California Code of Regulations
Title 15 - Crime Prevention and Corrections
Division 3 - Adult Institutions, Programs and Parole
Chapter 1 - Rules and Regulations of Adult Operations and Programs
Subchapter 5.1 - Incarcerated and Supervised Person Programs
Article 1.5 - Staff Misconduct Complaints
Section 3486 - Allegations of Staff Misconduct Toward an Incarcerated or Supervised Person

Universal Citation: 15 CA Code of Regs 3486

Current through Register 2024 Notice Reg. No. 38, September 20, 2024

(a) Right to submit complaint alleging staff misconduct:

(1) Any person can submit a complaint of staff misconduct when they believe departmental staff have engaged in behavior that resulted in a violation of law, policy, regulation, or procedure, or an ethical or professional standard.

(A) CDCR Form 602-1, Grievance, (Rev. 01/22), which is incorporated by reference, may be submitted by incarcerated and supervised persons pursuant to sections 3482(a)(1) and 3482(a)(2) respectively.

(B) CDCR Form 602-HC, Health Care Grievance, (Rev. 07/24), which is incorporated by reference, may be submitted by incarcerated and supervised persons pursuant to section 3999.226(a).

(2) Staff shall not retaliate against a reporting party or witness for submitting a complaint or reporting staff misconduct.

(3) As provided in this Article, and Article 2 of Subchapter 5, the department shall ensure all complaints of staff misconduct are properly documented consistent with section 3486.1, subsections (c) and (d).

(b) If a complaint alleging staff misconduct is submitted on a CDCR Form 1824, Reasonable Accommodation Request, (Rev. 07/24), which is incorporated by reference, it will be processed pursuant to sections 3482(a)(1) and 3482(a)(2).

(1) "Allegation Inquiry" refers to the process of gathering relevant facts and evidence by a Local Designated Investigator (LDI) concerning a complaint that involves an allegation of staff misconduct.

(2) "Allegation Inquiry Report" refers to the confidential report prepared by an LDI following an Allegation Inquiry.

(3) "Allegation Investigation Unit" (AIU) refers to the unit within the Office of Internal Affairs (OIA) that conducts investigations into complaints alleging misconduct toward incarcerated and supervised persons as set forth in section 3486.2, and reviews allegation inquiry reports completed by LDIs.

(4) "AIU Investigator" refers to an investigator within the AIU assigned to conduct a confidential investigation.

(5) "Armstrong class member" refers to an incarcerated person who is a class member under the federal court decree in Armstrong v. Newsom (previously: Armstrong v. Schwarzenegger).

(6) "Centralized Screening Team" (CST) refers to the entity that reviews documentation to determine if the documentation contains a Routine Issue, alleges misconduct toward an incarcerated or supervised person, or alleges misconduct not involving an incarcerated or supervised person.

(7) "Clarification Interview" refers to an interview conducted by CST staff when clarification is required to make a screening decision.

(8) "Complaint" refers to any documentation or verbal statements received by the Department from any source that contains a routine issue or alleges Staff Misconduct.

(9) "Reporting Party" refers to the person making a complaint against departmental staff.

(10) "Department" and "Departmental Staff" refer exclusively to CDCR employees, contractors, and volunteers.

(11) "Designated Case" refers to a case assigned to an Employment Advocacy and Prosecution Team (EAPT), Vertical Advocate (VA).

(12) "Disabled Incarcerated Persons" as used in Article 1.5, Staff Misconduct Allegations, refers to all Armstrong class members, and incarcerated persons in the Mental Health Services Delivery System at the Enhanced Out Patient level of care or higher (i.e., Psychiatric Inpatient Program and Mental Health Crisis Bed).

(13) "Employment Advocacy and Prosecution Team" (EAPT) refers to the entity in the Office of Legal Affairs responsible for providing legal counsel and representation during the employee investigation, discipline, and appeal process.

(14) "Hiring Authority" has the same meaning in this Article as in subsection 3392(a)(12).

(15) "Investigation" refers to the gathering of facts and evidence by an AIU Investigator concerning an allegation of Staff Misconduct.

(16) "Investigation Assignment Decision" refers to the decision made by the AIU manager identifying the level of AIU investigator to be assigned to conduct an investigation.

(17) "Investigation Report" refers to the confidential report prepared by an AIU investigator following an investigation.

(18) "Locally Designated Investigator" refers to departmental staff trained by OIA to collect evidence and conduct Allegation Inquires.

(19) "Office of Internal Affairs" (OIA) refers to the entity with authority to investigate allegations of employee misconduct.

(20) "Routine Issue" refers to any complaint received by CST that is not identified as an allegation of Staff Misconduct.

(21) "Screening Decision" refers to the decision made by the CST of whether a complaint contains a Routine Issue, allegation(s) of staff misconduct toward an incarcerated or supervised person, or allegation(s) of staff misconduct not related to an incarcerated or supervised person. If the complaint contains allegation(s) of staff misconduct toward an incarcerated or supervised person which include complex issues requiring specialized investigative skills or resources, CST shall refer the allegations to AIU for investigation. If the complaint contains allegation(s) of staff misconduct toward an incarcerated or supervised person which do not include complex issues requiring specialized investigative skills or resources, CST shall refer the allegations to the hiring authority for an Allegation Inquiry.

(22) "Staff Misconduct" refers to behavior that results in a violation of law, regulation, policy, or procedure, or actions contrary to an ethical or professional standard.

(23) "Third Party" refers to a person or persons not directly involved in the incident or interaction that resulted in the allegation of staff misconduct.

(24) "Vertical Advocate" (VA) refers to an EAPT attorney who provides legal advice to the department during investigations and the employee discipline process for designated cases, and represents the department at administrative hearings and during any subsequent writ or appellate proceedings.

(d) Implementation--The provisions of this Article shall apply to staff misconduct complaints received by the department as follows:

(1) Allegations of staff misconduct toward an incarcerated or supervised person involving Use of Force and Prison Rape Elimination Act (PREA) complaints for all facilities and parole regions statewide, shall be referred to AIU (formerly known as AIMS) for an allegation inquiry.

(2) CDCR Form 602-1, Grievances, (Rev. 01/22) for all facilities and parole regions statewide shall be screened by CST, and allegations of staff misconduct toward an incarcerated or supervised person requiring specialized investigative skills or resources as described in subsection 3486(c)(21), shall be referred to AIU (formerly known as AIMS) for an allegation inquiry.

(3) CDCR Form 602-1, Grievances for all facilities and parole regions statewide shall be screened by CST, and allegations of staff misconduct toward an incarcerated or supervised person not requiring specialized investigative skills or resources as described in subsection 3486(c)(21), will be referred to the Hiring Authority for assignment to an LDI for an allegation inquiry, unless CST refers to AIU (formerly known as AIMS) for an allegation inquiry.

(4) For the following institutions, allegations of staff misconduct toward an incarcerated or supervised person contained in a CDCR Form 602-1, as set forth in subsection 3486.1(h):

(A) Richard J Donovan;

(B) California State Prison, Los Angeles County;

(D) Substance Abuse Treatment Facility;

(E) Kern Valley State Prison; and

(F) California Institution for Women.

(5) For allegations of staff misconduct toward an incarcerated or supervised person, contained in a CDCR Form 602-1 at the following institutions, assigned to an LDI for an allegation inquiry, the allegation inquiry report shall be reviewed and approved as set forth in subsection 3486.2(c)(4):

(A) Richard J Donovan;

(B) California State Prison, Los Angeles County;

(D) Substance Abuse Treatment Facility;

(E) Kern Valley State Prison; and

(F) California Institution for Women.

(6) For CDCR Form 602-HC, Health Care Grievances, (Rev. 07/24); CDCR Form 1824, Reasonable Accommodation Requests, (Rev. 07/24); and all Third Party Complaints (e.g., citizen complaints, staff, ombudsman, advocacy letters and any related interviews, etc.) that contains an allegation of staff misconduct towards an Armstrong Class Member at the Richard J Donovan Correctional Facility, and disabled incarcerated persons as defined in section 3486(b)(13) at the following institutions, shall be reviewed by the institution and if the complaint contains an allegation of staff misconduct toward an incarcerated or supervised person, the institution shall refer the complaint to CST for screening and disposition as set forth in subsections 3486.1(h) and 3486.2(c)(4):

(A) California State Prison, Los Angeles County;

(B) California State Prison, Corcoran;

(D) Kern Valley State Prison; and

(E) California Institution for Women.

(7) Beginning on January 1, 2023, for allegations of staff misconduct toward an incarcerated or supervised person, contained in a CDCR Form 602-1, assigned to an LDI for an allegation inquiry, the allegation inquiry report shall be reviewed and approved as set forth in subsection 3486.2(c)(4).

(8) Beginning on March 1, 2023, allegations of staff misconduct toward an incarcerated or supervised person from all institutions and parole regions, contained in a CDCR Form 602-1, requiring specialized investigative skills or resources as described in subsection 3486(c)(21), shall be referred to AIU for investigation as set forth in subsection 3486.2(b).

(9) Beginning on May 31, 2023, CDCR Form 602-HC, Health Care Grievances from all institutions and parole regions, shall be referred to CST for screening and disposition as set forth in subsections 3486.1(h) and 3486.2(c)(4).

(10) Beginning on August 31, 2023, CDCR Form 1824, Reasonable Accommodation Requests from all institutions and parole regions, shall be referred to CST for screening and disposition as set forth in subsections 3486.1(h) and 3486.2(c)(4); and

(11) Beginning on November 30, 2023, Third Party Complaints (e.g., citizen complaints, staff, ombudsman, advocacy letters and any related interviews, etc.) shall be referred to CST for screening and disposition as set forth in subsections 3486.1(h) and 3486.2(c)(4).

Note: Authority cited: Section 5058, Penal Code. Reference: Section 5054, Penal Code; Armstrong et al. v. Newsom et al., United States District Court for the Northern District of California, Court Case number 94-cv-02307-CW; Madrid v. Woodford, Special Masters Final Report Re: Department of Corrections Post Powers Investigations and Employee Discipline; Case No. C90-3094-T.E.H; Madrid v. Woodford, Order; and Case No. C90-3094-T.E.H. Class Action.

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