Current through Register 2024 Notice Reg. No. 38, September 20, 2024
The formal and objective process for identifying and
documenting Security Threat Group (STG) affiliates. Validation is the term used
to describe the quality control and due process review of STG identifications.
The validation process is a strategy for identifying and documenting STG
Members, Associates, Suspects, or Dropouts as defined in section
3000.
(b) The
validation process delineates the formal objective criteria utilized by an STG
Investigator to determine an individual's affiliation with a certified or
recognized STG. Each factor is determined by a weighted point system in order
to conclude whether the information taken as a whole is sufficient to establish
a nexus to the STG.
Validation process for identifying and documenting STG
members, associates, or suspects, which are defined as follows:
Member: Any offender or any person who, based on
documented evidence, has been accepted into membership by a STG. STG members
will be identified by the STG Investigator through the validation process,
reviewed by OCS, and affirmed by the STG Unit Classification Committee.
Initial Validation of an offender as a member requires at
least three (3) independent source criteria items with a combined value of ten
(10) points or greater coupled with information/behavior indicative of a
member.
Validation of an offender as a member of a STG-I shall
also require that at least one (1) of the criteria source items be a direct
link to a current or former validated member or associate of the STG, or to an
offender or any person who is validated by the Department within six (6) months
of the established or estimated date of behavior identified in the evidence
considered.
An upgrade from associate to member requires at least
three (3) independent source criteria items, that were not previously used in a
validation, with a combined value of ten (10) points or greater coupled with at
least three (3) of the items of information/behavior being indicative of a
member.
Associate: Any offender or any person who, based on
documented evidence, is involved periodically or regularly with the members or
associates of a STG. STG associates will be identified by the STG Investigator
through the validation process, reviewed by OCS, and affirmed by the STG Unit
Classification Committee. Initial validation of an offender as an associate
requires at least three (3) independent source criteria items with a combined
value of ten (10) points or greater coupled with information/behavior
indicative of an associate.
Validation of an offender as an associate of a STG-I
shall also require that at least one (1) source criteria item be a direct link
to a current or former validated member or associate of the STG, or to an
offender or any person who is validated by the Department within six (6) months
of the established or estimated date of behavior identified in the evidence
considered.
Suspect: Any offender or any person who, based on
documented evidence, is involved periodically or regularly with the members or
associates of a STG. The STG suspect is tracked by STG Investigative staff
pending validation. Suspects have attained two (2) or more points of validation
and would not be officially validated but tracked for intelligence purposes.
Source item information must be referred to the STG Investigator for evaluation
and recorded on the CDCR Form 128-B3 (11/13), Security Threat Group
Identification Score Sheet, which is incorporated by reference.
A direct link, as defined in section
3000, may be established by
unilateral action by either party or by the subject's possession of any item
connecting the subject to a validated STG affiliate; or for purposes of
establishing a direct link, it shall not be necessary for CDCR to demonstrate
that the subject had knowledge, actual or implied, of the validated STG
affiliate's STG involvement.
CDCR staff shall not place incarcerated persons into a
Restricted Housing Unit solely on the basis of their validation status.
Validation of an STG affiliate can occur based upon the
sole use of source criteria items or based upon a combination of source
criteria items and STG behavior that is reported and adjudicated via the
disciplinary process. The STG validation process may take into account source
criteria items that may have occurred at any time in an individual's personal
STG history. If behavior is identified which violates section
3314 or
3315, it is staff's responsibility
to ensure appropriate disciplinary procedures are applied.
Validation Source Criteria is documented on the CDCR Form
128-B3 (11/13), Security Threat Group Identification Score Sheet, which is
incorporated by reference. This document is completed by the STG
Investigator.
Multiple sources providing information about a single STG
related act or conduct shall constitute a single source item. One may support
the other but will only count as one (1) item toward the validation with the
others listed as support documents.
Staff shall articulate the basis for determining the
content or conduct at issue is STG related.
The source items shall be based on the following
criteria:
(1) Symbols (Two Points):
Hand signs, distinctive clothing, graffiti, etc., which have been certified by
CDCR in accordance with Section
3378.1(f) as
being used by and distinctive to specific STGs. Staff shall describe the symbol
in detail. Staff shall document and disclose this information to the offender
in a written form that would not jeopardize the safety of any person or the
security of the institution.
(2)
Association (Three Points) Information related to the offender's association
with validated STG affiliates. The association shall be more than a chance
encounter or an innocuous association, but rather, a pattern or history of
encounters that involve STG behavior and/or an occurrence of conducting STG
related business. Direct contact with a validated STG affiliate is not
necessary to demonstrate this association. Staff shall articulate the basis for
determining the conduct is credible evidence of association with the STG. Staff
shall document and disclose this information to the offender in a written form
that would not jeopardize the safety of any person or the security of the
institution.
(3) Informants (Three
Points): Documentation of information evidencing STG affiliation from an
informant shall indicate the date of the information, whether the information
is confidential or non-confidential, and an evaluation of the informant's
reliability. Confidential material shall also meet the requirements established
in section
3321. Staff shall articulate how
the information specifically relates to the offender's involvement with the
STG. The information may be used as a source of validation if the informant
provides specific knowledge of how they knew the offender to be involved with
the STG. Multiple confidential sources providing information regarding a single
STG related incident or behavior shall constitute one (1) source item.
Exclusive reliance on hearsay information provided by informants will not be
used for validation purposes. Staff shall document and disclose this
information to the offender in a written form that would not jeopardize the
safety of any person or the security of the institution.
(4) Debrief Reports (Three Points): Only
information referencing specific STG related acts or conduct shall be
considered as a source item when utilizing information from another offender's
debriefing. Confidential material obtained from a debrief report shall also
meet the requirements established in section
3321. Multiple sources of
information relative to a single STG related act or conduct shall be considered
a single source of validation. Exclusive reliance on hearsay information
provided by debriefing incarcerated person will not be used for validation
purposes. Staff shall document and disclose this information to the offender in
a written form that would not jeopardize the safety of any person or the
security of the institution.
(5)
Written Materials (Offender identified in written material not in his
possession-Two Points; Personal Possession-Four Points): Any material or
documents evidencing STG behavior such as the membership or enemy lists, roll
call lists, constitutions, organizational structures, codes, training material,
etc., of specific STGs or addresses, names, identities of validated STG
affiliates. Although the item by itself may not evidence STG behavior, when
considered with other STG behavior, it gives credence to a STG nexus. Staff
shall articulate why, based on either the explicit or coded content, the
written material is reliable evidence of affiliation with the STG. Staff shall
document and disclose this information to the offender in a written form that
would not jeopardize the safety of any person or the security of the
institution.
(6) Photographs (Four
Points): Individual or group photographs with STG connotations such as those
which include insignia, certified symbols, or other validated STG affiliates.
The date or age of a photograph shall be reasonably ascertained prior to any
photo being relied upon for inclusion as a source item. No photograph shall be
considered for validation purposes that is estimated to be older than four (4)
years. Any photograph being utilized as a source item that depicts STG
affiliates shall require that at least one of the individuals be previously
validated by the Department, or validated by the Department within six (6)
months of the photograph's established or estimated date of origin. Staff shall
document the validation date for any individual in the photograph who was
validated within six months of the photograph's established or estimated date
of origin. Staff shall document and disclose this information to the offender
in a written form that would not jeopardize the safety of any person or the
security of the institution.
(7)
Staff Information (Four Points): Documentation of staff's visual or audible
observations which reasonably indicate STG behavior as described in Subsections
3314 (a)(3)(L) and
(M), Administrative Rules Violations, STG
Contraband and Behavior; or Subsections
3315 (a)(3)(Z) and
(AA), Serious Rules Violations, STG Violent,
Disruptive, or Controlling Behavior. Staff shall articulate the basis for
determining the content or conduct at issue is STG related. Staff shall
document and disclose this information to the offender in a written form that
would not jeopardize the safety of any person or the security of the
institution.
(8) Other Agencies
(Four Points): Information identifying STG affiliation provided by other
agencies including, but not limited to, police reports, crime reports, or
arrest reports evidencing STG conduct, which have not been submitted,
considered, and incorporated within received court documents. Any information
received from another agency shall be documented by the staff person who
receives such information, citing the source and validity of the information.
Staff shall document and disclose this information to the offender in a written
form that would not jeopardize the safety of any person or the security of the
institution.
(9) Visitors (Four
Points): Visits from persons or entities that are documented as willfully
promoting, furthering or assisting STG affiliates in activities associated with
the STG. Staff shall articulate the basis for concluding the relationship
between the visitor(s) and offender is STG related in nature or that the
visitor(s) and offender engaged in conduct related to the STG. Staff shall
articulate the basis for identifying the visitor(s) as associated with the STG.
Staff shall document and disclose this information to the offender in a written
form that would not jeopardize the safety of any person or the security of the
institution.
(10) Communications
(Four Points): Documentation of conversations, conversations between
offenders/others, mail, notes, greeting cards, or other communication, which
include explicit or coded messages evidencing STG activity. Staff shall
articulate why, based on either the explicit or coded content, the
communication is reliable evidence of affiliation with the STG. Staff shall
document and disclose this information to the offender in a written form that
would not jeopardize the safety of any person or the security of the
institution.
(11) Self Admission
(Five Points): Staff shall document information about an offender's verbal or
written admission as an STG affiliate and/or specific involvement with the STG.
Staff shall document and disclose this information to the offender in a written
form that would not jeopardize the safety of any person or the security of the
institution.
(12) Offenses (Six
Points): When circumstances of an offense conclude that the offense was
committed for the benefit or promotion of, at the direction of, or in
association with an STG. Staff shall articulate the basis for determining an
offense to be STG related. Multiple sources of information relative to a single
incident or offense will be considered one (1) source of validation. Staff
shall document and disclose this information to the offender in a written form
that would not jeopardize the safety of any person or the security of the
institution.
(13) Tattoos and/or
Body Markings (Six Points): Tattoos and/or body markings depicting symbols that
have been certified by CDCR in accordance with Section
3378.1(f) as
being used by and distinctive to a specific STG. Staff shall describe the
tattoo and/or body marking in detail. Staff shall document and disclose this
information to the offender in a written form that would not jeopardize the
safety of any person or the security of the institution.
(14) Legal Documents (Seven Points): Court
transcripts, probation officer reports, or other legal documents evidencing STG
conduct. Staff shall document and disclose this information to the offender in
a written form that would not jeopardize the safety of any person or the
security of the institution.
(c) The validation process is a critical
component of identifying and curtailing STG behavior. Once an offender has been
identified as a STG affiliate and vetted through the validation process, CDCR
staff shall track their movement, monitor their conduct, and take interdiction
action, as necessary.
(1) All source criteria
items referenced in the validation package shall be disclosed to the offender
utilizing a CDCR Form 128-B4 (Rev. 07/24), Evidence Disclosure and Interview
Notification, which is incorporated by reference. Staff shall identify which of
the source items are being utilized as the direct link on the CDCR Form 128-B4.
The identity of the individual being used as a direct link shall be disclosed
unless it compromises the individual's safety or the safety of others. The
offender shall be given copies of all non-confidential documents unless
otherwise requested in writing by the offender. Confidential information used
in the validation package shall be disclosed to the offender via a CDCR Form
1030 (Rev. 11/13), Confidential Information Disclosure Form, which is
incorporated by reference.
(2)
Offenders shall be given at least 72 hours advance notice of the validation
interview. The interview with the STG Investigator or designee may be held
earlier if the offender waives, in writing, the 72-hour preparation
period.
(3) The offender's mental
health status and/or need for staff assistance shall be evaluated prior to the
interview. Staff assistance shall be assigned per guidelines set forth in
section 3318.
(4) Prior to submission of a validation
package to OCS, the subject of the investigation shall be interviewed by the
STG Investigator, or designee, and given a meaningful opportunity to be heard
in regard to the source items used in the validation.
(5) The interview shall be documented to
include an evaluation and conclusion on each item for which the incarcerated
person has provided a rebuttal. The assigned staff shall record this
information, via CDCR Form 128-B5 (07/24), Security Threat Group Validation
Chrono, which is incorporated by reference. If through the review and interview
process, a source item is determined to not have merit, the assigned staff
shall document that further investigation shows no merit on the CDCR Form
128-B5. Staff will provide a copy to the subject within 14 calendar days and
prior to submission of the validation package to the OCS.
(6) The CDCR Form 128-B5 shall be submitted
with the validation package to OCS for a recommendation to affirm or reject the
validation.
(7) The recommendation
for validation or rejection of evidence relied upon shall be documented on a
CDCR Form 128-B2 (Rev. 07/24), Security Threat Group Validation/Rejection
Review, which is incorporated by reference, and be forwarded to the facility or
parole region of origin for processing. If the incarcerated person is currently
housed in a CDCR institution, the CDCR Form 128-B2 will be reviewed by the STG
Unit Classification Committee. Upon receipt of the CDCR Form 128-B2, the
Classification and Parole Representative, or their designee, shall clearly note
in some permanent manner upon the face of every document whether or not the
item met validation requirements.
(d) STG Unit Classification Committee. The
STG Investigator via the assigned counselor shall schedule the offender for
appearance before the STG Unit Classification Committee within 30 days of
receipt of the CDCR Form 128-B2, in accordance with subsection
3376(d)(5).
An investigative employee shall be assigned by the STG
Unit Classification Committee Chairperson to assist the incarcerated person
with preparation for the STG Unit Classification Committee. The duties and
functions of a staff member assigned to assist an incarcerated person in the
hearing on a validation will be the same as described in section
3344 for Assistance to
Incarcerated Persons for Restricted Housing Classification Hearings. In
screening prospective witnesses, the investigative employee will do so in
accordance with the information to be considered in the classification hearing.
The investigative employee is designated to gather information for the STG Unit
Classification Committee Chairperson and will submit a written report to the
Chairperson which may include witness statements and a summary of the
information collected.
The STG Unit Classification Committee shall review the
validation package noting the recommendations of OCS and make the final
determination on acceptance of the validation package based on the totality of
the information.
(1) The STG Unit
Classification Committee shall ensure:
(A)
Documents listed on the Security Threat Group Validation/Rejection Review (CDCR
128-B2) are correctly identified, dated, match the corresponding source item,
and are present in the file. (I.e., Confidential memorandum, dated xx/xx/xxxx,
authored by Officer X.)
(B) Source
items and supporting documents must be stamped indicating the documents meet
the criteria for prison gang/STG validation, or does not meet
criteria.
(C) Any applicable
Confidential Information Disclosure Forms were issued to the incarcerated
person and are present in the file.
(D) RHU-eligible STG related behavior Rules
Violation Report (RVR) includes:
1. Review of
compliance with procedural safeguards, i.e. time constraints and assistance to
the incarcerated person, in accordance with existing policy and
regulation.
2. The specific act
charged includes an STG nexus and coincides with the description of the
circumstances that describes the STG behavior for which the incarcerated person
was found guilty.
3. The evidence
and/or circumstances support the finding of guilt.
4. The evidence used to establish the nexus
to the STG behavior is supported and thoroughly documented by the Senior
Hearing Officer.
5. The use of
confidential information adheres to the standards for the consideration of and
reliance upon in accordance with section
3321.
(E) CDCR Form 128-B3 (11/13), Security Threat
Group Identification Score Sheet, CDCR Form 128-B4 (07/24), Evidence Disclosure
and Interview Notification, and CDCR 128-B5 with attached Incarcerated Person's
Rebuttal are present in the file.
(F) All validation documents are accurate and
complete, all non-confidential/confidential evidence was provided to the
incarcerated person by the STG investigator at least 72 hours prior to any
validation review, determine correct validation designation and status, and
appropriately document their decision on an automated Classification Committee
Chrono (Rev. 05/19), which is incorporated by reference.
(G) Validated STG-I or STG-II cases are
referred to a RHU CSR for audit and approval.
(2) RHU CSR shall audit all STG-I and STG-II
validations for accuracy and compliance with departmental regulations, in
accordance with subsection (d) above. The CSR will approve the requested
actions or return the case for corrections, referral to the Chief Deputy
Warden, or defer the requested actions upon discovery of any due process
violations. If the case is returned, the CSR shall articulate the required
corrections.
Note: Authority cited: Section 5058, Penal Code.
Reference: Sections 5054 and 5068, Penal Code; Sandin v. Connor (1995) 515 U.S.
472; Madrid v. Gomez (N.D. Cal. 1995) 889 F.Supp. 1146; Toussaint v. McCarthy
(9th Cir. 1990) 926 F.2d 800; Toussaint v. Yockey
(9th Cir. 1984) 722 F.2d 1490; and Castillo v.
Alameida, et al., (N.D. Cal., No. C94-2847).
Note: Authority cited: Section
5058, Penal
Code. Reference: Sections
5054 and
5068, Penal
Code; Sandin v. Connor (1995) 515 U.S. 472; Madrid v. Gomez (N.D. Cal. 1995)
889 F.Supp. 1146; Toussaint v. McCarthy (9th Cir. 1990) 926 F.2d 800; Toussaint
v. Yockey (9th Cir. 1984) 722 F.2d 1490; and
Castillo v. Alameida, et al. (N.D. Cal., No. C94-2847).
