Department Operations Manual

52080.15 Records of Disciplinary Matters Upon conclusion of disciplinary proceedings, all documents relating to the disciplinary process, findings and disposition shall be disposed of in the following manner: • When an inmate is held responsible for the act charged, copies of all documents prepared for and used in the disciplinary proceedings shall be Operations Manual DEPARTMENT OF CORRECTIONS AND REHABILITATION Chapter 5 Page 427 placed in the inmate's C -File. A copy of the completed RVR shall be given to the inmate. A copy of the completed RVR shall also be filed in the Register of Institution Violations as required in PC 2081. • Refer to DOM 61020.9.1 regarding use of confidential information to support adverse disposition. • When the inmate is found not guilty of the act charged, or when the charge is dismissed for any reasons, a copy of the action taken shall be provided to the inmate. All electronic copies of documents prepared for and used in the disciplinary process shall be removed from general view and stored in SOMS, serving as the Register of Institutional Violations. • When non-confidential information developed through the disciplinary process needs to be considered in future classification committee determinations affecting the inmate, or where events involved in the disciplinary process need to be explained, that information shall be recorded by the disciplinary hearing officer on a CDC Form 128-B, General Chrono , as a referral to the classification committee. Such information shall include, but is not limited to: • The reason for an inmate ’ s placement in segregated housing prior to adjudication of the charges if that information has not been previously considered in a classification committee hearing. • Where any reason exists for retaining the inmate in segregated housing after a finding of not guilty or dismissal of charges. • When any program assignment or placement change needs to be considered in view of other inmate or employee animosity toward the individual. The CDC Form 128-B, as a referral to the classification committee, shall be placed in the inmate ’ s C-File, and a copy shall be given to the inmate. • The policy set forth in this section shall also apply when a prior finding of guilty to a violation reported on a RVR is reversed or dismissed on appeal, or when information reported on a Counseling Only RVR is found to be incorrect or inappropriate on appeal. • A finding of not guilty, dismissal, or reversal of a previous finding of guilty shall require an audit and updating of any documentation in the inmate’ s file which reflects a prehearing assumption of guilt or the original finding of guilt. Such documentation shall not be removed from the inmate ’ s file, but shall be annotated with a cross-reference to a CDC Form 128-B report which shall reflect the most recent findings and action on the charge. • Care shall be exercised in the wording and phrasing of comments on the CDC Form 128-B reports to avoid innuendos and implications that would lead a reader to believe that the inmate is in fact guilty of the charge without regard for the determination arrived at in the disciplinary hearing, in a court's finding, or in the reason for an ordered action on appeal. • The inmate may retain or discard copies of the completed disciplinary report form and other supplemental documentation they may have been given during the course of the disciplinary process and proceedings. 52080.15.1

52080.32 Case Review The case of every inmate assigned to a segregated housing unit shall be continuously reviewed and evaluated by custodial and casework staff assigned to the unit. Staff will confer on each case no less frequently than once a week during the first two months of the inmate ’ s segregated status. Such case reviews will not be necessary during any week in which the inmate ’ s case is reviewed by a regular or special classification committee or by staff who are authorized to take classification actions. Any significant observations, determinations or recommendations shall be documented on the inmate ’ s CDC Form 114-A. A psychological assessment of the inmate ’ s mental health will be included in the case review and classification committee review of inmates assigned to segregated housing units. When any indication of psychiatric or psychological problems exists, the case shall be referred to the institution ’ s psychiatrist or psychologist for further evaluation and recommended classification committee actions. 52080.33

53130.11 Transfers The work/training group and credit-earning status of inmates being transferred shall be governed and processed by the following criteria: Nonadverse Transfer Inmates shall not be placed in a lower work/training group as a result of a non- adverse transfer, including intra-facility. A non-adverse transfer is defined as movement of an inmate to a less restrictive institution or program where the security level is the same or lower, movement to a secure perimeter form a non-secure camp or Level 1 (Minimum Support Facility) by order of the prison administration for non-adverse reasons or transfers from reception centers; e.g., from Level III to Level II due to a lowering of an inmate ’ s classification score; to the same level of facility due to overcrowding, special skills, or special program assignments. With the exception of inmates assigned to work group F, an inmate transferred for non-adverse reasons shall retain their work/training and privilege group status. Work group F inmates shall revert to workgroup A-1 effective the date removed from camp assignment. Inmates in vocational/training programs at the sending facilities shall be assigned same or similar programs, if eligible, at the receiving facilities unless such programs are full or unavailable. If the receiving facility ’ s program is full or unavailable, the inmates shall be placed on any existing waiting list. If eligible, inmates on waiting lists at the sending facilities shall be merged into the receiving facility’s waiting lists based on credit earning status, release date, and the length of time they have already spent on the sending facilities waiting list. Inmates who are PC § 2933 day-for-day credit eligible, shall be given priority for assignment. Inmates shall be merged into the receiving institution’s waiting list in the following manner: • First, those inmates who are day-for-day credit eligible, approved for the program and are not assigned work group A-2. Inmates eligible to earn credits per PC § 2933 shall be given priority for placement on waiting lists, with the inmate with the earliest release date given first priority. • Second, those inmates who are day-for-day credit eligible and already designated work group A-1. Inmates eligible to earn credits per PC § 2933 shall be given next priority for placement on waiting lists and the inmate with the earliest release date shall be given first priority. • Third, those inmates who are not PC § 2933 day-for-day credit eligible and are already designated work group A-1. Inmates will be placed on waiting lists based upon the work group effective date. • Fourth, those inmates who are not PC § 2933 day-for-day credit eligible and are not assigned work group A-2. Inmates will be placed on waiting lists based upon the work group effective date. Adverse Transfers Inmates in a work/training group A-1 or F who are transferred as a result of an adverse classification action, shall be reclassified to involuntarily unassigned status and placed in work/training group A-2 by the sending institution to be effective the date of transfer. The inmate shall remain in group A-2 until reclassified. An inmate in group A-2, C, or D at the time of transfer shall be retained in that group pending receiving institution classification. Special Housing Unit Transfers Inmates found guilty of a credit loss offense that may result in a determinate term of SHU confinement shall be evaluated for SHU placement by an institutional classification committee (ICC). If the committee concludes that SHU placement is required, it shall establish a MERD. The committee shall reclassify the inmate to credit earning group D-2 (zero credit) effective the date of placement in lockup status and shall retain the inmate in AD-SEG until transfer to an appropriate institution. DMH Transfers Inmates transferred to the DMH, and retained under jurisdiction of the Department, shall be classified prior to actual transfer by the sending institution. The transfer chrono, CDC Form 128-G, shall reflect the reasons for the transfer and any change in the inmate's credit earning group. (Refer to DOM § 53010.9.2.2 for details on credit earning for DMH transfers.) • The hub institution shall maintain the inmate ’ s records and apply appropriate time credits. Re-Entry Transfers Inmates who are accepted for a work furlough/re-entry program will be transferred as a non-adverse transfer and they shall retain their current work/training group status while en route. Operations Manual DEPARTMENT OF CORRECTIONS AND REHABILITATION Chapter 5 Page 451 53130.12

54046.6 Documentation Revised September 6, 2013 The decision regarding inmate housing and determination of suitability for dormitory or celled housing, eligibility for double housing, or designation of single-cell status, shall be documented as follows: • IHR. • CDCR Form 1882-B. • In the Evaluation section of the Institutional Staff Recommendation Summary for Reception Center inmates. • On the CDC Form 128-G during the following actions: • Initial Review. • Annual Review. • Housing Review (including reasons for segregation). • Referral to the Classification Staff Representative. • Referral to the Departmental Review Board. The designation of an “S” suffix shall be documented and affixed to the inmate’s custody on the following documents and data: • CDC Form 262. • Distributed Data Processing System. • CDC Form 128-G. • IHR. • Temporary Single Cell Status Request. Affixing and removing Single Cell and Temporary Single Cell Designation in SOMS SOMS can accommodate the two types of Single Cell designations, Temporary Single Cell and Single Cell status (“S” suffix that has been affixed by Classification Committee). The Temporary Single Cell is designed to appropriately house an inmate pending confirmation by Classification Committee and affixing an “S” suffix. A Temporary Single Cell is affixed in SOMS via SOMS screens IPTT105-Initial Housing Review or IPTS028B-Temporary Single Cell Status Request. An “S” suffix must be entered in the Distributed Data Processing System (DDPS) via the Counselor entry screen. Once the entry is made in DDPS the “S” suffix is automatically transferred to SOMS within an hour of entry. Once SOMS has received the “S” suff ix designation it is reflected in the Inmate Header and SOMS prevents the “S” suffix inmate from being housed with another inmate. Review and Approval/Denial of Temporary Single Cell Status on the SOMS IHR Temporary Single Cell requests must be approved by a staff member at the level of Correctional Lieutenant or higher. The Approving staff member shall note the Approval or Denial of the Temporary Single Cell in SOMS. Confirmation/Denial of Temporary Single Cell requests at Classification Committee review in SOMS. If as a result of Committee decision the Temporary Single Cell inmate will be given an “S” suffix, the approval will be entered on SOMS screen IPTS028B and the “S” will be entered in the Counseling entry screen of the DDPS. Once the “S” is entered in DDPS it will automatically update SOMS and the “S” will be displayed in the inmate’s SOMS Header. If Committee elects to disapprove the “S” suffix no entry will be required in DDPS. However, the decision to remove the Temporary Single Cell must be entered in SOMS in order to remove the Temporary Single Cell status from the inmate. If an inmate has been incorrectly identified as single-cell status after a UCC/ICC action, a subsequent UCC/ICC action shall be required to remove/correct the “S” suffix. To reduce the possibility of housing single-cell status inmates with another inmate or non-designated single-cell housing status inmate, staff shall review the housing status of all inmates being processed for a bed cell move via SOMS prior to authorization. 54046.7

61020.12.2 Archive File Review Procedures The counselor shall review the inmate’s current criminal history through the California Law Enforcement Telecommunication System (CLETS) and the Criminal Identification and Information (CI&I) to determine if there is a discharged CDCR term, Civil Addict commitment, DJJ/CYA commitment, federal term, or out-of-state term, which has not been previously reviewed and documented. If the inmate has a discharged CDCR term or Civil Addict commitment and the archive file has not been previously requested, the counselor shall complete the Request for Discharged Archives Files. The request shall include the inmate’s full name, current CDC number, discharged CDC number, box number (assigned to discharged cases beginning in the late 1990’s), and discharge date. Discharge dates can be obtained from the OBIS “COFQ” screen or CLETS/CI&I. Box numbers can be obtained from the OBIS “KMHQ” scree n. Pursuant to Penal Code (PC) § 1203.03 (“Z” cases), records on diagnostic cases are not available after three years from the discharge date. (Note: When an inmate’s CDCR term is discharged, the parole region indicates in the OBIS “KMHQ” screen the box number in which the Central File is placed. Indicating the box number, when noted on the request form, assists the Archives Unit in locating the C-file.) The “COFQ” screen in OBIS shall be checked to determine if there is a confidential folder under the discharged CDC number. If there is a confidential folder, the counselor shall complete the Request for Discharged Confidential Folder form. The request shall include the inmate’s full name, current CDC number, discharged CDC number(s), discharge date, and CI&I number. If the inmate has a discharged DJJ/CYA commitment and the DJJ/CYA file has not been previously requested and reviewed, the counselor shall complete the DJJ/CYA file request. NOTE: DJJ/CYA archive files are no longer available if the DJJ/CYA commitment has been discharged for seven (7) or more years. The counselor shall complete the Notice of Requested Archive File, Confidential Folder, or DJJ/CYA File half-sheet, punch holes, and place it inside the back of the C-file folder where the archive file is normally located. This will be utilized to ascertain whether or not the archive file, confidential folder, or DJJ/CYA file has been requested. The counselor shall complete a separate half-sheet for each archive file, confidential folder, or DJJ/CYA File requested. If an archive file, confidential folder, or DJJ/CYA file has been requested but not received prior to completion of the Institution Staff Recommendation Summary (ISRS), the RC counselor shall note the discharged number and date the archive file was requested in the Casework Follow-up section of the ISRS. The counselor shall submit the request for the archive file, confidential folder, or DJJ/CYA file to the Records Office. The Records Office shall FAX the request to the appropriate destination (as indicated on the request form) within seven (7) days. If the archive file, confidential folder, or DJJ/CYA file is not received within 90 days, the counselor shall call the Archives Unit, ID/Warrants Unit, or DJJ/CYA Master Files Section to determine if the request needs to be sent again. If applicable, federal institutions and out-of-state agencies shall be contacted by the counselor. Any information provided, whether written or oral, shall be summarized and documented in a CDC Form 128-B. (Note: The Archives Unit does not maintain records on Interstate “I” numbers. A C - file for an “I” number does not exist. An “I” number is on parole here in California serving parole that was imposed by another state. An “I” number has never served any prison time in California. Therefore, when reques ting records on “I” numbers, the out-of-state agency shall be contacted by the counselor.) Each time a counselor makes contact with another agency (federal, state, county, etc.) requesting records or receiving information on an inmate’s prior incarceration behavior, it shall be documented in a CDC Form 128-B. This will ensure that staff reviewing the case are aware of the information and any efforts that have been made to obtain the information. Upon receipt of the Archive File, Confidential Folder, or DJJ/CYA File, the counselor shall review the file for information that may affect the inmate’s Placement Score, housing, custody, program, medical/psychiatric needs, or any other pertinent factors. The counselor shall summarize the information compiled from the archive file review in a CDC Form 128-B and secure it in the C-file. A pre-formatted Archive File Review, CDC Form 128-B may be used to document the archive file review. Upon completion of the archive file review, confidential folder review, or DJJ/CYA File review and documentation in a CDC Form 128-B, the counselor shall update or correct the appropriate documentation in the current C-file including, but not limited to, the following: • Documentation of enemies on the CDC Form 812 and/or CDC Form 812C, Notice of Critical Information-Confidential Enemies; • Incorporation of confidential information into the current confidential folder; • Correction of the CDC Form 839, CDC Classification Score Sheet, and CDC Form 840, CDC Reclassification Score Sheet, and CDC Form 841, Readmission Score Sheet. If the archive review results in a need to change the inmate’s housing, program, custody, or security level, the counselor shall schedule the case for review by the next available classification committee. If a safety/security issue is identified, the counselor shall immediately notify the CCII (Supervisor) and/or available supervisory custody staff and ensure the appropriate action is taken. The Records Office shall maintain security of DJJ/CYA files until returned to the DJJ/CYA. Note: DJJ/CYA files are to be returned to DJJ/CYA within 30 days of receipt. CDCR archive files and archive confidential folders are not to be returned to the Archives Unit or ID/Warrants Unit. They are to be permanently retained in the current C-file. If an archive file is received for an inmate that has been transferred, Records Office staff shall forward it to the inmate’s current institution immediately. If the archive file is received at the RC prior to the case being reviewed by the CSR, the archive file review, documentation in a CDC Form 128-B, and necessary updates and corrections to the C-file shall be completed at the RC to ensure the recommendation to the CSR is appropriate. If it is discovered that an archive file was not requested at the RC, the receiving institution shall submit the request. With the exception of RC cases, all cases presented to the CSR for transfer consideration that have a discharged CDCR term, Civil Addict commitment, or DJJ/CYA commitment require completion of the archive file review and documentation in the C-file. If the archive file review has not been completed prior to the CSR review, the effort to obtain it and the reason the case is being referred to the CSR prior to the archive file review shall be described in the CDC Form 128-G, Classification Chrono. 61020.13

61020.15 CSR Review for Placement or Transfer Endorsement Cases submitted to a CSR for transfer consideration must have a new CDC Form 840. Each inmate transferred will have a current Placement Score, so the receiving institution does not need to do a review until the appropriate period of time has lapsed. Whenever a case is presented to a CSR or authorized staff for placement or transfer endorsement, an updated CDC Form 840 shall be provided in the C-file with the CDC Form 128-G, which makes the referral. An updated CDC Form 840 is not required for the CSR approval of the following temporary placements: • Placement in an ASU Hub. • Placement in a Mental Health Crisis Bed. • Medical and Return Transfers. • Approval of an ASU Extension. After the CSR ’ s review and completion of the Classification Staff Representative section, detach and distribute one copy each to the inmate and Information Quality Support Section before filing the original in the C-file. Resubmittal to CSR When a case is resubmitted to a CSR to appeal the endorsement decision of another, a new CDC Form 840 is required as each submittal is a separate transaction. Distribute the copies of the CDC Form 840, which contain the original CSR action, regardless of the second CSR's decision. This will close out the first transaction. Do not reassess points for negative or positive behavior from the previous CDC Form 840. Indicate only new information since last review. CSR Endorsement A CSR endorsement shall remain effective for 120 days from the date of endorsement. If an inmate is not transferred within 120 days from the date of CSR endorsement, the endorsed case awaiting transfer shall be again presented to a CSR prior to the 121st day for a 120-day extension of the endorsement if there is no change to case factors and the endorsement remains appropriate. Each request for a 120-day extension of an endorsement shall be documented on a CDC Form 128-G and requires confirmation that the CCI and the CCII Supervisor audited the central file; updated the CDC Forms 840, 812, 812-C (if applicable); verified that case factors impacting the appropriateness of the CSR endorsement have not changed; and confirmed that the initial CSR endorsement remains appropriate. The CCI ’ s review and CCII Supervisor ’ s authorization for endorsement extension shall serve as a classification action. The CCI and CCII shall sign and date the CDC Form 128-G. The request for a 120-day extension of a CSR endorsement shall not require review by a Unit Classification Committee (UCC) or Institutional Classification Committee (ICC) unless case factors change or other information is identified which renders the CSR endorsement to be no longer appropriate. An endorsed case awaiting transfer may be extended no more than twice beyond the initial 120-day period. Upon discovery of information that a CSR endorsement is no longer appropriate, the institution shall not allow the transfer to occur. The case shall be referred for UCC or ICC, as appropriate, to determine appropriate placement. The UCC or ICC shall substantiate placement recommendation and refer the case for transfer consideration or retention in current placement. 61020.16

61020.19.7 Placement Mandatory Minimum Score Factor: A Mandatory Minimum Score Factor is a case factor that requires the application of a Mandatory Minimum Score. Mandatory Minimum Score Factor Code (Box 85) A Mandatory Minimum Score Factor Code is an alpha code associated with a Mandatory Minimum Score Factor. • If an inmate has a case factor that requires the application of a Mandatory Minimum Score Factor Code, enter the applicable code in Box 85. If more than one Mandatory Minimum Score Factor Code applies, enter the code that appears first on the list. • Document the RC justification for applying a Mandatory Minimum Score Factor Code in the CDC Form 816 or ISRS, as applicable. When the Mandatory Minimum Score Factor is applied other than in the RC, justify application in a CDC Form 128-G. • If eligibility for a Mandatory Minimum Score Factor Code requires “case -by- case” consideration, the case shall first be reviewed and evaluated by a classification committee before the Mandatory Minimum Score Factor Code is applied. • If the classification committee approves application of a Mandatory Minimum Score Factor Code, the classification committee shall describe the justification for applying the Mandatory Minimum Score Factor Code in the CDC Form 128-G, and refer the case for CSR review for the application of the Mandatory Minimum Score Factor Code. • A CDC Form 840 score sheet shall be prepared to record the CSR's action to apply the Mandatory Minimum Score Factor Code and Mandatory Minimum Score. • Absent overriding security or safety considerations, cases pending further consideration to determine eligibility for a Mandatory Minimum Score Factor Code shall not be transferred, except from the RC until the application of a Mandatory Minimum Score Factor Code is resolved. Determine if one or more of the case factors listed below apply to the inmate. If no factors apply, proceed to the instructions for Placement Score. Prepare a new CDC Form 840 score sheet to record a change in or removal of a Mandatory Minimum Score Factor Code. Mandatory Minimum Score Factor Codes and Scores: CODE FACTOR SCORE [A] Condemned 52 [B] Life Without Possibility of Parole 52 [C] CCR 3375.2(a) (7) Life Inmate 28 [D] History of Escape 19 [E] Warrants “R” Suffix 19 [F] Violence Exclusion 19 [G] Public Interest Case 19 [H] Other Life Sentence 19 Specific Criteria for Applying Mandatory Minimum Factors: • A. Condemned . Apply Mandatory Minimum Score Factor Code A to inmates sentenced to Death. • B. Life Without Possibility of Parole . Apply Mandatory Minimum Score Factor Code B to inmates sentenced to Life Without the Possibility of Parole (LWOP). • C. CCSR 3375.2(a)(7) Life Inmate . Apply Mandatory Minimum Score Factor Code C to life-term inmates who are excluded from placement in Levels I or II based on any of the following factors per CCR § 3375.2(a)(7): • The commitment offense involved multiple murders, unusual violence, or execution-type murders, or received high notoriety. Each of these factors is defined in CCR § 3000. • The inmate has a history of multiple walkaways, an escape from a secure perimeter, or an escape with force or threat of force. A classification committee shall determine the application of Mandatory Minimum Score Factor Code C. The UCC shall refer more complex cases to the ICC as needed. Justification in the CDC Form 128-G shall address the specific element(s) of the inmate’s commitment offense that substantiates the application of Mandatory Minimum Score Factor Code C, which precludes Level II placement, as opposed to Mandatory Minimum Score Factor Code F or Mandatory Minimum Score Factor Code H. • D. History of Escape . Apply Mandatory Minimum Score Factor Code D for those case factors listed below. This code is not to be used to assess risk factors for escape involving any other offenses; (i.e., the sale or possession of large quantities of narcotics.) • Apply to an inmate with any history of escape from within a secure perimeter or attempted escape from within a secure perimeter, whether or not force was used. This inmate is permanently excluded from minimum custody placement. • Apply to an inmate who has a conviction for, or whose commitment offense includes, Escape with Force or Attempted Escape with Force from any correctional setting or armed escort. This inmate is permanently excluded from minimum custody placement. • Apply to an inmate who verbalizes that he or she is going to escape, and/or states he or she does not wish MSF placement because he or she will be tempted to escape/walkaway. The inmate is permanently excluded from minimum custody/MSF/camp placement. • When applying the ten-year exclusion criteria in reference to the following escapes or walkaways, use the date of conviction. If the escape did not result in a conviction, use the date of apprehension. In a case where there is no escape conviction and the date of apprehension is unknown, use the date of the escape, attempted escape, or walkaway. • Apply to an inmate who has a history of (one or more) walkaways without force from a nonsecure perimeter facility setting (such as camp, MSF, county road camp, etc.) The inmate is ineligible for minimum custody placement, camp, or MSF for ten years. • Apply to an inmate with a pattern of (two or more) walkaways from CCRC within the last 10 years. These inmates are excluded from minimum custody for 10 years. • Apply to an inmate who has a walkaway from a CCRC that resulted in a court conviction for Escape within the last ten years. The inmate is not eligible for minimum custody for 10 years. • E. Warrants “R” Suffix . Apply Mandatory Minimum Score Factor Code E when the “R” suffix has been affixed to the inmate’s custody. Criteria for the “R” suffix are provided in CCR § 3377.1(b)(1) and DOM § 62010.4.3.1. Do not apply Mandatory Minimum Score Factor Code E for a case pending an evaluation. • F. Violence Exclusion . Apply Mandatory Minimum Score Factor Code F when an inmate has a current or prior conviction for a violent felony or a sustained juvenile adjudication including, but not limited to, those listed under PC § 667.5(c) that does not require “case -by- case” consideration. • A sustained juvenile adjudication is a guilty determination or ruling rendered in a juvenile judicial proceeding. • In addition, the following administrative determinations regarding an allegation of a violent act including, but not limited, to those • effect as a current or prior conviction for a violent felony or a sustained juvenile adjudication: • Board of Parole Hearings good cause finding, or • California Youth Authority/Youthful Offender Parole Board sustained allegation, or • A probation violation finding in a court of law. • Do not apply the Mandatory Minimum Score Factor Code F pending case-by-case evaluation. • Case-by-case evaluation for application of the Mandatory Minimum Score Factor Code F by the receiving institution requires the review and decision prior to the inmate’s first annual review or prior to transfer, whichever comes first. • If the UCC justifies exclusion of the inmate for violence based on a case-by-case evaluation, the case shall be referred to the CSR for approval. • If the CSR agrees with the UCC’s evaluation that the case meets the violence exclusion, the CSR shall apply the administrative determinant pursuant to CCR § 3375.2(b)(25). • If the CSR disagrees with the UCC’s evaluation that the case meets the violence exclusion, the CSR shall refer the case to ICC for a final determination. • Upon ICC determination that the case meets the violence exclusion, ICC shall refer the case for CSR review and application of the administrative determinant for violence pursuant to CCR § 3375.2(b)(25). • The ICC shall refer the case to the CSR substantiating application of the violence administrative determinant via a CDC Form 128-G. • A CDC Form 840 score sheet shall be prepared to record the CSR ’ s action to apply the Mandatory Minimum Score Factor F. • G. Public Interest Case . Apply Mandatory Minimum Score Factor Code G when a CSR determines that the inmate is a Public Interest Case as defined in CCR § 3000, CCR § 3375.2(b)(20) and DOM § 62010.4.3.3. Staff shall refer potential public interest cases to a CSR for determination and endorsement, if applicable, as a public interest case. • H. Other Life Sentence . Apply Mandatory Minimum Score Factor Code H for an inmate serving a current life sentence commitment whose case factors are not already addressed by another Mandatory Minimum Score Factor. This inmate is excluded from placement in a minimum custody setting until a release date is granted by the BPH. The granting of a release date by the BPH does not result in the removal of Mandatory Minimum Score Factor Code H. Mandatory Minimum Score (Boxes 86-87) A Mandatory Minimum Score is a numerical value identifying the least restrictive security level for an inmate who has a case factor that requires that he/she be housed no lower than a specific security level. When the Mandatory Minimum Score Factor Code is applied, enter the corresponding point value in the field labeled Mandatory Minimum Score, Boxes 86-87. If more than one factor applies, enter the code in Box 85 that appears first on the list and enter the corresponding numeric value in Boxes 86-87. Placement Score (Boxes 88-90) If a Mandatory Minimum Score Factor Code has not been applied, enter the New Preliminary Score as the Placement Score. If a Mandatory Minimum Score has been applied, enter either the Mandatory Minimum Score or the New Preliminary Score, whichever is greater, as the Placement Score. The Placement Score is one of the factors used to determine the security level to which the inmate is assigned. 61020.19.8

61020.20.5 Computation Of Score Prior Preliminary Score (Boxes 75-77) The Prior Preliminary Score will be found on the most recent classification score sheet: • If the CDC Form 839 is the most recent score sheet, enter the Preliminary Score value as recorded in Boxes 65-67. • If the CDC Form 840 is the most recent score sheet, enter the New Preliminary Score value as recorded in Boxes 82-84. • If the CDC Form 841 is the most recent score sheet, enter the New Preliminary Score value as recorded in Boxes 84-86. • When an inmate's most recent classification score is recorded on a score sheet with a revision date prior to Rev. 07/02, enter that classification score as the Prior Preliminary Score. Net Change in Score (Boxes 78-80) Combine the Total Favorable Points (C4) and the Total Unfavorable Points (D8). The Net Change in Score can be a plus (+) or a minus (-) value. The maximum number of points that can be entered for the Net Change in Score on the CDC Form 841 is 99. If the Net Change in Score exceeds 99, prepare one or more CDC Form 840(s) to record remaining disciplinaries. If preparing more than one CDC Form 840 on the same date, enter a different date for each CDC Form 840 because the Inmate Classification Score System Database organizes data by the “Date Completed.” Enter the appropriate positive or negative sign in the first box and the total value in the remaining boxes. Preliminary Score Subtotal (Item F3) Enter the Preliminary Score subtotal on the line provided. The Preliminary Score subtotal is the prior Preliminary Score plus or minus the Net Change in Score. This number can never be less than “0.” Change in Term Points (Boxes 81-83) If the inmate has been designated as an RTC, do not enter a value. This area is left blank for an inmate who has returned as a parole violator returned to custody for a parole violation only. If a PVRTC later becomes a PVWNT, a correction to the CDC Form 841 is not necessary. Complete a new CDC Form 840 recording the change in term points, if any, as a result of this new term. Also, do not correct the CDC Form 839. To determine the change in term points for a PVWNT: • Identify the original Term Point (T/P) from the CDC Form 839 and from subsequent score sheets with information entered in the Change in Term Points box. • Enter the prior Term Points value on the “ - Old T/P” line on the score sheet. • Use the Term Point equation of base term plus enhancements multiplied by two (2) to calculate New Term Points. Enter that value on the “+ New T/P” line on the score sheet. • This term point value cannot exceed 50. • Determine the difference between the old term points and the new term points. Enter either a plus (+) or a minus (-) sign in Box 81 and the numeric difference in Boxes 81-83. EXAMPLES: An inmate is returned from parole as an RTC. The inmate goes out to court before completing RC processing and is sentenced to 3 years. His original CDCR commitment had been 4 years. The adjustment to the Change in Term Points area of the CDC Form 841 is calculated as: • Old Term Points: - 8 • New Term Points: (3 yrs X 2) + 6 • Change in Term Points = - 2 An inmate is returned from parole as a PVWNT. She is given an 18-month sentence (1 year 6 months). Her original term was 8 years. • Old Term Points: - 16 • New Term Points: (1 yrs X 2) + 2 • Change in Term Point = - 14 New Preliminary Score (Boxes 84-86) Add or subtract the Change in Term Points value from the Preliminary Score Subtotal and enter that value in Boxes 84-86. The maximum value for the New Preliminary Score is 999. The New Preliminary Score cannot be less than zero nor greater than 999. 61020.20.6

62070.11.3 Review/Approval (Methods and Responsibilities) Consideration for OSWA classification shall include the following actions: Correctional Counselor • The CC-I shall initiate a preliminary review of inmate case factors for OSWA consideration. • Eligible inmates identified by the caseworker shall be referred to a unit/institution classification committee (UCC/ICC) for review. Classification Committee • Review case factors for OSWA clearance. • Cases approved at classification shall be recorded on a CDC Form 255, Off-Site Work Assignment Eligible List, and forwarded to the Warden or chief deputy Warden for final approval. Warden/Chief Deputy Warden • Review case factors of inmates submitted on CDC Form 255 for final OSWA approval. • Delete from the list any inmates determined unacceptable. • Sign and forward approved list to designated staff responsible for effecting OSWA releases. 62070.12

62080.14 Transgender or Intersex Inmates Revised May 15, 2018 Inmates who have been diagnosed as transgender or intersex, as documented on the Medical Classification Chrono, shall be referred to a classification committee for review of all case factors and determination of appropriate institutional placement and housing assignment. In order to ensure inmate- patients receive the necessary medical care/mental health treatment, transgender or intersex inmate-patients, to the maximum extent practical, shall be housed at the following institutions: • California Medical Facility (CMF) • Richard J. Donovan (RJD) • San Quentin Rehabilitation Center (SQRC) • Mule Creek State Prison (MCSP) • California Substance Abuse Treatment Facility (SATF) • California State Prison – Sacramento (SAC) • Salinas Valley State Prison (SVSP) • Correctional Institution for Men (CIM) • Kern Valley State Prison (KVSP) • California Men’s Colony • California Health Care Facility • Central California Women’s Facility (CCWF) • California Institution for Women (CIW) • Folsom Women’s Facility In cases where an inmate-patient has multiple case factors which make it difficult to house them in one of the above listed institutions, a case conference consisting of Health Care Placement Oversight Program, Classification Services Unit, California Correctional Health Care Services, and Population Management Unit staff, shall be conducted to determine the most appropriate level of care/institution suitable for housing consistent with the inmate- patient’s case factors. Inmates identified as transgender or intersex on the Medical Classification Chrono shall, upon request, be provided with state issued brassieres or boxer shorts via the institution clothing room and permitted to purchase such items as needed. 62080.15

72010.13.2 Specific Purge/Retention Instructions Revised July 22, 2013 The following instructions apply to the types of documentation which may be found in a case file and shall be followed in the purge processes: Board Report Retain in hard copy; microfiche at discharge. Psychiatric Evaluation Retain in hard copy; microfiche at discharge. Responses to PC 3042 Notice Retain in hard copy; microfiche at discharge. Statement by Judge and DA Not usually received on CDC form, but is the PC 1203.1 statement which shall be retained in hard copy; microfiche at discharge. Writs Filed by Life Prisoners Regardless of the issue raised or the named parties, writs shall be retained until discharge. Numerous writs filed by litigious inmates may be retained in a separate file. Microfiche at discharge. Correspondence Regarding the Prisoner and the Offense Retain in hard copy; microfiche at discharge. CDC Form 101, Work Supervisor's Report Retain in hard copy; microfiche at discharge. CDC Form 102, Release Statement and Clothing Authorization Purge all but most recent one. CDCR Form 104, Property and Cash Receipt-- Arrival Do not file in C-File. Maintain current copies in property room. CDC Form 105, Application for Mail and Visiting Privileges Do not file in C-File. Retain in visiting office. CDCR Form 106, Mail and Visiting Privilege Questionnaire Do not file in C-File. Retain in visiting office. CDC Form 112, Chronological History Retain in hard copy; microfiche at discharge. CDC Form 114-A, Isolation-Segregation Record Retain in hard copy; microfiche at discharge. CDC Form 114-D, Order and Hearing for Placement in Segregation Housing Retain in hard copy; microfiche at discharge. CDC Form 115, Rule Violation Report (Administrative) Retain in hard copy; microfiche at discharge. CDC Form 115-A, Serious Rule Violation Report Retain in hard copy; microfiche at discharge. • Incident reports attached to CDC Forms 115 retained in hard copy; microfiche at discharge. CDC Form 122, Property and Cash Receipt--Release Do not file in C-File. Retain in property room. CDC Form 123, Body Receipt Retain in hard copy; microfiche at discharge. CDC Form 126, Certificate of Driver Eligibility Retain in hard copy; microfiche at discharge. SOMS - Notification in Case of Inmate Death, Serious Injury, or Serious Illness CDC Form 128-A, Custodial Counseling Retain in hard copy; microfiche at discharge. CDC Form 128-B, General Chrono Retain in hard copy; microfiche at discharge. CDC Form 128-B-1, Notice of Classification Hearing Retain in hard copy; microfiche at discharge. These are needed for accreditation. CDC Form 128-C, Medical-Psych-Dental Retain in hard copy; microfiche at discharge. CDC Form 128-C-1, Reception Center Medical Clearance/Special Instructions Retain in hard copy; microfiche at discharge. CDC Form 128-D, E, and F, Education Progress Reports Retain in hard copy; microfiche at discharge. CDC Form 128-G, Classification Chrono Retain in hard copy; microfiche at discharge. CDC Form 128-L, Education − College Retain until BPT hearing (documentation, parole consideration, progress or rescission) which occurs after the conduct documented on the form, then purge. CDC Form 128-M, Group Test Results Retain in health records. CDC Form 128-O, Document Receipt Retain in hard copy; microfiche at discharge. CDC Form 128-P, Loss of Credit Notification Purge all but most recent notice. CDC Form 128-P-1, Notice of Work Credits Purge all but most recent notice. CDC Form 128-R, Requested Notice of Escape or Transfer of Custody Retain in hard copy; microfiche all but most recent notice. CDC Form 138, Fingerprint Card Retain in hard copy. CDC Form 146, Release − Motion Pictures, etc. Retain in hard copy; microfiche at discharge. CDC Form 158, Certification of Education Achievement Do not file in C-File. Retain in education/vocational office. CDC Form 161, Warden's Checkout Order Do not file in C-File. Retain in separate record office file for one year in addition to the current year. CDC Form 188, Cumulative Case Summary — Face Sheet Retain in hard copy; microfiche at discharge. CDC Form 191, Inmate Time Card Retain in hard copy; purge 60 days after last credit gain unless an appeal is pending. CDC Form 193, Trust Account Withdrawal Order Do not file in C-File. Retain in trust office. CDC Form 198-A, Source of Information Retain in hard copy; microfiche at discharge. CDC Form 202, Request for Education Record Do not file in C-File. Retain in education office. CDC Forms 203, 204-A, 205-A, 206, 207-A, and 208 All these forms are obsolete. CDC Form 209, Psychological Test Results Retain in health record. CDC Form 241, Request for Military Service Data Purge when answer received. CDC Form 248-A, Letter of Inquiry Re: Application for Employment Retained in C-File only until reply is received, then purge. CDC Form 255, Off-Site Work Assignment Eligible List Do not file in C-File. Retain in custody office. CDC Form 260, Personal Clothing Disposition Do not file in C-File. Retain in property room. CDC Form 279-L, Facility Appearance Evaluation Sheet Retain in hard copy; microfiche at discharge. CDC Forms 294 and 295, Western Interstate Corrections Compact Agreement and Cooperative Transfer Agreement Retain in hard copy; microfiche at discharge. CDC Forms 341, 342, 343, and 344, Discharge Certificates Retain in hard copy; microfiche at discharge. CDC Form 345, Power of Attorney and Authorization for Deposit Retain latest in hard copy; microfiche at discharge. CDC Forms 360, 360-A, 361, 362-A, and 362-B, NAEA Vote Sheet Retain in hard copy; microfiche at discharge. CDC Form 600, Wanted Persons System Notification − Addendum A Retain current wants in hard copy. Purge upon cancellation. CDCR Form 602, Inmate/Parolee Appeal Form Retain in hard copy; microfiche at discharge. CDC Form 611, Release Program Study Purge all but most recent one. Microfiche at discharge. CDC Form 616, Form Letter--Request for Disposition of Probation, Waiver of Appearance and Right to Attorney Purge when adjudicated. CDC Forms 629-A and 629-B SHU term of initial confinement, and re-determination of SHU confinement term. Retain in hard copy attached to CDC 115, microfiche at discharge. CDC Form 643, Demand for Hearing and Trial Retain in hard copy; microfiche at discharge. CDC Form 644, Notice of Presumptive Death Microfiche at discharge. CDC Form 661, Form Letter to Inmate Re: Wanted by Other Agencies Retain in hard copy; microfiche at discharge. CDC Form 669, Motion to Dismiss Criminal Charges Pending Retain in hard copy; microfiche at discharge. CDC Form 678, Confinement Computation Retain in hard copy; microfiche at discharge. CDC Form 679-A Credit/Term Computation Retain in hard copy; microfiche at discharge. CDC Form 679-A Credit/Term Computation Retain in hard copy; microfiche at discharge. CDC Form 695, Appeals Office Screening Decision Retain in hard copy; microfiche at discharge. CDC Form 801, Notice of Detainer Retain in hard copy, purge when returned to Department custody or paroled. CDC Form 802, Interstate Compact/Placement Agreement Retain in hard copy; microfiche at discharge. CDC Form 804, Notice of Pending CDC 115 Retain in hard copy; purge when CDC 115 is adjudicated. CDC Form 810, Confidential Information Listing Retain latest in hard copy; microfiche at discharge. CDC Forms 811 and 811-A, Confidential Information Removal Notice Retain latest in hard copy; microfiche at discharge. CDC Forms 812, Notice of Critical Case Information-- Safety of Persons; 812-A, Notice of Critical Information--Prison Gang Identification; and 812-B, Notice of Critical Information--Disruptive Group Identification Retain in hard copy; microfiche at discharge. CDC Form 813, Release From Liability Retain in hard copy; microfiche at discharge. CDC Form 819, Personal/Confidential Information Disclosure/Access Log Retain in hard copy; microfiche at discharge. CDC Form 833, Record Release Authorization Retain in hard copy; microfiche at discharge. CDC Form 839, Initial Classification Score Sheet Retain in hard copy; microfiche at discharge. CDC Form 840, Reclassification Score Sheet Retain in hard copy; microfiche at discharge. CDC Form 850, Detainer Summary Retain in hard copy; microfiche at discharge. CDC Form 888, Notice of Request for Search Do not file in C-File. Retain in visiting office. CDC Forms 913 and 914, Override and Sentence Date Entry Do not file in C-File. CDC Form 916, Credit Time Waiver Retain in hard copy; microfiche at discharge. CDC Form 958, Application for Restoration of Credits Retain in hard copy; microfiche at discharge. CDC Form 1502, Activity Report Retain in hard copy; microfiche at discharge. CDC Form 1503, Parolee Face Sheet Retain in hard copy; microfiche at discharge. CDC Form 1504, Parole Release Authorization Retain in hard copy; microfiche at discharge. CDC Form 1506, Transfer/Correction/Residence Change Retain in hard copy; purge at discharge. CDC Form 1507, Record of Interview (Reentry) Retain in hard copy; microfiche at discharge. CDC Form 1508, Parolee's Monthly Report Do not file in C-File. CDC Form 1509, Assistance Receipt Do not file in C-File. CDC Form 1510, Loan Repayment Receipt Do not file in C-File. CDC Form 1512, Form Letter Permit to Drive a Vehicle. Obsolete, purge. CDC Form 1515, Notice and Conditions of Parole Retain in hard copy; purge at discharge. CDC Form 1515-L, Conditions of Release Retain in hard copy; microfiche at discharge. CDC Form 1519, Request to Exercise/Restore Civil Rights Obsolete, purge. CDC Form 1521-A, Actions of the Parole & Community Services Division Retain in hard copy; purge at discharge. CDC Form 1521-B, Charge Sheet Retain in hard copy; purge at discharge. CDC Form 1521-C, Case Summary Retain in hard copy; purge at discharge. CDC Form 1521-D, Recommendation Review Decision Sheet Retain in hard copy; purge at discharge. CDC Form 1524, PAL Report Retain in hard copy; purge at discharge. CDC Form 1526, Visitation Permit Retain in hard copy; purge at discharge. CDC Form 1529, Parole and Probation Form A, Reply to Parole Investigation Request Retain in hard copy; purge at discharge. CDC Form 1530, Parole and Probation Form B, Report of Violation Retain in hard copy; purge at discharge. CDC Form 1531, Parole and Probation Form 1, Parole Investigation Request Retain in hard copy; purge at discharge. CDC Form 1532, Parole and Probation Form 2, Report of Sending State Retain in hard copy; purge at discharge. CDC Form 1533, Parole and Probation Form 3, Agreement to Return Retain in hard copy; purge at discharge. CDC Form 1534, Parole and Probation Form 4, Parole Progress and Conduct Report Retain in hard copy; purge at discharge. CDC Form 1535, Out-of-State Travel Permit Retain in hard copy; purge at discharge. CDC Form 1536, Request for Cooperative Investigation Retain in hard copy; purge at discharge. CDC Form 1538, Opening and/or Closing Notice Retain in hard copy; purge at discharge. CDC Form 1539, Tracer Letter #1 (PAL) Do not file in C-File. CDC Form 1540, Final Request Concerning Parolee (PAL) Do not file in C-File. CDC Form 1541, Request for Submission of Monthly Report Do not file in C-File. CDC Form 1548, Parolee Outpatient Clinic Referral Do not file in C-File. CDC Form 1551, Transfer Investigation Request Do not file in C-File. CDC Form 1570, Guidelines for Parole Do not file in C-File. CDC Form 1580, Request for Criminal Record (DOJ) Do not file in C-File. CDC Form 1600, Arrival Report − Work Furlough Inmates Retain in hard copy; purge at discharge. CDC Form 1601, Departure − Work Furlough Retain in hard copy; purge at discharge. CDC Form 1604, Agreement of State Prisoner to Participate in Community Correctional Facility Program Retain in hard copy; purge at discharge. CDC Form 1608, NAEA Vote Sheet Retain in hard copy; microfiche at discharge. CDC Form 1610, Authorization and Waiver Methadone Maintenance Program Do not file in C-File. CDC Form 1611, Request for Furlough Absence Do not file in C-File. CDC Form 1614, Employment Information Do not file in C-File. CDC Form 1628-B, NAEA Board Report Review − Special Comments Retain in hard copy; microfiche at discharge. CDC Form 1632, Discharge Review − Retain in Parole Report Retain in hard copy; purge at discharge. CDC Forms 1664 Through 1672, Agreement on Detainers Retain in hard copy; microfiche at discharge. CDC Form 1676, Hearing Data (Case Data) Retain in hard copy; microfiche at discharge. CDC Form 7252, Request Authorization for Temporary Removal for Medical Treatment Retain in hard copy; microfiche at discharge. 72010.13.3

76020.3 Placement Requests A request for transfer of a CYA ward or a Department inmate shall be initiated by the Director or their designee of the requesting department. • Requests for a CYA ward placement in a Department facility pursuant to W&I 1755.5 and 1755.5(c) shall be reviewed by the Departments' Classification Services section. • Classification Services shall process CYA orders placing wards at DVI pursuant to PC 2037 without delay. The Chief, Classification Services shall review and recommend approval/denial of each case. Upon notification the Chief, Classification Services shall notify the CYA pursuant to the following: • Whether the case is accepted or denied. • Reasons for denial (if applicable). • Reasons for any delay in transfer of more than ten working days. 76020.4

31020.8 Respiratory Protection Program (a) Purpose (1) Each worksite has a written Respiratory Protection Program (RPP) that contains required worksite-specific procedures and elements for required respirators use for compliance with the California Code of Regulations (CCR), Title 8, and section 5144, Respiratory Protection. This RPP policy also assists HA, managers, supervisors, and employees in promoting the health and safety of all CDCR and CCHCS employees, inmate workers, and youth workers, and visitors. The RPP model plan and instructions are accessible to the Worksite RPP Administrator at https://cdcr.sharepoint.com/sites/CDCR_Admin_fmb_ECS_OCC_RPP/sitep ages/home.aspx . (b) General Responsibilities for the Respiratory Protection Program (1) CDCR and CCHCS shall work with the RPP Administrator to view the 'User Profiles' located within the Business Information Systems (BIS), Environmental Health and Safety (EHS), RPP system and the Strategic Offender Management System (SOMS) to identify specific job classifications and task associated with those classification or inmate workers assignments which are required to wear respiratory protection. Employees required to wear a tight-fitting respirator are determined based on a job hazards assessment of the worksite and worksite tasks or other tasks that their classification may require. The RPP Administrator at each worksite shall ensure that employees required to don a tight-fitting respirator are identified and shall generate a compliance report to determine those employees that need medical clearance and need to be fit tested and ensure fit testing and training occurs annually (no less than 12 months from the last fit testing and training) or whenever a different size, make, or model of respirator is used or there is a change in an employee’s health or working conditions that would prompt new fit testing. (2) CDCR and CCHCS HAs shall ensure that all employees who are required to wear a tight-fitting respirator have completed an RPP medical questionnaire and medical evaluation within the last four (4) years, before they are fit tested and required to use a respirator to perform their various job functions in the workplace. (3) Medical evaluations of employees may be completed by an Employee Medical Monitoring Services contractor. CDCR and CCHCS HAs shall refer to the specific contract language to determine CDCR and CCHCS, or the vendor's responsibilities regarding medical evaluation and fit testing of health care registry providers and contract workers. Consult with the appropriate contract manager for more information. (4) CDCR and CCHCS institution and facility employees who are required to wear respirator(s) shall comply with CCR, Title 8, sections 5144 and 5199. 31020.9

31040.4.7 Limited Term Light Duty Assignment Revised July 1, 2020 (a) A LTLDA temporarily allows an employee with documented temporary medical limitation(s) or restriction(s), which affect the ability to perform one or more of the essential functions, and requires the waiver of one or more essential functions of the empl oyee’s current classification and position, to remain working or return to work after an injury or illness. An LTLDA is intended for utilization when employees cannot be accommodated with an RA. An LTLDA is subject to the following: (1) An LTLDA shall not exceed 90 calendar days. Extensions will be considered case-by-case, based on a written request from the employee and supporting documentation from the employee’s health care provider. However, in no circumstance shall an extension be granted if it would make the total duration of an LTLDA, TMWA, or any combination of the two, exceed 360 calendar days for the same injury or illness. (2) An LTLDA is not a right or entitlement, but is based on availability and operational needs. (3) An LTLDA shall be based on the employee’s medical limitation(s) or restriction(s), employee’s classification, and the needs of the Department. (4) Employees placed in an LTLDA shall maintain all mandatory professional licensure, certification, training, and qualifications appropriate to their regular- duty classification provided the professional licensure, certification, training, or qualifications are not in conflict with any documented medical limitation(s) or restriction(s). (5) An LTLDA would generally be to an assignment with limited inmate/parolee contact and less strenuous than the employee’s regular assignment. (6) It is the employee’s responsibility to provide immediate notice if restriction(s) or limitation(s) change. An LTLDA may not be authorized if the employee’s health care provider fails to specify a termination date of the limitation(s) or restriction(s). (7) The HA may request a Department-ordered Fitness for Duty Evaluation (per GC 19253.5) if the potential exists that the employee’s medical limitation(s) or restriction(s) may be deemed permanent. (8) Duties and/or essential functions associated with LTLDA shall be made available to the health care provider. (9) For institutions, the HA shall establish and maintain a DOM Supplement. (10) The RTWC and HA or designee shall work together to: (1) identify a potential LTLDA, (2) monitor and track the duration of approved LTLDAs, and (3) document approved LTLDAs in writing to include acknowledgement between the employee, the employee’s LTLD A Supervisor and the HA or designee, utilizing the CDCR Form 3050, Limited Term Light Duty or Temporary Modified Work Assignment – Offer, (4) monitor and process extension requests timely. (11) Upon identifying the LTLDA position or post and prior to placement, the employee shall be required to sign the CDCR Form 8019, Nepotism/Fraternization Policy Acknowledgement, per DOM Section 33010.25. (12) Employees shall not engage in outside employment that is inconsistent with their medical limitation(s) or restriction(s). (13) Overtime is not permitted while in an LTLDA. (14) Swaps are not permitted while in an LTLDA. (15) Order of the LTLDA priority will be determined by the date and time medical substantiation describing the employee’s limitation(s) or restriction(s) is received by the Return to Work Office (email, fax, in person). Tiebreakers shall be made by state service seniority. (16) Fraud, Misuse, or Abuse: Any employee who willfully makes false statements, misrepresents circumstances, or fails to disclose material facts, shall be subject to progressive discipline up to and including termination, in addition to civil, criminal, or pension consequences. (17) Refusal by an eligible employee to accept an LTLDA may result in the employee being placed on leave status, paid by using available leave credits, and/or unpaid, if the employee has limitation(s) or restriction(s) that prevent them from performing the essential functions of their position with or without an RA. Refusal may also result in the loss of workers’ compensation wage loss benefits, such as Industrial Disability Leave, Enhanced Industrial Disability Leave, or Temporary Disability. (18) All LTLDA denials (initial or extension requests) shall be submitted to the Division of Adult Institutions Associate Director or comparable Division designee within three business days for a second level review which will include RTWSS. (19) For California Correctional Health Care Services (CCHCS), LTLDA denials (initial or extension requests) that are appealed by the employee shall be submitted to CCHCS, Disability Management and Support Services, Section Chief, within three business days for a second level review which may include CCHCS Office of Legal Affairs and/or the HA. 31040.4.7.1

31060.6.5.3 Termination of T&D During Staff Reductions During staff reductions, T&D assignments shall be terminated in affected classifications and/or related positions. Employees in an affected classification shall be: • Appropriately included when compiling seniority lists. • Returned to their former positions. When the affected classification is one in which surplus employees have been identified and positions are filled with T&Ds: • The T&D(s) shall be terminated. • The positions filled with the most senior affected employees. T&D assignments shall not be used to resolve staff reductions. 31060.7

31060.8.2 Minimum Legal Standards for Peace Officers Revised May 30, 2023 (a) Appointments: Persons appointed to peace officer classifications shall meet all of the following minimum legal qualifications and standards prior to appointment: (1) Be a citizen of the U.S. or a lawful permanent resident. (2) Be 21 years of age or older. (3) Be fingerprinted for purposes of search of local, State, and national fingerprint files to disclose any criminal record. (4) Be of good moral character, as determined by a thorough background investigation. (b) Education: Persons appointed to peace officer classifications shall meet at least one of the following education requirements: (1) 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. (2) 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. (3) Have passed the California High School Proficiency Examination. (4) Have attained a two-year, four-year, or advanced degree from an accredited college or university. (5) 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. (c) 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. 31060.8.2.1

31160.3 Participants Participation in MPAS is mandated by GC 19992.8 through 19992.14. Exceptions to non-participation shall be approved by the Chief Deputy Director. The MPAS Coordinator shall be provided with written notification of such action. Classification of Participants Permanent or limited-term employees in a designated managerial classification. A managerial classification is defined as an employee having significant responsibilities formulating of administering Department programs and policies as mandated in GC 3513 (e). Exempt employees, except those designated as higher level reviewers, are also included. Ineligible Participants Non-managerial employees who are serving on training and development assignments to designated managerial classes are ineligible to participate, as are managerial employees who are on training and development assignments to non-managerial classes. Similarly, employees on acting assignments to designated managerial classes are not eligible to participate. Separated Employee Participants Managers who retire, leave State service or voluntarily demote to a non-managerial position are also covered if they participate in the minimum appraisal period as defined below. Additionally, managers assigned temporarily outside their parent organization or those who transfer between departments are covered if they meet the minimum appraisal period requirements. Immediate Supervisor The supervisor who is responsible for rating the manager quarterly and annually. Designated Higher Level Reviewer The appointing authority, or the Chief Deputy Director/Director, who makes final evaluation and bonus decisions. The designated higher level reviewer (Warden, RPA, Deputy Director, Chief Deputy Director or Director) reviews the quarterly and final rating and nominates bonus recipients. These individuals are exempt from MPAS as their role presents a potential conflict of interest. 31160.4

31170.3 Definitions of Testing Options Testing options available to administer state examinations are as follows: Decentralized Testing SPB grants civil service testing authority to departments for promotional and service-wide open examinations for classifications unique or primary to a specific department. Delegated Testing A department under the SPB ’ s decentralized testing program is granted authority to delegate civil service testing for classifications specific to one location to enable timelier, more cost effective eligible lists when candidate numbers are typically small. Open Examination Utilized when examining for entry-level, specialized or technical classes and the qualified candidate group is outside of state service working in private industry. Career Credits do not apply. Veterans Preference Credits are applied to the open list only if the examination is an entry-level examination (requiring less than a Bachelor ’ s Degree and two years ’ experience). Open & Promotional Utilized when there is an identified, qualified promotional group which is not of adequate size to meet the needs of the department. In this examination, two eligible lists are established (a promotional list and an open list). The promotional list shall be used before the open list. Career Credits do not apply. Veterans Preference Credits are applied to the open list only if the examination is an entry-level examination (requiring less than a Bachelor ’s Degree and two years’ experience). Open Non-Promotional Utilized to open competition to both State and private industry employees to produce eligible lists with more highly qualified candidates. Career Credits are applied to the final score of state employees with permanent status. Veterans Preference Credits may apply. Promotional Utilized when a qualified candidate group of adequate size is within state service. Career Credits and Veterans Preference Credits do not apply. Subdivisional Limits competition to those employed in a specified division or organizational unit within a department that has its own appointing authority. Statewide Administered throughout the State in locations where examining facilities are available. This applies to open exams that have positions throughout the State, such as the Telecommunications Technician classification. In this instance, a CDC Form 631, Conditions of Employment, shall be used to determine the location preference of the candidates. Spot or Local Administered in a county or a specific geographic location such as Los Angeles County for the purpose of establishing an employment list to fill vacancies in the particular location. Spot or local examinations can be administered either on an open or promotional basis. Area An area examination is restricted to a certain geographic location such as San Francisco Bay Area, Northern or Southern California, Sacramento/Yolo Counties. The counties are to be adjoining and candidates shall take the examination for that area only. This applies mainly to open examinations. Departmental Limits competition to qualified competitors employed in a specific department. Multi-Departmental Limits competition to those employed within agency, such as Department of Water Resources, State Water Resources Control Board, and the Air Resources Board or specific departments, such as the Franchise Tax Board and the Department of Finance. Servicewide Allows all qualified state employees to compete without regard to the department in which they work. This type of examination would be administered by SPB and departments with decentralized testing authority. 31170.4

32010.13 Probationary Employees (a) Entry-level, probationary employees of the department shall complete the training requirements of their job classification before the end of their probationary period, or earlier, as specified. (b) An employee who provides acceptable certification of having previously completed a requirement shall receive credit, and not be required to repeat the training. (c) Employees who fail to complete any portion of required training may be rejected on probation. (d) Probationary employees are required to receive orientation training in addition to the requirements for certain job classifications. The following classifications shall adhere to the additional requirements listed below: (1) Correctional Counselors (A) Newly hired Correctional Counselor staff without current peace officer certification shall pass all requirements of Penal Code (PC) section 832 as provided at the academy, within 90 days of appointment and prior to performing peace officer duties. (B) The Correctional Peace Officer Apprenticeship Program (CPOAP) (3600 work process hours and 24 qualifying months). (2) Parole Agents (A) Basic Parole Agent Academy (BPAA) (B) The CPOAP (3600 work process hours and 24 qualifying months). (3) Fire Captains Fire Captains shall be trained in accordance with DOM section 52090.6. Training shall include: (A) The requirements of PC section 832 and chemical agents training as provided at the academy within 90 days of appointment and prior to performing peace officer duties. (B) The CPOAP (3600 work process hours and 24 qualifying months). (4) Correctional Officers (A) The Basic Correctional Officer Academy (BCOA) prior to performing peace officer duties. (B) The CPOAP (3600 work process hours and 24 qualifying months). (5) Youth Correctional Officer, Youth Correctional Counselor, Parole Agent I/Casework Specialist (A) Basic Correctional Juvenile Academy (B) The CPOAP (3600 work process hours and 24 qualifying months). 32010.14

32020.4 Definitions • Basic Correctional Officer Academy (BCOA) – Courses structured for employees hired for adult Correctional Officer classifications. • Basic Correctional Juvenile Academy (BCJA) – Courses structured for employees hired for Youth Correctional Officer, Youth Correctional Counselor, Casework Specialist, and Institutional Parole Agent classifications. • Basic Parole Agent Academy (BPAA) – Courses structured for employees hired for Adult Parole Agent classifications. • Cadet – A newly appointed correctional peace officer cadet attending the BCOA or BCJA. • Student – A newly appointed parole agent attending the BPAA. 32020.5