Chapter 1 – General Administration

11010.1 Policy

• The Secretary of the California Department of Corrections and Rehabilitation (CDCRCalifornia Department of Corrections and Rehabilitation) has established an organizational structure which provides for the efficient and effective management of all facets of the correctional system for all inmates, wards and parolees to include custody, care, treatment, discipline, training, rehabilitation, and employment.

11010.2 Purpose

• This Article outlines the administrative organization of the Office of the Secretary, CDCRCalifornia Department of Corrections and Rehabilitation.

11010.3 Chain Of Command

• The Secretary has line authority over all employees. The Undersecretaries, Executive Officers, Assistant Secretaries, General Counsel, Directors, and Chiefs have line authority over their respective divisions or offices.

11010.4 Secretary’s Cabinet

• The following positions have been designated as members of the Secretary’s Cabinet:

  • Undersecretary, Operations.

  • Undersecretary, Administration and Offender Services.

  • Undersecretary, Health Care Services.

  • Assistant Secretary, General Counsel, Office of Legal Affairs (OLAOffice of Legal Affairs).

  • Assistant Secretary, Office of Public and Employee Communications (OPECOffice of Public and Employee Communications).

  • Assistant Secretary, Office of Legislation (OOLOffice Of Legislation).

  • Director, Enterprise Information Services (EISEnterprise Information Services (formerly Information Services Division)).

  • Director, Division of Internal Oversight and Research (DIORDivision of Internal Oversight and Research).

  • Director, Division of Health Care Services (DHCSDivision of Health Care Services (Formerly Division of Correctional Health Care Services, DCHCS)).

  • Chief, Office of Labor Relations (OLROffice of Labor Relations).

  • Director, Division of Adult Institutions (DAIDivision of Adult Institutions (formerly Institutions Division)).

  • Director, Division of Adult Parole Operations (DAPODivision of Adult Parole Operations (formerly P&CSD)).

  • Director, Division of Rehabilitative Programs (DRPDivision of Rehabilitative Programs).

  • Director, Division of Juvenile Justice (DJJDivision of Juvenile Justice (formerly CYA)).

  • Director, Division of Administrative Services (DASDivision of Administrative Services (see ASB))

  • Director, Division of Facility Planning, Construction and Management (FPCMFacility Planning, Construction, and Management)

11010.5 Executive Staff

• The Secretary’s executive staff includes members of the Cabinet (above) and the following positions:

  • Executive Officer, Board of Parole Hearings (BPHBoard of Parole Hearings (formerly Board of Prison Terms)).

  • General Manager, California Prison Industry Authority (CALPIACalifornia Prison Industry Authority (formerly PIA)).

  • Chief, Office of the Ombudsman (OOTOOffice of the Ombudsman).

  • Chief, Office of Correctional Safety (OCSOffice of Correctional Safety).

  • Chief, Office of Victim and Survivor Rights and Services (OVSRSOffice of Victim and Survivor Rights and Services).

11010.6 Secretary of Corrections and Rehabilitation

• The Secretary is the chief executive and administrator of CDCRCalifornia Department of Corrections and Rehabilitation in the operation of its programs for the management and control of State juvenile and adult correctional facilities and supervision of parolees. The Secretary is also chairman of the Prison Industry Board. The General Manager of CalPIA reports to the Secretary.

11010.7 Office of Legislation

• The Office of Legislation provides executive policy advice and assistance on all matters with legislative implications or impact on the CDCRCalifornia Department of Corrections and Rehabilitation. The Assistant Secretary performs the following:

  • Coordinates the development of legislation, including drafting and preparation for the Secretary and the Governor’s Office, and introduction in the Legislature.

  • Identifies bills of CDCRCalifornia Department of Corrections and Rehabilitation interest, provides analysis, and recommends the CDCRCalifornia Department of Corrections and Rehabilitation’s position to the Secretary and the Governor’s Office.

  • Presents CDCRCalifornia Department of Corrections and Rehabilitation’s positions to legislators and provides direct advocacy through appearances before legislative committees.

  • Coordinates the compilation and completion of Enrolled Bill Reports, recommending to the Governor whether to sign or to veto enrolled legislation.

  • Coordinates and reviews responses to inquiries from State and federal legislators.

  • With assistance from Human Resources, coordinates the Senate Confirmation process for Associate Directors, Assistant Secretaries, Undersecretaries and the Secretary.

11010.8 Office of Public and Employee Communications

• The Office of Public and Employee Communications:

  • Is the central point of contact for all external stakeholders.

  • Acts as a liaison for the Department and several of its constituencies and maintains direct contacts with local, State, national, and international print, broadcast and other media.

  • Provides functional supervision, training, and guidance to headquarters, facilities, and parole regions on public and community relations issues.

  • Prepares and distributes brochures, videos, and other informational materials to legislators, the media, and the general public.

  • Prepares and distributes printed and video training materials for headquarters, facilities, and parole regions.

  • Coordinates and plans the annual Medal of Valor Awards ceremony.

  • Distributes information to department employees.

  • Responds to information requests under the Public Records Act and Information Practices Act from the media; prepares talking points for executive and division staff; and compiles the daily report.

  • Reviews the content of the Department’s website to ensure consistency with departmental policy, and oversees the Department’s death row database to provide monthly reports.

  • Develops, manages, implements, and evaluates the Department’s public information, motion picture, radio and television, and community relations policies.

  • Works closely with media representatives to visit the Department’s institutions and facilities including conservations camps, community prisoner-mother, and community correctional facilities.

  • Encourages print, broadcast and other media to tour and write stories about CDCRCalifornia Department of Corrections and Rehabilitation programs, activities, staff, and inmates.

11010.9 Revisions

• The Secretary, CDCRCalifornia Department of Corrections and Rehabilitation or designee shall be responsible for ensuring that the contents of this Article are kept current and accurate.

References

• PCPenal Code §§ 1170, 2085.5, 2962, 3003, 3034, 3058.8, 5001, 5052, 5053, 5054, 5055, 5058, 5075, and 11155.

• GCGovernment Code § 12838 et seq.

• DOMDepartment Operations Manual §§ 11040, 22090.

• SEERAState Employer Employee Relations Act.

• FLSAFair Labor Standards Act.

• Public Records Act.

• Information Practices Act.

• Ralph C. Dills Act.

• Prison Inmate Labor Initiative of 1990.

• CCRCalifornia Code of Regulations (15) (3).

• California Environmental Quality Act.

11030.1 Policy

• Standing committees are established by the Secretary as necessary, to facilitate the accomplishment of departmental goals and objectives.

11030.2 Purpose

• This Article describes the standing committees that have been authorized by the Secretary.

11030.3 Agency Security Technology Transfer Committee

• Agency Security Technology Transfer Committee (ASTTCAgency Security Technology Transfer Committee) shall coordinate and guide the California Department of Corrections and Rehabilitation (CDCRCalifornia Department of Corrections and Rehabilitation) in the adaptation of existing and new technology to solve problems and improve institutional security, operation, and management.

11030.3.1 Responsibility

• The ASTTCAgency Security Technology Transfer Committee shall:

  • Serve as a forum for the presentation of potential technological applications.

  • Make recommendations to the Secretary on potential technological applications.

  • Assure widespread dissemination throughout CDCRCalifornia Department of Corrections and Rehabilitation of information regarding new technological developments.

  • Recommend standards and specifications for use in purchasing equipment items and systems, incorporating technology to facilitate institutional custody, security, and control.

11030.3.2 Equipment Purchases

• Review of equipment requests:

  • All requests for the budgeting and/or acquisition of new equipment items relating to perimeter security systems; contraband detection systems; personal alarms; and equipment items and systems incorporating technology to facilitate institutional custody, security, and control shall be referred to the CDCRCalifornia Department of Corrections and Rehabilitation’s ASTTCAgency Security Technology Transfer Committee for review. Final approval will be required by ASTTCAgency Security Technology Transfer Committee and the Secretary.

  • Each Warden is responsible to ensure that requests for approval to purchase new technology are submitted to the Chairman of ASTTCAgency Security Technology Transfer Committee. This will result in a process that ensures standardization at CDCRCalifornia Department of Corrections and Rehabilitation institutions. No purchases or commitments to purchase shall take place until clearance is received by the Committee Chair of ASTTCAgency Security Technology Transfer Committee.

11030.3.3 Membership

• The ASTTCAgency Security Technology Transfer Committee is comprised of the following staff:

  • Mandatory Participants

    • Committee Chair: Director, Planning, Acquisition, and Design.

    • Deputy Director, Facility Planning, Construction, and Management (will serve as Committee Chair in the Director’s absence).

    • One Associate Director (AD), Division of Adult Institutions,(DAIDivision of Adult Institutions (formerly Institutions Division)).

    • Five Field Wardens, DAIDivision of Adult Institutions (formerly Institutions Division).

    • One Field Superintendant, Department Juvenile Justice(DJJDivision of Juvenile Justice (formerly CYA)).

    • Office of Correctional Safety.

    • Deputy Director, Division of Adult Parole Operations.

    • Executive Officer, Technology Management Unit: staff person to the Committee.

  • Discretionary Participants

    • Division of Facility Management (Telecom Maintenance).

    • Office of Training and Professional Development.

    • Office of Fiscal Services.

    • Enterprise Information Services.

    • Office of Adult Programs.

• All Warden’s Regional Parole Administrators, and others are encouraged to attend and provide input at all ASTTCAgency Security Technology Transfer Committee meetings and on all issues raised.

  • Non-agency Nonvoting Members

    • Non-agency nonvoting members include, but are not limited to, representatives from:

      • Department of Justice (DOJDepartment Of Justice).

      • Department of General Services (DGSDepartment of General Services).

      • Federal Bureau of Prisons (FBPFederal Bureau of Prisons).

      • California Highway Patrol (CHPCalifornia Highway Patrol).

      • Sandia National Laboratories.

      • National Law Enforcement and Corrections Technology Center.

• Appointments

  • Appointments to the ASTTCAgency Security Technology Transfer Committee shall be made through the Committee Chair with final approval by the Secretary of CDCRCalifornia Department of Corrections and Rehabilitation.

11030.3.4 Meetings

• The ASTTCAgency Security Technology Transfer Committee will meet quarterly or on an as needed basis. Attendance at scheduled meetings is mandatory; however, an alternate for each member is allowed at the Captain level or above, and Associate Directors may rotate their attendance at the committee meetings.

11030.4 Victims Advisory Committee

• Victims Advisory Committee (VACVictims Advisory Committee) provides information and expertise to the Secretary and CDCRCalifornia Department of Corrections and Rehabilitation concerning the following issues:

  • Victim notification.

  • Victim restitution.

  • Victim allocation.

11030.4.1 Membership

• The VACVictims Advisory Committee shall consist of 15 to 20 members appointed by the Secretary for an indeterminate period. They shall be a cross-section of staff from headquarters, facilities, and paroles.

• The chairperson shall be elected by the membership.

11030.4.2 Meetings

• Meetings shall be held annually.

11030.5 Career Technical Education Act Advisory Council

• This is an advisory council on career-technical education and the council’s general purpose is to advise CDCRCalifornia Department of Corrections and Rehabilitation on the programmatic use of the Federal Career-Technical Education Act (CTEAFederal Career-Technical Education Act) funds and to advise on the development of strategies for securing employment for vocationally trained inmates.

11030.5.1 Responsibility

• The council shall meet with appropriate departmental staff on a continuing and formal basis at least twice a year, to advise, analyze, and recommend policies, programs, and distribution of all CTEAFederal Career-Technical Education Act funds to CDCRCalifornia Department of Corrections and Rehabilitation facilities.

  • They shall emphasize career-technicial education programs that involve business and labor organizations who employ ex-felons in the counties of the patroling offenders.

11030.5.2 Membership

• The Superintendent shall appoint 8 members and they shall serve at the Superintendent’s pleasure.

• The membership shall be governed by the committee’s by laws as well as GCGovernment Code 1770.

  • The chairperson and vice-chairperson shall be elected by the membership by a nomination committee.

11030.5.3 Meetings

• The council shall meet a minimum of two times each year and all meetings shall be open to the public.

• A special meeting can be called by the chairperson or upon written request of a quorum of the council members.

• Fifty percent of the membership plus one member shall constitute a quorum.

11030.6 Advisory Committee on Correctional Education

• The Advisory Committee on Correctional Education shall advise the Director on the following areas of departmental education:

  • Educational program policy and planning.

  • Program operations.

  • Curriculum development.

  • Staff training.

  • Program evaluation.

• The committee shall have statutory responsibility under the Education Code (Ed.C) 32500.

11030.6.1 Membership

• The membership shall be appointed by the Director, and include a representative from the Chancellors of the California State University and Colleges, the Chancellor of the California Community Colleges, and the Superintendent of Public Instruction.

• They shall serve until replaced.

  • There shall be one representative from the California Postsecondary Education Commission and two instructors from a prison based education program.

11030.6.2 Subcommittees

• There shall be subcommittees made up from the Advisory Committee and they shall be appointed to address specific issues in the following areas or as needed:

  • Program policy and program planning.

  • Program operations.

  • Curriculum philosophy and strategy.

  • Program evaluation.

11030.6.3 Meetings

• The committee shall meet on a bi-monthly basis or at the call of the chairperson.

11030.7 Chaplains Coordinating Committee

• The committee shall advise CDCRCalifornia Department of Corrections and Rehabilitation on the formation of religious policy, interpretation of religious procedures, the conduct of the religious programs in the institutions and on ISTIn-Service Training for the chaplains.

11030.7.1 Responsibility

• The committee has the following responsibilities:

  • Coordinating and conducting program reviews of the institutional religious programs every three years for each institution.

  • Be available to staff chaplains, volunteer community clergy, and religious representatives for pastoral care.

  • Coordinating the annual Chaplains’ training conference.

11030.7.2 Membership

• The membership shall be selected from nominations provided by each faith group (Protestant, Catholic, Muslim, Native American, and Jewish). The Chaplain selected shall be approved by the Warden of his/her institution. The size of the committee shall be determined by the Director of Adult Institutions and each member shall serve for a term of three years.

• Individuals can serve multiple terms if re-elected by the respective faith group. The membership shall include at least one staff chaplain from each of the religious faith groups employed by CDCRCalifornia Department of Corrections and Rehabilitation and one volunteer representative from the community from each faith group that provides services to a facility.

• The chairperson shall be appointed by the committee’s faith group representatives.

11030.7.3 Meetings

• The committee shall meet on a quarterly basis at a designated facility.

11030.8 State Advisory Committee on Institutional Religion

• The State Advisory Committee on Institutional Religion serves to advise the Directors of Juvenile Justice, CDCRCalifornia Department of Corrections and Rehabilitation, DMHDepartment of Mental Health (see Department of State Hospitals DSH), and Veterans Affairs on the religious programs of the correctional schools, prisons, and mental hospitals.

11030.8.1 Responsibility

• The committee has the responsibility of advising the Directors on such policy matters as chaplaincy, personnel, religious records, operating supplies, buildings, places for worship, selection, recruitment, and training of chaplains, and the standards for chaplaincy work in the several types of facilities.

11030.8.2 Contact/Attendance by Departmental Staff

• Official contacts with this committee are made through the Community Resources Manager, Division of Adult Institutions, who shall serve as the departmental liaison to the committee.

• The Director of Adult Institutions may also designate a member of the Chaplains Coordinating Committee or a staff chaplain to attend the meetings of this committee.

11030.9 Disability Advisory Committee

• The Disability Advisory Committee (DACDisabled Advisory Committee) shall provide advice and assistance to the Secretary, CDCRCalifornia Department of Corrections and Rehabilitation, and Deputy Director, Office of Internal Affairs (OIAOffice of Internal Affairs), on disability issues, such as:

  • Developing and maintaining Equal Employment Opportunity programs and activities for persons with disabilities.

  • Making recommendations to improve the personnel practices and employment opportunities for persons with disabilities.

  • Establishing contact with groups and organizations that are concerned with achieving equitable representation and utilization of persons with disabilities in the CDCRCalifornia Department of Corrections and Rehabilitation work force.

  • Monitoring of disability issues identified by the committee, including but not limited to reasonable accommodation and accessibility, to ensure that necessary actions occur within reasonable time frames.

  • Assisting the Department in complying with the Americans with Disabilities Act and other related statutes.

11030.9.1 Membership

• The Chief, Office of Civil Rights (OCROffice of Civil Rights (see OIA)), OIAOffice of Internal Affairs, is designated as the DACDisabled Advisory Committee chairperson. The DACDisabled Advisory Committee shall consist of volunteers selected by the OCROffice of Civil Rights (see OIA) Chief in OIAOffice of Internal Affairs with input from the Hiring Authority of the candidate and current DACDisabled Advisory Committee members. Every effort will be made to include persons with disabilities and ensure geographic and program representation.

11030.9.2 Meetings

• The DACDisabled Advisory Committee shall meet as called by the DACDisabled Advisory Committee Chairperson, at least annually.

11030.9.3 Resources

• Members of the DACDisabled Advisory Committee shall be primarily involved with the duties and responsibilities of their specific assignments; local administrators shall make the necessary arrangements to allow members reasonable time to perform committee activities.

11030.10 Information Technology Governance Committee

• Enterprise Information Technology (ITInformation Technology) Governance provides a framework for making decisions involving effective, efficient, and acceptable use of ITInformation Technology while ensuring organizational resources are targeted to deliver maximum business value. Enterprise ITInformation Technology Governance implies a process in which all stakeholders have clear accountability for their respective responsibilities in making decisions affecting ITInformation Technology. The ultimate decision making body in the Enterprise ITInformation Technology Governance structure is the CDCRCalifornia Department of Corrections and Rehabilitation ITInformation Technology Executive Council (CDCRCalifornia Department of Corrections and Rehabilitation Cabinet). The mission of the Council is to ensure that ITInformation Technology produces and supports solutions in direct alignment with the Agency’s strategic direction while moving toward its Vision. Policy specific to Enterprise ITInformation Technology Governance is located in DOMDepartment Operations Manual Chapter 4, Information Technology.

11030.11 Military Equipment Use Committee

• Military Equipment Use Committee (MEUC) shall coordinate and guide CDCRCalifornia Department of Corrections and Rehabilitation in the funding, acquisition, and use of existing and newly requested military equipment.

11030.11.1 Responsibility

• The MEUC shall:

  • Review policies regarding the funding, acquisition, and the use of military equipment.

  • Ensure implemented military equipment use policies and procedures are followed.

  • Recommend standards and specifications for the funding, acquisition, and use of military equipment.

  • Review all CDCRCalifornia Department of Corrections and Rehabilitation Form 1617 Memorandum requests submitted to the Office of Correctional Safety (OCSOffice of Correctional Safety), Armory Lieutenant for military equipment funding, acquisition, and use.

  • Serve as a forum for the presentation of newly requested military equipment for use within the department.

  • Re-evaluate the continued use of previously approved items identified as military equipment annually.

  • Items approved by the MEUC shall be forwarded to the Military Equipment Use Executive Board (MEUEB) for final approval.

11030.11.2 Membership

• MEUC shall be comprised of the following representatives:

  • Mandatory Participants (shall be considered subject matter experts in relation to the use of military equipment):

    • Committee Chair: OCSOffice of Correctional Safety Captain, or designee.

    • One representative from the Division of Adult Institutions (DAIDivision of Adult Institutions (formerly Institutions Division)).

    • One representative from the Division of Adult Parole Operations (DAPODivision of Adult Parole Operations (formerly P&CSD)).

    • One representative from the Office of Training and Professional Development (OTPD).

    • One representative from the Office of Internal Affairs (OIAOffice of Internal Affairs).

  • Discretionary Participants

    • One representative from Enterprise Information Services (EISEnterprise Information Services (formerly Information Services Division)).

    • One representative from the Office of Business Services (OBSOffice of Business Services).

    • OCSOffice of Correctional Safety Armory Lieutenant.

11030.11.3 Meetings

• Meetings shall be held at least once per quarter, with a minimum of three MEUC members present, when military equipment funding, acquisition, and use are requested. If there are no request for funding, acquisition, and use, the committee shall meet the following quarter.

• The MEUC will re-evaluate the continued use of previously approved items identified as military equipment annually.

• Each Hiring Authority is responsible for all requests for funding, acquisition, and the use of new military equipment submitted to the MEUC.

• Items that have previously been approved by the Secretary or designee may be replenished with approval by the appropriate Hiring Authority.

11030.11.4 Military Equipment Use Executive Board

• The Military Equipment Use Executive Board (MEUEB) shall review requests submitted by the MEUC for funding, acquisition, and use of new military equipment.

11030.11.5 Responsibility

• The MEUEB shall review all accepted items for funding, acquisition, and use submitted by the MUEC.

• Items approved by the MEUEB shall be forwarded to the CDCRCalifornia Department of Corrections and Rehabilitation Secretary or designee for approval.

• Items not approved by the MEUEB shall be returned to the MEUC with an explanation for the denial, and if warranted, recommendations for resubmittal.

• Upon approval by the Secretary or designee, the newly funded, acquired or purchased military equipment shall be included on the military equipment list located on the departmental website, maintained by OCSOffice of Correctional Safety.

11030.11.6 Membership

• The MEUEB shall be comprised of the following representatives:

  • Mandatory Participants:

    • Committee Chair: Chief of the OCSOffice of Correctional Safety or designee.

    • DAIDivision of Adult Institutions (formerly Institutions Division) Director or designee.

    • DAPODivision of Adult Parole Operations (formerly P&CSD) Director or designee.

    • Peace Officer Selection and Employee Development (POSEDPeace Officer Selection and Development) Deputy Director or designee.

    • OIAOffice of Internal Affairs Deputy Director or designee.

  • Discretionary Participants:

    • EISEnterprise Information Services (formerly Information Services Division) Deputy Director or designee.

    • OBSOffice of Business Services Deputy Director or designee.

    • OCSOffice of Correctional Safety Armory Lieutenant.

11030.11.7 Meetings

• The MEUEB shall meet with a minimum of three of the MEUEB committee members present, when the MEUC submits a request for approval.

  • Equipment Purchases

    • Review of equipment request:

      • Each Hiring Authority is responsible to ensure requests for funding, acquisition, and the use of newly requested military equipment are submitted to the MEUC. Funding, acquisition, and the use of newly requested military equipment shall not take place until approval by the Secretary or designee.

      • Upon approval by the MEUC, requests shall be forwarded to the MEUEB for review. Items approved by the MEUEB shall be approved by the CDCRCalifornia Department of Corrections and Rehabilitation Secretary or designee.

      • Items which have previously been approved by the Secretary or designee can be replenished with approval by the appropriate Hiring Authority.

      • The MEUC will conduct annual reviews of previously approved items identified as military equipment.

  • Military Equipment Defined

    • Unmanned, remotely piloted, powered aerial or ground vehicles.

      • Mine-resistant ambush-protected (MRAP) vehicles or armored personnel carriers.

      • High mobility multipurpose-wheeled vehicles (HMMWV) commonly referred to as Humvees; two-and-one-half-ton trucks, five-ton trucks, or wheeled vehicles that have a breaching or entry apparatus attached. However, unarmored all-terrain vehicles (ATVs) and motorized dirt bikes are specifically excluded from this subdivision.

      • Tracked armored vehicles that provide ballistic protection to their occupants and utilize a tracked system instead of wheels for forward motion.

      • Command and control vehicles that are either built or modified to facilitate the operational control and direction of public safety units.

      • Weaponized aircraft, vessels, or vehicles of any kind.

      • Battering rams, slugs, and breaching apparatuses that are explosive in nature. However, items designed to remove a lock, such as bolt cutters, or a handheld ram designed to be operated by one person, are specifically excluded from this subdivision.

      • Firearms of .50 caliber or greater. However, standard issue shotguns are specifically excluded from this subdivision.

      • Ammunition of .50 caliber or greater. However, standard issue shotgun ammunition is specifically excluded from this subdivision.

      • Specialized firearms and ammunition of less than .50 caliber, including assault weapons as defined in Sections 30510 and 30515 of the Penal Code, with the exception of standard issue service weapons and ammunition of less than .50 caliber that are issued to officers, agents, or employees of a law enforcement agency or a state agency.

      • Any firearm or firearm accessory that is designed to launch explosive projectiles.

      • “Flashbang” grenades and explosive breaching tools, “tear gas”, and “pepper balls”, excluding standard, service-issued handheld pepper spray.

      • TASER Shockwave, microwave weapons, water cannons, and the Long Range Acoustic Device (LRAD).

      • The following projectile launch platforms and their associated munitions: 40 mm projectile launchers, “bean bag”, rubber bullet, and specialty impact munition (SIM) weapons.

      • Any other equipment as determined by a governing body or a State agency to require additional oversight.

11030.11.8 Collaborated use of Military by other Jurisdictions, Law Enforcement, or State Agencies

• Military equipment used by other jurisdictions, law enforcement or state agencies providing assistance, including collaborated task force or mutual aid assistance shall comply with their respective military equipment use policies.

11030.12 Revisions

• The Secretary, Office of the Secretary or designee is responsible for ensuring that the contents of this Article are current and accurate.

11030.13 References

• GCGovernment Code section 1770.

• ECEvidence Code section 32500.

• Assembly Bill 481.

• Inmate Apprenticeship Training Law of 1984.

11040.1 Policy

• The CALPIACalifornia Prison Industry Authority (formerly PIA) establishes and operates various industrial, manufacturing, service, and agricultural enterprises in the facilities under jurisdiction of the Department.

11040.2 Purpose

• This section delineates the membership of the PIBPrison Industry Board, outlines the objectives of CALPIACalifornia Prison Industry Authority (formerly PIA), and describes how CALPIACalifornia Prison Industry Authority (formerly PIA) interfaces with CDCRCalifornia Department of Corrections and Rehabilitation, specifically within the facilities.

11040.3 Objectives

• Objectives of CALPIACalifornia Prison Industry Authority (formerly PIA) include:

  • Reduce inmate idleness.

  • Create and maintain working conditions for inmates much like those prevalent in private enterprise.

  • Develop work habits and occupational skills in inmates for use upon release.

  • Operate a work program for inmates which shall ultimately be self-supporting by generating sufficient funds from the sale of products and services to offset the program’s expenses.

  • Provide financial support to employed inmates.

11040.4 PIB

• Policy for CALPIACalifornia Prison Industry Authority (formerly PIA) is directed by a Board of Directors consisting of 11 members under the leadership of the Chairperson. The members are:

  • Secretary of Corrections: serves as Chairperson.

  • Director of the DGSDepartment of General Services or designee.

  • Director of Commerce or designee.

  • Two members from the general public that are appointed by the Speaker of the Assembly.

  • Two members from the general public that are appointed by the Senate Rules Committee.

  • Two representatives of organized labor that are appointed by the Governor.

  • Two representatives of industry that are appointed by the Governor.

• Meetings

  • The PIBPrison Industry Board shall meet regularly (at least four times during each fiscal year), and additionally, as deemed necessary by the Chairperson or majority of the PIBPrison Industry Board.

11040.5 Responsibility

• CALPIACalifornia Prison Industry Authority (formerly PIA) operates as a business venture, on a profit and loss basis, and thus extends commitments to deliver its products within specific time frames. As a result, the program demands the fullest cooperation between facility and CALPIACalifornia Prison Industry Authority (formerly PIA) staff.

• The shared responsibility of the General Manager for the Prison Industry Revolving Fund and the operation of the various enterprises, and of the Warden for administration of the facility, requires careful attention to the effect of any decisions by either, on the responsibility of the other, thereby making close communication imperative. Other responsibilities include:

• Secretary

  • The Secretary shall be the administrative head of the PIBPrison Industry Board and shall exercise all duties and functions necessary to ensure that the responsibilities of the PIBPrison Industry Board are successfully discharged.

• General Manager

  • CALPIACalifornia Prison Industry Authority (formerly PIA) is headed by a General Manager who functions as the Chief Administrative Officer and has line authority over all facets of CALPIACalifornia Prison Industry Authority (formerly PIA)’s operations and activities.

• California Prison Industries Administrators/ Managers

  • CALPIACalifornia Prison Industry Authority (formerly PIA)’s Prison Industries Administrators/Managers shall:

    • Assist the General Manager and staff in the study of proposed new enterprises and furnish data, plans, or specifications required for them.

      • Establish and maintain procurement controls designed to ensure effective and timely delivery of necessary raw materials, commercial items, and equipment of a quality standard which shall ensure a high grade of finished product.

      • Establish and maintain production controls designed to assure timely delivery of quality at a minimum cost.

      • Establish and maintain records of inventory, accounting, and cost controls as required by established policies.

      • Establish and maintain controls which shall ensure a minimum expenditure of CALPIACalifornia Prison Industry Authority (formerly PIA) funds.

      • Inform the Warden of all matters affecting industries.

      • Report to the General Manager on events and problems in CALPIACalifornia Prison Industry Authority (formerly PIA) programs, or any changes in plans or deviations from established standards or commitments.

      • Establish and oversee the functioning of training programs capable of developing industry employees within their present position as well as for future promotional endeavors.

11040.6 CALPIA Organizational Structure

• CALPIACalifornia Prison Industry Authority (formerly PIA) consists of several divisions and branches many of which interface directly with, and/or provide assistance to, the facilities.

11040.7 Executive Office

• The executive office of CALPIACalifornia Prison Industry Authority (formerly PIA) is comprised of the:

  • General Manager.

  • Chief Assistant General Manager.

  • Assistant General Manager, Administration Division.

  • Assistant General Manager, Operations Division.

  • Assistant General Manager, Waste Management Division.

  • Chief, QAU.

  • Chief, Marketing Division.

  • Chief, Civil Rights and Community Affairs Office.

  • Chief, Data Management and Information Systems.

11040.8 Civil Rights and Community Affairs Office

• The CALPIACalifornia Prison Industry Authority (formerly PIA)’s affirmative action program provides for EEOEqual Employment Opportunity Office (see Office of Internal Affairs) in a discrimination-free work environment. The program is backed with a strong commitment from the General Manager and the Director.

11040.9 Quality Assurance Office

• The Quality Assurance Office plans, develops, and directs the total quality management program for CALPIACalifornia Prison Industry Authority (formerly PIA) statewide.

11040.10 Administration Division

• As a service-oriented organization, the Administration Division provides for the fiscal management of CALPIACalifornia Prison Industry Authority (formerly PIA) and the support services necessary for program operations. It works directly with all CALPIACalifornia Prison Industry Authority (formerly PIA) services necessary for program operations. It works directly with all CALPIACalifornia Prison Industry Authority (formerly PIA) offices and relevant outside agencies including:

  • State Legislature.

  • CDCRCalifornia Department of Corrections and Rehabilitation.

  • All facilities and CALPIACalifornia Prison Industry Authority (formerly PIA) enterprises.

  • Outside vendors.

  • DGSDepartment of General Services.

  • PIBPrison Industry Board.

  • Other agencies and organizations as needed.

11040.10.1 Fiscal Services Branch (FSB)

• FSBFiscal Services Branch (see Office of Fiscal Services) administers the budgeting, accounting, and financial reporting activities of CALPIACalifornia Prison Industry Authority (formerly PIA). FSBFiscal Services Branch (see Office of Fiscal Services) performs its various tasks and operations through three organizational units as follows:

  • Budget Bureau–has primary responsibility for development and administration of the annual operating plan (budget); provides both service and control.

  • Accounting Services Bureau–has primary responsibility for preparation of the quarterly (interim) and annual financial statements, as well as maintenance of the accounts receivable and payable; provides both service and control.

  • System Design Bureau–has primary responsibilities in conducting the annual physical inventory, accounting systems design, system table maintenance, and providing technical support to the Accounting Services Bureau.

11040.10.2 Procurement and Business Services Branch

• The Procurement and Business Services Branch serves as the focal point for all purchasing and business services functions within CALPIACalifornia Prison Industry Authority (formerly PIA) field enterprises and headquarters.

11040.10.3 Human Resources Branch

• The Human Resources Branch provides the full range of personnel and training related services to CALPIACalifornia Prison Industry Authority (formerly PIA) employees. Primary functions include:

  • Classification.

  • Recruitment.

  • Examination and selection.

  • Pay, payroll, and transactions for headquarters only.

  • Training.

  • Labor relations.

11040.10.4 Management Analysis Unit

• The Management Analysis Unit provides analytical support in the areas of legislation, program analysis, public relations, and other miscellaneous analytical projects as needed.

11040.11 Operations Division

• The Operations Division provides:

  • Direction for the operation of CALPIACalifornia Prison Industry Authority (formerly PIA) production facilities throughout the State and for the development and implementation of new/expanded enterprises.

  • Carries out the policies of the PIBPrison Industry Board.

  • Directs and oversees research and analyses of existing operations.

  • Maintains positive working relations with Wardens.

  • Develops and implements safety and training programs for field operations.

• The division works directly with all offices within CALPIACalifornia Prison Industry Authority (formerly PIA) and relevant outside agencies/organizations as listed in the DOMDepartment Operations Manual 11040.10.

11040.11.1 Operations Branches

• The four operations branches provide a headquarters’ overview with technical assistance to CALPIACalifornia Prison Industry Authority (formerly PIA) manufacturing, agricultural, and service enterprises in its facilities. The operations branches also ensure consistency of operations between similar factories and operating policies and practices of the factories, with the goals and objectives of CALPIACalifornia Prison Industry Authority (formerly PIA). The four operations branches provide technical expertise in various areas and exercise a major role in the planning and design of new products, equipment, and facilities. The four branches and their areas of expertise are:

  • Wood/Metal Products Branch. The branch provides technical expertise in wood and metal products, general fabrication, textile mill, and engineering.

  • Soft Goods Branch. The branch provides technical expertise in fabric products, knitting mill, shoes, fiberglass, mattress and bedding, and precast concrete products.

  • Service and Consumables Branch. This branch provides technical expertise in laundry, detergent products, coffee, bakery, poultry, eggs, swine, meat processing, dairy, farm, and transportation.

  • Activation Branch. This branch coordinates the onsite implementation of new CALPIACalifornia Prison Industry Authority (formerly PIA) enterprises at facilities statewide. The branch also provides technical expertise in optical, dental, printing, bindery, paper products, micrographics, and key data entry.

11040.11.2 Product Design and Development Unit

• The Product Design and Development Unit works directly with facility production staff, Headquarters Prison Industries Managers, and sales representatives in providing plans and specifications for new and existing products.

11040.11.3 Master Production Scheduler

• The Master Production Scheduler provides overall production scheduling of CALPIACalifornia Prison Industry Authority (formerly PIA)’s manufacturing, agricultural, and service enterprises by managing the master production schedule.

11040.11.4 Lead Production Staff

• The following levels of staff administer operations at the facilities listed below:

  Level of Lead	Staff Facility
  Superintendent II	SCCSierra Conservation Center
  Prison Industries Manager	PBSPPelican Bay State Prison CVSPChuckawalla Valley State Prison NCWF CCWFCentral California Women's Facility CALCalipatria State Prison LACCalifornia State Prison, Los Angeles County
  Prison Industries Administrator CCICalifornia Correctional Institution	CTFCorrectional Training Facility CIMCalifornia Institution for Men CIWCalifornia Institution for Women DVIDeuel Vocational Institution FSPFolsom State Prison SACCalifornia State Prison, Sacramento CMCCalifornia Men's Colony SOLCalifornia State Prison, Solano or Statute of Limitations SQCalifornia State Prison, San Quentin RJDRichard J. Donovan Correctional Facility at Rock Mountain ASPAvenal State Prison CENCentinela State Prison CORCalifornia State Prison, Corcoran WSPWasco State Prison MCSPMule Creek State Prison

11040.12.1 New Products/ Construction Development Unit

• This unit conducts the research and development activities related to determining the feasibility of waste management programs within specific jurisdictions. It plans and designs the physical plant based on customer need, and represents CDCRCalifornia Department of Corrections and Rehabilitation in educating municipalities on CALPIACalifornia Prison Industry Authority (formerly PIA)’s CRRF program.

11040.12.2 Operations Unit

• Achieves the start up and ongoing operation of the CRRF’s and secondary manufacturing through the recruitment and hiring of free staff and inmates, the establishment of operational and management reporting procedures, and negotiation of recyclable commodities contracts.

11040.12. Waste Management Division

• The Waste Management Division plans, researches, designs, constructs, and operates Correctional Resource Recovery Facilities (CRRF) and secondary manufacturing enterprises at various correctional facilities (State prisons, return-to-custody facilities, and local jails) throughout the State.

11040.13 Marketing Division

• Provides oversight for the Marketing and Sales program including marketing and sales activities, pricing, customer services, promotions, and research.

11040.13.1 Marketing Services Branch

• The Marketing Services Branch is a service-oriented operation that provides product pricing and related support, promotional materials, and maintenance and market research services.

11040.13.2 Sales Branch

• The role of the Sales Branch is to generate sales revenue, build market share, increase market base, build volume, develop sales outlets, provide consultation to public agencies for all CALPIACalifornia Prison Industry Authority (formerly PIA) products and services, and promote special buying opportunities and new products.

11040.13.3 Customer Services Branch

• The Customer Services Branch processes all incoming purchase orders and provides liaison between the customer, CALPIACalifornia Prison Industry Authority (formerly PIA) operations, and the facility factories as well as enhances public relations.

11040.14 Data Management and Information Systems Division

• The Data Management and Information Systems Division directs the implementation and operation of an automated manufacturing and accounting planning system that provides CALPIACalifornia Prison Industry Authority (formerly PIA) with current information on manufacturing. The unit also provides EDPElectronic Data Processing (see IT) services in support of the CALPIACalifornia Prison Industry Authority (formerly PIA) programs and works on the application and development of new projects while maintaining ongoing systems.

11040.15 Inmate Labor

• Each inmate who is engaged in productive work under a CALPIACalifornia Prison Industry Authority (formerly PIA) program shall receive pay as compensation.

• Compensation schedules shall be determined by CALPIACalifornia Prison Industry Authority (formerly PIA) and all compensation shall be credited to inmates’ accounts.

• All timekeeping shall be the responsibility of work supervisors and shall be in accordance with inmate work incentive policies and departmental procedures.

• Inmates new to CALPIACalifornia Prison Industry Authority (formerly PIA) or being assigned to a new job shall be trained on the job by a lead person (inmate) and/or a factory supervisor.

• No employee or inmate shall sell or offer for sale any article manufactured by inmates or other prison labor, except sale of articles that is specifically sanctioned by law.

11040.15.1 Prison Industries Inmate Pay

• Pay schedules, work classifications, position requirements, and other features of the Prison Industry Inmate Pay Plan are provided in DOMDepartment Operations Manual 51120.

11040.16 Purchases

• All divisions and facilities under the Director shall purchase CALPIACalifornia Prison Industry Authority (formerly PIA) standard and custom products in every category and of every type required for departmental use.

• CALPIACalifornia Prison Industry Authority (formerly PIA) shall keep the divisions and facilities informed of the availability of new products, and categories of products that can be provided on a special order basis. No purchase estimates shall be drawn to specify commercial products when CALPIACalifornia Prison Industry Authority (formerly PIA) can furnish a product in the commodity category. CALPIACalifornia Prison Industry Authority (formerly PIA) shall be guided, whenever feasible, in the development of new products and redesign of existing products by criteria that shall make them the most suitable for departmental use.

• Any unresolved differences between the using division or facility and CALPIACalifornia Prison Industry Authority (formerly PIA) as to the adequacy of a CALPIACalifornia Prison Industry Authority (formerly PIA) product proposed for a given use shall be referred to the General Manager, CALPIACalifornia Prison Industry Authority (formerly PIA), for decision before any purchase may be made from outside sources.

• Divisions and facilities shall keep CALPIACalifornia Prison Industry Authority (formerly PIA) advised of large and unusual requirements far enough in advance, in order to permit production and delivery in time to meet departmental needs.

11040.17 CALPIA Safety Committee

• Each facility that operates one or more CALPIACalifornia Prison Industry Authority (formerly PIA) enterprises shall establish a CALPIACalifornia Prison Industry Authority (formerly PIA) Safety Committee. It shall be noted that inmates employed by CALPIACalifornia Prison Industry Authority (formerly PIA) are considered “employees” for purposes of the California Occupational Safety and Health Act (CAL-OSHACalifornia Occupational Safety and Health Act) 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 DOMDepartment Operations Manual 54100.

11040.18 Land Acquisition, Construction, Maintenance, Repairs, and Replacements

• Distribution of costs for buildings, grounds and roads, equipment and machinery, irrigation and water control, utilities, and land acquisition and construction/alterations is shown in.

11040.19 Revisions

• The General Manager, CALPIACalifornia Prison Industry Authority (formerly PIA), or designee shall be responsible for ensuring that the contents of this article are kept current and accurate.

11040.20 References

• SAMState Administrative Manual §§ 3505 and 3672.

• PCPenal Code §§ 2800 – 2818.

• ACAAmerican Correctional Association Standards 2-4412 – 2-4417.

• DOMDepartment Operations Manual §§ 51120, 54100.

• CAL-OSHACalifornia Occupational Safety and Health Act.

11050.1 Policy

• When emergency situations occur, every reasonable effort shall be made to:

  • Ensure the safety and protection of employees.

  • Preserve the organizational structure.

  • Provide for immediate resumption of essential departmental functions.

11050.2 Purpose

• This section establishes specific steps to be followed in the event of various emergency situations occurring within Headquarters, regional parole offices, and field offices. Provisions for emergency preparedness and employee protection in institutions are found in DOMDepartment Operations Manual 55010 of this manual.

11050.3 Emergency Organization

• Once the emergency plan has been activated, all emergency operations shall be directed by a predetermined command center (Command Center for Headquarters is located in the building manager’s office).

• The Command Center shall be manned by the emergency coordinator and staff who direct the operation of designated emergency floor personnel. These emergency floor personnel may include:

  • Floor Wardens and alternates.

  • Zone/area monitors and search personnel.

  • Stairway monitors.

  • Elevator monitors.

  • Handicapped persons monitors.

  • First-aid personnel.

• A complete roster of building emergency personnel is located in building emergency directories that shall be posted on each floor. This directory also includes floor plans and designated evacuation routes.

11050.4 Responsibility

• In the event of an emergency, designated employees have been assigned specific duties to be performed.

11050.4.1 CHP

• SAMState Administrative Manual 2601 through 2667 outlines procedures to be used by CHPCalifornia Highway Patrol when responding to emergency situations in state facilities. In geographical areas where services of CHPCalifornia Highway Patrol are not available, emergency action shall be coordinated with local law enforcement agencies.

11050.4.2 Managers/ Supervisors

• Managers and supervisors shall:

  • Ensure that all employees possess a general knowledge of emergency procedures.

  • Assign an emergency coordinator for each facility and office.

11050.4.3 Departmental Emergency Coordinator

• The Chief, Emergency Operations, who serves as the Departmental Emergency Coordinator, shall:

  • Prepare emergency plans, to include assisting in the preparation of plans for each subordinate facility and/or field office.

  • Ensure the submission of all departmental facilities and/or field office emergency plans to the CHPCalifornia Highway Patrol every two years.

  • Submit an emergency plan to the CHPCalifornia Highway Patrol within 60 days upon relocation or occupancy of new departmental facilities/field offices.

11050.4.4 Regional Parole Emergency Coordinators

• Regional parole emergency coordinators shall:

  • Assist each RPARegional Parole Administrator in selection of emergency coordinators and alternates for each subordinate facility or field office.

  • Ensure that relocated, new, or substantially modified facilities and field offices submit emergency/employee protection plans in a timely manner.

  • Ensure that all regional facilities and field offices maintain updated plans.

  • Retain one copy of each plan.

11050.4.5 Emergency Coordinators

• Emergency coordinators shall:

  • Coordinate the formulation and execution of emergency plans.

  • Coordinate the selection, training and organization of adequate staff for conducting emergency operations.

  • Direct and supervise the activities of building occupants during an emergency, and immediately following.

  • Determine evacuation sites.

  • Determine if, and/or when, employees may reenter the building.

  • Assure that emergency directories are maintained and available to all employees.

11050.4.6 Alternate Coordinators

• Alternate emergency coordinators shall serve as principal assistants to the emergency coordinators and act in that capacity in the absence of the coordinator.

11050.4.7 Floor Wardens

• The floor Wardens report to the emergency coordinator and are in charge of the zone/area monitors, stairway monitors, handicapped persons monitors, first-aid personnel, and search personnel on their respective floors. They shall ensure:

  • The safety of all occupants on their floors.

  • Floor emergency personnel are designated and properly trained to perform their function safely and efficiently.

11050.4.8 Alternate Floor Wardens

• Alternate floor Wardens shall serve as principal assistants to the floor Wardens and act in that capacity, in the absence of the floor Wardens.

11050.4.9 Zone/Area Monitors and Search Personnel

• Zone/area and search personnel shall:

  • Oversee the occupant search and report the results to the respective floor Wardens.

  • Report any unsafe conditions or suspicious findings to the state/local police and emergency coordinator.

  • Be the last person to leave their assigned area in the event of evacuation.

11050.4.10 Stairway Monitors

• Stairway monitors shall:

  • Regulate and expedite the orderly movement and flow of employees.

  • Direct personnel to alternate stairways, if designated stairway is unsafe.

11050.4.11 Elevator Monitors

• Elevator monitors respond to assigned elevators allowing only designated officials (i.e., police and firefighters) to use elevators during an emergency. The elevator monitors shall remain at the elevators until released by the zone/area monitors.

11050.4.12 Handicapped Persons Monitors

• Handicapped persons monitors assist handicapped employees during emergencies. A monitor shall be assigned to each physically handicapped person.

11050.4.13 First‑Aid Personnel

• Trained first-aid personnel shall administer first aid when necessary.

11050.5 Emergency Notification

• During all emergency situations, employees shall immediately notify the CHPCalifornia Highway Patrol or local law enforcement agency using the emergency numbers. The CHPCalifornia Highway Patrol, in turn, use their “hot line” for contact with the fire department, ambulance service, etc.

• Immediately after reporting the emergency to the CHPCalifornia Highway Patrol, employees shall notify the emergency coordinator.

  • This notification shall enable the coordinator to activate the building emergency plan. The employee making contact with the emergency coordinator shall inform the coordinator that the state/local police had been notified.

11050.6 After Hours/Holiday Notification

• In the event of an emergency during evenings, weekends, or holidays, employees shall notify the state/local police using emergency numbers.

• If evacuation becomes necessary during these hours, the state/local police shall act as floor Wardens and shall inform employees to evacuate. Employees shall follow the same designated evacuation routes as outlined in the emergency directory.

11050.7 Evacuation

• When evacuation is necessary as determined by the state/local police or emergency coordinator:

  • Employees shall leave the building immediately by the nearest designated exit.

  • Bulletin boards contain maps of these exits.

  • Emergency personnel shall be available to direct employees and ensure that all instructions are carried out.

  • Evacuation of handicapped personnel shall be given highest priority in any emergency.

  • Employees shall walk, remain quiet, use handrails, and follow any other emergency instructions.

  • Women shall remove high heels.

  • Employees shall gather in designated evacuation sites no less than one-half block from the building unless otherwise instructed.

  • Following evacuation, police and other emergency personnel shall prevent entrance to the building.

  • When an emergency is over, the emergency coordinator shall advise employees if/when they may return to the building.

11050.8 Damage Control

• The emergency coordinator shall assess damage and determine if and/or what action is necessary to immediately control dangerous or potentially dangerous areas or situations. These actions may include:

  • Fire suppression and standby.

  • Disconnection of utilities and business machines.

  • Medical standby.

  • Protection or removal of flammables.

  • Venting of doors and windows.

  • Supervision of rescue and first-aid teams.

  • Erection of barriers as necessary.

  • Protection or removal of records.

  • Identification and protection of hazardous substance exposure.

11050.9 Medical Emergencies

• In the event of serious illness or injury, employees shall:

  • Notify the State/local police and emergency coordinator. The CHPCalifornia Highway Patrol are equipped with resuscitator equipment and are trained in its use as well as trained in the area of first-aid procedures and cardio-pulmonary resuscitation. The CHPCalifornia Highway Patrol are not notified in the event of minor injury.

  • Request assistance from first-aid personnel. These individual’s names shall be posted on the emergency roster located on each floor.

  • Not move victims unless absolutely necessary.

  • Initiate first-aid action as deemed necessary.

  • Arrange for injured employee, if necessary, to report to hospital emergency room.

• If physician services are necessary, employees may contact their own doctor.

11050.10 Fire

• In the event of a fire, employee(s) shall notify the CHPCalifornia Highway Patrol who in turn notify the fire department. Where CHPCalifornia Highway Patrol are not available, the local fire department shall be directly notified.

• If fire is easily extinguishable, all attempts shall be made to put it out by using the hand fire extinguishers. Floor Wardens shall be oriented with the fire fighting equipment available on their respective floors.

• If deemed necessary, evacuation of the hazardous area shall be initiated and the emergency coordinator advised of the evacuation immediately.

• Elevators shall not be used during evacuation.

• Employees shall ensure that all doors leading to the main hallways from all offices are closed in order to prevent fire from spreading.

11050.11 Explosions

• In the event of explosions, employees shall take cover under tables, desks, or other similar objects that will offer protection against flying glass or debris.

• After the effects of explosion have subsided, the police and the emergency coordinator shall determine if evacuation is necessary.

11050.12 Demonstrations

• In the event of demonstration inside or outside, employees shall remain inside the building and conduct business as usual.

• Employees shall not get involved in the demonstration, thus becoming a part of the problem.

11050.13 Earthquakes

• In the event of an earthquake, employees shall:

  • Remain in the building.

  • Seek shelter under tables, desks, doorways, and similar places.

  • Avoid overhead fixtures, windows, skylights, filing cabinets, book cases, or other items which could become falling or flying objects.

  • Remain calm and wait for instructions from emergency personnel.

• Ordered Evacuation

  • If evacuation is ordered, everyone shall:

    • Evacuate as directed.

    • Be aware of falling debris or electrical wires.

    • Take precautions against possible aftershocks.

    • Proceed to evacuation area and follow all instructions.

11050.14 Bomb Threats

• In the event of a bomb threat, specific actions shall be taken depending upon the type of threat received.

11050.14.1 Bomb Threats (Phone)

• Employees receiving a bomb threat by phone shall:

  • Ask when bomb is scheduled to explode.

  • Ask the location of bomb.

  • Ask what it looks like.

  • Ask reason for placing bomb.

  • Keep caller on line as long as possible.

  • Record following information:

    • Date and time of call.

    • An estimate of age, sex, race, child, or adult.

    • Exact words of caller.

    • Speech pattern, i.e., accent.

    • Background noises.

11050.14.2 Bomb Threats (Mail)

• Employees receiving a bomb threat by mail shall:

  • Not handle the letter, envelope, or package.

  • Notify the emergency coordinator and state/local police.

• Emergency coordinator shall preserve the evidence for law enforcement officials.

11050.14.3 Bomb Search

• The safest method for handling a bomb threat is to institute an immediate and thorough search. During the search, employees are only looking for objects that do not belong in a specific area.

• Occupant Search

  • Occupant search is initiated by the command center and relayed by telephone to floor Wardens. This process involves a search by all building employees of their immediate work areas. Results of search shall be reported to floor Wardens.

  • Employees assigned to search teams shall search all public and common use areas to include lobbies, restrooms, hallways, stairwells, storage rooms, and evacuation routes. They too shall report their findings to the respective floor Wardens.

  • Floor Wardens shall in turn report findings to the emergency coordinator.

  • The CHPCalifornia Highway Patrol or local law enforcement agencies shall assist in all areas of the search as necessary.

11050.15 Suspicious Objects

• Explosives can be packaged in a variety of containers, but in most cases are camouflaged. The container is likely to be a common article such as a shoe or cigar box, grocery bag, airline flight bag, athletic bag, suitcase, attaché/brief case, etc. Prior to a search, employees shall be informed to look for the unusual, or something that appears out of place.

  • It is imperative that someone who is familiar with a specific area assist in the search of that area so that unusual or alien objects are immediately recognized. Anything that does not belong, or whose presence cannot be adequately explained, shall be considered a suspicious object.

• Once a suspicious object is located, it shall not be touched, moved, or disturbed. The employee that discovers the object shall:

  • Obtain a good description of the object, i.e., floor, room number, area of room.

  • Notify emergency coordinator of findings and obtain further instructions.

  • Begin clearing all occupants from immediate vicinity and clear area directly above and below the object.

  • When feasible, remove flammables from the affected area and ensure that fuel lines are turned off.

  • Cordon off the area to prevent reentry.

• The emergency coordinator shall notify the bomb squad if the CHPCalifornia Highway Patrol or local police agency is not present to do so.

11050.16 Nuclear Threat

• In the event of blackmail, threats, or attacks involving radioactive materials or nuclear weapons, employees shall:

  • Immediately report these threats to the state/local police who in turn notify the local Federal Bureau of Investigation (FBIFederal Bureau of Investigation) office.

  • Notify the emergency coordinator.

  • Follow directions contained in any threats in order to assist law enforcement officials in locating objects or materials.

• If a suspicious object is located, refer to DOMDepartment Operations Manual 11050.15 of this manual.

11050.17 Enemy Attack

• Signals emitted by civil defense intended as a warning of impending enemy attack are sounded by sirens.

  • Alert signal is a steady blast or tone, three to five minutes in length, signifying that essential emergency information is about to be broadcast.

    • If evacuation is necessary, employees shall evacuate according to the instructions of emergency personnel.

    • Employees shall take personal belongings and possessions with them when leaving work stations.

  • Attack signal is a wailing tone or a series of short blasts for three to five minutes signifying that an actual attack against the country has been detected. Employees shall:

    • Seek cover under tables, desks, or any large objects which offer protection against flying debris; or

    • Remain against the wall nearest a window for protection,

    • Remain under cover, or in a shelter, until otherwise notified by emergency personnel.

11050.18 Revisions

• The Deputy Director, Institutions Division, or designee, shall ensure that the content of this section is accurate and current.

11050.19 References

• GCGovernment Code Title 2, Division 1, Chapter 7.

• SAMState Administrative Manual §§ 2660 – 2667.

• CCRCalifornia Code of Regulations (15) (3) § 3302.

• ACAAmerican Correctional Association Standards 2-4168, 2-2102, 2-4172, 2-2103.

12010.1 Policy

• The Regulation and Policy Management Branch (RPMBRegulation and Policy Management Branch) provides guidance and support to Department staff in order to achieve the Department’s regulation and policy goals and comply with statutory requirements.

• RPMBRegulation and Policy Management Branch does as follows:

  • On behalf of the Secretary, facilitates and manages the revision, publication, distribution, and archiving of the regulations in California Code of Regulations (CCRCalifornia Code of Regulations), Title 15, Division 3, Chapter 1 (Title 15) and the statewide operational policies in the Department Operations Manual (DOMDepartment Operations Manual). Partners with Department programs that have the responsibility for and the subject matter expertise pertaining to the content of proposed regulations and policies, providing advice and assistance to ensure that regulations are adopted in accordance with the Administrative Procedure Act (APAAdministrative Procedure Act) (Government Code [GCGovernment Code] Section 11340, et seq.), which contains requirements and timeframes for the public adoption of regulations, and that policies have the legal authority to be administratively enforceable.

  • Ensures that proposed regulations and policies do not conflict with existing laws and are vetted by Department stakeholders that are impacted by the changes proposed.

  • Acts as custodian of the Restricted Department Operations Manual (R-DOMDepartment Operations Manual), which consists of DOMDepartment Operations Manual sections within the 55000 sequence and contains the Department’s most sensitive tactical and law enforcement policies. All revisions to these policies are managed through the Statewide R-DOMDepartment Operations Manual coordinators.

  • Works with programs to develop Instructional Memorandums (IMs) and Informational Bulletins.

  • Works with the Office of Administrative Law (OALOffice of Administrative Law) to file rulemaking packages, issues public notices regarding regulation changes that are published in the California Regulatory Notice Register, and manages the public phase of the Department’s rulemaking actions.

  • Manages the development and revision of Department forms to ensure compliance with GCGovernment Code Section 14772 and Department regulations and policies. Maintains the California Department of Corrections and Rehabilitation (CDCRCalifornia Department of Corrections and Rehabilitation) Forms Portal, acts as the forms liaison with other State agencies, and coordinates the printing of Department forms.

  • Maintains a Department rulemaking library that includes topical, historical, and background files for past regulation and policy revisions, forms revisions, petitions for determination of underground regulations, and Informational Bulletins.

  • Maintains Department webpages that include links to pending regulations and recently adopted regulations and policies.

• The Health Care Regulations and Policy Section (RPSRelease Program Study) of California Correctional Health Care Services (CCHCS) provides guidance and support to Department staff in order to achieve the Department’s regulation and policy goals as they pertain to health care. RPSRelease Program Study manages the amendment and adoption of the regulations in CCRCalifornia Code of Regulations, Title 15, Division 3, Chapter 2 as well as the statewide operational policies pertaining to health care in the Health Care Department Operations Manual. RPSRelease Program Study also manages the development and revision of Department forms pertaining to health care.

• All documents submitted to RPMBRegulation and Policy Management Branch must be accessible in compliance with the Americans with Disabilities Act. Additionally, RPMBRegulation and Policy Management Branch does not accept documents where edits have been made using the “Track Changes” feature in Microsoft Word, or scanned documents.

12010.2 Purpose

• This article describes RPMBRegulation and Policy Management Branch’s responsibilities, project processes, and statutory obligations, and provides a systematic approach for collaborative partnerships with Department staff for the purposes of project development, review, approval, and dissemination.

12010.3 Annual Rulemaking Calendar

• RPMBRegulation and Policy Management Branch is responsible for preparing the Annual Rulemaking Calendar, which covers all regulatory actions that may be filed in the upcoming calendar year regarding adult institutions, programs, parole, and health care, in accordance with the requirements of GCGovernment Code Section 11017.6. RPMBRegulation and Policy Management Branch ensures the timely submission of the Annual Rulemaking Calendar to OALOffice of Administrative Law.

12010.4 Regulations – Title 15

• Penal Code (PCPenal Code) Section 5058 authorizes the Secretary to prescribe and amend regulations for the administration of State prisons and parole.

• OALOffice of Administrative Law is the control agency responsible for reviewing Department regulations to ensure compliance with the rulemaking requirements of the APAAdministrative Procedure Act. Once regulations are adopted through OALOffice of Administrative Law, they have the force of law.

• RPMBRegulation and Policy Management Branch is the point of contact within the Department for advice and assistance regarding the adoption, amendment, or repeal of regulations in the Title 15.

• Upon the receipt and acceptance of a regulation project, the assigned RPMBRegulation and Policy Management Branch Project Manager provides technical assistance to program staff throughout the rulemaking process.

12010.4.1 Printed and Electronic Versions of the Title 15

• PCPenal Code Section 2080 states, “A copy of the rules and regulations prescribing the duties and obligations of prisoners shall be furnished to each prisoner in a state prison or other facility under the jurisdiction of the Department of Corrections.”

• CCRCalifornia Code of Regulations Section 3002(a) states, “Within 14 days of reception by the Department of Corrections and Rehabilitation or upon return to confinement in a departmental institution or facility, every inmate or parolee shall be issued a copy of the Rules and Regulations of the Secretary of Corrections and Rehabilitation and copies of all rule changes that have occurred since the last complete reprinting and reissue of the rules and regulations.”

• To meet the requirements of PCPenal Code Section 2802 and CCRCalifornia Code of Regulations Section 3002(a), RPMBRegulation and Policy Management Branch organizes and oversees the annual publication and distribution of printed copies of the Title 15 to institutions, facilities, and offices, with the distribution being based on the estimated needs for a one-year period.

• RPMBRegulation and Policy Management Branch posts the electronic version of the Title 15 on the Department’s websites, where it is available to the public and to Department staff.

• CCRCalifornia Code of Regulations Section 3002(a)(1) states, “Spanish language copies of the rules and regulations of the Secretary shall be maintained at each reception center, institution and facility where inmates are confined. Notice shall be given in Spanish that a Spanish version of the rules is available for inspection. These rules shall be made available for review by Spanish speaking inmates who cannot read English.”

• To meet the requirements of CCRCalifornia Code of Regulations Section 3002(a)(1), RPMBRegulation and Policy Management Branch annually distributes 50 printed copies of the Spanish translation of the Title 15 to each institution and facility.

• A Rules Coordinator is a staff person at an institution, facility or office who is responsible for the ordering, receipt, storage, and distribution of printed copies of the Title 15.

12010.4.2 Underground Regulations

• GCGovernment Code Section 11342.600 defines a “regulation” as “every rule, regulation, order, or standard of general application or the amendment, supplement, or revision of any rule, regulation, order, or standard adopted by any state agency to implement, interpret, or make specific the law enforced or administered by it, or to govern its procedure.”

• GCGovernment Code Section 11340.5(a) states, “No state agency shall issue, utilize, enforce, or attempt to enforce any guideline, criterion, bulletin, manual, instruction, order, standard of general application, or other rule, which is a regulation as defined in Section 11342.600, unless the guideline, criterion, bulletin, manual, instruction, order, standard of general application, or other rule has been adopted as a regulation and filed with the Secretary of State…”

• A rule, order, or standard of general application of the Department that meets the definition of a regulation and is being enforced by the Department without having been adopted into the CCRCalifornia Code of Regulations is commonly called an “underground regulation” and may be determined to be invalid by a court.

• In 1991, the Fifth District Court of Appeals ruled that the DOMDepartment Operations Manual was largely comprised of underground regulations. The Court ordered the Department to cease enforcing those DOMDepartment Operations Manual provisions that were regulatory and to adopt them properly as regulations pursuant to the APAAdministrative Procedure Act.

• RPMBRegulation and Policy Management Branch was tasked with reviewing the entire DOMDepartment Operations Manual for regulatory impact, and as a result, most of the sections therein had to either be rewritten to make them non-regulatory or be properly adopted through the APAAdministrative Procedure Act process into the Title 15.

• Implicit in the Court’s ruling was that the Department must adhere to the APAAdministrative Procedure Act when issuing any new or modified directives that are regulatory in nature before those directives are in operational effect.

12010.4.3 Regulatory Tests

• The regulatory tests were established by the Office of Legal Affairs (OLAOffice of Legal Affairs) as a result of the court ruling noted in Section 12010.4.3 above.

• 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:

  • Implements, interprets, or makes specific the provisions of statutes, case laws, or the regulations of other agencies.

  • 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.

  • Imposes a standard of required behavior with stated or implied consequences for noncompliance, e.g., inmate discipline and staff conduct.

  • 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.

  • 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.

  • Requires fair and timely staff response (due process), e.g., classification committees and review of inmate appeals.

  • Establishes entitlements (rights), e.g., inmates’ access to the courts and to religious programs.

12010.5 Petitions from the Public Regarding Regulations

• There are two types of petitions in the Administrative Procedure Act:

  • Petition for Rulemaking GCGovernment Code Sections 11340.6 and 11340.7 permit a member of the public to submit a petition directly to the Department requesting the adoption, amendment, or repeal of regulations. The Department must formally respond to the petitioner within 30 days and the Department’s response is published in the California Regulatory Notice Register.

  • Petition Alleging an Underground Regulation GCGovernment Code Section 11340.5(b) permits a member of the public to submit a petition to OALOffice of Administrative Law alleging that a Department policy is an underground regulation and must be promulgated in accordance with the APAAdministrative Procedure Act. OALOffice of Administrative Law conducts a review and makes a determination in accordance with CCRCalifornia Code of Regulations, Title 1, Division 1, Chapter 2, Section 270.

12010.6 Regulation Revisions and Emergency Regulation Requests

• Regulation revisions are the responsibility of the Director, Assistant Secretary, Deputy Director, or other executive whose functional area administers the specific regulation. 

• Pursuant to Penal Code (PCPenal Code) section 5058.3, department may implement emergency regulations when the operational necessity is certified by the department’s rulemaking authority. While the emergency regulations are in effect, the department is required to complete the rulemaking process, including the public comment period. 

  • The purpose of emergency regulations is to implement regulations prior to the commencement of the public comment period. Emergency regulations are effective for 160 days, which permits the department to complete the rulemaking process, including the public comment period and hearing process. 

  • An emergency rulemaking project should only be requested when current circumstances justify its use. 

12010.6.1 Project Submittal Instructions – Regulations

• The Regulation Development Guide provides detailed instructions regarding the development and submittal of regulation projects to RPMBRegulation and Policy Management Branch. 

• Emergency rulemaking projects require approval at the Secretary or Undersecretary level before RPMBRegulation and Policy Management Branch will process the project. RPMBRegulation and Policy Management Branch’s initial review timeframe of an emergency rulemaking project package is 30-45 calendar days, depending on the scope of work, in order to ensure all Administrative Procedure Act (APAAdministrative Procedure Act) requirements are met. 

• In addition to the documents listed in the Regulation Development Guide, the following information and documents shall be submitted to RPMBRegulation and Policy Management Branch when requesting assistance with emergency rulemaking projects. For templates and samples of the required documents, visit RPMBRegulation and Policy Management Branch’s Program Resources web page. 

  • Written approval from the Secretary or Undersecretary authorizing the emergency request. 

  • Certificate of Operational Necessity. 

  • STDStandard Form (DGS). Form 399, Economic and Fiscal Impact Statement. 

  • A list of stakeholders that shall review the proposed regulations—an exemption from this requirement shall only be authorized by the appropriate Undersecretary. 

  • Finding of Emergency if the Initial Statement of Reasons has not been completed. 

  • Items incorporated by reference, such as forms, schedules, indexes, or matrices shall be submitted with the emergency regulation package—if a new or revised CDCRCalifornia Department of Corrections and Rehabilitation form is incorporated, RPMBRegulation and Policy Management Branch shall review and approve such forms prior to project submission. 

  • Regulation text in underline (for new text) and strikethrough (for deleted text) format. RPMBRegulation and Policy Management Branch does not accept regulation text in track changes. 

12010.6.2 Project Timeline for the Regulation and Policy Management Branch

• The Secretary or Undersecretary shall authorize emergency regulation projects prior to submission of the project.  

• Within 45 calendar days of receipt of a complete emergency or nonemergency regulation project package, the RPMBRegulation and Policy Management Branch project manager shall review the project and provide written feedback to the program project manager, including, if appropriate, suggestions for correcting identified issues. 

• If an emergency rulemaking action requests a specific effective date, RPMBRegulation and Policy Management Branch’s involvement in early project development is recommended to avoid late or incomplete project submission. 

12010.6.3 Preliminary Review by the Office of Legal Affairs

• RPMBRegulation and Policy Management Branch shall forwards the project documents to the Office of Legal Affairs (OLAOffice of Legal Affairs) for a determination of any legal concerns. OLAOffice of Legal Affairs’s review is concurrent with the RPMBRegulation and Policy Management Branch project manager’s review. 

• If OLAOffice of Legal Affairs identifies any legal issues, RPMBRegulation and Policy Management Branch shall suspend further action on the project until OLAOffice of Legal Affairs specifies the project can move forward. 

12010.6.4 Stakeholder Reviews

• The RPMBRegulation and Policy Management Branch project manager shall coordinate stakeholder reviews for regulation and policy projects. Requests for stakeholder reviews are sent to the affected programs with a response due date.

  • The program project manager shall specify the level of stakeholder review: 

    • Level 1 Priority – One calendar week.

      • This timeframe shall only be used when the department is required to meet external time constraints (e.g., court deadlines, legislative mandates, or the Governor’s executive orders). A justification of such time constraints shall be included in the project submittal. 

      • Emergency regulations are always a Level 1 Priority review. 

    • Level 2 Standard – Two calendar weeks. 

12010.6.4.1 Stakeholder Extension Requests

• Stakeholders shall request an extension and provide a justification for the extension on or prior to the response due date. The program project manager may approve the extension. 

• Stakeholder extension requests shall not be granted for emergency regulations except for the Office of Legal Affairs (OLAOffice of Legal Affairs). If the OLAOffice of Legal Affairs determines additional time is necessary, the program shall approve the request for extension and the appropriate Undersecretary shall be notified. 

12010.6.4.2 Resolving Stakeholder Disagreements

• It is the prerogative of the program that initiated the proposed regulations to accept or decline a stakeholder’s suggested or recommended changes to the proposed regulations. If necessary, the program shall contact the stakeholder that has suggested or recommended the changes and negotiate an agreed-upon text. If the text cannot be agreed upon, the outstanding issues shall be raised in writing or in a decision meeting with the Undersecretary or equivalent executive over the program.

• The Program Project Manager is responsible for providing RPMBRegulation and Policy Management Branch with:

  • Revised text incorporating accepted stakeholder recommendations.

  • Documentation of the reasons for rejection of any stakeholder suggestions.

12010.6.4.3 Unresponsive Stakeholders and Assumed Concurrence

• If a stakeholder does not submit its response by the due date, the RPMBRegulation and Policy Management Branch Project Manager shall provide one courtesy reminder to the stakeholder. If the stakeholder is unresponsive or does not meet the approved extension timeframe, the program may assume concurrence from the unresponsive stakeholder.

• If an unresponsive stakeholder subsequently raises an objection after the program has elected to assume concurrence, the stakeholder must raise the objection with the Director, Assistant Secretary, Deputy Director, or other executive over the program.

12010.6.5 Executive Approval

• The RPMBRegulation and Policy Management Branch Project Manager shall assemble an executive approval folder containing the proposed regulations and route the folder through program executives to the Undersecretary over the program for signature approval.

• The signature of the Secretary or an authorized rulemaking delegate (one of the Undersecretaries) is required. Signing on behalf of the Secretary or delegate is forbidden by the APAAdministrative Procedure Act.

12010.6.6 Notices of Action

• GCGovernment Code Section 11346.36(c) states, “…the department shall convene a public hearing or hearings and take public comment on any draft regulation. Representatives from state agencies and the public at large shall be afforded the opportunity to review and comment on the draft regulation before the regulation is adopted in final form.”

• The RPMBRegulation and Policy Management Branch Project Manager does as follows:

  • Prepares a Notice of Proposed Action (Notice) for the purpose of beginning the public process.

  • Files the Notice with OALOffice of Administrative Law for publication in the California Regulatory Notice Register.

  • Ensures the posting of a Notice of Change to Regulations (NCRNotice of Change to Regulations) on the Department’s websites, the emailing of the NCRNotice of Change to Regulations to Department staff statewide, and the mailing of printed copies of the NCRNotice of Change to Regulations to persons who have requested to be placed on RPMBRegulation and Policy Management Branch and RPSRelease Program Study’s mailing list pursuant to the APAAdministrative Procedure Act.

12010.6.7 Notice of Change to Regulations – Institutional Posting

• PCPenal Code Section 5058(a) establishes a duty for the Department to post copies of proposed regulations in conspicuous places throughout each institution.

• The NCRNotice of Change to Regulations shall be made available for inspection by all inmates and staff by the Rules Coordinator or designee within five calendar days of receipt of the NCRNotice of Change to Regulations. NCRs shall be posted or provided as follows:

  • Posted on staff and inmate bulletin boards.

  • Posted in inmate housing units, corridors, and other areas easily accessible to inmates.

  • Provided to inmate advisory committees and councils.

  • Provided to inmate law libraries.

  • Provided to inmate prison health facilities.

  • Provided to inmate security housing and specialized housing units.

• Within 10 calendar days of receipt, each Rules Coordinator shall complete CDCRCalifornia Department of Corrections and Rehabilitation Form 621-A, Certification of Posting and ensure that it is forwarded to RPMBRegulation and Policy Management Branch. A NCRNotice of Change to Regulations may be removed at the conclusion of the 45-day public comment period noted in the NCRNotice of Change to Regulations.

12010.6.8 Public Comments

• Written comments must be received by the close of the public comment period noted in the Notice.

• The RPMBRegulation and Policy Management Branch Project Manager shall schedule a public hearing at which persons may present verbal comments regarding the proposed regulations. All verbal comments given at the public hearing shall be recorded.

12010.6.8.1 Response to Comments

• The RPMBRegulation and Policy Management Branch Project Manager shall summarize all comments received and forward the summaries to the Program Project Manager for response.

• The Program Project Manager shall thoughtfully consider the comments and respond to each, while evaluating if the proposed regulations need to be modified as a result of issues raised in a comment.

12010.6.9 Modifications to Proposed Regulations

• A modification to proposed regulations is considered to be “sufficiently related” if the modification is reasonably foreseeable based upon the proposed regulations that were included in the Notice. Sufficiently related modifications require a Notice of Change to Text as Originally Proposed (15-Day Renotice) and an accompanying 15-day public comment period.

• If a 15-Day Renotice is necessary, the following shall be provided by the Program Project Manager:

  • Modifications to the proposed regulations that are clearly specified and shown in strikethrough and underline format.

  • The reasons that the modifications have been made.

• The RPMBRegulation and Policy Management Branch Project Manager shall prepare the 15-Day Renotice cover letter.

• The RPMBRegulation and Policy Management Branch Project Manager shall ensure the publication and posting of the 15-Day Renotice on the Department’s websites and shall send printed copies of the 15-Day Renotice to all persons who submitted a comment during the 45-day comment period, in accordance with the APAAdministrative Procedure Act. Any interested persons may submit comments specifically regarding the modifications for consideration.

• If modifications are made to emergency regulations, the modifications are not in emergency effect and will only become effective once OALOffice of Administrative Law files the final regulations with the Secretary of State.

• A public hearing is not required for a 15-Day Renotice.

• If no further modifications are necessary following the 15-day public comment period, the RPMBRegulation and Policy Management Branch Project Manager will prepare the final executive approval folder. If further modifications are necessary, a second 15-Day Renotice is required.

12010.6.10 Final Executive Approval

• The RPMBRegulation and Policy Management Branch Project Manager shall assemble a final executive approval folder containing the final proposed regulations and route the folder through program executives to the Undersecretary over the program for signature approval.

12010.6.11 Submittal of the Final Rulemaking File to Office of Administrative Law

• The RPMBRegulation and Policy Management Branch Project Manager shall submit the final rulemaking file, which contains the final proposed regulations, to OALOffice of Administrative Law.

• OALOffice of Administrative Law has 30 working days to review the final rulemaking file for compliance with the provisions of the APAAdministrative Procedure Act. Prior to the end of the review period, OALOffice of Administrative Law will contact the RPMBRegulation and Policy Management Branch Project Manager to either approve the final proposed regulations or to discuss issues that need to be corrected prior to its approval.

• If the final proposed regulations are approved, OALOffice of Administrative Law shall file the final regulations with the Secretary of State, whereupon they become permanently adopted. If issues need to be corrected prior to approval, the Program Project Manager can request a formal written disapproval from OALOffice of Administrative Law or withdraw the project. Withdrawn projects can be resubmitted to OALOffice of Administrative Law within one year of the date that the Notice was published in the California Regulatory Notice Register.

• If the final regulations are adopted, the RPMBRegulation and Policy Management Branch Project Manager shall ensure that the final rulemaking documents are posted on the Department’s websites.

12010.7 Authorized Pilot Programs

• PCPenal Code Section 5058.1 authorizes the Secretary to establish pilot programs on a temporary and limited basis. A pilot program is a program that is tested out on a limited scale for a limited period of time and that includes an evaluation component to discern the efficacy of the program before it is implemented statewide. Although pilot programs are regulatory and are printed in the official Westlaw version of the Title 15, as published by OALOffice of Administrative Law, pilot programs are exempt from the requirements of the APAAdministrative Procedure Act.

• RPMBRegulation and Policy Management Branch coordinates with the initiating program on the development and Department approval of pilot programs and submits the pilot program documents to OALOffice of Administrative Law for certification.

• Under PCPenal Code Section 5058.1, pilot programs may affect no more than 10 percent of the inmate or parolee population (e.g., female inmates, male inmates, or the total inmate population). The Secretary or an authorized rulemaking delegate must certify that the proposed pilot program meets the criteria for adoption as a pilot program as provided in PCPenal Code Section 5058.1, approve an estimate of the fiscal impact of the proposed pilot program, and approve a description of the methods by which the proposed pilot program will be evaluated.

• Pilot programs have a duration of two years and then automatically expire by operation of law. In order for a pilot program to continue beyond the two-year pilot period, regulations must be adopted into the Title 15 in accordance with the APAAdministrative Procedure Act by the end of the pilot period.

12010.7.1 Project Submittal Instructions – Pilot Programs

• Proposing a pilot program is the responsibility of the Director, Assistant Secretary, Deputy Director, or other executive whose functional area administers the subject matter of the pilot program.

• A proposed pilot program must be submitted to the Associate Director, RPMBRegulation and Policy Management Branch and must include the following:

  • The authorization of the Director, Assistant Secretary, Deputy Director, or other executive with the authority to approve the project submission along with a memorandum explaining the need for the proposed pilot program.

  • An IMInstructional Memorandum, which includes the following:

    • The purpose of the proposed pilot program.

    • The requirements for participation in the proposed pilot program.

    • The location and duration of the proposed pilot program.

    • The structure and procedures of the proposed pilot program.

    • The methods by which the proposed pilot program shall be evaluated.

    • Any new or revised CDCRCalifornia Department of Corrections and Rehabilitation forms.

    • The estimated fiscal impact of the proposed pilot program as indicated on the following forms, which must also be completed and submitted to indicate that there is no estimated fiscal impact:

    • A STDStandard Form (DGS). Form 399.

    • A CDCRCalifornia Department of Corrections and Rehabilitation Form 1150.

    • The name and telephone number of the Program Project Manager.

12010.7.2 Department Review and Approval

• The review and approval process for a proposed pilot program shall be the same as for proposed regulations (see Sections 12010.6.2 through 12010.6.5).

12010.7.3 Submittal of a Proposed Pilot Program to the Office of Administrative Law

• The RPMBRegulation and Policy Management Branch Project Manager shall submit the pilot program documents to OALOffice of Administrative Law.

• OALOffice of Administrative Law has 30 working days to review the pilot program documents. Once OALOffice of Administrative Law has approved the pilot program, OALOffice of Administrative Law shall file it with the Secretary of State, whereupon it shall become effective for two years.

• Once the pilot program is in effect, the RPMBRegulation and Policy Management Branch Project Manager shall ensure that the IMInstructional Memorandum and other applicable documents are published on the Department’s websites.

12010.8 Policies – Department Operations Manual

• The DOMDepartment Operations Manual contains the operational and administrative policies and procedures of the Department that are intended to provide necessary instructions to staff and to establish the standard and consistent statewide application thereof.

• DOMDepartment Operations Manual policies do not have the force of law; instead, they derive their authority from statutes, court orders, or regulations (the Department’s own regulations or the governing regulations of another State agency). Under a narrowly-drawn exemption within the APAAdministrative Procedure Act, DOMDepartment Operations Manual policies pertaining to “internal management” do not need to derive authority from another source.

• The legal authorities that are the foundation of a DOMDepartment Operations Manual article are cited in the “References” section at the end of that article.

12010.9 Policy Revisions

• Each DOMDepartment Operations Manual article has an owner who is responsible for keeping the article current and accurate. The owner is identified in the “Revisions” section at the end of each article.

• The owner of a DOMDepartment Operations Manual article can initiate changes to that article as needed. If a non-owner wants to recommend that changes be made to the article, he or she must obtain the written approval of the owner.

12010.9.1 Submittal Instructions – Policies

• The DOMDepartment Operations Manual Development Guide provides detailed instructions regarding the development and submittal of policy projects to RPMBRegulation and Policy Management Branch.

12010.9.2 Department Review and Approval

• The review process for proposed policies shall be the same as for proposed regulations (see Sections 12010.6.2 through 12010.6.4.3).

12010.9.3 Executive Approval

• The RPMBRegulation and Policy Management Branch Project Manager shall assemble an executive approval folder containing the final proposed policy and route the folder through program staff to the article’s owner. The owner’s signature is required for final proposed policy to be adopted.

12010.9.4 Notice of Change to Department Operations Manual – Publication and Posting

• A Notice of Change to Department Operations Manual (NCDOMNotice of Change to Department Operations Manual) is used to publish approved DOMDepartment Operations Manual policy changes and includes both a statement of the owner’s approval of the new policy and the text of the new policy.

• The RPMBRegulation and Policy Management Branch Project Manager shall ensure the publication and posting of the NCDOMNotice of Change to Department Operations Manual on the Department’s website and the emailing of the NCDOMNotice of Change to Department Operations Manual to Department staff statewide.

• The policy changes that are published in a NCDOMNotice of Change to Department Operations Manual shall be incorporated into the upcoming edition of the DOMDepartment Operations Manual.

12010.9.5 Electronic Version of the Department Operations Manual

• The DOMDepartment Operations Manual is published electronically on the Department’s websites. RPMBRegulation and Policy Management Branch does not issue printed copies of the DOMDepartment Operations Manual.

12010.10 Forms Management

• The management and maintenance of all functions related to Department forms in the area of adult operations, programs, and parole shall be managed by the Department Form Coordinators. The Department Form Coordinators are responsible for the following:

  • Overseeing the development and revision of Department forms in order to ensure compliance with applicable laws and regulations.

  • Determining the impact of a proposed form revision on Title 15 regulations and DOMDepartment Operations Manual policies.

  • Assigning form numbers.

  • Developing and maintaining the CDCRCalifornia Department of Corrections and Rehabilitation Forms Catalog and maintaining the CDCRCalifornia Department of Corrections and Rehabilitation Forms Portal.

  • Providing assistance and information regarding how to obtain and revise Department forms.

  • Acting as Department forms liaisons with other State departments.

• Contact information for the Department Form Coordinators may be found on RPMBRegulation and Policy Management Branch’s Forms Management webpage.

12010.10.1 Submittal Instructions – Forms

• The Forms Management Guide provides detailed instructions regarding the development and submittal of form projects to RPMBRegulation and Policy Management Branch.

12010.11 Restricted Department Operations Manual

• Statewide Restricted Department Operational Manual Coordinators

  • The R-DOMDepartment Operations Manual master copy shall be maintained by the Department’s R-DOMDepartment Operations Manual Coordinators. The Department’s R-DOMDepartment Operations Manual Coordinators are responsible for overseeing the secure development, review, approval, promulgation, dissemination, and archiving of new and revised policies contained in DOMDepartment Operations Manual sections within the 55000 sequence. Any new policy or revision of current policy within the R-DOMDepartment Operations Manual shall be coordinated through the Department’s R-DOMDepartment Operations Manual Coordinators and shall be processed in accordance with the DOMDepartment Operations Manual submission, review, and approval procedures set forth in this article.

  • The Department’s R-DOMDepartment Operations Manual Coordinators shall maintain a list of the R-DOMDepartment Operations Manual copies that have been issued to each institution, parole region, or office, and shall maintain a list of Local R-DOMDepartment Operations Manual Coordinators. The Hiring Authority over any entity that is authorized to possess copies of the R-DOMDepartment Operations Manual shall designate a Local R-DOMDepartment Operations Manual Coordinator to oversee the distribution and maintenance of that entity’s copies of the R-DOMDepartment Operations Manual. Staff in need of current information or documents pertaining to R-DOMDepartment Operations Manual copies in their care shall contact their respective Local R-DOMDepartment Operations Manual Coordinators to obtain the information or documents. The Department’s R-DOMDepartment Operations Manual Coordinators shall be made aware of any Local R-DOMDepartment Operations Manual Coordinator staff changes.

• Restricted Department Operational Manual Holders and Need-to-Know Staff

  • Copies of the R-DOMDepartment Operations Manual shall not be issued to individual persons, but to positions with a “need to know,” that require the knowledge and use of the restricted contents in order to perform the position’s duties and responsibilities. Such positions may include, but are not limited to, Assistant Secretaries, Wardens, Associate Wardens, Parole Administrators, Directors, Armories, and Watch Commanders.

    • For accountability purposes, post orders and job descriptions for these positions shall reference the responsibility for each position’s R-DOMDepartment Operations Manual copy.

    • The individuals occupying these positions shall be considered as having a need-to-know and each individual shall be responsible for the security and proper use of the position’s R-DOMDepartment Operations Manual copy.

  • Each R-DOMDepartment Operations Manual copy shall remain with the assigned position unless it is reassigned to another position by the Hiring Authority. Prior to vacating a position to which an R- DOMDepartment Operations Manual copy has been assigned, an individual shall return the R-DOMDepartment Operations Manual copy to the Local R-DOMDepartment Operations Manual Coordinator or shall provide the R-DOMDepartment Operations Manual copy to the Administrative Assistant to the Warden or Regional Parole Administrator.

  • The contents of the R-DOMDepartment Operations Manual shall not be discussed in the presence of those who do not have a need-to-know.

  • The R-DOMDepartment Operations Manual is a confidential document that is exempt from adoption as regulations (PCPenal Code 5058(c)(1)(B)) and is subject to the privilege for official information as described in Evidence Code (ECEvidence Code) 1040 and Government Code 6254(f). The R-DOMDepartment Operations Manual and its content are accordingly exempt from public disclosure.

  • Requests for a complete copy of the R-DOMDepartment Operations Manual shall be addressed to the Associate Director, RPMBRegulation and Policy Management Branch from the Hiring Authority. Each request shall include a justification for the position to be issued a copy of the R-DOMDepartment Operations Manual and a statement that the copy of the R-DOMDepartment Operations Manual shall be kept current, secured, and properly allocated. The Associate Director, RPMBRegulation and Policy Management Branch may deny requests that are not sufficiently justified or that do not include the aforementioned statement.

• Maintenance

  • R-DOMDepartment Operations Manual copies shall be maintained in accordance with the following:

    • Each R-DOMDepartment Operations Manual copy shall be secured in a locked cabinet or a secured office when not being used.

    • Copies of any portion of the R-DOMDepartment Operations Manual shall not be made, emailed, or sent by FAX, unless a specific R-DOMDepartment Operations Manual section provides the authorization to do so (see DOMDepartment Operations Manual, Chapter 4, Articles 38 and 45).

    • Each R-DOMDepartment Operations Manual copy shall be updated as needed and those updates shall be secured along with the R-DOMDepartment Operations Manual copy, within two weeks of receipt.

      • The Revision Record to the R-DOMDepartment Operations Manual shall be updated with every new addition or revision to policies contained in the R-DOMDepartment Operations Manual.

      • Restricted Administrative Bulletins and Restricted Instructional Bulletins shall be kept in the front of each R-DOMDepartment Operations Manual copy in numerical order under the tab identified.

      • Transmittal letters issued via CDCRCalifornia Department of Corrections and Rehabilitation Form 1189-R, Restricted Transmittal Letter shall be kept in numerical order under the tab that is identified for their filing.

      • R-DOMDepartment Operations Manual supplements shall be maintained within each R-DOMDepartment Operations Manual copy behind the appropriately related R-DOMDepartment Operations Manual section.

  • To further ensure that each R-DOMDepartment Operations Manual copy is updated and current, each R-DOMDepartment Operations Manual copy shall be audited on an annual basis by the individuals occupying the positions that are responsible for the R-DOMDepartment Operations Manual copies.

• Revisions

  • The documents that are sent to the field concerning revisions to the R-DOMDepartment Operations Manual will typically consist of the following:

    • A transmittal letter with an identifying number (REST #) that includes instructions pertaining to the documents sent.

    • An updated Table of Contents that corresponds to the transmittal letter number.

    • A copy of the policy revisions that correspond to the transmittal letter number.

  • CDCRCalifornia Department of Corrections and Rehabilitation Form 621-R, Employee Certification of Receipt of Confidential Material. Each R-DOMDepartment Operations Manual Coordinator shall ensure that the signed CDCRCalifornia Department of Corrections and Rehabilitation Form 621-R is returned via email to the Statewide R-DOMDepartment Operations Manual Coordinators within two weeks upon receipt of the revised documents.

12010.11.1 Access to the R‑DOM by the California Correctional Peace Officers Association

• A settlement agreement between the CDCRCalifornia Department of Corrections and Rehabilitation and the California Correctional Peace Officers Association (CCPOA) allows CCPOA to have access to the R-DOMDepartment Operations Manual.

• The CDCRCalifornia Department of Corrections and Rehabilitation and the CCPOA agree that:

  • CDCRCalifornia Department of Corrections and Rehabilitation shall retain sole possession of R-DOMDepartment Operations Manual.

  • CCPOA shall have access to the R-DOMDepartment Operations Manual, with the exception of Section 55030, Job Action Contingency Plan.

  • The access shall be available to the following CCPOA representatives:

    • Local Chapter Presidents

    • Local Chapter Vice-Presidents

    • Chief Job Stewards

    • CCPOA Field Representatives

    • CCPOA Legal Staff

    • CCPOA Chief Administrative Officer

    • CCPOA Statewide President

    • CCPOA Statewide Vice-Presidents

    • A member of any CCPOA bargaining team

  • Any Bargaining Unit (BU) 6 member or their designated representative, upon request, may have access to the R-DOMDepartment Operations Manual (except Section 55030) when the BU 6 member is being investigated as to matters covered by, or has been disciplined with regard to matters covered by Subchapter 55000.

  • CDCRCalifornia Department of Corrections and Rehabilitation shall provide access to CCPOA representatives at both the institutional level and the headquarters level on an appointment basis.

  • In no event shall more than three of these persons have access at one location at the same time.

  • Under no circumstances shall access include the right to photocopy any portion of the R-DOMDepartment Operations Manual.

  • CDCRCalifornia Department of Corrections and Rehabilitation Chief of the Office of Labor Relations shall notify the Chief Administrative Officer of CCPOA in writing of any changes to the R-DOMDepartment Operations Manual.

  • The Associate Director or R-DOMDepartment Operations Manual Coordinator of RPMBRegulation and Policy Management Branch at CDCRCalifornia Department of Corrections and Rehabilitation headquarters shall coordinate the inspection of the R-DOMDepartment Operations Manual within one hour of receiving the appointment request, and supervise the inspection.

  • The Employee Relations Officer (EROEmployee Relations Officer) is the representative at the institutional level to coordinate the requests for access to the R-DOMDepartment Operations Manual. Any requests to individuals other than the EROEmployee Relations Officer will not be honored and the requestor will be referred to the EROEmployee Relations Officer.

  • The Warden or Regional Parole Administrator shall ensure that all requests from CCPOA representatives or BU 6 members for inspection of the R-DOMDepartment Operations Manual are processed through the EROEmployee Relations Officer.

  • The EROEmployee Relations Officer shall:

    • Coordinate the review of a copy of R-DOMDepartment Operations Manual within twenty-four hours of receiving the appointment request. The EROEmployee Relations Officer shall ensure, however, that prior to CCPOA reviewing the R-DOMDepartment Operations Manual, that Section 55030 has been removed.

    • Provide or coordinate the supervision of the R-DOMDepartment Operations Manual during any inspection by eligible CCPOA representatives or BU 6 members.

    • Document each time that DOMDepartment Operations Manual Subchapter 55000 is reviewed by an eligible CCPOA representative or BU 6 member as outlined above.

12010.12 Revisions

• The Associate Director, RPMBRegulation and Policy Management Branch shall ensure that the contents of this article are current and accurate.

References

• • Americans with Disabilities Act of 1990.

  • California Code of Regulations, edited by Thomson Reuters Westlaw, provided by OALOffice of Administrative Law. CCRCalifornia Code of Regulations, Title 1, Division 1, Sections 1-280.

  • CCRCalifornia Code of Regulations, Title 15, Division 3, Sections 3002, 3124, and 3260.1.

  • DOMDepartment Operations Manual, Chapter 1, Article 16.

  • DOMDepartment Operations Manual, Chapter 3, Article 22.

  • DOMDepartment Operations Manual, Chapter 4, Articles 38 and 45. Evidence Code Section 1040.

  • GCGovernment Code Sections 6250-6276.48, 11017.6, 11340-11350.3, and 14770-14775.

  • PCPenal Code Sections 2080, 2086, 2930, 5050, 5054, 5055, 5058, 5058.1, and 5058.3.

  • Settlement Agreement for California Correctional Peace Officers Association v. State of California (Department of Corrections) (December 10, 1991), Public Employment Relations Board Case No. S-CE-491-S.

  • Tooma v. Rowland (September 9, 1991), California Court of Appeal, Fifth Appellate District, Case No. F015383.

  • United States Department of Justice, Federal Bureau of Prisons, Directives Management Manual, Program Statement 1221.66.

Revision History

• Revised: December 21, 2015.

• Revised: August 21, 2019. 

• Revised Section 12010.6.4: April 14, 2020. 

• Revised Sections 12010.6 – 12010.6.4.1: April 14, 2022. 

12020.1 Policy

• Departmental and non-departmental meetings, conferences, and conventions, when sponsored by the Department or other professional organizations, are positive methods to enhance general professional development and further CDC goals.

  • Staff are encouraged to participate in authorized departmental and nondepartmental meetings, conferences, and conventions.

12020.2 Purpose

• This section designates those responsible for selecting attendees, submitting of required forms, and approving authority for requests to attend meetings, conferences, and conventions.

12020.3 Authorized Meetings, Conferences, and Conventions

• All meetings, conferences, and conventions of ten or more people that involve travel, per diem, or other expenditures shall require approval of the appropriate Chief Deputy Director. By June 30 of each year, all Deputy Directors and Assistant Directors shall submit to the Chief, VSRP, a schedule of meetings, conferences, and conventions to be conducted during the following fiscal year. VSRP shall coordinate the final review and approvals by the Chief Deputy Directors.

  • The CDC Form 1328, Meeting/Conference Schedule, shall be used for submitting this information.

  • These activities shall be considered business meetings or business conferences and expenses incurred shall not be charged to training budgets, but to other appropriate budget allotments (e.g., travel).

• The Chief, SPBState Personnel Board (see CalHR), shall submit the meeting, conference, and convention schedules to the appropriate Chief Deputy Director for departmental approval. A copy of the approved schedule shall be returned to the submitting Deputy Director or Assistant Director. SPBState Personnel Board (see CalHR) shall include the meeting, conference, or convention on the departmental master calendar.

• No further approvals for departmental meetings, conferences, and conventions are required during the year provided no substantive changes occur in the previously approved schedule and the event is being held at a State facility.

• Meetings, conferences, and conventions held at other than State facilities require YACA approval. (See DOMDepartment Operations Manual 12020.6.) Any request requiring YACA approval shall first be approved by the appropriate Chief Deputy Director.

• The SPBState Personnel Board (see CalHR) shall review and coordinate the approvals for submission to the Chief Deputy Directors and YACA.

12020.4 Schedule Changes Requiring Departmental Approval

• Changes to approved schedules requiring departmental approval include:

  • Any increase in the number of events.

  • A location change requiring YACA approval.

  • Additional costs exceeding the original estimate by 10 percent or more.

• 45 Days Prior

  • Details of the requested amendment shall be submitted to the Chief, SPBState Personnel Board (see CalHR), 45 days prior to the meeting, conference, or convention to allow sufficient time for the necessary approvals.

12020.5 Agendas for Conferences, Conventions, and Meetings

• With the aim of achieving program goals and objectives, an agenda shall be prepared for each meeting, conference, or convention. Specific benefits to CDC such as increased productivity, problem solving, or other staff improvements should be especially noted.

• The agenda shall include the title of the event, the dates, meeting location, and an outline of the major items to be discussed.

• 30 Days Prior

  • The Deputy Director or Assistant Director shall submit the agenda to the appropriate Chief Deputy Director at least 30 days prior to the meeting, conference, or convention.

12020.6 Use of Off‑Site Facilities

• In compliance with criteria established by the Governor’s Office, written approval from the Secretary of YACA, or designee, shall be obtained prior to scheduling any state-sponsored meeting, conference, convention, or training session which includes the rental of an off-site facility.

• Request to Rent

  • Requests to rent an off-site facility shall include a comparison of costs from various private facilities and explain why it is not feasible to use a State facility.

• 60 Days Prior

  • The appropriate Deputy Director or Assistant Director shall submit to the Chief, SPBState Personnel Board (see CalHR), a YACA Form 83-9-1, Request to Schedule Conference or Meeting, at least 60 days prior to the scheduled event. The SPBState Personnel Board (see CalHR) staff shall review the submitted paperwork to confirm that all necessary information is included. The appropriate Chief Deputy Director shall approve or deny the request and SPBState Personnel Board (see CalHR) shall return the request to the appropriate Deputy Director or Assistant Director.

12020.7 Non‑departmental Meetings, Conferences, and Conventions

• This section pertains to non-departmental meetings, conferences, and conventions sponsored by professional organizations including “bona fide associations” as defined by the DPADepartment of Personnel Administration (see CalHR).

  • Meetings, conferences, and conventions sponsored by professional organizations are to provide opportunities for general professional development.

  • Meetings, conferences, and conventions sponsored by “employee organizations” are excluded from these guidelines per GCGovernment Code 3525.

• Request and Approval

  • To achieve consistency and provide guidelines for attendance at the meetings, conferences, and conventions of professional organizations in California, each Deputy Director or Assistant Director is responsible for screening and submitting all non-departmental conference requests to the appropriate Chief Deputy Director for final review and approval.

    • Programs involving partisan political speeches or activities or employee organization functions are not eligible for consideration.

• Maximum of Ten

  • Normally CDC shall not send more than ten people to individual non-departmental meetings, conferences, and conventions. Attendance by more than ten people shall require separate approval by the appropriate Chief Deputy Director.

• Upon Approval

  • Upon approval, a copy of the approval shall be sent by the requesting Deputy Director, Assistant Director, or designee to the Accounting Services Section in headquarters.

  • Note: This procedure applies only to headquarters and P&CSDParole & Community Services Division (see DAPO) staff.

    • Additional employees participating in a nondepartmental meeting, conference, or convention program as speakers or panel members may be granted time and expenses as required, determined by the duration of their participation. Such expenses shall be paid from local travel budgets.

• Attendance Without Reimbursement

  • If the request is to attend a non-departmental meeting without the sponsorship of CDC, the following guidelines apply:

    • The attending employee shall pay all expenses including travel, per diem, and registration costs.

    • The attending employee shall use vacation or other accrued time off, such as compensatory time off, holiday, etc.

    • The employee’s attendance at the meeting, conference, or convention shall not result in any cost to the State or create a burden on CDC operations.

• Training Credit

  • An employee who attends formal training workshops at a conference or convention may request training credit. This credit can be applied toward the 40-hour annual training requirement that each employee is expected to complete.

• How to Apply

  • In order to receive this credit after attending such an event, the employee must send the ISTIn-Service Training Manager or Regional Training Coordinator verification of attendance and a copy of the conference agenda detailing the workshops to be considered for credit.

• Type of Credit

  • Only career-related out-service training credit may be granted.

• Amount of Credit

  • Credit will be granted on an hour-for-hour basis, not to exceed a maximum of eight hours per year, per employee.

• Reimbursement Not Allowed

  • The granting of training credit does not entitle an employee any reimbursement of expenses for attending a conference or convention. If an employee has been approved to attend on State time at State expense, no training funds may be used to cover the approved costs.

• Restriction on Granting Credit

  • Training credits may not be granted for meetings, conferences, or conventions of “employee organizations” as stipulated in GCGovernment Code 3525.

• Need Prior Written Approval (100 Miles)

  • Prior written approval shall be obtained from YACA when 10 or more employees are required to travel more than 100 miles from their headquarters in order to participate in a meeting, conference, or convention not sponsored by the State.

    • This policy applies whether or not such a meeting, conference, or convention is paid in total or in part by State or federal funds.

• 60 Days Prior

  • A YACA Form 83-9-1 shall be prepared for the signature of the appropriate Chief Deputy Director and submitted to YACA 60 days prior to the date of the event by the requesting Deputy Director or Assistant Director.

12020.8 Meetings, Conferences, and Conventions Outside the State

• To attend an out-of-state meeting, conference, or convention not already in the approved out-of-state travel blanket, all requests for attendance shall be submitted through the appropriate Deputy Director or Assistant Director at least 90 days prior to the date of the event. The request (by memorandum) shall include:

  • The name of the meeting, conference, or convention.

  • Location.

  • Date(s).

  • Costs.

  • A copy of the agenda.

  • A justification describing the benefit to the State and the consequences of not attending.

  • An assurance that participation shall not interfere with service to the public or operation of CDC’s programs.

• The memorandum shall have an approved/disapproved signature block for the Deputy Director or Assistant Director.

• Final Approval

  • Upon initial approval, the request shall be forwarded to Accounting Services Section for verification of funds. Accounting Services Section shall obtain final approval from the appropriate Chief Deputy Director and notify the appropriate staff. Any additional required approval shall be obtained by Accounting Services Section.

12020.9 Recruitment Activity at Conferences and Conventions

• The CDC facility located in the geographic area of the conference or convention shall coordinate the placement of a CDC recruitment booth at that conference or convention. Other CDC facilities or divisions interested in participating in staffing the recruitment booth may do so by contacting the responsible recruitment coordinator.

• Limit of Booths

  • Normally, there shall be no more than one CDC booth per conference or convention. But if the departmental recruitment manager concurs that a large number of applicants are anticipated for classifications being recruited, another booth and additional staff may be requested.

    • The booths shall be placed side by side.

    • No more than four recruiters shall be used to staff a booth.

    • The recruiters shall not be conference and convention attendees or participants.

    • The recruiters’ function shall expressly be to staff the booth and respond to employment inquiries.

    • The recruiters shall not need to be included in the conference and convention approval process.

• Use of Booths

  • Recruitment booths shall only be used at those conferences or conventions in which it is reasonable to expect applicants. The appropriate staff shall also be used (i.e., sworn staff used in recruiting peace officers and medical staff used in recruiting medical professionals). The decision to send a recruitment booth team to the annual conferences and conventions of the following groups shall be made by the departmental recruitment manager:

    • Asian State Employees Association.

    • Association of Black Correctional Workers.

    • Black Advocates in State Service.

    • CAFE de California.

    • Chicano Correctional Workers Association.

    • Filipino American State Employees Association.

    • Latino Peace Officers Association.

    • Mexican American Correctional Association.

    • Mexican American Political Association.

    • United Black Correctional Workers.

• Note: At these conferences and conventions, an advertisement in the conference or convention program shall be the extent of our recruitment participation unless it is determined to be in CDC’s best interest to also use a booth. Should it be determined that a booth is needed, the responsible facility shall be advised and shall coordinate its placement and staffing.

12020.10 Revisions

• The Assistant Director, OOCOffice Of Compliance (see OACC), or designee is responsible for ensuring that the contents of this article are kept current and accurate.

12020.11 References

• SAMState Administrative Manual §§ 0731, 0732, and 0733.

• GCGovernment Code § 3525.

• DPADepartment of Personnel Administration (see CalHR) Rule 599.866.

12030.1 Policy

• Employees shall prepare written correspondence in accordance with the provisions of the Secretarial Handbook.

12030.2 Purpose

• This section establishes guidelines for preparing the following types of correspondence:

  • Administrative reports.

  • Correspondence on behalf of the BPT or NAEANarcotic Addiction Evaluation Authority. Correspondence from the Department to BPT or NAEANarcotic Addiction Evaluation Authority.

  • Inmate correspondence.

12030.3 Preparing Correspondence

• Employees shall properly prepare correspondence and shall follow these general requirements:

  • All incoming correspondence shall be answered promptly. Employees who cannot promptly answer correspondence shall acknowledge that they have received it and offer an estimated date for a complete reply.

  • All prepared correspondence shall be proofread before being forwarded for approval/signature.

• Each outgoing article of correspondence sent by staff from a State correctional facility shall be clearly labeled or stamped with the words State correctional Facility on the face of the envelope or package. For the purposes of this section only, a State correctional facility also includes the Community Correctional Centers, Community Prison Mother Program facilities, Restitution center, and Work Furlough Facilities. See DOMDepartment Operations Manual 54010.27 for additional details.

12030.4 Administrative Reports

• Employees who assign an administrative report shall:

  • Explain the project in detail to the designated employee, giving all available information.

  • Suggest any known references.

  • Carefully outline the scope of the project.

• The employee to whom the report is assigned shall:

  • Perform necessary research.

  • Formulate a tentative plan or solution.

  • Check the tentative plan or solution with the affected person and report their concurrences and disagreements in the recommendations section of the report.

• The Report.

• The report shall:

  • Be prepared on a CDC Form 1617, State of California Memorandum, if a short report. If a lengthy report, the report shall be prepared on plain, white paper and transmitted with a CDC Form 1617 as a cover sheet.

  • Be addressed to the employee who gave the assignment.

  • Contain date and subject lines.

  • Contain an introductory paragraph including a brief statement about the assignment.

  • Contain a brief statement of recommendation(s), each followed by a justification.

  • Fiscal or legislative implications shall appear in the recommendation and shall be elaborated on in the reasons for the recommendation.

  • Documents needed to support the recommendation(s) shall be attached as appendices or exhibits.

  • Any forms or directives needed to implement the recommendation(s) shall be attached.

• The employee shall submit the completed project to their immediate supervisor for forwarding through administrative channels.

• The employee who assigned the report shall notify the employee completing the report of the results.

12030.5 Correspondence Addressed to the BPT or NAEA

• Facilities may receive correspondence addressed to the BPT or the NAEANarcotic Addiction Evaluation Authority requesting information. Employees shall:

  • Answer such correspondence using the appropriate paroling board letterhead if the correspondence regards individual parolees/releasees.

  • Include the signature line of the board countersigned by the C&PRClassification & Parole Representative of the facility, followed by the name, address, and public telephone number of the facility.

• Employees shall forward correspondence addressed to facilities concerning policies and functions of a paroling board to the appropriate paroling board for reply.

• Correspondence regarding term-fixing or parole-granting functions of a paroling board received at a facility but which is not addressed to paroling board officials shall be forwarded to the C&PRClassification & Parole Representative for reply.

• Associate Wardens in charge of reception centers shall sign responses to correspondence addressed to a paroling board but concerning inmates in reception centers. If the request for information concerns the board’s actions or functions, the appropriate paroling board letterhead shall be used. The name, address, and public telephone number of the facility where the reception center is located shall follow the signature block.

12030.6 Paroling Boards

• Wardens and designated employees within facilities or headquarters shall communicate with the appropriate paroling board (BPT or the NAEANarcotic Addiction Evaluation Authority) regarding scheduling or other problems.

• Proposed changes in policy, procedure, or practice of the Department which may affect a paroling board’s operations shall be coordinated by the following liaison persons:

  Paroling Board	Institutions Division	P&CSDParole & Community Services Division (see DAPO)
  BPT	Regional Administrator, Central/Operations	PAProgram Administrator, Operations
  NAEANarcotic Addiction Evaluation Authority	Regional Administrator, South/Programs	PAProgram Administrator, Operations

12030.7 Inmate Correspondence

• Employees may use form letters to respond to inmate correspondence. However, each letter shall be individually typed or printed, not photocopied.

• Facilities/ Parole Regions

• Appropriate facility and parole region employees shall respond on CDC Form 1617 to incoming correspondence from inmates. Correspondence received from external persons regarding inmates that has been addressed to or referred to their facility, shall be responded to using official Department letterhead.

• All employees shall forward correspondence as follows:

  IF	THEN
  Inmate has been transferred or paroled.	Forward to appropriate facility or parole region.
  Inmate has been discharged.	Forward by route slip to the Archives Unit, CMFCalifornia Medical Facility for reply.
  Departmental identification number is known (CDC number).	Use OBISOffender Based Information System terminal to determine current location and status, and forward to the appropriate facility, parole region, or Archives Unit for reply.
  CDC number is known.	Forward to the Identification not and Warrants Unit Headquarters, which shall identify and route to the appropriate facility, parole region, or Archives Unit for reply.

• A copy of the reply shall be sent to the appropriate Warden or parole region for inclusion in the inmate’s C-File.

• Headquarters

  • Headquarters’ replies to correspondence from inmates or regarding inmates shall be prepared on letterhead stationery.

  • Headquarters employees shall adhere to established due dates (if attached) set by the Business Services Correspondence Control Unit (BSCCU) when responding to correspondence from or regarding inmates. If no due date has been attached, the employee shall respond within 15 working days. A file copy of the reply shall be sent to the inmate’s C-File.

  • If the correspondence was forwarded from BSCCU, the attached CDC Form 972, Correspondence Referral Cover Sheet, shall be returned to the Unit with an indication of the date the response was mailed.

12030.8 BSCCU

• Correspondence received at headquarters is reviewed first by the BSCcU. The BSCCU determines what correspondence will be controlled. Correspondence deemed necessary to control shall be handled as outlined in the DOMDepartment Operations Manual 12030.9 of this manual.

• The following types of correspondence are not usually controlled by the BSCCU and shall be forwarded as shown:

  Type of Correspondence	Forwarded to
  Routine correspondence from facilities or parole regions	Mailroom
  Correspondence marked “Confidential” or “Private”	Mailroom
  Inmate appeal correspondence	Inmate Appeals Branch

12030.9 Controlled Correspondence

• The BSCCU divides correspondence it controls into two categories-large and small actions.

• Large actions include:

  • Governor’s Office transmittals.

  • Legislative correspondence.

  • Correspondence from Directors of other state departments.

• Small actions are any other correspondence received by BSCCU that requires a reply from the Department.

• The BSCCU assigns due dates to large actions as follows:

  • Governor’s Office transmittals.

    • Two days before any given due date by the Governor’s Office or YACA.

    • Five working days for as-soon-as-possible (ASAP) requests.

    • Ten working days if no due date is requested.

• No extensions shall be allowed on Governor’s Office transmittals.

  • Legislative correspondence and correspondence from other Directors.

    • Two days before any requested due date–no extensions.

    • Five working days for ASAP requests–no extensions.

    • Ten working days if no due date is requested-an extension of up to three working days provided the request is made on or before the due date.

• The BSCCU assigns due dates to small actions as follows:

  • Two days before given due date (providing the due date is reasonable). No extensions shall be given if a reasonable due date has been requested.

  • Fifteen working days for correspondence without a requested due date. An extension of up to five days may be given if requested on or before the due date.

• The BSCCU shall:

  • Handle Governor’s Office transmittals by logging the date received, the information received, and the unit assigned.

  • Assign the correspondence or Governor’s Office transmittal to the appropriate Deputy Director or Assistant Deputy Director for response.

  • Staple the CDC Form 972 to the incoming correspondence.

  • Establish the due date and the date of referral on the CDC Form 972.

  • Provide Chief Deputy Directors and Director with a weekly listing of overdue controlled correspondence.

12030.10 Revisions

• The Deputy Director, OBSOffice of Business Services or designee shall be responsible for ensuring that the contents of this article are kept current and accurate.

12030.11 References

• SAMState Administrative Manual § 1641.11.

• GCGovernment Code §§ 7525 and 7526.

• Secretarial Handbook.

• DOMDepartment Operations Manual § 54010.

12040.1 Policy

• This policy establishes departmental goals and objectives as it relates to the assessment of threats against staff. Corrections and Rehabilitation (CDCRCalifornia Department of Corrections and Rehabilitation) has a zero- tolerance policy as it relates to threats, acts of aggression, and acts of violence.

12040.2 Purpose

• The purpose of this policy is to establish a procedure when CDCRCalifornia Department of Corrections and Rehabilitation staff are threatened by incarcerated people, supervised people, or their families or associates. This policy describes how staff recognize and report such threats and what is required of management when they are alerted. This policy addresses employee responsibilities for recognizing and reporting threats made by an incarcerated person, supervised person, or their family or associates. This policy shall also apply to physical attacks on staff, or evidence of an ongoing threat against staff.

12040.3 Responsibility

• The Hiring Authority has overall responsibility for the implementation and maintenance of this procedure and all departmental policies that affect their area of responsibility.

• It is the responsibility of all employees to immediately report threats, acts of aggression, or acts of violence to a supervisor or designated representatives. Threats must be verbally reported immediately, and must be followed with a complete written report as soon as practical. The Department shall immediately investigate, assess, and verify the legitimacy of a threat and respond according to procedures described in this article.
  

12040.4 Threat Definition

• A threat is an act (verbal or non-verbal) which expresses intent of malice, harassment, intimidation, or physical expression of intent to physically injure or harm someone else.

12040.5 Threat Assessment Response Team

• The primary function of the Threat Assessment Response Team (TART) is to assess the circumstances and seriousness of the threat and to determine what action to take. The TART shall consist of staff responsible for assessing the validity of, and establishing counter measures to, threats made against staff members. The affected Hiring Authority or designee shall determine whether to assemble a TART. The TART shall be comprised at minimum the following:

  • Hiring Authority/Chairperson or designee

  • Manager or Department Head of affected area

  • Supervisor of affected area

  • Supervisor of threatened employee

  • Other representatives designated by the Hiring Authority

• Additional committee members may be selected by the Chairperson’s recommendation if the case factors support the need for additional members.

• The Hiring Authority or designee shall bring all relative documentation to the TART meeting to present the case for review. The TART shall review all data related to the threat, including the incarcerated person’s or supervised person’s departmental records. All submitted documentation, memorandums, and/or notes from the incarcerated person, supervised person or other involved parties and any other pertinent information related to the suspect’s propensity for violence or ability to commit violence shall also be reviewed.

• The TART may delegate assignments, ensure concerns are adequately addressed, and convey recommendations to the Hiring Authority for review and approval. The team shall be responsible for the following:

  • Program review.

  • Removal of staff, if appropriate.

  • Assignment of specific tasks, including further investigation, interviews, and referral to the Office of Correctional Safety to ensure the threat is adequately assessed and addressed.

  • Results and recommendations made by the TART shall be noted in the meeting minutes and immediately forwarded to the Hiring Authority for review.

  • In a case where the investigation is completed by an outside law enforcement agency, the Hiring Authority or designee shall review the agency report and evaluate if additional investigation or mitigation efforts are warranted.

  • The Hiring Authority or designee shall notify the employee of the outcome of the investigation as allowed by law once the investigation has been concluded, and notify the employee of any subsequent information pertinent to the threat.

• All documents gathered during the investigation shall be forwarded to the Hiring Authority or designee, who shall be responsible for maintaining all Threat Assessment records and appropriate tracking log(s).
  

12040.6 Threat to Staff by an Incarcerated Person, Supervised Person, and/or Their Family or Associates

• A threat to staff by an incarcerated person, supervised person, or their family members or associates is any incident in which an employee receives a threat of abuse, harassment, or of physical harm in circumstances arising out of, or in the course of employment. The threat may be implied and may be received verbally or non-verbally (i.e., threatening gestures, in writing either through the mail or by introduction/discovery of an incarcerated person’s note [“Kite”]). The threat can be made directly to the identified employee or may be relayed indirectly through a third party.

• If a threat is made by a family member or associate of an incarcerated person or supervised person, the Hiring Authority or their designee shall notify the employee to take the appropriate action with the local law enforcement agency (i.e., report threat, file restraining order, etc.).

• If the threat originates in an institutional setting, the on-duty lieutenant shall evaluate the removal of the incarcerated person from the facility for placement in the Restricted Housing Unit (RHU). If the threat originates from outside an institutional facility, the department head, Administrative Officer of the Day (AODAdministrative Officer of the Day), or designee shall make notification to local law enforcement. To ensure the employee’s safety, actions such as the imposition of any special condition of parole (e.g., condition of no contact by supervised person, the establishment of prohibited areas, etc.) or assisting of the threatened employee in the filing of a restraining order may be taken.

• If TART determines that the circumstances exceed the investigative capabilities of the affected program (e.g., statewide threat, need for protection detail, threat extends to the community, etc.), the Hiring Authority, upon consultation with the respective Special Agent-In-Charge (SACCalifornia State Prison, Sacramento), Office of Correctional Safety (OCSOffice of Correctional Safety) shall refer all such threats to their appropriate Headquarters supervisor who shall formally request OCSOffice of Correctional Safety involvement in the threat assessment investigation to the Chief of OCSOffice of Correctional Safety.
  

12040.7 Anonymous and Non‑Specific Staff Threats

• In situations where a threat is discovered anonymously or where no specific employee(s) has been identified, the assigned supervisor shall coordinate and conduct interviews of various incarcerated people at the facility where the threat was discovered. These interviews shall encompass all demographics of the incarcerated population ensuring a quality sampling of interviews is completed.

• If a non-specific or anonymous threat is received from outside of an institutional facility and the assigned supervisor determines that the information received could reasonably pose a threat to the safety of staff, a TART shall be assembled to assess the information and provide a recommendation for the Hiring Authority or their designee. The assigned supervisor shall coordinate and conduct interviews with various sources such as, but not limited to, local law enforcement, supervised people, or community members in an attempt to validate the threat.
  

12040.8 Threat Assessment

• When an incarcerated person, supervised person, or their family member or associate threatens a CDCRCalifornia Department of Corrections and Rehabilitation staff member, or if any staff member becomes aware of a threat to a CDCRCalifornia Department of Corrections and Rehabilitation staff member that arises out of or has a nexus to the CDCRCalifornia Department of Corrections and Rehabilitation employment, that staff member shall immediately notify their supervisor. The supervisor shall be responsible for relaying the information to the department head of the affected area and AODAdministrative Officer of the Day. The supervisor shall be responsible for completing the necessary paperwork and immediately initiate a fact finding inquiry. This inquiry, depending on the circumstances, may include an interview of the suspect (if applicable) and any witness (staff, incarcerated people, or supervised people) who may have been in the area at the time of the threat or who may have knowledge of the threat. If the suspect can be charged with criminal or administrative misconduct, the respective Hiring Authority or their designee shall ensure all safeguards are taken to ensure proper rights are given to the suspect prior to an interrogation. The supervisor shall also discuss the circumstances of the threat with the employee who was threatened and as soon as practical obtain a written report to contain all pertinent information from the employee regarding the threats as well as any background relevant to the investigation.

• The purpose of the written report is to determine if the employee has knowledge a threat may exist and if they believe the threat is viable. The report will also be utilized to determine the nature of any interactions with the suspect in question. To determine the validity of the threat, this process shall be completed expeditiously, preferably the same day the threat was discovered. Delays in this process shall be communicated to the Hiring Authority or division head.
  

12040.9 Training

• The department shall provide training pursuant to this section as part of its existing training programs.

12040.10 Revisions

• The Chief, Office of Correctional Safety, shall ensure that the content of this section is accurate and current.

12040.11 References

• PCPenal Code §§ 76 and 5004.7.

• 18 USC 871.

• CCRCalifornia Code of Regulations § 3342.

• Occupational Safety and Health Administration (OSHA) 2001 Workplace Violence, Washington DC: USUnder Supervisor Department of Labor.

• California Department of Corrections and Rehabilitation, Office of Victim and Survivor Rights and Services.

Revision History

• Effective: January 17, 2018.

• Revised: May 28, 2024.

12050.1 Policy

• An effective and efficient flow of written communication shall be maintained throughout Headquarters, institutions, and the parole division.

12050.2 Purpose

• This section outlines specific requirements for sending and receiving departmental mail throughout the various divisions within the Department. In addition, it outlines steps to be taken to obtain reproduction services for departmental written material.

12050.3 Mail Distribution (Headquarters)

• The mailroom messengers deliver the mail to each office two times daily as follows:

  • Headquarters – 10:00 a.m. and 2:00 p.m..

  • Other Sacramento buildings except Region I Headquarters and Parole field offices – 10:30 a.m. and 2:45 p.m..

• Outgoing mail is picked up at the same time the mail is delivered.

• There are two scheduled mail runs daily between the YACA and the Department at 10:30 a.m. and 2:30 p.m.

• A mail tray is available in The Director reception area for mail to the YACA.

• Interagency Mail Service (IMS)

  • Interagency mail to be sent to other state departments or facilities throughout the Sacramento area shall be placed in messenger service envelopes. On the envelope the following items shall be placed:

    • IMS code number.

      • The use of the code number expedites delivery of mail to state departments, as interagency mail is sorted by these numbers.

    • Name of department.

    • Name of the person or position title.

    • Address (or building).

    • Room number (or floor).

• This mail is collected on regular departmental mail runs and picked up by IMS at approximately 10:00 a.m. daily. Mail addressed to any location not on the current “IMS Listing of Locations” shall not be delivered by IMS.

• Correspondence shall be properly addressed and routed directly to the mailroom from all Headquarters locations within the Sacramento area as all departmental mail is sent out directly from the mailroom. The mailroom uses pre-labeled envelopes for sending routine correspondence; however, large envelopes in excess of 10″ x 12″ and all packages too large for consolidated mailing shall be packaged and labeled by the sending unit.

• All mail sent to the institutions (with a route slip attached or in an envelope) shall be combined in the mailroom into a bulk rate, first class envelope unless otherwise specified.

• Processing Deadline

  • Mail received in the mailroom after 4:00 p.m. is processed the following day unless it is classified as an “expedite.” Expedite mail shall be accommodated based on mail deadlines set by the Department’s private contract carrier and/or the USPSUnited States Postal Service.

• Express Mail

  • Express mail shall only be used when it is imperative that delivery be made the following day. The express mail carrier that is specified in the current statewide master service agreement shall be used for mail between locations subject to the master service agreement. For telephone or FAX use refer to DOMDepartment Operations Manual 12070.

• Personal Mail

  • Mailroom personnel shall pick up personal mail for Headquarters employees during their daily scheduled mail runs. However, this pertains to envelopes and small packages only. Large personal packages and large bulk quantities, such as Christmas mail, shall not be handled by the mailroom. All personal mail shall have proper postage and address ready for delivery. The mailroom does not stock nor sell postage stamps and shall not meter personal mail.

• USPSUnited States Postal Service Delivery

  • Outgoing mail is delivered once daily to the USPSUnited States Postal Service, 801 I Street, at approximately 4:20 p.m.

• Re-Use of Envelopes

  • For distribution purposes, whenever possible, all sizes of clasp-type manila envelopes shall be saved for re-use if the envelope has not been sealed with tape or damaged.

12050.4 Institutional Mail (Employee)

• Institution mailroom supervisors shall ensure timely processing and delivery of employee mail on a daily basis.

• All intra-institutional mail shall be processed through the mailroom. Inmates shall not be used for delivery of mail. All inter-institutional mail and correspondence with the public shall be handled by the USPSUnited States Postal Service by the institution mailrooms.

• Institutions shall also restrict the use of express mail in accordance with the provisions of DOMDepartment Operations Manual 12050.3.

• Mailrooms shall not meter personal mail.

• Employees who have business or private letters which will be mailed by institutional mailrooms shall deliver their mail to the mailroom in person or shall place their title or rank with the return address on the outside of the envelope. Use of institution business mailing address for personal mail, however, is discouraged.

• Inmate mail is addressed in DOMDepartment Operations Manual 54010 of this manual.

12050.5 Mail Distribution P&CSD

• All inter-office mail for the P&CSDParole & Community Services Division (see DAPO) shall be handled by the USPSUnited States Postal Service or contract courier service.

• The restrictions in DOMDepartment Operations Manual 12050.3 apply to use of express mail service.

12050.6 Route Slip Usage

• Various forms designated as route slips are used within the Department for distribution purposes. These forms may be obtained by ordering from supply. A partial list is:

  • Message (STDStandard Form (DGS). Form 7).

  • Headquarters Route Slip (CDC Form 27).

  • Institution Route Slip (CDC Form 29).

  • Messenger Route Slip (CDC Form 832).

  • P&CSDParole & Community Services Division (see DAPO) Route Slip (CDCRCalifornia Department of Corrections and Rehabilitation Form 271-B).

12050.7 Referral Memorandum (CDC Form 982)

• This form, which is often called a “blue referral”, is used to forward any type of written communication that requires an action on the part of the recipient (e.g., letters, memorandums, bulletins, manual revisions, reports, etc.) through administrative channels.

• Addressees’ position or name shall be placed on the line that immediately follows each number. After receipt, addressees shall initial next to their name or position and add the date signed.

  • See DOMDepartment Operations Manual 12010 of this manual for the routing of policy directives (e.g., bulletins and manual revisions).

  • See DOMDepartment Operations Manual 12030 of this manual for the routing of correspondence to the Director and Chief Deputy Director.

12050.8 Incident Reports

• Per DOMDepartment Operations Manual 51030, two copies of all incident reports occurring in the institutions are sent to Headquarters (three copies in event of an assault resulting in death).

• The incident reports are distributed by the Institutions Division:

  • One copy is routed to OISBOffender Information Services Branch for entry of necessary data into computerized database maintained by OISBOffender Information Services Branch. This copy is then forwarded to archives.

  • The second copy is reviewed by the staff of Institutions Division, who route a copy to other Headquarters staff depending on the type of incident.

12050.9 Institutional Staff Meeting Minutes

• Per DOMDepartment Operations Manual 31120, various staff meeting minutes are routed to Headquarters for informational purposes. Three copies are mailed to Headquarters to the following:

  Type of Meeting	Mailed to
  Warden	Deputy Director Institutions Division
  Associate Warden Business Services	Deputy Director Administrative Services division
  Program Services Staff	Deputy Director Institutions division
  Prison Industry’s Staff	General Manager CALPIACalifornia Prison Industry Authority (formerly PIA)
  Medical and Psychiatric Staff	Assistant Deputy Director HCSDHealth Care Services Division (see DCHCS)
  Trade Advisory Committees (TACTrade Advisory Committee)	Chief, Education and Inmate Program Services

• The LADLegal Affairs Division (see OLA)-PMU, Headquarters, maintains one copy of institution staff meeting minutes.

12050.10 Reproduction

• Reproduction (other than forms) for institutions and parole units shall be accomplished using local office copiers and/or vocational/industrial printing programs. Large reproduction needs which cannot be handled by the above shall be met by submitting requests directly to the Office of State Publishing (OSPOffice of State Publishing).

• All material to be reproduced (other than forms) for Headquarters units shall be submitted to the departmental reproduction center, with a completed STDStandard Form (DGS). Form 51, Reproduction Order.

• All material being submitted shall be ready to be reproduced (i.e., no staples, removed from binders, separated from material not being reproduced).

• State owned copying and duplicating equipment shall not be used for other than official state business.

12050.10.1 Departmental Reproduction Center Capability

• The departmental reproduction center is capable of providing the following services:

  • One-sided or two-sided copies.

  • Copies from originals using paper of weights ranging from 16 pounds to 110 pounds, (i.e., letterhead to cover stock) and from pasted or taped originals.

  • Reduction from originals as large as 11″ x 17.”

  • Copies of continuous computer forms.

  • Stapling (a maximum of 100 pages) and arranging in sequence (collating).

  • Duplication of manuals, reports, etc., as long as the originals provided do not have book binding and are not copyrighted.

• All reports of more than one page shall be duplicated on both sides of the paper. This reduces the bulk in handling, mailing, and filing.

12050.10.2 Completion Schedules

• All jobs shall be completed within five working days. Expedite jobs shall be delivered to, and approved by, the reproduction center supervisor. Very large jobs needing to go to OSPOffice of State Publishing may require additional days.

12050.10.3 Quantity Limits

• The number of copies to be made from each original determines where the copies shall be made as follows:

  No. of Copies Per Original	Equipment
  20 copies or less	Office or floor copiers
  21 to 350 copies	Departmental Reproduction Center
  Over 350 copies	OSPOffice of State Publishing

12050.10.4 Mass Mail Orders

• All reproduction orders that shall be mass mailed by OSPOffice of State Publishing shall be submitted to the reproduction center supervisor with a completed STDStandard Form (DGS). Form 50.

12050.11 Revisions

• The Deputy Director, OBSOffice of Business Services or designee shall ensure that the contents of this article are accurate and current.

12050.12 References

• SAMState Administrative Manual §§ 2200 and 2800.

12050.13 Forms

• CDC Form 27, Headquarters route Slip.

• CDC Form 29, Institution Route Slip.

• CDC Form 832, Messenger Route Slip.

• CDCRCalifornia Department of Corrections and Rehabilitation Form 271-B, P&CSDParole & Community Services Division (see DAPO) Route Slip.

• CDC Form 982, Referral Memorandum.

• STDStandard Form (DGS) Form 7, Route Slip.

• STDStandard Form (DGS) Form 51, Reproduction Order.

• STDStandard Form (DGS) Form 50, Mass Mailing.

12060.1 Policy

• The United States (U.S.United States) Copyright Act establishes requirements for publication and reproduction of published material. The Director requires adherence to the Copyright Act in preparing manuals, booklets, leaflets, and other written material.

12060.2 Purpose

• This section provides guidelines for the printing or reprinting of local procedures, manuals, and other written material to avoid copyright infringement and expense of litigation against the Department and to ensure that their content is consistent with departmental goals and objectives.

12060.3 Publications Written By Employees

• Any manual, leaflet, book, newsletter, or other publication on a subject related to the Department which would normally qualify as a public record and involve distribution to staff, organizations outside the Department, Legislature, general public, news, media, and/or for submission to an outside professional journal/paper shall require review by the Assistant Director, Communications, and approval in writing by the Director prior to submission, issuance, or distribution.

• Any such articles written by employees for submission to professional journals or other outside publications shall be forwarded through administrative channels to the Assistant Director, Communications, who may request comments from interested Deputy or Assistant Directors before the article is forwarded to the Chief Deputy Director.

• When any employee prepares a manual, book, leaflet, newsletter, or other publication as part of the employee’s official duties, the employee may obtain a copyright on such publication at the employee’s own expense. However, that copyright shall be deemed to be held in trust for the Department, as the works copyrighted shall directly or indirectly have pertinence to the Department.

• See DOMDepartment Operations Manual 14020 for the publication of research reports and findings.

12060.4 Production of Publications in the Facility Print Shops

• Publications for public distribution may be produced in a vocational graphic arts print shop, but only with the prior approval of the Director. Publication of a sensitive nature (based on the IPAInformation Practices Act) shall not be produced in the CALPIACalifornia Prison Industry Authority (formerly PIA) or Vocational Education print shops as it would allow inmates access to such material.

• Public Distribution

  • “Public distribution” means documents that qualify under the Public Record Act, GCGovernment Code 6250 for distribution to the public, exceptions are specified within the Act but generally do not include the types of materials included in this Section. Publications for public use will be printed by OSPOffice of State Publishing, CALPIACalifornia Prison Industry Authority (formerly PIA), facility vocational education or commercial printer with approval from the Director or designee. These publications may include the annual report of the Department.

• Local Materials

  • Booklets and other written material (i.e., ISTIn-Service Training pamphlet, newsletter, etc.) reviewed by the Assistant Director, Communications, and approved by the Director may be produced within the facility, utilizing the facility vocational graphic arts print shops, and distributed locally upon written approval of the Warden. A copy of this approval shall be forwarded to the Assistant Director, Communications, for filing with the PMU at headquarters.

  • The vocational graphic arts print shops may print or reprint local procedures and the various ISTIn-Service Training manuals.

• Funds

  • Funds for the printing expenses must be available prior to the production of such books, reports, leaflets, or documents in the vocational graphic arts print shops of the facilities or by OSPOffice of State Publishing, DGSDepartment of General Services, and CALPIACalifornia Prison Industry Authority (formerly PIA) or a commercial printer.

• Prior to the submission of any copy to the vocational graphic arts print shop, the provisions of DOMDepartment Operations Manual 22040 shall be followed.

12060.5 Depository Libraries

• Publications produced by Department or at the State Printing Plant shall be sent to each complete depository library in the State.

  • Depository libraries are those libraries that apply to contract with the State, through DGSDepartment of General Services, to maintain all State publications.

• SAMState Administrative Manual 3122.2 et seq., address the distribution of publications outside the Department.

• Copies of the CCRCalifornia Code of Regulations are sent to depository libraries by OSPOffice of State Publishing.

12060.6 U.S. Copyright Act

• Rights of Copyright Owner

  • In the reprinting of copyrighted articles, or duplication of copyrighted films, video, or audio tape recordings, careful review and caution shall be exercised to protect the State and this Department from censure or civil suit. The U.S.United States Copyright Act states precisely which uses or rights are reserved exclusively to the copyright owner. Employees using or reprinting copyright materials shall have specific knowledge of copyright laws.

• Exclusive Rights

  • The Copyright Act gives to the copyright owner of books, periodicals, and all related contributions, the following exclusive rights:

    • To print and reprint. To print is not only to print in type but also to multigraph, write, duplicate on video or audiotape, film, or reproduce by any other means.

    • To publish. To publish means to reproduce in copies for sale or distribution to staff, inmates, parolees, or the public.

    • To copy. To copy includes any wholesale rewriting of the material, whether literal copying or not, and is not confined to literal repetition but includes various methods in which the matter of any publication may be adopted, initiated, or transferred with more or less colorable alteration.

    • To vend. To vend refers to the control by the copyright owner not only of the first sale but also of leases, licenses, and assignments.

    • To translate or make other versions.

    • To deliver or present in public for profit.

    • To make any transcription or record by which it can be exhibited, presented, or reproduced.

    • To play or perform it for profit, and to exhibit, represent, or reproduce it in any manner or any method whatsoever.

• Permission

  • Permission in writing shall be obtained in every case where a copyrighted item is reprinted. The original of the permission to copy shall be filed in the requestor’s division.

  • Permission to use copyrighted works must be granted by the copyright owner or the owner’s agent. If the copyright has been assigned, the assignee’s permission is needed. If it has been licensed, the copyright owner’s permission is needed. With joint owners, one will do, but both are better. Approval of requests to use copyrighted material may be delegated to the publisher.

  • For any extended reprint or quotation, specific rights that are given (i.e., periodical publication, use in a trade or text book, use of material from a specific edition or any other edition, etc.) should be in writing.

  • For all practical purposes, “copyright” and “all rights reserved” are one and the same.

12060.7 Infringement

• Magazine articles, short stories, poems, films, videotapes, audiotapes, television programs, motion pictures, computer software, video games and contributions to periodicals, newspapers, are usually copyrighted as part of the magazine, book, periodical, newspaper, video recording, motion picture, television program, computer software, video game, audio recording, if never before published.

• Illustrations, cuts, or pictures in a book are protected by the book copyright.

• Pictures that are not attached to the binding, but are in a separate pocket or folder, are protected by the book copyright.

• News, as such, is not subject to copyright since it is “fact” and therefore belongs to the public but reproduction of articles and television news segments for distribution may infringe on copyrights. Consult with the Assistant Director, Communications, or Deputy Director, LADLegal Affairs Division (see OLA), for guidance in advance of such reproduction.

• Material that has previously been copyrighted does not lose its copyright by being included in a government publication that is in the public domain.

• The copy does not have to be “sold” to be an infringement of the original.

12060.8 Use of Material

• A distinction must be made between use for libraries and classrooms and by other entities. Copies may be made by libraries and classrooms in the following situations:

• Libraries and Classrooms

  • To repair damaged printed works already contained in the library.

  • No copies of video or audio recordings, films, motion pictures, computer software are permitted without the expressed written permission of the copyright holder or possession of a license from the copyright holder for such reproduction.

  • To provide a small number of copies for in-house administrative work in the particular agency.

  • To provide attorneys and courts with a single copy for use in litigation.

  • To provide copies for library or classroom as long as the portion copied is not a substitute for the entire original work.

• Other Entities and Individuals

  • For entities other than libraries and classrooms:

    • No quotation over 500 words should be used without permission.

    • Use of anthologies, compilations, collections, symposia, digests, reprints, etc., should never occur without a notice which acknowledges the copyright status of borrowed material and without the written permission of the copyright owner.

    • Use of copyrighted material from periodicals or newspapers should be done only with written permission of the copyright owner.

• Quotations or material under foreign copyright should be handled the same as domestic copyrighted items.

• Any extensive, typewritten, multi-graphed, or privately printed copy, abridgment, outline, or digest of copyright material for distribution to a school, church, club, or similar group should be made only with the consent of the copyright owner.

• Department Publications

  • When copyrighted material is used in a Department publication, each facility, parole region, and division shall forward the printing request, and the original copy of the material to be printed and of the permission to copy to the Assistant Director, Communications, in headquarters.

  • The Assistant Director, Communications, shall have the original of the permission to copy filed in LADLegal Affairs Division (see OLA)-PMU.

12060.9 Audiovisual Works

• The Department will adhere to all copyright requirements related to audiovisual works.

12060.10 Employee Association Publications

• The provisions of this section shall not stop any association of employees from publishing an association newspaper or other publication. The provisions of DOMDepartment Operations Manual 12060.6 apply to Department employees when they contribute articles for association publications. Such publications shall be at the expense of the associations and shall not be prepared or reproduced, in whole or in part, at any facility vocational graphic arts print shop.

12060.11 Facility Publications

• For further information, readers are referred to DOMDepartment Operations Manual 53100, which covers facility publications.

12060.12 Revisions

• The Assistant Director, Communications, or designee, shall ensure that the content of this section is accurate and current.

12060.13 References

• 17 USC §§ 101 et seq.

• GCGovernment Code §§ 14900 et seq.

• SAMState Administrative Manual§ § 3122.2 et seq.

12070.1 Policy

• State issued telephones, facsimile (Fax) machines, and cellular type telephones shall be used for Official State Business only except for emergency situations where no other alternatives are available.

12070.2 Purpose

• The purpose of this Policy is to establish requirements regarding California Department of Corrections and Rehabilitation (CDCRCalifornia Department of Corrections and Rehabilitation) employee use of State issued telecommunication equipment and outline boundaries and security measures where this equipment is subject to inmate proximity. This Article refers to cellular telephones to include, but is not limited to, cellular, portable, mobile, etc., as cellular type telephones.

12070.3 Telephone

• Use of any State issued telephones as defined above shall be limited to conducting CDCRCalifornia Department of Corrections and Rehabilitation business with exceptions for employee’s personal calls provided; however, that such use of State telephones shall not incur additional charges to, or interfere with, the operation of the State and requires advance approval by an employee’s supervisor.

12070.4 Responsibility

• Headquarters’, Division of Support Services (DSS), Business Management Branch (BMBBudget Management Branch) is designated as the coordination point for telephone listings. BMBBudget Management Branch shall ensure that telephone directories are current.

• Communications Representatives

  • Communications representatives at the facilities shall review and sign the Standard (STDStandard Form (DGS)) Form 20, Telecommunications Service Request, prior to submission to the Department of General Services (DGSDepartment of General Services) or service provider. For all other operations, BMBBudget Management Branch shall serve as the communications representative.

• Supervisors

  • Supervisors shall inform employees of expectations and requirements regarding the use of all State issued telephones and shall monitor the use of them. This includes, but is not limited to:

    • Ensuring appropriate use of all State issued telephones.

    • Determining when permission may be granted for an employee to make a personal call on any State issued telephone.

    • Reviewing toll calls made by employees under their supervision (checking for abuses), as requested by Accounting Office personnel, and if deemed appropriate, initiating necessary corrective action, including a recommendation for disciplinary action.

    • Arranging for the collection of charges for personal calls made by employees.

12070.5 Switchboard Placements and Coverage

• Facility switchboards shall be placed in the control room or other location affording protection from the inmate population. Employees assigned to a particular shift, other than regular business hours and trained in the operation of the switchboard, shall provide coverage of the switchboard. A separate telephone operator shall be provided during regular business hours.

12070.6 Inmate Access to all State Issued Telephones

• Safeguards shall be implemented to ensure that inmates do not have access to any State issued telephones with the capability of placing/receiving outside calls. These safeguards may include, but are not limited to:

  • Locking rooms that contain telephones.

  • Using locking devices on telephones.

  • Unplugging telephones and removing them from inmate accessed locations.

  • Disconnecting telephone extensions from switchboards.

• State maintained facility telephone lines that have outside capabilities and which are accessible to inmates (to include residences on facility grounds) shall pass through facility switchboards.

  • Switchboard operators shall ensure that a State employee is answering at a given location by requesting name identification.

  • Inmates shall be required to answer a phone by saying, “inmate (name).”

12070.7 Emergency Lines (Facility)

• Wardens residing on facility grounds shall be provided with private direct dial telephone systems for emergency use.

12070.8 Emergency Lines (Camp)

• Based on the necessity for immediate availability of correctional employees in charge of camps, telephone service shall be provided to those camp lieutenants residing in State housing on the grounds. The cost of this telephone service shall be paid by the parent facility.

• The employees shall pay any expenses of personal telephone calls made from their residences to the parent facility.

12070.9 Private Telephone Lines

• Employees who live on facility/camp grounds shall make their own arrangements for personal telephone service directly with the telephone company. This service shall not pass through facility/camp switchboards.

• At several facilities there are residence phones that are tied to an inside-the-prison (nonpublic) telephone system. Existing systems shall continue to be used, but those systems shall not be expanded to include additional residences.

12070.10 Modification

• Facilities primarily own and operate their own telephone systems; however, some facilities may contract for certain telephone related services through local telephone companies. Any major modifications affecting the services rendered by telephone companies shall be submitted to the Telecommunications Division, DGSDepartment of General Services, through the facility business manager. Modifications to CDCRCalifornia Department of Corrections and Rehabilitation owned systems are not subject to the above.

12070.11 Telephone Credit Cards

• Telephone credit cards shall be issued to supervisors and managers and used in lieu of third party or collect telephone calls when possible.

• Telephone credit cards shall not be issued to staff except on a “need” basis with approval of the employee’s Branch Chief (headquarters employees) or facility business manager (for facility employees). Facilities shall obtain credit cards from their local telephone companies.

• Parole field agents, based upon the nature of their duties, shall be issued credit cards upon the approval of their unit supervisor.

12070.12 Telephone Listings

• The headquarters’ telephone directory shall be updated on a regular basis by the BMBBudget Management Branch.

• Off site headquarters’ buildings, facilities, and parole offices shall maintain separate telephone/employee information rosters. All changes, additions, or deletions shall be updated and retained locally.

• All revisions to State directories shall be directed to the BMBBudget Management Branch via respective division heads (or designees) for approval and transmittal to the Telecommunications Division, DGSDepartment of General Services, or the telephone company concerned.

• The Telecommunications Division, DGSDepartment of General Services, submits periodic revisions to the CDCRCalifornia Department of Corrections and Rehabilitation telephone listing coordinator for current updates of State telephone directories. Changes shall be forwarded to the facility or division’s communications representative for review and returned to the BMBBudget Management Branch with appropriate changes.

12070.13 Personal Use of Telephone

• When economically feasible for the local telephone company, pay telephones shall be made available for use by State employees and other persons who may need to make a personal call from CDCRCalifornia Department of Corrections and Rehabilitation facilities.

• Personal long distance calls

  • Personal long distance calls shall not be made from State issued telephones (with or without telephone credit card issued by CDCRCalifornia Department of Corrections and Rehabilitation) unless:

    • An employee’s supervisor has authorized the call.

    • Arrangements have been made for the call to be either:

    • Billed to the caller’s home telephone.

    • Placed collect.

• Personal local calls

  • Personal local calls shall be made:

    • During breaks or lunch periods.

    • Never on State issued cellular, portable, and/or mobile telephones, except in emergencies outlined below.

• Emergency phone calls

  • Emergency phone calls shall be made when no other alternatives are available. If the emergency is of a personal nature, the employee shall reimburse the State. If the emergency is not personal and the employee uses their own telephone, the employees can be reimbursed using a travel claim.

12070.14 Privacy of Authorized Calls

• Authorized personal phone calls by an employee shall not be monitored or recorded.

• The wiretapping or monitoring of authorized/unauthorized personal calls, confidential or not, by CDCRCalifornia Department of Corrections and Rehabilitation employees over CDCRCalifornia Department of Corrections and Rehabilitation or State telephone systems is prohibited except as authorized by an order of a court having jurisdiction over the institution, facility, or office, and obtained under Penal Code (PCPenal Code) Section 629.50 et seq., or as authorized under PCPenal Code 633. These exceptions apply only to the investigation of cases involving criminal conduct by employees and/or inmates. In all cases where CDCRCalifornia Department of Corrections and Rehabilitation investigators request court orders under PCPenal Code 629.50 et seq., or through local law enforcement involvement under PCPenal Code 633, the Deputy Director, Law Enforcement and Investigations Unit will first be notified.

• Wiretapping or monitoring of employee telephone calls in cases involving administrative violations is prohibited.

12070.15 Telephone Etiquette

• When answering the telephone, certain rules of etiquette shall prevail as follows:

  • Arrangements shall be made for staff to answer the telephone at all times during working hour (Monday – Friday, 8:00 a.m. – 5:00 p.m.). In noncustody environments, use of voice message systems may be used sparingly in absence of staff and ensuring all messages are responded to in a timely manner.

  • Staff answering the telephone shall clearly identify themselves and the office in which they are working. Staff shall be courteous and tactful.

  • If staff cannot assist the caller, they shall refer the caller to a knowledgeable source.

  • Supervisors and/or staff shall keep employees who answer their telephones informed as to their whereabouts and/or approximate time of return.

  • If the supervisors and/or staff requested are unavailable, the caller shall be asked if they wish to leave a message or be transferred to the employee’s voice mail (if appropriate).

  • Telephone messages shall be accurately recorded on STDStandard Form (DGS) Form 7, Message Transmittal.

  • If supervisors or their staff want to know who is calling prior to accepting a call, the employee answering the phone shall ask who is calling in a polite manner.

  • If it is necessary to place a caller on hold, let the caller know that this is being done. The caller should not be kept on hold for an extensive length of time. Check with the caller periodically to assure the caller that they have not been forgotten.

• Office and facility directions should contain instructions for placing long distance calls, conference calls, and other services depending upon the system used.

12070.16 Transfer of Calls

• If a party is calling from an outside number, the call may be transferred. Before transferring a call, the calling party should be informed of the number to which the call is being transferred in the event of disconnection.

12070.17 Facsimile

• Numerous fax machines are located throughout the CDCRCalifornia Department of Corrections and Rehabilitation for transmitting urgent information between field locations and headquarters. These include, but are not limited to:

  • Transmissions of all serious Incident Reports.

  • Sending and responding to requests for emergency/urgent information needed by headquarters and/or facilities.

  • Economic transmission of information.

• General Information

  • Because of the nature of operations, the use of Signature stamps by officials and employees in the performance of official duties is prohibited in all facilities of CDCRCalifornia Department of Corrections and Rehabilitation when transmitting via fax. In order to reduce multiple signing requirements on the part of key personnel, assistants may be extended the authority to sign in their behalf.

  • Regional parole offices shall transmit emergency incident reports and other urgent information to the fax machine located in the Division of Adult Parole Operations, headquarters.

  • Incident reports received by the Division of Adult Institutions, Identification and Warrants Unit, shall be delivered to the appropriate employees.

  • The fax machines shall not be used as a substitute for the mail system unless economically feasible. Monthly reports, operational procedures, and general informational items shall not be transmitted unless specifically requested by a Deputy Director or Associate Director.

    • Facilities: Fax machines shall be housed in a secure area, accessible only to staff.

    • Regional parole offices and field offices: Fax machines in these locations shall be housed in a secure area, accessible only to staff.

• As with telephones and other equipment, fax machines are to be used for official CDCRCalifornia Department of Corrections and Rehabilitation business only.

12070.18 State Issued Cellular (Portable, Mobile, etc.) Type Telephones

• The following outlines classifications/titles and functions that have been designated for assignment of cellular telephones at management discretion:

  • Secretary

  • Undersecretary

  • Executive Director

  • Assistant Secretarys

  • Chief Deputy Secretarys

  • Directors

  • Chief Deputy Director

  • Regional Administrators

  • Parole Regional Administrators

  • Ombudsmen

  • Chief Medical Officers

  • All Case Carrying Parole Agents

  • Special Agents

  • Wardens

  • Chief Deputy Wardens

  • Associate Wardens

  • Correctional Administrators

  • Health Care Managers

  • Crisis Response Team Commander

  • Tactical Leader

  • Negotation Leader

  • Units with staff involved in the transport of inmates and those units that are required to work at locations where there are no communication devices available.

  • Staff who are required to travel outside of their office and/or outside of normal business hours. The cellular telephones will be assigned to each unit rather than an individual. The units will assign cellular telephones to individuals on an as need basis.

• All requests for purchases of new cellular telephones outside of this policy require the written approval of the appropriate, Director, Deputy Director, Associate Director, or Warden or Chief Deputy Warden.

• There will be no personal cellular type telephones, Personal Digital Assistants (PDAParole District Administrator), or other equipment with these capabilities allowed within any institution setting with the exception of a true medical condition approved by the Warden accompanied with a doctor’s statement with a beginning and ending date.

• If staff chooses to bring the above listed devices into an institution setting without prior approval, they may be subject to disciplinary action. Leave personal cellular type telephones, PDAs, or other equipment with these capabilities at home or in personal vehicles.

• Purchasing/Replacing a State Issued Cellular (Portable, Mobile, etc.) Telephone

  • The Department of General Services has entered into a California Multiple Award Schedules (CMAS) and Western States Contracting Alliance (WSCA) with multiple providers for cellular type telephone equipment and service. For a current list of cellular type telephone equipment and service providers, contact the BMBBudget Management Branch. Institution staff will need to refer to the CMAS/WSCA for a current list of cellular providers and general terms and conditions.

  • If a field office/institution is outside of the service areas that the CMAS/WSCA covers, it is permissible to enter into a contract with a local vendor. Contact the Office of Contract Services for information and instructions.

  • To purchase or replace a cellular type telephone(s), submit a signed BMBBudget Management Branch Services Request (SR) with a completed Intra-Office Requisition, CDC Form 954, to BMBBudget Management Branch, signed by a Staff Services Manager III or above, or designee. Institution staff will need to submit the completed CDC 954 to their respective Business Services Office. All information will need to be included on the CDC 954. A rate plan guide will be provided by BMBBudget Management Branch upon request to the divisions/offices/regions telecommunications contact. Each Institution Business Services Office can request a rate plan guide directly from contracted service providers.

  • If a cellular type telephone is inoperable or obsolete and is no longer used, staff must notify BMBBudget Management Branch using a SR to have the service discontinued so that there are no further charges. Institution staff will need to contact their Business Services Office for direction. Cellular telephones must be surveyed out by completing a Request for Disposition of Equipment or Furniture (STDStandard Form (DGS) 152) form. Send the completed request along with the inoperable/obsolete cellular telephone(s) to BMBBudget Management Branch. Institution staff will need to submit their completed request to the Business Services Office.

• Lost, Stolen, or Destroyed Property Equipment

  • If a cellular type telephone is lost, stolen, or damaged, the employee must notify BMBBudget Management Branch or the Business Services Office at the Institution to have the service discontinued so that there will be no further charges. Lost, stolen, or damaged cellular type telephones must be surveyed by completing a STDStandard Form (DGS) 152 form.

  • The State Administrative Manual (SAMState Administrative Manual) Section 8643 states: “Whenever property is lost, stolen, or destroyed, departments will prepare a STDStandard Form (DGS) 152 form. The department will adjust its property accounting records and retain the Property Survey Report as documentation.” The report will contain: “(1) A description of the events; (2) Precautions to be taken to prevent repeat situations; and (3) A statement that the California Highway Patrol (CHPCalifornia Highway Patrol) has been notified. Losses of State Property due to fraud or embezzlement will be reported to Department of Finance, Office of State Audits and Evaluations and the Bureau of State Audits. See SAMState Administrative Manual Section 20060. Employees may be charged for any loss and damages to State Property due to negligence or unauthorized use.” It is at the discretion of the Hiring Authority for each Division/Parole Region to determine if an employee will be required to reimburse the State (CDCRCalifornia Department of Corrections and Rehabilitation) for the cost of replacement equipment.

• Purchasing of Accessories

  • It is prohibited to purchase any accessories outside of the normal purchasing process. (DOMDepartment Operations Manual 22030.3 “No employee shall commit to a vendor for the purchase of merchandise or services prior to receiving approval and the preparation of a purchase document.”) Purchases are not to be made through a local vendor and charged against cellular telephone accounts. Any purchases obtained by this means are subject to being charged back to the employee.

• Issuance and Tracking of Cellular Type Telephones

  • When a cellular type telephone is purchased and received, BMBBudget Management Branch or the Institution Business Services Office will place a property tag on the cellular telephone to track as sensitive equipment. The cellular type telephone will be activated and assigned to the appropriate division/office/region/institution.

  • BMBBudget Management Branch or the Business Services Office at the Institution will track the assignment of cellular type telephones by maintaining a tracking log. Cellular type telephone service charges are billed monthly directly to the respective division/office/region/institution.

• Changing Rate Plans

  • To change a rate plan, contact BMBBudget Management Branch by telephone or e-mail. A division/office/region can request the most recent rate plans offered by their service provider. After reviewing the plans and making a selection, the division’s/office’s/region’s liaison must contact the BMBBudget Management Branch analyst with the new calling plan name(s) and all cellular numbers to be placed under the new plan. Institution staff will need to contact their Business Services Office for directions. Changes to calling plans will only be made once every three months.

• Changing Service Provider

  • Changing service providers involves changing existing equipment, which can be costly and inconvenient. Service providers (i.e., AT&T Wireless or Nextel) will not activate cellular telephones not purchased directly from them. To change providers, submit SR to BMBBudget Management Branch accompanied by a CDC Form 954 purchasing new cellular telephone(s), accessories, and service provider. Institution staff will need to submit the completed forms to their respective Business Services Office.

12070.19 Revisions

• The Director, DSS, or designee shall be responsible for ensuring that the contents of this Article are kept current and accurate.

12070.20 References

• PCPenal Code §§ 629.50 et seq., and 633 State Administrative Manual, Chapter 4500 State Administrative Manual §§ 8643 and 20060

13010.1 Policy

• Correctional institutions and programs are operated at public expense for the protection of society and to facilitate the successful reintegration of incarcerated people back to their communities. The public has a right to know how such facilities are operated and programs are being conducted. It is the policy of the California Department of Corrections and Rehabilitation (CDCRCalifornia Department of Corrections and Rehabilitation) to make known to the public, through the media, through contact with public groups and individuals, and by making its public records available for review by interested persons, all relevant information pertaining to the operations of CDCRCalifornia Department of Corrections and Rehabilitation institutions. However, consideration will be given to all factors which might threaten the health and safety of the institution in any way and of those who work, live and visit them; glamorize crime or individual criminals; or unnecessarily intrude upon the personal privacy of incarcerated people and staff. Wardens, Regional Parole Administrators (RPAs), and their designees shall provide a professional bridge of communication linking the public in a transparent manner to the CDCRCalifornia Department of Corrections and Rehabilitation. 

13010.2 Purpose

• This Article defines responsibilities for relaying information to the public by designated staff. It specifies who shall make contact with the media, how and when the media may enter facility grounds, for what purposes, and what access can be provided to news and non-news media representatives.

13010.3 Requirements

• The purpose of CDCRCalifornia Department of Corrections and Rehabilitation’s Public Information Program is to make known to the public all relevant information pertaining to the operations of the CDCRCalifornia Department of Corrections and Rehabilitation. This occurs through the media, through the CDCRCalifornia Department of Corrections and Rehabilitation website and social media platforms, through contact with public groups and individuals, and by making its public records available for review by interested persons. CDCRCalifornia Department of Corrections and Rehabilitation’s public information efforts require an attitude of cooperation, sensitivity and responsiveness in dealing with the media.

• The CDCRCalifornia Department of Corrections and Rehabilitation has the responsibility to protect the privacy, safety, and other rights of incarcerated people and staff members. Furthermore, the CDCRCalifornia Department of Corrections and Rehabilitation is committed to protecting crime victims and their next of kin from the unnecessary disclosure of information that may traumatize victims, family, and friends or glamorize criminals and their actions. Accordingly, news and non-news media access to an institution shall be regulated to ensure the orderly and safe operation of that facility.

• Further guidance can be obtained from California Code of Regulations (CCRCalifornia Code of Regulations), Title 15, Division 3, Sections 3170 through 3176.4, 3179, 3260 through 3266, and 3450.

13010.4 Designation of Public Information Officers (PIO)

• Each institution, community reentry facility, and the Division of Adult Parole Operations (DAPODivision of Adult Parole Operations (formerly P&CSD)) shall designate an appropriate staff member as a Public Information Officer (PIOPublic Information Officer) as described in subdivision (c). The PIOPublic Information Officer in conjunction with the designated information officer in the Office of Public and Employee Communications (OPECOffice of Public and Employee Communications) shall coordinate public information and community relations programs. The Press Secretary and the Chief of Strategic Communications or their designees shall be notified when a new PIOPublic Information Officer has been selected.

• Each institution, community reentry program, and DAPODivision of Adult Parole Operations (formerly P&CSD) shall have a designated staff member on duty or available by telephone and email to the media at all times. Basic responsibilities include responding to media inquiries with factual details after consulting with the Administrative Officer of the Day (AODAdministrative Officer of the Day), OPECOffice of Public and Employee Communications, the OPECOffice of Public and Employee Communications AODAdministrative Officer of the Day and/or the regular PIOPublic Information Officer.

• Institution PIOs shall be the warden’s or institution head’s Administrative Assistant, Correctional Lieutenant, or equivalent non-custody classification. Parole region PIOs shall be the RPARegional Parole Administrator or Chief Deputy Administrator RPARegional Parole Administrator. Community reentry facilities shall include a designee from the Division of Rehabilitative Programs.

13010.5 Media Representatives

• Media representative, as defined in CCRCalifornia Code of Regulations 3261.5(a)(1) and (2), includes news media representatives and non-news media representatives. 

  • News media representative is a journalist who works for, or is under contract to, a newspaper, magazine, wire service, book publisher, website, podcast, radio or television program or station, or who through press passes issued by a governmental or police agency, can demonstrate that they are a bona fide journalist engaged in the gathering of information for distribution to the public.

  • Non-news media representative is an individual in the publishing and broadcasting media who is not included in CCRCalifornia Code of Regulations 3261.5(a)(1). A non-news media representative may include editorial researchers, freelance writers, authors of books, independent podcasters, independently-produced websites, production companies and independent filmmakers involved with the production of broadcast or print endeavors including, but not limited to, features, documentaries, series, motion pictures, commercials, and pilots for proposed news or entertainment programs.

• A current list of the names and contact information of news media representatives who usually cover the institution or parole region office shall be readily available to those officials authorized to issue news releases and statements. News media representatives shall be advised to contact the CDCRCalifornia Department of Corrections and Rehabilitation Press Office when they are seeking information.

• Volunteers or contractors who operate programs within adult institutions may document their program, either through photo, audio or video recording. Their requests to document their programs shall be granted as long as the institution PIOPublic Information Officer or designee is available during the time the recording will occur. Such designees may include, Community Resources Managers, correctional staff, principals and staff program facilitators. The processing of film requests is to be facilitated by OPECOffice of Public and Employee Communications.

13010.6 Media Information Practices

• The following provisions shall be considered as guidelines:

  • News and all the factors associated with it are highly variable.

  • No set of rules will cover all situations.

  • Clarify what the reporter is seeking.

  • Prepare your response.

  • Ensure accuracy by fact-checking with the appropriate departmental division, unit or person.

  • Develop a strategic message.

  • Know your policies and regulations.

  • Never speculate or guess.

  • Communicate clear and accurate information. Use talking points to help you stay on message.

  • Do not disclose confidential information.

  • Confer with OPECOffice of Public and Employee Communications for guidance, coordination, and approval.

  • Institution PIOs shall immediately notify OPECOffice of Public and Employee Communications and their respective chain of command within their division (e.g., Associate Director, Director) of any occurrence or situation of unusual, critical, significant, potential, or prolonged media interest. The Assistant Secretary or designee will then notify the Secretary as needed. Examples include:

    • Incidents involving fatalities, high-profile incarcerated person or parolee, crisis or  high-profile situations including uses of deadly force, civilian deaths due to parolee criminal behavior, riots and multiple cell extractions.

    • Mass disturbances, labor actions, escapes, walkaways, accidental releases, issues or incidents that place the CDCRCalifornia Department of Corrections and Rehabilitation in an unfavorable or unpopular light, homicides and suicides, assaults on staff causing great or serious bodily injury, employee arrests, and issues or incidents that place the CDCRCalifornia Department of Corrections and Rehabilitation in a position of defending against incorrect perceptions or allegations.

    • Any significant, potential, or prolonged inquiry by major, national or international media; a media investigation; a California Public Records Act request from a member of the media; and anything else of concern to the CDCRCalifornia Department of Corrections and Rehabilitation or the administration including ballot measures, audit reports, lawsuits, regulation submissions to the Office of Administrative Law, the death penalty including scheduled executions, major motion picture requests, public demonstrations and social media campaigns.

    • Incidents likely to attract routine media interest.

• Written news or press releases and media advisories, except for escape bulletins, shall be approved by the Assistant Secretary, Communications, or designee before distribution. 

  • A written news or press release is a document sent to the news media and other interested parties containing newsworthy information. It is usually written in the form of a newspaper article and often features quotes from the officials or newsmakers involved. It is usually distributed by email or in a press packet. CDCRCalifornia Department of Corrections and Rehabilitation posts its press releases on its website and may link to them from its official social media platforms and in responses to journalists.

  • A media advisory is a document which alerts the media to a specific event. It is usually written in a “who, what, where, when and why” format. It is often sent out to alert the media of a news conference or some other event where their presence is desired or expected.

  • A press or news conference is an event where PIOs or other speakers are present to tell the media about a newsworthy subject. Speakers can include officials involved in the newsworthy subject being discussed. It is an opportunity for members of the media to receive information as a group and ask questions.

13010.7 General Inquiries

• Requests for information shall be given prompt attention. Inquiries addressed to a specific facility requesting information about the history or operation of a facility may be answered by the facility. However, if clarification regarding the communication or a matter of policy is involved, seek the assistance of the Assistant Secretary, Communications, or their designee in OPECOffice of Public and Employee Communications. 

• Unusual or repeated inquiries or letters shall be reported to the Assistant Secretary, Communications or designee. Requests for information about CDCRCalifornia Department of Corrections and Rehabilitation issues, requests involving other segments of the CDCRCalifornia Department of Corrections and Rehabilitation, or requests from other State agencies shall be referred for reply to the Assistant Secretary, Communications, or their designee in OPECOffice of Public and Employee Communications. Requests for public records shall be processed in accordance with DOMDepartment Operations Manual, Chapter 1, Article 16.

13010.8 Media Access to Institutions and Facilities

• Access to an institution, facility, or contract facility for a news media representative shall require approval of the institution head and the Assistant Secretary, Communications or their designees. Access to an institution, facility or contract facility for a non-news media representative shall require prior approval of both the institution head and the Assistant Secretary, Communications or their designees. Access to facilities providing health care requires approval of the institution head, the Health Care Chief Executive Officer (CEO), and the Assistant Secretary of Communications or their designees. For each request for access from a news media representative or non-news media representative, the institution head or OPECOffice of Public and Employee Communications shall provide an initial response within two (2) working days. Non-news media representatives must provide proof of employment by a bona fide publication or production company, or have evidence that such a company has contracted to purchase the completed project prior to approval. Non-news media representatives’ and rehabilitative program providers’ requests for access to departmental facilities, on-duty staff, or incarcerated people shall include project and production details as necessary to determine security and operational impacts. Non-news media representatives and rehabilitative program provider’s film productions require a California Film Commission permit, along with evidence of financial responsibility and general and automobile liability insurance in an amount not less than $1 million indemnifying and defending the State of California, its officers, employees, and agents against any lawsuits. Automobile liability insurance is not required if no vehicles are used in or for filming. Statutory Workers’ Compensation and Employers’ Liability are also required. If a company has no employees, a Workers’ Compensation waiver letter must be submitted to the California Film Commission.

• Within an institution, all media representatives shall be under direct supervision of the Public Information Officer (PIOPublic Information Officer) or their designee. Media representatives shall not enter the lethal injection facility, the gas chamber, Psychiatric Inpatient Program units, mental health crisis bed units, the Protective Housing Unit, restricted housing units, or any area currently affected by an emergency situation without approval of the Secretary or designee. Access to any secured area where lethal weapons are maintained requires prior approval of the institution head. The institution head may allow access to an area outside the secure perimeter of a facility to news media representatives.

• News media representatives shall be given general access to all areas of community-based correctional centers and facilities under contract to CDCRCalifornia Department of Corrections and Rehabilitation including but not limited to the Division of Adult Parole Operations (DAPODivision of Adult Parole Operations (formerly P&CSD)) and the Division of Rehabilitative Programs (DRPDivision of Rehabilitative Programs) only with prior approval of the Regional Parole Administrator (RPARegional Parole Administrator), and DRPDivision of Rehabilitative Programs Community Correctional Administrator when accompanied by a PIOPublic Information Officer or designee.

• Prior to their visit to an institution or facility, news and non-news media representatives shall read and sign the CDCRCalifornia Department of Corrections and Rehabilitation Form 181, Primary Laws, Rules, and Regulations Regarding Conduct and Association with State Prison Incarcerated Persons, which is a digest of state laws and departmental rules and regulations.

• All requests for transmission by microwave, satellite, Ethernet, cellular, Wi-Fi, Bluetooth and any other form of voice, video and data transmission hereafter devised from a correctional facility shall be directed to the Assistant Secretary, Communications, for approval or disapproval.

• All requests for transmission by microwave, satellite, Ethernet, cellular, Wi-Fi, Bluetooth and any other form of voice, video and data transmission hereafter devised from a correctional facility shall be directed to the Assistant Secretary, Communications, for approval or disapproval.

• Under no circumstances will cell phones, smart phones or any devices with video and still-camera capability be permitted in correctional facilities without written authorization from the Assistant Secretary, Communications, or their designee and the warden.

• News and non-news media representatives may be allowed controlled access under institution escort to patients and their housing areas in order to safeguard the public’s right to know while respecting patients’ legal right to health care privacy, subject to CCRCalifornia Code of Regulations Title 15, section 3261.6 and DOMDepartment Operations Manual section 13010.15.3. There may also be limited or restricted access to other areas including towers, control booths, protective housing units, reception centers, and other areas that affect the security of the institution. The intent of this section is to encourage all reasonable cooperation with and access for reporters and their technical crews within available resources consistent with the safe and secure operations of CDCRCalifornia Department of Corrections and Rehabilitation institutions without undue interruption of programming and services. Institution heads and the DAPODivision of Adult Parole Operations (formerly P&CSD) headquarters PIOPublic Information Officer in consultation with OPECOffice of Public and Employee Communications may impose limitations on or set conditions for media access when, in their judgment, such access would constitute an immediate threat to safety and security, generate serious operational problems, or disrupt programming and services. In the event of a disturbance that may, in the opinion of the institution head or their designee, threaten the safety and security of the institution or any person, media representatives shall be escorted to safety. The Assistant Secretary, Communications, or designee, shall be notified as soon as possible of such occurrences.

• Program providers may submit a request in writing to OPECOffice of Public and Employee Communications to take photos of their rehabilitative programs. No further location agreement or film permit is needed. A PIOPublic Information Officer or their designee must review and approve photos to be used.

• The Assistant Secretary, Communications, or designee, is available to mediate disputes with the media.

13010.9 Public/Media Notice of Escapes

• In the event of an actual or suspected escape or walk away from an institution, minimum support facility, conservation camp, community reentry program, community-based facility, health care facility or transportation vehicle, in which participants are considered to be under CDCRCalifornia Department of Corrections and Rehabilitation custody and not parolees, the institution, regional PIOPublic Information Officer, RPARegional Parole Administrator, or off-hours designee shall notify by the fastest means possible (i.e., email, telephone), radio stations, television stations, and newspapers in surrounding communities, as well as the escapee’s home community, of pertinent information about the escapee. 

• The PIOPublic Information Officer or designee shall work with OPECOffice of Public and Employee Communications and the Office of Correctional Safety (OCSOffice of Correctional Safety) to write a formal press release to be distributed to media in the escapee’s last known location and county of commitment. The press release will be posted on the CDCRCalifornia Department of Corrections and Rehabilitation website and may be shared on CDCRCalifornia Department of Corrections and Rehabilitation’s official social media platforms. Such information which can be provided to the media in a press release shall include, but not be limited to, the missing escapee’s: 

  • Name, CDCRCalifornia Department of Corrections and Rehabilitation number, and age.

  • Physical description, including race and/or ethnicity, gender, height, weight, hair and eye color, any distinctive scars or tattoos, and clothing.

  • Estimated time of disappearance and other pertinent details as approved for disclosure by OCSOffice of Correctional Safety.

  • County of commitment.

  • Commitment offense.

  • Possibility of being armed or being a danger to the community.

  • Most recent photograph.

  • Inform the news media of the department’s search efforts and cooperation with local law enforcement agencies to apprehend the escapee.

• In the event of an escape or walkaway by a county offender from a CDCRCalifornia Department of Corrections and Rehabilitation fire camp, CDCRCalifornia Department of Corrections and Rehabilitation shall initiate the efforts to apprehend the county offender and make all notifications as required by state law the same way it does for any other CDCRCalifornia Department of Corrections and Rehabilitation escapee. CDCRCalifornia Department of Corrections and Rehabilitation will also notify the county of commitment and be responsible for all first reports, which will be filed with the district attorney’s office.  

13010.10 Media Inquiries

• Media inquiries shall be given high priority. Upon receipt of a news media inquiry, the media representative’s contact information shall be obtained, including their name, affiliation, telephone number, email address and deadline. The news media representative shall be referred to OPECOffice of Public and Employee Communications for official contact. Facts shall be gathered as quickly as possible and provided to OPECOffice of Public and Employee Communications and the appropriate PIOPublic Information Officer, who will decide who will follow up with the inquirer. If the requested facts are not known or are otherwise unavailable, the inquirer shall be so informed along with the reasons why the information is not available. If the information cannot be quickly secured, a progress report shall be given to the inquirer.

• An official authorized to respond to media inquiries shall be available at all times. Officials shall be thoroughly familiar with CDCRCalifornia Department of Corrections and Rehabilitation, institution, or parole region policies and procedures. Officials shall not speculate or guess when answering inquiries or in issuing releases.

• A person making an inquiry shall not be referred to another departmental source by the PIOPublic Information Officer. The information shall be collected by the PIOPublic Information Officer receiving the inquiry, and then relayed to the inquirer upon approval from OPECOffice of Public and Employee Communications.

• When a media inquiry is received, the fact that the inquiry was made shall not be volunteered to another media representative. No information developed to answer a media person’s inquiry shall be provided to another media person unless it is in response to a separate inquiry from them on the same subject. This does not apply to responses to California Public Records Act (CPRA) requests when the requestor asks for CPRA responses previously provided.

• Staff shall not comment on any active or pending lawsuit or other legal action. Responses to specific allegations of a lawsuit or legal action shall be directed to the Assistant Secretary, Communications and the Office of Legal Affairs. Staff shall not comment on proposed legislation. Requests for comment on proposed legislation shall be directed to the Assistant Secretary, Communications, and the Office of Legislation.

13010.11 Authorized Release of Information

• The only data that may be released to the media or to the public about an incarcerated person or parolee without a valid written authorization from the incarcerated person or parolee is limited to the following: 

  • Name.

  • Age.

  • Race and/or ethnicity.

  • Birthplace.

  • County of last legal residence.

  • Commitment offense.

  • Date of admission to CDCRCalifornia Department of Corrections and Rehabilitation and CDCRCalifornia Department of Corrections and Rehabilitation number.

  • Facility assignments and a general description of behavior.

  • Patient health condition given in short and general terms that do not communicate specific medical information about the individual, such as good, fair, serious, critical, treated and released, or undetermined.

• These are standard terms acceptable under Health Insurance Portability and Accountability Act (HIPAA) laws and the guidelines of the California Association of Hospitals and the American Hospital Association. The term “stable” should not be used as a condition.
  These terms are defined as follows: 

  • Undetermined – Patient is awaiting physician assessment.

  • Good – Vital signs are stable and within normal limits. Patient is conscious and comfortable. Indicators are excellent.

  • Fair – Vital signs are stable and within normal limits. Patient is conscious, but may be uncomfortable. Indicators are favorable.

  • Serious – Vital signs may be unstable and not within normal limits. Patient is acutely ill. Indicators are questionable.

  • Critical – Patient may be unconscious. Indicators are unfavorable.

  • Treated and Released – Received treatment but not admitted.

  • Manner of death as natural, homicide, suicide, accidental or executed. A death will only be confirmed after next-of-kin notification has been made. CDCRCalifornia Department of Corrections and Rehabilitation does not determine or release a person’s cause of death – coroners do. News and non-news media representatives should be referred to the coroner of the county where the deceased person passed away in order to obtain an official cause of death.

  • Sentencing and release actions, including month and year of current parole eligibility date.

• Generally, it is appropriate to provide all data which is a matter of public record. However, the Criminal Identification and Investigations Report (rap sheet) shall not be used as a source. Under law, information on the rap sheet is not a public record and shall not be used to furnish information concerning an incarcerated person’s or parolee’s arrest history to any person other than a sworn member of a government law enforcement agency. Information about the state prison history of parolees or previously incarcerated people, who have been arrested or are under investigation by an outside law enforcement agency, will only be released with the authorization from the arresting or investigating agency. 

• Except as provided by applicable federal and state law, no person shall disclose any protected health information that identifies an individual without a complete CDCRCalifornia Department of Corrections and Rehabilitation Form 146-HCHigh Control, Health Information-Photography and Video Consent Supplement (Rev. 12/22). Federal law also protects the individually identifiable health information about a decedent for 50 years following the date of death of an individual. 

• No person shall disclose specific information involving an incarcerated person’s medical history, educational test scores, psychological test results, classification scores, or information provided on employment or educational applications. Information on a CDCRCalifornia Department of Corrections and Rehabilitation Form 115, Rules Violation Report, that has not been affirmed by administrative review should be general in scope and referenced as allegations, such as “xxxx has been charged with….”  Disciplinary information should be general in scope and should be limited to the number of adjudicated RVRs, whether they were serious or administrative, and the finding (guilty, not guilty).

• Pursuant to DOMDepartment Operations Manual Section 86060.5, CDCRCalifornia Department of Corrections and Rehabilitation often receives requests from the news media for information about current and former incarcerated people and parolees. The CCRCalifornia Code of Regulations Title 15 Section 3261.2(e) specifies what can be shared with the media about an offender. An offender’s authorization is not needed. When receiving a request from the news media for a photograph or commitment offense information of an offender, the first point of contact is OPECOffice of Public and Employee Communications. OPECOffice of Public and Employee Communications will make a reasonable effort to determine whether the offender is the subject of a law enforcement investigation or prosecution. If so, OPECOffice of Public and Employee Communications will advise that agency of the media’s request and ask if sharing the offender’s information and/or photograph at that time might hamper the investigation. If the law enforcement or criminal justice agency specifically requests that the information and/or photograph be temporarily withheld, OPECOffice of Public and Employee Communications will relay that decision to the news media, along with the contact information for the agency for any needed follow-up. Reporters have the option of submitting a request pursuant to the CPRA.

13010.12 Authority to Contact Media

• The authority granted to institutions and DAPODivision of Adult Parole Operations (formerly P&CSD) to release information regarding an institution incident or newsworthy event does not extend to non-designated employees unless specifically authorized by the warden, institution head, DAPODivision of Adult Parole Operations (formerly P&CSD) headquarters PIOPublic Information Officer or OPECOffice of Public and Employee Communications.
  Employees of CDCRCalifornia Department of Corrections and Rehabilitation shall not generate or initiate news media contact on behalf of CDCRCalifornia Department of Corrections and Rehabilitation regarding incidents or newsworthy events without prior approval to do so. Employees who believe that a particular event is newsworthy shall first seek the guidance and permission of the PIOPublic Information Officer, who shall seek appropriate authorization and make notification to the Assistant Secretary, Communications, or their designee in OPECOffice of Public and Employee Communications. Community Resources Managers and contractors and volunteers who run programs or events inside institutions shall not invite news or non-news media representatives into prisons without the permission of the institution PIOPublic Information Officer and OPECOffice of Public and Employee Communications.

13010.13 Breaking News

• Through PIOs and with authorization from the Assistant Secretary, Communications, institutions, community reentry facilities, and parole offices are encouraged to release breaking news such as information about escapes and major incidents. The PIOs are authorized to release related photographs if available, subject to DOMDepartment Operations Manual, Sections 13010.16 – 13010.17.3.

• The institution, community reentry facility, or parole office shall initiate release of breaking news under the guidance of OPECOffice of Public and Employee Communications and within regulations, policies and communications objectives. It shall be done as soon as practical before or soon after the event. The release shall be made simultaneously to all reporters or media who cover the institution or parole office if possible. Each shall be provided the same information which can be provided verbally. When contacting the media by telephone, PIOs shall develop a well-supported oral or written statement or talking points. This ensures consistency and accuracy in releasing breaking news.

• Every effort shall be made to release constructive news concerning the institution, community reentry facility or parole office. Information concerning programs and activities including blood donations, rescues, graduations, art shows, charitable activities, fundraisers for non-profit organizations, and concerts are possible subjects.

13010.14 Informing the Secretary

• The Assistant Secretary, Communications, shall inform the Secretary of events likely to attract significant or prolonged news media attention.  This includes statements, advisories, and releases given to news media, as well as instances in which reporters enter facilities or institutions to cover activities or randomly interview incarcerated people.

13010.15 Routine Media Interviews

• Media representatives may be permitted random face-to-face interviews with incarcerated people housed in facilities under the jurisdiction of CDCRCalifornia Department of Corrections and Rehabilitation.  Such interviews shall be conducted as stipulated by the institution head, including restricting the time, place, and duration of interviews, and size of technical crews. Random interviews of individuals involved in a specific activity or program, or encountered while covering an institution activity or event, shall be limited to the time, areas, and segments of the facility population designated by the institution head. It is advisable to contact CDCRCalifornia Department of Corrections and Rehabilitation’s Office of Victim and Survivor Rights and Services when incarcerated people have been interviewed by news and non-news media representatives for victim notification. No incarcerated person shall be interviewed against their will. 

• Pursuant to state law, incarcerated people may not participate in specific-person face-to-face interviews. CDCRCalifornia Department of Corrections and Rehabilitation employees shall not coordinate or arrange an interview in advance with a specific incarcerated person and a member of the media nor provide media access to a specific incarcerated person. News and non-news media representatives shall be allowed to conduct in-person interviews of incarcerated persons in accordance with the visiting requirements of CCRCalifornia Code of Regulations Title 15 section 3170 through 3176.3. 

• Cameras and Recording Equipment

  • The institution head or designee shall approve the use of cameras or recording equipment in advance. A location agreement and a film permit from the California Film Commission may be required for filming and photographing on state property by 
    non-news media representatives and rehabilitation program providers.

• Security Arrangements

  • Media representatives are to be accommodated, whenever possible, at the institution within business hours using on-duty personnel. In certain situations, CDCRCalifornia Department of Corrections and Rehabilitation may incur additional staffing costs. Media representatives or their organizations will be required to pay the reasonable security or escort costs directly associated with their use of the location including benefits and overtime pay. Media will be notified of the approximate staff requirements and costs.

  • The Assistant Secretary, Communications, shall be consulted whenever a fee for supervision or security is contemplated.

13010.15.1 Media Release Forms

• The CDCRCalifornia Department of Corrections and Rehabilitation Form 146, Inmate Declaration to News Media Contact, shall be completed when an incarcerated person is the subject of an interview, still photograph, motion picture, or other recording intended for use by news media, non-news media, or productions by rehabilitative program providers.

  • Incarcerated people under 18 years of age shall not be photographed, filmed, or videotaped.

  • One employee shall witness the incarcerated person’s signature on the completed CDCRCalifornia Department of Corrections and Rehabilitation Form 146.

  • In order to provide a permanent record of the incident, the signed copies of the CDCRCalifornia Department of Corrections and Rehabilitation Form 146 shall be distributed as follows:

    • Original – institution file maintained by the PIOPublic Information Officer.

    • Copy – incarcerated person’s central file.

  • This section does not apply when individuals in such settings as an exercise yard or dining hall are not singled out or where the incarcerated person’s identity is not revealed.

• Because several different media representatives may visit a program at different times, program instructors and facilitators may choose to have each cohort of incarcerated participants sign a “blanket” CDCRCalifornia Department of Corrections and Rehabilitation Form 146 Inmate Declaration to News Media Contact, at the beginning of each program cycle, eliminating the need to fill out multiple forms for each media visit. The blanket CDCRCalifornia Department of Corrections and Rehabilitation Form 146 will include the beginning and end dates of the cohort cycle and the authorization to consent to “all media.” It is the responsibility of the PIOPublic Information Officer and program instructor or facilitator to maintain these forms and, in the case of a media visit, to ensure that all participants have signed the form prior to being interviewed and/or recorded. Not granting consent will not affect an incarcerated person’s ability to participate in the program. It is the responsibility of the PIOPublic Information Officer or designee to ensure incarcerated people who have not consented are not photographed, filmed and/or interviewed. Incarcerated people may inform the instructor, facilitator or PIOPublic Information Officer at any time they wish to withdraw or give their consent.

• The CDCRCalifornia Department of Corrections and Rehabilitation Form 146-A, Parolee Declaration to News Media Contact (Rev. 10/11), shall be completed when a person on State parole supervision consents to be interviewed, recorded, photographed or filmed.

• The California Correctional Health Care Services (CCHCS) “CDCRCalifornia Department of Corrections and Rehabilitation Form 146-HCHigh Control, Health Information-Photography and Video Consent Supplement (Rev. 12/22)” form shall be completed to obtain the consent of an incarcerated person to record or photograph them for departmental communications purposes and to consent to the release of their personal health information contained in the audio, video, or photograph.

• The “CDCRCalifornia Department of Corrections and Rehabilitation Form 1419, Media Consent Form (Rev. 12/22)” shall be completed to obtain consent from CDCRCalifornia Department of Corrections and Rehabilitation and CCHCS employees to photograph, video record, film, or audio record them for departmental communications purposes and give CDCRCalifornia Department of Corrections and Rehabilitation the right to publish, distribute, copy, alter, license or publicly display the materials.

13010.15.2 Writing, Telephoning, Visiting, and Emailing an Incarcerated Person 

• Media representatives may contact any incarcerated person in State prison by mail.  It is not necessary for media to notify the CDCRCalifornia Department of Corrections and Rehabilitation before communicating with an incarcerated person. Incoming non-confidential letters are opened, inspected for contraband, subject to being read, and then forwarded to the incarcerated person. To ensure prompt processing, media representatives should address letters using the incarcerated person’s full name, CDCRCalifornia Department of Corrections and Rehabilitation number, cell or location numbers if known, and the address of the institution where they are housed.

• Most incarcerated people have access to telephones and can make outgoing collect calls on designated telephones according to their privilege group. Limitations are placed on the frequency of such calls to allow equal access to telephones by as many incarcerated people as possible and as determined by their privilege group. When corresponding with an incarcerated person, media representatives may provide a telephone number where they can call them collect.  It is up to the incarcerated individual to initiate the call. Telephone calls are limited to 15 minutes and may be recorded. Media representatives may also record the call with the incarcerated person’s permission. Media representatives do not need CDCRCalifornia Department of Corrections and Rehabilitation’s permission to record a telephone conversation with an incarcerated person.

• Staff will not take messages and faxes from the media to incarcerated people.

• Media representatives may send email to an incarcerated person who is able to communicate by email via a state-issued tablet provided by an approved vendor. Depending on the facility, incarcerated people may be able to respond electronically, view and print an incoming message, and view photo attachments.

• If a media representative wishes to visit an incarcerated person, it shall be in accordance with the visiting requirements in CCRCalifornia Code of Regulations Sections 3170-3176 and DOMDepartment Operations Manual Chapter 5 Article 42. A completed questionnaire must be submitted and approved by the institution before the visit. Any member of the media, once approved, may visit; however, they shall not bring in cameras or recording devices in a manner inconsistent with the DOMDepartment Operations Manual or State law. No incarcerated person or parolee shall have their visitation limited or revoked solely because of a visit or potential visit from a media representative, nor may an incarcerated person or parolee be punished, reclassified, disciplined, transferred to another prison against their wishes, or otherwise retaliated against, solely for participating in a visit by, or communicating with, a media representative. During an interview, media representatives shall be allowed to bring up to three (3) pens, three (3) pencils, and one (1) pad of paper into the facility. These items shall be searched to protect against an immediate and direct threat to the security of the institution.

• To maintain order, individual safety, prison security and operations, the rules established in the CCRCalifornia Code of Regulations, Title 15, Subchapter 2, Article 7, Visiting, also apply during video visits. Since no recording, videotaping or photography is allowed during in-person visiting, the same rules apply for virtual visits. Failure to adhere to the rules by any party during a virtual visit will result in termination of the video visit, and may include disciplinary action and/or visitor suspension.

13010.15.3 Access to Correctional Health Care Facilities and Patients 

• News and non-news media representatives may be allowed controlled access under institution escort to patients and their housing areas in order to safeguard the public’s right to know while respecting patients’ legal right to health care privacy. The Assistant Secretary, Communications; the Undersecretary of Health Care Services; and institution health care staff shall be notified in advance of all news media events involving patients. Access shall require approval of the Warden, the Health Care Chief Executive Officer (CEO) and the Assistant Secretary, Communications or their designee.

• Access to Facilities

  • Random interviews in units housing patients shall be closely monitored to protect health care privacy. To safeguard patients’ right to privacy, health care staff shall ensure that signs, charts and/or any other patient identifiers are not visible. Clinical and  non-clinical staff members are not to divulge any patient’s protected health information.

  • Requests from news and non-news media representatives to visit contracted health care facilities must be received in writing at least 30 days in advance in order to coordinate with the contractor in accordance with this policy.

  • News and non-news media access is not permitted within units with mental health crisis beds or any area housing patients under medical isolation or quarantine.

  • To protect the integrity of delivering patient care, news and non-news media access to clinical areas where health care is delivered (e.g., dialysis centers, dental clinics, triage and treatment areas) may only be allowed when no patients are present.

• Access to Patients

  • News and non-news media representatives may be permitted random face-to-face interviews with patients receiving health care services and living in units that provide health care treatment. Such interviews shall be conducted as stipulated by the Warden and the Health Care CEO, including restricting the time, place and duration of such interviews, the size of technical crews, and the amount and type of equipment.

  • News and non-news media access to units housing seriously or terminally ill patients may be permitted on a case-by-case basis. Consideration shall be given to factors that may disrupt the operation of the unit. Participation is restricted to patients who have the capacity for giving informed consent. Filming, video or audio recording and photographing will not be allowed of patients who do not have the capacity to give informed consent.

  • Media interviews shall not be permitted with an incarcerated person suffering from a mental illness which, in the opinion of a psychiatrist or psychologist, renders them incapable of giving informed consent or their condition may be worsened by such an interview. Individuals who are severely ill or injured, medicated, are cognitively impaired, suffer from dementia, or are experiencing severe pain, anguish or grief, often lack the capacity to give consent and shall not be approached by news and non-news media representatives. Consent should only be obtained from patients who are awake, alert and have the capacity to understand the consequences of giving informed consent.

  • When seeking consent from patients, the following guidelines should be followed:

    • Inform the patient about the purpose of the filming, recording or interview and what news or non-news organization will be conducting the interview.

    • Inform the patient about how the interview, filming and/or photographs may be used.

    • Inform the patient that participation is voluntary and that a decision to participate or not will not affect their care.

    • Inform the patient that they can rescind consent at any time.

13010.15.4 Access to Board of Parole Hearings Proceedings 

• Media access to parole suitability hearings is governed by the California Code of Regulations, Title 15, Division 2, Sections 2031 and 2032. Requests from news and non-news media representatives to attend hearings must be submitted in accordance with those regulations. The Executive Officer of the Board of Parole Hearings approves news and non-news media representatives’ requests to attend parole hearings and must authorize their use of cameras and recording devices at parole hearings. Pursuant to the CCRCalifornia Code of Regulations Title 15 section 3261.7(e), possession of any camera is to be authorized by the warden. The warden’s staff shall ensure gate clearances are processed.

• Approved media representatives shall attend the hearing in a manner approved by the board, which may include in person, by videoconference, or by telephone. Media representatives shall only attend in person if the hearing is conducted in person.

13010.16 Interviews with Employees

• Accurate information within legal limitations shall be provided in response to media inquiries regarding employees. Incidents within facilities and institutions are often newsworthy events that involve staff as well as incarcerated people. Other incidents that merit media attention include employees’ acts of heroism, volunteerism, or community involvement.

• The only employee data that may be released to the media or to the public by anyone other than the employee concerning the employee’s involvement in an institution incident or newsworthy event includes:

  • Full name.

  • Civil service classification.

  • Age.

  • Work assignment.

  • Length of service with the Department and/or current division or unit.

  • Past work assignments.

  • Role or function in a newsworthy event.

• Employee information shall not be released to the media or to any member of the public, or posted to the department’s social media if the information would endanger the employee or if the employee is the victim of a crime.

• Further information and directions for releasing information on employees is found in DOMDepartment Operations Manual, Chapter 1, Article 15, Information Practices.

13010.16.1 On‑Duty Interviews

• Media representatives may be permitted random or specific-person interviews with on-duty staff who consent to the interviews, provided such interviews do not interfere with the normal operations or security of the institution. Such interviews shall be conducted as stipulated by the institution head, including restricting the time, place, and duration of interviews, and size of the technical crews.

• Use of cameras or recording equipment shall require prior approval of the institution head, or designee.  

• Photographing, filming, or video recording of CDCRCalifornia Department of Corrections and Rehabilitation staff within an institution, parole office, or other non-public area is permissible only with prior consent of each employee. 

13010.17 Photographs, Films, and Audio and Video recordings

• The department has no control over photographs, films, or video recordings taken of CDCRCalifornia Department of Corrections and Rehabilitation facilities, employees, incarcerated people, parolees, or CDCRCalifornia Department of Corrections and Rehabilitation equipment when the person taking the photograph is not on state or institution property under CDCRCalifornia Department of Corrections and Rehabilitation’s jurisdiction. This includes, but is not limited to, the photographing or recording of  incarcerated community work crews, fire crews, presentations by incarcerated people in schools and other public locations, those being transported on public streets and highways, etc.

• People are prohibited from interrupting, interfering, or communicating with an incarcerated person being transported or working off institution grounds without prior authorization of the staff person in charge or institution head.

• Photographs, films, videotapes, digital videotapes and photographs, floppy disks, compact disks, memory cards, memory sticks, or any other recorded media other than for official purposes, which reveal an incarcerated person’s identity, may be taken within an institution, camp, community correctional facility, or parole office subject to the following conditions:

  • An incarcerated person shall be required to sign a CDCRCalifornia Department of Corrections and Rehabilitation Form 146 Inmate Declaration to News Media Contact before any photographing, audio recording, filming, videotaping, or video recording that clearly identifies the individual.

  • An incarcerated person’s consent is not required where individuals in such settings as an exercise yard or dining hall are not singled out or where the identity of an incarcerated person is not revealed; however, before any  photographs are taken or filming is done, they shall be advised so those who do not want to be recognized may turn away or leave the area.

  • Photographs taken or filming of incarcerated people may be in any appropriate location such as on their job or other assignment, with their artwork, playing an instrument, etc., depending on the news or feature story under development.

13010.17.1 Requests to Film From Small Unmanned Aircraft Systems (UAS)

• Title 14 Code of Federal Regulations (14 CFR) Part 107 is the operating authority for small, unmanned aircraft systems (UAS) and establishes the minimum safety standards and registration requirements for their operations in the United States. 14 CFR defines a small UAS to include its communication links and the components that control it. The rules also establish certification requirements for small UAS pilots which require a Remote Pilot to pass an aeronautical knowledge test at an FAA-approved knowledge testing center and complete a security background check by the Transportation Security Administration.

• Requests to film from a UAS, commonly known as a drone, are reviewed on a case-by-case basis. A minimum of 20 business days is needed to evaluate the request. The California Film Commission (CFC) requires the Remote Pilot to complete the “Questionnaire: Request to Use Unmanned Aircraft Systems for Filming Over State Property (Questionnaire).” Up to seven business days are required for the CFC to process requests for film permits that include the use of a small UAS.

• Additional insurance coverage shall be provided by the UAS operator, including proof of UAS coverage (listing the specific aircraft to be used) with a limit of at least $2 million. Processing will not begin until all required documentation has been submitted to the CFC.

• Those who request to film from a UAS over CDCRCalifornia Department of Corrections and Rehabilitation property shall submit to CDCRCalifornia Department of Corrections and Rehabilitation:

  • A copy of the Remote Pilot Certificate.

  • A copy of the Part 47 or Part 48 Registration Certificate for each UAS.

  • The make, model and serial number for each UAS.

  • A detailed description of proposed flight activities, including maps.

  • Copies of all necessary waivers or approvals.

  • The completed Questionnaire.

  • Proof of insurance coverage.

  • An application to the CFC for a film permit.

• Meeting all the qualifications required by federal law and the CFC does not guarantee permission to operate small UAS over CDCRCalifornia Department of Corrections and Rehabilitation facilities. CDCRCalifornia Department of Corrections and Rehabilitation will review requests on a case-by-case basis and approve or deny requests based on location conditions, safety, security and operational impacts. Authorization from CDCRCalifornia Department of Corrections and Rehabilitation does not relieve the Remote Pilot from the responsibility to check the airspace and weather conditions they are operating in and comply with all restrictions that may be present in accordance with federal law.

• In accordance with the basic provisions of 14 CFR Part 107, a UAS must weigh between .5 and 55 pounds; the Remote Pilot must remain within visual line of sight of the UAS and no person may act as a Remote Pilot or Visual Observer for more than one UAS at one time; the UAS must be operated in daylight only; the maximum altitude is 400 feet above ground level (or within 400 feet of a structure); and operations are not permitted from a moving vehicle. In addition, UAS operations require a preflight inspection by the Remote Pilot.

• Although federal regulations no longer require a visual observer, the CFC and CDCRCalifornia Department of Corrections and Rehabilitation recommends the use of a visual observer for safer UAS operations. In addition, it is recommended that the Remote Pilot scout the location site(s) before filming.

13010.17.2 Identification Photographs

• Unless there is a specific threat of imminent danger to an incarcerated person or parolee by releasing their image, or unless the release of their photograph could jeopardize an ongoing investigation, news and non-news media representatives shall be permitted access to identification photographs without the incarcerated person’s or parolee’s consent.

• The most current photographs of escaped incarcerated people and parolees at large shall be provided.

13010.17.3 Execution Chamber

• Photographs or any other audio or visual recordings of an execution are prohibited.  However, stock CDCRCalifornia Department of Corrections and Rehabilitation photographs and videotape footage of the area are available upon request from OPECOffice of Public and Employee Communications.

• No camera, wireless microphone, or other recording device shall be permitted within the execution chamber area.

13010.17.4 Prohibitions 

• Before entering a facility, news and non-news media representatives, photographers, camera and video operators, producers and their technical crews shall be carefully instructed as to what cannot be filmed, photographed, videotaped or video-recorded. Prohibitions include photographing staff or incarcerated people without consent, any procedure, equipment, or structure that compromises security; and patient encounters that would violate patient privacy or negatively impact patient care. The photographers, camera, or video operators shall agree in writing to these conditions prior to entering a CDCRCalifornia Department of Corrections and Rehabilitation institution or facility by signing the CDCRCalifornia Department of Corrections and Rehabilitation Form 181 Primary Laws, Rules, and Regulations Regarding Conduct and Association with State Prison Inmates.

• Conditions

  • In rare instances, it may become necessary to seize film, videotape, digital video files, compact disks, memory cards, memory sticks, hard drives, or any other recording devices or media because of a clear violation of regulations on photography within CDCRCalifornia Department of Corrections and Rehabilitation institutions or facilities.  For example: photographing an employee, incarcerated person, or parolee after they have refused permission, or photographing security facilities, procedures, or equipment without permission. 

    • Any seized film, videotape, digital video files, compact disks, memory cards, and/or memory sticks, hard drives, and any other recording devices shall be placed undamaged, undeveloped, and unviewed, in a secure area.

    • The institution head and the Assistant Secretary, Communications, shall be notified immediately for disposition of the recorded material and/or devices.

• In no event shall film, audiotape, videotape, cameras, or recording equipment be destroyed or damaged.

  • In the event of a disturbance, photographers and videographers approved to visit an institution or facility shall not have their film, audiotape, videotape, digital video files, compact disks, memory cards, memory sticks, recording devices, or any other storage media seized. The production may be halted at the request of the institution head or designee and personnel will be escorted to safety if the disturbance threatens the safety or security of the institution or any person.

  • Should CDCRCalifornia Department of Corrections and Rehabilitation or another law enforcement agency have need of the recorded material in connection with any criminal, civil, or administrative investigation or proceeding, they shall advise the photographer or videographer of the need for the recorded material.

  • Photographers and videographers have the right to contest any subpoena to compel production of the recorded materials under the protections, if any, accorded by California State Law, the U.S.United States Constitution and the California Constitution, all of which are expressly reserved and not waived.

13010.18 Legislative Hearings

• Institutions shall allow legislative hearings to be held at predetermined locations as approved by the Secretary.  The areas within an institution where legislative hearings can be held shall be determined according to the number of anticipated attendees, security needed for testifying incarcerated people, and logistics.

• Some authorized areas include visiting rooms, ISTIn-Service Training classrooms, visitors’ processing centers, conference rooms, boardrooms, gymnasiums, chapels, libraries, and education facilities. The area of the legislative hearing shall be approved by the warden of the institution.

• The hearing shall be held during a time and day approved by the warden of the institution.

• Cessation of some institution programs may be necessary depending upon the area scheduled for the hearing.  When suspension of visiting is required, the incarcerated population of the institution involved shall be notified in writing as far in advance as possible.

• Preparation and Processing

  • Once a legislative hearing at an institution is approved, the Office of Legislation shall coordinate the hearing with the contact designated by the legislative committee initiating the request.

  • CDCRCalifornia Department of Corrections and Rehabilitation requires that any request for a CDCRCalifornia Department of Corrections and Rehabilitation report, file, or other data needed at the hearing be made in writing to the CDCRCalifornia Department of Corrections and Rehabilitation Office of Legislative Affairs. The legislative contact shall also provide the Office of Legislation with the names of legislators, consultants, staff, and witnesses who will be in attendance to ensure gate clearances are processed.

  • The Office of Legislation shall provide the legislative contact a copy of any pertinent, public CDCRCalifornia Department of Corrections and Rehabilitation regulations and guidelines relative to security and logistical matters, including attire on institution grounds and the capacity of the designated hearing area to be used.

  • The institution shall make every reasonable effort to assist with the setup of seating, but is not obligated to furnish equipment, props, staff resources (other than security), or make any physical plant modifications for the hearing.

  • During the hearing, the Office of Legislation shall coordinate all activities with the institution head or a designee. The institution head or designee shall have the authority and responsibility for all matters relating to security and visitor processing.

  • If the hearing requires testimony from incarcerated people, the hearing shall be scheduled in an area that will provide reasonable access to and from their housing unit. If the hearing requires the presence of incarcerated people housed in a Level IVIntravenous restricted housing unit, the hearing shall be held in an approved area that provides the highest degree of security.

• Classification and Processing of Attendees

  • The number of attendees shall never be allowed to exceed the established occupancy capacity of the designated hearing area, including CDCRCalifornia Department of Corrections and Rehabilitation staff who are required to be in attendance.

  • All hearings and tours of an institution shall be conducted in accordance with DOMDepartment Operations Manual, Chapter 1, Article 14.

  • Prospective attendees shall be classified in one of the following categories and processed accordingly:

    • ELECTED OFFICIALS–Includes the Governor, Lieutenant Governor, Attorney General, United States Senators, and members of the United States House of Representatives, as well as State Legislators and other California Constitutional Officers.  Elected officials shall:

      • Be processed promptly upon their arrival as described in the CCRCalifornia Code of Regulations Title 15 section 3267.

      • Be afforded, upon request, access to any portion of the facility provided they are escorted. No arrest history inquiries shall be done for dignitaries.

      • Be required to sign the visitors’ register and present an official photo identification card when entering and leaving the institution, and shall be accompanied by sworn staff at all times.

      • In cases of immediate need, and upon notification by the Secretary in writing, any prohibitions within this Article regarding elected officials may be suspended in the interest of public understanding of the CDCRCalifornia Department of Corrections and Rehabilitation operations and responsibilities

    • MEDIA REPRESENTATIVES: 

      • Shall be required to sign the visitors’ register and present verification of their employment.

      • Shall be processed in accordance with the same rules and procedures pertaining to visitors of incarcerated people.

      • Shall be subject to reasonable limitations as determined by the institution head pursuant to the CCRCalifornia Code of Regulations Title 15 section 3261 and 3261.5 The type, size, or amount of equipment allowed may be restricted if the institution head determines that such equipment would threaten the safety of the institution or any person, or would unduly impede normal operations. All equipment shall be searched for contraband.

      • Shall be instructed, including their photographers and camera operators, as to what cannot be filmed, photographed, or otherwise recorded prior to entering an institution. Prohibitions include photographing staff or incarcerated people without their written consent and any procedure, equipment, or structure that may compromise security.

      • May be granted a limited tour of nonsecure areas of the institution provided they have been cleared by an arrest history inquiry, do not tour with the elected officials, and are escorted by available institution staff.

    • LEGISLATIVE STAFF–Includes any transcriber(s) of the proceedings, individuals affiliated with the elected officials in an official capacity, and the sergeant(s)-at-arms.  Legislative staff: 

      • Shall be required to sign the visitors’ register and present verification of their employment.

      • Shall be processed in accordance with the same rules and procedures pertaining to visitors of incarcerated people.

      • May accompany the officials by whom they are employed on any tour of the institution in all areas approved for tour by the institution head or not otherwise prohibited by CDCRCalifornia Department of Corrections and Rehabilitation regulations or policies, or may tour any areas of the institution separately from the officials as approved by the institution head, and escorted by available institution staff.

    • WITNESSES–Witnesses are those incarcerated people, parolees, formerly incarcerated, or other persons who have been subpoenaed or invited by the legislative committee. Witnesses may include family members including spouses or registered domestic partners, victims of crimes, expert or technical advisors, and past or present employees of CDCRCalifornia Department of Corrections and Rehabilitation, all of whom must have received written verification of the committee’s directive to appear.  Witnesses are subject to the following: 

      • Witnesses who have been subpoenaed to testify shall be allowed to attend.  The institution head shall decide the appropriateness and degree of restraint and security needed for incarcerated people.  For those incarcerated individuals who would pose a clear threat to the safety of those attending the hearing, the institution head may approve use of the two-way audio and video communication system in lieu of their in-person appearance.

      • Incarcerated people who have been subpoenaed to testify shall not be allowed into the hearing area until the time they have been scheduled to appear. Prior to entering the hearing room, all incarcerated people shall be searched and be properly attired in  State-issued clothing. Incarcerated people shall have no contact with other people in attendance, be closely supervised, and be strictly limited to the waiting area at all times.

      • All witnesses except current CDCRCalifornia Department of Corrections and Rehabilitation employees shall be processed in accordance with the same rules and procedures pertaining to visitors of incarcerated people.

    • INTERESTED PERSONS–All others not mentioned above shall be considered interested persons and shall be subject to the following: 

      • Interested persons shall be allowed to attend unless there are circumstances to indicate they would pose an imminent threat to the safety and security of the facility.

      • Interested persons attending the hearing shall not be allowed to tour the facility nor have contact with any incarcerated person.  Interested persons shall be processed in accordance with the same rules and procedures pertaining to other visitors to the facility pursuant to CCRCalifornia Code of Regulations 3170 through 3179.

• Exclusions

  • Because access must be restricted due to the established occupancy capacity, exclusions, if necessary, shall be made, first on a voluntary basis.  If further measures are required, access shall be denied to those individuals identified as interested persons.  When the hearing involves public comment, the institution head may prioritize access by interested persons over media representatives and may designate one or a limited number of accredited pool reporters to cover the event.

13010.19 Revisions

• The Assistant Secretary, Office of Public and Employee Communications, or designee shall be responsible for ensuring that the contents of this Article are kept current and accurate. 

References

• • CCRCalifornia Code of Regulations Title 15, Division 3, §§ 3010, 3141, 3170 – 3179, 3260 – 3263, 3402(a), and 3450.

  • CCRCalifornia Code of Regulations Title 15, Division 2, §§ 2032, 2057(e), 2601, 5054

  • Civil Code §§ 56.10, 1798, et seq. (Information Practices Act).

  • Government Code §§ 6250, et seq. (Public Records Act), 9027.

  • Insurance Code § 11580.1

  • Labor Code §§ 1860, 1861, 3700

  • Penal Code §§ 56.10, 1798.20, 1798.30, 1798.40-42, 2601, 4537(b), 4537(c), 4570, 4570.1, 4575(a); 4576, 5054, 5058.

  • Vehicle Code §§ 16450 – 16457.

  • Cal. Const. Art. 1, sec. 1 (Right to Privacy).

  • Cal. Const. Art. 1, sec. 3 (Right to Information).

  • Code of Federal Regulations, Title 14 Part 107, Title 45 Parts 160 and 164

  • Michael Broadheim v. CDCRCalifornia Department of Corrections and Rehabilitation (Super. Ct San Francisco County, 2020, No. CPF-20-516978)

  • Catalin Voss, Yun Hong, Kristen Bell, and Nicholas McKeown v. CDCRCalifornia Department of Corrections and Rehabilitation (Super. Ct San Francisco County, 2020, No. CPF-20-517117

  • Pell v. Procunier, 94 S.Ct. 2800 (1974)

Revision History

• Revised: Section 13010.18, September 25, 2007.
  Revised: June 2, 2016.
  Revised: April 11, 2023.
  Revised June 3, 2025.

13020.1 Policy

• The goodwill of the public is important to the Department, each facility, each parole region, and each employee.

13020.2 Purpose

• This section designates employee responsibility in representing the Department in the community, and describes practices to encourage and maintain good community relations.

13020.3 Definition of Community Relations

• Community relations is the function of promoting positive interaction between the correctional community and the public in an effort to educate and develop public awareness. It is through better understanding of the Department’s mission that public confidence will be increased.

13020.4 Community

• Community as used in this section refers to the general public, local, and State government bodies, employee organizations, special interest groups, and community organizations. The Department, its divisions, facilities, and units deal with many different, though frequently overlapping communities.

• Examples of communities with which the Department is involved include, but are not limited to, the following:

  • The State, counties, and cities.

  • Employees of the Department.

  • Law enforcement personnel at the State, county, and local levels.

  • Legal groups.

  • Taxpayers groups.

  • Religious organizations.

  • Medical associations.

  • Labor unions.

  • Chambers of commerce.

  • Schools.

  • Neighborhoods.

  • Athletic organizations.

  • Entertainment groups.

  • Service organizations.

  • Special interest associations.

• Each group has its own viewpoint, interests, needs, and background. Each group is influenced by and influences other groups. Together with other groups, they make up the general public of a nation, state, county, city, or town.

13020.5 Policy Decisions and Operating Procedures

• The Department and its units were created and are maintained by the public to perform a task for the public. Policies and procedures of the Department, its divisions, facilities, and units shall be designed to serve the public’s interest. The effect of proposed policies and procedures on all public groups shall be carefully analyzed. Care should be used to ensure that steps taken to provide a service to one group does not harm some other group. In the event of conflict, alternative policy or procedure shall be sought to resolve it. If the conflict cannot be resolved and action is necessary, the alternative providing either the greatest good for the largest public group or the least inconvenience for the smallest public group shall be pursued.

13020.6 Public Inconvenience

• Any policy or procedure which results in, or could appear to result in any of the following, shall be reexamined:

  • Excessive noise.

  • Smog, smoke, dust, bad odors, or other air pollutants.

  • Dirt.

  • Pollution of water.

  • Traffic jams.

  • Dangerous, unhealthy, or unsightly conditions.

  • Unlawful discrimination, including harassment, on the basis of race, religious creed, color, national origin, ancestry, physical or mental disability, marital status, sex or sexual orientation, political affiliation, or age.

  • Misuse of money, manpower, or resources.

  • Brutality to or coddling of prisoners.

  • Competition with business or labor.

  • Favoritism to or discrimination against certain suppliers.

  • Embarrassment to friends or relatives of inmates, to visitors, to passersby, or to nearby residents.

13020.7 Unfavorable Public Reaction

• Policies or procedures that unexpectedly cause an unfavorable public reaction shall be reexamined as soon as brought to the attention of the Department, division, facility, or unit. Every effort consistent with the public interest shall be made to correct the situation as quickly as possible.

13020.8 Community Relations Representatives

• The employees of the Department are the greatest single resource for building good relations. Every employee is a community relations representative both on and off-duty. Employees shall be properly informed, through ISTIn-Service Training and other appropriate means, of departmental and facilities or divisional philosophies and practices. Employees are regarded as experts in all phases of correctional work by those with whom they come in contact; therefore, it is important that they understand the reasons behind the practices of the Department and its broad organization, as well as the position in which they are employed.

• The designated staff liaison for community-related activities shall be the Community Resource Manager (CRMCommunity Resource Manager).

13020.9 Facility Activities

• Wardens or RPAs, through the facility/regional CRMs and PIOs, shall coordinate all facility/regional activities which are a part of this section unless those responsibilities have been designated as the sole responsibility of the Warden or RPARegional Parole Administrator by statute or regulation.

• Citizens Advisory Committee

  • Each facility/parole region shall organize a Citizens Advisory Committee whose primary objective shall be to promote communications between the facility/region and the community. The role and function of these committees are further defined in DOMDepartment Operations Manual Chapter 10, Article 9.

  • Positive programs to maintain premises well-kept and attractive shall be followed.

  • Reputable citizens of the community shall be encouraged to come to the facility. Good community relations cannot exist when the facility is a place of mystery, set apart from the community.

  • Reception of visitors shall be cordial and businesslike. Employees shall be courteous, pleasant, neat, helpful, and efficient.

  • Appropriate, identifiable parking shall be provided for visitors where possible. In the planning of any event expected to attract large numbers of visitors, adequate parking space shall be arranged.

  • The parking area shall be supervised. If the event may cause traffic problems off the grounds, the CHPCalifornia Highway Patrol and/or other appropriate agencies shall be notified in advance.

  • Employees shall not act as traffic officers on highways off Department property.

  • Employees shall be sensitive to possible misunderstandings by visitors. Where the possibility of misunderstandings exist, care shall be taken that an adequate explanation is made. Employees regularly meeting the public, conducting tours, or escorting groups shall make a particular effort to stay informed in order to make an effective presentation and provide accurate, complete answers to questions.

13020.9.1 Visits by Other Departments/ Agencies

• In the case where a facility requests the services of other departments or agencies, or those departments or agencies request an official visit as part of their official duties, to interview staff or inmates, or to do follow-up work to ensure compliance with legal requirements, the facility shall make every effort to assist those individuals in completing their assignment.

• Examples of visitors of other departments or agencies include, but are not limited to, employees of:

  • State DOJDepartment Of Justice, Law Enforcement Division (investigators, forensic scientists, fingerprint specialists).

  • DHSDepartment of Health Services (environmental health specialists, vector, and sanitation experts).

  • The Board of Prison Term (commissioners and Deputy Commissioners) if hearing cases in a special housing unit.

  • The Legislative Analyst.

  • The DOFDepartment Of Finance.

  • Auditors.

  • DA investigators.

  • Coroners.

  • FBIFederal Bureau of Investigation agents.

  • Court monitors.

• If the visitor(s) is doing follow-up work or interviewing staff or inmates, the visiting department or agency shall notify the office of the Warden at least 24 hours in advance of the visit date and delineate the time of arrival and purpose.

• The Warden, or designee, shall ensure the necessary gate clearance is forwarded to the gate officer.

• Visitors shall be required to produce official identification and a standard search will be conducted.

• Visitor Clearance

  • The Warden’s office shall ensure that the visitor or visiting group is assigned a staff member to escort the visitor(s) while at the facility. The staff escort shall remain with the visitor(s) during the entire stay in the facility. The staff escort may be from sworn, non-sworn, or other personnel assignment.

• Equipment

  • If the visitor has equipment that is required to complete their task, proper security of that equipment shall be maintained during the entire visit.

  • If necessary because of the size/weight of the equipment or weather conditions, transportation shall be provided by the facility to the area of the visit if possible.

  • Parking shall be provided.

13020.10 Tours

• Service clubs, trade associations, labor unions, educational groups, and other civic organizations shall be encouraged to visit facilities and community correctional centers. Arrangements for group tours may include providing meeting facilities for the groups.

• Facilities, camps, and community correctional centers may set aside a regular time one day each week for a conducted tour of individuals. These individuals shall be treated as a group.

  • Facilities where the small number of individual requests or other reasons make weekly tours impractical may set aside one or two days a month for such tours.

  • Spouses or other close relatives of employees may be conducted on a tour as a group at least annually.

• TACTrade Advisory Committee

  • TACs provide an important public information and community relations opportunity. Special efforts shall be made to keep the committees accurately informed through special tours and visits to the various trade areas.

  • TACs shall be encouraged and assisted in the preparation of special articles for trade publications covering their appropriate fields.

• Distinguished Visitors

  • Distinguished visitors assist the Department in being visible to the community. Distinguished visitors include: the Governor, Lieutenant Governor, Attorney General, U.S.United States Senators and Congressmen, State Legislators, foreign dignitaries, noted authors, and other national, State, and local officials. The Director shall be notified, when appropriate, of the impending visit of a distinguished visitor. In the event of a visit by the Governor, Lieutenant Governor, Attorney General or a State Legislator, a full written report of the visit shall be made promptly to the Director, with a copy to the Assistant Director, LLOLegislative Liaison (see OOL). The report shall include the purpose of the visit, together with any comments or other information that may assist the Director in making any necessary response.

  • State Legislators, and other elected California Constitutional Officers shall be permitted to visit and tour facilities, camps, and community correctional centers without prior notice. Appropriate escorts shall be provided. All reasonable access and cooperation shall be given. Access for such officials may be denied only during emergencies, with the approval of the Director. Guests accompanying elected officials may be denied access in absence of prior approval by the Warden, or RPARegional Parole Administrator.

  • An appropriate personal escort from either the YACA or CDC shall be provided for nonpublic tours of institutional facilities for the Legislature, Lieutenant Governor, State Controller, Secretary of State, State Treasurer, State Insurance Commissioner, State Superintendent of Public Instruction, State Attorney General, members of the State BOEBoard Of Equalization, elected city and county officials, and candidates for political office and members of their staff.

  • A separate tour may be arranged for the news media and other members of the public through the office of the Warden, or RPARegional Parole Administrator, according to provisions of DOMDepartment Operations Manual 13010.

13020.11 Grand Juries

• PCPenal Code 919 and 921 entitle Grand Juries to free access, at reasonable times, to the public prisons within their county for the purpose of inquiring into the conditions and management of these prisons and to examine public records. Each Warden shall, therefore, extend an invitation, at least once a year, to the Grand Jury of the county in which their facility is located. Such visits shall be coordinated with the BPT’ schedule when possible and where practical.

• Visits shall be scheduled as soon as possible after the impaneling of each new Grand Jury.

• When visits to a facility are initiated by the Grand Jury, employees shall be made available as necessary to guide, orient, or otherwise assist the Grand Jury. A report of such visit shall be made to the Director.

13020.12 Exhibits

• Exhibits depicting the activities of the Department, divisions, facilities, units, and the work or training involving inmates, may be displayed in Department facilities.

• Properly planned and prepared exhibits (not including inmate handicraft) may also be displayed at conventions, banquets, and other appropriate locations where they may be helpful for educational or recruitment purposes. Care shall be taken that no commercial sponsorship or endorsement is stated or implied.

13020.13 Facility Participation in Community Activities

• The facility may participate in some community activities either as a State agency or as a group of employees or inmates.

  • Activities as a State agency (staff/inmates) can include, but are not limited to, the following:

    • Community service work crews.

    • Mutual aid, police, and fire agreements.

    • Provisions for informative material and speakers to schools, colleges, civic groups, and other organizations.

    • Appropriate assistance in the prevention of delinquency and crime.

    • Arts work crew.

    • Vocational shop repairs and construction products.

  • Activities as a group of employees or inmates may include, but are not limited to, the following:

    • Participation in charity drives and blood donations.

    • Sponsorship of athletic teams, scout troops, or cultural groups.

    • Formation of employee teams, bands, and orchestras.

    • Sponsorship, support, and supervision of youth activities aimed at instilling good citizenship.

13020.14 Employee Participation in Community Activities

• Employees shall be encouraged to participate in community functions. While the job shall come first, such encouragement shall include changes in duty time or days off (when possible), for employee participation in specific community events.

• Employees seeking approval to represent the Department in public appearances shall submit a request in writing to the Warden or RPARegional Parole Administrator.

  • The request shall include a complete description of the type of event, purpose, size of the audience, date of the event, and topics to be discussed.

  • When a speaking engagement has been completed, the employee involved shall submit to the PIOPublic Information Officer a written summary of the event including:

    • Evaluation of the audience response.

    • Number of people present.

    • Presence of news media representatives.

13020.15 Revisions

• The Assistant Director, Communications, or designee is responsible for ensuring that the contents of this article are kept current and accurate.

13020.16 References

• PCPenal Code §§ 919, 921, and 5056.

• CCRCalifornia Code of Regulations (15) (3) §§ 3260 – 3265.

• DOMDepartment Operations Manual §§ 13010 and 31040

13030.1 Policy

• Information in all records and files of the Department which pertains to inmates, parolees, employees, or other persons shall be collected, maintained, amended, and disclosed in conformance with the IPAInformation Practices Act of 1977 and subsequent amendments.

13030.2 Purpose

• This section specifies staff responsibility for the collection, maintenance, amendment, and disclosure of information in keeping with the right to privacy of inmates, parolees, employees, or other persons.

13030.3 General Review

• When a request to disclose information from a departmental record, or to receive copies of information, is received, employees shall look first to the provisions of the DOMDepartment Operations Manual 13040 to determine if the information is in a public record. If the information is disclosable as a public record, and the record contains personal information, employees shall look to the provisions of this section to determine if the information is exempt from disclosure.

13030.3.1 Training

• All employees shall be provided general training regarding the policies, procedures, and regulations governing the collection, maintenance, use, disclosure, and destruction of personal information. Only those employees with a “need to know” shall be permitted to have access to departmental records containing personal information.

13030.4 Definitions

• Access

  • An individual’s right to see their own records, or an individual’s right to permit an agent, on their behalf, to review the individual’s records.

• Agency

  • Every state office, officer, department, division, bureau, board, commission, or other state entity exclusive of the following:

    • The California Legislature.

    • Any agency established under Article VI of the California Constitution.

    • SCIFState Compensation Insurance Form, except for any records which contain personal information about employees of SCIFState Compensation Insurance Form.

  • Agency includes any local agency as defined in GCGovernment Code 6252(b).

• Caseworker

  • A CCCorrectional Counselor-I or PAProgram Administrator-I.

• Commercial Purpose

  • Any purpose which has financial gain as a major objective. It does not include the gathering or dissemination of newsworthy facts by a publisher or broadcaster.

• Confidential Information

  • Information, other than exempt personal information, that is withheld from disclosure as a public record under DOMDepartment Operations Manual 13040.14 (Also see Exempt in this section).

• Data Subject

  • See Individual in this section.

• Department Employees

  • Full-time and part-time civil service and exempt employees, student assistants, aides, contractual persons/entities, consultants, or anyone whose duties with CDCRCalifornia Department of Corrections and Rehabilitation require or permit the use of records or information about other individuals.

• Disclose

  • To divulge, release, transfer, disseminate, or otherwise communicate all or any part of any record orally, in writing, or by electronic or any other means to any person other than the one about whom the information is kept.

• Examine a Record

  • The physical audit of a record by a departmental reviewer prior to an inspection or disclosure to determine if the record contains exempt personal information.

• Exempt

  • Personal information that may, by law, be withheld from the individual to whom it pertains. This was formally referred to as confidential information (Also see Confidential Information in this section).

• File

  • See Record in this section.

• Government Entity

  • Any branch of the federal government or of state or local government as defined in GCGovernment Code 6254(b).

• Individual

  • Any natural person about whom CDCRCalifornia Department of Corrections and Rehabilitation maintains any personal information.

• Inspect a Record

  • The act of physically reviewing a record by the person about whom the record is kept or their authorized representative.

• Person

  • Any natural person, corporation, partnership, firm, association, or government entity.

• Personal Information

  • Any information that is maintained by an agency which identifies or describes an individual, including, but not limited to, an individual’s name, social security number, physical description, home address, home telephone number, education, financial situation, and medical or employment history, including statements made by, or attributed to, the individual.

• Record

  • Any records system or grouping of information about an individual that is maintained by CDCRCalifornia Department of Corrections and Rehabilitation by reference to an identifying particular, such as an individual’s name, photograph, finger or voice print, or a number or symbol assigned to the individual. This includes all records systems maintained by CDCRCalifornia Department of Corrections and Rehabilitation.

• Records System

  • Any grouping of records which pertains to one or more individuals maintained by CDCRCalifornia Department of Corrections and Rehabilitation from which information is retrieved by an individual’s name, photograph, finger or voice print, or a number or symbol assigned to an individual.

13030.5 Responsibility: Office of Information Practices

• The Office of Information Practices (OIPOffice of Information Practices) operates under the direction of the Executive Officer of the CalHRCalifornia Department of Human Resources (formerly DPA and SPB). Its functions include, but are not limited to, the following:

  • Assist an individual in identifying and accessing records which may contain information about the individual.

  • Develop administrative guidelines and assist state agencies in implementing the IPAInformation Practices Act’s provisions.

  • Investigate alleged violations of the IPAInformation Practices Act.

  • Mediate disputes arising under the IPAInformation Practices Act.

  • Report uncorrected violations of the IPAInformation Practices Act to the Governor, the Legislature, and the appropriate law enforcement agency.

13030.6 Responsibility: Departmental IPA Coordinators

• CDCRCalifornia Department of Corrections and Rehabilitation’s IPAInformation Practices Act Coordinator shall:

  • Ensure that CDCRCalifornia Department of Corrections and Rehabilitation complies with the provisions of the IPAInformation Practices Act.

  • Act as liaison with the OIPOffice of Information Practices.

  • Provide training to those persons designated as local IPAInformation Practices Act liaison personnel.

  • Collect information on records systems from all CDCRCalifornia Department of Corrections and Rehabilitation units that keep personal information for submission of necessary reports to the OIPOffice of Information Practices as required by law.

  • Coordinate individual requests for personal information to the appropriate CDCRCalifornia Department of Corrections and Rehabilitation division, facility, or office.

  • Monitor record keeping practices of offices where personal information is collected, maintained, and disclosed.

• CALPIACalifornia Prison Industry Authority (formerly PIA)

  • The CALPIACalifornia Prison Industry Authority (formerly PIA)’s IPAInformation Practices Act coordinator, located in the Personnel and Training Unit, shall:

    • Ensure that CALPIACalifornia Prison Industry Authority (formerly PIA) complies with the provisions of the IPAInformation Practices Act.

    • Act as liaison with the OIPOffice of Information Practices.

    • Collect information on record systems from all CALPIACalifornia Prison Industry Authority (formerly PIA) headquarters units and CALPIACalifornia Prison Industry Authority (formerly PIA) facility factories that keep personal information for submission of necessary reports to the OIPOffice of Information Practices as required by law.

    • Coordinate individual requests for personal information to the appropriate staff.

    • Monitor record keeping practices of office where personal information is collected, maintained, and disclosed.

13030.7 Responsibility: Local IPA Liaison Personnel

• Local IPAInformation Practices Act liaison personnel shall be the personnel manager from each facility, a unit/section chief from each headquarters division, or a staff services analyst or above from each regional parole office. Their duties shall include:

  • Ensure that their division, parole region, or facility complies with all provisions of the IPAInformation Practices Act.

  • Act as liaison with the departmental IPAInformation Practices Act coordinator.

  • Coordinate individual requests for personal information to the appropriate office within their division, parole region, or facility for response.

  • Monitor record keeping practices of offices where personal information is collected, maintained, and disclosed to ensure compliance with CDCRCalifornia Department of Corrections and Rehabilitation practices.

13030.8 Responsibility: CCRM

• CCRMCorrectional Case Records Manager shall review the fingerprint card responses from State DOJDepartment Of Justice for persons appointed to positions which allow access to inmate records or EDPElectronic Data Processing (see IT) terminals usable to access electronically stored inmate records.

13030.9 Responsibility: All Employees

• Employees responsible for the creation, use, maintenance, amendment, dissemination, and/or destruction of records containing any personal information shall take all necessary precautions to ensure that proper administrative, technical, and physical safeguards are established and followed in order to protect the confidentiality of those records and to preclude disclosure of personal information to unauthorized persons.

• Shall

  • All CDCRCalifornia Department of Corrections and Rehabilitation employees who collect, use, maintain, amend, disseminate, and/or destroy personal information shall:

    • Make every reasonable effort to respond promptly to inquiries and requests by persons desiring to receive or review personal information.

    • Assist persons who are seeking personal information to make their inquiry specific and descriptive enough to facilitate locating the records requested.

    • Respond, in a courteous and business like manner, to inquiries from persons seeking to review, obtain copies of, amend, correct, or dispute personal information kept by CDCRCalifornia Department of Corrections and Rehabilitation.

• Shall Not

  • CDCRCalifornia Department of Corrections and Rehabilitation employees who collect, use, maintain, amend, disseminate, and/or destroy personal information shall not:

    • Require individuals to disclose personal information which is not necessary and relevant to the lawful state function for which the employee is responsible.

    • Improperly disclose personal information relating to any individual to any unauthorized person. The improper disclosure of personal information is cause for an adverse action, and it may subject the employee and CDCRCalifornia Department of Corrections and Rehabilitation to legal action (See DOMDepartment Operations Manual 13030.33 for further information).

    • Seek or use personal information relating to others for any purpose other than the lawful purpose for which it is collected. The intentional violation of this requirement is cause for an adverse action, and it may subject the employee and CDCRCalifornia Department of Corrections and Rehabilitation to legal action (See DOMDepartment Operations Manual 13030.33 for further information).

13030.10 Validity of Information

• Every employee who collects, maintains, or receives personal information shall make reasonable efforts to ensure that the information is accurate, timely, relevant, and complete.

13030.11 Notification and Reporting Requirements

• Each local IPAInformation Practices Act liaison person shall complete and file with CDCRCalifornia Department of Corrections and Rehabilitation’s IPAInformation Practices Act Coordinator a fully complete T-SPBState Personnel Board (see CalHR) Form 103, Personal Records System Report. The steps to be followed to allow an individual to access records, request amendments, or dispute information about themselves shall be included with each TSPB Form 103.

• CDCRCalifornia Department of Corrections and Rehabilitation’s IPAInformation Practices Act Coordinator shall complete and file with the OIPOffice of Information Practices a completed T-SPBState Personnel Board (see CalHR) Form 103.

• CDCRCalifornia Department of Corrections and Rehabilitation’s IPAInformation Practices Act coordinator shall attach to the report submitted to the OIPOffice of Information Practices a copy of CDCRCalifornia Department of Corrections and Rehabilitation’s procedures on “How to Inspect and Correct Your Records” that shall explain the procedures to be followed by an individual wishing to access, inspect, amend, or dispute personal information kept by CDCRCalifornia Department of Corrections and Rehabilitation.

• Initial Report

  • After the initial report is filed with CDCRCalifornia Department of Corrections and Rehabilitation’s IPAInformation Practices Act coordinator and the OIPOffice of Information Practices, only changes in the records systems and/or procedures need to be reported. If no changes have been made in the records system or procedures since the last previous report, a statement that there has been no change is sufficient. For this purpose, CDC Form 1020, IPAInformation Practices Act Notices of Records System Titles, shall be used and submitted. The local IPAInformation Practices Act liaison person shall compile and submit their respective reports to CDCRCalifornia Department of Corrections and Rehabilitation’s IPAInformation Practices Act coordinator by March 1 of each year. By March 31, CDCRCalifornia Department of Corrections and Rehabilitation’s IPAInformation Practices Act coordinator shall compile and forward CDCRCalifornia Department of Corrections and Rehabilitation’s report to the OIPOffice of Information Practices.

  • CDCRCalifornia Department of Corrections and Rehabilitation’s IPAInformation Practices Act coordinator may report new records systems or changes anytime during the year to OIPOffice of Information Practices.

  • Once the annual report is filed with the OIPOffice of Information Practices, CDCRCalifornia Department of Corrections and Rehabilitation’s IPAInformation Practices Act coordinator shall forward copies of the report to the Assistant Secretary, Communications and External Affairs, headquarters, and to all offices and/or units reporting that they keep personal information.

13030.12 Notice to Individuals

• When CDCRCalifornia Department of Corrections and Rehabilitation collects personal information from individuals, by any means, including the use of forms, a CDC Form 1023, IPAInformation Practices Act Privacy Statement, shall be given to these individuals.

13030.12.1 Content of Notice

• The notice shall cover all of the following:

  • The CDCRCalifornia Department of Corrections and Rehabilitation name.

  • The title, business address, and telephone number of CDCRCalifornia Department of Corrections and Rehabilitation official who is responsible for the system of records and who shall, upon request, inform an individual regarding the location of his or her records and the categories of any persons who use the information in those records.

  • The authority, whether granted by statute, regulation, or executive order, which authorizes the maintenance of the information.

  • With respect to each item of information, whether submission of such information is mandatory or voluntary.

  • The consequences, if any, of not providing all or any part of the requested information.

  • The principal purpose or purposes within CDCRCalifornia Department of Corrections and Rehabilitation for which the information shall be used.

  • Any known or reasonably foreseeable disclosure which may be made of the information.

  • The individual’s right to inspect records containing personal information which is maintained by CDCRCalifornia Department of Corrections and Rehabilitation.

13030.12.2 Notice Methods

• This notice shall be given by one of the following methods:

  • A notice printed directly on the form requesting information.

  • A written policy provided to the person with the form requesting information.

  • A CDC Form 1023, filled out and given to the source person.

• This notice shall be given at each contact when personal information is requested. When contact is of a regularly recurring nature, an initial notice followed by a periodic notice at not more than one-year intervals shall satisfy this requirement.

13030.12.3 Exceptions to Notice Requirements

• This notice requirement shall not apply to the following:

  • Any enforcement document issued by an employee of a law enforcement agency in the performance of his or her duties wherein the violator is provided an exact copy of the document.

  • Any accident reportable under the Vehicle Code (VCVehicle Code) when the parties of interest may obtain a copy of the report pursuant to VCVehicle Code 20012.

  • CDCRCalifornia Department of Corrections and Rehabilitation requirements for an individual to provide his or her name, identifying number, photograph, address, or similar identifying information, if this information is used only for the purpose of identification and communication with the individual by CDCRCalifornia Department of Corrections and Rehabilitation, except that requirements for an individual’s social security number shall conform with the provisions of the Federal Privacy Act of 1974 and subsequent amendments.

13030.13 General Requirements for Information Collection

• To the greatest extent possible, personal information shall be collected directly from the subject of the inquiry rather than from another source. All information collected must be relevant and necessary to accomplish the lawful purpose for which it is collected.

• Reasonable efforts shall be made to ensure that all information about an individual is timely, accurate, relevant, and complete.

13030.13.1 Inaccurate Information

• The CDCRCalifornia Department of Corrections and Rehabilitation shall correct, update, withhold, or delete any portion of a record that CDCRCalifornia Department of Corrections and Rehabilitation knows, or has reason to believe, is inaccurate before transmitting or communicating the information to an agency outside of state government.

13030.13.2 Record of Information Sources

• When information is collected from an origin other than the individual about whom it is collected, a record shall be made of the information source. The record of the source shall be made available to the individual when they inspect the record. The document to be used in recording the origin of personal information shall be CDC Form 1022, IPAInformation Practices Act Record of Sources. For exceptions see DOMDepartment Operations Manual 13030.13.3.

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 IPAInformation Practices Act 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 DOMDepartment Operations Manual 13030.19 and 13030.20 for further information.

13030.13.4 Using Inmates to Collect Personal Information

• Inmates in assignments where they will type, file, or otherwise handle any non-confidential information pertaining to another inmate shall comply with all State IPAInformation Practices Act requirements.

13030.14 Conditions of Disclosure

• Records containing personal information may be disclosed or transferred only under the following conditions:

  • To the individual to whom the information pertains, unless the information is exempt from access to the individual (See DOMDepartment Operations Manual 13030.19).

  • To other persons with the prior written, voluntary, and timely consent of the individual to whom the record pertains, if the information is not exempt from access and the consent to disclose has been obtained within 30 days before the disclosure or within the time limit specified in the written consent. The CDC Form 1021, IPAInformation Practices Act Voluntary Consent to Release Personal Information, shall be used for this purpose.

  • To the guardian or conservator of the individual, or a person representing the guardian or conservator, if it can be proven with reasonable certainty that such person is the authorized guardian or conservator of the individual, or their authorized representative.

  • To an employee of CDCRCalifornia Department of Corrections and Rehabilitation, as long as the disclosure is necessary for the performance of the employee’s official duties and the use to be made of the information is related to the purpose for which the information was obtained.

  • To another State agency, when the disclosure is necessary for that agency to accomplish its constitutional or statutory mission and use of the information shall be compatible with a purpose for which the information was obtained.

  • To any person where the disclosure is in accordance with the PRAPublic Records Act (GCGovernment Code 6250, et seq.) and DOMDepartment Operations Manual 13040.

  • To a governmental entity when required by State or federal law.

  • To a person for statistical research or reporting purposes if adequate written assurance is obtained that the information shall only be disclosed in a form that will not identify any individual.

  • To a person when compelling circumstances exist which affect the health or safety of an individual as determined by the agency maintaining the information, unless the disclosure conflicts with state or federal laws. Upon disclosure the individual to whom the information pertains shall be notified in writing through their last known address.

  • To the California State Archives (CSA) as a record which has historical or other value which warrants its preservation by the State.

  • To the Director of General Services, or their designee for evaluation to determine if the record may have further administrative, legal, or fiscal value.

  • To any person pursuant to a search warrant [except that compliance with PCPenal Code 832.7 shall be required for the record of a peace officer employee].

  • To any person pursuant to the VCVehicle Code 1800, et seq.

  • To any person for verification of eligibility and authorization for payment of government health care service claims pursuant to the W&I 1000, et seq.

  • To a law enforcement agency when required for investigation of criminal activity unless such disclosure is otherwise prohibited by law. If the request is from a DA, the information shall be disclosed within ten days unless a court determines that the disclosure is not in the public interest or for good cause.

  • C-Files (excluding medical, psychiatric, and confidential) are accessible to the DA or designee upon request, pursuant to GCGovernment Code 6263.

  • Physical access by the DA or designee to medical and psychiatric files is prohibited, pursuant to PCPenal Code 1543 through 1545 and W&I 5328.01, unless a court order from the court in the county where the files are located has been obtained or release authorization has been obtained from the inmate/parolee whose file is being sought.

• The DA or designee is permitted to obtain copies of medical reports/records of the victim(s) and assailant(s) related to any in-custody incident(s)/ assault(s) committed by inmates and subject to possible DA prosecution.

  • The DA or designee is authorized to review Confidential files in the presence of designated facility staff to determine whether there is sufficient available information to file criminal charges for in-custody misconduct, (i.e., staff assault/inmate assault).

• Requests by the DA or designee for copies of Confidential documents necessary to prosecute in-custody crimes shall be forwarded to the Warden or designee for authorization to release. Confidential documents identified by the Warden or designee as endangering the safety and security of staff, inmates, or the facility and/or deemed too sensitive for release to the DA or designee will not be released without a proper court order.

• All other requests by the DA or designee for access to Confidential files to assess information for possible prosecution of crimes occurring in the community will be reviewed by the Warden or designee on a case-by-case basis. The Warden or designee shall factor the need of the DA or designee to obtain relative information and the need to ensure the safety and security of staff, inmates, and the facility.

• In the event the DA or designee discovers exculpatory information in the Confidential file during their initial review, or any subsequent review, the DA or designee shall immediately notify the Warden or designee of the discovery and the DA’s duty to disclose the exculpatory information to the defense per PCPenal Code. The DA or designee shall notify the Warden or designee prior to disclosure of such information to the defense in order for the Warden or designee to determine any possible safety concerns and take appropriate action.

• Subpoenas for inmate and parole records shall be referred, in accordance with DOMDepartment Operations Manual 14010.6.3 to the appropriate Attorney General’s (AGAttorney General) Office identified in DOMDepartment Operations Manual 14010.13. Any questions regarding subpoenas or court orders for inmate/parolee records should also be directed to the local AGAttorney General’s office.

  • To a person or government entity to the extent required to obtain information from that person or government entity, when necessary for an investigation of a failure to comply with a specific law which CDCRCalifornia Department of Corrections and Rehabilitation is responsible for enforcing.

  • To the OIPOffice of Information Practices with the written, voluntary, and timely consent of the individual when necessary for an investigation of a complaint regarding the IPAInformation Practices Act or for mediation of a dispute.

  • To an adopted individual if the information is limited to the general background of the individual’s natural parent and does not include or reveal the identity of the natural parent.

  • To a child or grandchild of an adopted individual if the information is limited to medically necessary information pertaining to the adopted individual’s natural parents and does not include or reveal the identity of the natural parents.

  • To a committee or member of the Legislature with the written, voluntary, and timely consent of the individual.

  • To the University of California or a nonprofit educational institution conducting scientific research when the request includes the following:

  • The need for the information.

  • Procedures protecting the confidentiality of the information.

  • Assurance that the identity of the individual shall not be disclosed in an individually identifiable form.

  • To an insurer if authorized by VCVehicle Code 10900, et seq.

  • To any person when the court issues a subpoena duces tecum or other compulsory legal process for the following:

• Note: Before disclosure, if notification is not prohibited by law, CDCRCalifornia Department of Corrections and Rehabilitation shall reasonably attempt to notify the individual to whom the information pertains.

  • A peace officer employee’s record. It may be necessary to consult with the OLAOffice of Legal Affairs, IPOLT, prior to disclosing a peace officer employee’s record because of the restrictions imposed by PCPenal Code 832.7 (See DOMDepartment Operations Manual 14010.6.10.2 for further information).

  • Other employee’s records. Only the documents specifically named shall be disclosed (See DOMDepartment Operations Manual 14010.10.1 for further information).

  • An inmate’s/parolee’s record. Only the C-File shall be provided unless the court specifies other records by title.

13030.15 Accounting for Disclosures

• Each operational unit within CDCRCalifornia Department of Corrections and Rehabilitation, including headquarters, division offices/sections/ units, field offices, facilities, and parole regions, shall keep an accurate accounting of the date, nature, and purpose of each disclosure made under the following circumstances:

  • To persons or government entities when required by them to perform their constitutional or statutory duties. The use must be compatible with a purpose for which the personal information was collected.

  • To a governmental entity when required by State or federal law.

  • Under compelling circumstances which affect the health or safety of an individual.

  • Under a subpoena, court order, or other compulsory legal process.

  • Under a search warrant.

  • To a law enforcement or regulatory government entity when required for an investigation of unlawful activity or for licensing, certification, or regulatory purposes, unless otherwise prohibited by law.

  • To a person or government entity to the extent necessary to obtain information from the person or entity as necessary for an investigation by the person or entity of a failure to comply with a specific state law which that person or entity is responsible for enforcing.

• Also Include

  • The accounting shall also include the name, title, and business address of the person or government entity to which the disclosure was made. Routine disclosures pertaining to crimes, offenders, and suspected offenders to law enforcement or regulatory government entities of federal, State, and local government require an accurate accounting. However, if disclosure is made to a government entity when required by state of federal law, it shall be sufficient to record the date of disclosure, the law enforcement or regulatory government entity requesting disclosure, and the purpose of the disclosure (e.g., investigation, licensing, certification, or regulatory purposes).

  • A CDC Form 819, IPAInformation Practices Act Personal Information Disclosure Log, shall be used to record disclosures. It shall be retained in the individual’s file for three years from the date of disclosure or until the record is destroyed, whichever is earlier. The individual about whom information is disclosed is entitled to inspect this document, except information that is exempt pursuant to DOMDepartment Operations Manual 13030.19.

13030.16 Access to Records

• Each individual has the right to inquire and be notified whether CDCRCalifornia Department of Corrections and Rehabilitation maintains a record about him or her. Any inquiry shall specify the name and title of the records system as filed with the OIPOffice of Information Practices. Inmates are granted access and review of information pertaining to themselves under case law (Olson v. Pope (1974) 37Cal.App.3d783, 112Cal.Rptr.579) and this section. Inmates may request an Olson review of their Central File (C-File) from their assigned Correctional Counselor (CCCorrectional Counselor).

• The individual shall be permitted to inspect and obtain an exact copy of all or any portion of any nonexempt personal information about themselves even when it might be kept under the name of another person, entity, event, or date or among other records systems.

• The individual may permit another person of their choosing to inspect all nonexempt personal information in a record and have an exact copy of all, or any portion, of the record. The individual must sign a CDC Form 1021, before such disclosure may be permitted.

• The individual shall be permitted to inspect the accounting of disclosures made in accordance with this section, except that exempt information contained in the accounting shall be withheld.

13030.16.1 Availability of Procedures to Access Records

• Upon written request, the office with the individual’s record shall furnish the requester a copy of CDCRCalifornia Department of Corrections and Rehabilitation’s procedures to be followed to gain access to or amend a record.

• The information contained in this form shall include the following:

  • The name, title, and business address of the person to contact for each record system and to whom to appeal if all, or any part, of the request is denied.

  • Whether the request needs to be in writing.

  • Where and when records may be inspected in person, including the regular office hours (See DOMDepartment Operations Manual 13030.21 and 13030.26 for further information).

  • Fees to be charged for photocopying information (See DOMDepartment Operations Manual 13030.26.3 for further information).

  • Notice that proof of identity, such as a valid driver’s license or notarized signature, shall be required when the individual’s identity (or the identity of the individual’s representative) is not known to the keeper of the records.

  • Example of information likely to be exempt from access.

  • Approximate time frames in which CDCRCalifornia Department of Corrections and Rehabilitation shall:

  • Respond to a request for inspection.

  • Respond to a request for copies.

  • Respond to a request to amend a record.

  • Respond to a request to appeal a refusal to amend a record. (See DOMDepartment Operations Manual 13030.26, 13030.27, 13030.27.2, and 13030.28 for further information.)

  • Limitation on what shall be accepted as a rebuttal to information in the record.

• The individual requesting any record containing personal information shall sign an acknowledgment of penalties for requesting or obtaining records under false pretenses, CDC Form 1019, IPAInformation Practices Act Statement of Penalties.

13030.16.2 Requests to Review Electronic C‑File for Inmate Attorney or Olson Review

• Requests for CDCRCalifornia Department of Corrections and Rehabilitation 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 CCCorrectional Counselor’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 (SOMSStrategic Offender Management) and the Electronic Records Management System (ERMSElectronic Records Management System), 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.

• SOMSStrategic Offender Management and ERMSElectronic Records Management System are web-based computer programs dependent upon a networked computer accessing a database. SOMSStrategic Offender Management and ERMSElectronic Records Management System contain data of inmates’ case factors and other information that was formerly contained in a paper C-File. The Electronic File in ERMSElectronic Records Management System 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 ERMSElectronic Records Management System 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 ERMSElectronic Records Management System 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 ERMSElectronic Records Management System Olson or Attorney Review CD or PDF file will contain all scanned documents for an inmate that are stored in the ERMSElectronic Records Management System database not considered confidential.

• SOMSStrategic Offender Management 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 SOMSStrategic Offender Management Olson or Attorney review, the input screens relating to each specific topic can be printed from the SOMSStrategic Offender Management application.

13030.16.3 Conducting an ERMS/SOMS Olson Review