Department Operations Manual

32020.3 Objectives The objectives of OTPD are: • To carry out the mandates of statutes, laws, regulations, policies, and collective bargaining agreements. • To assist in the training and evaluation of youth and adult correctional peace officer cadets and adult parole agent students. • To refine and expand the professional knowledge and skills of the attending training participants. • To meet standards of accreditation as defined by the Commission on Peace Officer Standards and Training (POST). To carry out the mandates of statutes, laws, regulations, policies, and collective bargaining agreements. 32020.4

32020.6.2 Correctional Counselor Academy Training Newly hired Correctional Counselors (CCIs) without prior Division of Adult Institution peace officer experience shall successfully complete a 7 week academy provided by POSED, which includes 2 weeks of PC section 832 training. (a) Peace Officers transferring from the Division of Adult Parole Operations (DAPO) into the CCI classification) without prior Division of Adult Institution peace officer experience shall successfully complete a 5 week academy, provided by POSED. 32020.7

33010.7 Posting and Distribution of Information Representatives may post, distribute, or place organization material in institution/appropriate parole office (district, unit, etc.) mail boxes when: • Prior approval of the appropriate administrator or employee relations officer as listed in DOM 33010 has been received. • The material does not advocate: o Unlawful or illegal activity. o Violation of departmental rules or regulations. • Material is not obscene, defamatory, lewd, vulgar, libelous, or slanderous. • Such activities do not adversely affect institutional security or operation. Approval to post or circulate material shall not in any way constitute endorsement by the Department of any of the statements contained in the material. 33010.8

33010.8 U.S. Mail The Department shall allow employee organizations to send U.S. mail to employees at work addresses and shall make every effort to deliver mail to employee mail boxes if: • The mail is sent to the specific institution/parole office address. • The volume of mail does not increase to the point that additional resources are necessary to process it. 33010.9

33010.15.2 Catastrophic Leave Program The Catastrophic Leave program was established in 1985 for excluded (non- represented) employees by CalHR Rules 599.925 and 599.925.1 and in 1988 for represented employees by their respective bargaining unit contracts. Under this program, employees may receive paid leave donations if: • They are suffering from an incapacitating illness/injury (nonwork related) and are financially burdened because they have depleted all of their accrued leave credits. • They need to take an extended period of time off from work to care for an incapacitated family member and they are financially burdened because they have depleted all of their accrued leave credits. • They are unable to work because of the effect of a natural disaster on their principal residence (in a county declared as a State of Emergency by the Governor) and they are financially burdened because they have depleted all of their accrued leave credits (excluding sick leave). • They are taking extended time off after childbirth and are financially burdened, because they have depleted all of their accrued leave credits (excluding sick leave). The following are general Catastrophic Time Bank (CTB) provisions. The Secretary has delegated authority to approve/deny CTB request and to review appeals as follows: Division Initial Request Appeals Executive Office Undersecretary Secretary Institutions Warden /Superintendent Director DAPO Regions Regional Parole Administrator Director DAPO Headquarters Deputy Director Director Legal Affairs Chief Deputy General Counsel Assistant Secretary/ General Counsel Facility Planning, Construction, and Management Deputy Director Director Administrative Services Deputy Director Director Correctional Health Care Services Director Undersecretary • To establish a CTB, a CDC Form 868, Catastrophic Time Bank (CTB) Request, shall be completed and submitted to the employee’s local personnel office by the employee or the employee’s representative if the employee is incapacitated. All requests to establish a CTB are subject to CalHR laws and rules/contract provisions. Note: CTB requests shall not be processed without the consent of the employee or the employee’s representative; this is to protect the employee’s rig ht to privacy. • Upon receipt of the CTB request, the approval authority has five working days in which to review the request, approve/deny the CTB, and forward the form to the appropriate local personnel office. • The approval authority shall name the person(s) designated to advertise for donations at the time the CTB request is approved. The responsibility may be delegated to a single individual or several persons. • To make CTB donations, employees shall complete and submit a CDC Form 869, Catastrophic Time Bank Donation Authorization, to the CTB recipient’s personnel office. All CTB donations from nonrepresented employees are subject to their contract provisions. Exceptions to the CalHR laws and rules/various contract provisions must be requested and approved. • If there is an indication of a substantial change in the nature of the illness/injury, the local Return-to-Work Coordinator (RTWC) or Medical Officer (MO) (on a case-by-case-basis), may be contacted by personnel office staff. The RTWC/MO shall then contact the recipient/representative within three working days to obtain the medical status of the ill/injured person, verify the continued need for CTB leave, and notify the local personnel office when a decision is reached. • CTB donations shall not be used to augment any benefits received due to a work-related injury or illness. • Personnel office staff shall direct all questions regarding appeals to the headquarters OLR’s. • In all cases where the CTB recipient dies, donations shall not be accepted unless dated and signed on or before the date of death of the recipient. All unused donations received through the date of death of the recipient shall become part of the recipient ’s estate. • Upon expiration of the CTB for a reason other than death, all unused donations shall be returned to donors on a last received first returned basis, 60 days after the employee returns to work. 33010.16

33010.20 Seniority for Vacation Scheduling Vacation scheduling for rank and file employees shall be in accordance with their respective MOU for the bargaining unit. Vacation scheduling for excluded employees and rank and file employees, when not specifically addressed in their MOU, shall: • Be by seniority in grade (i.e., total service in classification at any institution/facility or office). • Be consistent with the needs of the institution/facility. • Ensure an adequate work force to maintain the security and operation of the institution/facility or parole region. 33010.21

33010.22 Involuntary Transfer An appointing power may involuntarily transfer employees to vacant positions (under the jurisdiction of the Department to deal with Budget reductions and the impact of resulting layoffs, changes in office function or location, reorganization, or the activation of new work sites (e.g., parole offices, facilities). There may be additional causes, however the decision to implement involuntary transfers as a solution are management-initiated and may be in the same or a different geographical location. When such a transfer reasonably requires an employee to change residence, the appointing power shall give the employee written notice of transfer 60 days prior to the effective date of the transfer. Departmental policy prescribes that an employee subject to an involuntary transfer which does not require a change in residence shall be given 30 days advance notification. 33010.22.1

33010.22.2 Policy, Standards, and Guidelines General Policy It is the policy of the Department to minimize employee hardship resulting from management-initiated organizational changes by attempting to accommodate such employees via voluntary means prior to involuntary means. A “Notice of Involuntary Transfer” will be issued only after the Department has attempted to place the employee through the Departmental Restriction of Appointments (DROA) process (when practical*). The DROA process is administered by the Office of Workforce Planning (OWP). The employee(s) is informed in writing of his/her surplus status in the Department and the available options are explained. For further information on the DROA process, contact OWP. A department may place its employees on the State Restriction of Appointments (SROA) list and designate them as surplus only when CalHR has recognized that the department is in a layoff mode. Placement on the SROA list is limited by CalHR Rule 599.854.1 to those employees who are actually subject to layoff or demotion in lieu of layoff. Employees facing involuntary transfer do not meet the aforementioned criteria and therefore are not eligible for SROA. • *In the event of an office closure (e.g., Parole Unit, Office, Facilities), program abolishment, or downsizing, the time involved to offer the DROA process to the affected employees may not be practical. The impending closure of an office, program abolishment, or downsizing may necessitate that the involuntary transfer process be initiated immediately. However, this type of urgent need should be rare. Office closure, program abolishment, or downsizing should be a well-planned management decision which includes the appropriate amount of lead time to effectuate employee placement and give optimum advantage and opportunity to the affected employee(s). A minimum of 90 days advance written notice to OWP will ensure sufficient time for preparation. 33010.22.3

33010.22.3 Responsibilities Organization The organization (e.g., parole region, facility) experiencing the budget reduction, closure of an office, deactivation, etc. provides OWP with a written notice describing the cause of the surplus and need for involuntary transfer and sends a copy to the Office of Labor Relations (OLR) and the Regional Accounting Office. The classifications and the names of all employees holding appointments in those classifications shall be listed. Any special circumstances surrounding the need for involuntary transfer should be explained. A contact person from the organization shall be identified to act as liaison between the organization and OWP on the process. CDC Form 1822, Involuntary Transfer Worksheet, and Request to Implement Involuntary Transfer Process are to be completed and attached to the memorandum to OWP. It is imperative that OWP be notified as soon as the anticipated involuntary transfer of employees is realized. Ninety days advance written notice will ensure sufficient time for OWP to effect the involuntary transfer of surplus staff. This advance notice will relieve the organization of their surplus situation in a timely manner. Office of Workforce Planning Upon receipt of written notice of an anticipated need to involuntarily transfer employees, OWP staff will review the request, outline the process, and meet with organization staff to discuss the process. There may be specific Bargaining Unit (BU) requirements, seniority calculations, or other considerations to be made prior to the movement of employees. It is essential to carefully review the current MOU for the method of seniority calculation to be used for involuntary transfer. The need to involuntarily transfer employees often varies in that a “surplus” of employees may or may not require that the seniority of all employees in the classification is calculated to ensure that the least senior employees are transferred. Following are conditions under which involuntary transfer may be necessary: • There are 50 employees in the classification of Office Assistant (OA) (Typing) (T) and the program has 50 authorized budgeted OA (T) positions. The program is required to reduce their OA (T) positions by 10 percent which equates to five positions. In order to identify the five least senior employees who will be subject to involuntary transfer to vacant OA (T) positions elsewhere in the Department, seniority must be calculated for all 50 employees. OWP will order seniority from CalHR and effectuate the involuntary transfer of the five least senior employees. • The closure and movement of an office. • A field office is being closed due to the conclusion and nonrenewal of the lease. Another office in another location has been obtained and leased for a lesser cost. Transferring the employees to the new office location would not necessitate seniority calculations, as long as all the employees are being transferred to the same location (new office). However, the employees and affected unions must be given notice consistent with policy, applicable laws, and MOUs. OWP would initiate the notices. • Abolishment of a program. • A vocational program is abolished. There are two positions and both are filled. This classification is used elsewhere in the Department. The classification is frozen through the DROA process. o OWP staff and the Institutional Personnel Officer explore options available to the affected employees such as voluntary transfer to other classifications. • If there are other vacant positions in this classification in the Department, OWP will order seniority scores from CalHR and implement the involuntary transfer of staff. If the vacant positions exist in separate locations, the most senior employee is offered first choice. • OWP prepares and assures the delivery of CDC Form 1822, in accordance with this policy, applicable laws, MOUs, or other negotiated agreements between the State and the unions. Office of Labor Relations The OLR receives a copy of the initial notice sent to OWP of the possible involuntary transfer of employees. The OLR staff reviews any MOU restrictions or requirements with regard to those represented employees affected by an involuntary transfer. Notification of the union(s) is made by OLR staff. If requested by the union, a meet-and-confer on impact will be scheduled. A coordinated effort between OWP and OLR is essential to effectuate a smooth transition of affected employees. Accounting Services The Relocation Coordinator located at Sacramento Accounting Office (SAO) receives a copy of the initial notice sent to OWP of the possible involuntary transfer of employees. The SAO will address any concerns of the employee(s) regarding claiming relocation and moving reimbursement after CDC Form 1822 has been delivered. Upon authorization for the move, the SAO will send a moving and relocation package to the employee. The STD Form 255, Moving Service Authorization, is included in the package to the employee. The employee may receive relocation payment or reimbursement of actual and necessary moving, traveling, lodging, and meal expenses when the employee is required to change residences, as a result of an involuntary transfer for the advantage of the State or a transfer in lieu of layoff. The actual and necessary relocation expenses incurred by a relocating employee, both before and after the change of residence, are defined and controlled pursuant to the State Administrative Manual (SAM) 0721 through 0774, 3800 through 3885, 8572.1 and DPA Rules 599.714 through 599.724. Actual and necessary moving expenses include the following (the amounts are subject to change; consult with the SAO for current per diem rates, etc.): • Meals, lodging, and incidental expenses while locating a permanent residence at the new headquarters within the limits of CalHR Rules 599.721 and 599.722. Relocation per diem is allowed up to a maximum of 60 days and shall terminate immediately upon establishment of a permanent residence. o The BU contract should always be referenced to obtain per diem and other expense allowances at the time the transfer is to be made. • Although some expenses do not require receipts in order to receive reimbursement, the employee should retain sufficient documentation as proof that the amounts claimed do not exceed actual expenses in the event they are audited by the Internal Revenue Service. • Movement of household goods are allowed within the limitations of CalHR Rules 599.718 and 599.719. • Expenses incurred for dissolution of the household and/or establishment of the new household are allowed in accordance with CalHR Rule 599.715. • Expenses incurred for the actual and necessary cost to sell a residence will be reimbursed as determined by prevailing practices within the area of the sale and within the limitations of CalHR Rule 599.716. • The settlement of an unexpired lease agreement up to the maximum of one year will be reimbursed within the limitations of CalHR Rule 599.717. When involuntary transfer is utilized in lieu of employee layoff and/or due to budget reductions, the Department may negotiate a lesser relocation package than the procedures listed above. The above procedures and rules are governed by CalHR, SAM, and the employee’s BU contract; however, the Department has the discretion to modify or eliminate certain portions of the relocation expense reimbursement with the agreement of CalHR and the appropriate BU. An example of a modified package may include 30 days of per diem expense, 30 days of storage, movement of household goods, and the elimination of the sale of residence reimbursement. Upon receipt of a Std. Form 262, Travel Expense Claim, the SAO will process the claim within 30 days. Employee The employee may waive the 30-day or 60-day notice and choose to report to the new headquarters at an earlier date; however, no employee shall be coerced or forced to waive his/her right to such notice. Employees shall be assured that they will not be subject to reprisal, if they do not waive this right. An employee has the right to file an appeal with CalHR, if he/she believes the involuntary transfer is being made for the purpose of harassment or discipline. An employee faced with involuntary transfer cannot elect to voluntarily demote and displace a lower senior employee in order to remain at the “old headquarters.” An employee who refuses an involuntary transfer may seek a permissive transfer to another agency; seek a permissive transfer to a vacant position in the Department; resign in lieu of the transfer; or retire, if eligible. If the employee fails to report to the new headquarters as instructed, he/she may be separated (Absent Without Leave {AWOL}) five working days after the effective date of the involuntary transfer (in accordance with the California Supreme Court decision Coleman vs. DPA and General Services), or be subject to other types of adverse action. For BU 6 employees, the MOU recognizes additional procedural steps when processing an AWOL separation. Therefore, the Department may elect to use the Adverse Personnel Action procedures to process an AWOL separation for BU 6 employees. When making a determination as to which process to use, program staff should consult with OLR and OWP for guidance. 33010.23

33010.27.2 Supervisor’s Responsibility The employee ’ s supervisor shall: • Make the contracting vendor's catalog available to the employee. • Arrange for the ordering of a selected award/memento from the contracting vendor as follows: Headquarters and Division of Adult Parole Operations Submit a CDC Form 954, Intraoffice Requisition (IOR). A copy of CDC Form 1785 shall be attached to CDC Form 954. All orders shall include the information outlined under “ Ordering Instructions ” in the vendor ’ s catalog. Institution/Facilities Supervisors are responsible for ensuring the award is ordered according to the institution/facility ’ s established procedure. • Prepare a 25-year service anniversary/retirement letter for the Secretary’s signature. • Submit the letter through the chain of command to the appropriate Warden/Superintendent, RPA, Health Care Manager, or DD for signature. 33010.27.3

33010.27.3 Manager’s Responsibility The appropriate DD, Warden/Superintendent, Regional Parole Administrator, Chief Executive Officer, or his/her designee shall: • Check with the following offices to ensure the proposed 25-year anniversary or retirement letter accurately reflects the employee’s employment record with the Department, including prior positions: o OPS (for prior or pending adverse actions against the employee). o OLA (for prior or pending legal actions in which the employee is a plaintiff or defendant and for prior or pending workers’ compensation litigation). o OIA (for pending or prior internal affairs investigations where the charges against the employee were sustained). • Every employee who completes 25 years of State service or retires from the Department shall receive the appropriate letter signed by the Secretary. However, the letter shall be personalized, meaningful, and relevant. For example, the letter for an employee who retires because of a disability should contain this information and should be consistent with the employee’s length of State service and the circumstances of the retirement (without specifically stating the nature of the employee’s disability). If an employee recently has been formally disciplined (i.e., with a formal reprimand, suspension, demotion, or reduction in pay) for misconduct, the letter should simply acknowledge the retirement or completion of 25 years of service. An employee who has made significant contributions to the Department and/or who has an exemplary employment record should be recognized in the letter. 33010.27.4

33010.29.1 Process Wardens/Superintendents shall designate a staff member (minimum level is the Business Manager) to review all hardship salary advance requests for their respective facilities. The Chief of the Office of Accounting Services shall be the reviewer for headquarters and for DAPO (Headquarters and Regional Parole offices). The employee shall submit a written request to his or her supervisor for a specific amount with sufficient explanation of the circumstances to indicate that it is an unforeseeable emergency and some supporting documentation that all other means of obtaining the necessary funds have been exhausted. In addition, the employee shall sign a CDCR Form 1161, Authorization for Repayment of Payroll Revolving Fund/Hardship Salary Advance. 33010.29.2

33020.6.2 Exemptions for Peace Officer Classifications Revised January 17, 2023 (a) Grooming standards specifically addressing hairstyle, length and facial hair in section 33020.6.1 shall not apply to: (1) Any peace officer in the Parole Agent series, unless assigned to a CDCR institution. (2) Any peace officer in the Special Agent series, unless assigned to a CDCR institution. (3) Any peace officer assigned to the Office of Correctional Safety. (b) Employees exempt from section 31020.9 shall keep hair, beards, and mustaches clean and neatly groomed. 33020.6.3

33020.13 Departmental Badges (a) In accordance with the requirements of Penal Code (PC) Section 830.10, the Director has ordered the wearing and possession of the approved departmental regulation dome badge by all uniformed peace officer staff, with the exception of fire department peace officer staff. (1) Uniformed staff includes all custody classification employees where the CDCR considers the uniform as part of their job description. All uniformed staff shall wear the regulation dome badge on the outer garment at all times while on-duty unless exception is made by the Warden. (2) Uniformed fire department peace officer staff shall wear the regulation fire shield in lieu of the regulation dome badge. (3) Non-uniformed staff designated as peace officers shall possess the approved departmental flat badge. (b) Training Requirements (1) In accordance with Penal Code (PC) Section 832, all staff designated as peace officers must meet the PC 832 Peace Officer Standards and Training (POST) requirements prior to being assigned a number and issued a departmental badge. The PC 832 training requirement is met by successfully completing the CDCR’s pre -service academy training (i.e., Basic Correctional Officer Academy (BCOA), PC 832 Course, or Division of Adult Parole Operations (DAPO) Academy). (2) Staff, who are not assigned a number and issued a departmental badge at the completion of their pre-service academy training, shall provide verification of POST certification prior to being assigned a number and issued a departmental badge. Additionally, staff shall provide proof that there has been no break in service since the time POST certification was obtained. 33020.13.1

33020.13.2 Control of Badges (a) Due to the inherent threat to departmental security and the possible unlawful uses of peace officer badges, strict controls shall be maintained regarding departmental accountability and employee responsibility in the issue, use, and maintenance of departmental badges. (1) It is unlawful for any person, including employees of the CDCR not employed in a peace officer classification, unless temporarily assigned to perform peace officer duties and having met the POST requirements, to wear, exhibit, use, or otherwise possess a departmental badge or a facsimile thereof without specific authority to do so. Employees shall not sell or otherwise transfer their badge to any other person. (b) Responsibility Departmental employees possessing State-issued or personal optional badges shall be held specifically responsible for the proper use and control of these badges. Loss or damage of departmentally issued or optional badges resulting from employee negligence, or willful failure to report loss of State-issued or optional badge, shall be cause for adverse action. (c) Automated Badge Record System The CDCR has developed an Automated Badge Record System (ABRS) that is located at the CTC. The CTC will be responsible for conducting all business pertaining to the assignment of badge numbers for all peace officer employees (with the exception of peace officers in the Parole Agent series). In the event of a discrepancy in badge number assignments, the number identified as the employee’s, as documented in the ABRS, shall supersede any number carried by an employee or institution. (d) Uniform Inspections In conjunction with the DOM Section 33020.4, Inspections, all institutions shall conduct an annual audit of their assigned peace officers’ badges. The audit shall provide employee’s name, last four digits of their social security number, badge number, and total number of badges possessed. Badge numbers shall be obtained through visual verification. All audits shall be forwarded to the Departmental Badge Coordinator at the CTC upon completion. Current rosters can be obtained from the CTC prior to conducting the audit. (e) Lost or Stolen (1) In the event that a State-issued or optional badge is lost, stolen, or damaged, the employee responsible for the badge shall submit a detailed written report of the circumstances within 24 hours of the discovery. (2) The report shall be submitted to the senior administrator of the CDCR facility where the employee is assigned. (3) DAPO staff shall submit the report to the appropriate Regional Administrator. (4) Headquarter staff shall submit the report to the Chief, Office of Investigative Services. (5) The senior facility administrator, upon knowledge that a badge has been lost or stolen, shall: (A) Cause a notice to be placed at the entrance gates of all institutions and copies of the notice to be mailed to local law enforcement agencies, facility’s badge coordinator, and the CTC. The notice shall contain the badge number, type of badge (dome or flat pocket), and the specific circumstances surrounding the loss or theft of the badge. (B) After investigation and considering the facts submitted, determine whether the loss or damage was due to negligence of the responsible employee and party responsible for replacement. (C) Take appropriate action as indicated by the circumstances revealed during the inquiry. (D) The facility’s badge coordinator shall order a replacement badge from the CTC. (6) Replacement badges (State or employee’s expense) shall not be ordered prior to 30-days from discovery to insure that every attempt is made to recover any lost or stolen badge. (7) These procedures for replacement in no way restrict the CDCR facility from issuing a loaner badge to the responsible employee until the replacement badge is delivered to the facility. (8) Lost or stolen optional badges shall not be replaced by the CDCR. The employee, however, retains the right to submit a claim through the established Victim Compensation and Government Claims Board procedures if circumstances warrant. (A) Authorization to replace a lost or stolen optional badge may be withheld by the Warden if such loss was as a result of negligence in exercising proper control over the badge. (B) Replacement may be permitted, at the expense of the employee, after a 30- day waiting period. (f) Damaged (1) The damaged badge shall be replaced with a badge bearing the same number as the original State-issued badge. (2) After investigation and considering the facts submitted, the senior facility administrator shall make a determination whether the damaged badge will be replaced by the CDCR or the employee. (3) The facility badge coordinator shall forward the damaged badge and report to the CTC for destruction and order the replacement through the CTC. (g) Promotions or Transfers (1) All peace officer employees receiving promotions or transfers to another CDCR facility shall retain their State-issued and optional badge(s). (2) The receiving CDCR facility shall have the ribbon of the employee’s promotional rank or classification, if appropriate, affixed at the bottom of one existing badge. (3) The institution or other CDCR facility shall issue the employee a loaner badge until the original badge is received from the vendor with the appropriate ribbon of rank or classification affixed. (4) The original badge shall then be returned to the employee and if the employee was assigned a loaner badge, it shall then be returned by the employee. (h) Termination of State Service (1) All correctional peace officer employees terminating State service, transferring to a non-peace officer classification within the CDCR, or transferring to another State agency shall surrender all badge(s)(State-issued and optional) to the CDCR facility badge coordinator processing the personnel action. (2) Information regarding the total number of badges the separating employee has in possession can be obtained from the Departmental Badge Coordinator located at the CTC. (3) All badges, including employee’s name, type of separation, and effective date shall be returned to the CTC for disposition. (4) Reimbursement for optional badges can be obtained by completing a STD. 262- A, Travel Expense Claim, through the separating institution’s accounting office. (i) Retirement from State Service (1) Correctional peace officer employees retiring from State service shall surrender their State- issued badge to the facility’s badge coordinator, and may request a retired flat badge with holder upon arrival of their retirement. (2) The retired badge procedure is not automatic and should be initiated by the CDCR facility’s badge coordinator. (3) Retiring employees possessing any optional badge(s) may surrender them to the facility’s badge coordinator for reimbursement at the current, fair market value. Current, fair market value is defined as the prices charged by the contracted vendor at the time of retirement. (4) Reimbursement of any optional badge(s) is not automatic; it is the responsibility of the retiree to submit a Travel Expense Claim to their accounting office for reimbursement. (5) All badges, including name, type of retirement, and effective date shall be forwarded to the CTC by the facility’s badge coordinator for disposition. (6) Irresponsible or unethical conduct, or conduct which brings discredit upon yourself or the CDCR, shall result in forfeiture of all rights and privileges associated with the issuance of the badge and will require immediate surrender of the badge. (7) Under no circumstances are badges assigned to retired peace officers to be retained by the CDCR facility and utilized as loaner badges. (j) Deceased Employee (1) In the event of a Correctional Peace Officer employee’s death, all State - issued and optional badge(s) shall be relinquished to the processing CDCR facility. (2) Upon written request by the Warden or designee, the State-issued badge may be retained by the processing CDCR facility for the sole purpose of affixing it to a plaque or other symbol of remembrance. (3) With the written approval of the Director, the badge number of a deceased Correctional Peace Officer can be assigned or reassigned to a family member. (4) All badges, including name, type of separation, and effective date shall be forwarded to the CTC for disposition. (5) Under no circumstances are badges assigned to deceased Correctional Peace Officers to be retained by the CDCR facility and utilized as loaner badges. 33020.13.3

33030.3.1 Code of Conduct As employees and appointees of the Department, we are expected to perform our duties, at all times, as follows: • Demonstrate professionalism, honesty, and integrity; • Accept responsibility for our actions and their consequences; • Appreciate differences in people, their ideas, and opinions; • Treat fellow employees, inmates, wards, parolees, victims, their families, and the public with dignity and respect; • Respect the rights of others and treat them fairly regardless of race, color, national origin, ancestry, gender, religion, marital status, age, disability, medical condition, pregnancy, sexual orientation, veteran status, or political affiliation; • Comply with all applicable laws and regulations; • Report misconduct or any unethical or illegal activity and cooperate fully with any investigation. 33030.3.2

33030.4 Definitions Adverse Action - A documented action, which is punitive in nature and is intended to correct misconduct or poor performance or which terminates employment. Affected Employee - An individual who is the subject of adverse action. 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. Bureau of Independent Review (BIR) – A unit within the Office of the Inspector General responsible for contemporaneous public oversight of the Department’s investigative and disciplinary processes. Charging Package (Also known as the “ Skelly package”) – All documentation used to substantiate the charges in the action and which is presented to the employee with the Preliminary or Final Notice of Adverse Action. This material may include but is not limited to the following: the investigative report; applicable policies, procedures, and Government Code sections; records of training the employee has attended; job descriptions; and duty statements and/or post orders that are related to the charges. This package does not include the CDCR Form 402, Hiring Authority Review of Investigation, and CDCR Form 403, Justification of Penalty. Chief Assistant Inspector General (CAIG) – An individual responsible for the operation and functions of the BIR. Corrective Action - A documented non-adverse action (verbal counseling, in- service training, on-the-job training, written counseling, or a letter of instruction) taken by a supervisor to assist an employee in improving his/her work performance, behavior, or conduct. 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 Counseling Record - A written record of counseling, documented on a CDC Form 1123, between a supervisor and subordinate which provides formal instruction about laws, rules, policies and employer expectations. 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, formerly known as the Employment Law Unit, responsible for operation of the Vertical Advocacy Model in the Department’s Office of Legal Affairs. Executive Review – A secondary, management-level review conducted to resolve a significant disagreement(s) regarding an investigative finding, proposed disciplinary penalty, or settlement agreement. Hiring Authority – The Undersecretary or General Counsel or any Chief Deputy Secretary, Executive Officer, Chief Information Officer, Assistant Secretary, Director, Deputy Director, Associate Director, Warden, Superintendent, Health Care Manager, Regional Health Care Administrator, or Regional Parole Administrator 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 is a hiring Authority, for purposes of this Article. In-Service Training (IST) – Formal training conducted departmentally and/or at the direction of the Hiring Authority and usually conducted away from the employee’s work site. Letter of Instruction (LOI) – A written document, which outlines requirements for an employee to advance his/her job performance or conduct to an acceptable level. Notice of Adverse Action – Notification to the affected employee of the charges against him/her, the adverse action penalty, and the effective date. Office of Internal Affairs (OIA) – The entity within the Department with authority to investigate allegations of employee misconduct. On the Job Training (OJT) – Training conducted by a supervisor (or a designated employee with the required expertise under the direction of a supervisor) at the job site while the employee is working. Preliminary Notice of Adverse Action – Notification required of some Hiring Authorities in accordance with the Bodiford Settlement Agreement, to an affected employee regarding charges against him/her and the intent to impose adverse action. This notification summarizes the specific subsections of the Government Code that have been violated, as well as the actions that constituted the violation. For Hiring Authorities mandated to serve a Preliminary Notice of Adverse Action, the charging package shall also be served with this notice. Senior and Special Assistant Inspectors General (SAIG) – Attorneys employed by the BIR who report to the CAIG. Skelly Hearing – An informal proceeding in which the employee, together with his or her representative, is provided a predeprivation opportunity to respond to management regarding the charges in the Notice of Adverse Action. The employee may present any arguments for amending a pending adverse action before the action becomes effective. Skelly Hearings are required at the request of the affected employee for the following: adverse actions; rejections during probation; non-punitive actions resulting in the employee’s dismissal or demotion; and transfers for purposes of punishment and/or in conjunction with an adverse action. Skelly Letter – A document transmitted to an affected employee, following the Skelly Hearing, stating the Hiring Authority’s final decision regarding the imposition of a disciplinary penalty. Skelly Officer – A noninvolved manager, usually at the level of a Correctional Administrator, who will make a recommendation to the Hiring Authority after a Skelly Hearing to amend, modify, withdraw, or sustain the pending adverse action. The Skelly Officer must be a management employee above the organizational level of the disciplined employee’s supervisor unless that person is the employee’s appointing power in which case the appointing power may respond to the employee or designate another person to respond. Unless the affected employee waives his/her right to have a noninvolved manager serve as the Skelly Officer, the Skelly Officer shall not be the person who completed the CDC Form 989, Internal Affairs Investigation Request; who signed the employee’s Notice of Adverse Action; or who participated in the decision to take adverse action. Summary of Adverse Action – A summary compiled by the ERO/Disciplinary Officer of allegations of misconduct, from the evidence contained in an investigative report and other documents. Vertical Advocacy Model – A system that ensures legal representation for the Department during the entire investigative and employee disciplinary process in order to hold staff accountable for misconduct by way of thorough and complete internal investigations, principled decision-making and 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 the investigators and Hiring Authorities concerning investigative findings, disciplinary decisions, and to prosecute designated cases. 33030.5

33030.5.6 Office of Personnel Services, Human Resources Personnel Services staff and/or local personnel staff shall be responsible for the following: • Processing adverse actions as indicated by the Hiring Authority on the Notice of Adverse Action; • Filing and retaining Final Notices of Adverse Action in employee official personnel files for three (3) years unless the retention period is reduced by the Hiring Authority after the Skelly Hearing or otherwise agreed to by stipulated settlement. Office of Personnel Services, Employee Discipline Unit, staff shall be responsible for the following: • Collecting and maintaining the official departmental copies of all adverse action documents separate and apart from those held in the Official Personnel files; • Maintaining statistical information and generating reports on adverse actions using the Case Management System; • Drafting adverse actions and representing the Department before the SPB for non-designated cases emanating from the Headquarters Offices and Divisions, Juvenile Justice Divisions, and all Parole Regional Offices. 33030.6

33030.23.1 Documentation Format Clerical support staff, under the supervision of the ERO/Disciplinary Officer, shall compile adverse action documentation as follows: (a) Type the Preliminary Notice of Action on the departmental form memorandum. (b) Type Notice of Adverse Action on Department letterhead as follows: (1) The type of notice shall appear in capital letters and shall be centered four spaces below the letterhead. (2) The employee ’ s name, civil service classification, worksite name and location (including institution or parole region, if applicable) are typed in block style at the left-hand margin, four spaces below the title. A Confidential Department Employee Information Sheet shall be attached and contain current home address and social security number. (3) Divide the body of the formal notice into sections indicated by Roman numerals as identified below: (A) Statement of the Nature of the Adverse Action. (B) Effective Date of This Adverse Action. (C) Statement of Causes. (D) Statement of Facts. (E) Notice and Progressive Discipline. (F) Statement as to Right to Answer and Appeal. (G) Statement as to Right to Respond to Your Appointing Power. (c) Include notations explaining the meaning of abbreviations used in supporting documentation and, in the signature block of the notice, the typed name, work location, business address and telephone number of the Hiring Authority. 33030.23.2

33030.27 Use of ATO An employee shall only be placed on ATO as follows: • He/she has been charged with a felony; • He/she is suspected of smuggling contraband; • He/she has shown unacceptable familiarity with inmates or parolees; • He/she has seriously jeopardized the security of the institution; • He/she has committed any other serious infraction of the CCR; • The proposed discipline is dismissal. Use of ATO should be considered when the employee’s continued presence at the work site will adversely affect the security or management of the facility. However, when possible, an alternative assignment should be considered rather than placement on ATO. 33030.27.1