Department Operations Manual

76020.7 Processing Transfers Institutions shall refer transfer agreement cases meeting the proper criteria to the Chief, Classification Services for review and forwarding for approval of the directors of CYA and the Department. Such referrals shall include: • A memorandum endorsed by the Warden indicating significant case factors and reasons for the proposed transfer. • The inmate's Cum Sum. • The inmate's next scheduled board date, if applicable. • The latest BPT report and preboard psychiatric evaluation, if applicable. • The current medical and dental reports (CDC Form 128-C). • A current photograph. Classification Services shall notify the requesting institution of the referral's approval or denial in writing. The Chief, Classification Services, shall coordinate the actual transfer with the transportation unit (of the Department) and notify the institution of the date and time of the projected move. 76020.8

81010.4.1 Release Program Study Procedures (a) Community Transition Program (1) Parole Service Associate (A) The CTP shall be responsible for processing all RPS packets with exception of Fire Camps. The Parole Service Associate (PSA) shall screen each case to determine DAPO or Post Release Community Supervision (PRCS) eligibility and update the “Initiator Input” section of the “Release Plan” screen in SOMS. Upon completion of the Initiator Input section of the Release Plan screen, a system-generated notification shall be sent to the appropriate Regional Reentry Unit for the creation of the “RPS Packet Mash - Up" in the Electronic Records Management System (ERMS) “Advance Mash - Up” tab for cases determined to be within DAPO’s jurisdiction. The PSA shall then generate the RPS and ensure the following sections of the RPS are accurate and complete: I. Case Factors II. Residence Plans III. Supervision Determination by PSA V. County Agency Reporting Instructions (if applicable) VIII. Notification and Registration Requirements/Special Interest IX. Detainer(s) X. Employment Plans XI. Caseworker Evaluation XII. Serious Disciplinaries XIII. Medical/ Psychiatric (B) The PSA shall ensure the proposed primary residence is compliant with the statutory authority for parole placements pursuant to PC 3003. Upon completion of the assigned sections of the RPS, the PSA shall digitally sign the RPS and electronically forward it to the CTP Parole Agent II (Supervisor). A system-generated notification will be sent to the supervisor. If an RPS was previously generated for the current term and is over one year old, a new RPS shall be initiated by the PSA to ensure current inmate case factors are captured. (C) Upon receipt of the RPS, the Notice of Conditions (NOC), and Special Conditions of Parole (SCOP) from the parole unit or the CDCR Form 1515- CS, Notice and Conditions of Postrelease Community Supervision and any special conditions from the probation department, the PSA shall digitally sign Section VII, “Inmate Received a Copy of Reporting Instructions” of the RPS, and print the RPS and supporting documents. (D) Upon completion of Section VII of the RPS, the PSA shall ensure the following: 1. Known disabilities requiring a reasonable accommodation to achieve effective communication are verified via the Disability and Effective Communication System (DECS). 2. Effective Communication has been achieved, if appropriate. 3. The inmate signs and receives a copy of both the RPS and NOC. 4. The PSA forwards the finalized hard copy of the RPS, and the NOC or the CDCR Form 1515-CS to the Institutional Case Records office for scanning into the “Parole” tab in ERMS. (2) Parole Agent II Supervisor (A) Upon receipt of the RPS from the PSA, the PAII Supervisor shall: 1. Review the RPS for accuracy and completeness. 2. If there are errors on the RPS, the PAII Supervisor shall electronically return it to the PSA with instructions for correction. 3. Upon verification that the RPS is accurate and complete, the PAII Supervisor shall complete Section IV, “Supervisor Review and Approval of Screening Determination”, digitally sign the RPS and electronically forward it to the appropriate DAPO Regional Reentry Unit. (3) Division of Adult Institutions - Institutional Case Records Staff (A) Case records staff shall not prepare and send RPS pre-release packets to DAPO. Only the finalized inmate-signed copy of the RPS will be scanned into ERMS by case records staff. (B) Case record staff shall complete the RPS pre-release packets for all offenders who are statutorily eligible for PRCS jurisdiction. Case Records staff shall process the RPS packets according to current procedures for the Secure Automated File Exchange (SAFE) to the county probation department and update SOMS accordingly. (4) Regional Reentry Unit (A) Upon receipt of the SOMS-generated notification that an RPS has been initiated, Regional Reentry staff shall electronically compile a Mash-Up of documents which are stored in ERMS for use with the RPS Packet Mash-Up. This will ensure that all associated pre-release documents which are electronically filed in ERMS are readily accessible for review by staff during the pre-release process. The following documents shall be included in the RPS Packet Mash-Up when available: 1. POR or Arrest Report (most recent) 2. Psychological Evaluation pursuant to PC 3002 (if applicable) 3. Abstract of Judgment or Minute Order for all active cases 4. Mental Health Placement Chrono 5. Inmate/Parolee Disability Placement (if applicable) 6. Criminal Identification and Information (CI&I) (most recent) 7. Request for Victim Notification Required by PC 3058.8 and 3058.61 (if applicable) 8. Notification in Case of Inmate Death, Serious Injury/Illness (if signed copy is required) 9. Serious/Non-Serious Determination (if applicable) (B) The following RPS packet documentation shall be accessible via the “RPS Packet” drop -down menu in SOMS: 1. Sentence Data Sheet 2. Four Photographs 3. Inmate Synopsis 4. Institution Staff Recommendation Summary & Social Factor Sheet 5. Initial Classification Chrono and most recent Classification Hearing 6. Safety: Non-Confidential Offender Separation Alerts 7. Disability Placement Program Disabilities Summary 8. Medical Classification Chrono 9. Inmate Health Assessments 10. Test of Adult Basic Education Results 11. Notification in Case of Inmate Death, Serious Injury/Illness (if signed copy is not required) (C) The reentry screener shall ensure the RPS Packet Mash-Up for the offender’s current term has been created in ERMS. Upon verification that the RPS Packet Mash-Up is in ERMS, the reentry screener shall complete the Reentry Unit portion of Section VI, “CDCR Parole Reporting Instructions,” of the RPS. (D) The reentry screener shall assign the supervising parole unit pursuant to PC 3003(b), 3003(f), or 3003(h) and CDCR Form 1707, Request for Victim Services, or PC 3003(a) and Section 61010.11. Upon completion of the assigned section of the RPS, the reentry screener shall digitally sign the RPS and electronically forward it to the assigned parole unit. A system-generated notification will be sent to the supervisors of the assigned parole unit. (5) Parole Unit (A) Unit Supervisor or Assistant Unit Supervisor 1. The Assistant Unit Supervisor (AUS) shall ensure that the Reentry Unit has given the RPS to the appropriate parole unit assignment. If it is determined that the current parole unit assignment is incorrect, the AUS shall electronically reassign the RPS to the appropriate parole unit within the same parole region. If the new parole unit assignment is outside the current parole region, the AUS shall redirect the RPS to the appropriate Regional Reentry Unit for reassignment. Upon verification that the parole unit assignment is correct, the AUS shall complete the “Unit Supervisor Initial Review” portion of Section VI, “CDCR Parole Reporting Instructions” on the RPS. 2. Upon completion of the RPS, the AUS shall digitally sign the RPS and electronically forward it to the assigned parole agent. A system-generated notification will be sent to the parole agent and the RPS “Offender Investigation” will automatically be init iated in SOMS. 3. The due date of the RPS Offender Investigation will be generated at the time the investigation is initiated in SOMS. However, the AUS may manually override the due date, if appropriate. The AUS shall monitor the status and ensure the timely completion of the RPS Offender Investigation in SOMS. The standard release RPS due date shall be scheduled at least 90 calendar days before the offender’s release. 4. Upon electronic receipt of the completed RPS, NOC, and SCOP, the AUS shall review all documents for accuracy and completeness. If the documents are not accurate and/or complete, the AUS shall electronically return them to the parole agent with instructions for correction and update the RPS Offender Investigation in SOMS with the reason for additional investigation. Upon verification that the RPS, NOC, and SCOP are accurate and complete, the AUS shall: a. Complete the “Unit Supervisor Final Review” portion of Section VI, CDCR Parole Reporting Instructions. b. Digitally sign the RPS, NOC, and SCOP. c. Electronically forward the documents to the assigned PSA. 5. A system-generated notification will be sent to the PSA. SOMS will close the RPS Offender Investigation and generate the supervision level and associated “Supervision Event” based on data entered on the RPS screen. 6. The AUS shall ensure the parole agent initiates a Transfer Investigation Request (TIR) in SOMS when the “Request Out of County Parole/Release” box is checked on the RPS and the offender is eligible in accordance with Section 81010.10. (B) Parole Agent 1. The parole agent shall review the RPS for accuracy and completeness and conduct the RPS Offender Investigation, including preparation of applicable related standard forms. Any documentation produced on hard copy shall be filed in the field file. 2. Upon completion of the investigation, the parole agent shall update the RPS Offender Investigation in SOMS and complete the “Parole Agent” portion of Section VI, CDCR Parole Reporting Instructions, of the RPS. 3. Upon completion of the assigned section of the RPS, the parole agent shall digitally sign the RPS, NOC, and SCOP, and electronically forward the documents to the AUS. A system-generated notification will be sent to the unit supervisor and AUS. 4. The parole agent shall initiate a TIR in SOMS when the “Request Out of County Parole/Release” box is checked on the RPS and the offender is eligible in accordance with Section 81010.10. In the event a TIR is requested but not initiated, the parole agent shall document the reason on the RPS and in the automated Record of Supervision (ROS) in SOMS. 5. Unless waived by the unit supervisor, the parole agent shall conduct the pre- release residence verification (home visit) after receiving the RPS Offender Investigation in SOMS. The pre-release residence verification should be scheduled in advance to ensure someone will be at the residence at the time the home visit is conducted. The pre-release residence verification shall be documented on the CDCR Form 1658, Parolee Residence/Employment Verification, and in the electronic ROS in SOMS. Prior to release, the parole agent shall: a. At least 30 days prior to release: Complete Section I of the CDCR Form 2289, Notice and Request for Assistance During a Parole Proceeding. Verify any known disabilities requiring a reasonable accommodation to achieve effective communication via DECS. b. Released 30 days or less: If the offender is scheduled to be released 30 days or less upon the receipt of the RPS, residence verification is not required. However, it must be completed upon the offender’s release. c. If the pre-release residence verification is not conducted, the parole agent shall document on the electronic ROS the reason it was not conducted. d. Ensure a Re-Entry Case Plan and a Re-Entry Assessment exist in the COMPAS database. If the documents do not exist, the parole agent shall contact the CTP via electronic mail at [email protected]. e. If the offender is a sex offender, ensure the Static-99R or Female Sex Offender Risk Assessment (FSORA) is in the COMPAS database. If the assessment is not completed, the parole agent shall contact the CTP via electronic mail at [email protected]. f. Lifer pre-release residence verifications shall be conducted. The time frame of 30 days referenced above does not apply to lifer parolees as they will have a shorter time frame pursuant to Section 82101.5. g. Create the NOC and SCOP using SOMS, and indicate the reason for each SCOP in SOMS in accordance with Section 81010.15. h. Submit the RPS, NOC, and SCOP to the unit supervisor in SOMS for electronic signature. (C) Parole Unit Support Staff Upon receipt of the RPS by the assigned parole unit, support staff shall enter or update as much data as possible in SOMS and create a field file pursuant to Section 81090.6.1. 81010.4.2

85010.11 Annual Performance Appraisal Procedures Unit Supervisor and Parole Agent II, Supervisor (Once Every 12 Months) • Reviews employee training records. • Prepares written performance appraisal on each employee. • Forwards report to manager for review. • Discusses report with employee. • Provides a signed copy of the performance appraisal to the employee. • Allows employee to discuss the report with the manager if requested. 85010.1 2 Apprenticeship Program Policy All employees entering a rank and file peace officer job classification are apprentices unless they have already attained journey-level status in the same classification accepted by the Correctional Peace Officer Standards and Training (CPOST). The apprenticeship program for all Parole Agent I rank-and-file apprentices requires the completion of a minimum of 3600 hours in the respective work processes and a minimum of two years on the job, unless qualifying credit is awarded by the local CPOST subcommittee pursuant to the CPOST guidelines. These apprentices are required to complete the academy appropriate to their classification, but the time spent at the academy is not included in the 3600-hour work process requirement. The unit supervisor and Parole Agent II (Supervisor) ensure apprentices over a two-year period have the opportunity and training to perform the following work processes: • Supervision of parolees. • Report writing and record keeping. • Investigating. • Arrests. • Additional experience. The unit supervisor and Parole Agent II (Supervisor) evaluate the apprentice’s performance and takes corrective action when necessary as part of the evaluation process. The apprentice’s DAS Form 103-A, Apprentice Daily Record, shall be reviewed and approved monthly and forwarded to the Regional Training Coordinator at the end of each month, and no later than the 10th of the following month. The DAS Form 103-A is available through the Regional Training Coordinators. In addition, the unit supervisor shall prepare a written performance appraisal on each employee’s overall work performance once per quarter for the entire apprenticeship period. 85010.13

91080.4 Inmate Tuberculosis (TB) Alert System Major Components • The Inmate TB Alert System will implement the following major components: TB Alert Code • The Department's DDPS and Automatic Transfer System (ATS) shall contain a TB Alert Code for every inmate. This code shall be accessible to designated Medical Care Services, Classification, Case Records, and CDC Transportation staff. The code shall alert Classification, Case Records, and CDC Transportation of movement limitations and special transportation requirements. It shall alert Medical Care Services staff of the need to follow-up on inmates with unknown status, and shall alert Medical Care Services staff when an inmate on therapy is transferred to their facility. Operations Manual Chapter 9 827 CSR Endorsements • CSR endorsements for movement shall require the inmate's C-File contain the inmate's TB Alert Code in order to complete the endorsement. This policy requires that the CDC Form 128-C, Medical/Psychiatric/Dental Chrono, or CDC Form128-C-1, Reception Center Medical Clearance/Restriction Information Chrono, documenting the inmate's TB Alert Code be filed in the inmate's C-File at the time of endorsement. The inmate shall not be endorsed for movement if the C-File lacks a CDC Form 128-C or CDC Form 128-C-1 documenting the inmate's TB Alert Code. Special Transportation Requirements • Inmates with special transportation restrictions shall not be moved on regular CDC transportation. Inmates that have an unknown TB status shall not be transported on regular CDC transportation. These inmates, as well as infectious inmates, require special transportation using respiratory precautions. Special transportation is other than regularly scheduled CDC bus transportation which is normally arranged by the sending facility and provides medical respiratory precautions where required by the referring physician. Respiratory precautions require that masks are worn by those who come close to the patient, hands are washed after touching the patient or potentially contaminated articles and before taking care of another patient, and articles contaminated with infective material be discarded or bagged and labeled before being sent for decontamination and reprocessing. Medical Advance Transfer Notice • The CDC Form 7343, Medical Advance Transfer Notice, shall contain the most current TB Alert Code and TB Alert Transportation Instruction for each inmate. The TB status of all inmates scheduled for movement shall be reviewed by the facility's Medical Care Services staff prior to movement. This is to ensure that changes in TB status have not occurred since endorsement. Transfer Record • The CDC Form 135, Transfer Record, shall contain the most current TB Alert Code and TB Alert Transportation Instruction for each inmate. CDC Transportation Sergeants shall be required to review the TB Alert Transportation Instruction of each inmate. Any inmate without a Clear for Transportation Instruction shall not be allowed to board the bus. Telephone Alert System • Each facility shall be required to implement a telephone alert system that allows Medical Care Services staff to quickly alert Classification and Custody staff of the need to schedule an inmate for special transportation. When Medical Care Services staff determine that an inmate is going to be moved inappropriately, a medical hold process shall be in place to allow the scheduled movement to be delayed or postponed. Since inmates can move at odd hours, a telephone alert procedure shall be rapid and responsive to the need in stopping inappropriate inmate movement. The reports associated with the Inmate TB Alert System shall provide Medical Care Services staff with information necessary for immediate follow-up on inmates with unknown TB status. Medical Care Services staff's access to DDPS bed assignments should make reading TB tests more efficient. The transfer endorsement policy and the inclusion of the TB Alert Transportation Instruction for each inmate on the CDC Form 135 and the CDC Form 7343 shall provide additional security in stopping the transmission of TB through inappropriate inmate movement. 91080.5

12010.4.4 Regulatory Tests (a) The regulatory tests were established by the Office of Legal Affairs (OLA) as a result of the court ruling noted in Section 12010.4.3 above. (b) A rule, order, or standard of general application of the Department is considered a regulation if it meets one or more of the following tests: (1) Implements, interprets, or makes specific the provisions of statutes, case laws, or the regulations of other agencies. (2) Is a mandate that applies equally to all staff, volunteers, inmates, parolees, or members of the public in similar situations, e.g., classification rules, visiting rules, and conditions of parole. (3) Imposes a standard of required behavior with stated or implied consequences for noncompliance, e.g., inmate discipline and staff conduct. (4) Imposes requirements which must be met in order for staff, volunteers, inmates, parolees, or members of the public to qualify for any general entitlement or privilege available to them, e.g., family (overnight) visiting and canteen privileges. (5) Imposes criteria which govern staff decisions that affect an inmate’s conditions or length of confinement or a parolee’s terms or conditions of parole, e.g., security housing and credit earning and forfeiture. (6) Requires fair and timely staff response (due process), e.g., classification committees and review of inmate appeals. (7) Establishes entitlements (rights), e.g., inmates’ access to the courts and to religious programs. 12010.5

13030.16.2 Requests to Review Electronic C-File for Inmate Attorney or Olson Review Effective April 11, 2014 Requests for CDCR offender records, specifically the C-File, come from various entities such as inmates, attorneys, law enforcement agencies, Office of the Attorney General, District Attorneys, Office of the Inspector General, Governors Office, etc. Requests are usually received and facilitated by CC’s, Litigation Coordinators, and Case Records Managers. Previous to electronic offender records, the paper C-Files were reviewed onsite or photocopies of the C-File were made. With the Implementation of the Strategic Offender Management System (SOMS) and the Electronic Records Management System (ERMS), the location of where information resides and the process for gathering and providing offender information has changed significantly. All existing Departmental policies and regulations, Memoranda, Legal Affairs opinions, and state and federal laws currently in place for releasing offender information as well as redaction of specific information still apply. SOMS and ERMS are web-based computer programs dependent upon a networked computer accessing a database. SOMS and ERMS contain data of inmates’ case factors and other information that was formerly contained in a paper C-File. The Electronic File in ERMS is organized in sections similar to the former C-File (e.g. Legal, Classification, and Disciplinary). For security reasons, inmates are not allowed to access a networked computer. In order to facilitate an ERMS version of an Olson review, the documents in each section can be saved to an encrypted compact disc (CD) or in the case of an Inmate Attorney review, a PDF file stored on the institution’s data storage drive commonly referred to as the “Share Drive”. Each section of the ERMS version of the Olson/Inmate Attorney review will contain a category of the File similar to the current paper C-File format (e.g. Legal, Classification, and Disciplinary). The ERMS Olson or Attorney Review CD or PDF file will contain all scanned documents for an inmate that are stored in the ERMS database not considered confidential. SOMS contains the inmate’s case data that is accessed via computer screens devoted to a specific topic (e.g. Initial Housing Review, Notification in Case of Inmate Death, Serious Injury or Serious Illness, or Physical Characteristics). In order to facilitate a SOMS Olson or Attorney review, the input screens relating to each specific topic can be printed from the SOMS application. 13030.16.3

15080.4 Offender Information Services Branch The Offender Information Services Branch (OISB) has been designated as the primary provider of summary statistical information about CDCR inmates and parolees. The OISB responds to special requests; compiles statistical reports; prepares legislative estimates, and population projections; coordinates the timely, accurate, and consistent coding and entry of data; and performs data integrity control functions for the Offender Based Information System, classification, incident, and all other major current and proposed computerized inmate and parolee databases. Estimates and Statistical Analysis Section The Estimates and Statistical Analysis Section is the primary source for summary statistical information on inmates and parolees under the jurisdiction of CDCR. This Section ensures that CDCR has accurate data and analyses on which to base program planning and direction; compiles and analyzes information for special projects, court cases, special task forces or programs; prepares periodical statistical reports about inmates and parolees used in budget planning, legislative responses, and audits; and prepares all CDCR projections of future facility and parole populations, including inmate classification levels. This Section also prepares estimates of the impact of proposed legislation, ballot initiatives, and administrative policy changes. In addition, this Section reviews and approves CDCR information to be disseminated to the public by CDCR branches and divisions. Information Quality Support Section The information Quality Support Section (IQSS) in OISB is responsible for providing Quality Assurance (QA) oversight for major current, proposed, and future statewide offender information systems. The QA procedures to be applied to these CDCR information systems include continuous monitoring of the validity and currency of data, and developing appropriate procedures and solutions to correct inaccuracies or out of date data. The IQSS does not directly implement most procedures and solutions. Rather, once a problem has been identified, IQSS provides the owners of the data with the tools and procedures aimed at eliminating the problem. After the owners of the data have implemented these tools and procedures, the IQSS provides ongoing review of the data to ensure its accuracy, currency, and completeness. This Section also conducts routine and special analyses to maintain accuracy and integrity of data; handles requests for changes and improvements in the data systems; and provides necessary training for facility OBIS operations. 15080.5

15090.2.10 Office of Peace Officer Selection Revised June 28, 2017 The Office of Peace Officer Selection (OPOS) is responsible for the recruitment of peace officers for all institutions and for ensuring that all individuals appointed as peace officers within CDCR meet the legal requirements for appointment and are suitable for the responsibilities and authority conferred upon peace officers. OPOS accomplishes this by administering the examinations for entry-level peace officer classifications, conducting background investigations, psychological screenings, and pre- employment medical examinations for all new appointments to peace officer positions, and establishing qualification and suitability standards for appointments to peace officer positions in CDCR. OPOS is responsible for making the initial appointment of all Correctional Officers (COs) to fill the staffing needs of the institutions. OPOS is also responsible for providing service to CDCR hiring authorities via the Individual Service Request process to facilitate the appointment of peace officers. OPOS also conducts background investigations on appointees to selected case records series classifications. Selection Centers OPOS has Selection Centers located in Northern, Central, and Southern California. These Selection Centers are responsible for administering the various testing components of the CO, Youth Correctional Officer (YCO), and Youth Correctional Counselor (YCC) examinations and for conducting all background investigations required by law and by CDCR policy. Through the Selection Centers, OPOS provides service to CDCR hiring authorities within regional service areas who wanting to make peace officer appointments. The regional service areas are listed in DOM Section 31060.9.3.2 in accordance with the Selection Centers that assist the hiring authorities therein. Peace Officer Recruitment Unit The Peace Officer Recruitment Unit (PORU) is committed to recruiting entry- level peace officers for staffing at facilities. The hard-to-fill categories of CO are the focus of PORU. 15090.3

21050.4.1 Types of Reimbursement The Budget Act classifies reimbursements as either “Scheduled” (budgeted) or “Unscheduled” (not budgeted). It is the intention of this section to ensure that all Operations Manual DEPARMENT OF CORRECTIONS AND REHABILITATION Chapter 2 81 CDCR reimbursements are “Scheduled.” The Uniform Codes Manual lists the various types of reimbursements, which include the following: • Intradepartmental – Scheduled reimbursements from other departmental units/programs within the same organization, such as Inmate/Ward Labor (IWL) services related to Facility Planning, Construction, and Management (FPCM) construction projects. • Interdepartmental – Scheduled reimbursements from other State departments, commissions, boards, etc., such as rent and utility costs for California Prison Industry Authority (CALPIA), inmate and custody services provided to the California Department of Forestry and Fire Protection (CAL FIRE), and health care services related to the Inmate Medi-Cal Program. • External/Federal – Scheduled reimbursements received DIRECTLY from the federal government, such as overtime costs for parole/special agents working on the Violent Crime/Gang Task Force. • External/Local – Scheduled reimbursements received from local governmental entities within the State, such as housing and care costs for county inmates assigned to fire camps. • External/Private – Scheduled reimbursements received from private individuals, firms, institutions, or corporations, such as inmate services for Joint Venture Programs. • External/Other – Scheduled reimbursements not otherwise classified. This classification should only be used when a reimbursement does not fit it into one of the above broad classifications. • Unscheduled – Reimbursements which either were not anticipated nor provided for when the budget was prepared, or for which budget revisions to increase scheduled reimbursements have not been processed. Unscheduled reimbursements shall not be used without prior consultation and authorization from ASB, BMB or FMS, and/or DOF. 21050.4.2

31040.4.7.1 Fitness for Duty The purpose of a Fitness for Duty Evaluation is to determine the employee’s capability of performing the essential function(s) of his or her position and classification through a medical or mental health examination mandated by the HA, and performed by a Board certified physician. The results of this evaluation will be used to determine whether the employee has limitations on his or her ability to perform the essential function(s) of the employee’s position, or any other position in CDCR. (Government Code, Section 19253.5.) Any Fitness for Duty Evaluation processed by CDCR must be job-related and consistent with a business necessity. The evaluation must be limited to determining whether there are functional limitation(s) that require(s) RA. A Fitness for Duty Evaluation shall be considered, in consultation with OEW, for various reasons, including, but not limited to, the following: • The employee refuses to consent to communications between the RTWC and his or her health care provider or to provide the requested medical documentation; • The employee’s health care provider refuses to review the list of essential functions and provide written documentation of the employee’s work restrictions; • Evidence that the employee with a disability has exhausted leave under the CFRA and/or FMLA, WCA, or other federal, State, or employer leave provisions, but is still unable to perform the essential functions of his or her position with or without an RA; • Evidence from a third party, or information from the employee directly, that, due to medical or psychological limitations, he or she cannot perform the essential function(s) of his or her position with or without an RA; • The employee displays behavior that causes a safety or security concern for himself or herself, and/or the staff, inmates, wards, or parolees; • The employee or employee’s health care provider(s) submits insufficient medical information, after requests from the RTWC to the employee or his or her health care provider(s); • Sufficient medical information should include: documentation of the existence of functional limitations affecting the employee’s ability to perform the essential functions of his or her position; the need for an RA; the estimated duration of the RA; and the health care provider’s expertise to certify the employee’s functional limitations or need for a n RA; • The medical documentation is not from a health care provider with the expertise to certify the employee’s functional limitations or need for an RA; • Conflicting or disputed medical information is received from health care providers or experts; • Indication that the medical documentation is fraudulent; or • The employee is not treated by a health care provider, as defined in Section 31040.4.3.9. Prior to ordering a Fitness for Duty Evaluation on an employee, approval must be obtained from the EHW, Associate Director, who will review the information submitted by the HA justifying the need for the Fitness for Duty Evaluation. The HA must be able to articulate the reasons for the evaluation that: • Are job related; and • Indicate the employee may jeopardize the safety or security of the institution, facility or program; or • Create a credible question about the employee’s ability to perform the essential functions of their job, with or without a RA. After the HA, in consultation with OEW, approves the Fitness for Duty Evaluation, the local RTWC shall work with the OEW to procure the Fitness for Duty Evaluation provider. Upon receipt of the Fitness for Duty Evaluation report, the HA and designated institution staff (i.e. RTWC or designee) shall consult with the assigned OEW Liaison Analyst, Manager, and EHW, Associate Director, along with the assigned OLA Attorney, if necessary, to analyze and discuss the findings, a possible plan for the employee’s return -to-work, or other options as follows: • Resuming the interactive process discussions with the employee and reviewing available options; • Identifying if the employee needs an accommodation; or • If the employee is unable to return-to-work to his or her classification with or without a RA, a transfer, demotion, disability retirement, or termination shall be explored, and appropriate action shall be taken, consistent with Government Code, Section 19253.5. 31040.4.8

31040.4.10 Disability Retirement It is the policy of the CDCR to comply with State of California disability retirement laws and to provide information regarding disability retirement benefits through the California Public Employees’ Retirement System (CalPERS) to an employee, upon request, or when the employee can no longer perform the essential functions of his or her position with or without a RA. Disability retirement, if approved, allows for a monthly pension and continuation of health benefits. Disability Retirement is a benefit for employees of the State of California as defined under the Government Code, Sections 21150-21176. The CalPERS determines an employee’s eligibility for a disability retirement. Eligibility is determined upon receipt of an application for disability retirement and medical evidence that a member is substantially incapacitated from his or her usual duties. If the employee is eligible, CalPERS provides a monthly retirement allowance payable to the employee for life, or until recovery from a disabling injury or illness allows a person to return to his or her previous employment. If the disability is the result of a job-related illness or injury, and the employee is a State safety, State peace officer/firefighter, or State industrial member, he or she may be entitled to an industrial disability retirement. Employees shall be informed that disability retirement and industrial disability retirement are considered temporary separations resulting in mandatory reinstatement rights to their classifications, should they recover from the disabling injury or illness and are able to perform the essential functions of their previously held positions or classifications. There is no minimum age requirement for disability or industrial disability retirement, and no minimum service requirement for an industrial disability retirement. If the HA, after considering the conclusions of medical reports from the employee's health care provider(s) or the results of a Fitness for Duty Evaluation, concludes that the employee is unable to perform the work of his or her present position, or any other position in the CDCR, and the employee is eligible and does not waive the right to retire for disability, the HA shall file an application for disability retirement on the employee ’ s behalf. The HA shall give the employee 15 calendar days written notice of its intention to file such an application and a reasonable opportunity to respond to the appointing power prior to the appointing power ’ s filing of the application. (Government Code, Section 19253.5.) Upon filing the application for disability retirement, the HA may remove the employee from the job and place the employee on involuntary leave status. The employee may use any accrued leave during the period of the involuntary leave. If the employee ’ s leave credits and other entitlements are exhausted, or if they do not provide benefits at least equal to the estimated retirement allowance, the HA shall pay the employee an additional temporary disability allowance, so that the employee receives payment equal to the retirement allowance. CDCR shall continue to make all employer contributions to the employee ’ s health plans during the period of the involuntary leave. (Government Code, Section 19253.5.) CDCR shall submit an employer-generated disability retirement application on behalf of an employee if all of the following occur: • The employee is vested and entitled to retirement benefits through CalPERS and has not waived his or her right to those benefits; • The employee is unable to perform the essential function(s) of his or her position, or any other position within the CDCR statewide; and • There is no RA available in his or her current, or any other, position. (Refer to Section 31040.4.5.) All applications for disability retirement filed on behalf of an employee must be approved by the EHW, Associate Director, and are processed through the OEW, with the assistance of the assigned RTWC and the HA. Upon receipt of a notification that an employee’s application for disability or industrial disability retirement has been denied, and the employee has not previously service retired, the HA and RTWC must take immediate steps to determine if the employee will be returned to pay status. In consultation with the RTWC, the HA shall immediately contact the employee, in writing, to inquire whether the employee wishes to return to work and arrange for a reporting date. The employee will remain off pay-status only if he or she advises of his or her intent to appeal CalPERS’ decision or provide a current off- work health care provider’s note, at which point the interactive process resumes. If the employee states an intent to return to work and the HA questions the employee’s ability to safely perform all essential functions of the job, the HA or RTWC shall contact their OEW liaison/analyst immediately for guidance. If the HA has evidence, after an employee’s return to work from retirement, that an employee is unable to perform the essential function(s) of the employee’s position, with or without a RA, or if the employee’s continued employment adversely impacts CDCR operations, because the employee’s behavior creates an imminent risk for others in the workplace, the HA shall request a Fitness for Duty Evaluation, subject to OEW’s approval. (Refer to Section 31040.4.8.) 31040.4.11

31040.4.11 Medical Termination For an employee who, due to a disability or medical condition, has work restrictions that prevent him or her from performing the essential functions of his or her job, or any job in CDCR, either with or without a RA, and is not vested through CalPERS, or otherwise waives his or her right to disability retire, it is the policy of the CDCR to process a medical termination from State employment. This is an administrative action that separates an employee when all other medical options (e.g., RA, medical leave of absence provided under CFRA or FMLA, or disability retirement) have been exhausted, or discussed with the employee and determined inappropriate under the specific circumstances of the employee’s employment status and medical condition or disability. A medical termination shall be considered only if all of the following apply: • The employee can no longer perform the essential functions of his or her classification with or without a RA; • There are no funded, vacant positions in the employee’s current classification for which the employee is qualified and can perform the essential functions with or without a RA; • The employee is unable to perform the essential functions of any other position in the CDCR anywhere in the State, for which he or she meets the minimum qualifications, with or without a RA; • CDCR cannot provide an RA without undue hardship; and • The employee: is ineligible for, or waives the right to, disability retirement; refuses to cooperate when CDCR files for disability retirement on his or her behalf or has been denied disability retirement (after waiving or exhausting his or her appeal rights), and still refuses; or is unable, for medical reasons, to return to work. Prior to the HA serving a notice of medical termination on an employee, consultation with the EHW, Associate Director, or RTWSS Chief, shall occur, including the review of appropriate documentation (including, but not limited to, the employee’s request for RA, documentation of the interactive process, medical reports, and a list of essential functions of the employee’s job/position). OEW, in consultation with the OLA, will draft the appropriate Notice of Medical Action – Termination document and forward it to the HA for finalization, signature, and service to the employee. This document shall give the employee written notice of the medical action and appeal rights, at least 15 calendar days prior to the effective date of the medical termination. 31040.4.12

31060.6.2 Retired Annuitant Appointments Revised November 25, 2015 A person who has retired from state service may be appointed to a civil service position and paid a salary without being reinstated from retirement. A person who has retired from a Career Executive Assistant (CEA) position may be temporarily employed following retirement. Class • A retired annuitant shall be appointed to a position in a class in which the person had permanent or probationary status or a CEA appointment at the time of retirement or in a class to which the person could have permanently transferred, reinstated, or demoted at the time of retirement. Duration • Retired annuitants are appointed for a limited duration, not to exceed 960 total hours in fiscal year. • Returning retired annuitants (annual renewals) must be evaluated each fiscal year and require annual approval by the Office of the Secretary or designee. Salary • Retired annuitants are paid at a rate substantially the same as other employees performing comparable duties. Benefits • Retired annuitants are compensated only for actual time worked and shall not earn benefits of any kind (e.g., sick leave, vacation, holiday pay, personal holiday, or retirement credits). Impact of an RA working over the 960 hour work cap in a fiscal year • An RA who works more than 960 hours in a fiscal year is subject to mandatory reinstatement to state service, reimbursements to California Public Employees’ Retirement System (CalPERS) and potentially other earned entitlements/benefits. Nature of Work Retired annuitants may be appointed for a limited duration: • On a short-term basis to cover emergency-related work. • To use their special skills. • To provide mentoring to staff, and/or knowledge transfer. Retired annuitants may be appropriate to temporarily fill: • Behind an employee on extended absence. Eligibility To be eligible for employment as a retired annuitant, the following requirements must be met: • The Bona Fide Separation Requirement/Normal Retirement Age (if applicable) o A service-retired employee of the State of California who has not yet reached “normal retirement age” must have a minimum 60 calendar-day separation from service prior to returning to employment as a retired annuitant. The definition of “normal retirement age” is the member’s benefits formula age, or, if the member retires with more than one benefit formula, the highest specified age. There must be no agreement made (either verbal or written) with an employee to return to employment as a retired annuitant prior to retirement if they have not attai ned “normal retirement age” as defined above. • The 180-Day Wait Period Requirement o A retired person shall not be eligible for employment as a retired annuitant for a period of 180 calendar days after the date of retirement unless the appointment is necessary to fill a critically needed function and California Department of Human Resources (CalHR) approval has been obtained. The 180 day waiting period does not apply to a retired peace officer or a retired firefighter returning as either a peace officer or firefighter. Definition of Critical Need An immediate need for a particular skill set that only the retired annuitant can provide to complete a function for the department to meet one of the requirements outlined below and that cannot be met by a current State employee: • Legislative Mandate • Court Ordered Mandate • Health and Safety Emergencies • Fiscal Impact – Loss of Funding • Any disruption in normal business that may result in the failure of business operations Note: The bona fide separation requirement does apply to peace officers or firefighters that have not reached normal retirement age. Appointments to other classifications would meet the bona fide separation requirement while serving the 180-day wait period requirement since these periods run concurrently. Approval New retired annuitant appointment (not including annual renewals) requires prior approval documented on CDCR Form 1823, Retired Annuitant Hiring Approval, as follows: • CO Academy: Director, Administrative Services • Expert Examiner: Director, Administrative Services • Legal Witness Testimony: General Counsel • Special Projects/Skills: Secretary • Mentoring/Knowledge Transfer: Secretary • Operational Vacancies: Secretary • Division of Juvenile Justice (DJJ) positions at facilities: Director, DJJ • All other DJJ positions: Secretary • Posted Positions (Adult Institutions): Director, Division of Adult Institutions • Parole Agents with caseload: Director, Division of Adult Parole Operations • All other Division of Adult Parole Operations’ positions: Secretary A statement of justification is required for all retired annuitant appointment requests and must include start date (for extension, this date is the date the employee was first appointed into the position), end date, duty statement and organization chart. Any requests to appoint a retired annuitant into a supervisory classification must include a plan for supervision of subordinate staff when the retired annuitant is not working. Extension requests for retired annuitants that have expiration dates within the same fiscal year must document the number of hours the employee has worked. The hiring authority is required to contact the Office of Legal Affairs and the Office of Internal Affairs to determine if the individual has prior or pending adverse actions, legal actions, or was the subject of an investigation. If so, a summary of the information is to be attached to the CDCR Form 1823, Retired Annuitant Hiring Approval that includes a detailed justification. 31060.6.3

31060.8.2.1 Required for Peace Officers Revised May 30, 2023 a) No person shall be appointed or begin training as a peace officer until a background investigation, medical examination, and psychological screening have been completed and written clearance has been received from the Chief, Office of Peace Officer Selection (OPOS) or designee. For the Special Agent classification, the Deputy Director, Office of Internal Affairs (OIA) or designee shall make the final determination as to a candidate’s clearance or withholding from candidacy for appointment. (1) Exceptions: A background investigation shall not be required if the applicant is: (A) A peace officer currently employed by the department. (B) Being appointed by mandatory reinstatement to a peace officer classification. (C) A retired annuitant who will be performing in an administrative capacity only. 31060.9

31060.9.1 Office of Peace Officer Selection Functions Revised May 30, 2023 a) OPOS shall administer the following: (1) Examinations for the Correctional Officer (CO) classification. (2) Background investigations, medical examinations, and psychological screenings pursuant to the requests of hiring authorities looking to appoint non-peace officer applicants to peace officer positions (see DOM Section 31060.9.3.3). (3) Appointments of COs from the eligible list. (4) Reinstatements to the CO classification for cadets rejected from the Basic Academy. (5) Coordination of requests for Criminal Identification and Information (CI&I) State Summary Criminal History (SSCH) from the State Department of Justice (DOJ) (see DOM Section 31060.18). 31060.9.2

31060.16.1 Individuals Mandated for Live Scanning September 2, 2021 (a) Non-Sworn Personnel (NSP) – Employees in Non-Peace Officer classifications: those who are paid by the state. (b) Peace Officer (PO) – Any Peace Officer classification including Retired Annuitants working in Peace Officer positions. (c) All Contractors and Volunteers must be live scanned pursuant to DOM Chapter 10, Article 9. (1) Contractors (CON) – Contractors, Sub-contractors. (2) Volunteer (CON) – Per DOM section 101090.6.3 all provisional and regular volunteers receiving Volunteer Identification Cards (VIC) shall be live scanned. (A) Provisional volunteers are those who provide their services under escort as determined by the Community Resources Manager and are subject to performance evaluation requirements. (B) Regular volunteers are those who provide services on an ongoing basis and have completed six months of trial evaluation. (d) Retired Peace Officers (RPO)/Carry Concealed Weapon (CCW) Permit – Any employee retiring and requesting a CCW permit shall be live scanned. (1) Before live scanning an individual for a CCW permit/renewal, email the Live Scan Unit (LSU) to verify that a RPO record is not already on file. Per DOM section 31070.8.5, the CCW live scan is good for the life of the applicant, therefore when the CCW applicant returns to renew their permit every five years, the clearance information from the original live scan is sufficient to process the renewal. (2) Each applicant requesting a new RPO live scan shall pay a CDCR $68 processing fee. The $68 payment is collected at the time of the live scan submission. CCW payments must be in the form of a check or money order, made to CDCR with a copy of the CDCR Form 3056 attached. Mail to the Southern California Regional Accounting Office (SRAO). Additionally, fax a copy of the CDCR Form 3056 to LSU. 31060.16.2

31080.7.3 Institutional Leave Credit/Overtime Personnel Assignment Office Responsibilities The Personnel Assignment Office has the responsibility to establish and fill all Correctional Officer, Sergeant, and Lieutenant posts including relief (with the exception of those in the Institutional Vacancy Plans). The Personnel Assignment Office shall schedule Correctional Officer coverage for long-term sick, long-term vacancies, vacations, or any other vacancy for which there is sufficient advance notice. Such coverage shall be assigned in such a manner as to avoid overtime whenever possible. The Personnel Assignment Office shall have the additional following responsibilities: Sick leave • Provide coverage for pre-scheduled/pre-approved Correctional Officer, Sergeant, and Lieutenant sick leave absences longer than one week in duration. Vacation leave • Conduct the vacation bid process and then track the vacations for the Correctional Officer, Sergeant, and Lieutenant classifications. • Ensure that the coverage provided for posted position vacations is consistant with the budgeted relief for the respective classification. 31080.7.4

31140.31 Subject Interviews All departmental employees under investigation and subject to interview by an investigator shall be informed of the following before such interview: (1) Name and classification of the investigator; (2) Name and classification of all other persons to be present during the interview; and (3) The nature of the investigation in sufficient detail to allow the employee to respond to the allegations. 31140.32

32010.15 Correctional Officer, Correctional Sergeant, Correctional Lieutenant, Correctional Counselor I, Correctional Counselor II Specialist, Fire Chief, and Fire Captain Required Annual Training (a) For the purpose of this section, peace officers include the following classifications: Correctional Officer, Correctional Sergeant, Correctional Lieutenant, Correctional Counselor I, Correctional Counselor II Specialist, Fire Chief, and Fire Captain. (b) Peace officer employees shall be provided a minimum of 48 hours of annual training pursuant to the current annual training schedule, approved by the Deputy Director, POSED, or designee. (c) Annual training shall be the primary delivery system for peace officers to maintain compliance with Penal Code section 832 and other mandated training or applicable contract language. (d) Peace officer classifications shall, at a minimum, receive annual training as follows: (1) Alarm response (2) California Public Records Act (CPRA) (3) Cardiopulmonary Resuscitation & First Aid Recertification (CPR/FA) (4) Chemical Agents (5) Communicable Disease Prevention (6) Court Compliance Training (7) EEO and Sexual Harassment Prevention (8) Emergency Operations (9) Escape Prevention (10) Expandable Baton Annual Training (not mandatory for Fire Chief or Captain) (11) Fire and Life Safety (12) Firearms Requalification (see DOM section 32010.19.3

33010.21.2 Probationary Employees Generally, transfer requests shall only be considered if the employees have permanent status in their present classification. This allows: • The employee to demonstrate he/she can satisfactorily perform the duties of the class in which he/she is serving probation prior to being moved to different surroundings and new supervisors. • Opportunity to consistently evaluate the employee ’ s work performance and his/her ability to perform the work of the class. Requests shall be reviewed to determine if it is preferable to delay transfer until completion of probation. The hiring authority at either the sending or receiving institution/facility/program may refuse such transfer. Hardship transfers for custody classifications occurring within the probationary period require the approval of the Director, Division of Adult Institutions. For employees transferred in current probationary class, the length of probation remains unchanged. • If the requested transfer is to another class, the employee shall meet the standards governing transfers between civil service classes. • Serve a new probationary period unless waived by the hiring authority under provisions of the GC. 33010.22