Chapter 3 – Personnel, Training, and Employee Relations

Personnel appointments shall be accomplished in a uniform manner consistent with applicable laws, policies, and sound personnel practices.

This Section outlines the procedures and requirements that shall be followed for personnel appointments.

The Agency Secretary is the appointing authority for all civil service positions in the California Department of Corrections and Rehabilitation (CDCRCalifornia Department of Corrections and Rehabilitation).  The Receiver is the appointing authority for all civil service positions in the California Correctional Health Care Services (CCHCS).

Hiring Authority – The following are delegated authority by the Agency Secretary to make civil service appointments:

• For CDCRCalifornia Department of Corrections and Rehabilitation:

  • Undersecretaries.

  • Assistant Secretaries.

  • Directors.

  • Deputy Directors.

  • Associate Directors.

  • Wardens.

  • Regional Personnel Administrators.

  • General Manager, California Prison Industry Authority.

• For CCHCS:

  • Chief Deputy Receiver.

  • Undersecretary.

  • Directors.

  • Deputy Directors.

  • Assistant Deputy Directors.

  • Regional Health Care Executives.

  • Chief Executive Officer.

In accordance with 28 Code of Federal Regulations (CFR), part 115, standard 115.17, Hiring Authorities shall not hire or promote anyone whose job duties may put them in contact with inmates, who:

• Have engaged in sexual abuse of an inmate in a prison, jail, lockup, community confinement facility, juvenile facility, or other institution;

• Have been convicted of engaging or attempting to engage in sexual activity in the community facilitated by force, overt or implied threats of force or coercion, or if the victim did not consent or was unable to consent or refuse; or

• Have been civilly or administratively adjudicated to have engaged in the activity described immediately above.

Hiring Authorities shall:

• Implement and enforce departmental Equal Employment Opportunity (EEOEqual Employment Opportunity Office (see Office of Internal Affairs)) policy.

• Maintain the highest standards of personnel selection.

• Ensure that women and ethnic minorities are represented whenever possible on all interview panels, including examination and hiring interviews.

• Consider substantiated incidents of sexual harassment in all hiring decisions.

• Provide new and prospective employees with an explanation of the following:

  • A summary of the applicable civil service position, with salary ranges and steps.

  • Information describing where on the California Department of Human Resources website new and prospective employees will find the following:

    • Information on benefits afforded to employees by membership in the Public Employees’ Retirement System.

    • Benefits and protections provided to public employees per the State Civil Service Act.

• Ask all applicants and employees who may have contact with inmates directly about previous staff sexual abuse and sexual harassment of inmates, in written applications or interviews for hiring or promotions and in any interviews or written self-evaluations as part of reviews of
  current employees.

Except for appointments requiring approval of the Agency Secretary or the Director, the hiring authority’s signature constitutes departmental approval on all appointment documents.

Managers and Supervisors – Managers and supervisors shall work with the headquarters personnel analyst assigned to their program, their Institutional Personnel Officer and business manager to ensure:

• Submittal of accurate job descriptions and organization charts, when required, with proposals for personnel actions, (i.e., establishing new positions, reclassifying existing positions).

• Clarification of questionable personnel issues (i.e., appropriate classification, use ofhiring lists).

• Appropriate action is taken for personnel commitments or changes in new/borderline areas.

• Appointment procedures and practices are consistent with the EEOEqual Employment Opportunity Office (see Office of Internal Affairs) policy of the Department (see DOMDepartment Operations Manual Section 31010).

• Women and ethnic minorities are represented on all hiring interview panels whenever possible.

• Employment references are conducted with all prior institutional employers to gather information on substantiated allegations of staff sexual abuse or any resignation during a pending investigation of an allegation of staff sexual abuse.  The efforts made shall be documented on the reference check form.

• Documentation on CDCRCalifornia Department of Corrections and Rehabilitation forms shall be retained for review regarding the gender and ethnic composition of all interview panels, including both examination and hiring interviews.  Such documentation shall include justification in all instances in which gender or ethnic representation for an interview panel was not possible.

• New and prospective employees are supplied with the summary of applicable civil service benefits prior to a formalized job offer.

• Quarterly progress reports are submitted to appropriate division administration noting and justifying all exceptions in which representation of women or ethnic minorities was not possible for a specific interview panel.

Exempt appointments require the approval of the Agency Secretary, YACA.

For exempt appointments, the hiring authority shall forward the following documents to the Personnel Operations Section.

Hiring Authority Responsibility

• Standard (STDStandard Form (DGS)) Form 678, Application for Examination, and resume.

• Duty statement and organization chart for the position.

• Governor’s Office application form.

The procedure for processing Career Executive Assignment (CEACareer Executive Assignment) appointments is the same as for exempt appointments except:

• The following documents are not required:

  • Duty statement and organization chart.

  • Governor’s Office application form.

• The memorandum from the Director shall be addressed to the Agency Secretary, YACA.

The Director of CDC retains appointing authority for all appointments designated as “managerial” under the Ralph C. Dills Act.

Each hiring authority shall submit formal requests to appoint individuals to designated managerial positions. The “Approval-to-Appoint” memoranda shall be addressed to the Director/Chief Deputy Director and be routed through all appropriate management levels in the respective program area.

This applies to all methods of appointment including:

• Employment list appointment (Permanent or Limited-Term).

• Temporary authorization.

• Training and Development (T&DTraining and Development) assignments.

• Transfers.

• Permissive reinstatements.

Emergency appointments, retired annuitant appointments, and mandatory reinstatements are exempt from these procedures.

All the necessary appointment requirements such as position justification, appointment eligibility, budgetary approvals, and/or compliance with any freeze requirements (STDStandard Form (DGS) Form 607, Change in Established Positions; STDStandard Form (DGS) Form 625, Request for Certification; or CDC Form 647, CDC Personnel Action Request, as Appropriate), or the State Restriction of Appointment Procedures must be met prior to submission of the package to the Directorate.

“Approval-to-Appoint” Time Frame

• The “Approval-to-Appoint” request must be received by the Chief Deputy Director’s Office at Least two weeks prior to the requested date of appointment.

Hiring Commitments

• Final hiring commitments cannot be made until receipt of the Director’s/Chief Deputy Director’s approval.

Approval Process

• Upon the Director/Chief Deputy Director’s approval, the “Approval-to Appoint” package will be forwarded to the Assistant Deputy Director, OPMOffice of Personnel Management who will be responsible for notifying the appropriate Deputy Director and/or Warden so that the applicants and selected candidate can be notified.

• The appointment shall be announced in the next issue of Correction News.

• Disapproved requests shall be returned by the Director’s office through the appropriate management levels to the hiring authority.

The Director has delegated approval authority to the Deputy Directors for civil service appointments at or above the Staff Services Manager I (SSMStaff Services Manager-I) and PAProgram Administrator-III level.

The hiring authority’s “Approval-to-Appoint” package shall include the following:

• Contents of Request

  • Civil service classification of position to be filled, approved duty statement, and a current organization chart.

  • A description of the recruitment efforts made to attract applicants and a statement of the efforts make to fulfill the Department’s affirmative action goals.

  • A summary breakdown by ethnicity, gender, and disability of all candidates interviewed on CDC Form 973, Affirmative Action Report of Appointment. In compliance with GCGovernment Code 8310 and 18704, this summary shall no include names of the candidates. Instead, this summary should consist of generic characteristics (gender and ethnicity) of the candidates and any apparent disabilities.

  • A comparative analysis of the qualifications of at least the top three candidates.

  • The name of the individual recommended for appointment and a suggested date of appointment along with a statement of reasons for recommendation.

  • A current resume, the most recent performance evaluation (STDStandard Form (DGS) Form 636, Report for Probationary Employee, or STDStandard Form (DGS) Form 637, Individual Development Plan/Performance Appraisal Summary), and a Completed STDStandard Form (DGS) Form 678.

Individuals appointed to the classification of Sergeant, other than by list appointment, must meet specific appointment criteria stipulated in an agreement with the union. In order to be laterally transferred or placed on a T&DTraining and Development assignment, individuals must meet the following criteria:

Appointment to Sergeant

• Two years of custodial experience performing duties comparable to those of Officer, Group Supervisor, Youth Counselor, or Senior MTA, Correctional Facility and Senior Medial Technical Assistant, and work performed in the P&CSDParole & Community Services Division (see DAPO)’s Return-to Custody and Work-Furlough facilities, as well as duties performed at city and municipal jails. Additionally, experience in the abolished Correctional Program Supervisor classification qualifies for credit towards the two-year requirement.

• Custody experience approved by the Joint Apprenticeship Committee may also qualify for credit. For example, six months credit toward the two-year custody experience requirement will be given for individuals transferring from Parole Agent, Adult Parole classifications who have completed the two-Year apprenticeship program.

• Proposed appointees who are not currently Department’ peace officers must meet all legal requirements to be a peace officer and be cleared for appointment by a background investigation and preemployment medical. Successful completion of the Basic Academy is also required unless previously completed.

Proposed appointments to Sergeant positions, which are not list appointments or mandatory reinstatements must be approved in advance by the respective Deputy Director and the appropriate headquarters personnel operations analyst. Only appointments from employment lists, mandatory reinstatements, or of individuals who have clearly served two or more years in an Officer position do not require advance headquarters approval.

Appointment to Lieutenant and Captain

• Prior written approval of the respective Deputy Director and the Chief Deputy Director is required for any appointment, other than a list appointment, to the classifications of Lieutenant and Captain. Such appointments must be fully justified in the written request.

Hiring Authority Responsibility

• The hiring authority shall carefully review lateral transfers, T&DTraining and Development assignments, reinstatements and other forms (excluding list appointments) to the Lieutenant and Captain classifications to ensure that the applicant:

  • Possesses related custody experience, including supervision of custody staff.

  • Meets all legal requirements to be a peace officer and can be cleared for appointment by a background investigation and preemployment medical.

Basic Academy

• Persons appointed to the Lieutenant and Captain classifications shall attend the Basic Academy if they have not previously served in a correctional peace officer classification.

The process for selection of CSRClassification Staff Representative is as follows:

• The Chief, Classification Services, shall canvass for interested candidates by the departmentwide job opportunity bulletin.

• All candidates shall submit, a STDStandard Form (DGS) Form 678, to the Chief, Classification Services, for review.

• The CSUClassification Services Unit shall pre-screen all applications for qualifying experience.

• Those applicants accepted for consideration as a CSRClassification Staff Representative shall be scheduled for interviews.

• Applicants not selected for an interview shall be so notified by memorandum or telephone call.

• All CSRClassification Staff Representative appointments require the approval of the Director/Chief Deputy Director.

The Department prohibits discrimination on the basis of ex-offender status. However, all factors which relate to legal requirements and restraints, facility security, commitment history, and experience shall be considered. Hiring commitments shall not be made without written approval of the Secretary or Designee.

Licensing

• Applicable certification or licensing for a position shall not be waived for ex-offenders.

Completion of CDCRCalifornia Department of Corrections and Rehabilitation Form 1951

• A CDCRCalifornia Department of Corrections and Rehabilitation Form 1951, Supplemental Application for all CDCRCalifornia Department of Corrections and Rehabilitation Employees is required of all applicants seeking employment with the Department. This form is utilized at the time the employment interview is conducted and should be completed by both internal and external candidates with the exception of peace officers applying to the same classification. Completion of the form should prevent the hiring of any ex-offenders without prior approval of the Secretary. This form will also be utilized to ensure compliance with 28 CFR, Part 115, National Standards to Prevent, Detect, and Respond to Prison Rape under the Prison Rape Elimination Act (PREA), Standard 115.17 – Hiring and promotion decisions.

• Peace officer promotions or transfers to different classifications must complete the applicable sections of Form CDCRCalifornia Department of Corrections and Rehabilitation 1951 at the time of interview.

Restricted Employment Areas

• Ex-offenders shall not be hired or assigned work in areas which provide access to:

  • Any records pertaining to staff.

  • Sensitive personal or medical information on inmates.

• These areas include, but are not limited to, the following:

  • Medical.

  • Personnel.

  • Records.

  • Accounting.

  • Data processing.

Legal Prohibition For Peace Officer Classifications

• Persons convicted of a felony in this or another state may not be employed as a peace officer of this State. CCRCalifornia Code of Regulations 3291(b) lists the classes designated as peace officers in this Department.

• Procedural Responsibilities

  • For all hires other than initial peace officer hires, the hiring authority shall:

    • Submit an “Approval to Appoint” request to the Secretary via the Chief, Office of Correctional Safety (OCSOffice of Correctional Safety) at least 60 days prior to the requested appointment date. This shall include a copy of the ex-offender’s CI&ICriminal Identification and Information SSCHState Summary - Criminal History and the completed CDCRCalifornia Department of Corrections and Rehabilitation Form 1951 for nonpeace officer classifications.

If the individual is on parole, the request shall identify the name and address of the Parole Agent. If discharged, that date shall be indicated.

The Chief, OCSOffice of Correctional Safety, shall:

• Review the original submittal for possible gang affiliations.

• Note the results of this review on the request.

• Forward the request to either the Director, Division of Adult Institutions, or Director, Division of Adult Parole Operations, for appropriate data if they are not the hiring authority.

If the request is approved by the affected Director, it shall be returned to the Chief, OCSOffice of Correctional Safety, for final review.

The Chief, OCSOffice of Correctional Safety, shall:

• Ensure completion of required materials.

• Forward approved packages to the Agency Secretary.

• Return denied packages to the hiring authority.

• Return packages with Agency Secretary’s approval/disapproval to the hiring authority.

• Ensure that a copy of all denials/approvals are sent to the Office of Internal Affairs, Office of Civil Rights.

Appointments requiring approval of designated headquarter’s staff are described in DOMDepartment Operations Manual 31060.6.1 through 31060.6.5.1.

All chaplain appointments shall be approved by the appropriate Regional Administrator, IDInstitutions Division (see DAI).

The applicant shall meet the criteria outlined in the SPBState Personnel Board (see CalHR) specifications before being appointed to the position of full-time or intermittent chaplain.

Muslim Chaplain. The appointee shall be currently in good standing with the American Muslim Community, verified and approved by the local resident Imam where the applicant attends as a member. All candidates shall attach to their application a letter of certification of good standing issued by the local resident Imam.

Jewish Chaplain. The appointee shall be accredited by and in good standing with a recognized California rabbinical body. The two official ecclesiastical endorsing agencies are the Board of Rabbis of Northern California and the Board of Rabbis of Southern California.

Catholic Chaplain. The appointee shall be duly accredited by and in good standing with the Roman Catholic Church and approved by the Bishop of the diocese in which the facility is located.

Protestant Chaplain. The appointee shall be currently ordained, duly accredited by and in good standing with a nationally recognized Protestant denomination.

Native American Spiritual Leader. The appointee shall be currently recognized as a spiritual leader and in good standing with their Native American Tribe, Nation, Band or Rancheria. All candidates shall attach to their application a letter of certification of good standing issued by their Native American Tribe, Nation, Band or Rancheria.

Intermittent Chaplains

• The Department may employ, under state civil service, intermittent Catholic, Jewish, Muslim and Protestant chaplains.

Part-Time Chaplains

• The Department may contract with clergy of any faith as part-time or intermittent chaplains to provide religious services and chaplaincy activities for a small group.

Substitute Chaplains

• When a staff chaplain is on an authorized absence and a substitute chaplain cannot be obtained without cost to the state, a fee can be paid to the substitute for any single day of service.

A retired annuitant is a person who has retired from:

• State service and is appointed to a civil service position and paid a salary without being reinstated from retirement; or

• A Career Executive Assignment (CEACareer Executive Assignment) position and is temporarily employed and paid a salary following retirement.

Class – A retired annuitant shall be appointed to a position in a class in which the person had permanent or probationary status or a CEACareer Executive Assignment appointment at the time of retirement or in a class to which the person could have permanently transferred, reinstated, or demoted at the time of retirement.

Duration – Retired annuitants are appointed for a limited duration, not to exceed 960 total hours in a fiscal year. Retired annuitants must be evaluated each fiscal year and require annual approval by the Office of the Secretary or designee.

Salary – Retired annuitants are paid at a rate substantially the same as other employees performing comparable duties

Benefits – Retired annuitants are compensated only for actual time worked and shall not earn benefits of any kind (e.g., sick leave, vacation, holiday pay, personal holiday, or retirement credits).

Impact of a retired annuitant working over the 960-hour work cap in a fiscal year – A retired annuitant who works more than 960 hours in a fiscal year is subject to mandatory reinstatement to state service, reimbursements to California Public Employees’ Retirement System (CalPERS) and potentially other earned entitlements and benefits, unless authorized by the Governor during a state of emergency.

Nature of Work – Retired annuitants may be appointed for a limited duration:

• On a short-term basis to cover emergency-related work.

• To use their special skills.

• To provide mentoring to staff, and/or knowledge transfer.

• To temporarily fill a hard-to-recruit vacancy behind an employee on extended absence.

• To complete a one-time workload or projects associated with policy change or to gain compliance with court orders.

Eligibility – To be eligible for employment as a retired annuitant, the following requirements must be met:

• The Bona Fide Separation Requirement/Normal Retirement Age (if applicable):

  • A service-retired employee of the State of California who has not yet reached “normal retirement age” must have a minimum 60 calendar-day separation from service prior to returning to employment as a retired annuitant. The definition of “normal retirement age” is the member’s benefits formula age, or, if the member retires with more than one benefit formula, the highest specified age. There must be no agreement made (either verbal or written) with an employee to return to employment as a retired annuitant prior to retirement if they have not attained “normal retirement age” as defined above.

• The 180-Day Wait Period Requirement:

  • A retired person shall not be eligible for employment as a retired annuitant for a period of 180-calendar days after the date of retirement unless the appointment is necessary to fill a critically needed function and California Department of Human Resources (CalHRCalifornia Department of Human Resources (formerly DPA and SPB)) approval has been obtained. The 180-day waiting period does not apply to a retired peace officer or a retired firefighter returning as either a peace officer or firefighter.

  • Definition of Critical Need: An immediate need for a particular skill set that only the retired annuitant can provide to complete a function for the department to meet one of the requirements outlined below and that cannot be met by a current State employee:

    • Legislative Mandate

    • Court Ordered Mandate

    • Health and Safety Emergencies

    • Fiscal Impact – Loss of Funding

    • Any disruption in normal business that may result in the failure of business operations

• Note: The bona fide separation requirement does apply to peace officers or firefighters who have not reached normal retirement age. Appointments to other classifications would meet the bona fide separation requirement while serving the 180-day wait period requirement since these periods run concurrently.

Approval – To be approved for employment as a retired annuitant, the following requirements must be met:

• A new retired annuitant appointment (not including annual renewals) requires prior approval documented on the CDCRCalifornia Department of Corrections and Rehabilitation Form 1823, Retired Annuitant Hiring Approval, as follows:

  • Correctional Officer (CO) Academy: Director, Administrative Services

  • Special Projects/Skills: Secretary

  • Mentoring/Knowledge Transfer: Secretary

  • Operational Vacancies: Secretary

  • Posted Positions (Adult Institutions): Director, Division of Adult Institutions

  • Parole Agents with caseload: Director, Division of Adult Parole Operations

  • All other Division of Adult Parole Operations’ positions: Secretary

  • All Health Care: CCHCS Undersecretary

• Former employees who are named as a defendant or identified as a percipient witness in department-related lawsuits shall not be appointed as a retired annuitant to compensate the employee for their cooperation.

• A statement of justification is required for all retired annuitant appointment requests and must include start date (for extension, this date is the date the employee was first appointed into the position), end date, duty statement and organizational chart. Retired annuitants cannot be appointed into a supervisory classification unless serving in a specialist capacity.

• Extension requests for retired annuitants that have expiration dates within the same fiscal year must document the number of hours the employee has worked.

• The hiring authority is required to verify if the individual has prior or pending adverse actions, legal actions, or was the subject of an investigation. For CDCRCalifornia Department of Corrections and Rehabilitation, contact the CDCRCalifornia Department of Corrections and Rehabilitation Office of Legal Affairs and the Office of Internal Affairs. For CCHCS, contact the CCHCS Office of Legal Affairs and the Health Care Employee Relations Officer. If any of the aforementioned is found, a summary of the information is to be attached to the CDCRCalifornia Department of Corrections and Rehabilitation Form 1823, Retired Annuitant Hiring Approval that includes a detailed justification.

Emergency appointments shall be justified by significant need.

• Any expanded use of emergency appointments, particularly for emergency acting assignments not supported by a significant need, are in conflict with basic constitutional provisions requiring appointments based on competitive examinations.

• All available civil service alternatives shall be considered before making emergency appointments for short duration work assignments.

Appointments which may be approved by the hiring authority are described in Sections 31060.6.2.1 through 31060.6.2.4.

This type of appointment shall not exceed 60 working days in any 12-month period.

Extreme emergencies include fires, floods, storms, epidemics, riots, earthquakes, and other such serious situations presenting extreme peril to persons or property or seriously interrupting the performance of public business.

When an extreme emergency is declared by the Governor or the Director, appointments may be made without regard to employment lists and, if necessary, without regard to existing classes in order to prevent the stoppage of public business.

A short duration work situation is one which:

• Because of its unusual urgency, nature, volume, location(s), duration, or other special characteristics is distinct from the range of work normally performed by regular staff.

• Is not expected to be performed within the department for more that 30 working days within any 12-month period.

Short duration work assignments shall not be extended nor shall they be consecutive. Appointments may be converted to acting assignments when circumstances warrant.

Positions that are readily filled by the regular civil service process or for routine needs (i.e., vacation relief) shall not be filled by short duration appointments.

Out-of-class assignments (also called acting assignments) shall be used only as the last option when filling a position. Limited-term (LTLimited Term) appointments are the appropriate means to fill critical positions on a short-term basis.

Advance planning and scheduling can reduce an operation’s dependency on out-of-class assignments. By using established certification lists, qualified employees can be appointed immediately to vacant critical positions.

Misuse of out-of-class assignments results in grievances (circumventing list procedures), higher costs (lost person hours, working on out-of-class claims), the potential loss of delegated testing authority and the centralization of approval for all out-of-class assignments. However, bonafide emergency out-of-class assignments may be used.

Guidelines

• Managers and supervisors shall ensure that all employees are assigned duties and responsibilities that are within the scope of their classification. Employees shall not work out-of-class on a regular, ongoing basis.

• Current bargaining unit language, as well as DPADepartment of Personnel Administration (see CalHR) Rule 599.810, states that “an employee may be required to perform work other than that described in the specification for their classification for up to 120-consecutive calendar days during a fiscal year.” This language is intended to provide appointing authorities the flexibility necessary to meet short-term, temporary staffing needs. All viable alternates shall have been exhausted before any out-of-class assignment is approved.

• An employee may be assigned out-of-class work for more than 120 days if the additional out-of-class work is required to meet a need that cannot be met through other administrative or civil service alternatives. Prior approval from DPADepartment of Personnel Administration (see CalHR) is required. Such assignments shall be subject to termination by the Director of DPADepartment of Personnel Administration (see CalHR) upon determination that other reasonable alternatives do exist.

• The “120-consecutive calendar days during a fiscal year” applies to both the assignment and the individual. The same assignment cannot extend beyond July 1 or a new fiscal year resulting in an individual serving in the assignment for more than 120 calendar days. Such situations would require DPADepartment of Personnel Administration (see CalHR) approval to extend beyond 120 calendar days.

• Recent interpretation from DPADepartment of Personnel Administration (see CalHR) states that good personnel management practice precludes an indefinite out-of-class assignment by rotating employees in and out of the assignment. The 120 days should be a sufficient period of time to resolve and out-of-class situation. Rotations are inappropriate and circumvent the intent of the out-of-class provisions.

• The out-of-class provisions apply to both rank and file and non-represented employees. Managerial employees are not covered under DPADepartment of Personnel Administration (see CalHR) Rule 599.810 and there is no authorization to assign the out-of-class duties.

Criteria

• Out-of-class assignments may be made only to established positions and only if it can be demonstrated that:

  • The assignment is needed to meet a specific operating need.

  • The need cannot be feasibly met through civil service procedures or other administrative alternatives.

  • The employee is assigned duties which are clearly outside the scope of their current class and which include the full range of duties of the assigned class. The out of class duties must be performed for more than 50 percent of the employee’s time.

  • The supervisor requests the employee, in writing and in advance of the assignment, to perform the duties of a higher class.

• No out-of-class assignments shall be considered for approval retroactively. The grievance process is the appropriate method for employees to obtain payment if their out-of-class assignment was not approved accordance with established guidelines.

• No out-of-class assignments to “MCR NONE” classes shall be approved retroactively.

Operating Needs

• An operating need may exist when leaving a position vacant results in:

  • Inadequate management or supervision of a unit or function that cannot be offset from other sources.

  • Risk to public health and safety.

  • The interruption of public service.

  • An economic loss or program delay.

Alternatives

• If a need is established, the following alternatives should be considered before an employee is given an out-of-class assignment:

  • Delaying or canceling other less critical work.

  • Temporarily redirecting the unit’s staff, workload, or resources in order to “work around” the vacancy.

  • Filling the position with a locally available person on a temporary basis through another civil service procedure such as emergency, LTLimited Term, temporary authorization (TAUTemporary Authorization), or intermittent appointment.

  • Modifying the duties temporarily until the position can be filled.

Appropriate Assignments

• Examples of out-of-class assignments that are viewed by the Department as appropriate consist of the following:

  • An immediate assignment involving risk of life, property, or critical operation of the Department.

  • Back-up for an employee absent on extended sick leave.

  • A vacant position that needs temporary filling until an employment list is available.

  • The assignment is temporary in nature, with no definite time period but less that 120 calendar days, and all viable recruitment efforts to fill the position have been exhausted.

Inappropriate Assignments

• Examples of inappropriate/out-of-class assignments are as follows:

  • An assignment where no budgeted positions exist.

  • A certification list is available so that a LTLimited Term appointment could be made, the desired employee is on the list but is not reachable, or the list was canvassed but the candidate group is undesirable.

  • An assignment was made to bypass the Departmental Restrictions of Appointment (DROADepartmental Restrictions Of Appointment), State Restrictions of Appointment (SROAState Restrictions Of Appointment), and/or re-employment list process.

  • The assignment can be covered by a T&DTraining and Development assignment, a reinstatement, an emergency appointment, or a TAUTemporary Authorization appointment.

  • An intermittent pool of candidates is available.

  • Changes have been made to a class specification and/or allocation standards and the employee claims to have been working in a higher classification prior to the effective date of the change.

  • The employee requests some of the higher level duties for career development, personal convenience, or gain.

  • In the following situations, unless pre-approved by DPADepartment of Personnel Administration (see CalHR):

    • To positions or levels requiring classification pre-approval by DPADepartment of Personnel Administration (see CalHR) (MCR NONE).

    • To positions or levels not authorized in the appointing power’s budget. Before considering pre-approval in these situations, DPADepartment of Personnel Administration (see CalHR) will require specific written notice from the DOFDepartment Of Finance that funding is available.

    • Where the employee’s class specification provides for the proposed work assignment.

• When any of these options are considered, the Personnel Operations Analyst shall be contacted for guidance and interpretation.

Process

• The supervisor shall prepare the following documents:

  • A request for approval to make an out-of-class assignment.

  • A CDC Form 1821, Out-of-Class Checklist .

  • A duty statement.

  • An organizational chart.

  • A CDC Form 1820, Out-of-Class Justification For Assignments Exceeding 120 Days .

• The Out-of-Class Checklist shall provide the information necessary for the review and evaluation of the request and for completion of the Out-of-Class Justification.

• The checklist will also serve as an audit trail for peer audits, payment of claims, and examination eligibility.

• The document shall be forwarded to the appropriate approval levels in accordance with Section IX of the Out-of-Class Checklist.

Approvals

• All out-of-class assignments requests require the approval of the IPOInstitutional Personnel Officer or Personnel Operations Analyst to ensure that all viable alternatives have been exhausted before the request is forwarded for final approval.

• Prior final approval is required for out-of-class assignments as follows:

  Duration of Assignment	Documents Required	Approval Required
  Up to 60 Calendar Days	Request for Approval Out-o-Class Checklist	IPOInstitutional Personnel Officer or Personnel Operations Analyst
  61 to 120 Calendar Days*	The above	The above and Personnel Operations Analyst
  Over 120 Calendar Days**	The Above and Out-of-Class Justification form (2 Copies)	The Above and the Departmental Personnel Officer, the Chief Deputy Directors, and DPADepartment of Personnel Administration (see CalHR)
  	* When the hiring authority becomes aware that the assignment may extend beyond 60 days, the Personnel Operations Section shall be notified. The written request shall be received by Personnel Operations Section no later than day 50 of the assignment.	** Requests shall be received by Personnel Operations Section no later than day 100 of the assignment. The Departmental Personnel Officer shall forward approved requests to the DPADepartment of Personnel Administration (see CalHR) for review.

The departmental personnel officer may deny a claim if it does not meet existing criteria.

When a request is inconsistent with departmental policy, the Personnel Operations Section shall return the unapproved request directly to the hiring authority.

Log/Record

• For audit purposes each approval authority shall keep a log/record of all out-of-class assignment requests and/or out-of-class compensations claims.

Compensation

• See DOMDepartment Operations Manual 31150.9 for out-of-class compensation guidelines.

Out-of-Class experience is work experience gained in the performance of duties outside the class concept of the employee’s current class of appointment.

A departmental employee, regardless of employee relation designation, may request verification of out-of-class experience once they have performed out-of-class work for 30 consecutive calendar days.

Personnel Operations analysts review these requests and apply the same standards of more than 50 percent used for out-of-class claims.

Employee Requests

• An employee who wants verification shall, in writing, request the hiring authority to verify that they have accepted and performed assigned duties that were not consistent with the employee’s class.

Time Restraints

• Requests shall not be made:

  • Prior to performing out-of-class duties 30 consecutive calendar days.

  • Later than 180 calendar days after the ending of the out-of-class duties.

Certification

• The hiring authority’s certification shall include:

  • The employee’s name and social security number.

  • A description of type and level of duties performed.

  • A duty statement with percentages.

  • A conclusion regarding whether the duties are or are not consistent with the employee’s class of appointment at the time; and if not consistent, an identification of the class to which such duties are appropriate.

  • A detailed explanation of the situation which necessitated the out-of-class assignment.

  • An explanation of the other administrative and/or civil service options considered and why they were not used.

  • A copy of the departmental memorandum from the employee’s supervisor who assigned the duties to the employee.

  • The dates of the out-of-class assignment.

  • When the certification is for admission to an examination, the title of the examination to which the employee is applying.

Approval Responsibility

• The hiring authority certification shall be forwarded to the Personnel Examining Section who shall:

  • Review the verification.

  • Provide the employee and the hiring authority with a memorandum advising whether the certification met SPBState Personnel Board (see CalHR) standards.

  • Forward the certification to the Personnel Operations Analyst for analysis and recommendation of the appropriate class.

  • If approved, forward the verification to the SPBState Personnel Board (see CalHR).

• Once approved by the Personnel Examining Section, the certification can be used as additional qualifying experience for current or future examinations by attaching a copy to the application.

Appeal Rights

• If the request for verification is denied, the employee has the right to appeal the denial to the SPBState Personnel Board (see CalHR).

Permanent or probationary employees who vacate positions to accept emergency appointments shall have mandatory right of return to their former position upon the conclusion of the emergency appointment if:

• The emergency appointment is under the same appointing power as the position the employee is vacating; or,

• The employee is granted paid or unpaid leave to accept the emergency appointment.

For audit purposes, the hiring authority shall prepare a written justification for all emergency and short duration work appointments.

The justification shall include:

• A detailed explanation of the situation requiring the appointment.

• An explanation of the other administrative and/or civil service alternatives that were considered and why each was not used.

• The name, social security number, and current classification (if applicable) of the appointee.

• A duty statement, position title, and estimate of the number of days the appointment will be necessary.

• When appropriate, a copy of the Declaration of Emergency signed by the Governor or the Director.

The justification shall be retained in the official personnel file.

A copy shall be submitted to the Personnel Operations Section no later than 20 calendar days after the effective date of the appointment.

The Department has authority to make and extend LTLimited Term appointments. Initial appointments shall be limited to up to one year. The extension shall be limited to up to one additional year and may be considered when a permanent appointment is likely to cause a layoff, demotion, or mandatory transfer requiring a change of residence upon the conclusion of the temporary staffing need.

Requirements

• Eligible lists shall not be circumvented by a LTLimited Term appointment to a permanent position. Positions which are of limited duration shall not be filled on a permanent basis since this removes the appointee from consideration for true permanent positions and bestows unwarranted permanent status.

• Permanent rather than LTLimited Term appointments may be more appropriate when:

  • The temporary vacancy is in a classification subject to high turnover.

  • New positions are established on a temporary basis pending approval of the State budget, since the positions shall be converted to permanent when the budget is adopted.

Local Approval

• In the following situations, the hiring authority may authorize one or more LTLimited Term appointments, provided the total time of an employee’s appointment(s) does not exceed one year.

  • Seasonally recurrent positions. Appointments to non-testing or TAUTemporary Authorization only classes may be made for a period of up to nine months in one transaction.

  • Positions established for a specific study or survey. Research projects may require the creation of specific classes for the duration of the project.

  • Temporary vacancies. A person being on a leave of absence for one year or less.

  • The appointment of a permanent employee to a different position on a LTLimited Term basis.

Headquarters Approval

• The following appointments require advance approval from the Personnel Operations Section:

  • Temporary filling of vacancies during or pending a reorganization or possible layoff situation.

  • Vacancies filled in anticipation of reorganization or layoff expected to span a period of more than one year may be filled by permanent appointment.

• This approval process shall ensure consistency with the Department’s restriction of appointment process.

Two-Year Appointments

• One-year, limited-term appointments may be extended for up to a total period of two years upon prior approval by the Chief, Personnel Management. All such requests shall be forwarded to the Personnel Operations Section at least 30 days prior to the effective date, and include the following information:

  • Name, social security number, and civil service classification of employee.

  • Period of time involved.

  • Justification for the need to authorize a LTLimited Term appointment to exceed one year.

• The anticipated number of limited-term appointments, the number and location of permanent positions in the classification, turnover rate for the classification, budgetary trends, and issues which impact the Department’s ability to absorb permanent employees either locally or department wide shall be considered when the justification is prepared.

Justification File

• For audit purposes, the Personnel Operations Section shall file and retain for three years the hiring authority’s requests and justifications for appointments to exceed one year.

Purpose

• The Department shall use T&DTraining and Development assignments:

  • To provide employees broader experiences and skills, to improve their ability to perform in their current assignments.

  • To assist employees in seeking future advancements.

  • To facilitate employees’ entry into different occupational fields.

  • To enhance the Department’s affirmative action and upward mobility goals.

  • As an effective tool for upward mobility purposes.

• Hiring authorities shall consider affirmative action needs and protected group deficiencies prior to the selection of an employee for a T&DTraining and Development assignment.

General Requirements

• The hiring authority shall ensure a T&DTraining and Development assignment:

  • Is consistent with the career development plan of the employee.

  • Duties are significantly different than those the employee has performed in the preceding five years.

  • Provides a clear management advantage to the state.

  • Shall not result in a layoff or demotion at the termination of the T&DTraining and Development assignment.

• No more than one person shall be appointed to a T&DTraining and Development assignment for each available vacancy.

• T&DTraining and Development opportunities require a minimum publicity period of seven days to ensure that all interested employees are afforded the opportunity to apply. Posting may be limited to geographic areas where employees could reasonably be expected to accept the opportunity without a change in residence.

• If a permanent class has not been identified for the training position, the position must be permanently allocated to an appropriate civil service class prior to considering a T&DTraining and Development assignment.

Class Relationships

• As long as the SPBState Personnel Board (see CalHR) criteria are met, an employee may accept T&DTraining and Development assignents to a class with substantially the same salary to which the employee could voluntarily transfer (within two salary steps) even if they are currently on an employment list for the assigned training class.

Eligibility

• Permanent and probationary (with prior permanent status) employees are eligible for T&DTraining and Development assignments. time on a T&DTraining and Development assignment counts toward completion of probation. Employees on temporary or limited-term appointments shall return to their former position before being appointed to a T&DTraining and Development assigned training class.

• Employees shall not be considered for T&DTraining and Development assignments in classes which have a promotional relationship to their current class. The class specification shall be reviewed to ensure that the individual’s permanent class is not listed in the minimum qualifications (MQs) of the training class and there is no promotional class.

Higher than Three Salary Steps

• T&DTraining and Development assignments to higher level classes (beyond three salary steps) shall only be considered as exceptions and shall meet the following additional criteria:

  • The intent is to prepare the employee for a permanent career change.

  • The higher salaried class is the nearest class (in salary) that will provide the appropriate training experience.

  • The employee may meet the MQs of the training class prior to appointment and shall meet them by the conclusion of the assignment.

  • The T&DTraining and Development assignment shall not circumvent the normal competitive promotional process.

Lower than Two Salary Steps

• T&DTraining and Development assignments to lower-level classes (beyond two salary steps) shall be considered as exceptions and shall meet the following additional criteria:

  • T&DTraining and Development assignments to lower-level classes shall only be used in very broad class series in which employees expect to reach the journey or supervisory level within one specialty, without having had experience in other major specialties covered by the class.

• For example, a SSMStaff Services Manager I whose career had been limited to management analysis, could participate in a T&DTraining and Development assignment as an Associate Budget Analyst position in preparation for assumption of SSMStaff Services Manager I level duties in the budget area.

  • The lower salaried class is the nearest class (in salary) that provides the appropriate training experience.

  • The training experience differs from the duties the employee has previously performed, i.e., they cannot have immediate previous experience in the assigned training class.

Duration

• T&DTraining and Development assignments for an individual shall not be limited in number or frequency, but shall not exceed 24 months in any consecutive 36-month period.

Peace Officer Training

• Employees in positions designated as peace officers shall:

  • Successfully participate in the required peace officer training course.

  • Obtain a background clearance.

  • Pass all required medical examinations and physical abilities test.

Formal Class Requirements

• While employees are not generally required to meet the “experience and education” requirements of the training class, employees shall possess any credential, license, certificate, or other formal requirements of the class prior to assumption of the duties of the T&DTraining and Development assignment.

• It is required that employees meet the minimum qualifications to be placed on a T&DTraining and Development to Sergeant, Lieutenant, or Captain. Exceptions to this requirement for T&DTraining and Development assignments to Lieutenant and Captain must be approved in advance, in writing, by the Director.

Shift Differentials/ Housing Stipends

• Alternate Range 40 shift differential compensation and/or housing stipends shall be terminated when a T&DTraining and Development assignment does not meet established criteria/requirements.

• Employees serving in CEAs shall not participate in T&DTraining and Development assignments to ensure that they are assigned only to those positions that have been specifically approved for inclusion in the CEACareer Executive Assignment category.

A formal T&DTraining and Development assignment plan shall be prepared and submitted on a CDC Form 1825, Training and Development Plan and CDC Form 1825 A, Training and Development Request and shall include:

• The civil service class of the training position.

• The permanent classification of the employee.

• The basic objectives of the training.

• The duties to be performed.

• The training to be accomplished.

• Return rights of the employee.

• Statement that the assignment may be terminated at any time by either the employee or the Department.

• Certification that:

  • This assignment shall not result in a layoff or demotion upon its termination.

  • SROAState Restrictions Of Appointment procedures were observed.

• The signatures of the employee and the hiring authority of both the receiving and releasing organizations.

The individual’s STDStandard Form (DGS) Form 678 and resume shall be attached.

To allow adequate processing time, the plan shall be submitted to the Personnel Operations Section at least 30 days before the reporting date.

Starting Date

• The Personnel Operations Section may adjust the starting date on any T&DTraining and Development assignment. It shall be clearly understood that any T&DTraining and Development changes required by the Personnel Operations Section may impact such issues as relocation expenses and eligibility to participate in the proposed T&DTraining and Development program.

Approval

• The T&DTraining and Development assignment plan shall be approved by the Personnel Operations Analyst prior to the actual reporting date of the employee.

• Upon approval, the Personnel Operations Section shall retain the original T&DTraining and Development assignment plan and forward copies to the receiving and releasing hiring authorities and the employee.

• Written notification shall be submitted to the Personnel Operations Section if:

  • There are subsequent changes/revisions to the original plan.

  • The assignment is terminated prior to its expiration date.

Position Reclassification

• The reclassification of the position is required before the training is implemented.

• The hiring authority shall submit a STDStandard Form (DGS) Form 607, to OBMOffice of Budget Management (see OFS) so that the position is reclassified to the permanent class of the employee upon approval of the T&DTraining and Development assignment. The STDStandard Form (DGS) Form 607 shall clearly indicate that the reclassification is for T&DTraining and Development purposes and include the employee’s name and approved T&DTraining and Development plan.

• If the T&DTraining and Development assignment is denied, the STDStandard Form (DGS) Form 607 shall be denied at the same time and returned to the originator.

Vacated Position

• To ensure employee placement, the position vacated by the employee accepting the training assignment shall be filled on a temporary basis unless it can be clearly demonstrated that an appropriate position in the employee’s “home” organization and location shall be available at the completion of the T&DTraining and Development assignment.

Promotion/transfer opportunities shall not be jeopardized as a result of a T&DTraining and Development assignment. Provisions for promoting/transferring the individual while on the training assignment are:

• The individual clearly would have been considered for promotion/transfer if not on the training assignment.

• In a promotional situation, the individual must be reachable on the eligible list and receive a bonafide job commitment.

When a firm commitment is made in a promotional or transfer situation, the offering organization shall appoint the individual and transfer the employee back to the training location to complete the training assignment. This ensures the employee mandatory right of return to the offering organization/location.

The new appointment shall not create an inappropriate training assignment. If the promotional/transfer class does not meet the training assignment criteria relative to the training class, the appointment shall not be authorized while on the training assignment; or the T&DTraining and Development assignment shall be terminated upon the appointment of the employee.

Restriction of Appointments lists are established to aid in the placement of employees facing transfer, layoff, or demotion. Both the state and the departmental restriction of appointment processes, described below, shall be followed prior to filling vacant positions.

The SROAState Restrictions Of Appointment policies and procedures:

• Are published periodically by the DPADepartment of Personnel Administration (see CalHR).

• Shall be followed in making all appointments not specifically exempted from SROAState Restrictions Of Appointment. Questions regarding which appointments are exempt from SROAState Restrictions Of Appointment shall be directed to the IPOInstitutional Personnel Officer for the correctional facility or the Personnel Operations Section analyst for headquarter programs.

SROAState Restrictions Of Appointment eligible lists:

• Are maintained by the SPBState Personnel Board (see CalHR) and are issued to hiring departments.

• Contain classes of employees who, as a result of position reductions, are facing layoff or demotion if placements are not made.

SROAState Restrictions Of Appointment Coordinator’s Responsibility

• The SROAState Restrictions Of Appointment Coordinator in the Personnel Operations Section is responsible for ensuring that all policy and procedure updates are disseminated throughout the Department.

Institutional Personnel Officer’s Responsibility

• The IPOInstitutional Personnel Officer is responsible for:

  • Providing consultation to institutional program staff regarding DROADepartmental Restrictions Of Appointment requirements.

  • Reviewing and approving SROAState Restrictions Of Appointment clearances for all facility appointments. The CDC Form 8022, State Restrictions of Appointment/Departmental Restrictions of Appointment Clearances Worksheet, shall be used for requesting clearances.

  • Preparing SROAState Restrictions Of Appointment exemption requests following all criteria requirements listed in the SROAState Restrictions Of Appointment Policy and Procedures Manual and forwarding requests to the Personnel Operations Section analyst for review, consideration, final approval, an submission to the DPADepartment of Personnel Administration (see CalHR).

  • Ensuring that approved SROAState Restrictions Of Appointment clearance forms and approved SROAState Restrictions Of Appointment exemption requests are attached to all appointment documents which are not specifically exempted from SROAState Restrictions Of Appointment.

Personnel Operations Section Analyst’s Responsibility

• The Personnel Operations Section analyst is responsible for:

  • Providing consultation to headquarter program staff and to the IPOInstitutional Personnel Officer regarding SROAState Restrictions Of Appointment requirements.

  • Reviewing and approving SROAState Restrictions Of Appointment clearance requests for all headquarter programs.

  • Reviewing, preparing, and forwarding SROAState Restrictions Of Appointment exemption requests received from either the facility or headquarter programs to the DPADepartment of Personnel Administration (see CalHR).

  • Ensuring that approved SROAState Restrictions Of Appointment clearance forms and approved SROAState Restrictions Of Appointment exemption requests are attached to all appointment documents that are not specifically exempted from SROAState Restrictions Of Appointment.

Hiring Supervisor’s Responsibility

• The hiring supervisory is responsible for:

  • Following SROAState Restrictions Of Appointment policies and procedures.

  • Completing a SROAState Restrictions Of Appointment clearance form or SROAState Restrictions Of Appointment exemption request and ensuring that it is submitted to either the IPOInstitutional Personnel Officer or the Personnel Operations Section analyst for processing.

  • Ensuring that SROAState Restrictions Of Appointment clearance or exemption approval is received prior to making a hiring commitment for all appointments not specifically exempted from SROAState Restrictions Of Appointment.

SROAState Restrictions Of Appointment Exemption Requests

• All SROAState Restrictions Of Appointment exemption requests shall:

  • Provide sufficient information to support the exemption and meet all criteria requirements listed in the SROAState Restrictions Of Appointment Policy and Procedures Manual.

  • Be signed by the appropriate hiring authority or any member of the Director’s Executive Staff.

  • Be forwarded to the Personnel Operations Section analyst for review and submission to the DPADepartment of Personnel Administration (see CalHR). Requests for facilities shall be submitted to the IPOInstitutional Personnel Officer form submission to the Personnel Operations Section analyst.

The DROADepartmental Restrictions Of Appointment process is intended to assist in the placement of surplus employees resulting from administratively approved program changes or budget-induced position reductions and to avoid a layoff.

This process applies to all appointments except:

• Emergency appointments.

• Mandatory reinstatements.

• Promotions in place that do not result in a true vacancy (e.g., Staff Services Analyst to Associate Governmental Program Analyst).

Departmental Placement Coordinator Responsibilities

• The departmental placement coordinator shall:

  • Publish and distribute the list of classes for which approval is required prior to appointment.

  • Update the list as necessary.

  • Upon notification from the IPOInstitutional Personnel Officer that a surplus exists, submit a memorandum to the LRBLabor Relations Branch (see OLR) requesting union notification of the surplus.

  • When the union has been notified, send an informational surplus employee memorandum to all employees in the affected classification(s).

  • Review requests to fill vacancies on an exceptional basis or when no interest in the vacant position has been expressed by the DROADepartmental Restrictions Of Appointment candidates.

  • Take or recommend appropriate appointment actions.

  • Actively monitor the voluntary placement of surplus employees to appropriately classified vacant positions.

  • If necessary, work with the hiring authority, the Labor Relations Office and the appropriate control agencies to coordinate involuntary transfers and/or an employee layoff.

• The informational surplus employee memorandum shall include a current list of vacancies in the affected employee’s classification.

• The employee will be given the opportunity to voluntarily seek a vacant position.

• If voluntary placement options are unsuccessful, the employee shall be reassigned to a different location or a comparable classification in the same location.

Institutional Personnel Officer Responsibilities

• The IPOInstitutional Personnel Officer shall submit timely monthly lists of current and anticipated vacant positions for the classes on DROADepartmental Restrictions Of Appointment directly to the departmental Personnel Officer.

• Prior to filling a position listed on the restricted hiring list, the IPOInstitutional Personnel Officer shall take the following steps:

  • Contact the IPOInstitutional Personnel Officer of the organization where the surplus exists to obtain the names and addresses of the employees on DROADepartmental Restrictions Of Appointment.

  • Send out a CDC Form 1486, Departmental Restriction of Appointment (DROADepartmental Restrictions Of Appointment) Clearance and Waiver, to all affected employees. Telephone contacts may be made but shall be followed up with a CDC Form 1486.

  • Secure approval to fill the vacancy from the Personnel Operations Analyst if no interest is expressed by the employees on DROADepartmental Restrictions Of Appointment. This approval only applies to the DROADepartmental Restrictions Of Appointment restrictions and is not intended to replace or supersede other hiring requirements. Such requests for approval may be by telephone but shall be confirmed in writing.

  • Complete a CDC Form 1162, State of California Departmental Restriction of Appointments Confirmation Letter, for each classification.

  • Submit a copy to the Personnel Operations Analyst within ten calendar days after verbal approval is received and to the IPOInstitutional Personnel Officer at the surplus institution for audit purposes.

  • Retain a copy for the originator’s files.

Special Exceptions

• Requests for exceptions (including LTLimited Term and intermittent appointments) to this process shall:

  • Be signed by the appropriate hiring authority or any member of the Director’s executive staff.

  • Be forwarded to the Personnel Operations Analyst for review and approval.

  • Provide the following information:

  • The nature of the critical need and why identified DROADepartmental Restrictions Of Appointment eligibles cannot meet the needs of the position.

  • A copy of the position duty statement.

  • The consequence if any exception is not granted.

• The projected time frame for any employee to remain on the DROADepartmental Restrictions Of Appointment list is approximately 120 days. Within this 120 days, the following activities take place:

  • The classification is placed on DROADepartmental Restrictions Of Appointment and frozen to preclude appointments to the class without obtaining appropriate DROADepartmental Restrictions Of Appointment clearances.

  • The Personnel Operations analyst notifies the employees in the affected class of the action while simultaneously notifying the LRBLabor Relations Branch (see OLR) so they can notify the union.

  • The Personnel Operations analyst actively monitors the placement of surplus employees to appropriately classified vacant positions. If the employee is not placed, they are given an official involuntary transfer notification 60 days prior to the proposed action.

Certain departmental employees are designated as peace officers (see CCRCalifornia Code of Regulations (15)(3) 3291[b]).

Temporary Peace Officer Designations

• Any person summoned to the aid of a uniformed peace officer shall be vested with such powers as are delegated by the summoning officer or as are reasonably necessary to properly assist such an officer.

• Therefore, any employee officially assigned to act in the peace officer capacity of classifications listed in CCRCalifornia Code of Regulations (15) 3291(b) is a peace officer.

• Employees assigned to perform peace officer duties or summoned to aid during an emergency are designated peace officers for the duration of the emergency or until relieved of peace officer duties.

The Director is authorized by PCPenal Code 830 to designate any non-listed employee as a peace officer. Performance of the following functions as a regular, on-going job requirement shall be a major determinant in designating non-listed employees as peace officers:

• Regular use of firearms with authorization to use deadly force and less-than-lethal devices for which specialized training is mandated.

• Transportation or supervision requiring arms and/or restraints of inmates outside of facility property.

• Investigation of felonies committed in prison as a major part of the employee’s duties.

• Exercise of peace officer powers as applied to the general public as in the case of visitors or demonstrators.

• Regular supervision of a significant number of peace officers in the performance of their duties.

Appointments: Persons appointed to peace officer classifications shall meet all of the following minimum legal qualifications and standards prior to appointment:

• Be a citizen of the U.S.United States or a lawful permanent resident.

• Be 21 years of age or older.

• Be fingerprinted for purposes of search of local, State, and national fingerprint files to disclose any criminal record.

• Be of good moral character, as determined by a thorough background investigation.

Education: Persons appointed to peace officer classifications shall meet at least one of the following education requirements: 

• Be a high school graduate. The high school shall be either a United States public school, an accredited United States Department of Defense high school, or an accredited or approved public or nonpublic high school.

• Have passed the General Education Development Test or other high school equivalency test approved by the State Department of Education that indicates high school graduation level.

• Have passed the California High School Proficiency Examination.

• Have attained a two-year, four-year, or advanced degree from an accredited college or university.

• Any accreditation or approval, as required by this section shall be from a state or local government educational agency using state or local government approved accreditation, licensing, registration, or other approval standards, a regional accrediting association, an accrediting association recognized by the Secretary of the United States Department of Education, an accrediting association holding full membership in the National Council for Private School Accreditation, an organization holding full membership in AdvancED or Cognia, an organization holding full membership in the Council for American Private Education, or an accrediting association recognized by the National Federation of Nonpublic School State Accrediting Associations.

Pre-Employment Screening: Persons appointed to peace officer classifications shall be free from any physical, emotional, or mental condition which might adversely affect the exercise of the powers of a peace officer. Physical condition shall be evaluated by a licensed physician/surgeon. Emotional and mental condition shall be evaluated by a licensed physician/surgeon or by a licensed psychologist who has a doctoral degree in psychology and at least five years of postgraduate experience in the diagnosis and treatment of emotional and mental disorders. 

No person shall be appointed or begin training as a peace officer until a background investigation, medical examination, and psychological screening have been completed and written clearance has been received from the Chief, Office of Peace Officer Selection (OPOS) or designee. For the Special Agent classification, the Deputy Director, Office of Internal Affairs (OIAOffice of Internal Affairs) or designee shall make the final determination as to a candidate’s clearance or withholding from candidacy for appointment.

• Exceptions: A background investigation shall not be required if the applicant is:

  • A peace officer currently employed by the department.

  • Being appointed by mandatory reinstatement to a peace officer classification.

  • A retired annuitant who will be performing in an administrative capacity only.

To ensure an effective and diverse peace officer work force, the Department shall:

• Actively recruit entrance-level applicants.

• Carefully evaluate, examine and test applicants prior to appointment, including:

  • List appointment.

  • Reinstatement.

  • Lateral Transfer.

  • T&DTraining and Development Assignment.

  • Other forms of appointment.

OPOS shall administer the following:

• Examinations for the Correctional Officer (CO) classification.

• Background investigations, medical examinations, and psychological screenings pursuant to the requests of hiring authorities looking to appoint non-peace officer applicants to peace officer positions (see DOMDepartment Operations Manual Section 31060.9.3.3).

• Appointments of COs from the eligible list.

• Reinstatements to the CO classification for cadets rejected from the Basic Academy.

• Coordination of requests for Criminal Identification and Information (CI&ICriminal Identification and Information) State Summary Criminal History (SSCHState Summary - Criminal History) from the State Department of Justice (DOJDepartment Of Justice) (see DOMDepartment Operations Manual Section 31060.18).

Various Federal and State laws, executive orders, and court decisions regulate California civil service employment and provide the basis for recruitment programs.

Peace officer recruitment shall be conducted by OPOS.

Goals and Objectives

• The Department is committed to an aggressive EEOEqual Employment Opportunity Office (see Office of Internal Affairs) Program, recognizing the need to employ all segments of the population.

• The Department intends to:

  • Use to the maximum all available human resources.

  • Provide EEOEqual Employment Opportunity Office (see Office of Internal Affairs) to all on the basis of merit and fitness, without regard to age, sex, race, national origin, religion, disability, sexual orientation, or political affiliation.

  • Achieve and maintain a work force which represents by occupational group, responsibility level, and salary level the diverse ethnic and cultural groups found within the State.

  • Attract qualified applicants to compete for appointment in the Department.

  • Increase the overall effectiveness of our law enforcement community.

  • Increase qualified minority group/affirmative action representation within the Department’s law enforcement community.

  • Enhance the Department’s public image through advertising in all phases of the media, personal contacts with citizens in the community, and enlightening the public with regard to the operations of the Department.

OPOS shall ensure the development and maintenance of a dynamic recruitment program to attract the most qualified applicants to compete in the selection process for entry-level peace officer classifications.

Division of Adult Institutions (DAIDivision of Adult Institutions (formerly Institutions Division)) and Division of Adult Parole Operations (DAPODivision of Adult Parole Operations (formerly P&CSD)) staff perform specific recruitment activities tailored to meet the needs of their respective communities as well as those with statewide impact.

OPOS shall appoint qualified applicants to the CO classification. For each appointment, the hiring authority shall ensure that all legal and policy requirements are met prior to the effective date of the appointment.

The hiring authority is to obtain the necessary OPOS clearances (see DOMDepartment Operations Manual Section 31060.8.2.1) prior to appointing any applicant who is not currently a departmental peace officer employee to a peace officer position by submitting CDCRCalifornia Department of Corrections and Rehabilitation Form 1923, Individual Service Request to the appropriate Selection Center.

The Selection Centers, which are located in Sacramento, Fresno, and Rancho Cucamonga, shall provide assistance to the hiring authorities within the various regional service areas (see DOMDepartment Operations Manual Section 15090.2.10) as outlined below:

• Northern Selection Center – Sacramento:

  • Headquarters.

  • CCCCalifornia Correctional Center.

  • CHCF.

  • CMFCalifornia Medical Facility.

  • DAPODivision of Adult Parole Operations (formerly P&CSD) Northern Region.

  • FSPFolsom State Prison.

  • HDSPHigh Desert State Prison.

  • MCSPMule Creek State Prison.

  • NACYCF.

  • NCYCC.

  • PBSPPelican Bay State Prison.

  • SACCalifornia State Prison, Sacramento.

  • SOLCalifornia State Prison, Solano or Statute of Limitations .

  • SQCalifornia State Prison, San Quentin.

• Central Selection Center – Fresno:

  • ASPAvenal State Prison.

  • CCWFCentral California Women's Facility.

  • CCICalifornia Correctional Institution.

  • CMCCalifornia Men's Colony.

  • CORCalifornia State Prison, Corcoran.

  • CTFCorrectional Training Facility.

  • DVIDeuel Vocational Institution.

  • KVSPKern Valley State Prison.

  • NKSPNorth Kern State Prison.

  • PVSPPleasant Valley State Prison.

  • SATFCalifornia Substance Abuse Yreatment Facility & State Prison, Corcoran.

  • SCCSierra Conservation Center.

  • SVSPSalinas Valley State Prison.

  • VSPValley State Prison.

  • WSPWasco State Prison.

• Southern Selection Center – Rancho Cucamonga:

  • CACCommission on Accreditation for Corrections.

  • CALCalipatria State Prison.

  • CENCentinela State Prison.

  • CIMCalifornia Institution for Men.

  • CIWCalifornia Institution for Women.

  • CRCCalifornia Rehabilitation Center.

  • CVSPChuckawalla Valley State Prison.

  • DAPODivision of Adult Parole Operations (formerly P&CSD) Southern Region.

  • ISPIronwood State Prison.

  • LACCalifornia State Prison, Los Angeles County.

  • RJDRichard J. Donovan Correctional Facility at Rock Mountain.

  • VYCF.

Revised July 27, 2021

• The Individual Service Request, CDCRCalifornia Department of Corrections and Rehabilitation Form 1923, shall be signed by one of the following: the IPOInstitutional Personnel Officer; Business Manager; Associate Warden, Business Services; Chief Deputy Warden; Warden; Parole Administrator; Regional Parole Administrator; Assistant Deputy Director; Regional Administrator; Assistant Director; Deputy Director or designee. The signed CDCRCalifornia Department of Corrections and Rehabilitation Form 1923 shall be submitted to the Selection Center closest to the applicant’s residence, Attn: Testing Unit Manager.

• The following shall be included with the signed CDCRCalifornia Department of Corrections and Rehabilitation Form 1923:

  • State Examination/Employment Application (STDStandard Form (DGS) 678).

  • Copy of applicant’s driver’s license.

• Upon notification by the OPOS Background Investigation Unit, applicants shall be required to submit the following items as instructed in the notification:

  • Completed Personal History Statement questionnaire.

  • Notarized “Authorization for Release of Information” agreement.

  • Certified birth certificate or original naturalization certificate or approved USCIS Application for Certificate of Citizenship.

  • Copy of marriage certificates or divorce decrees.

  • Sealed and certified high school and college transcripts.  Transcripts may be submitted via electronic mail directly from the educational facility, school district office, or by use of a secure transcript service.

  • Copy of Proof of Valid Auto Insurance.

  • Copy of Certificate of Release or Discharge from Active Duty (DD Form) 214 (Member 4 – Long Form).

• The Chief, OPOS, or designee, will notify the hiring authority by memorandum as to whether the clearance for hire is granted or withheld.

• If the hiring authority disagrees with the Chief, OPOS, the decision may be appealed to the Deputy Director, Peace Officer Selection and Employee Development (POSEDPeace Officer Selection and Development). The hiring authority shall document the appeal in writing and submit it to the
  Deputy Director, POSEDPeace Officer Selection and Development, for consideration and forward a copy of the appeal to the
  Chief, OPOS.  The Deputy Director, POSEDPeace Officer Selection and Development shall make a determination and forward copies of the decision to the submitting hiring authority and the Chief, OPOS.

The Office of Internal Affairs (OIAOffice of Internal Affairs) will select candidates to perform internal affairs investigations for the department based on merit and will submit their candidate selections to the Office of Peace Officer Selection (OPOS) to conduct a secondary background investigation in accordance with Penal Code (PCPenal Code) section 6065(b)(1).

• OPOS shall determine if a candidate passes a secondary background check based upon the criteria established by OPOS in consultation with OIAOffice of Internal Affairs and consistent with PCPenal Code section 6065.

• If OPOS determines a candidate passed the secondary background check, Human Resources will determine if the candidate satisfies the minimum qualifications and appointment eligibility prior to a Conditional Offer of Employment (COE). When the Deputy Director, OIAOffice of Internal Affairs, or designee makes a COE, they shall provide a copy of the COE to the Chief, OPOS or designee for completion of the medical and psychological examination process.

• If OPOS determines the candidate did not pass the secondary background check and will be removed from consideration for appointment, the OPOS shall notify the candidate. Human Resources shall be responsible for responding to appeals for minimum qualification and examination eligibility. Furthermore, if a candidate does not pass the secondary background check, Human Resources shall be responsible for removing the candidate from the certification list for which the secondary background check was required. OIAOffice of Internal Affairs shall be responsible for responding to merit-based appeals.

Revised March 20, 2020

All appointees to the class of officer must attend the Basic Correctional Officer Academy (BCOA).  Effective dates of appointments are to coincide with the first date of BCOA they are to attend.

Permanent Intermittent (PIPermanent Intermittent) Officers shall be given priority consistent with list eligibility or SPBState Personnel Board (see CalHR) Rule 277 for permanent full-time vacancies.

Within two weeks of the start of each Basic Academy, the OPOS will issue a notice to the Wardens of the eligibility standing of the PIs for full-time positions.

Officers attending the Basic Academy requesting a hardship transfer shall submit a request to the Chief, OPOS. All other officers requesting a hardship transfer shall submit requests to the Warden of the proposed and the releasing facility. (See DOMDepartment Operations Manual 3310.21.1 for process.)

A valid civil service appointment is made and accepted in “good faith” under the civil service statutes and SPBState Personnel Board (see CalHR) rules.

To Make a Valid Appointment

• In order to make an appointment in “good faith,” the Secretary and the designated hiring authorities shall meet the following requirements:

  • Intend to observe the spirit and intent of the law.

  • Make a reasonable and serious attempt to determine how the law is applied.

  • Assure that positions are properly classified.

  • Assure that appointees have civil service appointment eligibility.

  • Intend to employ the appointee in the class, tenure, and location to which appointed under the conditions reflected by the appointment documents.

  • Assure the Personnel Transactions staff have reference materials, training, and supervision necessary to avoid mistakes.

  • Respect the rights and privileges of other persons affected by the appointment; avoid any appearance of coercing an eligible to waive rights to an appointment.

• In order to accept an appointment in “good faith,” an employee shall:

  • Intend to serve in the class to which the employee is being appointed under the tenure, location, and other elements of the appointment as reflected by the appointment document.

  • Provide the appointing power with complete factual and truthful information necessary for a proper appointment.

  • Make a reasonable attempt to seek correction of any aspects of the appointment that the employee knows are illegal.

Any officer or employee who knowingly violates or directs any officer or employee to violate these provisions shall be subject to any or all of the following:

• Adverse action.

• Civil sanctions.

• Criminal sanctions.

The SPBState Personnel Board (see CalHR) Executive Officer may cancel an illegal or improper appointment if lack of “good faith” exists on the part of either appointing power or employee.

When making appointments to positions that are rostered in a different location than the hiring authority, the hiring authority shall use the agency code where the position is rostered on its internal appointment request document.

• This occurs, for example, when an employee of the Education and Inmate Programs Section works at the CIMCalifornia Institution for Men, and the position is actually rostered in Sacramento County.

• This separate identification is critical for audits and seniority list requests. Seniority lists must accurately reflect all employees in affected classes and their locations.

The STDStandard Form (DGS) Form 689, Oath of Allegiance and Declaration of Permission to Work for Persons Employed by the State of California, shall be signed by every employee within thirty days of appointment.

• Citizen

  • U.S.United States citizens shall sign the Oath of Allegiance; which shall be valid until the employee permanently separates from State employment. Validation may be made by the following:

    • Executive staff, hiring authorities, personnel assistants, and those in the direct chain of command of the personnel assistants.

    • Anyone who by law has the authority to administer oaths (i.e., public notaries; the Attorney General; judicial officers; and county officers like the DA, sheriff, county clerk, or justice of the peace).

  • No fee shall be charged by any person before whom the Oath is taken and subscribed.

• Noncitizen

  • Non-citizen employees shall complete the Declaration of Permission to Work.

  • If a legally employed non-citizen becomes a naturalized citizen, the Oath of Allegiance shall be completed.

All applicants hired after November 6, 1986, shall complete and sign a U.S.United States Citizenship and Immigration Services (USCIS) Form I-9, Employment Eligibility Form, before being appointed.

Staff shall review and verify in accordance with directions on the back of the form.

The OPOS shall:

• Ensure completion, review and verification for all entry-level peace officer applicants including lateral transfers and reinstatements.

• Forward the completed forms to the appropriate local personnel/payroll office.

Local personnel/payroll officers shall:

• Ensure completion, review and verification of applicants for all other classifications.

• File and retain the forms (see DOMDepartment Operations Manual 31060.18).

Revised September 2, 2021

• A criminal records check is a requirement for employment with California Department of Corrections and Rehabilitation (CDCRCalifornia Department of Corrections and Rehabilitation) and includes:

  • Consent to be fingerprinted (live scanned).

  • Request for and review of the Criminal Identification and Information – State Summary Criminal History (CI&ICriminal Identification and Information SSCHState Summary - Criminal History).

• Process.  If an appointment is expected, each applicant shall be live scanned pursuant to Department Operations Manual (DOMDepartment Operations Manual) section 31060.16.2 by personnel staff at the earliest possible time. For California Correctional Health Care Services staff, reference Health Care Department Operations Manual, Administrative Policy, Section 2.1 Live Scan Fingerprinting Policy and Procedure. Each live scan shall be processed as follows:

  • The fingerprint images and personal information shall be transferred directly to the State of California Department of Justice (DOJDepartment Of Justice) through an automated transferal process made via the live scan device.

  • A personnel staff member shall fax CDCRCalifornia Department of Corrections and Rehabilitation Form 3056, Request for Live Scan Service to the Office of Peace Officer Selection (OPOS) Live Scan Unit the day the applicant is live scanned.

    • Note:  On CDCRCalifornia Department of Corrections and Rehabilitation Form 3056, the facility or office region acronym shall be written in the space entitled “OCA No. of Receiving Location.”

    • The OPOS Live Scan Unit (LSU) shall forward the DOJDepartment Of Justice response to the originator of the request, i.e., the hiring authority or designee. The hiring authority or designee shall process the DOJDepartment Of Justice response pursuant to section 31060.16.3(f).

• The hiring authority or designee shall complete the CDCRCalifornia Department of Corrections and Rehabilitation Form 2164, Live Scan Response Form DOJDepartment Of Justice/FBIFederal Bureau of Investigation/Firearms provided by OPOS and shred the response from the State DOJDepartment Of Justice unless the response is a Record of Arrests and Prosections (RAP) sheet. 
  If a RAP sheet is received, the RAP sheet is to be filed in a secure, confidential location by the hiring authority or designee.

• The hiring authority or designee shall review the DOJDepartment Of Justice responses for persons appointed to positions which allow them access to inmate records or Electronic Data Processing (EDPElectronic Data Processing (see IT)) terminals capable of accessing electronically stored inmate records.

Non-Sworn Personnel (NSP) – Employees in Non-Peace Officer classifications:those who are paid by the state.

Peace Officer (POPurchase Order) – Any Peace Officer classification including Retired Annuitants working in Peace Officer positions.

All Contractors and Volunteers must be live scanned pursuant to DOMDepartment Operations Manual Chapter 10, Article 9.

• Contractors (CON) – Contractors, Sub-contractors.

• Volunteer (CON) – Per DOMDepartment Operations Manual section 101090.6.3 all provisional and regular volunteers receiving Volunteer Identification Cards (VIC) shall be live scanned.

  • Provisional volunteers are those who provide their services under escort as determined by the Community Resources Manager and are subject to performance evaluation requirements.

  • Regular volunteers are those who provide services on an ongoing basis and have completed six months of trial evaluation.

Retired Peace Officers (RPO)/Carry Concealed Weapon (CCW) Permit – Any employee retiring and requesting a CCW permit shall be live scanned.

• Before live scanning an individual for a CCW permit/renewal, email the Live Scan Unit (LSU) to verify that a RPO record is not already on file.  Per DOMDepartment Operations Manual section 31070.8.5, the CCW live scan is good for the life of the applicant, therefore when the CCW applicant returns to renew their permit every five years, the clearance information from the original live scan is sufficient to process the renewal.

• Each applicant requesting a new RPO live scan shall pay a CDCRCalifornia Department of Corrections and Rehabilitation $68 processing fee.  The $68 payment is collected at the time of the live scan submission. CCW payments must be in the form of a check or money order, made to CDCRCalifornia Department of Corrections and Rehabilitation with a copy of the
  CDCRCalifornia Department of Corrections and Rehabilitation Form 3056 attached.  Mail to the Southern California Regional Accounting Office (SRAO).  Additionally, fax a copy of the CDCRCalifornia Department of Corrections and Rehabilitation Form 3056 to LSU.

A criminal records check is a requirement when an applicant accepts employment with CDCRCalifornia Department of Corrections and Rehabilitation. The applicant shall provide their appropriate identification and personal information when submitting the CDCRCalifornia Department of Corrections and Rehabilitation Form 3056 to the CDCRCalifornia Department of Corrections and Rehabilitation Live Scan Operator.

The Live Scan Operator checks the applicant’s identification, inputs the applicant’s personal descriptor information, captures the applicant’s fingerprints electronically, and transmits the data to DOJDepartment Of Justice.  At the conclusion of the session, an Applicant Transaction Identifier (ATI) number shall be notated on the CDCRCalifornia Department of Corrections and Rehabilitation Form 3056 to identify the transaction.

A staff member shall fax CDCRCalifornia Department of Corrections and Rehabilitation Form 3056 to the Office of Peace Officer Selection (OPOS), LSU the same day the applicant is live scanned.

Peace Officer (POPurchase Order) and Retired Peace Officer (RPO)/Carrying Concealed Weapon (CCW) classifications have four components (Department of Justice (DOJDepartment Of Justice),Federal Bureau of Investigations (FBIFederal Bureau of Investigation), Firearms (FA), and Child Abuse Central Index (CACI).

Non-Sworn Personnel, Contractor, and Volunteer classifications have two components (DOJDepartment Of Justice, FBIFederal Bureau of Investigation).

All Division of Juvenile Justice (DJJDivision of Juvenile Justice (formerly CYA)) staff must be live scanned under CACI.

DJJDivision of Juvenile Justice (formerly CYA) W/CACI Series – Non-Peace Officer, Volunteer, and Contractor classifications have three components. (DOJDepartment Of Justice, FBIFederal Bureau of Investigation, CACI).

DJJDivision of Juvenile Justice (formerly CYA) W/CACI Peace Officer classification has four components. (DOJDepartment Of Justice, FBIFederal Bureau of Investigation, Firearms, and CACI).

The hiring authority shall be responsible for completing the CDCRCalifornia Department of Corrections and Rehabilitation Form 2164 and placing it in the applicant’s Official Personnel File (OPFOfficial Personnel File).  All live scan responses unless there is a RAP sheet.

If a DAIDivision of Adult Institutions (formerly Institutions Division) employee is transferring from one institution to another, send an inquiry to CDCRLivescan@cdcr.ca.gov to check for an active record on file.

If a DJJDivision of Juvenile Justice (formerly CYA) employee is transferring to a DAIDivision of Adult Institutions (formerly Institutions Division) facility, a CDCRCalifornia Department of Corrections and Rehabilitation Form 1797,No Longer Interested Notification, shall be submitted to the Live Scan Unit.  The employee must be live scanned under DAIDivision of Adult Institutions (formerly Institutions Division) components DOJDepartment Of Justice, FBIFederal Bureau of Investigation and FA.

If the response is a Record of Arrests and Prosecutions (RAP) sheet or CACI response, the Institutional Personnel Officer (IPOInstitutional Personnel Officer) shall file a RAP or CACI sheet in a secured location in their office, not in the OPFOfficial Personnel File.

If the RAP/CACI sheet will be forwarded to the Warden or Superintendent, attach DOJDepartment Of Justice Form, Employee Statement, for signature.

If an employee transfers to another facility, both the RAP and CACI shall be placed in a confidential envelope addressed to the IPOInstitutional Personnel Officer Manager of the receiving hiring authority.

If the employee contractor or volunteer separates from CDCRCalifornia Department of Corrections and Rehabilitation, shred both the CACI and RAP sheet.

CDCRCalifornia Department of Corrections and Rehabilitation Form 1797, No Longer Interested Notification shall be submitted to the OPOS Live Scan Unit by the hiring authority for the following:

• Employees who are terminated, deceased, separated, or retired from the department.

• Contracted workers, volunteers, vendors, or other service providers whose services are no longer required by the department.

• Applicants who were fingerprinted but not hired by the department.

When an employee, contractor, or volunteer separates from service, the hiring authority shall submit one of the following forms to the OPOS Live Scan Unit:

• CDCRCalifornia Department of Corrections and Rehabilitation Form 1797.

• Subsequent Arrest Notification stamped “No Longer Interested.”

• DOJDepartment Of Justice/FBIFederal Bureau of Investigation RAP sheet stamped “No Longer Interested” (For OPOS Background Investigations Unit).

If a Peace Officer/Non-Peace Officer employee transfers within the department, a CDCRCalifornia Department of Corrections and Rehabilitation Form 1797 is not required.  When an employee separates from the department a CDCRCalifornia Department of Corrections and Rehabilitation Form 1797 is required.

Pursuant to the California Penal Code section 11105.2, CDCRCalifornia Department of Corrections and Rehabilitation is required to notify the DOJDepartment Of Justice when it no longer has a legitimate interest in this subject, (i.e., the applicant is no longer interested, or was never employed; the individual’s license or certification is denied or revoked; or the individual is no longer eligible to renew or re-instate the license or certificate.)

Once a CDCRCalifornia Department of Corrections and Rehabilitation employee has been live scanned, DOJDepartment Of Justice will send Subsequent Arrest Notifications or Firearms Restriction Notices to the LSU in the event the individual is arrested, detained, or a court disposition is rendered.

These notifications shall be processed on the day they are received and a memorandum is forward to the Warden, Superintendent, Director, Regional Administrator, Correctional Administrator, or other qualifying Executive Management.

The following records shall be on file in the local personnel/payroll office prior to appointment of an applicant:

• CI&ICriminal Identification and Information SSCHState Summary - Criminal History.

• Live scan.

• USINSUnited States Immigration and Naturalization Service (see USICE) Form I-9.

• Physical examination report.

• CDCRCalifornia Department of Corrections and Rehabilitation Form 1951, Supplemental Application for all CDCRCalifornia Department of Corrections and Rehabilitation Employees.

All applications; supplemental applications; personnel, membership, or employment referral records; and files of applicants shall be retained a minimum of two years in a confidential file.

Unsolicited applications are excluded from the retention requirement.

Transferring Employees

• The following documents are retained in the separated employee’s folder once the employee transfers:

  • One copy of the CDC Form 647, Request for Personnel Action,or CDC Form 647-A, Request for Personnel Action-Institutions.

  • One copy of the STDStandard Form (DGS) Form 612, Transfer Data Sheet.

  • One copy of the CDCRCalifornia Department of Corrections and Rehabilitation Form 1951, Supplemental Application for all CDCRCalifornia Department of Corrections and Rehabilitation Employees

  • CDC Form 648, Report of Separation.

  • One copy of the separation checkout list (if used).

• Other material in the Official Personnel Folder shall be purged according to the SAMState Administrative Manual 1670 and the remaining contents forwarded to the receiving location.

Employment Eligibility Verification Forms

• USCIS Form 1-9 shall be:

  • Maintained in a file separate from the Official Personnel Folder.

  • Retained for three years after the date of employment or for one year after termination of employment, whichever is later.

No Longer Interested Notification Forms

• A DOJDepartment Of Justice, CI&ICriminal Identification and Information Form 8302, No Longer Interested Notification (NLINo Longer Interested Notification) Form, shall be submitted to the OPOS Live Scan Unit by each personnel section on any of the following who were fingerprinted at the time of application or appointment:

  • Employees who are terminated, spearated, or retired from the Department.

  • Contracted workers, volunteers, vendors, or other service providers whose services are no longer required by the Department.

  • Applicants who were fingerprinted but not hired by the Department.

Current photographs shall be taken of all employees.

One photograph shall be used on the employee’s personnel identification card (see DOMDepartment Operations Manual 31070).

One photograph shall be placed and retained in the employee’s Official Personnel Folder.

Responsibility

• The Personnel Transactions Section shall photograph headquarters’ employees.

• Facility personnel/payroll offices shall photograph facility employees.

• Parole regions shall photograph their employees and forward one photograph to Personnel Transactions Section.

The Employee Exit Questionnaire (CDC 1144) is a tool designed to examine employee movement from and within the Department.

Responsibility

• The responsibility for the Employee Exit Questionnaire rests with the Personnel Services Section.

• On-site coordinators within each division, facility, and parole region shall be responsible for coordinating the distribution of the questionnaire to all employees transferring, leaving, or changing classifications. If the responsibility for coordinating the distribution of the exit questionnaire is reassigned, the name of the new survey coordinator shall be provided to the Personnel Services Section promptly.

• Completion of the questionnaire is voluntary. Names shall not be used and a self-addressed envelope shall be provided for mailing the questionnaire directly to headquarters.

• Information from the questionnaire shall be reviewed and evaluated by staff from the Personnel Management Branch. The results and findings of the questionnaire shall then be reported to management on a regular basis.

• If an employee wishes, an exit interview may be made by the employee with the Personnel Services Section.