Coleman, et al v. Schwarzenegger, et al

Filing 5305

STIPULATION and ORDER 5298 on Special Master's Report for CDCR's Implementation of Policies and Procedure on Rules Violation Reports signed by Judge Kimberly J. Mueller on 5/1/2015. (Attachments: # 1 Attached Text of Proposed Regulations - DRAFT) (Marciel, M)

Attachment 1

TEXT OF PROPOSED REGULATIONS
In the following, underline indicates additional text and strikethrough indicates deleted
text.
California Code of Regulations, Title 15, Division 3, Adult Institutions, Programs and
Parole
Chapter 1. Rules and Regulations of Adult Operations and Programs
Subchapter 4. General Institution Regulations
Article 5. Inmate Discipline
Section 3310. Definitions.
Subsections 3310(a) through 3310(c) are unchanged.
(d) Experienced means a permanent employee at the designated level, certified by the Chief
Disciplinary Officer (CDO) or designee as competent to serve as a senior hearing officer or
hearing officer, as specified. Requirements for certification shall include in-service or on-the-job
training in disciplinary procedures, mental health assessment requirements, and observation of
five serious/administrative disciplinary hearings. A probationary, limited term, or training and
development employee at the designated staff level may be certified as experienced. Acting
staff whose permanent position is at a level lower than that required shall not be assigned
senior hearing officer/hearing officer responsibility.
Subsections 3310(e) through 3310(f) are unchanged.
Section 3315. Serious Rules Violations.
Subsections 3315(a) through 3315(g) are unchanged.
Subsection 3315(h) is added to read:
(h) Mitigation of Disposition due to Mental Illness. If an inmate is found guilty of the charge,
the official shall consider the mental health assessment and any dispositional recommendations
provided by mental health staff as documented on the CDCR Form 115-MH, Rules Violation
Report: MH Assessment Request, or any other relevant information regarding the relationship
between the inmate’s mental illness and his or her misconduct, when assessing penalties.
Note: Authority cited: Section 5058, Penal Code. Reference: Sections 295-300.3, 314, 530, 532,
646.9, 647, 653m, 2931, 2932, 2933, 4501.1, 4573.6, 4576, 5054, 5068 and 12020, Penal Code.
Section 3317. Mental Health Evaluations for Disciplinary Hearings.
Section 3317 is retitled and amended to read:
3317. Mental Health Evaluations Assessments for Disciplinary Hearings Proceedings
Inmates in the Mental Health program or any inmate showing signs of possible mental illness
may require a CDC 115 MH (Rev. 06/06), Rules Violation Report: Mental Health Assessment.

All inmates at the EOP, MHCB, and DMH level of care, who receive a CDC 115, Rules
Violation Report shall be referred for a Mental Health Assessment. All inmates in CCCMS or
non-MHSDS inmates who receive a CDC 115 Rules Violation Report, and who exhibit bizarre,
unusual or uncharacteristic behavior at the time of the rules violation shall be referred for a
Mental Health Assessment. An inmate shall be referred for a mental health evaluation prior to
documenting misbehavior on a CDC Form 115, Rules Violation Report, in any case where the
inmate is suspected of self mutilation or attempted suicide. If the mental health evaluation
determines that it was an actual suicide attempt, a CDC Form 115 shall not be written and the
behavior shall be documented on a CDC Form 128B(Rev.4/74), General Chrono, for inclusion in
the inmate's central file.
(a) A Mental Health Assessment is a means to incorporate clinical input into the disciplinary
process when mental illness may have contributed to behavior resulting in a Rules Violation
Report. Mental Health Assessments shall be considered by the hearing officer or other official
during disciplinary proceedings when determining whether an inmate shall be disciplined and
when determining the appropriate method of discipline.
(b) Inmates who are alleged to have committed a Rules Violation shall receive a mental health
assessment, via completion of the CDCR Form 115-MH, Rules Violation Report: MH
Assessment Request, for any of the following reasons:
(1) Inmate is a participant in the MHSDS at the EOP level of care.
(2) Inmate is a participant in the MHSDS at the MHCB level of care.
(3) Inmate is a participant in the MHSDS at the Psychiatric Inpatient Program, Acute Psychiatric
Program or Intermediate Care Facility levels of care.
(4) Inmate is a participant in the MHSDS at the CCCMS level of care and has been charged with
a Division A, B or C offense or any other rules violation which may result in the assessment of a
Security Housing Unit term as defined in Section 3341.5.
(5) Inmate engaged in Indecent Exposure or Sexual Disorderly Conduct.
(6) Inmate displayed bizarre, unusual or uncharacteristic behavior at the time of the offense
(c) When a mental health assessment is required, the reviewing supervisor shall request that a
mental health clinician complete the assessment by completing a CDCR Form 115-MH, Rules
Violation Report: MH Assessment Request and delivering it to the institution’s mental health
program within two calendar days of the date of discovery. The mental health program shall
complete the assessment and return it to the reviewing supervisor within eight calendar days of
receipt.
(d) At any time during the disciplinary process, after inmate misconduct has occurred, an
authorized official may address the misconduct or otherwise handle the disciplinary action or
Rules Violation pursuant to CCR section 3312(a) when information indicates that mental illness
contributed to the inmate’s behavior. The official shall consider mental health staff’s
assessment, as documented on the CDCR Form 115-MH, Rules Violation Report: MH
Assessment Request, and any other relevant information, when determining whether the inmate
should be disciplined or the appropriate method of discipline because the inmate’s behavior was
strongly influenced by mental illness. The official shall also consider mental health staff’s
assessment when determining whether punishment should be mitigated due to the inmate’s
mental illness. These considerations shall be undertaken throughout the entirety of disciplinary
process.
(e) An inmate shall be referred for a mental health assessment prior to documenting misbehavior
on a CDC Form 115, Rules Violation Report, in any case where the inmate is suspected of self-

mutilation or attempted suicide. If the mental health assessment determines it was selfmutilation or an actual suicide attempt, a CDC Form 115, Rules Violation Report shall not be
written.
Section 3317.1 is added to read:
3317.1. Documenting Rules Violations in an Alternate Manner for Inmates in the MHSDS
(a) If the inmate’s behavior was strongly influenced by symptoms of mental illness at the time
the rules violation occurred, mental health staff may recommend via the CDCR Form 115-MH,
Rules Violation Report: MH Assessment Request, that the inmate would be better served by
having the behavior documented in an alternate manner. In this event the CDC Form 115, Rules
Violation Report, and CDCR Form 115-MH, Rules Violation Report: MH Assessment Request,
shall be forwarded to the Facility Captain with the recommendation. The Captain will review the
CDC Form 115, Rules Violation Report and return it to the hearing officer within three calendar
days from the date of receipt with a decision.
(b) Based on his or her review, the Captain will direct the hearing officer to proceed in any of the
following manners:
(1) Proceed with hearing the Rules Violation Report as serious,
(2) Proceed with hearing the Rules Violation Report as administrative,
(3) Void the CDC Form 115, Rules Violation Report, and document the behavior via a CDC
Form 128-A, Custodial Counseling Chrono, for minor misconduct, or
(4) Void the CDC Form 115, Rules Violation Report, and document the behavior via CDC Form
128-B, General Chrono.
(c) If the Captain elects to void the CDC Form 115, the hearing officer shall document the
decision via a memorandum and attach it to the CDCR Form 1154, Disciplinary Action Log.
Section 3317.2 is added to read:
3317.2. Behaviors Related to Mental Illness Excluded from Rules Violation Reports
Inmates shall not be issued a Rules Violation Report for behavior that constitutes a Rule
Violation under the following circumstances:
(1) If the behavior occurred in connection with a cell extraction for the administration of
involuntary medication, as defined in Penal Code section 2602, or involuntary medical
treatment, as defined in Probate Code section 3200, et seq.
(2) If the behavior occurred in connection with a cell extraction for transfer of the inmate
to a mental health inpatient unit or between mental health inpatient units.
(3) If the behavior occurred in connection with being placed in mental health restraints
and/or seclusion.
(4) If the behavior is determined to be an act of self-mutilation or attempted suicide.
The inmate’s conduct shall be documented on a CDC Form 128-B, General Chrono, for
inclusion in the inmate’s central file.

If the inmate commits a Serious Rules Violation pursuant to CCR, Title 15, Section 3315 while
participating in the behavior noted above, which constitutes a Division A-1 offense as defined in
CCR, Title 15, Section 3323(b), an assault or battery as defined in CCR, Title 15, Sections
3323(d)(1), 3323(d)(2), or 3323(d)(3), or an assault on a peace officer or non-prisoner as defined
in CCR, Title 15, Sections 3323(f)(11) and 3323(f)(12), a CDC Form 115, Rules Violation
Report, shall be completed and processed in accordance in accordance with this Article.
Note: Authority cited: Section 5058, Penal Code. Reference: Section 5054, Penal Code.

Attachment 2

52080.5.8 Special Consideration of Rules Violations Related to Mental Illness
Inmates who are alleged to have committed a Rules Violation shall receive a mental
health assessment, via completion of the CDCR Form 115-MH, Rules Violation Report:
MH Assessment Request for any of the following reasons:
•
•
•
•
•
•

Inmate is a participant in the MHSDS at the EOP level of care.
Inmate is a participant in the MHSDS at the MHCB level of care.
Inmate is a participant in the MHSDS at the Psychiatric Inpatient Program, Acute
Psychiatric Program or Intermediate Care Facility levels of care.
Inmate is a participant in the MHSDS at the CCCMS level of care and has been
charged with a Division A, B or C offense or any other rules violation which may
result in the assessment of a SHU term as defined in Section 3341.5.
Inmate engaged in Indecent Exposure or Sexual Disorderly Conduct.
Inmate displayed bizarre, unusual or uncharacteristic behavior at the time of the
offense

An inmate shall be referred for a mental health assessment prior to documenting
misbehavior on a CDC Form 115, Rules Violation Report, in any case where the inmate
is suspected of self-mutilation or attempted suicide. If the mental health assessment
determines it was self-mutilation or an actual suicide attempt, a CDC Form 115, Rules
Violation Report shall not be written.
Inmates shall not be issued a Rules Violation Report (RVR) for any of the following
reasons:
(1) The behavior occurred in connection with a cell extraction for the administration of
involuntary medication, as defined in Penal Code section 2602, or involuntary
medical treatment, as defined in Probate Code section 3200, et seq.
(2) The behavior occurred in connection with a cell extraction for transfer of the inmate
to a mental health inpatient unit or between mental health inpatient units.
(3) The behavior occurred in connection with being placed in mental health restraints
and/or seclusion.
(4) The behavior is determined to be an act of self-mutilation or attempted suicide.
When any of these circumstances are met, the inmate’s conduct shall be documented
on a CDC Form 128-B, General Chrono, for inclusion in the inmate’s Central File. Any
use of force used during these situations shall be documented appropriately on a CDCR
Form 837, Crime/Incident Report, in accordance with CCR, Title 15, 3268.1.
If the inmate commits a Serious Rules Violation pursuant to CCR, Title 15, Section 3315
while participating in the behavior noted above, which constitutes a Division A-1 offense
as defined in CCR, Title 15, Section 3323(b), an assault or battery as defined in CCR,
Title 15, Sections 3323(d)(1), 3323(d)(2), or 3323(d)(3), or an assault on a peace officer
or non-prisoner as defined in CCR, Title 15, Sections 3323(f)(11) and 3323(f)(12), a

CDC Form 115, Rules Violation Report, shall be completed and processed in
accordance with current regulations and policy.
At any time during the disciplinary process, after inmate misconduct has been identified,
an authorized official may address the misconduct or otherwise dispose of the
disciplinary action or Rules Violation when information indicates mental illness
contributed to the inmate’s behavior. If a CDCR Form 115-MH, Rules Violation Report:
MH Assessment Request, has been completed, the official shall consider mental health
staff’s assessment when making these determinations. The adjudication of inmate
misconduct or disciplinary proceeding shall be appropriately documented as determined
by the hearing official and in accordance with this article.
The mental health clinicians may recommend documenting an inmate’s behavior in an
alternate manner via CDCR Form 115-MH, Rules Violation Report: MH Assessment
Request, when the behavior was determined to be strongly influenced by mental illness
at the time of the offense for all inmate participants in the MHSDS. The mental health
clinicians Program Supervisor will be required to provide a signature on the CDCR Form
115-MH Rules Violation Report: MH Assessment Request, acknowledging they agree
with the opinions offered by the reviewing clinician. In this event, the hearing officer
shall forward the CDC Form 115, Rules Violation Report, to the Facility Captain with all
supporting documentation for review.
Following his or her review, the Facility Captain will direct the hearing officer to proceed
in any of the following manners:
•
•
•
•

Proceed with hearing the RVR as serious
Proceed with hearing the RVR as administrative
Void the RVR and document the behavior via CDC Form 128-A, Custodial
Correctional Counseling Chrono, for minor misconduct, or
Void the RVR and document the behavior via CDC Form 128-B, General Chrono

If the Facility Captain elects to void the CDC Form 115, Rules Violation Report, the
hearing officer shall document the decision via memorandum and attach it to the CDCR
Form 1154, Disciplinary Action Log, to provide proof of practice. A copy of the
memorandum shall be forwarded to Case Records to facilitate removal of the CDC
Form 804, Notice of Pending CDC 115, from the inmate’s Central File within the
Electronic Records Management System.

Attachment 3

RULES VIOLATION REPORT: MENTAL HEALTH ASSESSMENT REQUEST
REVIEWING CUSTODY SUPERVISOR
A CDC 115, Rules Violation Report (RVR), has been written on the following inmate, who
requires a mental health assessment.
Could this offense result in a SHU term?

□ Yes

□ No

Inmate Name:
CDC Number:
RVR Log Number:
Date of violation:
Housing:
Specific Act Charged:
The inmate’s current Mental Health Level of Care is: (check one)
Not in MHSDS Program 1
CCCMS 1,2
EOP
MHCB
DSH/PIP
1

Non-MHSDS or CCCMS program participants will be referred for a mental health assessment
for behavior that is bizarre or unusual for any inmate, or is uncharacteristic for this inmate.

2

CCCMS program participants will be referred for a mental health assessment for Division A, B,
or C offenses or any offense that may result in a Security Housing Unit term.
Sent to Mental Health (date)
By (Print name/signature)
Return this form to: (Print name)
By (date)
Timelines: Custody has two calendar days to submit this MHA to mental health; mental health
has eight calendar days to return this completed MHA to custody.
The interview was conducted in a confidential location. □ Yes □ No Date: __________
If No, please explain. _______________________________________________________________

The inmate was informed of the purpose of the evaluation and that information shared during the
interview is not confidential and will be used in adjudicating the Rules Violation Report.
□ Yes □ No
Data Source(s) for this Evaluation:
□ C-File □ 128 C-2 □ health record
□ Other ___________________

1.

□ DECS

□ MHTS

□ SOMS

□ ERMS

□ Staff

CCCMS/NON-MHSDS only. Are there any mental health factors that would cause the
inmate to experience difficulty in understanding the disciplinary process and
representing his/her interests in the hearing that would indicate the need for
assignment of a staff assistant?
□ Yes
□ No
Provide rationale

2. In your opinion, was the inmate’s behavior so strongly influenced by symptoms of a
mental illness that the inmate would be better served by documenting this behavior in
an alternate manner? If Yes, consult with your program supervisor, provide rationale,
establish a nexus between mental health symptoms and the behavior, and go to
Question 4. If No, go to Question 3.
□ No

□ Yes

Provide rationale
Consulting Program Supervisor:
Print/Sign____________________________________________

3. In your opinion, is there evidence to suggest that mental illness contributed to the
behavior that led to the RVR?
□ No

□ Yes

Provide rationale. If yes, establish a nexus between mental health symptoms and the
behavior.

4. If the inmate is found guilty of the offense, what mental health factors should the
hearing officer consider when assessing the penalty, such as penalties that may have an
adverse impact on the inmate’s stability?
Examples of penalties include, but are not limited to, changes and reduction in: Phone
calls, visits (when permissible), day room, confined to quarters, loss of packages, yard
time, loss of appliances.
(Example of mandated sanctions: Violations of CCR, Title 15, Sections 3323(c)(6),
3323(d)(8) and 3323(f)(6) shall result in loss of visits.)
Provide rationale

5. (SHU offense only—see box above to determine if applicable) If the inmate is found
guilty of the offense, are there any mental health factors the Institutional Classification
Committee should consider when assessing a SHU term?
Provide rationale:

_______________________________________
_____________
Clinician- Print and Sign
Extension

______________________________________
Custody Staff-Print and Sign

_____________
Date

____________
Date

Phone

Attachment 4

State of California

Department of Corrections and Rehabilitation

Memorandum
Date:
To:

Associate Directors, Division of Adult Institutions
Wardens
Chief Executive Officers
Chiefs of Mental Health

Subject:

IMPLEMENTATION OF RULES VIOLATION REPORT EXCLUSIONS AND
DOCUMENTATION OF RULES VIOLATIONS IN AN ALTERNATE MANNER BASED
ON CLINICAL INPUT FOR ALL INMATE PARTICIPANTS IN THE MENTAL HEALTH
SERVICES DELIVERY SYSTEM
Categories Excluded From Rules Violation Report Process
Effective immediately, inmates shall not be issued a Rules Violation Report (RVR)
under the following circumstances:
(1) If the behavior occurred in connection with a cell extraction for the administration of
involuntary medication, as defined in Penal Code section 2602, or involuntary
medical treatment, as defined in Probate Code section 3200, et seq.
(2) If the behavior occurred in connection with a cell extraction for transfer of the inmate
to a mental health inpatient unit or between mental health inpatient units.
(3) If the behavior occurred in connection with being placed in mental health restraints
and/or seclusion.
(4) If the behavior is determined to be an act of self-mutilation or attempted suicide.
When any of these circumstances are met, the inmate’s conduct shall be documented
on a CDC Form 128-B, General Chrono, for inclusion in the inmate’s Central File. Any
use of force used during these situations shall be documented appropriately on a CDCR
Form 837, Crime/Incident Report, in accordance with CCR, Title 15, 3268.1.
However, if the inmate commits a Serious Rules Violation pursuant to CCR, Title 15,
Section 3315 while participating in the behavior noted above, which constitutes a
Division A-1 offense as defined in CCR, Title 15, Section 3323(b), an assault or battery
as defined in CCR, Title 15, Sections 3323(d)(1), 3323(d)(2), or 3323(d)(3), or an
assault on a peace officer or non-prisoner as defined in CCR, Title 15, Sections
3323(f)(11) and 3323(f)(12), a CDC Form 115, Rules Violation Report, shall be
completed and processed in accordance with current regulations and policy.

Associate Directors, Division of Adult Institutions
Wardens
Chief Executive Officers
Chiefs of Mental Health
Page 2

Special Processes for Reviewing and Documenting Rules Violation Reports in an
Alternate Manner
Additionally, in accordance with the revised CDCR Form 115-MH Rules Violation
Report: MH Assessment Request (Rev. **/15), mental health clinicians may recommend
documenting an inmate’s behavior in an alternate manner when the behavior was
determined to be strongly influenced by mental illness at the time of the offense for all
inmate participants in the MHSDS. The mental health clinicians Program Supervisor
will be required to provide a signature on the CDCR Form 115-MH Rules Violation
Report: MH Assessment Request, acknowledging they agree with the opinions offered
by the reviewing clinician. In this event, the hearing officer shall forward the CDC Form
115, Rules Violation Report, to the Facility Captain with all supporting documentation for
review.
Following his or her review, the Facility Captain will direct the hearing officer to proceed
in any of the following manners:
•
•
•
•

Proceed with hearing the RVR as serious
Proceed with hearing the RVR as administrative
Void the RVR and document the behavior via CDC Form 128-A, Custodial
Correctional Counseling Chrono, for minor misconduct, or
Void the RVR and document the behavior via CDC Form 128-B, General Chrono

If the Facility Captain elects to void the CDC Form 115, Rules Violation Report, the
hearing officer shall document the decision via memorandum and attach it to the CDCR
Form 1154, Disciplinary Action Log, to provide proof of practice. A copy of the
memorandum shall be forwarded to Case Records to facilitate removal of the CDC
Form 804, Notice of Pending CDC 115, from the inmate’s Central File within the
Electronic Records Management System.

Associate Directors, Division of Adult Institutions
Wardens
Chief Executive Officers
Chiefs of Mental Health
Page 3

If you have any questions please contact, Eric Hobbs, Correctional Lieutenant, Class
Action Management Unit, at (916)-322-1725 or via electronic mail at
[e-mail] or Corey Scheidegger, Senior Psychologist, Statewide
Mental Health Program at (916)-691-0310 or via electronic mail at
[e-mail].

KELLY HARRINGTON
Director
Division of Adult Institutions
cc:
Kathleen Allison
Ralph Diaz
Tim Virga
Thomas Tyler
Amy Eargle
Angela Ponciano
Corey Scheidegger
Eric Hobbs

TIMOTHY BELAVICH, Ph.D., MSHCA, CCHP
Director (A), Division of Health Care Service
Deputy Director, Statewide Mental Health

Attachment 5

State of California

Department of Corrections and Rehabilitation

Memorandum
Date

:

To

:

Associate Directors, Division of Adult Institutions
Wardens

Subject

:

ELIMINATION OF INMATE CLERKS TYPING RULES VIOLATION REPORT
HEARING SUMMARIES FOR INMATE PARTICIPANTS IN THE MENTAL
HEALTH SERVICES DELIVERY SYSTEM

Effective immediately, as a result of the recent Coleman Special Master’s, Rules
Violation Report (RVR) review, inmate clerks will no longer be allowed to type the
CDC Form 115, Rules Violation Report (CDC 115) hearing summaries for inmate
participants in the Mental Health Services Delivery System (MHSDS).
Staff responsible for documenting an inmate’s behavior on a CDC 115 shall no
longer identify whether the inmate is a participant in the MHSDS or the inmate’s
level of care in the body of the RVR.
The inmate clerk will continue typing all original CDC 115’s with the exception of
those submitted for inmates housed in a Mental Health Crisis Bed (MHCB),
Psychiatric Inpatient Program (PIP), or Department of State Hospitals (DSH)
programs within a CDCR institution. Staff shall be responsible for typing all CDC
115’s for MHCB, PIP and DSH inmates.
Each CDC 115 shall be concluded as shown in the example below:
INMATE is / is not a participant in the Mental Health Services Delivery System.
(Circle one)

Level of care: N/A, CCCMS, EOP, MHCB, APP, ICF, or PIP
(Circle one)

Upon review of the original CDC 115, the reviewing supervisor shall utilize the
Disability and Effective Communication System or Strategic Offender Management
System (SOMS) to identify the inmate’s participation in the MHSDS and the
appropriate level of care. The reviewing supervisor shall circle all applicable items
prior to signing the CDC 115. If the inmate has been identified as a MHSDS
participant, the inmate clerk will no longer be permitted to assist in the RVR
process to include preparation of the CDCR Form 115-MH Rules Violation Report:
MH Assessment Request.

Associate Directors, Division of Adult Institutions
Wardens
Page 2
However, if the inmate has not been identified as a MHSDS participant, the inmate
clerk shall be allowed to type the CDC 115 hearing summary.
In addition, inmate clerks shall no longer be allowed to process or file any
completed CDC 115’s or CDCR Form 837, Crime/Incident Report’s involving
participants in the MHSDS.
Each institution shall be responsible for identifying staff members who have been
appropriately trained to type CDC 115’s for all MHCB, PIP, and DSH inmates and
the hearing summaries for all CDC 115’s involving participants in the MHSDS.
This process shall be used on an interim basis, pending integration of the inmate
disciplinary process into SOMS.
If you have any questions or concerns regarding this process, please contact your
respective Associate Director.

KELLY HARRINGTON
Director (A)
Division of Adult Institutions
Attachments
cc: Kathleen Allison
Ralph Diaz
Tim Virga
Thomas Tyler