1. (a) Initial Review. The Reviewing Authority over each Office of Grievances shall designate at least one official to assess each written grievance and reasonable accommodation request no later than one business day after its receipt.

   1. (1) If it contains information concerning an imminent risk to personal health or safety, to institutional security, or of sexual abuse, including allegations of sexual misconduct as defined by the federal Prison Rape Elimination Act or the California Sexual Abuse in Detention Elimination Act, then the official shall immediately refer the matter to the appropriate authority in the institution or parole region as required by all applicable laws and regulations.
   2. (2) If it contains information suggesting the claimant seeks a disability-related accommodation, then the official shall immediately refer the matter to the ADA Reviewing Authority who shall ensure the matter is reviewed and if any injury or other serious harm is reasonably foreseeable, that an interim accommodation is provided no later than five business days after its receipt.
   3. (3) If it contains information suggesting the claimant needs assistance repairing or replacing a previously approved disability-related item or device, then the official shall immediately refer the matter to the ADA Reviewing Authority who shall ensure the item or device is repaired or replaced no later than five business days after its receipt and the action is documented in the department's information technology system or that the matter is referred to the Reasonable Accommodation Panel.
   4. (4) If it contains information suggesting the claimant's Earliest Possible Release Date (EPRD) is wrong and the claimant is scheduled to be released within 90 calendar days of its receipt, then a comprehensive review of the EPRD shall be conducted and the results provided to the claimant no later than 30 calendar days after receipt of the grievance.
   5. (5) If it contains information suggesting the claimant disagrees with the department's refusal to amend a record or file containing personal information pursuant to section 3450, then a comprehensive review of the matter shall be conducted and a final determination provided to the claimant no later than 30 calendar days after receipt as required by section 1798.36 of the Civil Code, unless the official conducting the comprehensive review notifies the claimant that the time period to complete the review was extended by 30 calendar days pursuant to that same section of the Civil Code.
2. (b) The Grievance Coordinator shall ensure that the intake process described in subsection (a) is completed and each grievance and reasonable accommodation request is referred to the Centralized Screening Team no later than three business days after receipt of the grievance or reasonable accommodation request.
3. (c) The Office of Grievances shall acknowledge receipt of each grievance and reasonable accommodation request to the claimant in writing no later than 14 calendar days after its receipt indicating the date the grievance or request was submitted, the date the grievance or request was received, the calculated date for the department's response, and whether the grievance or request was disallowed pursuant to subsection 3482(d)(3).
4. (d) The Grievance Coordinator shall ensure that all claims returned from the Centralized Screening Team to the Office of Grievances are reviewed and answered in accordance with subsections (e) through (i) of this section, except for those claims that are diverted to the Grievance Resolution Team pursuant to section 3483.5.

5. (e) Answering a Claim.

   1. (1) The Grievance Coordinator shall assign all claims that are not screened out pursuant to subsections (g)(3) through (g)(10) to a Reviewing Authority, as described below:

      1. (A) If the claim concerns a reasonable accommodation request, the Office of Grievances shall refer the matter to the ADA Reviewing Authority, who may grant the request or refer it to the Reasonable Accommodation Panel for the purpose of gathering relevant facts and recommending whether to grant or deny the request.
      2. (B) If the claim concerns a disability-related complaint, the Office of Grievances shall refer the matter to the ADA Reviewing Authority, who may delegate the claim to any supervisor for the purpose of gathering relevant facts and recommending whether to grant or deny the claim.
      3. (C) All other claims shall likewise be referred to a Reviewing Authority who may delegate the claim to any supervisor for the purpose of gathering relevant facts and recommending whether to grant or deny the claim. If the claim requires a routine review, then the Reviewing Authority who determines whether to grant or deny the claim shall be at least one rank higher than the highest-ranking employee accused of staff misconduct. If the claim involves an allegation of staff misconduct that was not referred for an investigation, then the supervisor who conducts the fact gathering shall be at least one rank higher than the highest-ranking employee accused of staff misconduct.
   2. (2) The assigned supervisor shall conduct a complete review of each claim and ensure all relevant evidence, including documents, interviews, and video or audio recordings, are identified, summarized, and preserved.
   3. (3) A claimant or witness shall be interviewed during the course of responding to a grievance if the supervisor responsible for answering the grievance determines it would assist in resolving the claim. The interview shall be conducted in a manner that provides as much privacy for the claimant as operationally feasible. If a claimant is unavailable to be interviewed or refuses to be interviewed, then those facts shall be documented in the department's information technology system.

   4. (4) Suspend and Elevate Process.

      1. (A) If a supervisor assigned to conduct a reasonable accommodation review discovers information suggesting the claim involves staff misconduct, then the supervisor shall immediately suspend their activities related to the allegation of staff misconduct and refer the allegation to the Centralized Screening Team who shall determine if the claim should be elevated for a routine review or for an investigation because one of the factors described in subsection (B) applies.

      2. (B) If a supervisor assigned to conduct a routine review of a disability-related complaint or any other claim discovers information suggesting that the claim meets one of the following criteria, then the supervisor shall immediately suspend the review and refer the matter to the Centralized Screening Team who shall determine if the claim should be elevated for an investigation.

         1. 1. The claim involves complex issues requiring specialized investigative skills or resources.
         2. 2. The claim, if proven true, is likely to result in adverse action, including instances when the accused staff member engaged in similar misconduct within the past three years of the alleged misconduct which was granted by a Reviewing Authority or sustained by a Hiring Authority.
         3. 3. The claim accuses a Warden or Chief Deputy Warden, a Regional Parole Administrator or Chief Deputy Parole Administrator, a Chief Executive Officer or Chief Support Executive, or any other departmental staff with a rank higher than those described in this section. of staff misconduct resulting from personal interaction.
      3. (C) If a supervisor assigned to a reasonable accommodation review, or routine review discovers information indicating potential staff misconduct unrelated to the original claim, then the supervisor shall submit that information to the Centralized Screening Team.
   5. (5) Upon completion of the review, the supervisor shall document their fact gathering, preserve all supporting documents and recordings in the department's information technology system, and draft a recommended decision letter for consideration by the Reviewing Authority.

6. (f) Any individual whose personal interaction with a claimant forms part of the claim shall be excluded by the Reviewing Authority from participating in the grievance under review, including any interviews conducted as part of that process, unless one of the following exceptions apply:

   1. (1) The individual participated in a committee meeting that concerns a claimant;
   2. (2) The individual reviewed a disciplinary action pursuant to subsection 3312(c);
   3. (3) The individual signed a letter or memorandum that applies to a group of individuals; or
   4. (4) The individual signed one or more prior decision letters pursuant to subsection (g).

7. (g) The Grievance Coordinator shall ensure that a written decision letter is issued no later than 60 calendar days after receipt of the grievance, unless other statutory, judicial, or regulatory authority requires a response in less than 60 calendar days, and contains one of the following decisions as to each claim in the grievance:

   1. (1) “Denied,” meaning that the Reviewing Authority found by a preponderance of the evidence available that:

      1. (A) in the case of a reasonable accommodation review and following consideration by the Reasonable Accommodation Panel, an accommodation was not reasonable under the totality of the circumstances pursuant to the Americans with Disabilities Act and the California Disabled Persons Act; or
      2. (B) in the case of a routine review, the departmental staff were found not to be in violation of applicable rules;

   2. (2) “Granted,” meaning that the Reviewing Authority found by a preponderance of the evidence available that:

      1. (A) in the case of a reasonable accommodation review, an accommodation was reasonable under the totality of the circumstances pursuant to the Americans with Disabilities Act or the California Disabled Persons Act, in which case the Reviewing Authority shall order an appropriate remedy; or
      2. (B) in the case of a routine reviews, the departmental staff were found to be in violation of applicable rules, in which case the Reviewing Authority shall order an appropriate remedy,
   3. (3) “No Jurisdiction,” meaning that the claim concerns a policy, decision, action, condition, or omission by an independent entity or official which requires that the claimant file a complaint with that entity or official, as described in subsection 3481(e);

   4. (4) “Redirected,” meaning that the claim was forwarded to the appropriate authority described below because it fits one of the following circumstances:

      1. (A) An issue concerning medical, dental, or mental health services provided by the Division of Health Care Services or a dispute concerning a policy, decision, action, condition, or omission by the Division of Health Care Services or its staff, which shall be redirected to that Division after consulting with the coordinator in the Health Care Grievance Office;
      2. (B) A request to repair or replace a disability-related item or device that was not referred to the Reasonable Accommodation Panel pursuant to subsection 3483(a)(3), which shall be redirected to the ADA Reviewing Authority;
      3. (C) A request for implementation of an overdue remedy, which shall be redirected to the Remedies Compliance Coordinator as described in subsection (j)(2);
      4. (D) A request for records pursuant to the Public Records Act, which shall be redirected to a Public Records Act coordinator;
      5. (E) A request to inspect a record or file containing personal information or to amend a record or file containing personal information pursuant to the Information Practices Act and section 3450 of Subchapter 5 of Article 6, which shall be redirected to a Public Records Act coordinator;
      6. (F) All other requests for assistance, which shall be redirected to departmental staff designated by the Hiring Authority for a response;
      7. (G) A complaint regarding a decision issued by the Office of Grievances, which shall be redirected to the Office of Appeals;
      8. (H) A complaint against an incarcerated or supervised person, which shall be redirected to departmental staff designated by the Hiring Authority for a response; or
      9. (I) An allegation of staff misconduct between staff members or between a staff member and a person not under the custody or supervision of the department, which shall be redirected to the Hiring Authority responsible for the accused staff member.
   5. (5) “Reassigned,” meaning that the claim was assigned to a different Office of Grievances than the one which originally received it because the majority of evidence (documents, recordings, or witnesses) is located at the other Office of Grievances, however, regardless of the number of reassignments, the claim shall be treated as if it was received on the date the original Office of Grievances received it.

   6. (6) “Rejected,” meaning that the claim was rejected because it fits one or more of the following circumstances:

      1. (A) The claimant did not submit the claim within the time constraints required by subsection 3482(b), unless the claim concerns a reasonable accommodation request;
      2. (B) The claim concerns an anticipated policy, decision, action, condition, or omission by the department or departmental staff;
      3. (C) The claim is substantially duplicative of a prior claim by the same claimant, unless the prior claim was rejected as anticipatory pursuant to subsection (B) or the prior claim concerns a reasonable accommodation request and there has been a change in circumstance;
      4. (D) The claim concerns harm to a person other than the person who signed the grievance, unless the claim concerns an allegation of staff misconduct that was referred for an investigation; or

      5. (E) The claim challenges one of the following:

         1. 1. a decision issued by the Office of Appeals;
         2. 2. the fact gathering process during a routine review;
         3. 3. the fact gathering process during an investigation;
         4. 4. the findings made by a Hiring Authority at the conclusion of an investigation; or
         5. 5. the verbal or written statements submitted by departmental staff under penalty of perjury to a court of law or administrative tribunal.
   7. (7) “Disallowed,” meaning the submission from the claimant was discarded because it was contaminated with organic, toxic, or hazardous materials that may threaten staff safety or institutional security, in which case the claimant may re-submit the grievance so long as it is submitted within the time constraints set forth in subsection 3482(b);
   8. (8) “Identified as Staff Misconduct and Referred for Investigation,” meaning that the claim involved an allegation of staff misconduct which the Centralized Screening Team referred for an investigation;
   9. (9) “Pending Legal Matter,” meaning that the substance of the claim falls within the scope of pending litigation (excluding class action litigation), pending legislation, or pending regulatory action;
   10. (10) “Time Expired,” meaning that the Reviewing Authority was not able to respond to the claim within 60 calendar days.
8. (h) If a claim is rejected as untimely pursuant to subsection (g)(6)(A), then the decision letter shall also include the following dates as determined by the Office of Grievances: the date the claim was discovered, the date the claim was submitted, the date the claim was received, and the time constraint for submission of the claim pursuant to subsection 3482(b).
9. (i) If the claimant is an incarcerated person, the written decision letter shall be delivered to the claimant no later than 10 business days after its issuance. If the claimant is a supervised person, the written decision letter shall be postmarked no later than five business days after its issuance, unless a reasonable accommodation or effective communication is required pursuant to subsection 3481(h), in which case it shall be delivered during the claimant's next regular home visit. The Office of Grievances shall attach a CDCR Form 602-2, (Rev. 01/25), Appeal, hereby incorporated by reference, to all written decision letters and a CDCR Form 602-3, (Rev. 01/25), Request to Implement Overdue Remedy, hereby incorporated by reference if the decision letter contains one or more granted claims.

10. (j) Implementation of Remedy

    1. (1) If the Reviewing Authority grants a claim, then the corresponding remedy shall be implemented no later than 30 calendar days after the date at the top of the decision letter issued by the Office of Grievances, unless:

       1. (A) the remedy requires the disbursement of funds, in which case the remedy shall be implemented no later than 90 calendar days after the date at the top of the decision letter; or
       2. (B) the remedy requires budget authorization outside the department's existing authority, in which case the remedy shall be implemented no later than one year after the date at the top of the decision letter.
    2. (2) If the remedy has not been implemented within the time period described in the above subsection, then a claimant may submit a CDCR Form 602-3. (Rev. 01/25), Request to Implement Overdue Remedy, hereby incorporated by reference, directly to the Remedies Compliance Coordinator by regular mail sent to the address indicated on the form. Correspondence directed to this address shall not be opened by any departmental staff other than those in the Office of Appeals.
    3. (3) In order to be considered, the CDCR Form 602-3, (Rev. 01/25), Request to Implement Overdue Remedy, hereby incorporated by reference, must be submitted by the claimant no later than one calendar year after the decision letter was issued.
    4. (4) Upon receipt of a CDCR Form 602-3, (Rev. 01/25), Request to Implement Overdue Remedy, hereby incorporated by reference, the Remedies Compliance Coordinator shall contact the relevant Office of Grievances to confirm the remedy was implemented. If the remedy was already implemented, the Office of Grievances shall provide the Remedies Compliance Coordinator with documentation confirming the remedy was implemented, including the date it was implemented and the full name and title of the official responsible for implementing it. If the remedy has not been implemented, the Grievance Coordinator and Remedies Compliance Coordinator shall regularly consult until the remedy is implemented.
11. (k) Pursuant to subdivision (c)(1) of section 5058 of the Penal Code, additional local processes and procedures may be promulgated by the Division of Adult Institutions and the Division of Adult Parole Operations so long as they are consistent with this Article.

12. (l) Exhaustion.

    1. (1) Under the following circumstances a claimant may appeal the decision issued by the Office of Grievances, therefore, the administrative remedies process is not yet exhausted:

       1. (A) “denied” and the claimant is dissatisfied with the answer;
       2. (B) “granted” but the claimant is dissatisfied with the answer or the remedy;
       3. (C) “no jurisdiction;”
       4. (D) “redirected;”
       5. (E) “reassigned;”
       6. (F) “rejected;”
       7. (G) “disallowed;” or
       8. (H) “pending legal matter.”

    2. (2) Pursuant to section 1798.36 of the Civil Code, if a final determination is provided to the claimant as described in subsection (a)(5), then the administrative remedies process is exhausted. Nevertheless, the claimant may choose to:

       1. (A) waive exhaustion by submitting an appeal pursuant to section 3484; or
       2. (B) file a statement of reasonable length setting forth the reasons for their disagreement which shall be made available to any person or agency as required by section 1798.37 of the Civil Code.

    3. (3) Under the following circumstances a claimant may not appeal the decision issued by the Office of Grievances, therefore, the administrative remedies process is exhausted:

       1. (A) “identified as staff misconduct and referred for investigation;” or
       2. (B) “time expired.”

Note: Authority cited: Section 5058, Penal Code. Reference: Sections 832.5 and 5054, Penal Code; and Section 35.107, Title 28, Code of Federal Regulations.

History

1. New section filed 12-3-90 as an emergency; operative 12-3-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 4-2-91 or emergency language will be repealed by operation of law on the following day.

2. Editorial correction of printing error inadvertently omitting text (Register 91, No. 11).

3. Certificate of Compliance as to 11-28-90 order transmitted to OAL 3-21-91 and filed 4-22-91 (Register 91, No. 20).

4. Renumbering of former section 3483 to new section 3485 and new section 3483 filed 9-13-2005; operative 9-13-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 37).

5. Renumbering of section 3483 to new section 3474 and new section 3483 filed 3-25-2020 as an emergency; operative 6-1-2020 (Register 2020, No. 13). Pursuant to Penal Code section 5058.3, a Certificate of Compliance must be transmitted to OAL by 11-9-2020 or emergency language will be repealed by operation of law on the following day.

6. Emergency filed 3-25-2020 and operative 6-1-2020 extended 60 days pursuant to Executive Order N-40-20 and an additional 60 days pursuant to Executive Order N-66-20 (Register 2020, No. 42). A Certificate of Compliance must be transmitted to OAL by 3-9-2021 or emergency language will be repealed by operation of law on the following day.

7. Renumbering of section 3483 to new section 3474 and new section 3483 refiled 2-25-2021 as an emergency, with amendments to subsection (k)(2); operative 3-10-2021 (Register 2021, No. 9). Emergency expiration extended 60 days (Executive Order N-40-20) plus an additional 60 days (Executive Order N-71-20). A Certificate of Compliance must be transmitted to OAL by 10-8-2021 or emergency language will be repealed by operation of law on the following day.

8. Renumbering of section 3483 to new section 3474 and new section 3483 refiled 10-4-2021 as an emergency, with amendments to subsection (k)(2); operative 10-8-2021 pursuant to Government Code section 11346.1(d) (Register 2021, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-6-2022 pursuant to Government Code section 11346.1(h) or emergency language will be repealed by operation of law on the following day.

9. Certificate of Compliance as to 10-4-2021 order, including repealer and new section, transmitted to OAL 12-7-2021 and filed 1-5-2022; amendments operative 1-5-2022 pursuant to Government Code section 11343.4(b)(3) (Register 2022, No. 1).

10. Change without regulatory effect amending subsections (g)(4)(G) and (g)(6)(E) filed 7-1-2024 pursuant to section 100, title 1, California Code of Regulations (Register 2024, No. 27).

11. Repealer and new section filed 12-26-2024 as an emergency; operative 1-1-2025 (Register 2024, No. 52). Pursuant to Penal Code section 5058.3, a Certificate of Compliance must be transmitted to OAL by 6-10-2025 or emergency language will be repealed by operation of law on the following day.

12. Repealer and new section refiled 6-10-2025 as an emergency; operative 6-11-2025 (Register 2025, No. 24). Pursuant to Penal Code section 5058.3, a Certificate of Compliance must be transmitted to OAL by 9-9-2025 or emergency language will be repealed by operation of law on the following day.

13. Repealer and new section refiled 9-2-2025 as an emergency; operative 9-10-2025 (Register 2025, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-9-2025 or emergency language will be repealed by operation of law on the following day.

14. Certificate of Compliance as to 9-2-2025 order, including amendment of section, transmitted to OAL 12-8-2025 and filed 1-22-2026; amendments operative 1-22-2026 pursuant to Government Code section 11343.4(b)(3) (Register 2026, No. 4).