Department Operations Manual

31130.5.7 VCGCB Process Upon approval and complete processing of the claim, the VCGCB issues payment or authorization for payment, according to the specific payment instructions recommended by the Department. If the recommendation instructs that payment be made directly to the Department, the VCGCB directs its communication (pay warrant or authorization for pay) to the Department. If the recommendation requests payment directly to the employee, the VCGCB upon approval of the claim, addresses its communication (pay warrant or authorization for pay) directly to the employee, and sends a copy to the Department. If the claim is disapproved, the VCGCB notifies the Department and/or the claimant, as appropriate, indicating the basis for the disapproval and the claimant ’ s legal rights/options for appeal. 31130.5.8

31130.5.8 Appeal of VCGCB Decision Within six months from receipt of the rejection notice, the claimant may: • Request a rehearing. A rehearing is granted only with the stipulation and agreement that the claimant provides new information not previously considered by the VCGCB. • File suit in small claims court, if the dollar amount is within the limits allowable by law. • File suit in a superior court, if the dollar amount exceeds the limits for small claims court. 31130.6

31130.6 Hiring-Above-Minimum (HAM) Salary Rates for Extraordinary Qualifications Deleted September 11, 2009 Section Reserved 31130.6.1

31130.6.1 Delegated Classifications Deleted September 11, 2009 Section Reserved 31130.6.2

31130.6.2 Approval Deleted September 11, 2009 Section Reserved 31130.6.3

31130.6.3 Standards Deleted September 11, 2009 Section Reserved 31130.6.4

31130.6.4 Determining the Amount of Adjustment Established Rate Once the hiring authority determines that a special hiring rate is necessary to attract an outstanding individual, the hiring authority shall decide which hiring rate to request. In order to be competitive with other employers, yet offer no more than is necessary, the actual rate granted is an established rate between the minimum and maximum for the class nearest (above or below) to the individual's present salary or other valid job offers. This is any established rate between the existing steps for the class if it will more closely approximate a realistic appraisal of the individual's background and salary history. Limitations Special hiring rates are usually limited to two steps above the minimum of the salary range, i.e., the third salary step. When the position has limited promotional opportunity, use of hiring rates above that rate limits the Department's ability to use merit salary adjustments to recognize employee growth and encourage initiative. Adjustments above the third step shall be processed only when the factors of extraordinary qualifications, present salary, or prospective job offers make a strong case for the particular individual. Determining the Above-Minimum Rate The individual's monthly salary (or highest bona fide job offer) is compared to the State ’ s pay ranges in determining the maximum amount to authorize. Money earned through part-time employment is counted in determining the above-minimum rate only when the individual would lose this income by coming to work for the Department. When an individual’ s total income covers periods substantially less than twelve months and that individual does not work for the remainder of the year, the income is considered as the function of the number of months worked; e.g., $10,000 per year for a ten month work year is considered as $1,000 per month. When there is additional income from a second job from which the individual must resign, that should be added to the total and the full year considered. Consideration of Other Offers Other competitive salary offers from State agencies shall not be used as justification for exceeding these other offers for above minimum rates. When the provisions outlined here are applied correctly, above minimum rates authorized for outstanding qualifications for a given individual shall be identical for all State agencies using the class. Moving Expense The salary shall not include a bonus to the candidate to come to the State; however, when relocation involves an unusual moving expense, an above minimum rate may be justified where use of the candidate ’ s qualifications is particularly critical to the Department's program. Advance approval by DPA is required in these cases. Applicable Authorizations Under delegation, an individual ordinarily cannot receive above minimum steps under more than one special salary authorization. Regarding entrance into college recruitment classes, it may be found that an individual possesses superior scholastic achievement. Also, there may be a general hiring “plus” rate authorized on the basis of recruitment difficulty. The Department decides which of the applicable authorizations is needed to acquire the individual. Required Explanation If the rate approved for the individual does not fall at one of the normal steps within the salary range for that class, the hiring authority shall provide the appointee with an explanation of the possible effect on movement through the salary range under DPA rules. Corrective Salary Action Special adjustments for outstanding qualifications are not a substitute for corrective salary action for a class. If there are a number of vacancies in a given class and recruitment is difficult, recruitment “plus” differential or special corrective salary action for the class may be necessary. 31130.6.5

31130.6.5 Exceptions to Standards Requests for rates higher than those authorized under these provisions shall outline the reasons why the request for exception should be approved. Final salary commitments shall not be ma de prior to DPA’ s approval of exceptions to these provisions. 31130.7

31130.7 Permissive Reinstatement Salary Rates The following guidelines and standards shall be used in determining salary rates for employees who have resigned or retired from State service and who are being permissively reinstated back into State service. 31130.7.1

31130.7.1 Maximum Salary Rate The hiring authority shall first determine the highest potential salary rate provided for by the DPA Rule 599.677. Upon the hiring authority ’ s determination that it is in the best interest of the State, a former employee who permissively re-enters State service may receive a salary above the minimum rate, provided that the reinstatement or appointment is: Same Class • To the same class. The salary rate shall not exceed the rate in the salary range received at the time of separation adjusted for the salary range changes for the class since separation. Different Class/Same • To a different class with substantially the same salary range as that of the class from which separated. The salary rate shall not exceed the rate the employee could receive if reinstated or reappointed to the same class from which separated. Different Class/Lower Salary Range • To a different class with a lower salary range than the class from which separated. The employee may receive any rate in the salary range not to exceed the salary rate last received in the class from which separated adjusted for salary range changes of the later class since the separation. 31130.7.2

31130.7.2 Actual Salary Rate The rate in the salary range an employee receives on reappointment or reinstatement shall be related to the employee ’ s value to the State. The hiring authority shall determine the former employee ’ s value to the State as follows: • Expertise in a particular area in relation to the vacancy. Talent, ability or skill as demonstrated by previous job experience. The scope, depth, and recency of such experience are more significant than length. • The degree to which an employee exceeds minimum qualifications shall be a guiding factor rather than a determining one. When a large number of prospective employees possess considerably more experience than the minimum, it may not be necessary to appoint above the minimum to acquire unusually well-qualified people. • The qualifications of State employees already in the same or closely related classes shall be carefully considered since questions of salary equity may arise. • Recruitment difficulty for the classification and for the geographic area of the vacancy shall be a major determining factor. 31130.8

31130.8 Merit Salary Adjustment Dates Merit salary adjustment dates for persons who reinstate following a separation from State service shall be established in accordance with DPA Rule 559.687. 31130.9

31130.9 Out-of-Class Compensation Employees designated managerial or exempt are not covered by specific provisions governing out-of-class assignment and are not entitled to out-of- class compensation. Represented Employees A number of negotiated MOUs provide for compensating represented employees for temporary out-of-class acting assignments. Refer to the specific MOU and DPA Rule 599.810. Supervisory/Confidential Supervisory and confidential employees who are assigned out-of-class acting assignments may be compensated for performing duties of a higher classification if: • The assignment is made in writing prior to performing the duties, and the employee is given a copy of the assignment. • The Director certifies that funds are available within the Department ’ s current budget. • The employee assumes the full range and scope of duties of the higher class. • The employee performs such duties for more than 15 consecutive working days but no more than 120 calendar days in a fiscal year. (Paid time off shall not break the continuity of work in the higher class.) An employee may be assigned out-of-class work for more than 120 days during a fiscal year only if the Department files a written statement with DPA. Assignment Process See Section 31060 of this manual for temporary out-of-class acting assignment and approval process. Pay Differential Supervisory or confidential employees performing in a higher class for more than 15 consecutive working days shall receive a five percent pay differential or the differential the employee would receive if promoted to the higher class, whichever is greater, for the duration of the assignment. These pay differentials are not part of an employee ’ s base pay for the purpose of other salary transactions related to subsequent appointments. Payment The supervisor of an employee working an out-of-class assignment submits a memorandum to the local personnel office at the end of each pay period. The memorandum shall contain the following information: • Name of unit or division. • Name of employee. • A statement clarifying the reason(s) for the out-of-class assignment. • Signed copy of approved out-of-class assignment. • Dates employee worked and number of hours, if less than full-time. • Signature of supervisor. A denial of an out-of-class compensation claim by the departmental personnel officer may be appealed directly to the Chief Deputy Director, DAS. 31130.10

31130.10 Physical Fitness Incentive Pay Program (PFIPP) Deleted May 30, 2018 Section Reserved 31130.11

31130.11 Housing Stipend Specified employees may be eligible for a housing stipend if employed at certain specified institutions as follows: • Employees in Bargaining Unit 6 shall receive compensation in accordance with the provisions of the Bargaining Unit 6 Memorandum of Understanding. • Supervisors and managers of employees in Bargaining Unit 6 shall receive compensation in accordance with the provisions of a pay letter issued by the DPA. 31130.12

31130.12 Revision The Deputy Director, Human Resources, shall ensure that the content of this Article is accurate and current. 31130.13

31130.13 References GC §§ 7290 - 7299.8, 13921, 16304.1, 19780, 19836, 19991.4, and 19991.7. CCR (2) §§ 599.677, 599.687(d), 599.810, 624, 630, 631, and 632. Revision History Revised Article: May 30, 2012. A RTICLE 14 — I NTERNAL A FFAIRS I NVESTIGATIONS Effective January 2007 31140.1

31140.1 Policy Every allegation of employee misconduct within the California Department of Corrections and Rehabilitation (CDCR or Department) shall be promptly reported, objectively reviewed, and investigated when appropriate. 31140.2

31140.2 Purpose To ensure allegations of employee misconduct are addressed and investigations are conducted in a fair and consistent manner. 31140.3

31140.3 Definitions Allegation Inquiry – The collection of preliminary information concerning an allegation of employee misconduct necessary to evaluate whether a matter shall be referred to the Central Intake Unit. Appointing Power - The Secretary of the Department. Assistant General Counsel (AGC) – An individual responsible for managing the Employment Advocacy and Prosecution Team (EAPT) in the Department’s Office of Legal Affairs (OLA). Assistant Secretary, Office of Internal Affairs (OIA) - An individual responsible for the operation and functions of the OIA. Bureau of Independent Review (BIR) – A unit within the Office of the Inspector General (OIG) responsible for contemporaneous public oversight of the Department’s investigative and disciplinary processes. Case Management System (CMS) – An electronic system that allows real- time documentation on investigative case activity and allows various participants within the employee disciplinary process to monitor cases and record key decisions and due dates. The CMS tracks all investigative requests, case acceptance and rejections, and case activity on all Internal Affairs investigations, as well as direct adverse actions that impose penalties without an investigation. Central Intake Panel (CIP) – A collection of stakeholders led by the OIA that ensures all referred allegations of employee misconduct are evaluated consistently and assigned appropriately throughout the Department. Individuals who participate regularly in the CIP include, but are not limited to, the following: Assistant Secretary, OIA, or designee; Chief Assistant Inspector General (CAIG), BIR, or designee; AGC, EAPT, or designee; assigned Special Agents; and other pertinent Department representatives. The Assistant Secretary, OIA, has the authority to initiate Internal Affairs investigations and is ultimately responsible for the acceptance and rejection of all cases that come before the CIP. Central Intake Unit (CIU) – A team of Special Agents, supervisors, and support staff within the OIA responsible for receiving, screening, and analyzing allegation inquiries for presentation to the CIP. Chief Assistant Inspector General (CAIG) – An individual responsible for the operation and functions of the BIR, OIG. Deputy Inspector General – An investigator employed by the OIG. Designated Cases - Those cases assigned to the Vertical Advocates, including matters involving staff integrity and/or dishonesty, abuse of authority, sexual misconduct, use of force in which an inmate suffers death or serious injury, use of deadly force, serious allegations made against supervisors, and high profile or dismissal cases assigned to the Vertical Advocate by the AGC. Employee Relations Officer (ERO)/Disciplinary Officer – An employee designated by the Hiring Authority to coordinate adverse actions. Employment Advocacy and Prosecution Team (EAPT) - The team in the Department’s OIA responsible for operation of the Vertical Advocacy Program. Hiring Authority – The Undersecretary, General Counsel, Chief Information Officer, or any Assistant Secretary, Executive Officer, Chief Deputy Secretary, Director, Deputy Director, Associate Director, Warden, Parole Administrator, Superintendent, Superintendent of Education, Assistant Superintendent of Education, Health Care Manager, Regional Health Care Administrator, or any other person authorized by the appointing power to hire, discipline, and dismiss staff under his/her signature authority. The Administrator at the Richard A. McGee Correctional Training Center shall serve as the Hiring Authority for Correctional Officer Cadets. The appointing power includes a Hiring Authority for purposes of this Article. Investigation - The collection of evidence that supports or refutes an allegation of misconduct, including criminal investigations, administrative investigations, retaliation investigations, or allegation inquiries. Locally Designated Investigator(s) - A local investigator or a team of local investigators who meet the requirements to conduct Internal Affairs investigations and who perform allegation inquiries and conduct local Internal Affairs investigations as delegated and assigned by OIA regional offices. Office of Civil Rights (OCR) – The entity with authority to investigate complaints related to Equal Employment Opportunity (EEO) issues. Office of Internal Affairs - The entity with authority to investigate allegations of employee misconduct. Senior and Special Assistant Inspectors General (SAIG) – Attorneys employed by the BIR who report to the CAIG. Vertical Advocacy Model – A system that ensures legal representation for the Department during the investigative and employee disciplinary process in order to hold staff accountable for misconduct by way of thorough and complete internal investigations, principled decision-making, assessment of the investigations, and consistent and appropriate discipline. Vertical Advocate – An EAPT attorney assigned to one or more specific Hiring Authority locations to consult with investigators and Hiring Authorities concerning investigative findings, disciplinary decisions, and to prosecute designated cases. 31140.4