Department Operations Manual

53120.6 Individual Grievances Unless specifically authorized by the Warden, the IAC shall not function as a grievance committee nor involve itself in an individual inmate ’ s grievance or request for action on an appeal. The IAC may address grievances of concern to the general inmate population and bring the matter to the attention of the Warden or other administrative staff having authority to act on the matter. Grievances and appeals relating to individual employees shall not be discussed by the IAC or its members with other employees at less than the level of Lieutenant. A matter that may relate to the general inmate population will be the only exception. 53120.6.1

54100.30 Joint Venture Program (JVP) Employer Related Grievances The Department’s participation in the Joint Venture Program is authorized pursuant 15 CCR §§ 3480-3486. Any current or former Joint Venture inmate- employee who believes he or she has a grievance regarding a wage and hour or retaliation claim against a JVP employer shall submit the written grievance Operations Manual DEPARTMENT OF CORRECTIONS AND REHABILITATION Chapter 5 Page 521 to the JVP Chief. • The JVP Chief shall attempt to resolve all complaints. • Time frames for filing grievances will be governed by the Division of Labor Standards Enforcement’s (DLSE) statutes of limitations, including but not limited to, Labor Code §98.7, and Code of Civil Procedure §§337, 338 and 339, for the appropriate type of complaint. • If the inmate is dissatisfied with the JVP Chief’s decision, the inmate may file a complaint with the Labor Commissioner. 54100.31

14020.9 Grievances Any inmate who has a grievance concerning the operation of any particular research program conducted under the authority of the Department may appeal using established appeal procedures (see DOM 54100). 14020.10

33010.11.2 Health and Safety Grievance A health and safety grievance may be filed as follows: • Represented employees shall file in accordance with the provisions of the appropriate MOU. • Excluded employees shall use STD Form 631, in accordance with the procedures outlined on the back of the form. 33010.12

33010.11 Grievance Procedure Employees shall attempt to reach acceptable solutions to problems or complaints through informal discussion with their supervisor and if necessary the supervisor ’ s supervisor. Equal Employment Opportunity representatives are available to assist in resolution of issues on an informal basis. If informal discussions fail to resolve the issue, a formal grievance may be filed as follows: 33010.11.1

54100.5 Exclusions The CDCR Form 602-1, Grievance form shall not be utilized in the following: • Board of Parole Hearings (BPH). • Health or Safety complaints – California Prison Industry Authority (CALPIA). (See CCR Title 15 §3084.9(e) and CCR Title 8 §344.40(a).) 54100.6

53140.19 Inmate Appeal The CDCR’s approved Inmate Appeal Procedures, CCR, Title 15, Section 3084.1 apply to the JVP. Under these provisions, an inmate-employee may appeal the substance or application of any written or unwritten policy, decision, or condition of CDCR or of the JVE to which the inmate-employee is employed, or appeal any behavior or action directed toward the inmate- employee by the staff of either the State, the JVE, or another inmate-employee. Inmate-employees may file complaints regarding alleged violations of their employment related rights under PC Section 2717.8, relevant Labor Code provisions, and applicable Industrial Welfare Commission Wage Orders. To address JVE related matters, inmates shall not be subject to retaliation by the CDCR for their use of the inmate appeal process pursuant to CCR, Title 15, Subsection 3084.1(d). Inmates shall not be subject to retaliation for exercising rights guaranteed under the State Labor Code or elsewhere in law to address JVE related matters. Pursuant to CCR, Title 15, Subsection 3084.7(m) any current or former JVP inmate-employee who believes he/she has a grievance regarding a wage and hour or retaliation claim against a JVE, shall complete the CDCR Form 602-1, Grievance, within 15 working days after the occurrence of the alleged violation. The informal and first level response will be deemed waived. The institution’s Appeals Coordinator shall log the appeal and immediately forward the appeal to the JVP Administrator. The Administrator, JVP, has thirty (30) working days in which to respond to the appeal. The JVP Administrator shall attempt to resolve the grievance. If the inmate- employee is dissatisfied with the JVP Administrator’s resolution, including rejection for timelines, the inmate-employee may file a complaint with the Labor Commissioner. The inmate-employee will be advised of his/her rights and responsibilities for filing a complaint with the Labor Commissioner, the Division of Labor Standards Enforcement (DLSE). Rejection by the JVP Administrator does not limit or change the right of the inmate-employee to file a complaint with the DLSE. Any complaint filed with the Labor Commissioner will be governed by the DLSE’s time frames for filing grievances including, but not limited to, Labor Code Section 98.7 and Code of Civil Procedure, Sections 337, 338, and 339, and is deemed filed when the CDCR Form 602-1, Grievance, is filed. No inmate-employee may be discriminated against or discharged for filing an appeal or a complaint regarding wage and hour or retaliation violations on the part of a JVP employer. If the Labor Commissioner determines that no violation has occurred and that the complaint was frivolous, unreasonable, groundless, or was brought in bad faith, the Commissioner may direct the complainant to pay reasonable attorney’s fees to cover the costs of any hearing(s) associated with the complaint. 53140.20

47040.10 Review Criteria (a) Only individuals having a legitimate need to view the live images or recorded media shall be permitted to do so. When an event occurs that requires the preservation of recorded data, managers, supervisors, and the Grievance Coordinators from the Office of Grievances (OOG) shall be responsible for filling out and submitting the CDCR Form 1027. In the event the AVSS becomes inoperable, staff will notify the AVSS Coordinator, or the Watch Commander if after hours, and will submit a remedy ticket to local Information Technology staff for resolution. (b) Criteria for the review or viewing of video shall constitute a legitimate need, which includes: (1) Reviewing the circumstances of a crime or suspected crime. (2) Reviewing the circumstances of an accident or near accident. (3) For routine matters (including use of force incidents pursuant to DOM Section 51020.17, Uses of Force Reporting Requirements) that do not involve the criteria in subsections (A) or (B) below, employees shall be granted an opportunity to review audio or video data of an incident they were involved in only after writing and submitting their initial report. After reviewing such video data, staff will be given the opportunity to write a supplemental report prior to the end of their shift. If staff are denied approval to review video for any of the reasons noted above, they will be provided with a CDCR Form 1028, Audio/Video Surveillance System Evidence Request Denial, signed by the Captain or their designee denying the request. A second copy of the CDCR Form 1028 will be forwarded to the Labor Relations Analyst who will notify the appropriate local bargaining unit chapter president that the form is ready for pickup. (A) An incident involving allegations of misconduct (defined as situations where the Hiring Authority has determined and initiated the CDCR Form 989, Confidential Request for Internal Affairs Investigation/Notification of Direct Adverse Action process) or where administrative action is reviewed: the employee shall be granted an opportunity to review CDCR video recording(s) at the sole discretion of the Warden, Chief Deputy Warden, or above. If staff are denied approval to review video data for this reason, no further questions or clarifications may be requested of the employee by the hiring authority. (B) An incident where criminal or deadly force is reviewed: the employee shall only be granted the opportunity to observe CDCR video data at the sole discretion of the OIA or investigating or prosecuting agency. If staff are denied approval to observe video data during the review process, no further questions or clarifications may be requested of the employee by the hiring authority. (4) The OOG may request to review audio and video recordings when conducting an inquiry as it relates to a submitted inmate grievance. (5) The Allegation Inquiry Management Section (AIMS) may request to review and be provided access to audio and video recordings when conducting an inquiry as it relates to a submitted inmate grievance or staff misconduct. (6) The author of an RVR may submit a CDCR Form 1027 to their supervisor to have the video data (with or without audio) captured as related to the circumstances of the RVR. The Senior Hearing Officer during the hearing process will examine video that is submitted with a serious RVR, and ensure the inmate has had an opportunity to examine any audio or video, as appropriate. 47040.11

31060.6.3.3 Out-of-Class Assignments Out-of-class assignments (also called acting assignments) shall be used only as the last option when filling a position. Limited-term (LT) appointments are the appropriate means to fill critical positions on a short-term basis. Advance planning and scheduling can reduce an operation's dependency on out-of-class assignments. By using established certification lists, qualified employees can be appointed immediately to vacant critical positions. Misuse of out-of-class assignments results in grievances (circumventing list procedures), higher costs (lost person hours, working on out-of-class claims), the potential loss of delegated testing authority and the centralization of approval for all out-of-class assignments. However, bonafide emergency out- of-class assignments may be used. Guidelines Managers and supervisors shall ensure that all employees are assigned duties and responsibilities that are within the scope of their classification. Employees shall not work out-of-class on a regular, ongoing basis. Current bargaining unit language, as well as DPA Rule 599.810, states that “an employee may be required to perform work other than that described in the specification for their classification for up to 120-consecutive calendar days during a fiscal year.” This language is intended to provide appointing authorities the flexibility necessary to meet short-term, temporary staffing needs. All viable alternates shall have been exhausted before any out-of-class assignment is approved. An employee may be assigned out-of-class work for more than 120 days if the additional out-of-class work is required to meet a need that cannot be met through other administrative or civil service alternatives. Prior approval from DPA is required. Such assignments shall be subject to termination by the Director of DPA upon determination that other reasonable alternatives do exist. The “120 - consecutive calendar days during a fiscal year” applies to both the assignment and the individual. The same assignment cannot extend beyond July 1 or a new fiscal year resulting in an individual serving in the assignment for more than 120 calendar days. Such situations would require DPA approval to extend beyond 120 calendar days. Recent interpretation from DPA states that good personnel management practice precludes an indefinite out-of-class assignment by rotating employees in and out of the assignment. The 120 days should be a sufficient period of time to resolve and out-of-class situation. Rotations are inappropriate and circumvent the intent of the out-of-class provisions. The out-of-class provisions apply to both rank and file and non-represented employees. Managerial employees are not covered under DPA Rule 599.810 and there is no authorization to assign the out-of-class duties. Criteria Out-of-class assignments may be made only to established positions and only if it can be demonstrated that: • The assignment is needed to meet a specific operating need. • The need cannot be feasibly met through civil service procedures or other administrative alternatives. • The employee is assigned duties which are clearly outside the scope of their current class and which include the full range of duties of the assigned class. The out of class duties must be performed for more than 50 percent of the employee’s time. • The supervisor requests the employee, in writing and in advance of the assignment, to perform the duties of a higher class. No out-of-class assignments shall be considered for approval retroactively. The grievance process is the appropriate method for employees to obtain payment if their out-of-class assignment was not approved accordance with established guidelines. No out-of-class assignments to “ MCR NONE ” classes shall be approved retroactively. Operating Needs An operating need may exist when leaving a position vacant results in: • Inadequate management or supervision of a unit or function that cannot be offset from other sources. • Risk to public health and safety. • The interruption of public service. • An economic loss or program delay. Alternatives If a need is established, the following alternatives should be considered before an employee is given an out-of-class assignment: • Delaying or canceling other less critical work. • Temporarily redirecting the unit ’ s staff, workload, or resources in order to “work around” the vacancy. • Filling the position with a locally available person on a temporary basis through another civil service procedure such as emergency, LT, temporary authorization (TAU), or intermittent appointment. • Modifying the duties temporarily until the position can be filled. Appropriate Assignments Examples of out-of-class assignments that are viewed by the Department as appropriate consist of the following: • An immediate assignment involving risk of life, property, or critical operation of the Department. • Back-up for an employee absent on extended sick leave. • A vacant position that needs temporary filling until an employment list is available. • The assignment is temporary in nature, with no definite time period but less that 120 calendar days, and all viable recruitment efforts to fill the position have been exhausted. Inappropriate Assignments Examples of inappropriate/out-of-class assignments are as follows: • An assignment where no budgeted positions exist. • A certification list is available so that a LT appointment could be made, the desired employee is on the list but is not reachable, or the list was canvassed but the candidate group is undesirable. • An assignment was made to bypass the Departmental Restrictions of Appointment (DROA), State Restrictions of Appointment (SROA), and/or re-employment list process. • The assignment can be covered by a T&D assignment, a reinstatement, an emergency appointment, or a TAU appointment. • An intermittent pool of candidates is available. • Changes have been made to a class specification and/or allocation standards and the employee claims to have been working in a higher classification prior to the effective date of the change. • The employee requests some of the higher level duties for career development, personal convenience, or gain. • In the following situations, unless pre-approved by DPA: o To positions or levels requiring classification pre-approval by DPA (MCR NONE). o To positions or levels not authorized in the appointing power ’ s budget. Before considering pre-approval in these situations, DPA will require specific written notice from the DOF that funding is available. o Where the employee ’ s class specification provides for the proposed work assignment. When any of these options are considered, the Personnel Operations Analyst shall be contacted for guidance and interpretation. Process The supervisor shall prepare the following documents: • A request for approval to make an out-of-class assignment. • A CDC Form 1821, Out-of-Class Checklist . • A duty statement. • An organizational chart. • A CDC Form 1820, Out-of-Class Justification For Assignments Exceeding 120 Days . The Out-of-Class Checklist shall provide the information necessary for the review and evaluation of the request and for completion of the Out-of-Class Justification. The checklist will also serve as an audit trail for peer audits, payment of claims, and examination eligibility. The document shall be forwarded to the appropriate approval levels in accordance with Section IX of the Out-of-Class Checklist. Approvals All out-of-class assignments requests require the approval of the IPO or Personnel Operations Analyst to ensure that all viable alternatives have been exhausted before the request is forwarded for final approval. Prior final approval is required for out-of-class assignments as follows: Duration of Assignment Documents Required Approval Required Up to 60 Calendar Days Request for Approval Out-of-Class Checklist IPO or Personnel Operations Analyst 61 to 120 Calendar Days * The above The above and Personnel Operations Analyst Over 120 Calendar Days ** The Above and Out- of-Class Justification Form (2 Copies) The Above and the Departmental Personnel Officer, the Chief Deputy Directors, and DPA * When the hiring authority becomes aware that the assignment may extend beyond 60 days, the Personnel Operations Section shall be notified. The written request shall be received by Personnel Operations Section no later than day 50 of the assignment. ** Requests shall be received by Personnel Operations Section no later than day 100 of the assignment. The Departmental Personnel Officer shall forward approved requests to the DPA for review. The departmental personnel officer may deny a claim if it does not meet existing criteria. When a request is inconsistent with departmental policy, the Personnel Operations Section shall return the unapproved request directly to the hiring authority. Log/Record For audit purposes each approval authority shall keep a log/record of all out- of-class assignment requests and/or out-of-class compensations claims. Compensation See DOM 31150.9 for out-of-class compensation guidelines. 31060.6.3.3.1

33010.5 Employees Right to Organize The State recognizes the right of State employees to join and participate in organizations of their own choosing and be represented by such organizations in their employment relations with the State. In order to guarantee this right, the management team shall not: • Impose, threaten to impose, cause, or allow any type of reprisals on employees because of their exercise of rights guaranteed them by SEERA, departmental policy, MOU, or any other applicable law or rule. • Conduct any type of business relating to wages, hours, or working conditions of unit employees with any organization except the exclusive representative. • Participate in handling grievances on behalf of employees. • Participate in meet-and-confer sessions on behalf of rank and file employees. • Influence, cause to be influenced, interfere with, or in any way condone the influence of internal affairs of a rank and file employee representative organization. • Influence, cause to influence, interfere with, or in any way allow the influencing of the unit election process. • Contribute to any organization financial or any other type of support that is used for representation of rank-and-file employees. Rank and file employees shall not: • Participate in handling grievances on behalf of supervisory employees. • Participate in meet-and-confer sessions on behalf of supervisory employees. 33010.5.1

33010.11.1 Process • Represented employees shall use STD. Form 630, Employee Contract Grievance, in accordance with the provisions of the appropriate MOU. • Excluded employees shall use STD. Form 631, Excluded Employee Grievance, in accordance with procedures on the back of the form. 33010.11.2

33070.3 Definitions (a) Allegations Against Staff Tracking System (AASTS) – An electronic data system used to log and track allegations of staff misconduct involving department staff. (b) Allegation Decision Index (ADI) – The list of criteria used by CST to determine whether an allegation of staff misconduct should be referred to the AIU for investigation, or to the Hiring Authority for an allegation inquiry. (c) Allegation Inquiry – The gathering of relevant facts and evidence by a Locally Designated Investigator (LDI) for a complaint that contains an allegation of staff misconduct. (d) Allegation Inquiry Report – The confidential report prepared by an LDI following an allegation inquiry. (e) Allegation Investigation Unit (AIU) – The unit within the OIA that conducts investigations into complaints alleging misconduct toward inmates and parolees as set forth in Title 15, section 3486.2, and reviews Allegation Inquiry Reports completed by LDIs. (f) AIU Investigator – An investigator within AIU assigned to conduct a confidential investigation. (g) Appointing Power – The Secretary of the department. (h) Case Tracking System (CTS) – An electronic system that allows real time documentation of investigative case activity and allows various participants within the employee disciplinary process to access documents, monitor cases, and record key decisions and due dates. (i) Central Repository – A secure collection location for submission of staff misconduct allegations documented or received by department staff. A Central Repository may be a physical location at a work site, or via an email address provided for the purpose of submitting allegations of staff misconduct. (j) Centralized Screening Team (CST) – The entity within OIA that reviews complaints to determine if the documentation contains a routine issue, alleges staff misconduct toward an inmate or parolee, or alleges staff misconduct not toward an inmate or parolee. (k) Clarification Interview – An interview conducted by CST staff when clarification is required to make a screening decision. (l) Complaint – Any documentation or verbal statement received by the department, from any source, that contains a routine issue or alleges staff misconduct. (m) Complainant – A person making a complaint against departmental staff. (n) Deputy Director, Office of Internal Affairs (OIA) – An individual responsible for the operation and functions of the OIA. (o) Department Staff – California Department of Corrections and Rehabilitation (CDCR) employees, contractors, and volunteers. (p) Designated Case – A case assigned to an EAPT VA. (q) Employment Advocacy and Prosecution Team (EAPT) – The entity in the OLA responsible for providing legal counsel and representation to the department during the employee investigation, discipline, and appeal processes. (r) Hiring Authority – Has the same meaning in this Article as in Title 15, section 3392(a)(11). (s) Investigation – The gathering of facts and evidence by an OIA Investigator. (t ) Investigation Assignment Index (IAI) – The index used by an AIU manager to make a decision regarding the level of AIU investigator to be assigned to conduct an investigation. (u) Investigation Assignment Decision – The decision made by the AIU manager of the level of AIU investigator to be assigned to conduct an investigation. (v) Investigation Report – The confidential report prepared by an OIA investigator following an investigation. (w) Locally Designated Investigator – Department staff trained by OIA to collect evidence, conduct allegation inquiries, and draft Allegation Inquiry Reports. (x) Monitored Cases – A case monitored by the Office of the Inspector General (OIG). (y) Office of Grievances (OOG) – The entity within CDCR with the authority to log and track grievances filed by an inmate or parolee. The OOG shall ensure that all routine claims returned from the CST to the OOG are reviewed and answered. (z) Office of Internal Affairs (OIA) – The entity within CDCR with the authority to investigate allegations of staff misconduct. (aa) Routine Issue – Any complaint received by CST that is not identified as containing an allegation of staff misconduct. (bb) Screening Decision – The decision made by CST of whether a complaint contains routine issue(s), allegation(s) of staff misconduct toward an inmate or parolee, or allegation(s) of staff misconduct not related to an inmate or parolee. (cc) Staff Misconduct – Behavior engaged in by department staff that results in a violation of law, regulation, policy, or procedure, or actions contrary to an ethical or professional standard. (dd) Vertical Advocate (VA) – An EAPT attorney who provides legal advice to the department during investigations and the employee discipline process for designated cases, and represents the department at administrative hearings and during any subsequent writ or appellate proceedings. 33070.4

54100.3 Responsibility Each hiring authority shall implement the appeal process and ensure it operates effectively and consistently with specified policies as set forth herein. • At least one staff member, at a level not less than a CC-II, shall be designated as the appeals coordinator in each institution; and one staff member of a level not less than PA-II shall be designated as the appeals coordinator in each parole region. • The appeals coordinator or delegated staff under direct supervision shall process all appeals, monitor the system, prepare the quarterly appeals report, recommend corrective action where indicated, and work with the IST officer to ensure training on the appeals process is carried out. Delegated staff under appeals coordinator direction shall be properly trained, audited regularly and undertake only those duties and responsibilities appropriate to their job classification, background and experience. • The Office of Apeals shall receive, log, route, and monitor disposition of the CDCR Form 602-1, Grievance and CDCR Form 602-2, Appeal of Grievance. • Hiring authorities are expected to meet with appeals coordinators on a regular basis to receive and disseminate information respecting process, emergent issues, best practice trends and related matters. • Each inmate upon arrival to an institution shall be provided written material (instructions, guidelines and/or examples of forms as appropriate) describing the appeal process. Each inmate prior to being released to parole shall be provided with a copy of CDC Form 1570, Guidelines for Parole, which contains a notice of appeal rights and procedures for filing an appeal. Each parole unit shall maintain copies of the appeal procedure which shall be made available to the parolee upon request. Parolees shall be informed of the appeal process at the initial parole interview. • Copies of DOM §54100, Inmate/Parolee Appeals, and any facility appeal supplement shall be filed and maintained in each inmate law library including libraries in segregated housing units, community correction facilities, treatment and/or transitional living and out-of-state facilities where inmates/parolees remain under the custody of the Department. 54100.4

72030.4.6 Miscellaneous Section • CDC Form 191, Inmate Time Cards and Time Chronos (taped on an 8" x 11" sheet of paper). • CDCR Form 602-1, Grievance • CDCR Form 602-2, Appeal of Grievance • Miscellaneous correspondence. • CDC Form 345, Power of Attorney and Authorization for Deposit. • CDC Form 601, Temporary Community Leave Request. • CDC Form 1604, Agreement to Participate in Community Work Furlough Program. • Other related forms and documents. 72030.4.7

81080.1.2 Discharge Procedures Parole Agent Secures and reviews CI&I SSCH for unreported arrests since release to parole or last discharge review. Requests current POC psychiatric evaluation if parolee has a special condition of parole requiring POC attendance. Reviews case file and Record of Supervision to evaluate parolee's fitness for discharge. (20 Days Before the 1st or 3 rd Year Anniversary) Prepares and submits CDC Form 1632, Discharge Review Report Form, to unit supervisor recommending either: • Retain on parole supervision. • Discharge effective (date) . Unit Supervisor Reviews Discharge Review Report and supplemental materials and makes a decision either to discharge or recommend retain on parole. Effective date of discharge is 30 days following completion of one year of continuous parole. Decision to allow parolee to discharge completes discharge review process. Parolee will discharge by action of law on date specified. Submits any Discharge Review Report requiring PA decision to PA. Unit supervisor shall include a recommendation to either discharge or retain on parole supervision. Submits any Discharge Review Report recommending "retain on parole supervision" and any report requiring BPH decision to BPH. PA (Prior to 30th Day Following Any Anniversary Date Specified Above) Reviews Discharge Review Report and takes an action to recommend retain on parole supervision; or, discharge effective ____(date)____. Effective date is 30 days following completion of one year of continuous parole; or, Submits any Discharge Review Report recommending "retain on parole supervision" to the BPH. BPH (Prior to the 30th Day Following Any Anniversary Date Specified Above) Reviews Discharge Review Report and takes an action to either: • Retain on parole supervision; or • Discharge effective ____(date)___. Effective date is 30 days following completion of one year of continuous parole. Parole Agent (Within 10 Days of Final Action) Provides parolee with copy of CDC Form 1632, Discharge Review Report; BPH Form 1130, BPH Decision; and CDCR Form 602-1, Grievance, and CDCR Form 602-2, Appeal of Grievance, if applicable; if decision is "retain on parole supervision." 81080.2

11040.17 CALPIA Safety Committee Each facility that operates one or more CALPIA enterprises shall establish a CALPIA Safety Committee. It shall be noted that inmates employed by Level of Lead Staff Facility Superintendent II SCC Prison Industries Manager PBSP CVSP NCWF CCWF CAL LAC Prison Industries Administrator CCI CTF CIM CIW DVI FSP SAC CMC SOL SQ RJD ASP CEN COR WSP MCSP CALPIA are considered "employees" for purposes of the California Occupational Safety and Health Act (CAL-OSHA) of 1973 and subsequent amendments. Prison Industries Administrator/ Manager Committee membership shall be determined by each facility's Prison Industries Administrator/Manager. Membership shall include inmate workers as well as supervisory employee representation. The size of each committee shall be dependent upon magnitude, complexity, geographic location, and diversity of the industry's operations. Membership selection process shall be determined by Prison Industries Managers, keeping in mind the necessity of accomplishing objectives by the most effective means. Any grievances regarding health and safety issues shall be initiated and handled in accordance with DOM 54100. 11040.18

13030.13.3 Exception to Disclosing a Source of Information When the personal information is contained in a document and the individual about whom the information is being collected is given a copy of that document, the origin of the document need not be listed on the IPA Record of Sources. The identity of a source need not be recorded when the source is in a non-supervisory relationship with the individual and the information is given with the promise of confidentiality during an investigation of: • An applicant for public employment or a state license. • A grievance or complaint. • A suspected civil offense. See DOM 13030.19 and 13030.20 for further information. 13030.13.4

13030.19 Exempt Personal Information Withheld From Individual Revised April 11, 2014 The CDCR is not required to disclose personal information to the individual about whom the information pertains, if the information meets any of the following criteria: • Is compiled for the purpose of identifying individual criminal offenders and alleged offenders and consists only of identifying data and notations of arrests, the nature and disposition of criminal charges, sentencing, confinement, release, and parole and probation status. • Is compiled for the purpose of a criminal investigation of suspected criminal activities, including reports of informants and investigators, and is associated with an identifiable individual. • Is contained in any record which could identify an individual and which is compiled at any stage of the process of enforcement of the criminal laws, from the arrest or indictment stage through release from supervision, including the process of extradition or the exercise of executive clemency. For Investigative Purposes • Is maintained for purpose of an investigation of an individual ’ s fitness for licensure or public employment, or of a grievance or complaint, or of a suspected civil offense, as long as the information is withheld only so as not to compromise the investigation or a related investigation. The identities of individuals who provided information for the investigation maybe withheld when the provisions of DOM 13030.13.3 are met. • Would compromise the objectivity or fairness of a competitive examination for appointment or promotion in public services, or to determine fitness for licensure, or to determine scholastic aptitude. Condition of Individual • Pertains to the physical or psychological condition of the individual, if determines that disclosure would be detrimental to the individual. The information shall, upon the individual ’ s written authorization, be disclosed to a licensed physician designated by the individual. When a determination is made that information is exempt under this exclusion, it shall be documented as follows: • For employees, a physician shall make a statement on the document (or attach a statement to the document) that disclosure of the information would be detrimental to the person about whom it was prepared. • For inmates/parolees, a physician shall prepare a CDC Form 128C, Medical Chrono, stating that disclosure of the information to the inmate/parolee would be detrimental. The information shall be included in ERMS by designated staff as soon as possible. • Relates to the settlement of claims for work-related illnesses or injuries and is maintained exclusively by SCIF. • Is required by statute to be withheld from the individual to whom it pertains. 13030.20

13030.28 Appeals on Refusal to Amend Records Inmate/Parolee Appeals When an individual disagrees with CDCR ’ s refusal to amend a record, they may request CDCR review that decision. Requests submitted by inmates and parolees for CDCR to review a decision not to amend a record shall follow the inmate/parolee appeal process, and shall be submitted on CDCR Form 602-1, Grievance (refer to DOM 54100 for information concerning inmate/parolee appeals). For requests submitted by employees and other than inmates and parolees, the first level of review shall be the Warden, RPA or division head (in headquarters). The second level of review shall be the Director. For appeals from employees and persons other that inmates and parolees, the request shall be in writing and shall include the following: • A copy of all previous requests to amend and any prior correspondence concerning amending the record. • A copy of all previous CDCR responses and any prior correspondence concerning the request to amend the record. • A full statement explaining why the individual disagrees with CDCR ’ s denial. • Full documentation to support and justify the request to review the refusal to amend the record. Length of Review Period Responses to requests to review a decision denying a correction or amendment to a departmental record shall be made no later than 30 days from the date of receipt within CDCR. Upon a showing of good cause, CDCR may extend the review period up to 30 additional days (for a total of not more than 60 days from the receipt of the request). The individual requesting a review shall be notified that CDCR extended the response time and the reasons establishing good cause to extend the response time. Inmate/parolee appeals shall be handled within the established time limits for appeals. 13030.29

15010.3 DAPO Division Headquarters DAPO Division Headquarters is responsible for training, peer audits, and rehabilitation services. DAPO Division Headquarters serves as a liaison with the Board of Parole Hearings (BPH), law enforcement agencies, and other divisions and departments; supports legislative bill analysis; develops parole policies and procedures; and special projects related to substance abuse treatment programs, POC, and asset forfeiture. Additionally, DAPO Division Headquarters monitors compliance with existing policies and procedures, management of Interstate Compact offenders and, management of global positioning system of adult sex offenders. It maintains liaison with information systems units; collects and analyzes information from field operations (arrest data, holds, continue-on-parole actions, violations, dispositions etc.); coordinates American Correctional Association accreditation; and addresses parolee/inmate appeals, grievances, and correspondence. DAPO Division Headquarters also manages parole litigation and ensures compliance with the court revocation procedures, Armstrong court mandates, and current law. The organizational structure of units within DAPO Division headquarters consists of: • Alternative Custody Program • Asset Forfeiture • Division Training Unit • Electronic Monitoring Unit • Fidelity Assurance and Outcomes Unit • Criminal Intelligence Unit • Interstate Compact Unit • Litigation Compliance Unit • Parole Automation Unit • Parole Planning & Placement • Policy and Procedures Unit • Quality Control Program • Sex Offender Unit • Support Services Unit • Warrant Unit 15010.4