Chapter 4 – Information Technology

In order to promote safety and enhance security, the California Department of Corrections and Rehabilitation (CDCRCalifornia Department of Corrections and Rehabilitation) may use audio, video, or both forms of recording technology within and surrounding any of its facilities, perimeter fencing, or vehicles.  Such technology shall not be used to record the interiors of cells except in case of emergency or investigation as authorized by the Warden.

The primary purpose of the Audio-Video Surveillance System (AVSS) is to enhance public safety and facility security by providing the ability for real-time monitoring and recording in order to conduct investigations and after-the-fact reviews by utilizing audio or video recording technology or both.

Enterprise Information Services (EISEnterprise Information Services (formerly Information Services Division))

• For implementations of AVSS, Enterprise Information Services (EISEnterprise Information Services (formerly Information Services Division)) is responsible for managing the procurement, architecture, data communication network, implementation, access control, ongoing hardware and software support contracts and licensing.  All proposed AVSS shall be evaluated and approved by EISEnterprise Information Services (formerly Information Services Division) to ensure that all hardware, software, and communication platforms comply with CDCRCalifornia Department of Corrections and Rehabilitation standards and guidelines. AVSS shall not be procured or installed without the knowledge and approval of EISEnterprise Information Services (formerly Information Services Division). AVSS or installations by the Office of Internal
  Affairs (OIAOffice of Internal Affairs) for investigative purposes are exempt from this notification requirement, except for those that utilize the CDCRCalifornia Department of Corrections and Rehabilitation network.

• For repair or replacement of video or audio equipment that was implemented prior to the  AVSS, EISEnterprise Information Services (formerly Information Services Division) will evaluate each request to ensure purchases align with the new statewide standard for equipment and service where possible and feasible.

Institution Staff

• The Warden shall designate a local AVSS Coordinator responsible for maintaining a Department Operations Manual (DOMDepartment Operations Manual) Supplement and instructing staff on use of the system. Plant Operations staff are responsible for the removal and replacement of camera(s) for repair.

Public notice that recording technology may be in use shall be placed at the gatehouse, front entrance, and vehicle sally ports of all correctional institutions and include the following minimum text: “This area is subject to audio and video surveillance.”

The AVSS is capable of being monitored from designated areas within the institution or vehicle as determined by the Hiring Authority.  Staff generally monitor the AVSS on a periodic basis or in response to a specific incident.  The AVSS may not be monitored continuously. Staff shall utilize their personal alarm device, whistle, telephone, or radio to summon additional staff if assistance is needed.

Upon notification of potential criminal or improper activity in a particular location, the hiring authority, facility supervisor or manager, Investigative Services Unit (ISUInstitution Services Unit), or other designated staff may review information obtained from the AVSS in conjunction with its review of such activity.

The viewing of live or review of recorded video shall not be used for routine supervision of staff.  For example, audio, video, or both forms of recording technology will not be used to monitor staff’s arrival or departure from the job site. However, if during the review of audio, video, or both forms of recording technology, staff misconduct is identified, the video recording can be used as part of the disciplinary process, inquiries, administrative investigations, or criminal investigations. Stored audio, video, or both forms of recording technology shall not normally be used to identify whether or not previous similar behavior occurred. However, when information is received alleging staff misconduct occurred on prior occasions or over an expressed period of time, the AVSS recordings during the expressed timeframe may also be reviewed.

Any information collected from the AVSS shall be considered CDCRCalifornia Department of Corrections and Rehabilitation property and/or records.  Recorded audio, video, or both forms of recording technology is generally used for the safety and security of CDCRCalifornia Department of Corrections and Rehabilitation facilities and review of incidents. AVSS may also be used for corrective action, the disciplinary process, inquiries, administrative investigations, or criminal investigations.   Any available audio, video, or both forms of recording technology associated with a specific retention trigger shall be exported and stored on a digital medium according to authorized procedures and policy. The audio, video, or both forms of evidence retained for storage on a digital medium shall be managed by the institution’s ISUInstitution Services Unit or as directed by the hiring authority for a period of not less than 90 days. Data may be preserved for a longer period upon conditions being met pursuant to Section 47040.9.

Institutions upgrading or replacing their AVSS equipment shall ensure their Labor Relations Analyst invites the local Chapter President of the California Correctional Peace Officer Association or designee to all design and implementation meetings (not including pre-planning discussions) related to the local AVSS system.

The following events shall require staff to preserve the recorded data as potential evidence in an inquiry, investigation, and/or an administrative, civil, or criminal proceeding:

• Any use of force incident.

• Riots.

• Suspected felonious criminal activity.

• Any incident resulting in serious bodily injury, great bodily injury, or death.

• Sexual assault allegations.

• Allegations of inmate misconduct [i.e. serious Rules Violation Reports (RVRs)] by staff.

• Allegations of staff misconduct by an inmate, employee, visitor, or other person.

• Incidents that may potentially be referred to the District Attorney’s Office.

• An employee report to supervisor of on-the-job injury, and;

• Inmate claims with the Department of General Services, Office of Risk and Insurance Management, or Government Claims Program.

When an event occurs that requires staff to preserve recorded data, the following process shall be utilized:

• During business hours, a telephone call or verbal request will be made to the ISUInstitution Services Unit immediately following an AVSS retention trigger.

• Following the verbal notification to ISUInstitution Services Unit, or if the event occurs after business hours,a CDCRCalifornia Department of Corrections and Rehabilitation Form 1027, Audio/Video Surveillance System Evidence Request, shall be submittedto ISUInstitution Services Unit for timely processing.

• ISUInstitution Services Unit will process the request and capture the requested event on a digital mediumwithin 24 hours of the occurrence or request. This stored event will be made accessible to the approved requestor.

• ISUInstitution Services Unit will save and keep on file a hard copy of the CDCRCalifornia Department of Corrections and Rehabilitation Form 1027.

• ISUInstitution Services Unit will make a second copy of the event to be stored as evidence in ISUInstitution Services Unit.

In the event that staff are required to preserve recorded data on a digital medium, they will ensure that all camera angles are captured. In addition, footage of the events leading up to the event or subsequent footage following the event should be reviewed and copied to the extent that such footage provides a more thorough picture of the entirety of the incident.

An audio, video, or both forms of recording that becomes evidence in an OIAOffice of Internal Affairs investigation shall be stored until resolution of any investigation and written release by the OIAOffice of Internal Affairs, Office of Legal Affairs (OLAOffice of Legal Affairs), and Office of the Attorney General (OAGOffice of the Attorney General).  An audio, video, or both forms of recording that CDCRCalifornia Department of Corrections and Rehabilitation has reason to believe may become evidence in an administrative, civil, or criminal proceeding shall be stored indefinitely unless other direction is given by the OIAOffice of Internal Affairs, OLAOffice of Legal Affairs, or in the event of a criminal proceeding, the Office of the District Attorney.  Audio, video, or both forms of recordings must be destroyed in a secure manner consistent with EISEnterprise Information Services (formerly Information Services Division) policy as soon as they are no longer needed for the purpose for which they were retained.

Only individuals having a legitimate need to view the live images or recorded media shall be permitted to do so. When an event occurs that requires the preservation of recorded data, managers, supervisors, and the Grievance Coordinators from the Office of Grievances (OOG) shall be responsible for filling out and submitting the CDCRCalifornia Department of Corrections and Rehabilitation Form 1027. In the event the AVSS becomes inoperable, staff will notify the AVSS Coordinator, or the Watch Commander if after hours, and will submit a remedy ticket to local Information Technology staff for resolution.

Criteria for the review or viewing of video shall constitute a legitimate need, which includes:

•  Reviewing the circumstances of a crime or suspected crime.

• Reviewing the circumstances of an accident or near accident.

• For routine matters (including use of force incidents pursuant to DOMDepartment Operations Manual Chapter 5, Article 2, Use of Force) that do not involve the criteria in subsections (A) or (B) below, Bargaining Unit (BU) 6 employees shall be granted an opportunity to review audio or video data of an incident they were involved in from their Body-Worn Camera (BWC) or institutional fixed camera(s). The procedures to request to review AVSS data, and the viewing of AVSS data relative to report writing, shall be in accordance with the procedures in the current Memorandum of Understanding (MOUMemorandum Of Understanding) for BU 6, section 9.16, Video Recordings. If staff are denied approval to review institutional fixed camera video by the Incident Commander for any of the reasons noted in subsections (A) or (B) below, they will be provided with a CDCRCalifornia Department of Corrections and Rehabilitation Form 1028, Audio/Video Surveillance System Evidence Request Denial, signed by the Captain or their designee, denying the request. Copies of the CDCRCalifornia Department of Corrections and Rehabilitation Form 1028 will be forwarded to ISUInstitution Services Unit and the Labor Relations Analyst who will notify the appropriate local BU chapter president that the form is ready for pickup. For BWC data reviewing denial process see the California Code of Regulations (CCRCalifornia Code of Regulations), Title 15, section 3270.3.

  • An incident involving allegations of misconduct (defined as situations where the Hiring Authority has determined and initiated the CDCRCalifornia Department of Corrections and Rehabilitation Form 989, Confidential Request for Internal Affairs Investigation/Notification of Direct Adverse Action process) or where administrative action is reviewed: the employee shall be granted an opportunity to review CDCRCalifornia Department of Corrections and Rehabilitation video recording(s) at the sole discretion of the Warden, Chief Deputy Warden, or above. If staff are denied approval to review video data for this reason, no further questions or clarifications may be requested of the employee by the hiring authority.

  • An incident where criminal or deadly force is reviewed: the employee shall only be granted the opportunity to observe CDCRCalifornia Department of Corrections and Rehabilitation video data at the sole discretion of the OIAOffice of Internal Affairs or investigating or prosecuting agency. If staff are denied approval to observe video data during the review process, no further questions or clarifications may be requested of the employee by the hiring authority.

• The OOG may request to review audio and video recordings when conducting an inquiry as it relates to a submitted incarcerated person grievance.

• The Allegation Investigation Unit (AIU) may request to review and be provided access to audio and video recordings when conducting an inquiry as it relates to a submitted incarcerated person grievance or staff misconduct.

• The author of an RVR may submit a CDCRCalifornia Department of Corrections and Rehabilitation Form 1027 to their supervisor to have the video data (with or without audio) captured as related to the circumstances of the RVR. The Senior Hearing Officer during the hearing process will examine video that is submitted with a serious RVR, and ensure the incarcerated person has had an opportunity to examine any audio or video, as appropriate.

Upon receipt of a Public Records Act (PRAPublic Records Act) request for Audio-Video Surveillance Systems (AVSS) footage, institutions or program areas shall contact the DAIDivision of Adult Institutions (formerly Institutions Division) Public Records Act Unit (PRAU) for guidance. Upon receipt of a PRAPublic Records Act request for AVSS footage or audio recordings pursuant to Penal Code 832.7(b), institutions or program areas shall contact the Office of Legal Affairs (OLAOffice of Legal Affairs) video redaction staff. AVSS footage includes fixed cameras and body-worn cameras. 

Only designated DAIDivision of Adult Institutions (formerly Institutions Division) PRAU or OLAOffice of Legal Affairs video redaction staff shall redact AVSS footage in response to a PRAPublic Records Act request. Only designated OLAOffice of Legal Affairs video redaction staff shall redact audio recordings in response to a Penal Code section 832.7(b) PRAPublic Records Act request.

If a request for AVSS footage is vague or covers a large timeframe (a “blanket” request), the assigned DAIDivision of Adult Institutions (formerly Institutions Division) PRAU or OLAOffice of Legal Affairs video redaction staff shall attempt to clarify the request. The purpose of the clarification process is to assist the requestor in locating the AVSS footage by narrowing the request to a specific person(s) involved, date, time, location (e.g., institution, housing unit, yard, etc.), or event. If attempts to clarify a “blanket” request are unsuccessful, the assigned DAIDivision of Adult Institutions (formerly Institutions Division) PRAU shall submit to have the PRAPublic Records Act request denied by sending the request to the OLAOffice of Legal Affairs PRAPublic Records Act mailbox. Any denials based on the blanket nature of a request shall be reviewed and approved by CDCRCalifornia Department of Corrections and Rehabilitation’s General Counsel.

Institutions or program areas shall notify employee(s) in writing prior to the release and disclosure of any AVSS footage or audio recording pursuant to a PRAPublic Records Act request which reasonably or easily identifies the employee.

To assist in notifying reasonably or easily identifiable employee(s), the DAIDivision of Adult Institutions (formerly Institutions Division) PRAU or OLAOffice of Legal Affairs video redaction staff shall provide the institution or program area a copy of or instructions to access the AVSS footage. The DAIDivision of Adult Institutions (formerly Institutions Division) PRAU or OLAOffice of Legal Affairs video redaction staff shall determine which employee(s) require notification and provide the institution or program area any information regarding the employee(s) identified in the AVSS footage. The institution or program area shall review the AVSS footage and identify any employees the DAIDivision of Adult Institutions (formerly Institutions Division) PRAU or OLAOffice of Legal Affairs video redaction staff were unable to identify. 

The notification shall be completed utilizing the CDCRCalifornia Department of Corrections and Rehabilitation Form 1110, Notification of Release and Disclosure of Video Footage, Audio Recording, or Both. The  
CDCRCalifornia Department of Corrections and Rehabilitation Form 1110 shall be completed prior to the release and disclosure of any AVSS footage or audio recording pursuant to a PRAPublic Records Act request. Institutions shall retain the completed CDCRCalifornia Department of Corrections and Rehabilitation Form 1110 and forward a copy to the DAIDivision of Adult Institutions (formerly Institutions Division) PRAU or OLAOffice of Legal Affairs video redaction staff. The DAIDivision of Adult Institutions (formerly Institutions Division) PRAU or OLAOffice of Legal Affairs video redaction staff shall retain the CDCRCalifornia Department of Corrections and Rehabilitation Form 1110 copy with the corresponding PRAPublic Records Act request. 

If a notified employee requests to review the AVSS footage or audio recording, the institution shall accommodate the employee within seven calendar days, barring any facility emergency. An employee’s inability to review the AVSS footage or audio recording shall not delay the release of the PRAPublic Records Act request beyond the allotted seven calendar days. 

The institution shall document and maintain the employee’s review of the PRAPublic Records Act request to include the following:

• The employee’s name. 

• PERNR number.

• Date. 

• PRAPublic Records Act request number.

• The AVSS footage or audio recording(s) being reviewed. 

If the notified employee has sufficient facts to demonstrate that releasing their identity to the public presents a specific threat to their safety, the employee is directed to immediately notify, in writing, the assigned Litigation Coordinator for their area. The employee’s written statement shall contain any specific, articulable, and particularized facts about how disclosure of the records to the PRAPublic Records Act requester would pose a significant danger to their physical safety or to the physical safety of someone else. The Litigation Coordinator shall forward the information to the Hiring Authority and the DAIDivision of Adult Institutions (formerly Institutions Division) PRAU or OLAOffice of Legal Affairs video redaction staff.  

• The Hiring Authority shall evaluate the employee’s written statement and make a determination within five business days. 

  • If the Hiring Authority determines the employee’s written statement contains a  
    non-specific or general in-nature threat, the Hiring Authority shall immediately notify the employee in writing that the threat was evaluated and determined to be invalid. The Hiring Authority shall forward a copy to the DAIDivision of Adult Institutions (formerly Institutions Division) PRAU or OLAOffice of Legal Affairs video redaction staff.

  • If the Hiring Authority determines the employee’s written statement contains a specific, articulable threat, the Hiring Authority shall forward the employee’s written statement to ISUInstitution Services Unit or other appropriate investigatory staff and ensure an investigation is completed. The assigned investigator(s) shall have 14 calendar days to complete the investigation and determine the legitimacy of the threat. The Hiring Authority shall forward the results of the investigation and all supporting documentation to CDCRCalifornia Department of Corrections and Rehabilitation’s General Counsel via the OLAOffice of Legal Affairs PRAPublic Records Act mailbox for final determination and notify the DAIDivision of Adult Institutions (formerly Institutions Division) PRAU or OLAOffice of Legal Affairs video redaction staff of the submission.  

  • If the Hiring Authority determines the employee’s written statement concerns a documented threat, the Hiring Authority shall submit all supporting documentation to CDCRCalifornia Department of Corrections and Rehabilitation’s General Counsel via the OLAOffice of Legal Affairs PRAPublic Records Act mailbox for final determination and notify the DAIDivision of Adult Institutions (formerly Institutions Division) PRAU or OLAOffice of Legal Affairs video redaction staff of the submission.

  • CDCRCalifornia Department of Corrections and Rehabilitation’s General Counsel determination shall be provided to the Hiring Authority and the DAIDivision of Adult Institutions (formerly Institutions Division) PRAU or OLAOffice of Legal Affairs video redaction staff. The Hiring Authority shall immediately provide the decision to the employee. 

 A PRAPublic Records Act request for AVSS footage depicting a person’s death shall require notification to the Next of Kin (NOK) to allow the NOK an opportunity to review the AVSS footage prior to release. 

• When the DAIDivision of Adult Institutions (formerly Institutions Division) PRAU or OLAOffice of Legal Affairs video redaction staff receives a PRAPublic Records Act request for AVSS footage depicting a person’s death, the institution shall be notified before the scheduled release. The DAIDivision of Adult Institutions (formerly Institutions Division) PRAU or OLAOffice of Legal Affairs video redaction staff shall provide the Hiring Authority and PRAPublic Records Act Coordinator access to the redacted AVSS footage.  

• The institution shall contact the NOK and schedule a review as soon as possible. The NOK shall have seven calendar days to review the AVSS footage. The review may occur at an institution or alternate CDCRCalifornia Department of Corrections and Rehabilitation location as needed due to distance from the NOK or other factors. The NOK may bring two other people to the review for a maximum of three people. Only redacted footage shall be reviewed by, or released to, the NOK. 

• If the NOK decides not to review the AVSS footage but requests a copy, the institution shall work with the NOK and make a copy available. Once the seven calendar days have elapsed, the AVSS footage shall be deemed ready for release.

• If contact with the NOK cannot be made within 72 hours of the initial attempt to contact, the Hiring Authority shall notify their respective Associate Director (AD) or Director, and the DAIDivision of Adult Institutions (formerly Institutions Division) PRAU or OLAOffice of Legal Affairs video redaction staff that all reasonable means for obtaining the NOK contact information have been exhausted. The AD or Director shall contact OCSOffice of Correctional Safety for additional assistance locating the NOK. OCSOffice of Correctional Safety shall forward the results of the attempt to the AD or Director. If the attempt was successful, the AD or Director shall communicate the results to the institution or program area for completion per 47040.12(g). If the attempt is unsuccessful, the AD or Director shall communicate the results to the DAIDivision of Adult Institutions (formerly Institutions Division) PRAU or OLAOffice of Legal Affairs video redaction staff. The DAIDivision of Adult Institutions (formerly Institutions Division) PRAU or OLAOffice of Legal Affairs video redaction staff shall document the results in the Public Records Portal and release the footage to the PRAPublic Records Act requestor.