Chapter 1 – General Administration

The Department shall operate in compliance with the statutes and regulations established by the Legislature and control agencies.

This section seeks to establish guidelines for ensuring that all proposed legislation affecting the Department is analyzed, the Department’s interests are made known to the Legislature, and the departmental reports to the Legislature are submitted in a timely manner.

The Director retains overall responsibility for effectively communicating and interfacing with the Legislature.

The Assistant Director, LLOLegislative Liaison (see OOL) shall ensure that all proposed legislation affecting the operation of the Department receives timely analysis and the Department’s concerns and positions on proposed legislation are made known to the Legislature; respond to inquiries from the Legislature, its committees and aides, and ensure that reports required by the Legislature are properly prepared and transmitted in a timely manner.

Upon request from the Assistant Director, LLOLegislative Liaison (see OOL), operating units shall prepare proposed responses to legislative inquiries, prepare proposed analyses of pending legislation, prepare proposed mandated reports to the Legislature and provide information and statistics to assist others in the preparation of the Department’s position.

An employee who becomes aware of proposed or pending legislation that may affect the Department shall notify the Assistant Director, LLOLegislative Liaison (see OOL). This shall be accomplished in the form of a brief memorandum identifying the author and subject of the legislation. This shall be transmitted through the employee’s normal chain of command.

Some bills are sent to staff members for information only. If the recipient of a bill, sent for information only, determines that it is one on which the Department should have an official position, they shall contact the LLOLegislative Liaison (see OOL) for a decision concerning a formal bill analysis.

Changes in the law can have tremendous effects upon the Department’s policies, procedures, personnel and budget. It is vital that proposed legislation affecting the Department be identified and analyzed concerning its impact upon the Department.

Bill analysis shall be given the highest priority in order that the Department can have maximum, effective, timely input into the establishment of laws impacting departmental operations.

Legislative measures of interest to the Department shall be logged and transmitted by the Assistant Director, LLOLegislative Liaison (see OOL) to the appropriate assistant or deputy director for analysis. A CDC Form 853, Request for Legislative Bill Analysis shall be attached to indicate the type of analysis requested and a due date.

The assistant or deputy director shall immediately assign the request for bill analysis to an appropriate staff person.

The assigned staff member shall:

• Secure from other staff or units any information necessary to analyze the bill.

• Ensure the bill analysis is completed by the due date and meets format and content standards.

• Contact the LLOLegislative Liaison (see OOL) of unusual circumstances that preclude completion of the bill analysis by the due date.

• Forward the completed bill analysis to the assistant or deputy director.

The assistant or deputy director shall review the bill analysis and forward it to the LLOLegislative Liaison (see OOL).

The due date is shown on the CDC Form 853, as well as the time required for the analyst to send the completed work back through the assistant or deputy director for signature and to forward it to the Assistant Director, LLOLegislative Liaison (see OOL).

Time Limits

• The time limits are:

  • Five working days for the first time analysis of a legislative bill.

  • Three working days for a fiscal analysis.

  • Three working days for analysis of an amended bill.

A bill analysis response is prepared and forwarded on a CDC Form 1617, standard Memorandum, and shall identify the bill by number and author. The caption headings, in the bill analysis, shall be the following:

• Summary of Bill: This is a concise summary of what the proposed bill would do. This should emphasize its effect on the Department.

• Background: This should include any information the staff has about how this bill developed and/or why it is being proposed. If this is not known, this section should so state. DO NOT CONTACT THE LEGISLATOR to attempt to obtain this information.

• Specific Findings: This states a summary of the current law and compares existing law, policy and practice with the proposed changes. This section seeks to give the lay, non-correctional reader a clear understanding of the present situation and how the proposed bill would change current policies, procedures, etc..

• Analysis: This is a concise discussion of how the proposed bill will impact current departmental operations. This section is critical to the Department’s response to the bill. It should briefly discuss:

  • What will the bill cause the Department to do or not do?

  • How many employees, inmates or parolees will be effected by the change?

  • Can the changes be made within the proposed times?

  • Is the change practical?

  • Is there a better way to accomplish the same effect or goal?

  • Is the bill technically correct (does it properly reflect existing law, cite the correct section numbers, etc.)?

• Note: There are some bills that would be more desirable or less desirable, for the Department, if some specific amendments could be made. In this situation, the staff preparing the analysis should outline and speak to these possible amendments.

• Fiscal Impact: This section indicates the immediate and projected long term net cost or savings, if known. The fiscal impact may be prepared separately, by fiscal staff, and joined when the bill and fiscal analysis reach the LLOLegislative Liaison (see OOL).

• Recommendation: This section is a staff recommendation to the Assistant Director, LLOLegislative Liaison (see OOL), on the position the Department should take regarding the bill under analysis. The following recommendations may be made:

• Support: The Department should support the bill as it will have some beneficial, positive effect on the operation of the Department.

• Support If Amended: The bill would be desirable for the Department, if the specific changes were made in the bill.

• Neutral: The change made by the bill will have no significant effect on the Department.

• Oppose: The Department should oppose the bill as it will have some adverse, negative effect on the operation of the Department.

• Oppose Unless Amended: The basic thrust of the bill will have some adverse, negative effect on the Department unless the objectionable portions can be removed.

Signed By

• The bill analysis shall be signed by the assistant or deputy director having administrative responsibility over the staff who prepared the analysis.

This covers a bill that has been amended by the Legislature and it may, or may not, have previously been analyzed. The amendment may, or may not, change the thrust of the bill, its impact upon the Department and/or the Department’s position on the bill. A single bill may be amended several times during the legislative process, and staff may be requested to perform more than one analysis of the bill or its amendments.

It will not be necessary to repeat an analysis of unchanged portions of an amended bill, unless new information is developed that could significantly affect the Department or the Department’s recommended position. The extent of the new analysis will depend both on the complexity and significance of the amendments and the availability of new information. Normally, a statement as to any change made by an amendment, and the effect it has, will suffice.

In some instances the amendments will be so extensive that an entire new analysis must be made in order to clearly present the effects of the amendments.

The analysis of an amended bill shall be prepared in memorandum form, just as the original analysis. The same caption headings shall be used, but only use those necessary to the analysis of the amended portions of the bill. The analysis shall be signed by the assistant or deputy director having administrative authority over the staff who prepared the analysis.

When the final version of a bill, as passed by the Legislature is forwarded to the Governor for signature, a complete new analysis is required. Drawing on information already furnished, this final analysis is normally completed by the LLOLegislative Liaison (see OOL).

A copy will usually be sent to the staff member responsible for the analysis for one last review.

Staff reviewing an enrolled bill shall compare it with the last version analyzed and immediately notify the LLOLegislative Liaison (see OOL) if any significant change is discovered.

The law requires that each State agency responsible for the implementation of a new program or regulatory action report a summary of the actions taken to implement the statute or regulation to specified members and committees of the Legislature.

Implementation reports prepared by the Department shall be submitted to the YACA in sufficient time that they can be forwarded to the Legislature within six months of the effective date of the measure, or within six months of the operative date, whichever is later.

No later than 30 days prior to the date the implementation report is due to the Legislature, the responsible division shall forward its completed report, in final draft form, to the Assistant Director, LLOLegislative Liaison (see OOL) for review.

Assignment for implementation usually occurs at the executive staff meeting during briefing on new statutes. Divisions given primary responsibility for implementation of new statutes shall be responsible for preparing the required implementation reports.

The final draft of the implementation report shall be forwarded to the Assistant Director, LLOLegislative Liaison (see OOL).

• Reviewed by the affected executive staff and corrections suggested.

• Returned to the responsible program unit.

Final Report

• The final report shall be prepared and forwarded through the Assistant Director, LLOLegislative Liaison (see OOL), and Chief Deputy Director to the Director for signature.

Approved and Signed

• Once approved and signed by the Director, the report is returned to the LLOLegislative Liaison (see OOL). The necessary copies are made, and the report is forwarded to the YACA for distribution to the Legislature.

The Department is required to prepare a variety of reports for the Legislature. These reports may be in response to statutory requirements, budget control language, or committee requests.

The Assistant Director, LLOLegislative Liaison (see OOL) shall be responsible for identifying the various reports needed, except that the Deputy Director, ASDSee Division of Administrative Services (DAS) (see ASB), shall be responsible for identifying reports required by budget language.

Each Fall

• Each fall, as part of its annual review of legislative actions affecting the Department and assignments for implementing new statutes, executive staff members shall be assigned responsibility for preparing legislative reports. The staff member designated by the Director shall be responsible for instructing the program unit to prepare the necessary reports and ensuring that reports are submitted to the Legislature on a regular, periodic, or one time basis, as required.

• Any program unit made responsible to prepare a report through any other means shall inform the Assistant Director, LLOLegislative Liaison (see OOL), so the assignment can be reviewed; another assignment made, if appropriate; and the report completed in ample time to transmit the report in a timely manner.

Legislative reports shall be prepared on plain white 20 lb. bond paper in the following format:

• The body of the report shall be typed in block form.

• If captions are used, they shall be typed in initial capital letters and underscored.

• Paragraphs are to be single spaced with double spacing between them.

• Pages shall be numbered in the upper right corner of each page, with the report control number also appearing on each page, just above the page number.

Sections

• Each section of the report described below shall appear in the report in the order listed:

  • Cover: Each report shall have a front and back cover of beige cover-stock paper. The front cover is to include the title of the report, centered, with the “Department of Corrections” just below the title, and the date and control number in the lower right corner.

  • Preface: The preface shall be on plain white bond paper. It shall be entitled “Preface”, underlined and centered with the date in the upper-right corner. It should include the following sections:

  • Purpose of the report (statutory, committee request, etc.).

  • Scope of the report.

  • Brief statement covering the highlights of findings and recommendations.

  • The Director’s signature (two copies of the report shall bear the original signature and be delivered to the Secretary of the Senate and the Chief Clerk of the Assembly).

Note: A record is kept of all reports received in the Legislature. The preface will be published in the appropriate legislative journal.

Table Of Contents: A table of contents is appropriate when the report covers several subjects or extensive/complex material requiring various subheadings.

Executive Summary: This summary states the purpose and scope of the report, and shall include a statement of findings and recommendations.

Body Of Report: This section briefly states the purpose of the report, including a summary or quote of the legislative request, and summarizes the method used in conducting any studies, research, polling, etc., to prepare the report. Include acknowledgements of cooperation and assistance received. The report shall be clear and concise.

Recommendation/Evaluation (Optional): It is sometimes more appropriate to place recommendations and evaluations into a separate section. When this is done, the sections should be labeled as such. Any evaluation, recommendation or conclusion should be substantiated.

Appendices: Unless charts, statistics, graphs, footnotes and other technical support material complement the body of the report, they should be placed in this separate section at the end of the report.

The final draft of a legislative report is due in the LLOLegislative Liaison (see OOL) 30 days before the final report is due to be delivered to the Legislature.

The writer of the final draft report shall submit the documents and the Governor’s transmittal memo (without the beige cover), to their immediate supervisor.

The supervisor shall review the documents and forward them, through channels, to the LLOLegislative Liaison (see OOL).

The LLOLegislative Liaison (see OOL) shall:

• Review the documents.

• Assign a control number.

• Forward the documents to the Director for review and approval.

Forward Documents

• After the Director signs the transmittal memo, the LLOLegislative Liaison (see OOL) shall forward the documents to the YACA for review and approval and then forward to the Governor’s office for review and approval.

Governor Signs

• When the Governor signs the transmittal memo, the documents are returned to the LLOLegislative Liaison (see OOL), then forwarded to the program unit.

• The program unit shall:

  • Prepare, proof and duplicate the final report and transmittal letter.

  • Attach the biege cover.

  • Forward the final report and transmittal letter (two originals) to the Assistant Director, LLOLegislative Liaison (see OOL).

Director Signs

• The Assistant Director, LLOLegislative Liaison (see OOL) shall obtain the Director’s signature on the report and transmittal letter and return the documents to the program unit.

• The program unit shall:

  • Prepare copies in accordance with the DOMDepartment Operations Manual 14050.6.4, after consulting with the LLOLegislative Liaison (see OOL) regarding additional copy requirements.

  • Retain one copy of the documents.

  • Forward the original documents and copies to the LLOLegislative Liaison (see OOL) for distribution.

Unless the LLOLegislative Liaison (see OOL) specifically issues other instructions, at least 17 copies of each report shall be prepared. One copy shall remain in the unit preparing the report.

The balance of the reports shall be distributed as follows:

• Secretary of the Senate (with original signature).

• Chief Clerk of the Assembly (with original signature).

• Speaker of the Assembly.

• President Pro Tempore of the Senate.

• Minority Floor Leader of each House.

• Chairperson of the appropriate policy/fiscal committees of each House.

• Lead author of the legislation authorizing the report.

• Assembly Office of Research.

• Senate Office of Research.

• Joint Legislative Committee on Prison Construction and Operations.

• Any legislative member or committee mandated in the language of the bill.

• LLOLegislative Liaison (see OOL).

• LADLegal Affairs Division (see OLA)-RMU and PMU.

• DOFDepartment Of Finance.

• YACA.

Additional Reports

• When both the policy and fiscal committees of each House are to receive a report, additional copies shall be prepared for the minority staff of each fiscal committee.

• These guidelines are intended to provide a standard format and procedure for processing legislative reports. Exceptions to this format and process may include brief reports that merely transmit data that can be contained in letter form, and reports in which the subject or issue is sufficiently unique to dictate the need for an alternative format, and reports to individual committees. Any questions regarding the preparation or distribution of these reports, or exceptions to these requirements, should be addressed to the Assistant Director, LLOLegislative Liaison (see OOL); (916) 445-4737.

Proposed legislation shall be submitted to the Assistant Director, LLOLegislative Liaison (see OOL).

Proposed legislation shall be submitted on a CDC Form 852, Request for Approval of Proposed Legislation. The caption headings in the proposed legislation shall be the following:

• Title: A one line description of the subject of the proposed bill for purposes of identification.

• Problem: A concise statement in nontechnical terms of the problem and why legislation is necessary to solve the problem.

• Proposed Solution: The proposed solution shall be in three sections:

  • Existing Law: Outline in nontechnical language how these items are currently handled under existing law, i.e. what is required to be done under current law. Thoroughly explain current practices and the reason a change is needed. Use examples.

  • Proposed Change: Outline in nonlegal terms how the items would be handled under the proposed change.

  • Justification: State the reason why legislation is needed. Indicate the results or impact if the legislation was not enacted. If alternatives were considered but rejected in favor of the Legislative proposal, give the reason for rejection of the alternative.

• Fiscal Impact: If the proposal has fiscal implications, estimate the cost breakdown for the first two years. Include local and GFGeneral Fund costs, or special fund costs. Indicate amount and source of revenue if the proposal will result in additional revenues. Identify any change in staffing requirements and explain why the current level of staffing is inadequate to carry out the purpose of the legislation. Consult with fiscal staff for assistance in this area.

• Legislative History: Identify possible opposition and support for the proposal when known, i.e. agencies, organizations, other individuals.

• Include prior legislation on the subject, if any. Give year, author and bill number if known. If a previous proposal was submitted on the subject, give year and/or number.

Answer Questions

• The following basic questions shall be answered:

  • What is the need for this legislation?

  • Will the proposed legislation, if enacted, meet this end?

  • What will it cost?

  • Was the cost reviewed during budget discussions?

  • Are the benefits to be derived in line with the costs?

  • Is the proposed legislation consistent with the Department’s objectives?

  • Are alternatives available which better solve the problem?

  • Is the responsibility for meeting this need placed at the proper level of government – city, county, state?

  • Does any conflict exist with any other state department? Have all attempts to resolve the conflict failed?

  • Will the proposal be opposed by anyone? Specify.

  • Please attempt to quantify your proposal. For example, how many persons will it affect? How much time is involved, etc.?

Note: Questions regarding proposed legislation format and requests for assistance shall be directed to the Assistant Director, LLOLegislative Liaison (see OOL).

Executive staff shall review the proposals.

The Assistant Director, LLOLegislative Liaison (see OOL) shall transmit approved proposals to the YACA for review and approval.

The Assistant Director, LLOLegislative Liaison (see OOL), or designee, shall ensure that the contents of this section are accurate and current.

GCGovernment Code § 11017.5.