owned passenger vehicle. Smoking is also prohibited in all other State-owned mobile equipment including light and heavy trucks, cargo and passenger vans, buses, and any other mobile equipment with an enclosed drive/passenger compartment.

• No smoking or tobacco possession occurs at any institution/facility that houses or detains inmates except for residential staff housing when inmates are not present. Employees shall not use or possess tobacco products in the presence of inmates.

Staff possession or use of smoking or tobacco products, as defined in this Policy, shall be subject to the progressive disciplinary process. Any staff involved with the distribution of smoking or tobacco related products, as defined in this Policy, for an inmate and/or for personal gain, shall be subject to adverse action as defined in Department Operations Manual, Chapter 3, Article 22, Adverse Personnel Actions.

Hiring authorities shall establish local smoking and tobacco policies, which are consistent with the provisions of this Section and the Governor’s Executive Order W-42-93, Government Code (GCGovernment Code) sections 7596 through 7598, 19994.30 through 19994.35, and Section 5030.1 of the Penal Code.

Smoke or smoking means inhaling, exhaling, burning, or carrying any lighted cigarette, cigar, pipe, or smoking paraphernalia used for consuming the smoke of tobacco or any other burning product.

Tobacco product means any product that contains tobacco, the prepared leaves of any plant belonging to the nicotiana family, which shall include, but not be limited to, cigarettes, loose tobacco, cigars, snuff, chewing tobacco, or any other preparation of tobacco, tobacco substitutes, smoking paraphernalia, and all other items developed or processed for the primary purpose of facilitating the use or possession of tobacco or tobacco related products as well as packaging material. Packaging material includes, but is not limited to, snuff or cigarette containers.

Time taken away from an employee’s work station shall not exceed the total time an employee is otherwise authorized to take for rest periods. Smoke breaks are in lieu of regular breaks or rest periods and shall be permitted at the discretion of the supervisor.

Smoking areas shall be designated for the purpose of departmentally approved inmate religious ceremonies by the respective facility head. Smoking and tobacco use are permitted in state-owned housing serving as the primary residence for State employees when inmates are not present. Smoking and tobacco use in temporary residential space at correctional training academies and in Staff Quarters at conservation camps will be permitted only in designated areas with designated times to be determined by local operational procedures.

Signs shall be posted at entrances of all areas designated “no smoking” or “no tobacco products use or possession,” along with a citation of the authority requiring such prohibition.

No person shall smoke in any building, areas of any building, or group of buildings owned, leased, or utilized by the Department, with the exception of state-owned housing serving as the primary residence for State employees, when inmates are not present. This shall include, but is not limited to, institutions, facilities, conservation camps, community correctional, reentry, furlough and restitution centers, and family visiting units.

Smoking or tobacco possession is prohibited at any institution/facility that houses or detains inmates except for residential staff housing when inmates are not present.

The Department urges smokers to contact the local chapter of any not-for-profit smoking cessation organization such as the American Lung Association for more information about smoking and tobacco cessation programs. These programs provide for a supportive environment in which employees can quit smoking and tobacco use through education.

The Department’s Office of Risk Management shall periodically distribute helpful literature for those interested in such programs. Additional information can be obtained from the local and/or departmental Employee Assistance Program Coordinator, Headquarters.

311108.1 Training The Department may offer smoking and tobacco cessation programs using existing employee training funds for presentation during normal working hours.

Upon initial employment, all hiring authorities shall inform employees about the smoking and tobacco use prohibition, the areas where smoking or tobacco use is permitted, and the availability of smoking and tobacco cessation programs. Enrollment in a smoking or tobacco cessation program is voluntary.

Resolution of any smoking or tobacco product disagreement on behalf of an employee may be pursued through the Department’s complaint process. Refer to the applicable bargaining unit contract or excluded employee complaint form for the process to file a complaint.

Disputes relating to this Policy are subject to the provisions of Department of Personnel Administration Rule 599.859 for non-represented employees and the various bargaining unit contracts for represented employees.

The Chief Deputy Secretary, Adult Operations, or designee shall be responsible for ensuring that the contents of this Article are kept current and accurate.

GCGovernment Code §§ 7596 through 7598, 19994.30, 19994.33, and 19994.35.

Penal Code § 5030.1.

Governor’s Executive Order W-42-93.

CCRCalifornia Code of Regulations (15), §3187, 3188, and 3189.

Management Memorandum 93-30.

DPADepartment of Personnel Administration (see CalHR) Rule 599.859.

The Department may offer smoking and tobacco cessation programs using existing employee training funds for presentation during normal working hours.

Upon initial employment, all hiring authorities shall inform employees about the smoking and tobacco use prohibition, the areas where smoking or tobacco use is permitted, and the availability of smoking and tobacco cessation programs. Enrollment in a smoking or tobacco cessation program is voluntary.