Cal. Code Regs. tit. 15 § 3378.2

Current through Register 2024 Notice Reg. No. 45, November 8, 2024

Section 3378.2 - Security Threat Group Validation Process

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.

(a) STG Coordinators/Investigators, the Office of Correctional Safety (OCS), and the STG Unit Classification Committee shall be responsible to initiate, investigate, and affirm/reject the validation of an STG affiliate.

(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.

Cal. Code Regs. Tit. 15, § 3378.2

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 (9^th 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).

1. New section filed 8-30-99 as an emergency; operative 8-30-99 (Register 99, No. 36). Pursuant to Penal Code section 5058(e), a Certificate of Compliance must be transmitted to OAL by 2-8-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-30-99 order transmitted to OAL 2-7-2000 and filed 3-21-2000 (Register 2000, No. 12).
3. Renumbering of former section 3378.2 to new section 3378.5(e) and new section 3378.2 filed 10-17-2014; operative 10/17/2014 pursuant to Government Code section 11343.4(b)(3) (Register 2014, No. 42).
4. Amendment filed 10-9-2017 as an emergency; operative 10/9/2017 (Register 2017, No. 41). Pursuant to Penal Code section 5058.3, a Certificate of Compliance must be transmitted to OAL by 3-19-2018 or emergency language will be repealed by operation of law on the following day.
5. Amendment refiled 3-5-2018 as an emergency; operative 3-19-2018 (Register 2018, No. 10). Pursuant to Penal Code section 5058.3, a Certificate of Compliance must be transmitted to OAL by 8-27-2018 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-5-2018 order, including amendment of subsections (e)(1)(D) and (e)(2)(D), transmitted to OAL 8-21-2018 and filed 10-3-2018; amendments effective 10/3/2018 pursuant to Government Code section 11343.4(b)(3) (Register 2018, No. 40).
7. Amendment of subsections (c)(5) and (d)(1)(E) and amendment of Note filed 11-4-2022; operative 1/1/2023 (Register 2022, No. 44).
8. Amendment of subsections (b), (d), (d)(1)(D), (d)(1)(F)-(d)(2) and repealer of subsections (d)(3)-(e)(3) filed 10-24-2023 as an emergency; operative 11/1/2023 (Register 2023, No. 43). Pursuant to Penal Code section 5058.3, a Certificate of Compliance must be transmitted to OAL by 4-9-2024 or emergency language will be repealed by operation of law on the following day.
9. Amendment of subsections (b), (d), (d)(1)(D), (d)(2)(F)-(d)(2) and repealer of subsections (d)(3)-(e)(3) refiled 4-8-2024 as an emergency; operative 4/11/2024 (Register 2024, No. 15). Pursuant to Penal Code section 5058.3, a Certificate of Compliance must be transmitted to OAL by 7-10-2024 or emergency language will be repealed by operation of law on the following day.
10. Change without regulatory effect amending section filed 7-1-2024 pursuant to section 100, title 1, California Code of Regulations (Register 2024, No. 27).
11. Certificate of Compliance as to 4-8-2024 order, including further amendment of section and amendment of Note, transmitted to OAL 6-18-2024 and filed 7-31-2024; amendments effective 7/31/2024 pursuant to Government Code section 11343.4(b)(3) (Register 2024, No. 31).