Department Operations Manual

86080.3 Basis for Classifying Information as Confidential Records will be classified as confidential according to the information they contain and not according to title, label, or origin. The following criteria will apply to classifying information as confidential: Confidential by Statute Access to state and federal criminal history records is restricted to the parolee, the parolee’s attorney, and persons and agencies listed in PC 11105. Medical, Psychological, and Psychiatric Reports A report prepared by departmental medical or psychiatric staff will be classified as confidential only if it meets specified criteria. Possible disturbance to the parolee or impairment of the treatment relationship is not a valid reason for classifying information as confidential unless disclosure might result in suicide attempts by the parolee. A report classified as confidential will contain a statement of the reason for the classification. Victim/Witness Notification All requests by a victim, witness, next-of-kin, or immediate family member as defined in Section 3000 of Title 15 for notification/special condition of parole, and any responses to such requests shall be classified as confidential and filed in the confide ntial sections of the inmate’s/parolee's field file and electronic file. (Refer to DOM 72060.1, Notices.) Threatens the Safety of a Person Information which, if disclosed, would endanger the health and/or safety of any person and/or might lead to retaliation against any person(s) will be classified as confidential. Another Person’s State and/or Federal Criminal History Information regarding another person’s criminal history, which is not a matter of public record (e.g., a crime partner's cumulative case summary), will be classified as confidential. Promise of Confidentiality Information should be classified as confidential only if it is judged to be highly sensitive and there was a promise of confidentiality. Threatens the Security of a Facility Information that, if disclosed, might threaten the security of any jail, prison, or similar facility will be classified as confidential. Information Classified as Confidential by Other Agencies If departmental staff retains a confidential classification imposed by the agency that originated the information, the parolee may be referred to that agency for disclosure. California Department of Public Health Information classified as confidential by the California Department of Public Health may only be declassified if the departmental staff physician determines that its content does not warrant classification as confidential. If it is decided that the confidential classification will remain, the physician will note the reason on the report. Division of Juvenile Justice (DJJ) Information classified as confidential by the DJJ (formerly the California Youth Authority) will be reviewed and classified by departmental staff according to its content. The reviewer should contact the originator of the document or the DJJ’s Central Off ice before declassifying it. Reports from Other Law Enforcement Agencies Reports from other law enforcement agencies, which are classified as confidential by the originating agency, will retain that classification. The parolee, attorney, or designated person may be referred to the originating agency for those records. Departmental Staff Correspondence with Legal Counsel If a parolee’s record contains correspondence between departmental staff and legal counsel, the correspondence will be classified as confidential if it discloses CDCR's position in potential or pending litigation. This criterion applies to writings that r eflect an attorney’s impressions, conclusions, opinions, legal research or theories; and correspondence that discusses the issue or facts of a case, requests an action that is not routine, suggests the outcome of a case, or recommends legal strategy. 86080.4

41020.4 Responsibility MIS-SU Revised October 6, 1993 MIS-SU provides functional support to the MIS Committee. The MIS-SU ’ s responsibilities include: (1) coordinating MIS Committee meeting agendas; (2) coordinating the review of proposed ITS and to furnish recommendations for MIS Committee review; (3) preparing annual updates for the Cabinet on all CDC automation efforts for the current year and on strategic planning for the coming year; (4) developing, coordinating, and participating in presentations for the committee that address current technical innovations; (5) coordinating the review of ITS concepts to ensure compliance and consonance with the budget cycle; (6) recording the actions and decisions of the MIS Committee for distribution to appropriate departmental staff; and, (7) conducting special projects as assigned by the committee. Departmental Workgroup Computing Coordinator The Workgroup Computing Coordinator ’ s responsibilities include: (1)ensuring that workgroup computing hardware and software requests comply with departmental and control agency policy requirements; (2)preparing the appropriate certification documents for workgroup computing procurements; (3) providing assistance in the completion of workgroup computing requests; (4) maintaining the departmental Workgroup Computing Policy and Modem Policy, as well as related equipment request forms for distribution to departmental staff; (5) overseeing the personal computer Post Implementation Evaluation Report (PIER) process; (6) maintaining the departmental personal computer equipment inventory; and (7) maintaining a record of all personal computer procurements, including those justified through the use of an FSR, a CDC Internal Summary Fact Sheet, or the approved Workgroup Computing Policy. Department Information Security Officer The CDC Information Security Officer (ISO) is assigned management responsibility for overseeing and administering the Centralized Information Security Program and is charged with the responsibility of assuring the Department's compliance with the SAM 4840, Security and Risk Management; 4989.7, Security of Personal Computer Systems; and 20013, EDP Audit Requirements. This program encompasses all automated ITS for which CDC has administrative responsibility. It includes the procedures, guidelines, and safeguards that are required to protect data, confidentiality, and privacy rights and ensures the integrity, audibility, and controllability of these ITS. All new policies and revisions of existing policy relating to automated information security will emanate from this office. ISD It is the responsibility of ISD to establish and maintain the departmental EDP strategic planning process and to oversee the development of all departmental EDP policies, including assurance that such policies meet control agency guidelines. ISD is also responsible for ensuring that such considerations as compatibility and connectivity of all proposed automated projects are taken into consideration in the project approval process. ISD is responsible for the development, maintenance, operation, and support of all departmental PC applications except Institutions Division projects, and for all automated systems requiring control agency oversight unless specifically delegated to another unit by the MIS Committee. Under the User Project Management concept, the User Manager is responsible for all project reporting to control agencies, the user division, and the MIS Committee. ISD provides technical management and staff who work as team members accountable to the User Manager on the project and to ISD on technical issues (e.g., project schedules). ISD is also responsible for tracking all projects approved by the MIS Committee, and ensuring that all projects comply with State reporting requirements. All project reporting to control agencies shall be coordinated through ISD, which shall maintain correspondence files on control agency reporting. ISD shall report directly to the appropriate Division (User Manager Concept) associated with each EDP Project, and to the MIS Committee on all approved projects. ISD is responsible for the security of information technology facilities, and for software and equipment used in automated information processing at all sites under ISD custodial responsibility. ISD also maintains the CDC Operational Recovery Plan for these systems. ISD provides functional support and assistance on all facility automated systems (except personal computers) to facility AISAs. ISD is also responsible for ensuring compliance with State audit requirements relating to the integrity of information assets. This includes systems auditing under ISD ’ s custodial realm of responsibility through participation in the departmental Peer, and PFAB ’ s auditing processes. ISD is responsible for establishment of the Department ’ s overall automation infrastructure and the successful use of automation within the Department. ISD consists of five major areas: Application Development and Maintenance Section, Technology Support Section, Project Initiation Unit, CMIS Section, and the Data Center Section. Technology Support Section The Technology Support Section provides support services to ISD in the following areas: personnel, recruitment, staff training, budgeting, procurement, interagency agreements and contract management, quality programs, space planning, and general office support. This section also provides support services to all branches of the EC&ISD for personnel, recruitment, and training. Project Initiation Unit The role of the Project Initiation Unit (PIU) is to provide guidance and assistance to CDC staff in starting new information technology projects. This includes providing guidance in the development of project concept proposals, feasibility studies, and other documentation required to obtain approval of an information system project. The PIU is responsible for tracking all approved projects and ensuring that all projects comply with State reporting requirements. Functional support, assistance and direction is provided to the ISAs on all system related issues by the Applications Systems Section. Data Center Section The Data Center manages maintenance and support functions with the best available tools in order to increase the time that ITS are available to the users/owners. This section of ISD is responsible for the continuous operation and reliability of computer hardware, database systems software, the systems' databases, and communications networks, as well as the security of departmental ITS. As part of the Data Center, the Network Services Unit and the Hardware/Telecommunications Unit provide data communications services and support to ISD and to other functional units as needed, ensure that standard approved practices are adhered to within the Department, and provide and promote the use of consulting resources to the Department when developing new systems or planning changes to existing data facilities. CMIS Section The role of the CMIS Section is to develop a single automated offender information system which satisfies the needs of all users of CDC ’ s offender information and serves as the hardware/software platform for all future systems development for the Department. Using state-of-the-art analysis techniques and project management tools, the CMIS Section is committed to providing the Department with an offender information system that meets the needs of the user community. OISB OISB has been designated the Department ’ s primary provider of summary statistical information about inmates and parolees. The OISB responds to special information requests, compiles statistical reports, and prepares legislative estimates and population projections. The OISB is responsible also for coordinating the timely, accurate, and consistent coding and entry of data, and performs data integrity QC functions for OBIS and for classification, incident, and other major computerized inmate and parolee databases. Estimates and Statistical Analysis Section The Estimates and Statistical Analysis Section is the primary source of summary statistical information on inmates and parolees under the jurisdiction of the Department. This section ensures that the Department has accurate data upon which to base program planning and direction. It also compiles and analyzes information for special projects, court cases, special task forces or programs, and prepares periodic statistical reports about inmates and parolees used in budget planning, legislative responses, and audits. The section prepares all departmental projections of future facility and parole populations, including inmate classification levels, and all population estimates of the impact of proposed legislation, ballot initiatives, and administrative policy changes. It also reviews such information to be disseminated by other branches and divisions outside of the Department. TSS TSS coordinates the timely, accurate, and consistent coding and entry of data, and performs data integrity QC functions for major computerized inmate and parolee ITS. This section provides support to the MIS Committee to facilitate the development and automation of ITS, and conducts regular audits in the field and in Headquarters to maintain the accuracy and integrity of data. The section also provides necessary training for facility and parole region OBIS operators. Business and Contract Services BSS BSS is responsible for the preparation of purchase documents for all EDP equipment and data-related items that are obtained through Headquarters. BSS shall ensure that all requests submitted for purchase are complete and that the necessary documentation, such as certifications or FSRs, is included. BSS is the departmental contact with the DGS, Office of Procurement, for all EDP procurement. Contract Services The Department's Contract Services Section shall supervise contracts entered into by the Department in a manner which: • Conserves the financial interests of the State. • Prevents, so far as possible, any thriftless acts by employees of the Department. • Avoids thriftless expenditures. The Contract Services Section assists departmental staff in the development of EDP contract requests, bids, and contracts to achieve program objectives within the legal and regulatory constraints of the State, and to ensure compliance with all departmental policies and procedures. Warden/Regional Administrators Each Warden and RPA is ultimately responsible for the security and utilization of all automated systems and data bases in the respective facility or region. This includes the integrity and accuracy of data entered and the physical security of the data, hardware, and the system itself. Facility/Parole AISA/Regional AISA Under the direction of the Warden or designee, or Regional Administrator or designee, the facility or region AISA is responsible for the coordination of automated systems issues for the facility. This position acts as the primary contact for Headquarters on automation-related issues, including PC, the DDPS, and all other automated system concerns. This position is responsible for coordination of staff training on PC applications and systems, justification and acquisition of PC equipment through use of PC, policy, local automated system application support, inmate access to computers, on-site user assistance, information system security, and QC oversight and audit coordination for all databases located in the area of assignment. Facility/Regional Information Security Coordinators Facility/regional Information Security Coordinators (ISC), in accordance with State and departmental security policies, are responsible to the Warden/RPA for overseeing policy and procedures on information security access at each facility. The ISC shall work in coordination with the ISAs and the Department ’ s Information Security Officer. Departmental Managers/Supervisors All managers and supervisors assigned supervision of a function automated by DDPS are responsible for: • Preserving the security and integrity of the Department ’ s information assets and managing the associated risks. • Ongoing auditing to verify the accuracy and integrity of the data entered by subordinate staff. • Ensuring that program staff and other users of the DDPS information are aware of and comply with information security policy and procedures. End Users of EDP Users are ultimately responsible for: • The accuracy and integrity of the data they enter into any departmental application. • Complying with all applicable laws, regulations, and administrative policies, as well as with any additional security policies and procedures established by the Department. • Notifying their manager/supervisor of any actual or attempted violations of security policies, practices, or procedures. 41020.5

54100.23.4 Granted Property Appeals Unless otherwise specified in this Article the facility where the property loss Operations Manual DEPARTMENT OF CORRECTIONS AND REHABILITATION Chapter 5 Page 518 or damage took place shall settle the claim. If the loss or damage took place during transit, or staff are unable to determine where the loss or damage occurred, the sending institution shall settle the claim. When the property loss or damage occurred during transit between the sending and receiving institutions, a copy of all granted property claims shall be forwarded to the Director, Division of Adult Institutions, for corrective action if warranted. If a property appeal is granted, an attempt shall first be made by staff to use local resources to substitute for or replace lost or damaged property at no cost to the State, or to repair the item at the institution’s expense. An inmate/parolee’s refusal to accept repair, replacement, or substitution of like items and value shall be cause to deny the appeal. • When denying an appeal on the basis of appellant’s refusal to accept like item and value substitution, the reviewer must state why they believe the replacement offered is considered a like item of equivalent value. • Monetary compensation to the inmate/parolee shall be considered only if repair is not possible, and replacement or substitution of like items of equivalent value are not available. • Both a first and second level review is required prior to awarding a monetary reimbursement for lost or damaged property. First level responses recommending a monetary reimbursement shall instruct the appellant to resubmit the appeal for a second level review. The second level review may affirm, modify or deny the first level recommendation. • Actual monetary reimbursements shall not exceed limits imposed in accordance with the Personal Property provisions of 15 CCR §§ 3190-3195. Monetary claims for amounts of $100 or less are filed with and settled by the Department directly. Under Government Code Section 935.6 the VCGCB may authorize the Department to settle and pay claims for higher amounts. In the event such delegation is granted, guidance provided by departmental accounting officials specific to this matter shall be prevailing. • The distribution of completed second level property appeals for $100 or less includes: • Original to appellant. • Copy to institution or parole region appeals coordinator. • Copy to institution accounting office (inmate cases). • Copy to Central Office accounting office (parolee or reentry cases). • Copy to institution or parole region records. • Before payment of any granted claim, the inmate/parolee shall discharge the State in writing from further liability for the claim pursuant Government Code Section 965. The original of this discharge shall be maintained in the institution/parole region accounting office and the inmate/parolee shall be provided a copy. 54100.23.5

61020.3.2 Institution Update of CDC Forms 812 and 812-C Counseling staff shall update the CDC Forms 812 and 812-C (if applicable) as any critical information becomes known and is documented in the inmate ’ s C- file and within 30 days of transfer. The CSR shall not take any action on transfers unless the CDC Forms 812 and 812-C (if applicable) or updates are within 30 days. When updates can no longer be accomplished on a current form due to lack of available entry space, staff shall prepare new CDC Forms 812 and 812-C (if applicable) to update the previous information and use the OBIS to verify all enemy locations. Upon verification of a previously undocumented enemy, where that enemy is located at another institution, facility, or parole region, the assigned Correctional Counselor (CC) I shall, within five working days of receiving the documentation related to the enemy situation, complete a CDC Form 812X, Enemy Information Transmittal, and forward the form with supporting documentation to the institution ’ s Classification & Parole Representative (C&PR) or RC-CCIII. Within five working days of receiving the forms, the C&PR or RC-CCIII shall ensure that the green copy is placed in the C-file of the identified enemy and forward the white and yellow copies of the CDC Form 812X and supporting documentation to the C&PR or RC-CCIII at the institution or facility or the Case Records Administrator in Parole Case Records North/South where the identified enemy is located. For those CDC Form 812Xs being sent to the Case Records Administrator in Parole Case Records, the CDC Form 812Xs shall be placed in an envelope marked “Confidential” and separate from any other mail and be addressed to the Case Records Administrator. A separate CDC Form 812X shall be completed for each newly identified enemy. A CDC Form 812X shall not be completed when the inmate identified as an enemy has been discharged. When the CDC Form 812 is updated and the identified inmate enemy has returned to the CDCR with a new number, a CDC Form 812X shall be completed within five (5) days of discovery and the process as outlined above shall be followed. Within one (1) working day of receiving a CDC Form 812X, the C&PR/RC- CCIII shall ensure that the documents are forwarded to the identified inmate’s assigned CCI. Within five (5) working days of receiving the documentation, the CCI shall ensure that the identified inmate ’ s CDC Form 812/812-C is updated and that the CDC Form 812X and supporting documentation are placed in the inmate ’ s C-file. The CCI will return the yellow copy of the completed CDC Form 812X to the C&PR/RC-CCIII who shall, within four (4) working days, return the yellow copy of the CDC Form 812X to the sending institution or parole region. Upon receipt of the completed yellow copy of the CDC Form 812X, the C&PR/RC-CCIII at the sending institution shall ensure that the completed yellow copy of the CDC Form 812X is placed in the identified inmate’s C -file and the green copy is removed and destroyed. Within five (5) working days of receiving a CDC Form 812X, the Case Records Administrator at Parole Case Records North/South shall ensure that the CDC Form 812X and accompanying documentation are placed in the inmate/parolee’s C -file on the top of the Classification section of the file. If returned from Parole/CCF/CCRC to an institution, the receiving institution shall ensure that the file is updated with the enemy information and that the yellow copy of the CDC Form 812X is returned to the sending institution. Upon receipt of the completed yellow copy of the CDC Form 812X, the C&PR/RC-CCIII at the sending institution shall ensure that the completed yellow copy of the CDC Form 812X is placed in the identified inmate’s C-file and the green copy is removed and destroyed. 61020.3.3

74070.21 Check Out Order Prior to release of the inmate, records office staff shall prepare the CDC Form 161, Checkout Order, and arrange distribution as required by institution operations. The following data shall be typed on the CDC Form 161: • Date and time of release. • Type of release. • CDC number. • Commitment name. • Controlling Discharge Date. • Name of parole unit and county of residence. • Parole region. • Length of parole period. Audit The CDC Form 161 shall be typed by clerical staff. As part of the prerelease audit, the release information on the form, shall be verified at a level not less than that of a Case Records Specialist as the form is used by the institution as the source document for OBIS input and therefore, its accuracy determines the accuracy of parole information in OBIS. Staff at a level not less than Case Records Specialist shall sign the CDC Form 161 as the preparer after completing the prerelease audit of the C-File. The final approval of the release for the Wardens and the final signature on the CDC Form 161 shall be by staff at not less than the CC-III level. Forward After the inmate's release, a copy of the Checkout Order shall be forwarded by the facility records office to the assigned parole unit along with the rest of the release package. The package of documents to be forwarded to the parole unit is to include the following: • CDC Form 102, Release Statement and Clothing Authorization. • CDC Form 1515, Conditions of Parole. • DOJ, Notice of Registration Requirements. • Copy of CDC Form 161, Warden's Checkout Order. • CDC Form 138, Fingerprint Card(s). After receipt and review of the CDC Form 161 by parole unit staff, if corrections are required, a completed CDC Form 1506, Notice of Transfer/Correction, shall be submitted to the Regional Records Office. After the OBIS data has been corrected, the CDC Form 1506 is to be destroyed. 74070.22

75010.10 Discharge Review Revised March 16, 1995 Discharge reviews shall be conducted on parolees whose offense occurred on or after January 1, 1979. Discharge review schedules and procedures are specified in DOM 81080. The Discharge Review Report from the Parole Agent must be received in the case records office within 20 calendar days of the discharge review date. Case records staff shall submit the case to the BPT Regional Screening Calendar for decision at least 20 days prior to the appropriate calendar anniversary date. Following the BPT action, the results of the hearing shall be forwarded to the parolee by the Parole Agent. Retain on Parole If a retain-on-parole action is taken, the discharge review date shall be extended for one year unless it exceeds the CDD or is stated differently in the BPT action. Discharge If a discharge action is taken, the effective date will be at least 15 days from time the discharge is granted or otherwise specified by the BPT. A CDC Form 163, Certificate of Discharge, shall be prepared by case records and mailed to the Parole Agent for delivery to the parolee. Posting Discharge and Review actions Case records staff shall post the discharge or new discharge review dates on: • The CDC Form 112. • The CDC Form 144 card. 75010.11

76010.29.1 Limited Placement Return Eligibility Criteria Limited placement denial shall occur if a case does not meet eligibility criteria or if an outpatient or civil addict parolee accumulates disciplinaries at CRC. In order to be accepted for limited placement, an outpatient or civil addict parolee [including RALs or Parolees-at-Large (PALs)] must: • Have no felonious criminal involvement other than illegal drug use. • Either turn themselves in at CRC gate or surrender to the Parole Agent. • Be recommended for limited placement by a CRC classification committee and granted a release date by the NAEA. If the outpatient or civil addict parolee did not surrender or volunteer to return to CRC for limited placement, they must have cooperated with the Parole Agent and the Parole Agent shall indicate the outpatient or civil addict parolee does not require a lengthy stay at CRC in order for the case to be accepted for limited placement. 76010.30

81010.21.5 Regional Immigration and Customs Enforcement Unit Procedures for Offenders Released (a) During monitoring of an offender that was being held in USICE custody, if the PSA discovers or is notified that the offender is pending release to the community, the PSA shall contact the assigned parole unit via electronic mail and inform the unit supervisor or Parole Agent II (Supervisor) of the upcoming release date and notify the parole unit that the case is being transferred. (b) If the PSA discovers or is notified the offender was released from USICE custody, the PSA shall: (1) If the offender has reported to the parole unit, initiate the transfer in SOMS and forward the field file to the appropriate parole unit. (2) If the offender has not reported to the parole unit, initiate the transfer in SOMS to the appropriate parole unit, detailing the known circumstances of the release. The PSA shall determine if the offender has a CSRA score of five, or if the offender is required to register pursuant to PC 290 through 290.024. If either of those apply, the PSA shall electronically mail the unit supervisor of the assigned parole unit and report the case factors along with any other pertinent information about the release. 81010.21.6

81020.6.7 Abbreviated Case Conference Review An abbreviated case conference review is conducted when the parole agent recommends a reduction in the supervision level. An abbreviated case conference review may be conducted under the following circumstances: • The parole agent’s recommendation is to reduce the supervision level for parolees who are currently in category A or B. • Increase supervision level when a parolee is suspected of committing new crimes and is under investigation (parolee’s attendance is not required). NOTE: An abbreviated case conference review may not be conducted to reduce the supervision level from category TP or in lieu of the annual case conference review. A full case conference review shall be conducted no later than 90 days after the parolee’s initial release and annual review. An abbreviated case conference review shall be completed as follows: • Follow all steps described in the “Case Conference Review Procedures” section ( Exception – The parolee’s presence and notification is not required). • The parole agent shall submit the completed CDCR Form 1657 to the unit supervisor for review and final determination. 81020.7

81020.9.1 Residence Verification The residence verification is an opportunity for the parole agent to become familiar with the proposed residence of the parolee and to determine if the residence will be an appropriate place for the parolee to reside. Applicable registration requirements, general conditions of parole or SCOP, or potential victim issues shall be taken into consideration by the parole agent. A residence found to be in violation of any applicable condition of parole or statutory requirement shall not be approved. A residence shall be considered for approval as long as it does not cause the parolee to violate their general conditions of parole or SCOP or any other applicable statutes. 81020.9.2

81020.13.2 Rewards and Incentives Issuance Procedures The following are examples of rewards/incentives that may be provided by the parole agent without prior approval of the unit supervisor: • Verbal recognition • Sharing positive comments to family, peers, and support systems. • Certificate of accomplishment presented by parole agent. • Community celebration. The following are examples of rewards/incentives that require unit supervisor approval, prior to issuance: • Bus tokens, food vouchers, clothing vouchers – Submit a CDCR Form 1509, Financial Aid Loan and Incentive Request. • Travel permit. • Reduce reporting requirements – request a case conference review to recommend a supervision category reduction. • Modification of the CDCR Form 1515 or CDCR Form 1515- Addendum – Early discharge consideration as a reward/incentive shall be processed in accordance with Chapter 8, Article 8. Any reward or incentive provided to the parolee shall be documented on the electronic Record of Supervision. The unit supervisor shall: • Monitor the use of rewards and incentives during the case conference review process. If the unit supervisor believes the parolee has earned a reward or incentive, the unit supervisor shall review the case with the parole agent to identify an appropriate reward or incentive, and direct support staff in preparing incentive letters, certificates, etc. • Review all requests for consideration of any reward or incentive requiring unit supervisor approval. Any reward or incentive denied or amended by the unit supervisor shall be recorded on the electronic Record of Supervision, stating the reason the request for a reward or incentive was denied or amended. • Approve CDCR Form 1509, if appropriate and forward to the fund custodian for processing in accordance with existing bank draft, food voucher, and/or bus token processing policy and procedures. • Approve travel permits as appropriate, and ensure they are processed in accordance with existing policy and procedures. • Approve modifications to conditions of parole in accordance with existing policy and procedures. • Discuss the use of rewards and incentives policy during parole unit staff meetings, and provide examples where rewards and incentives may be used to positively influence the parolee’s behavior. 81020.13.3

81020.14 Motivational Interviewing Policy Motivational interviewing is the cornerstone of CPSRM. It is essential for the parole agent to utilize the motivational interviewing to successfully interact and assist in the rehabilitation of the parolee. Various supervision tools are available to assist the parole agent to ensure that the parolee is compliant with their conditions of parole, and that the parolee is provided with the needed positive direction and guidance to succeed. Open-ended questions, affirmations, reflections, and summaries help gather information and set the stage for change. Expressing empathy, rolling with resistance, developing rapport, and supporting self-efficacy facilitate productive interaction. Targeting dynamic risk factors helps the parolee make other positive changes. The parole agent shall employ all techniques presented within motivational interviewing. 81021

81023.3.4 Use of Zones Policy The application of inclusion and/or exclusion zones enables the parole agent to be alerted to a parolee’s movement in or out of a specific location. Parole agents shall utilize zones to enhance caseload supervision. • Zones may include, but are not limited to, the parolee’s residence of record, employment, treatment locations, victim’s residence, areas of known narcotic activity, prior arrest locations, areas of known gang activity, and areas of restricted travel. • Zones may also be utilized for informational purposes, or as tools for monitoring compliance with SCOP. Informational zones and alerts may or may not result in a parole violation, depending on the circumstances. • A review of case factors, prior criminal history, and offender typology shall be considered when creating zones. • All inclusion and exclusion zones with immediate phone call notification alerts to the parole agent shall require prior unit supervisor approval. After entering a zone into the GPS database, the parole agent shall: • Verify the zone is accurately placed no later than the first working day following the activation of the parolee on GPS monitoring. • Adjust the zone criteria to reflect any necessary changes (i.e., schedule, physical location, etc.). 81023.3.5

83020.3 Alternative Custody Program Residence Verification Policy (a) Upon receipt of the CDCR Form 2234 for an ACP placement, the unit supervisor shall assign a parole agent to conduct the residence verification. The parole agent shall complete the verification within five business days. If the ACP participant will be placed in a State-sponsored program (e.g., Parolee Service Center), residence verification is not required. (b) The ACP participant is limited to one opportunity per application to provide a verifiable address. The parole agent shall make a good faith effort to verify the residence; however, if the private residence cannot be verified or is determined to be inappropriate, reasons for disapproving the residence shall be noted on the CDCR Form 2234. The parole agent has the discretion to verify an alternate address based on any extenuating circumstances or information discovered. (c) For ACP participants with a private residence in which they have documented ownership, and when no other person(s) currently resides at the residence, sufficient detail must be provided by the ACP participant on the CDCR Form 2234 to allow verification by the parole agent. (d) The proposed residence must meet the following criteria: (1) Residence: The residence must have an actual address and be structurally sound with working doors, windows, and utilities. DAPO and local law enforcement must have access to the primary entrance of the proposed residence. Apartments and multiplexes with a secured common entry door are permissible as long as the property manager or landlord is aware of the participant’s status and the parole agent is provided a key, access card, or access code no later than the day after the participant reports to the parole unit. Make-shift rooms, out-buildings, sheds, and tents are not acceptable. The residence shall provide adequate living space for all of its current inhabitants, and the addition of the participant must not cause the conditions to become inadequate or substandard. (2) Meals: ACP participants are responsible for their own meals. The residence must have a kitchen or area designated for meal preparation and proper food storage. (3) Weapons: The entire residence shall be free of any weapons, simulated weapons, ammunition, or destructive devices. Knives used for cooking must be kept in the kitchen or meal preparation area, and not in the participant’s bedroom or sleeping quarters. (4) Property Restrictions: Current Federal Housing Authority criteria dictates that only qualified and approved individuals may reside in subsidized housing. ACP participants may not reside in publicly subsidized housing without prior written permission from the property owner or manager indicating that the participant’s presence in the residence meets the guidelines and is in compliance with federal law and regulations. 83020.4

83020.4 Residence Verification Procedures (a) Upon assignment of the residence verification, the parole agent shall: (1) Attempt to verify the proposed residence. Verification shall be done in person and documented on the CDCR Form 1658, Parolee Residence/Employment Verification. This shall be done in the same manner the pre-parole residence verification is normally conducted for parolees. (2) After verifying the proposed residence, complete the CDCR Form 2234 and check the appropriate box for meeting or not meeting established criteria in this policy. If the residence does not meet criteria, note the reasons in the comments section. (3) If the residence meets criteria, complete the CDCR Form 1649, Reporting Instructions. (4) Submit the CDCR Form 1516-ACP, CDCR Form 2234, CDCR Form 1658, and CDCR Form 1649 (if residence is approved) to the unit supervisor. (b) Upon receipt of the completed residence verification from the parole agent, the unit supervisor shall: (1) Review the forms and documents relevant to the residence verification or attempt and either concur or not concur with the parole agent’s findings. If the unit supervisor does not concur, the reason(s) shall be documented in the comments section on the CDCR Form 2234. (2) Within one business day, forward the CDCR Form 2234 and CDCR Form 1649 (if applicable) to unit support staff for transmission to the C&PR at the sending institution. (c) If the parole agent or unit supervisor later become aware that a previously approved residence is no longer viable, the parole agent or unit supervisor shall contact the FOPS ACP Program Manager. 83020.5

84020.2.2 Notice Agent Advance Serve Log Procedures After the Notice Agent has completed the serves and attempted serves for the working day, the Notice Agent shall update the CDCR Form 2017 and shall: • Enter the date of each completed serve and attempted serve in the appropriate boxes for each parolee. • Enter an “X” on the line next to “Completed Serves For” and enter the date on the line provided to indicate the serves that were completed and/or attempted on that date. • Place all parolees who remain in custody after a parole hold on each day’s log until the service of the Notice of Charges process is completed. • Save the file name of the CDCR Form 2017 as “Completed Serve Log” when the completed and attempted serve dates have been entered. • Submit the “Completed Service Log” to the unit supervisor via electronic mail. • Track the information entered into the CDCR Form 2017 daily, ensuring that parolees pending service are transferred to subsequent spreadsheets until the parolee is served in the county of custody or until the parolee is transported back to the county of supervision. • Enter parolees returned to California from another state in the designated section of the electronic Advance Serve Log. If a Notice Agent’s working day ends in the field, the “Completed Serve Log” shall be submitted to the unit supervisor via electronic mail on the following working day prior to the Notice Agent leaving the parole unit to conduct any serves. Any cases that require a second or third attempt to serve shall be transferred from the prior day’s “Completed Serve Log” onto the current day’s CDCR Form 2017. Unit Supervisor After all Notice Agents in a DCCU have submitted the CDCR Form 2017 to the unit supervisor, the unit supervisor shall reconcile the logs with PVDTS to ensure that no cases have been overlooked within the assigned district. 84020.2.3

85060.2.6 Seizure of Electronic Devices Policy An electronic device is a device that stores, generates, or transmits information in electronic form (e.g., cellular phone, computer, etc). These devices require special collection, packaging, transportation, and forensic search techniques. Examining the contents of a device without proper training and procedures may result in the unintentional alteration of the contents of the device, and thus damage the integrity of the evidence. Additionally, legal authority beyond the scope of a parole search may need to be obtained to search the device. Improper access of electronic devices may violate state and federal laws. Searches of electronic devices shall be carried out in accordance with DOM Chapter 8, Article 3. If it is anticipated during the planning of an arrest and/or search that electronic devices will be encountered and should be searched, the parole agent shall request the assistance of law enforcement personnel with a level of expertise capable of searching the devices. If the parole agent has been trained on the use of a program(s) capable of conducting preliminary on-scene searches (e.g., ImageScan, Field Search ) of electronic devices, the parole agent may utilize these programs to conduct an on-scene search. If a preliminary on-scene search program is not available, and the parole agent still desires to search the device, the parole agent shall conduct a cursory search only, and refrain from opening individual files stored on the device. Opening individual files will change the date the file was last modified, thus reducing the integrity of the evidence. If the on-scene search indicates that the device should be seized for further forensic examination conducted away from the scene, the parole agent shall: • Identify all periphery device(s), screens, and cables connected to the device(s) being seized. • Attempt to obtain device passwords by interviewing the parolee. • Seize the device(s) and cables, if legal authority to do so exists. • Submit the device to the Correctional Intelligence Task Force (CITF). 85060.2.7

86010.9 Ammunition and Ammunition Carriers Ammunition (a) Ammunition (1) Only Division-issued ammunition shall be utilized while the parole agent is on-duty. If the parole agent elects to carry their Personal Firearm while off-duty, Division-issued ammunition may be carried in the firearm; however, the ammunition may only be used in situations that would be consistent with approved uses while on-duty. Division-issued ammunition shall not be modified or altered. (2) Unauthorized use of Division-issued ammunition while off-duty would include: (A) Any type of target or range practice. (B) Any discharge of a firearm where the use of deadly force would not be authorized. (b) Ammunition Carriers (1) Parole agents who carry a S&W Model 64 revolver shall carry, in addition to a fully loaded firearm, a fully loaded speed loader secured in a pouch that requires an overt action by the parole agent to remove the speed loader. (2) Field parole agents who carry a Division-issued firearm or personal firearm shall carry the firearm fully loaded with at least one additional fully loaded magazine. Additional magazines are not mandatory unless the parole agent is participating in range qualification or planned arrests (two additional magazines required). When carrying additional magazines, the parole agent shall carry the magazines in a carrier equipped with an over-the-top strap or friction retention, which relies upon drag tension to retain the magazine. The magazine carrier shall also be secured in such a manner that it will remain secure during a wide range of movements or vigorous activity. Additional magazines not carried by the parole agent shall remain accessible at all time while on-duty. 86010.10

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, CMF for reply. Departmental identification number is known (CDC number). Use OBIS 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 re ply 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

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