Chapter 3 – Personnel, Training, and Employee Relations

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 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.

31040.3.4.1 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.

31040.3.4.2 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.

31040.3.4.3 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.

31040.3.4.4 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 Deputy 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: 

• (1) 29 U.S.C. § 2601 et seq.; 38 U.S.C. §§ 4301 et seq.; 42 U.S.C. §§ 12101-12213; 

• (2) 20 C.F.R. §§ 1002.198, 1002.225, 1002.226;

• (3) Civil Code, § 56.20(a);  

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

• (5) Labor Code, §§ 1030-1033;

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

• (7) 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. 

• Revised Subsections 31040.3.4 through 31040.3.4.5 are renumbered to 31020.12 through 31020.12.3; subsections 31040.3.5 through 31040.3.5.4 are renumbered to 31040.3.4 through 31040.3.4.4: January 15, 2026.