A CALIFORNIA LEGAL GUIDE

©2015 ROOT & REBOUND

ROADMAP
TO REENTRY:
A California Legal Guide

Copyright © 2015 by Root & Rebound
Published by Root & Rebound
ABOUT ROOT & REBOUND
Root & Rebound is a nonprofit reentry legal advocacy organization based in
Oakland, California. Our mission is to increase access to justice
and create pathways to success for people in reentry from prison and jail,
helping them fulfill their greatest potential as engaged members of families and
communities. Root & Rebound works to accomplish its mission through three
key programs: direct legal services with social services support, legal and
community education & high-impact policy advocacy.

DISCLAIMER
YOUR RESPONSIBILITY WHEN USING THIS GUIDE:
When putting together the Roadmap to Reentry: A California Legal Guide, we
did our best to give you useful and accurate information because we know that
people who are currently or formerly incarcerated often have difficulty getting
legal information, and we cannot provide specific advice to every person who
requests it.
The laws change frequently and are subject to differing interpretations. We do
not always have the resources to make changes to this informational material
every time the law changes. If you use information from the Roadmap to Reentry
legal guide, it is your responsibility to make sure that the law has not changed
and applies to your particular situation. If you are incarcerated, most of the
materials you need should be available in your institution’s law library.
The Roadmap to Reentry guide is not intending to give legal advice, but rather
legal information. No attorney-client relationship is created by using any
information in this guide. You should always consult your own attorney if you
need legal advice specific to your situation. If you would like to contact an
attorney, see the “NEED HELP” question below.

COPYRIGHT ©
Roadmap to Reentry: A California Legal Guide (First Edition) is copyrighted © in
2015 by Root & Rebound. We encourage your use of the information and
material in this guide, but ask that you credit Root & Rebound in doing so. You
can print this guide for free from our website www.rootandbound.org or order a
free hard-copy guide through our website or by writing us at Root & Rebound,
1730 Franklin Street, Suite 300, Oakland, CA 94612. If you would like to create a
guide like this one in your own state, please email Root & Rebound at
roadmap@rootandrebound.org. Thank you!

SEND US FEEDBACK!
At the beginning and the end of this guide, on PG. 8 and PG. 1206, there is a
survey that we ask you to send back to provide feedback to Root & Rebound
about this legal guide. This will help us improve future versions of the guide as
well as legal trainings that we provide on this material in the community.

ACKNOWLEDGEMENTS
There are many people whose work was instrumental in making this guide
come to life.
First, we want to thank Root & Rebound’s team, who over the past year, have
made the dream of a producing the first-ever legal guide for reentering
Californians a reality through dedication and compassion:
We would like to thank Root & Rebound’s dedicated and incredible staff:
Carmen Garcia, Rachel Hoerger, Buffy Hutchison, Katherine Katcher,
Aiasha Khalid, Elie Miller, and Sonja Tonnesen.
We would like to thank Root & Rebound’s team of brilliant Contract
Attorneys & Legal Fellows: Amanda Austin, Pedro Hernandez, Kony Kim,
Dominik Taylor, and Mila Veber.
We would like to thank Root & Rebound’s outstanding Law Clerks &
Interns: Olivia Cahue-Diaz, Rashida Harmon, Emily MacLeod, Chandra
Peterson, and Vanessa Lim.
We would like to thank Root & Rebound’s incredible team of dedicated
Volunteers: Missy Austin, Madeline Bailey, James Carlin, Jessica Dexter,
Sophie Hart, Elizabeth Hecht, Annemarie Heineman, Sophia Hill, Kalina
Kwong, Midori Li, Rebecca Maxwell, Mathilde Semmes, Melinda Valerio,
Troy Williams, Amanda Woog.
We would like to give a special thank you to our amazing team of expert
readers and content contributors, who lent their years of experience, expertise,
and resources to improve the content of this guide:
We would like to thank expert readers: Maria “Alex” Alexander, Jessica
Bartholow, Michael Bays, Jason Bell, Devin Bissman, Katherine Brady, Rose
Cahn, Maurice Emsellem, Dorian Esters, Sr., Liz Gomez, Eliza Hersh, Deep
Jodhka, Kathy Kahn, Hannah Labaree, Andrew Lah, Samuel Lewis, Tom
Hoffman, Ernest Melendrez, Airto Morales, Olinda Moyd, Stephanie Nishio,
Adam Poe, Kellen Russoniello, Brittany Stringfellow-Otey, Deborah Thrope,
David Wasserman, Mary Weaver, and Steve Weiss.
We would also like to thank those who helped us connect with experts
in their respective fields: Sarah Palmer, Shirley Sanematsu.

Further thanks to the organizations whose resources we built upon and
adapted to develop this content: ACLU of Northern California, Berkeley Initiative
for Mindfulness in Law Center for Community Alternatives, Center for Young
Women’s Development, East Bay Children’s Law Offices, East Bay Community Law
Center, Judicial Council of California, Lawyers’ Committee for Civil Rights of the San
Francisco Bay Area, Legal Aid Society - Employment Law Center, Legal Services for
Prisoners with Children, Legal Services of Northern California, National Housing
Law Project, National Employment Law Center, Prison Law Office, The Public
Defender Service for the District of Columbia, Rubicon Programs, and Uncommon
Law.
Cover Art & Design by Anuradha Murthy; Layout Design by Mila Veber

!
!

NEED HELP?
Coming home from prison and jail, you will face many confusing and
complicated issues, both legal and non-legal. Throughout the guide, we have
tried to make it clear when and for what issues you should consult with a lawyer.
See PG. 1190 at the back of this guide for a list of legal aid organizations across
California that may be able to assist you directly. You can also contact a local
bar association or legal aid organization that provides free services for help with
your issue.
Root & Rebound is available for follow-up support and technical assistance with
the guide. Our online hub (www.rootandrebound.org/roadmap) has a list of
Frequently Asked Questions, a place for you to download the entire guide and
chapters, and a place for you to write into our legal team. You can also request
to set up a training, so we can walk you through the information in the guide.
If you have a legal question, we will do our best to help you with a referral,
provide you with additional information, or take on your case ourselves, where
we have the resources and ability to assist you.
In addition to visiting the online hub (www.rootandrebound.org/roadmap), you
can call us at 510-279-4662, or also write to us at:
Root & Rebound
1730 Franklin Street, Suite 300
Oakland, CA 94612

MASTER TABLE OF CONTENTS
FOREWORD BY CARMEN GARCIA | Resiliency Message – PG. 6
MINDFULNESS IN DAILY LIFE | 5 Practices to Develop Calm & Clarity – PG. 7
ROOT & REBOUND SURVEY – PG. 8 and PG. 1206
CHAPTER 1 | THE BUILDING BLOCKS OF REENTRY: Getting ID & Other
Key Documents, Voting & Civic Participation – PG. 13

CHAPTER 2 | PAROLE & PROBATION – PG. 130

CHAPTER 3 | HOUSING – PG. 369

CHAPTER 4 | PUBLIC BENEFITS – PG. 504

CHAPTER 5 | EMPLOYMENT – PG. 625

CHAPTER 6 | COURT-ORDERED DEBT – PG. 755

CHAPTER 7 | FAMILY & CHILDREN – PG. 823

CHAPTER 8 | EDUCATION – PG. 906

CHAPTER 9 | UNDERSTANDING & CLEANING UP YOUR CRIMINAL
RECORD – PG. 1020
LIST OF LEGAL AID PROVIDERS IN CALIFORNIA (By Chapter) – PG. 1190
COMMUNITY RESOURCE GUIDES IN CALIFORNIA (By Region) | GUIDES TO
FOOD, HOUSING, HEALTH, FAMILY SUPPORT & SOCIAL SERVICES – PG.!1201

PLEASE NOTE: The symbols shown here will appear in the upper right-hand corner of the page for
each chapter to show you which chapter you are reading.

Foreword by Carmen Garcia

RESILIENCY
MESSAGE
Someone once said that how you climb a mountain is more important than
reaching the top. I was in the San Mateo County Jail waiting to be sentenced to
Federal Prison, when I first heard this quote. I remember saying time and time
again how I was going to be different the next time. So many promises were
made during those lonely moments that I never thought of how I was going to
keep those promises if I wasn’t doing anything different. Life, I thought, doesn’t
have to be the same for me. Blind faith, they told me, is what you need in order
to trust those who are trying to teach you a different way to live.
Unfortunately, in jails and in prisons, if you want rehabilitation, you have to seek
it out. The same is true when you get out. The difference when you are out is
that you have the power to choose when, how, and where, and although at
times you might get discouraged because it seems overwhelming, don't give
up. Remember, nobody said the climb was going to be easy.
Now that we are free to choose, let's take advantage of the opportunities that
are in front of us. Today, we no longer have to abide by any prison codes or
rules, and if you keep doing the right thing, then the climb won't seem so lonely
and treacherous, and the rewards will be enormous, as they have been for me.
Keep in mind that the climb to anything, whether it's a mountain, a hill or a
ladder, has to be taken carefully, cautiously and with an open mind. Each step
we take has to be carefully guided and directed towards the direction that will
cost us the least pain and regret. Even our old friends or acquaintances,
although well intended, can bring us more harm than good, so carefully choose
who you include in your circle. Cautiously approach any given situation, and
when in doubt... don't. Luckily, we don't exist alone in the world, and regardless
of who you are, you need someone. Collectively, rather than individually, we can
accomplish more. So, have an open mind and pay attention to the message
more than the messenger.
Jails and Prisons don't have to be what defines us, or what breaks us; we choose
who, what and where. Somehow, reaching the top is no longer that important,
because the journey getting there is what will be embraced.
Peace,
Carmen

MINDFULNESS IN DAILY LIFE
5 PRACTICES TO DEVELOP CALM & CLARITY
As we all know, the process of reentry is incredibly stressful. Taking time to
breathe deeply, to be aware of and to care for your body and your emotions, can
be a big help. Mindfulness can help you to stay focused, calm, and balanced.
‘Mindfulness’ is just a fancy work for being aware of our thoughts, feelings, and
physical sensations. Studies have shown that mindfulness can help reduce
stress and improve our health. The practices and resources below may help you
stay balanced and optimistic during what can be a challenging process of
reentry. We hope these tools are helpful to you on your journey through reentry
1
and throughout your life.
1.

MINDFUL WALKING
As you walk from your car or train to an office, on your way to a meeting
or job interview, try to be aware of your breath and body. Notice the rise
and fall of your chest with your inhale and exhale, the feeling of your
feet touching the ground, the sensation of the sun or air on your skin.
Try to leave early enough for your appointments so that your walk can
be slow and unhurried. This simple practice can introduce greater calm
into your day, and provide a few moments of relaxation before a
potentially stressful situation.

2.

SITTING MEDITATION
Simply sitting quietly, with eyes open or closed, following one’s breath,
can be a powerful way to calm the mind and relax the body. Many
people find this practice challenging at first, but that it becomes easier
over time and provides tremendous benefits for body and mind. Start
with just 5 minutes per day using one of the guided recordings listed
below, or visit an introductory class at a local meditation center.

3.

YOGA
Yoga is another powerful mindfulness practice that can help with
reducing stress and improving physical and mental health. Local yoga
studios often offer donation-based or community classes.

4.

MINDFUL EATING
Mindful eating invites us to fully experience and enjoy our food. Whether
eating alone or with others, taking time to see, smell, taste, and
appreciate our food, and taking a break from TV, phones and work—can
make meals a peaceful time to refocus and enjoy life.

5.

4-7-8 BREATHING
Dr. Andrew Weil’s technique of deep breathing is a great way to calm
the nervous system throughout the day. See www.drweil.com for details.
The basic instruction is to inhale for four counts (“1, 2, 3, 4…”), hold for
seven counts, and then slowly exhale for eight counts. Try doing five
rounds of this breathing before bed and see how you feel.

ADDITIONAL MEDITATION RESOURCES:
•
•
•
•

Guided meditation recordings at UCLA’s Mindful Awareness Research
Center: http://marc.ucla.edu/body.cfm?id=22
East Bay Meditation Center: a meditation center in Oakland provides
numerous free and low-cost mindfulness
programs. www.eastbaymeditation.org
Yoga to the People: athletic, donation-based yoga with locations in Berkeley
and San Francisco. www.yogatothepeople.com
International Vipassana Society: Donation-based meditation retreats offered
at centers in Northern and Southern California. http://www.dhamma.org

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Thank you to Charles Halpern and Dan Carlin of the University of California’s Berkeley Initiative for Mindfulness in
the Law (BMIL) for providing these mindfulness techniques.
1

!

ROOT & REBOUND SURVEY
Root & Rebound is a reentry advocacy center in Oakland, CA. We produce statewide reentry legal information to
educate, empower, and support people who are in reentry or preparing for release, and those who support them in
the community. By filling out this survey and providing us with feedback, you are helping us to improve this resource.
Thank you for your time!
PRIVACY OF INFORMATION: This is a voluntary and anonymous survey. Your feedback is very important to us, as
is confidentiality and privacy. Your information will be anonymously used to help us improve the manual and raise
awareness of needs of people in reentry.
INSTRUCTIONS: Please answer the following questions on the next page:

!
1.

QUESTIONS ABOUT YOU:
Which of the best describes your level of education? Please circle the ONE answer that best describes you.

Elementary School

Middle School

High School / GED

Some College

Completed College

Graduate Degree

Vocational / Certificate Program

2. Is English your first language? Please circle the answer that best describes you
YES

NO

If not, what is your first or preferred language? ____________________________

3. Which of these best describes you? Please circle more than one answer that best describes you. Be as specific
as you can.
Currently Incarcerated Person, Preparing for Release
!

How long is your sentence? ___________________________________

!

When is your expected release date? ____________________________

Formerly Incarcerated Person
!

!

If formerly incarcerated, please specify:
o

On Probation/PRCS/Mandatory Supervision

o

On State Parole

o

On Federal Probation/Supervised Release

o

On Federal Parole

o

Off Supervision

o

Other: ______________________________________________

How long were you incarcerated for? _____________________________

Service Provider for Formerly Incarcerated Person
!

If service provider, please specify:
o

Attorney

o

Social Worker

o

Case Manager

o

Educator

o

Other: ______________________________________________

Family Member or Friend of Person in Reentry
!

If so, what is your relationship to the person in reentry? _______________

Supervising Officer (i.e., parole agent or probation officer)
Other (please explain) _______________________________

!
4. What is your racial/ethnic background? Please fill in the blank with how you identify.
___________________________________

5. What is your sex/ gender identity? Please fill in the blank with how you identify.
___________________________________

6. How old are you? Please fill in your age
___________________________________

QUESTIONS ABOUT THE GUIDE:
7. Which Section(s) of the “Roadmap to Reentry” DID YOU READ? Please circle ALL that apply.
ID & VOTING

PAROLE & PROBATION

CLEANING UP YOUR RECORD

HOUSING

PUBLIC BENEFITS

EMPLOYMENT

COURT-ORDERED DEBT

FAMILY & CHILDREN

EDUCATION

8. Which Section(s) in the “Roadmap to Reentry” Guide WERE MOST HELPFUL TO YOU? Please circle
ALL that apply.
ID & VOTING

PAROLE & PROBATION

CLEANING UP YOUR RECORD

HOUSING

PUBLIC BENEFITS

EMPLOYMENT

COURT-ORDERED DEBT

FAMILY & CHILDREN

EDUCATION

Please Explain—Why did you find this/these section(s) the most helpful?
_____________________________________________________________________________
_____________________________________________________________________________

9. How easy was it FOR YOU to understand the material in the “Roadmap to Reentry” Guide? Please
circle the ONE answer that best describes your experience.
VERY DIFFICULT (I did not understand almost anything)
DIFFICULT (I only understood a few things)
OK (I understood half)
EASY (I understood almost everything)
VERY EASY (I understood everything)
Please Explain: _______________________________________________________________
____________________________________________________________________________

!

!
10. BEFORE reading the “Roadmap to Reentry” Guide, which of these statements best describes your
KNOWLEDGE about and CONFIDENCE in overcoming barriers in reentry*? Please circle the ONE
answer that best describes your experience BEFORE reading.
NONE

I did not know about any barriers in reentry, and I did not feel at all confident in overcoming them.

SOME

I knew about some of the barriers in reentry, and I felt a little bit confident in overcoming them.

MODERATE

I knew about half of the barriers in reentry, and felt somewhat confident in overcoming them.

HIGH

I knew about most of the barriers in reentry, and I felt quite confident in navigating them.

VERY HIGH

I knew a lot about the barriers in reentry, and I felt very confident in navigating them.

11. AFTER reading the “Roadmap to Reentry,” what answer best describes your KNOWLEDGE about
and CONFIDENCE in overcoming barriers in reentry*? Please circle the ONE answer that best
describes you NOW.
NONE

I still do not know about any barriers in reentry, and I do not feel at all confident in overcoming them.

SOME

I know about some of the barriers in reentry, and I feel a little bit confident in overcoming them.

MODERATE

I know about half of the barriers in reentry, and I feel somewhat confident in overcoming them.

HIGH

I know about most of the barriers in reentry, and I feel quite confident in overcoming them.

VERY HIGH

I know a lot about the barriers in reentry, and I feel very confident in overcoming them.

12. AFTER reading any part of the “Roadmap to Reentry” Guide, which of the following statements are
true? Please circle any and all that apply to you.
I better understand what a person’s rights are in reentry.
I have more information about what is true and what are myths about challenges in reentry.
I feel more confident about my ability to overcome (or help someone else overcome) challenges in reentry.
Because of the Legal Guide, I have access to information I never otherwise would have had in reentry.
This Legal Guide will make the process of reentry easier for me.
This Legal Guide will make it easier for me to help a person through reentry.
I better understand WHEN I need to get legal advice (or tell someone to get legal advice) to help with challenges
in reentry.
I better understand WHERE I can go (or the person I am supporting can go) for legal advice to help with
challenges in reentry.
I have issues right now that this Legal Guide has helped me to resolve. Please explain, if comfortable:
I feel comfortable contacting Root & Rebound for follow up support.
This Legal Guide is a resource I will turn to time and again in times of challenge or crisis.
I feel more hopeful about my future.
I feel more hopeful about my ability to support a person through reentry.

!
13. Would you recommend the “Roadmap to Reentry” Guide to others? Please circle the answer that
best describes you.
YES

NO

MAYBE

Please Explain Why or Why Not: _______________________________

14. Root & Rebound offers follow-up support through a phone hotline one day every week, an online
portal on its website, and through e-mail.
Are you likely to use this service for follow-up support? Please circle the answer that best describes you.
YES

NO

MAYBE

Please Explain Why or Why Not: _______________________________

15. Which of the services would be easiest for you to access? Please circle ALL that apply.
PHONE ONLINE/WEBSITE PORTAL

E-MAIL

16. Would an in-person training on the material be helpful to you? Please circle the ONE answer that
best describes you.
YES

NO

MAYBE

Please Explain Why or Why Not: ________________________________

17. What material or information would you like to better understand through an in–person training?
__________________________________________________________

ANY OTHER COMMENTS/FEEDBACK:
18. Please tell us about things you liked, did not like, and how we can make the “Roadmap to Reentry:
A California Legal Guide” better!
_________________________________________________________________________________________
_________________________________________________________________________________________
_________________________________________________________________________________________

!

ROADMAP TO REENTRY
!

THE
BUILDING
BLOCKS OF
REENTRY:

“When I got my
Driver’s License
after getting out of
prison, I cried. I felt
like a person again,
with my own
identity—not just a
number being
yelled out in prison.
It was one of the
best moments of
my reentry.”
– Formerly
Incarcerated
Woman, After
Spending 2 Years in
Federal Prison

Getting ID & Other
Key Documents,
Voting & Civic Participation

The BUILDING BLOCKS OF REENTRY: ID & VOTING CHAPTER explains
how to access the building blocks of reentry including: how to get
identification (ID) & other key documents, voting rights, and Selective
Service registration. ID is proof of who you are—your identity.
Government agencies, workplaces, service providers, schools, and other
institutions issue ID cards for people who are members. You will want ID
and other key documents so that you can participate in all the services
that your community has to offer, so you can legally drive, and to prove
who you are. Voting is another building block of reentry—learn about
your voting rights in this Chapter. Finally, Selective Service registration
for the military is required of most men in the U.S.—learn why Selective
Service registration is important to reentry in this Chapter.

DISCLAIMER – YOUR RESPONSIBILITY WHEN USING THIS GUIDE: When putting together the
Roadmap to Reentry: A California Legal Guide, we did our best to give you useful and accurate
information because we know that people who are currently or formerly incarcerated often have
difficulty getting legal information, and we cannot provide specific advice to every person who
requests it. The laws change frequently and are subject to differing interpretations. We do not
always have the resources to make changes to this informational material every time the law
changes. If you use information from the Roadmap to Reentry legal guide, it is your responsibility to
make sure that the law has not changed and applies to your particular situation. If you are
incarcerated, most of the materials you need should be available in your institution’s law library. The
Roadmap to Reentry guide is not intending to give legal advice, but rather legal information. No
attorney-client relationship is created by using any information in this guide. You should always
consult your own attorney if you need legal advice specific to your situation.

PAGE 13 OF 1210

ROADMAP TO REENTRY
!

TABLE OF CONTENTS
I.! INTRODUCTION ................................................................................................... 18!
What is identification (ID) and why is it important? .............................. 18!
Why do I need identification (ID)? ............................................................ 18!
I have a prison or jail ID. Isn’t that enough to identify myself? ......... 18!
What are the most important forms of ID for me to have? ................ 18!
I don’t have any ID right now. Where would be the best place to
start & when is the best time? ................................................................... 18!
I have used different names (“aliases”). What name is best to use
on my ID documents? ................................................................................. 19!
I am an undocumented person. Can I get an official form of ID if I
am undocumented? ..................................................................................... 19!
II.! BIRTH CERTIFICATE ........................................................................................... 22!
Why would I need my birth certificate? ................................................. 22!
What is the general process for getting a copy of my birth
certificate? ..................................................................................................... 22!
What is a “certified” copy of my birth certificate? What is an
“authorized” copy? What is an “informational” copy? Which would
be best to get? ............................................................................................. 24!
Why do I need an “authorized certified copy” instead of just an
“informational certified copy”? ................................................................. 24!
If You Were Born in the U.S.—Different Situations: ...................................... 24!
(1) If you were born in California: ............................................................. 24!
I was born in California. How do I get an authorized copy of my
birth certificate? ........................................................................................... 24!
I want to get my birth certificate from the California Department of
Public Health (CDPH). What is the process? ........................................ 25!
I was born in California and know my county of birth. How do I get
my birth certificate directly from the county I was born in? ............. 26!
How do I locate the county recorder’s office? ..................................... 26!
If I use the county recorder’s office, is it best to request my birth
certificate by mail or in person? .............................................................. 27!
(2) If you were born in the U.S. outside of California:........................... 28!
I was born in a state other than California. How do I get an
authorized copy of my birth certificate? ................................................ 28!
(3) If you were born in the U.S., but no record of your birth was found: . 29!
What if I was born in the U.S., but there is no record of my birth? . 29!
If You Were Adopted/ Don’t Know Where Born: ........................................... 29!
I am adopted and I don’t know where I was born. What can I do? 29!
If You Were Born Outside of the U.S.—Different Situations: ....................... 30!
(1) If you are a U.S. Citizen born to U.S. Citizen parent(s) in another
country: ....................................................................................................... 30!
I was born outside of the U.S., but I am a U.S. Citizen because one
or both of my parents was a U.S. Citizen. How do I get certification
of my birth and citizenship? ...................................................................... 30!

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ROADMAP TO REENTRY

(2) If you were born in another country and you are not a U.S. Citizen ...31!
I am not a U.S. Citizen. How do I get my birth certificate from a
foreign country? ............................................................................................ 31!
(3) If you are a “Naturalized Citizen” .......................................................31!
I am a naturalized citizen. Do I need my birth certificate? ................. 31!
III.! SOCIAL SECURITY NUMBER & CARD .............................................................. 32!
What is a social security number (SSN) and what is a social security
card? What is the difference and do I need both? .............................. 32!
Why do I need to know my SSN? ............................................................ 32!
I have a SSN, but I forgot it/never knew it. How do I find out what it
is? ..................................................................................................................... 33!
I don't think I ever got a SSN. Can I get one now? ............................. 33!
Pre-release Planning—Getting a Social Security Card While Incarcerated: ... 33!
Can I get a social security card while I am still incarcerated? .......... 33!
How do I get a replacement card while I am incarcerated? ............. 33!
How do I find out if my correctional facility has a Memorandum of
Understanding (MOU) agreement with the Social Security
Administration (ssa)? ................................................................................... 34!
How do I apply for my replacement card from inside? ...................... 34!
Post-release—Getting a Social Security Card After You’re Out: ................. 35!
I am formerly incarcerated, and I used to have a SSN. How do I get
a replacement social security card? ....................................................... 35!
Getting Social Security Card in person ................................................... 36!
I want to get a replacement Social Security card in person (which is
recommended). How do I do that?.......................................................... 36!
Getting Social Security Card by mail ...................................................... 37!
I want to get a replacement Social Security card by mail. How do i
do that?........................................................................................................... 37!
I am formerly incarcerated, and I’ve never had a SSN. How do I get
an original Social Security number & card? .......................................... 38!
IV.! CALIFORNIA’S FORMS OF IDENTIFICATION: STATE ID CARD, DRIVER
LICENSE & MUNICIPAL ID .................................................................................. 39!
Which one is right for me—a California State ID Card, or a California
Driver License? What’s the difference? ................................................. 40!
Pre-release Planning—Getting a CA State ID or CA Driver License While
Incarcerated .........................................................................................................41!
I am currently incarcerated. Can I apply for a CA state ID or a CA
Driver license? ............................................................................................... 41!
What is the Cal-ID program? ...................................................................... 41!
Who is eligible for the Cal-ID program? .................................................. 41!
I think I am eligible under the Cal-ID program. How do I apply? ..... 42!
Post-release—Getting a CA State ID or Driver License After You’re Out .. 43!
I am formerly incarcerated and want to get a California state ID.
How do I apply? ........................................................................................... 43!
I am formerly incarcerated and want to get a California Driver
License. How do I apply? ........................................................................... 45!
Driver License Suspensions & Revocations ........................................... 51!
My Driver License has been suspended or revoked. What does this
mean? How can I get it back? ................................................................... 51!
PAGE 15 OF 1210

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ROADMAP TO REENTRY
!

What does it mean if my license was suspended? .............................. 51!
What does it mean if my license was revoked? ................................... 51!
If my license was suspended or revoked, could I get my driving
privileges back? ........................................................................................... 52!
My license was suspended in another state. Will I be able to get a
California driver license? ........................................................................... 54!
What laws could negatively affect me if I am trying to get (or keep)
a California driver license? ........................................................................ 55!
Does getting my criminal conviction expunged help me get my
suspended or revoked driver license back? ........................................ 57!
V.! U.S. PASSPORT ................................................................................................... 59!
Why would a U.S. Passport useful? Why might I need one?............ 59!
Who is eligible for a U.S. Passport? ........................................................ 59!
How do I apply for a U.S. Passport? ....................................................... 60!
How do I know if I need to apply for a passport in person or if I can
apply by mail?............................................................................................... 60!
How do I apply in person for a new U.S. Passport? ............................ 61!
How do I apply by mail for a renewal of my U.S. Passport? ............. 64!
VI.! LIBRARY CARD .................................................................................................... 66!
What are the benefits of having a library card?................................... 66!
Why would I get a library card? ............................................................... 66!
How do I get a library card? ..................................................................... 66!
VII.! VOTER REGISTRATION ...................................................................................... 68!
Why register to vote? ................................................................................. 68!
In general, who can register to vote in California? ............................. 68!
I have a criminal record. Can I register to vote in California? .......... 69!
I lost my voting rights while serving a felony sentence. What is the
process for regaining my ability to vote? .............................................. 69!
I don’t know my supervision status. How do I find out? .................... 70!
What if I voted in an election that I was not legally allowed to vote
in? ..................................................................................................................... 71!
Registering to Vote in CA: ................................................................................. 71!
I want to vote in the next election. When is the last day I can
register to vote in California? .................................................................... 71!
I don’t have official photo ID. Can I still register to vote? .................. 71!
I’m homeless. Can I still register to vote in California? ...................... 72!
Since the last time I registered to vote, my address, name, political
party or supervision status has changed. Do I have to re-register? .... 72!
I have other questions about registering to vote in California. Who
can I ask for help? ....................................................................................... 72!
How do I register to vote in California? What is the application
process? ........................................................................................................ 73!
Voting on Election Day ...................................................................................... 75!
I registered to vote. Where, when, and how do I vote in the next
election? ........................................................................................................ 75!
When is election day? ................................................................................ 75!
Can I get time off from work to vote in California? ............................. 75!
I have a physical disability. Can I get help getting access to my
voting location? ............................................................................................ 75!
English isn’t my first language. Can I get a ballot in my native
language? ...................................................................................................... 76!
I can’t read, and/or I physically can’t vote by myself. Can I get help
in the voting booth? .................................................................................... 76!

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What if I voted in an election that I was not legally allowed to vote
in?..................................................................................................................... 76!
VIII.!SELECTIVE SERVICE REGISTRATION .............................................................. 77!
What is the Selective Service system & why do I need to know
about it? .......................................................................................................... 77!
Who is required to register with the Selective Service? .................... 77!
Who is not required to register with Selective Service?.................... 77!
When do I register with the Selective Service? ................................... 78!
How do I register with the Selective Service? ..................................... 78!
Issues with Selective Service Registration ..................................................... 79!
I registered with the Selective Service, but I lost my registration
number and my proof of registration. How can I get my registration
number and proof of registration? .......................................................... 79!
It’s been more than 30 days since I turned 18, and I haven’t
registered with the Selective Service. Can I still register? ................80!
I am 26 or older and never registered with the Selective Service—
and don’t fall into any of the legal exceptions. What are some
possibile consequences? ..........................................................................80!
I am 26 or older and never registered with the Selective Service.
Now i’m disqualified from certain government benefits and
programs. What are my options? .............................................................80!
How do I get a “status information letter?” ............................................ 81!
How Selective Service registration affects going back to school ....... 82!
I’ve heard that if I didn't apply for the Selective Service when I was
younger, it can affect my ability to go back to school now that I am
released and in the community? Is that true? What can I do? ......... 82!
IX.! CONCLUSION ...................................................................................................... 83!
ID & VOTING APPENDIX ........................................................................................... 84!

WHAT WILL I LEARN IN THE BUILDING
BLOCKS OF REENTRY:
IDENTIFICATION, KEY DOCUMENTS &
VOTING CHAPTER?
•

•
•
•
•
•
!

The difference between various forms of ID and other key legal
documents—including Birth Certificates, Social Security Cards
& Numbers, CA State IDs and Drivers Licenses, Passports,
Library Cards, Voter Registration, and Selective Service
Registration
Which forms of ID are most important
When and how to get ID (and which ones to get first!)
How to get certain ID documents while you’re still incarcerated,
and then after you are released
What to do if you are undocumented and need ID
Your voting rights, and how to register to vote
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I.

INTRODUCTION

WHAT IS IDENTIFICATION (ID) AND WHY IS IT IMPORTANT?
Identification (“ID”) is proof of who you are—your identity. Government agencies,
workplaces, service providers, schools, and other institutions issue ID cards for
people who are members. Many forms of ID include a photo and important
information about you, such as your address or physical characteristics. Having
an ID is important because, when you sign up for various programs, licenses,
and services, you’ll have to show an ID to prove that you are who you say you
are, and to show that you qualify for whatever you’re signing up for.

WHY DO I NEED IDENTIFICATION (ID)?
You need specific forms of ID to apply for many important resources and
services, including housing, employment, education, medical care, public
benefits, transportation, driving privileges, voting, banking, and licenses that
allow you to work in certain types of jobs.

I HAVE A PRISON OR JAIL ID. ISN’T THAT ENOUGH TO IDENTIFY
MYSELF?
You may already have a prison or jail ID card, but these generally are not
enough to help you prove who you are in all the areas you will need an official
ID. At the start of your reentry, though, a prison or jail ID card may help you get
other forms of ID.!

WHAT ARE THE MOST IMPORTANT FORMS OF ID FOR ME
TO HAVE?
As you rebuild your life in the community, there are 3 KEY DOCUMENTS
for you to have: (1) your birth certificate; (2) your Social Security Card (or
Number); and (3) a State ID or Driver License (don't need both, just one).
The most important forms of ID for you to have first are your birth
certificate and Social Security Number (SSN). Once you have these, you
will be able to get a State ID card or a Driver License, the most
commonly used forms of ID for everyday purposes. Once in a while, you
will need to show a copy of your Social Security Card for certain
services, but most of the time if you just know your Social Security
Number (SSN), that’s enough.

NATURALIZED
U.S. CITIZEN?
If you were born
outside of the
U.S. and then
became a citizen,
instead of a
getting a birth
certificate, you
need your
naturalization
certificate, for
more details, go
to PG. 31.

I DON’T HAVE ANY ID RIGHT NOW. WHERE WOULD BE THE BEST
PLACE TO START & WHEN IS THE BEST TIME?
Where would be the best place to start?
If you don’t have any of the 3 KEY ID DOCUMENTS—your Birth
Certificate, a Social Security Card (or Number), a State ID or Driver
License—you will have trouble proving your identity.
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If you do not have ANY of the 3 documents, it’s likely best to get your
birth certificate first, then your Social Security Card, and lastly your CA
State ID or Driver License. To learn details about each of these key
documents:
•
•
•

See PG. 22 for Birth Certificate
See PG. 32 for Social Security Card/ SSN
See PG. 39 for Driver License and State ID

When could I start, and can I start if I am currently incarcerated?
It’s never too early to start trying to get a form of official ID. It helps to
begin while you are still incarcerated as part of your preparation for
release. If you are in a California state prison, a new state law requires
CDCR and the Department of Motor Vehicles (DMV) to ensure that all
2
eligible individuals have a California State ID upon release. This new
law expands the “Cal ID Program,” which is already available at
California prison facilities called “reentry hubs,” to ALL California state
prisons, requiring that the prison give you a California
State ID FOR FREE at the time of release, if you are
WHAT IF WANT TO
eligible. See PG. 41 for more information on this new
CHANGE MY
program and what makes you eligible.
LEGAL NAME?
If you’re already out, you have probably realized very
• If you are still
quickly how important ID documents are in everyday life
incarcerated, you
and it’s best to begin the process right away.
need to ask for

I HAVE USED DIFFERENT NAMES (“ALIASES”). WHAT
NAME IS BEST TO USE ON MY ID DOCUMENTS?
Your ID documents must be in your “legal” name. This will be the
name that appears on your birth certificate, unless you have
legally changed it. Changes in your legal name are done through
3
marriage or by court order.

!

IMPORTANT: Using a false name or presenting false
documents to obtain identification is a FEDERAL offense.
Don’t do it.

I AM AN UNDOCUMENTED PERSON. CAN I GET AN
OFFICIAL FORM OF ID IF I AM UNDOCUMENTED?

permission from the
Director of
Corrections.
• If you are released
on parole or
probation, you will
need a written
approval from your
parole agent or
probation officer.
• If you are a
registered sexoffender, the judge
needs to approve
your name change.
In every case, you will
need to prove that
your name change will
not pose a security
risk to the community.
CAL. CIV. PROC. CODE
§ 1279.5.

No, but you may be able to get a special type of Driver License
(AB 60 License) approved for people in your situation. It will not serve as official
identification (meaning it does not establish eligibility for employment, voter
registration, or public benefits), but it will allow you to drive a car legally in the
4
state of California. It’s against state law to discriminate against anyone driving
with an AB 60 License in California, but federal agents and law enforcement
agencies outside of California are NOT required to honor your AB 60 Driver
License. Depending on local laws and policies, you could face criminal or

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 3007.05.
See CAL. CIV. PROC. CODE §§ 1275-1279.5; see also Change an Adult’s Name, CAL. SUPERIOR COURTS,
http://www.courts.ca.gov/1051.htm.
4
CAL. VEH. CODE §§ 12800-12801, 12801.9.
2
3

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immigration consequences if you present this type of California Driver License to
a police officer in another state—so use it only in California, and do not try to use
it in federal facilities, such as passing airport screenings or crossing through
5
Customs and Border Patrols!
For more information on what it means to be an undocumented person in the
U.S., you can contact a referral and information hotline such as 1-888-6-CHIRLA
(1-888-624-4752), provided in English and Spanish by the Coalition for Humane
Immigrant Rights of Los Angeles. The hotline is open Monday—Friday, 9:00 a.m.
to 5:00 p.m. and can provide direct services or refer you to other organizations
that can help you. It is safe for non-citizens and undocumented people to call
this hotline. You can also check out these free resources online:
•

•

•

•

Immigration Advocates Network (IAN): IAN works to provide communication
and cooperation between organizations working with immigrant
communities. On IAN’s website you can access a database with contact
information for nearly 150 organizations helping immigrants in California.
Website listed below.
o http://www.immigrationadvocates.org/nonprofit/legaldirectory/search?st
ate=CA
National Immigration Law Center: The National Immigration Law Center is a
national organization that defends and advances the rights of low-income
immigrants and their families. You can find a list of additional California
organizations that support immigrant families on their website listed below.
o http://www.nilc.org/calres.html
Immigration Legal Research Center (ILRC): ILRC educates immigrants,
community organizations, and the legal community on many different topics
that affect immigrants, such as how to protect against becoming a victim of
immigration fraud and changes in immigration laws. Website listed below.
o http://www.ilrc.org/about-ilrc/what-we-do
National Network for Immigrant and Refugee Rights (NNIRR): NNIRR defends
and works to grow the rights for both documented and undocumented
immigrants. Website listed below.
o http://www.nnirr.org/drupal/about-us

GENERAL TIPS
•
•

•
•

•

Start as early as you can. You can start gathering some documents while you’re
incarcerated.
Start by getting your birth certificate (or naturalization certificate if you were born
outside the U.S. and later became a citizen). A certified copy of your birth certificate
or naturalization certificate is necessary to get all other forms of ID. See PG. 22 (birth
certificate) or PG. 31 (naturalization certificate).
Stick to using your legal name as it appears on your birth certificate. Even if you have
used other names in the past, stick with your legal name. It is your only legal identity.
Keep photocopies of all your important forms as you go.
Before you pay a fee for anything, find out if you can get a “reduced fee” or a “fee
waiver” based on your income. Many forms of ID require that you pay a fee before
they are issued. Some fees must be paid by everyone, while other fees can be
reduced or excused (“waived”) for people with limited income. We have included
some information about reduced fees on PG. 44, but you should always check for
6
yourself.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See CAL. VEH. CODE § 12801.9.
Adapted from John Jay College of Criminal Justice, Back to School: A Guide to Continuing Your Education after
Prison, 20 (July 2010), available at http://www.jjay.cuny.edu/backtoschoolsummer2010revision.pdf.
5
6

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THIS CHART SUMMARIZES HOW & WHY EACH KEY ID DOCUMENT IS IMPORTANT, AS WELL AS
APPROXIMATE COSTS FOR EACH TYPE.

SUMMARY OF KEY DOCUMENTS
KEY ID DOCUMENT

COST

WHY IT’S IMPORTANT

AUTHORIZED U.S. BIRTH
CERTIFICATE

ABOUT $25, BUT VARIES BY
COUNTY.

This proves your age and legal presence in the United
States. It is necessary in order to get most other forms of
identification, including your California State ID or Driver
License.

NATURALIZATION
CERTIFICATE (IF YOU WERE
BORN OUTSIDE OF U.S. AND
BECAME A CITIZEN LATER)

$345 (MAY BE FREE IF YOU
SHOW FINANCIAL HARDSHIP)

If you are a naturalized citizen, meaning you were born
outside of the U.S. and became a citizen later, you will not
have a U.S. Birth Certificate. Instead, you should use your
naturalization certificate.

SOCIAL SECURITY
NUMBER/CARD

FREE

Your Social Security Number is required to apply for jobs,
education programs, financial aid, and government services.
You will need it to obtain other forms of ID, such as a State
ID or Driver License.

CALIFORNIA STATE ID
and/or
DRIVER LICENSE

$28 FOR A NEW STATE ID ($8
IF YOU RECEIVE PUBLIC
ASSISTANCE)
$33 FOR A NEW CALIFORNIA
DRIVER’S LICENSE
IF YOU ARE CURRENTLY
INCARCERATED—FREE STATE
ID IS AVAILABLE THROUGH
THE CAL-ID PROGRAM, FOR
ELIGIBLE INDIVIDUALS WHO
APPLY (SEE PG. 41)

These prove your age, identity, and may prove your legal
presence in the United States. Either one can be used as an
official photo ID. You will likely need one of these in order to
open a bank account, register to vote, and apply for jobs,
housing, or public benefits. State IDs and Driver Licenses are
generally considered the most accepted form of
identification.

U.S. PASSPORT

$135 FOR A NEW PASSPORT;
$110 FOR A RENEWAL

This is necessary for traveling abroad and coming back to
the United States. It is also considered an official photo ID.

RAP SHEET

APPROX. $50 ($25 WITH A FEE
WAIVER)

Your RAP sheet is a chronological listing of your entire
criminal history. You want to know what shows up on your
RAP sheet because employers, Public Housing Authorities,
schools, government agencies, and others may use your
criminal history to decide if you are eligible for their services.
(Go to the UNDERSTANDING & CLEANING UP YOUR
CRIMINAL RECORD CHAPTER, PG. 1020)

VOTER REGISTRATION

FREE

When you register to vote, you will be sent a voter
registration card in the mail to let you know that you have
registered successfully. You do not need it to actually vote,
however, as long as you are registered.

SELECTIVE SERVICE
REGISTRATION

FREE

All male U.S. citizens and males (except those who are in the
U.S. on student or visitor visas) living in the U.S. aged 18-25
must register for the Selective Service. Failure to do so can
result in disqualification from, or loss of, certain federal and
state benefits. In California, if you do not register, you will not
be eligible for state student financial aid. The Selective
Service used to be known as “the Draft.”

LIBRARY CARD
(OPTIONAL)

FREE

A public library card gives you access to free resources
available from your local public library, such as books,
movies, and advice from librarians. A library card also allows
you to use the library’s computers and access the Internet.

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II.
!

BIRTH CERTIFICATE

IMPORTANT: Your birth certificate is the most critical identification

document you will need AND the easiest one to get while you are still
incarcerated. YOU SHOULD START THE PROCESS AS SOON AS
POSSIBLE.

WHAT WILL I LEARN?
•

•
•
•

How to get a copy of your birth certificate in the following
situations: You were born in California; You were born in
another state; You were born in another country; You’re not
sure where you were born; You’re not a U.S. citizen; You’re a
naturalized U.S. citizen
How to request your birth certificate
How to get a document notarized, whether you are currently or
formerly incarcerated
Your options if there is no record of your birth

WHY WOULD I NEED MY BIRTH CERTIFICATE?
Your birth certificate is important because it proves your legal
name, age, birthdate, and birthplace. If you were born in the
United States, it also proves your U.S. citizenship. Having a copy
of your birth certificate is necessary to get other key forms of ID.

WHAT IS THE GENERAL PROCESS FOR GETTING A
COPY OF MY BIRTH CERTIFICATE?
It depends on what STATE you were born in. Each U.S. state
7
maintains its own birth records. The federal government does not
8
keep records or issue copies of birth certificates. Thus, the
requirements and procedures for getting official copies of birth
9
certificates vary from state to state.
10

If you were born in the U.S., here is the general process:
1. Find out which government agency in the state where you
were born manages birth records;
2. Get a request form from that government agency, fill it out,
and send it in, OR write a request letter to the agency;
11
3. Have the form or letter notarized (if requesting by mail) (learn
how to notarize a document on the next page);
4. Present a photo ID or swear an oath (if requesting in person);
5. Pay the fee.
See PG. 24 for more information on each step.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See CAL. HEALTH & SAFETY CODE § 102230.
See CAL. HEALTH & SAFETY CODE § 102230.
9
See CAL. HEALTH & SAFETY CODE §§ 102200, 102205.
10
See CAL. HEALTH & SAFETY CODE §§ 103525, 103526.
11
See the complete state rules for notarization procedures in CAL. HEALTH & SAFETY CODE § 1185 et seq.
7
8

PAGE 22 OF 1210

WHAT IF I WAS
BORN IN
ANOTHER
COUNTRY?
Whether or not you
are a U.S. Citizen, if
you were born
outside the United
States, you must
check with the
country in which you
were born for the
procedures to get
your birth certificate
(see PG. 30 for more
information).
If you were born out
of the United States,
but you are a U.S.
citizen because one
or both of your
parents was a U.S.
citizen, see PG. 30
on how to obtain
your birth certificate.

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What does it mean to get a document “notarized”?
WHAT IS NOTARIZATION?
Notarization is when a government-approved person (called a “notary public” or
just a “notary”) validates an important document. The notary must witness
signatures to that document.
WHAT DO I BRING?
1.

The document you need notarized. IMPORTANT: Don’t sign it before you
go—the notary needs to witness your signature.
2. Proof of who you are (usually Photo ID). IMPORTANT: The notary can verify
who you are by one of 3 ways:
a. Photo ID issued within the last 5 years. This can be: a state ID or a
Driver License from any U.S. state, a passport from any country, a
U.S. Military ID, a Canadian or Mexican driver’s license, or a
California government employee ID card. IF YOU ARE CURRENTLY
INCARCERATED: You can use your Prison ID card while you are still
incarcerated, but not after you get out. This is why it is so important
to get your birth certificate before you are released, if possible.
b. One witness whom the notary knows and who knows you. This
witness will need to show one of the forms of acceptable IDs listed
above, and verify under oath who you are. —OR—
!
c. Two witnesses who know you (but the notary does not need to
know them). Both of these witnesses will also be required to show
one of the forms of acceptable IDs listed above, and verify under
oath who you are.
WHERE DO I FIND A NOTARY?
Try your bank, credit union, public library, City Hall, local courthouse, Post
Office, FedEx or UPS store, or a senior centers or local school. Always call the
location and check its website to make sure a notary exists, what times it is
available, and the cost. IF YOU ARE CURRENTLY INCARCERATED: State prisons
12
must provide notary services. Contact your corrections counselor to make an
appointment, as it may only be available on certain days and times.
HOW MUCH WILL IS COST?
A small fee or free. The most a notary can charge in CA is $10.00 per signature.
13
However, mobile notary services that come to you are allowed to charge more.
IF YOU ARE CURRENTLY INCARCERATED: There is an administrative fee, which
varies by facility, and is taken out of your inmate trust account. If you would
rather use a mobile notary, you’ll need to find one in your area that does
jail/prison visits. You may need to ask a family member or friend to help arrange
the visit.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
12
13

See CDCR DOM § 14010.22
CAL. GOV’T CODE § 8211.

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WHAT IS A “CERTIFIED” COPY OF MY BIRTH CERTIFICATE?
WHAT IS AN “AUTHORIZED” COPY? WHAT IS AN
“INFORMATIONAL” COPY? WHICH WOULD BE BEST TO GET?
It is best to get an authorized certified copy of your birth certificate.

CERTIFIED COPY—A “certified” copy of your birth certificate is any official

copy of your birth certificate issued by the Office of the County Recorder in the
14
county where you were born, or from your state’s Office of Vital Records. These
offices issue two types of certified copies—“authorized” and “informational”
certified copies.
•

•

Authorized Certified Copy—An “authorized” certified birth certificate bears
15
the stamp or seal of the office that issued it. It is called authorized because
only certain individuals, such as you and your immediate family members,
16
are allowed to get it. Access to authorized birth certificates is restricted
because they are considered a valid form of government-issued ID, and can
be used to get other forms of ID. This is the type of copy you need to get to
prove your identification.
VS.
Informational Certified Copy—An “informational” certified birth certificate
contains the same information as an authorized copy, but it is not
considered an official record of your identity. It does not bear the stamp or
seal of the office that issued it, and it must contain the disclaimer statement:
17
“INFORMATIONAL, NOT A VALID DOCUMENT TO ESTABLISH IDENTITY.”
Anyone can order an informational copy of your birth certificate. This is not
the type of copy you want to get to prove your identification.

WHY DO I NEED AN “AUTHORIZED CERTIFIED COPY” INSTEAD
OF JUST AN “INFORMATIONAL CERTIFIED COPY”?
Only an authorized certified copy of your birth certificate can be used as proof of
your identity. An informational copy is not accepted as a government-issued ID
18
and, therefore, cannot be used to obtain other forms of official ID.

IF YOU WERE BORN IN THE U.S.—
DIFFERENT SITUATIONS:
(1) IF YOU WERE BORN IN CALIFORNIA:
I WAS BORN IN CALIFORNIA. HOW DO I GET AN
AUTHORIZED COPY OF MY BIRTH CERTIFICATE?
You must go through one of two sources to get your California birth
certificate: (1) the California Department of Public Health (CDPH), or (2)
the County Recorder’s Office of the county where you were born.
Generally, it is easier to go through the County Recorder’s Office, but
there are pros and cons to using either source. See the chart on PG. 25
to understand the pros & cons.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. HEALTH & SAFETY CODE §§ 103525,103526.
CAL. HEALTH & SAFETY CODE §§ 103525, 103526.
16
CAL. HEALTH & SAFETY CODE § 103526 (full list of everyone authorized to get a birth certificate).
17
CAL. HEALTH & SAFETY CODE § 103526(b).
18
CAL. HEALTH & SAFETY CODE § 103526.
14
15

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NOT BORN IN
CALIFORNIA?
• If you were
born in a state
outside of
California, go to
PG. 28.
• If you were
born outside of
the U.S., go to
PG. 30.
• If you were
adopted/don’t
know where
you were born,
go to PG. 29.

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THIS CHART EXPLAINS THE PROS & CONS OF REQUESTING YOUR BIRTH CERTIFICATE FROM THE
CALIFORNIA DEPARTMENT OF PUBLIC HEALTH (CDPH) VS. THE COUNTY RECORDER’S OFFICE.

WHERE TO GET YOUR BIRTH CERTIFICATE:
CDPH or County Recorder’s Office?
CALIFORNIA DEPARTMENT OF PUBLIC HEALTH (CDPH)

COUNTY RECORDER’S OFFICE

TIME: Takes longer to process (4-6 weeks).

TIME: Takes less time to process (same day, in person).

REQUEST METHOD: Must be done by mail.

REQUEST METHOD: May be done by mail OR in person.

FEE: Standard Fee (currently $25, but subject to change).

FEE: Fees vary by county. It may be more or less than what
the CDPH charges.

STATEWIDE REACH:
CDPH is a good option if you don’t know what county you
were born in. It covers all counties in California, and the
CDPH can help you locate your birth county.

COUNTY REACH ONLY:
The County Recorder’s Officer can only issue birth
certificates for births that were within that county, not
statewide. So it’s good if you know exactly which county
you were born in.

APPLICATION FORMS: Accepts standard state form only
(see the next question which explains how to get a copy)

APPLICATION FORMS: Accepts state and county forms (see
the question on PG. 26 which explains how to get a copy)

! CALIFORNIA DEPARTMENT OF PUBLIC HEALTH (CDPH):
I WANT TO GET MY BIRTH CERTIFICATE FROM THE CALIFORNIA
DEPARTMENT OF PUBLIC HEALTH (CDPH). WHAT IS THE
PROCESS?
The CDPH only accepts requests by mail. The process is as follows:
STEP 1:

Obtain and fill out an “Application for Certified Copy of Birth Record”
(Form VS 111).

You can request this form by mail from the CDPH by writing to: California
Department of Public Health, Vital Records—MS 5103, P.O. Box 997410,
Sacramento, CA 95899-7410.
This form is also available to download from the CDPH website at:
19
http://www.cdph.ca.gov. A sample application is provided in Appendix A,
PG. 85, but check the website for the most up-to-date form. To fill out the form,
you will generally need to know your birth name, your birth date, the city where
you were born, and your parents’ names, including your mother’s maiden name.
If you do not know all of this information, fill in as much as you can.
STEP 2: Sign your application & get your Sworn Statement notarized.
The Sworn Statement is on page 3 of the application form (Form VS 111), and is
20
required to verify the information on your application. By signing the Sworn

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

The direct online link to the application Form VS 111 is
http://www.cdph.ca.gov/pubsforms/forms/CtrldForms/VS111.pdf
20
Sworn Statement, CAL. DEP’T OF PUBLIC HEALTH,
http://www.cdph.ca.gov/certlic/birthdeathmar/Pages/SwornStatement.aspx.
19

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Statement, you are declaring “under penalty of perjury” that you are entitled by
law to receive an authorized copy of the birth certificate.
You must then get the statement notarized. See the box on PG. 23 for an
explanation of how to get a document notarized.
STEP 3: Prepare the fee payment.
21

This must be a check or money order made payable to “CDPH Vital Records.”
Do not send cash. At the time of writing this manual, the CDPH fee is $25, but it
could change. The current fee amount will be on the CDPH application form.
STEP 4: Mail your request.
Your final packet should include: (1) your application form, including the
notarized Sworn Statement, and (2) your fee payment (check or money order). At
22
the time of writing this manual, you should address the packet to:
California Department of Public Health
Vital Records—MS 5103
P.O. Box 997410
Sacramento, CA 95899-7410

! COUNTY RECORDER’S OFFICE:
I WAS BORN IN CALIFORNIA AND KNOW MY COUNTY OF BIRTH.
HOW DO I GET MY BIRTH CERTIFICATE DIRECTLY FROM THE
COUNTY I WAS BORN IN?
If you know what county you were born in, we recommend going directly
through your County Recorder’s Office. Because the CDPH handles requests for
the entire state, it often takes longer than if you go directly to the County
Recorder’s Office, where it will be a much faster process (sometimes even the
23
same day). The County Recorder’s Office is also more convenient because you
can make your request in person as well as by mail.

HOW DO I LOCATE THE COUNTY RECORDER’S OFFICE?
Whether you plan to make your request in person or by mail, you will first need
to locate the Recorder’s Office in the county in which you were born. The CDPH
provides a statewide directory of County Recorder’s Offices (address, phone
number, website). To get the address and phone number for the County
Recorder’s Office, call CDPH Customer Service at (916) 445-2684 or visit the
24
website at: http://www.cdph.ca.gov/ and search for “birth certificates.” You can
also use Directory Assistance to locate the address by dialing 411 from any
25
phone, but this service charges a fee (as much as $1.99 per 411 call).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Fees, CAL. DEP’T OF PUBLIC HEALTH, http://www.cdph.ca.gov/certlic/birthdeathmar/Pages/Fees.aspx.
Fees, CAL. DEP’T OF PUBLIC HEALTH, http://www.cdph.ca.gov/certlic/birthdeathmar/Pages/Fees.aspx.
Obtaining Certified Copies of Birth & Death Records, CAL. DEP’T OF PUBLIC HEALTH,
http://www.cdph.ca.gov/certlic/birthdeathmar/Pages/CertifiedCopiesofBirthDeathRecords.aspx.
24
As of last revision, the direct link to the CDPH listing of county recorder’s offices is
http://www.cdph.ca.gov/certlic/birthdeathmar/Pages/CountyRecorderOffice.aspx.
25
See VERIZON WIRELESS,
http://www.verizonwireless.com/support/faqs/FeaturesandOptionalServices/faq_411_connect.html; AT&T,
http://www.att.com/esupport/article.jsp?sid=53418&cv=820#fbid=dwcrbDNNoOg.
21
22
23

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IF I USE THE COUNTY RECORDER’S OFFICE, IS IT BEST TO
REQUEST MY BIRTH CERTIFICATE BY MAIL OR IN PERSON?
Once you have located the Recorder’s Office in the county where you were
born, you will need to decide if you want to request your birth certificate in
person or by mail. In most counties, if you request the document in person at the
Recorder’s Office, this is the best option because the clerk can tell you almost
immediately whether or not there is a record of your birth on file, and you can
ask the clerk questions if there is trouble locating the correct record. Also, you
might even be able to get the certified copy that same day. However, this may
not be the right option for you if you are unable to travel to your birth county
because of parole or other travel restrictions.
REQUESTS TO RECORDER’S OFFICE BY MAIL:
After you have located the Recorder’s Office in the county where you were born,
you will need to get a copy of that county’s specific application form. You can
request the form by phone or by mail, or you can download it from the County
Recorder Office’s website. Once you have the form, the process for requesting
your birth certificate by mail is the same as the process for requesting it by mail
from the CDPH (see those instructions on PG. 25). Remember to:
•
•
•
•

Complete the form to the best of your ability;
Sign and have your Sworn Statement notarized (notarization explained in
the box on PG. 23);
Prepare the fee payment (varies by county);
Mail your request packet (including your application form, Sworn
Statement, and fee payment) to the County Recorder’s Office.

REQUESTS TO RECORDER’S OFFICE IN PERSON:
If you plan on making your request in person, you can either get an application
ahead of time by mail, online, or you can pick one up in person. The process for
getting a birth certificate in person is slightly different than by mail. However, the
information you will need to show is the same.
STEP 1:

Go to the County Recorder’s Office and identify yourself.

The biggest difference between requesting your birth certificate by mail and
requesting it in person is that the office may ask you for a photo ID if you make
your request in person. Don’t worry if you do not have a valid form of ID—there
is usually a way around this! Every office will have different policies and
requirements, so make sure you call ahead and ask so that you can be prepared
for how they will allow you to identify yourself. Below are some alternatives to
presenting a photo ID:
•

•
•
•
•

•

In some counties, such as Alameda County, you simply have to sign the
application under penalty of perjury in front of the clerk-recorder. You do not
26
need to have the form notarized and you do not need to show a photo ID;
Show your CDCR Prisoner ID Card;
Bring witnesses with valid photo ID who can identify you;
Bring a notarized declaration of your identity;
Ask a person with his/her own valid photo ID to get a copy of your birth
certificate for you—so long as that person is authorized. This includes your
spouse or domestic partner, parents or legal guardians, children,
grandparents, grandchildren, or siblings;
Ask your attorney to request your birth certificate for you;

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
26

Telephone call with Elsie, clerk-recorder, Alameda County Clerk-Recorder’s Office (July 11, 2014).

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Ask your probation/parole officer to provide a certification of your name, age,
birth date, address, and parents’ legal names. Present that statement at the
County Recorder’s Office and explain your situation.

•

STEP 2: Fill out and submit the application.
You will need to know your birth name, birth date, the city you were born in, and
your parents’ names, including your mother’s maiden name.
STEP 3: Pay the fee.
You can usually pay with cash, credit card, debit card, check, or money order.

(2) IF YOU WERE BORN IN THE U.S. OUTSIDE OF
CALIFORNIA:
I WAS BORN IN A STATE OTHER THAN CALIFORNIA. HOW DO I
GET AN AUTHORIZED COPY OF MY BIRTH CERTIFICATE?
Again, the federal government does not keep a centralized database of birth
records. These records are maintained by the individual states. Each state has its
own procedures for requesting an authorized certified copy of your birth
certificate for identification purposes, and the fees vary. You will need to find out
the procedures for your birth state:
STEP 1:

Find the Vital Statistics Office in Your Birth State.

Each state has an Office of Vital Statistics that is in charge of birth records for
that state. The Centers for Disease Control and Prevention (CDC) has a list of the
address and phone number for each Vital Records Office in every state, as well
as basic information about the state’s procedures. You can find this information
on the CDC website at: http://www.cdc.gov/nchs/w2w.htm. You can also contact
the CDC directly by phone at 1-800-CDC-INFO (1-800-232-4636), or write to the
CDC at:
Centers for Disease Control and Prevention
1600 Clifton Road
27
Atlanta, GA 30329-4027
We have included a listing of Vital Statistics Office phone numbers and
addresses for each state in Appendix B, PG. 89. However, because these
numbers are subject to change, you should check with the CDC for the most upto-date information.
STEP 2:

Call or write the Vital Statistics Office in the state where you were
born and ask what they need from you to send you an authorized
certified copy of your birth certificate.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
27

CENTERS FOR DISEASE CONTROL AND PREVENTION, http://www.cdc.gov/.

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(3) IF YOU WERE BORN IN THE U.S., BUT NO RECORD
OF YOUR BIRTH WAS FOUND:
WHAT IF I WAS BORN IN THE U.S., BUT THERE IS NO RECORD OF
MY BIRTH?
If you request a copy of your birth certificate from the state or county where you
were born, but you receive a notice that there is no record available, you will
have to locate a secondary record of your birth to serve the same identifying
purpose as a birth certificate does. Secondary records are not considered as
reliable as authorized certified birth certificates, but they can still help you prove
28
your identity to obtain other forms of ID. Secondary records include:
•
•
•
•
•
•

Hospital records;
Census record;
Religious records confirming your birth date (such as a baptism certificate or
family bible record);
Statement from the midwife who delivered you;
Early school records; and
29
Records of immunization.

IF YOU WERE ADOPTED/ DON’T KNOW WHERE
BORN:
I AM ADOPTED AND I DON’T KNOW WHERE I WAS BORN. WHAT
CAN I DO?
If you are adopted, you must request an application for a certified copy of your
birth certificate in the state where you were adopted, using your adoptive
30
name. If you were born outside the United States and adopted in California,
there is a place to indicate it on the birth certificate form (and this might be the
31
case in other states).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
Secondary Evidence of U.S. Citizenship, U.S. DEPARTMENT OF STATE, BUREAU OF CONSULAR AFFAIRS,
http://travel.state.gov/content/passports/english/passports/information/secondary-evidence.html.
30
When you were adopted in the Unites States, your birth certificate was changed to reflect your adoptive
information—whether you were born in the U.S. or not—and your original birth information was sealed. Therefore,
the existing birth record will have your adoptive information.
31
CAL. DEP’T OF PUBLIC HEALTH, APPLICATION FOR CERTIFIED COPY OF BIRTH RECORD (FORM VS 111) (Jan. 2014),
http://www.cdph.ca.gov/pubsforms/forms/CtrldForms/VS111.pdf.
29

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IF YOU WERE BORN OUTSIDE OF THE U.S.—
DIFFERENT SITUATIONS:
(1) IF YOU ARE A U.S. CITIZEN BORN TO U.S. CITIZEN
PARENT(S) IN ANOTHER COUNTRY:
I WAS BORN OUTSIDE OF THE U.S., BUT I AM A U.S. CITIZEN
BECAUSE ONE OR BOTH OF MY PARENTS WAS A U.S. CITIZEN.
HOW DO I GET CERTIFICATION OF MY BIRTH AND CITIZENSHIP?
If you are a U.S. citizen who was born abroad to U.S. citizen parent(s), your
parents should have reported your birth to the nearest U.S. Consulate or
32
Embassy as soon as possible after you were born. Under federal law, they
should have applied in your name for a “Consular Report of Birth Abroad of a
33
Citizen of the United States of America” (also called “CRBA,” or Form FS-240).
If your parents did register your birth with a U.S. Consulate or Embassy, the U.S.
Department of State should have given them a CRBA in your name. Like a U.S.
birth certificate, your CRBA is proof of your U.S. citizenship, and you can use it
34
as official ID to get other key forms of ID, including a U.S. passport.
The only people who can legally request a copy of your CRBA are: (1) you, (2) an
authorized government agent, and (3) a person with written authorization. To
request a copy of your CRBA, follow the steps listed below:
STEP 1:

Prepare a written (or typed) request. Include all of the following:

1.
2.
3.
4.

Your full name at birth, and any adoptive names you had.
Your birth date and birthplace.
Your parents’ full names.
The serial number of your Consular Report of Birth Abroad (also called Form
FS-240), if you know it.
5. Any available passport information.
6. Your mailing address and phone number.
7. Your signature. (Leave space for this, but don’t actually sign until
WHO CAN I
Step 3, when you’re with a Notary Public.)
STEP 2: Get your request notarized by a Notary Public.
See the box on PG. 23 to learn how to get a document notarized.
STEP 3: Prepare a check or money order for $50 (no cash). Make it
payable to “Department of State.”
STEP 4: Mail your request and fee. Address the envelope to:
Department of State, Passport Vital Records Sections, 1150
th
35
Passport Services Pl, 6 Floor, Dulles, VA 20189-1150.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Who can I call for
help? For more
information, call the
Bureau of Consular
Affairs at 1-877-4872778 (TDD/TTY: 1888-874-7793).

Where to Write for Vital Records, CDC, NAT’L CTR. FOR HEALTH STATISTICS, DIVISION OF VITAL STATISTICS, OFFICE OF
INFORMATION SERVICES (July 2014), http://stacks.cdc.gov/view/cdc/22310.
33
Where to Write for Vital Records, CDC, NAT’L CTR. FOR HEALTH STATISTICS, DIVISION OF VITAL STATISTICS, OFFICE OF
INFORMATION SERVICES (July 2014), http://stacks.cdc.gov/view/cdc/22310.
34
Note: Until January 3, 2011, the document issued for this purpose was “Certificate of Report of Birth Abroad,” or
“Form DS-1350,”also called “CRBA.” The Department of State no longer issues Form DS-1350 for new births.
However, if this was the document issued when your parents registered your birth, it is still valid for the same
purposes as a Form FS-240, and you can still request a copy by taking the same steps you would to request a Form
FS-240. See Foreign Birth and Death Certificates, CDC, http://www.cdc.gov/nchs/w2w/foreign.htm; Birth of U.S.
Citizens Abroad, U.S. DEPARTMENT OF STATE, BUREAU OF CONSULAR AFFAIRS,
http://travel.state.gov/content/passports/english/abroad/events-and-records/birth.html.
35
See Foreign Birth and Death Certificates, CDC, http://www.cdc.gov/nchs/w2w/foreign.htm; Replace or Amend a
Consular Report of Birth Abroad (CRBA), U.S. DEPARTMENT OF STATE, BUREAU OF CONSULAR AFFAIRS,
32

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(2) IF YOU WERE BORN IN ANOTHER COUNTRY AND
YOU ARE NOT A U.S. CITIZEN
I AM NOT A U.S. CITIZEN. HOW DO I GET MY BIRTH CERTIFICATE
FROM A FOREIGN COUNTRY?
Most, but not all, foreign countries record births and will provide certifications of
births occurring within their boundaries. You should contact your birth country’s
nearest Embassy or Consulate in the United States. Addresses and telephone
numbers for these offices are listed in the U.S. Department of State Publication
7846, Foreign Consular Offices in the United States, which is available in many
local libraries. Copies of this publication may also be purchased from the U.S.
Government Printing Office, Washington, DC 20402.
If the Embassy or Consulate is unable to provide assistance, U.S. citizens may
obtain assistance by writing to the Office of Overseas Citizens Services, U.S.
Department of State, Washington, DC 20520-4818. Aliens residing in the United
States may be able to obtain assistance through the Embassy or Consulate of
their country of nationality.

(3) IF YOU ARE A “NATURALIZED CITIZEN”
I AM A NATURALIZED CITIZEN. DO I NEED MY BIRTH
CERTIFICATE?
If you were not born in the United States, but immigrated here and became a
U.S. Citizen at some point in your life, you are a “Naturalized Citizen.” You
should have been issued a Certificate of Naturalization at the time you became
a citizen. This is essentially the same as a birth certificate for purposes of
36
obtaining other ID documents. If your Certificate of Naturalization was lost or
destroyed, you can apply for a new one. You will need to fill out an “Application
for Replacement Naturalization/Citizenship Document” (form N-565). You can
call the Department of Homeland Security, Citizenship and Immigration Services,
National Customer Services Center hotline at 1-800-375-5283 to have the form
37
mailed to you. The form is also available online at http://www.uscis.gov/n-565.
A copy of the most up-to-date form as of the time of this manual’s printing (2015)
is at Appendix C, PG. 97.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
http://travel.state.gov/content/passports/english/abroad/events-and-records/birth/replace-or-amend-consularreport-of-birth-abroad.html.
36
8 C.F.R. § 301.
37
APPLICATION FOR REPLACEMENT NATURALIZATION/CITIZENSHIP DOCUMENT, U.S. CITIZENSHIP AND IMMIGRATION SERVICES,
http://www.U.S.C.is.gov/n-565.

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III.

SOCIAL SECURITY
NUMBER & CARD
WHAT WILL I LEARN?

•
•
•
•
•

The difference between a Social Security Number (SSN) and
Social Security Card, and when you’ll need them
How to find out your SSN if you don’t know it
How to apply for an original Social Security Card if you’ve
never received a Social Security Number
How to apply for a replacement Social Security Card if you
don’t have the original
How to get a Social Security Card even if you don’t have a
U.S. Passport, State ID, or Driver License

WHAT IS A SOCIAL SECURITY NUMBER (SSN) AND WHAT IS A
SOCIAL SECURITY CARD? WHAT IS THE DIFFERENCE AND DO I
NEED BOTH?
If you were born in the U.S., and your birth was reported, the government
assigned you a Social Security Number (SSN). Your SSN is a 9-digit number that
is unique to you. The government uses it primarily to identify you, but also to
track your income for tax purposes and to calculate any Social Security benefits
you accrue as you work. Also, other institutions—like banks, hospitals, schools,
38
and businesses—will use your SSN as a way to identify you.
A Social Security Card is a paper card that provides a record of your name and
SSN. Social Security Cards are issued only by the Social Security Administration
39
of the federal government. Social Security Cards are always free.
While there are many circumstances in which you will need to provide your SSN,
you will only need to show the actual Social Security Card in a few limited
situations—most commonly, when filling out employment paperwork. For this
reason, it is a good idea to memorize your SSN, but store your Social Security
Card in a safe place and only carry it with you when you know you’ll need it.

WHY DO I NEED TO KNOW MY SSN?
Like your birth certificate, your SSN proves who you are. You’ll need to provide
your 9-digit SSN to access government services and to apply for jobs, public
benefits, housing, a Driver License, healthcare, education programs, and
40
financial aid.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

New or Replacement Social Security Number Card, SOC. SEC. ADMIN., http://www.ssa.gov/ssnumber/.
New or Replacement Social Security Number Card, SOC. SEC. ADMIN., http://www.ssa.gov/ssnumber/.
40
New or Replacement Social Security Number Card, SOC. SEC. ADMIN., http://www.ssa.gov/ssnumber/.
38
39

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I HAVE A SSN, BUT I FORGOT IT/NEVER KNEW IT. HOW DO I FIND
OUT WHAT IT IS?41
If you were assigned a SSN at some point in your life, but you don’t know it, you
need to request a replacement card. This is the only way to get your number
because the Social Security Administration (SSA) does not give out Social
Security Numbers any other way. You can apply for a replacement card by mail
or in person at a local SSA Field Office. For more information on getting a
replacement card, see PG. 33 if you’re incarcerated, or PG. 35 if you’re out.

I DON'T THINK I EVER GOT A SSN. CAN I GET ONE NOW?
Yes. If you were never assigned a SSN, you will need to apply for an original
42
card. See PG. 38 for more information on getting an original card.

PRE-RELEASE PLANNING—GETTING A SOCIAL
SECURITY CARD WHILE INCARCERATED:
CAN I GET A SOCIAL SECURITY CARD WHILE I AM STILL
INCARCERATED?
Maybe. If you never had a SSN, the Social Security Administration (SSA) will not
assign you one (“an original”) and issue your card while you are incarcerated.
You will have to wait until you get out.
However, if you were given a SSN at some point in the past, the SSA may issue
you a replacement card with your original number on it while you are still
43
incarcerated—under limited circumstances. See the next question (PG. 33) for
the procedures of getting a replacement card while incarcerated.

HOW DO I GET A REPLACEMENT CARD WHILE I AM
INCARCERATED?
The process for requesting a replacement card while you are still incarcerated is
fairly straightforward. However, due to conflicting rules and practices within the
Social Security Administration (SSA), it’s hard to say whether you will be
successful or not. You should try anyway. Here is what may affect your request:
•

The facility you are in. Where you are incarcerated may affect your ability to
get an SSC while you are still incarcerated.
o MOUs: Official policy states that before the SSA will accept
“certification” (proof) of your identity from a correctional facility in order
to get your SSN, that correctional facility must enter into a special formal
agreement with the SSA called a Memorandum of Understanding
1
(MOU). The purpose of the MOU is to ensure that the corrections
officials follow the same strict procedures and requirements as the SSA
officials do when they verify people’s identities. If your facility has an

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

How do I apply for a new or replacement Social Security card?, SOC. SEC. ADMIN.,
https://faq.ssa.gov/ics/support/kbanswer.asp?QuestionID=3755.
42
New or replacement Social Security Number Card, SOC. SEC. ADMIN., http://www.ssa.gov/ssnumber/.
43
SOC. SEC. ADMIN., PROGRAM OPERATIONS MANUAL SYSTEM, RM 10225.125 Replacement SSN Cards for Prison Inmates
Covered by a Memorandum of Understanding (February 27, 2014).
41

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MOU with the SSA, the SSA will accept the facility’s certification that you
are who you say you are as proof of your identity. However, not all state
corrections agencies or facilities have MOU agreements with the SSA. If
your facility does not have a current, valid, signed MOU with the SSA,
the SSA field office reviewer that evaluates your application cannot
accept a certification from the facility as a 100% proof of your identity. If
your facility does not have an MOU with the SSA, then its certification
carries less weight, and your application for a replacement Social
Security Card is more likely to get denied.
•

Your local Field Office/Reviewer. The practices of your local Field Office in
reviewing applications from incarcerated people will affect your ability to get
a Social Security Card while you are incarcerated.
o If your facility does not have an MOU with the SSA, the local Field Office
44
should still evaluate your application as it would any other application.
This means that your reviewer can consider the certification, but can’t
rely on it 100%. How much weight your reviewer gives to the certification
will depend on that field office’s practices. Some field offices accept
certifications without hassle; others do not. It’s always worth a try!

HOW DO I FIND OUT IF MY CORRECTIONAL FACILITY HAS A
MEMORANDUM OF UNDERSTANDING (MOU) AGREEMENT WITH
THE SOCIAL SECURITY ADMINISTRATION (SSA)?
Unfortunately, this information is not readily available. It may be best to just
apply for a replacement card and see if it works!

HOW DO I APPLY FOR MY REPLACEMENT CARD FROM INSIDE?
The process for requesting a replacement card while you are incarcerated is the
same whether your facility has an MOU with the SSA or not. Follow these steps:
STEP 1:

Get and fill out the application for a Social Security Card (Form SS-5).

The recommended way to get this form is by calling the Social Security
Administration (SSA) at 1-800-772-1213 and asking to have it mailed to you. You
may also be able to get the form by writing to your local Field Office or the
closest Social Security Administration Regional Office. The Regional Office that
serves California is:
SSA
Regional Public Affairs Office
P.O. Box 4201
Richmond, CA 94804
Keep in mind that this office also serves Arizona, Nevada, Hawaii, Guam,
American Samoa, and the Commonwealth of the Mariana Islands, so your
request may take some time. The form might also be available from your
Correctional Counselor or other prison services staff. (We have included a
sample Form SS-5 in Appendix D, PG. 100 for reference).
STEP 2: Gather the documents you will need.
You will need to submit two documents with your application:

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

SOC. SEC. ADMIN., PROGRAM OPERATIONS MANUAL SYSTEM, RM 10225.145 Processing SS-5 (Social Security Card
Application for Prisoners Under Terms of a Memorandum of Understanding (MOU) (March 3, 2011).
44

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•

•

!

Certification of Inmate Identity—If your facility has an MOU agreement with
the SSA, there will be a designated prison official who will verify your identity
through prison records and issue a “certification” to the SSA (explanation of
45
MOUs on PG. 33 above). If your facility does not have an MOU agreement
with the SSA, you should still ask for a certification. Talk to your correctional
counselor; he or she should know who is the best person at the prison to give
you a certification.
Information Release—You will need to sign a release of information giving
the SSA permission to send your Social Security Card/Number to your facility.
Ask your correctional counselor for this form.

HELPFUL HINT
Whether or not your institution has an MOU agreement with the SSA, you
should include the prison staff’s “certification” of your identity, as well as a
copy of your Prison ID card, if possible. In fact, you should include any & all
documents related to your identification, because the SSA must consider
everything. Start gathering documents while you’re incarcerated. If you don’t
have primary forms of ID, you can use these types of proof after you get
released, as well. Along with your birth certificate, these documents will
probably be enough. See more info on “other proof of identity” on PG. 37.

POST-RELEASE—GETTING A SOCIAL SECURITY
CARD AFTER YOU’RE OUT:
I AM FORMERLY INCARCERATED, AND I USED TO HAVE A SSN.
HOW DO I GET A REPLACEMENT SOCIAL SECURITY CARD?
You can apply to your local SSA office in person or make the
request by mail. We strongly recommend applying IN PERSON for
3 reasons:
1.

NEVER HAD A
SSN?

REASON 1: First, if you go in person, the SSA agent gets to
NEED AN
actually see that you are a real person, and this helps verify
ORIGINAL
your identify, especially if you are someone coming out of
CARD?
prison or jail without any other official ID documents.
You can only get an
2. REASON 2: Second, it will be less of a hassle for you to go in
original SSN & Card
person. If you request a replacement card by mail, you are
after you’re
required to submit your original ID documents with your
released. Go to
application. This means that while your application is being
PG. 38 to learn
processed, you won’t have these ID documents for other
how.
purposes. Applications can take days or weeks to process. Just
in case you still decide to request the replacement card by mail, we
explain both processes—in person (PG. 36) and by mail (PG. 37).
3. REASON 3: Lastly, the in-person process is much faster than the by-mail
process. If the SSA accepts your application, you will be able to leave with
your new Social Security Number the same day (and they will mail you the
card)!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

SOC. SEC. ADMIN., PROGRAM OPERATIONS MANUAL SYSTEM, RM 10225.125 Replacement SSN Cards for Prison Inmates
Covered by a Memorandum of Understanding (February 27, 2014), RM 10225.130 Negotiating a Memorandum of
Understanding (MOU) to Process Replacement SSN Cards for Prison Inmates (Oct. 27, 2009), RM 10225.135
Elements of Prisoner Replacement Card Memorandum of Understanding (MOU) (Oct. 27, 2009).
45

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!

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!

GETTING SOCIAL SECURITY CARD IN PERSON
I WANT TO GET A REPLACEMENT SOCIAL SECURITY CARD IN
PERSON (WHICH IS RECOMMENDED). HOW DO I DO THAT?
STEP 1:

Gather the documents you will need to show proof of
your identity.

Proof of identity requires 3 things (which you may be able to show
46
all in one document):
•
•
•

Proof of your age;
Proof of your citizenship or legal presence in the U.S.;
Proof that you are still alive.

As mentioned, you may only need to show one “primary” ID document
47
in order to get a replacement Social Security Card because a
“primary” ID document can prove all 3 of these things by itself. Primary
ID documents that are accepted to prove your identity for a
replacement Social Security Card are:
•
•
•

U.S. state-issued Driver License;
U.S. state-issued ID Card;
48
U.S. Passport.

NOT SURE IF
YOU EVER HAD
A SSN?
If you’re not sure if
you’ve ever had a
SSN, there is
unfortunately no
easy way to check.
There are services
that you can pay to
check, but it’s
unclear if they are
trustworthy. For this
situation, we
suggest trying to
get a replacement
card, and seeing if
the SSA tells you
that there was no
original card to
replace.

Any documents you submit to establish your identity must show your
legal name AND provide biographical information (your date of birth,
age, or parents’ names) and/or physical information (a photograph or physical
description—height, eye and hair color, etc.). Generally, ID documents without an
49
expiration date should have been issued within the past 2 years. If you don’t
have any of these documents, see
STEP 2: Find your local Social Security Administration Field Office or Card
Center.
Search online at http://www.socialsecurity.gov or call the Social Security
Administration (SSA) at 1-800-772-1213.
STEP 3: Go to your local SSA Field Office or Card Center and fill out the
application.
STEP 4: Meet with an SSA employee to verify your identity.
Remember, the SSA agent is going to evaluate the evidence you bring in and
make a judgment call as to who you are. While none of the documents you may
have might be enough alone to prove your identity, if you are there in person
with as much identifying documentation as possible, everything combined will
hopefully be enough to prove your identity.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

SOC. SEC. ADMIN., PROGRAM OPERATIONS MANUAL SYSTEM, RM 10210.405 Evidence of Identity for an SSN Card (March
20, 2013).
47
SOC. SEC. ADMIN., PROGRAM OPERATIONS MANUAL SYSTEM, RM 10210.020 Policy for Number of Documents Required
for an SSN Card (March 20, 2014).
48
SOC. SEC. ADMIN., PROGRAM OPERATIONS MANUAL SYSTEM, RM 10210.405 Evidence of Identity for an SSN Card (March
20, 2013); RM 10210.420 Priority List of Acceptable Evidence of Identity Documents (Nov. 17, 2014).
49
See APPLICATION FOR A SOCIAL SECURITY CARD (FORM SS-5), SOC. SEC. ADMIN. (Aug. 2011).
46

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!

HOW AM I SUPPOSED TO SHOW THESE IDENTIFICATION DOCUMENTS TO GET MY SOCIAL SECURITY
CARD WHEN I NEED MY SOCIAL SECURITY CARD TO GET THESE IDENTIFICATION DOCUMENTS? THIS
DOESN’T MAKE SENSE! HOW DO I NAVIGATE THIS ISSUE?
If you have been incarcerated for a long time, or were incarcerated when you were young, chances are you never had one
of these primary ID documents, or the government confiscated and destroyed it long ago. Unfortunately, the SSA writes
these rules for the general public and the most common situations—for people who still have valid and current primary ID
documents and can easily replace their Social Security Card.
Even if you do not have a form of primary identity documentation, you may still be able to get a replacement SSC. You
will need to gather as much identifying information and documentation as you can to include with your application. Then it
is up to the SSA to decide whether or not you have sufficiently proven who you are. This is done on a case-by-case basis.
IF YOU DO NOT HAVE A PRIMARY ID DOCUMENT, USE AS MANY OF THE FOLLOWING AS YOU HAVE:
1.
Authorized Birth Certificate—Without a primary ID document, your birth certificate will be the most important
document you submit. But the birth certificate alone is not enough to show proof of your identity. This is because the SSA
still needs proof that the person named on the birth certificate is alive and that you are that person!
2.
Other proof of identity—The more evidence of your identity that you can provide, the better. Any ID with your
picture and name on it, even if it is not government-issued, will make it easier to prove who you are to the SSA. Other
proof you can consider are: an employee ID; a school ID; a library card; a Prison ID card, a U.S. Military ID; a health
insurance or Medicaid/Medi-Cal card (not Medicare); or a certified copy of your medical record from a health clinic, doctor,
50
or hospital that treated you. The SSA employees are instructed to consider each applicant’s situation on a case-by-case
basis, and all of the evidence presented.

GETTING SOCIAL SECURITY CARD BY MAIL
I WANT TO GET A REPLACEMENT SOCIAL SECURITY CARD BY MAIL.
HOW DO I DO THAT?
STEP 1:

Obtain and fill out the application for a replacement card, Form SS-5.

You can get this form from your local SSA Field Office, download it from the
SSA’s website at http://www.socialsecurity.gov/forms/ss-5.pdf, or
call the SSA at 1-800-772-1213 and ask to have the form mailed to
REMEMBER TO
you. If you decide to call the SSA, be patient. You will likely not
MAKE COPIES OF
speak to a live person, but will have to navigate through several
DOCUMENTS
voice prompts before getting to the right function. (We have also
BEFORE
MAILING:
included a sample Form SS-5 in Appendix D, PG. 100 for
If you are sending your
reference).
STEP 2: Gather the documents you will need to show proof of
your identity
See STEP 1 on PG. 36 above—the same types of proof apply if you
51
send in your application by mail).
STEP 3: Mail your application and supporting documentation to
any Social Security Administration field office.
To get the address of your local field office, call 1-800-772-1213, or
visit the SSA’s website at: https://secure.ssa.gov/ICON/main.jsp and
52
enter your ZIP code.

application by mail,
you must send the
originals of all your ID
documents, so you
won’t have those
original documents
that you send in until
your claim has been
processed and the IDs
have been mailed back
to you. Make copies of
every document before
you send it in!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

SOC. SEC. ADMIN., PROGRAM OPERATIONS MANUAL SYSTEM, RM 10210.405 Evidence of Identity for an SSN Card (March
20, 2013); RM 10210.420 Priority List of Acceptable Evidence of Identity Documents (Nov. 17, 2014); RM 10210.430
What Documents Are Not Evidence of Identity for an SSN Card (March 20, 2013).
51
SOC. SEC. ADMIN., PROGRAM OPERATIONS MANUAL SYSTEM, RM 10210.405 Evidence of Identity for an SSN Card (March
20, 2013).
52
Learn What Documents You Need to Get a Social Security Card, SOC. SEC. ADMIN.,
http://www.socialsecurity.gov/ssnumber/ss5doc.htm.
50

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I AM FORMERLY INCARCERATED, AND I’VE NEVER HAD A SSN.
HOW DO I GET AN ORIGINAL SOCIAL SECURITY NUMBER &
CARD?
If you have never had a Social Security Number (SSN)—meaning you were never
assigned one at any point in your life—you will need to apply for an original
number. The process is fairly similar to the process for getting a replacement
card, but it must be done in person, and the ID requirement is even stricter.
STEP 1:

Gather the identifying documents you will need.

To get your SSN, you must verify your identify (a process called “enumeration”)
by showing proof of:
1) Your age;
2) U.S. Citizenship or Legal Presence; and
53
3) Your identity.
For an original SSN, you must bring more than one document to prove this
information (you can’t just use one “primary” ID document). However, the types
of ID documents you can use to prove your identity are the same as for getting a
54
replacement card (see PG. 36). Some documents will carry more weight than
others: an authorized certified birth certificate (or proof of naturalization, hospital
record, or religious record) will be the most important. Remember, the SSA Field
Office reviewer has to decide that you are who you claim to be. Give him or her
every reason to believe so and bring as much proof as possible.
STEP 2: Find your local Social Security Administration Field Office or Card
Center.
Go to the website https://secure.ssa.gov/ICON/main.jsp to locate a local SSA
field office.
STEP 3: Go to your local SSA Field Office or Card Center and fill out the
application (Form SS-5).
STEP 4: Meet with an SSA employee to verify your identity.
Bring with you everything that could help prove who you are—even family
members who can vouch for you (they must bring valid ID for themselves)! An
SSA Field Office reviewer will interview you and review all the documents you
bring. Depending on what you provide, the reviewer may ask for additional
55
evidence of your age, citizenship/legal presence, or identity. The reviewer will
56
enter all of your documentation into the SSA’s electronic application system.
Generally, if the reviewer believes your documents are authentic and you are
who you say you are, your completed electronic application will be sent to a
central office, and you’ll be issued a Social Security Card within about 2 weeks.
If your information needs to be verified, the process could take several weeks or
57
even months.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

SOC. SEC. ADMIN., PROGRAM OPERATIONS MANUAL SYSTEM, RM 10210.020 Policy for Number of Documents Required
for an SSN Card (Sept. 30 2013).
54
SOC. SEC. ADMIN., PROGRAM OPERATIONS MANUAL SYSTEM, RM 10210.405 Evidence of Identity for an SSN Card (March
20, 2013); RM 10210.420 Priority List of Acceptable Evidence of Identity Documents (Nov. 17, 2014); RM 10210.430
What Documents Are Not Evidence of Identity for an SSN Card (March 20, 2013).
55
SOC. SEC. ADMIN., PROGRAM OPERATIONS MANUAL SYSTEM, RM 10210.210 Reviewing Age, Identity, Citizenship and
Lawful Alien Status Evidence for an SSN Card; RM 10210.410 How Do you Examine, Evaluate, and Assess
Documents Submitted as Evidence of Identity (March 20, 2013).
56
SOC. SEC. ADMIN., PROGRAM OPERATIONS MANUAL SYSTEM, RM 102201.025 Enumeration Process: SSA Component
Responsibilities (Feb. 27, 2014).
57
SOC. SEC. ADMIN., PROGRAM OPERATIONS MANUAL SYSTEM, RM 10205.100 How Long Does it Take to Get an SSN
Card? (March 3, 2013).
53

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IV. CALIFORNIA’S FORMS OF
IDENTIFICATION: STATE
ID CARD, DRIVER LICENSE
& MUNICIPAL ID
WHAT WILL I LEARN?
•
•

•
•
•
•
•
•
•
•

The difference between a state ID and driver license, and how
to decide which will be most useful to you
How to apply for a state ID if you:
o Have never been issued a California ID
o Have an expired California ID
o Are currently incarcerated
How to apply for a duplicate card if you know you have a nonexpired California ID but misplaced the original card
How to get the DMV to reduce your application fee for a
California ID, if you are eligible
How to get a valid ID or driver license if you are
undocumented
How to get a new California driver license
What to do if you have an expired California driver license
What to do if you have a driver license from another state
How to find out if your license has been suspended or
revoked and, if so, what you can do about it
What happens when you have an outstanding traffic ticket in
another state

A State ID Card and a Driver License are the most commonly used forms of
identification for most people in their daily lives. In California, the Department of
Motor Vehicles (DMV) issues both of these documents. The major difference
between the two forms of ID is that a California State ID Card can only be used
for identification purposes, but does not permit you to drive a car. A California
58
Driver License can be used for identification AND permits you to drive a car.
Once you have an authorized copy of your birth certificate (PG. 22) and know
your Social Security Number (SSN) (PG. 32), you have what you need to apply for
a California state ID card and/or a California Driver’s License.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
58

Driver License and Identification Card Information, CAL. DMV, http://www.dmv.ca.gov/dl/dl_info.htm#idcard.

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WHICH ONE IS RIGHT FOR ME—A CALIFORNIA STATE ID CARD,
OR A CALIFORNIA DRIVER LICENSE? WHAT’S THE DIFFERENCE?
Both a California State ID and a California Driver License serve as an official
government-issued, photo identification that can be used to prove your identity,
age, and legal presence* in the United States. Either one will allow you to prove
your identity, for example, when you open a bank account, register to
ARE YOU
vote, or apply for jobs, housing, or public benefits.

UNDOCUMENTED?

If you eventually want to drive, you will need to get a Driver License,
See notes on PG. 40,
but because that process requires testing, we recommend that you
and PG. 58 for more
get a California State ID first, so that you can get an official ID faster.
information!
Once you get a CA State ID, you can always go back and take a
driving test to get your Driver License. But this allows you to have official ID
easily and quickly.

THIS CHART COMPARES 2 TYPES OF IDENTIFICATION: CALIFORNIA STATE ID VS. DRIVER LICENSE.

CALIFORNIA STATE ID vs. DRIVER LICENSE
CALIFORNIA STATE ID

CALIFORNIA DRIVER LICENSE

Government-issued ID; can be used to prove age, identity,
and legal presence.

Government-issued ID; can be used to prove age, identity,
and legal presence.*

May be obtained while incarcerated through Cal-ID
program.

Cannot apply while incarcerated; you must apply in person
upon release.

Requires only birth certificate and SSN.

Requires birth certificate and SSN, plus you must take and
pass a written and a road test

Does not authorize you to drive a car.

Authorizes you to drive a car.

No restrictions based on criminal history—you can get one
no matter what your record looks like.

There could be some restrictions, depending on your
criminal history.

* A NOTE IF YOU ARE UNDOCUMENTED:
As of January 1, 2015, if you cannot provide proof of legal presence in the United States, but otherwise qualify
for a California Driver License, will can apply for a “non-ID License.” Holder of this license can legally drive a
motor vehicle in CA, but it won’t count as a government-issued proof of identity, and it will not prove legal
59
presence in the United States for any purpose. Also read the note on PG. 58 to learn about other forms of ID
in California for undocumented people.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
59

CAL. VEH. CODE §§ 12800-12801, 12801.9.

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PRE-RELEASE PLANNING—GETTING A CA
STATE ID OR CA DRIVER LICENSE WHILE
INCARCERATED
I AM CURRENTLY INCARCERATED. CAN I APPLY FOR A CA
STATE ID OR A CA DRIVER LICENSE?
You cannot apply for a Driver License from prison or jail. This must be done in
person.
But you might be able to apply for a California State ID if your prison has a
California Identification Card program (“Cal-ID program”) and you have a
release date. Find more information on the Cal-ID program on PG. 41.

WHAT IS THE CAL-ID PROGRAM?
The Cal ID program provides eligible state prisoners with a valid CA State ID—
60
FOR FREE—at the time they are released from state prison.
In the past, the Cal-ID program was available only at CDCR prisons designated
as “Reentry Hubs.” But starting January 1, 2015, under a new state law, the Cal61
ID program must be expanded to ALL adult state prisons in California. This
means all eligible prisoners preparing for release SHOULD receive a California
State ID when they leave prison—but the prisons have been slow to put this
program in place.
As of the writing of this manual, the “Reentry Hub” facilities that already have
the Cal-ID Program set up are:
• Avenal State Prison (ASP)
• Central California Women’s Facility (CCWF)
• California Institution for Men (CIM)
• California Institution for Women (CIW)
• California Men’s Colony (CMC)
• Correctional Training Facility (CTF)
• Chuckawalla Valley State Prison (CVSP)
• Folsom Women’s Facility (FWF)
• High Desert State Prison (HDSP)
• Ironwood State Prison (ISP)
• California State Prison, Los Angeles County (LAC)
• Substance Abuse Treatment Facility (SATF)
• Valley State Prison (VSP)

WHO IS ELIGIBLE FOR THE CAL-ID PROGRAM?
Under the expanded Cal-ID program, you are eligible for a CA State ID if:
• You have a release date AND you are 4-7 months (120-210 days) from that
release date;
• You previously had a CA State ID or Driver License;

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 3007.05 (2015); California Identification (CAL-ID) Card Program, CAL. DEP’T OF CORR. & REHAB.,
http://www.cdcr.ca.gov/rehabilitation/cal-id.html.
61
CAL. PENAL CODE § 3007.05 (2015).
60

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•
•
•
•
•
•
•

Your previous CA State ID or Driver License was issued in the past 10 years;
You don’t owe any DMV fees for your previous CA State ID or Driver
License;
You have a photo on file with the DMV that is no more than 10 years old;
You don’t have any active felony holds, warrants, or detainers that could
cause you to go back to prison or jail after your release;
You don’t have an active Immigration and Customs Enforcement (ICE) hold
that would cause you to be deported after your release;
You can provide an address where you will live after your release; and
You provide the following information, and the DMV can make sure it’s true:
o True full name;
o Date of birth;
o Valid Social Security Number (SSN);
o Legal presence (legal immigration status) in the U.S..

REMEMBER: Even if you are not eligible under the Cal-ID program, you can still
apply for a California State ID through the normal process after you are
released. Learn how to apply for a CA State ID once you’re out below.
Note: CDCR should have your information on file, in case you don’t know some
62
of these details.

I THINK I AM ELIGIBLE UNDER THE CAL-ID PROGRAM. HOW DO I
APPLY?63
If you want to apply for a California State ID through the Cal-ID program, talk to
your correctional counselor at the prison. As your release date approaches, you
should be meeting with your counselor to develop a reentry plan. If you’re
eligible for the Cal-ID program, your counselor should help you fill out the
application for a CA State ID. The prison staff will check that all of your
information is accurate, and then send your application to the DMV.
If the DMV finds that you are eligible, it will send your new CA State ID to the
prison. The prison will hold the ID in your file, and give it to you at the time you
are released. Note: It’s possible you CA State ID card won’t arrive in time before
your release—for example, if your release date is recalculated so that you get
out earlier than expected. In this case, once your State ID card is ready, the
prison will send it to your address on the outside, or (if you’re on parole) send it
to your parole officer to give it to you.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 3007.05; California Identification (CAL-ID) Card Program, CAL. DEP’T OF CORR. & REHAB.,
http://www.cdcr.ca.gov/rehabilitation/cal-id.html; Telephone call with Kris Applegate, CDCR Div. of Rehabilitative
Programs (Jan. 7, 2015) (confirming that expanded Cal-ID program does not change eligibility or operational criteria,
but simply expands programs to additional facilities and codifies current DMV eligibility (approval) practices).
63
Telephone call with Kris Applegate, CDCR Div. of Rehabilitative Programs (Jan. 7, 2015).
62

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POST-RELEASE—GETTING A CA STATE ID OR
DRIVER LICENSE AFTER YOU’RE OUT
I AM FORMERLY INCARCERATED AND WANT TO GET A
CALIFORNIA STATE ID. HOW DO I APPLY?
There are 2 types of California State ID cards: (1) regular State ID
cards, which are good for 6 years, and (2) senior State ID cards, for
people who are 62 years and older, which are good for 10 years.
•
•
•

If you have never had a California State ID card, you will need to
apply for a new card.
If you had a California ID State ID card in the past, but it expired,
you will need to apply for a new card.
If you had a California State ID card in the past and it has not
expired (it’s still good), you will need to apply for a duplicate card.

The process and the application form are the same for all 3 situations.
Follow the steps below:
STEP 1:

Find a DMV office near you. You must apply for a California
state ID in person at the DMV.
64

There are 179 local DMV field offices throughout the state. You can
find the office closest to you by calling the DMV directly at: 1-800-7770133, or by looking up field offices on the DMV’s website at:
http://apps.dmv.ca.gov/fo/fotoc.htm. The DMV website offers both a
65
66
city-by-city directory and a “regional map” where you can search
for a field office by your home address.
STEP 2: Prepare the required information and documents you need
to bring to the DMV office. You will need:
•

67

Your Social Security Number (SSN)
You must provide a 9-digit SSN to the DMV (with one small
exception explained below). You will not be required to show your
68
actual Social Security card, just to know your number. (If you don't
have or don’t know your SSN, go to PG. 32 to learn how to get one
and start that process first.)

OPTIONAL
STEPS TO SAVE
YOU TIME!
(1) Schedule an
Appointment. You
can call (1-800-7770133) or go online
(http://www.dmv.ca.
gov) ahead of time
and request a
specific
appointment time to
avoid having to wait
in line with
everyone else.
Some offices have a
back-log of
appointments and
you might not be
able to get one for
several weeks. In
that case, going in
person might be
better!
(2) Request an
Application by Mail
to fill out before you
go. You can call the
DMV at 1-800-7770133 to request to
have the California
Driver License or ID
Card Application
(Form DL 44) mailed
to you if you prefer
to fill it out at home.
Remember, you will
still have to go to
the DMV office in
person to submit
this application (you
cant do it by mail).

ONE SMALL EXCEPTION: You don’t need to bring a SSN to the
69
DMV if you are a non-U.S. citizen who is legally present in the
United States, but you don’t have a SSN because you aren’t
70
authorized to work. If this is your situation, you can still apply
for a CA State ID. To do so, you must prove #2 (birth date and
71
72
legal presence in the U.S.) as described below. !

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

WHAT DOES
“LEGALLY
PRESENT”
MEAN?
Legal presence
means that you are
lawfully residing in
the U.S.

DMV Public Offices by Location, CAL. DMV, http://apps.dmv.ca.gov/fo/offices/toc_fo.htm.
See DMV Public Offices by Location, CAL. DMV, http://apps.dmv.ca.gov/fo/offices/toc_fo.htm.
See DMV Regional Maps, CAL. DMV, http://apps.dmv.ca.gov/web/fomap.html.
67
13 CAL. CODE REGS. § 15.04; CAL. VEH. CODE §§ 1653.5(a)(b), 12800(a), 12801.
68
CAL. VEH. CODE § 12801(2).
69
For the California DMV’s full definition of “legal presence,” see Limited Term for Legal Presence Driver License
and Identification Card Applications, CAL. DMV, https://www.dmv.ca.gov/portal/dmv/?1dmy&urile=wcm:path:/
dmv_content_en/dmv/pubs/brochures/fast_facts/ffdl32.
70
13 CAL. CODE REGS. § 15.04(c); see also Social Security Numbers for Noncitizens (Publication No. 05-10096), SOC.
SEC. ADMIN. (Aug. 2013).
71
13 CAL. CODE REGS. § 15.04(c).
72
The DMV will take your information and double-check your status, then complete your application. See
https://www.dmv.ca.gov/pubs/brochures/fast_facts/ffd108.htm.
64
65
66

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•

73

Proof of your birth date & legal presence
Whether you have a SSN or not, you must prove your birth date and legal
presence in the United States. The DMV accepts many kinds of
documents for this purpose, depending on your situation. Examples
include:
o If you are a U.S. citizen: An authorized U.S. birth certificate, U.S.
74
military ID, certificate of U.S. naturalization or citizenship, or
certification from the California Department of Corrections &
75
Rehabilitation (CDCR).
o If you are NOT a U.S. citizen: A valid foreign passport with valid I76
94; permanent resident alien card (“green card”); U.S. border
77
crossing card with valid I-94; refugee travel document; or judge’s
78
order granting you asylum.
o For a complete list of documents that the DMV accepts to prove
79
legal presence, see Appendix E, PG. 102.

TO GET A REDUCED-FEE ID, YOU SHOULD ALSO BRING TO THE DMV:
• Proof that you receive public benefits—(Form DL 937 filled out).
o If you receive public benefits from a government program such as
CalWORKs, CalFresh (“food stamps”), or General Assistance/General
80
Relief (GA or GR), you may be eligible for a fee reduction.
o Go to the county office that manages your public benefits, and ask
for someone there to fill out and sign the DMV form called
“Verification for Reduced Fee Identification Card” (Form DL 937—last
updated 8/2004, see copy in Appendix F, PG. 103). Bring the
81
completed and signed form with you to the DMV. Alternatively, if
you receive services from a nonprofit organization—like a health
clinic, legal services provider, etc.—you can ask if a staff person at
the nonprofit is able to fill out and sign the DMV Form 937 for you to
verify your public benefits. IF YOU QUALIFY, you will pay $8 instead
82
of the standard fee of $28 for your CA State ID!
STEP 3: Go to your local DMV office to submit your application and pay the
fee.
Have your information and documents ready, and complete the Application
Form (Form DL 44) if you have not already. Make sure you provide a reliable and
accurate mailing address that will be good for at least 60 days where you will be
83
able to receive your CA State ID. At the DMV, you will be asked to give your
84
thumbprint and have your photo taken.
FEE PAYMENT: Pay $28 by cash, check, money order, or debit card (not credit
card). Exceptions: (1) If you bring proof that you receive public assistance, you

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Driver License and Identification Card Information, CAL. DMV, http://www.dmv.ca.gov/dl/dl_info.htm#BDLP.
13 CAL. CODE REGS. § 15.00(a).
13 CAL. CODE REGS. § 15.00(e); see also CAL. DMV, http://www.dmv.ca.gov. The information about requesting
certification from CDCR is based on a telephone call with Rhonda Johnson, Supervisor at the CDCR Archives Unit
(Jan. 21, 2015).
76
13 CAL. CODE REGS. § 15.00(d).
77
13 CAL. CODE REGS. § 15.00(b).
78
13 CAL. CODE REGS. § 15.00(e).
79
13 CAL. CODE REGS. § 15.00.
80
13 CAL. CODE REGS. § 15.07.
81
13 CAL. CODE REGS. § 15.07.
82
Reduced fee ID card, CAL. DMV, http://www.dmv.ca.gov/dl/dl_info.htm#idcard_reducedfee.
83
How to apply for or renew an identification (ID) card, CAL. DMV, http://www.dmv.ca.gov/dl/dl_info.htm#idrenew. If
you are homeless or in transition, provide the address of a shelter, transitional housing, P.O. box, family, or trusted
friend where you can securely receive mail.
84
How to apply for or renew an identification (ID) card, CAL. DMV, http://www.dmv.ca.gov/dl/dl_info.htm#idrenew.
73
74
75

PAGE 44 OF 1210

HOW DO I GET
CDCR
CERTIFICATION?
To get certification
from CDCR, send a
letter requesting a
Legal Status
Summary from:
CDCR Archives Unit,
2015 Aerojet Rd.,
Suite D, Rancho
Cordova, 95742
In your letter, state
that you are
requesting a Legal
Status Summary to
prove your birth date
and legal presence to
the DMV. You must
include your name,
CDCR number, phone
number, signature, &
a reliable address
where the Archives
Unit can mail you
back the certification.
No requests by phone
or fax—you must
write a letter.

ROADMAP TO REENTRY

85

can get a Reduced Fee ID for $8 (see PG. 44);
86
can get a Senior ID for FREE.

!

(2) If you are over age 62, you

STEP 4: Receive your Temporary ID, and wait for your official CA State ID card
in to come by mail.
After you have submitted your application and paid the fee, DMV staff will print a
temporary paper ID for you. You can use this temporary paper ID until your
official CA State ID card arrives in the mail. HOWEVER, your temporary ID will
not have your photo on it, so it usually won’t be accepted as proof of your
87
identity. Your CA State ID will be valid for 6 years.

I AM FORMERLY INCARCERATED AND WANT TO GET A
CALIFORNIA DRIVER LICENSE. HOW DO I APPLY?
Below are three charts that explain the process of getting your CA Driver License after you are
released. Go to one of the following three charts—whichever is appropriate for your situation—
for detailed steps on how to get a California Driver License:
(A) “I’ve never had a Driver License, but I want one.”
(B) “I used to have a Driver License, but it expired.”
(C) “I used to have a Driver License, but it’s from another state.”
PLEASE NOTE: AFTER January 1, 2015, under new state law, if you cannot prove
legal presence in the U.S., you can get a Driver License ONLY as proof of
88
authorization to drive , not as ID. You will need: (1) Proof of Identity, and
(2) Proof of California Residency. See Appendix H, PG. 107 a full list of
89
acceptable identity and residency verification documents under the new law.

!

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Reduced fee ID card, CAL. DMV, http://www.dmv.ca.gov/dl/dl_info.htm#idcard_reducedfee, Driver
License/Identification Card Application Fees, CAL. DMV, http://www.dmv.ca.gov/dl/fees/driverlicense_fees.htm.
86
Identification (ID) cards, CAL. DMV, http://www.dmv.ca.gov/dl/dl_info.htm#idcard, Driver License/Identification
Card Application Fees, CAL. DMV, http://www.dmv.ca.gov/dl/fees/driverlicense_fees.htm.
87
It expires on the sixth birthday you have after it is issued. CAL. VEH. CODE § 13002.
88
The Safe and Responsible Driver Act (AB 60), which will amend CAL. VEH. CODE §§ 1653.5, 12800, 12801, and 13002,
and which will repeal CAL. VEH. CODE §§ 12801.5, 12801.6, and 12801.8, as they relate to driver licenses.
89
CAL. VEH. CODE §§ 1653.5, 12800, 12801, 12801.5, 12801.9.
85

PAGE 45 OF 1210

ROADMAP TO REENTRY
!

I NEED A DRIVER LICENSE.
(A) I’VE NEVER HAD A DRIVER LICENSE . . .
WHAT DO I HAVE TO DO TO DRIVE LEGALLY?

…BUT
I
WANT
ONE

New
driver

1)

2)

3)

4)

5)

6)

7)

8)

Find a DMV office near you. (Go to http://apps.dmv.ca.gov/fo/offices/locator/locator.htm to locate one.)
a) Prepare the information and documents you need to bring to the DMV. For U.S. Citizens and those legally present in
the U.S. this information is: (1) Your 9-digit Social Security Number. (If you don’t have/don’t know your SSN, follow the
instructions on PG. 32 first), and (2) Proof of Birth Date and Legal Presence. (See PG. 43 to find out how)
Submit Driver License application to DMV.
a) Present the documents and information listed above, along with an accurate mailing address that will be good for at
least 60 days.
b) Give a thumbprint; get your photo taken; pass a vision test.
c) PAY THE FEE OF $33. You may pay by cash, check, money order, or debit card—but not credit card. You can’t reduce
this fee.
Prepare for the written (or audio) traffic test.
a) Review the California Driver Handbook, which is available for free at any DMV office, or online at
https://apps.dmv.ca.gov/pubs/dl600.pdf. The Handbook is available in print and audio forms, and has been translated
90
into several different languages.
b) Take a free optional driving knowledge tutorial at www.dmv.ca.gov/pubs/interactive/tdrive/flash/flash_intro.htm.
c) Take a sample test. You can ask for a free sample test at your DMV office, or can find one online at
91
www.dmv.ca.gov/pubs/interactive/tdrive/exam.htm.
Make an appointment to take the written (or audio) traffic test
a) By phone at 1-800-777-0133, or online (http://www.dmv.ca.gov).
b) The DMV doesn’t give test after 4:30 p.m., so be sure to schedule an appointment early enough to give you time to
92
wait in line, fill out papers, and take the test.
c) If you want to take an audio version of the test or have an examiner read the questions to you, the DMV should
accommodate this request. The written version is offered in 32 languages. The audio version is offered in 12
93
languages.
Pass written/audio traffic test.
a) If you don’t pass: you must wait until the next day to retake it. Over the next 12 months, you can take it again for free
94
up to 2 more times. After that, you must pay to take it again.
b) If you pass: the DMV will issue you a permit that you must have on when you practice driving with a licensed driver.
Prepare for the behind-the-wheel road test.
a) Have a licensed adult driver in the car with you while you practice driving. You’ll want to practice starting the vehicle,
moving forward, stopping, turning, backing up, changing lanes, driving on the freeway, parking, and using defensive
95
driving techniques.
b) NOTE: Until you pass your road test, it’s illegal for you to drive without a licensed driver in the vehicle with you.
Book an appointment to take the behind-the-wheel road test.
a) By phone (1-800-777-0133), or online (http://www.dmv.ca.gov/foa/welcome.do?localeName=en).
b) The DMV does not have cars for you to drive—you must bring one that is safe to drive and has a valid registration card.
If you plan on driving to your appointment, remember to go with an adult licensed driver.
96
c) Bring proof of insurance to the DMV for the car you plan on driving. You must have proof the car is properly
97
insured.
Take the behind-the-wheel road test
a) IF YOU PASS: you’ll get a temporary California Driver License to use until your official photo license arrives by mail.
The temporary license is valid for 60 days. If your photo license doesn’t arrive in the mail within 60 days, call 1-800777-0133 to check the status of your license. When you call, have your temporary license available to provide
information.
b) IF YOU DON’T PASS: keep practicing and make an appointment to take another driving test. Within 12 months after
getting your permit, you can take the test up to 2 more times for $6 each time. After that, you must restart all the
98
steps, including submitting a new application form, taking the written (or audio) test, then taking the road test.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Publications, DMV, https://www.dmv.ca.gov/pubs/pubs.htm.
These are available in English and American Sign Language, for both online and paper versions. Samples of Driver
License Written Tests, DMV, www.dmv.ca.gov/pubs/interactive/tdrive/exam.htm.
92
How to apply for a driver license if you are over 18, CAL. DMV, http://www.dmv.ca.gov/dl/dl_info.htm - two500.
93
The DMV offers the audio traffic test in Armenian, Chinese/Mandarin, Hindi, Hmong, Japanese, Korean,
Portuguese, Punjabi, Russian, Spanish, and Vietnamese. What other languages is the written or audio test available
in?, DMV, http://www.dmv.ca.gov/dl/dl_info.htm#languages.
94
How to apply for a permit if you are under 18, DMV, http://www.dmv.ca.gov/teenweb/permit_btn1/apply.htm.
95
To learn more about what the test involves and how to prepare for it, visit
https://www.dmv.ca.gov/pubs/cdl_htm/sec13.htm or http://www.dmv.ca.gov/pubs/brochures/fast_facts/ffdl22.htm.
96
If you’re borrowing this car from a friend or family member, make sure that either (1) the car’s insurance policy has
you listed as a regular driver, or (2) the insurance policy allows for “permissive users.” (Most car insurance policies
allow for permissive users, which means that if the car owner gives you permission to drive the car, the insurance
company will cover any damage to the car.)
97
How to apply for a driver license if you are over 18, CAL. DMV, http://www.dmv.ca.gov/dl/dl_info.htm#two500.
90
91

PAGE 46 OF 1210

ROADMAP TO REENTRY
!

I NEED A DRIVER LICENSE.
(B) I USED TO HAVE A DRIVER LICENSE, BUT IT EXPIRED.
WHAT DO I HAVE TO DO TO DRIVE LEGALLY?

LENGTH
OF TIME
SINCE
D.L.
EXPIRED

I used to 1)
2)
have a
Driver
License,
but it
3)
expired
less than
6
months
ago.

Find a DMV office near you (go to http://apps.dmv.ca.gov/fo/offices/locator/locator.htm to locate one)
Prepare the information and documents you need to bring to the DMV. For U.S. Citizens and those legally present in the
U.S. this information is:
99
a) Your 9-digit Social Security Number. (If you don’t have/don’t know your SSN, follow the instructions on PG. 32)
b) Proof of Birth Date and Legal Presence. (See PG. 43 to find out how)
Submit Driver License application to DMV.
a) Present the documents and information listed above, along with an accurate mailing address that will be good for at
least 60 days.
100
b) Give a thumbprint; get your photo taken; pass a vision test.
101
c) PAY THE FEE OF $33. You may pay by cash, check, money order, or debit card—but not credit card. There is no
option to reduce this fee.

I used to
have a
Driver
License,
but it
expired
more
than 6
months
ago, but
less than
4 years
ago.

Find a DMV office near you. (Go to http://apps.dmv.ca.gov/fo/offices/locator/locator.htm to locate one)
Prepare the information and documents you need to bring to the DMV. For U.S. Citizens and those legally present in the
U.S. this information is:
102
a) Your 9-digit Social Security Number. (If you don’t have/don’t know your SSN, follow the instructions on PG. 32)
b) Proof of Birth Date and Legal Presence. (See PG. 43 to find out how)
Submit Driver License application to DMV.
a) Present the documents and information listed above, along with an accurate mailing address that will be good for at
least 60 days.
103
b) Give a thumbprint; get your photo taken; pass a vision test.
104
c) PAY THE FEE OF $33. You may pay by cash, check, money order, or debit card—but not credit card. There is no
option to reduce this fee.
Prepare for the written (or audio) traffic test.
a) Review the California Driver Handbook, which is available for free at any DMV office, or online at
https://apps.dmv.ca.gov/pubs/dl600.pdf. The
Handbook is available in print and audio forms, and has been
105
translated into several different languages.
b) Take a free optional driving knowledge tutorial at www.dmv.ca.gov/pubs/interactive/tdrive/flash/flash_intro.htm.
c) Take a sample test. You can ask for a free sample test
at your DMV office, or can find one online at
106
www.dmv.ca.gov/pubs/interactive/tdrive/exam.htm.
Make an appointment to take the written (or audio) traffic test
a) By phone at 1-800-777-0133, or online (http://www.dmv.ca.gov).
b) The DMV doesn’t give test after 4:30 PM, so107
be sure to schedule an appointment early enough to give you time to
wait in line, fill out papers, and take the test.
c) If you want to take an audio version of the test or have an examiner read the
questions to you, the DMV should
108
accommodate
this request. The written version is offered in 32 languages. The audio version is offered in 12
109
languages.
Pass written/audio traffic test.
a) If you don’t pass: you must wait until the next day to retake it. Over
the next 12 months, you can take it again for
110
free up to 2 more times. After that, you must pay to take it again.

1)
2)

3)

4)

5)

6)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
CAL. VEH. CODE § 12506, How to apply for a driver license if you are over 18, CAL. DMV,
http://www.dmv.ca.gov/dl/dl_info.htm#two500.
99
CAL. VEH. CODE § 12801(2).
100
How to apply for a driver license if you are over 18, CAL. DMV, http://www.dmv.ca.gov/dl/dl_info.htm#two500. If
you don’t pass, you may be referred to a vision specialist, who may then prescribe eyeglasses, or a stronger
eyeglass prescription than you currently wear. Vision exam requirement, DMV,
http://www.dmv.ca.gov/dl/dl_info.htm - VISION
101
Driver License/Identification Card Application Fees, CAL. DMV,
http://www.dmv.ca.gov/dl/fees/driverlicense_fees.htm.
102
CAL. VEH. CODE § 12801(2).
103
How to apply for a driver license if you are over 18, CAL. DMV, http://www.dmv.ca.gov/dl/dl_info.htm#two500. If
you don’t pass, you may be referred to a vision specialist, who may then prescribe eyeglasses, or a stronger
eyeglass prescription than you currently wear. Vision exam requirement, DMV,
http://www.dmv.ca.gov/dl/dl_info.htm - VISION
104
Driver License/Identification Card Application Fees, CAL. DMV,
http://www.dmv.ca.gov/dl/fees/driverlicense_fees.htm
105
Publications, DMV, https://www.dmv.ca.gov/pubs/pubs.htm.
106
These are available in English and American Sign Language, for both online and paper versions. Samples of
Driver License Written Tests, DMV, www.dmv.ca.gov/pubs/interactive/tdrive/exam.htm.
107
How to apply for a driver license if you are over 18, CAL. DMV, http://www.dmv.ca.gov/dl/dl_info.htm - two500
108
The DMV offers the written traffic test in Amharic, Arabic, Armenian, Cambodian, Chinese, Croatian, French,
German, Greek, Hebrew, Hindi, Hmong, Hungarian, Indonesian, Italian, Japanese, Korean, Laotian, Persian/Farsi,
Polish, Portuguese, Punjabi, Romanian, Russian, Samoan, Spanish, Tagalog/Filipino, Thai, Tongan, Turkish, and
Vietnamese. What other languages is the written or audio test available in?, DMV,
http://www.dmv.ca.gov/dl/dl_info.htm#languages
109
The DMV offers the audio traffic test in Armenian, Chinese/Mandarin, Hindi, Hmong, Japanese, Korean,
Portuguese, Punjabi, Russian, Spanish, and Vietnamese. What other languages is the written or audio test available
in?, DMV, http://www.dmv.ca.gov/dl/dl_info.htm#languages
110
How to apply for a permit if you are under 18, DMV, http://www.dmv.ca.gov/teenweb/permit_btn1/apply.htm
98

PAGE 47 OF 1210

ROADMAP TO REENTRY
!

I used to
have a
Driver
License,
but it
expired
more
than 4
years
ago.

1)
2)

Find a DMV office near you. (Go to http://apps.dmv.ca.gov/fo/offices/locator/locator.htm to locate one)
Prepare the information and documents you need to bring to the DMV. For U.S. Citizens and those legally present in the
U.S. this information is:
111
a) Your 9-digit Social Security Number. (If you don’t have/don’t know your SSN, follow the instructions on PG. 32)
b) Proof of Birth Date and Legal Presence. (See PG. 43 to find out how)
3) Submit Driver License application to DMV.
a) Present the documents
and information listed above, along with an accurate mailing address that will be good for at
112
least 60 days.
113
b) Give a thumbprint; get your photo taken; pass a vision test.
114
c) PAY THE FEE OF $33. You may pay by cash, check, money order, or debit card—but not credit card. There is no
option to reduce this fee.
4) Prepare for the written (or audio) traffic test.
a) Review the California Driver Handbook, which is available for free at any DMV office, or online at
https://apps.dmv.ca.gov/pubs/dl600.pdf. The
Handbook is available in print and audio forms, and has been
115
translated into several different languages.
b) Take a free optional driving knowledge tutorial at www.dmv.ca.gov/pubs/interactive/tdrive/flash/flash_intro.htm.
c) Take a sample test. You can ask for a free sample test
at your DMV office, or can find one online at
116
www.dmv.ca.gov/pubs/interactive/tdrive/exam.htm.
5) Make an appointment to take the written (or audio) traffic test
a) By phone at 1-800-777-0133, or online (http://www.dmv.ca.gov).
b) The DMV doesn’t give test after 4:30 PM, so be sure to schedule an appointment early enough to give you time to
117
wait in line, fill out papers, and take the test.
c) If you want to take an audio version of the test or have an examiner read the
questions to you, the DMV should
118
accommodate this request. The written version is offered in 32 languages. The audio version is offered in 12
119
languages.
6) Pass written/audio traffic test.
a) If you don’t pass: you must wait until the next day to retake it. Over the next 12 months, you can take it again for
120
free up to 2 more times. After that, you must pay to take it again.
b) If you pass: the DMV will issue you a permit that you must have on when you practice driving with a licensed driver.
7) Prepare for the behind-the-wheel road test.
8) Have a licensed adult driver in the car with you while you practice driving. You’ll want to practice starting the vehicle,
moving forward, stopping,
turning, backing up, changing lanes, driving on the freeway, parking, and using defensive
121
driving techniques.
9) NOTE: Until you pass your road test, it’s illegal for you to drive without a licensed driver in the vehicle with you.
10) Book an appointment to take the behind-the-wheel road test.
a) By phone (1-800-777-0133), or online (http://www.dmv.ca.gov/foa/welcome.do?localeName=en).
b) The DMV does not have cars for you to drive—you must bring one that is safe to drive and has a valid registration
card. If you plan on driving to your appointment, remember to go with an adult 122
licensed driver.
c) Arrange to bring proof of insurance to the DMV for the car you plan on driving. You must have proof the car is
123
properly insured.
11) Take the behind-the-wheel road test
a) IF YOU PASS: you’ll get a temporary California Driver License to use until your official photo license arrives by mail.
The temporary license is valid for 60 days. If your photo license doesn’t arrive in the mail within 60 days, call 1-800777-0133 to check the status of your license. When you call, have your temporary license available to provide
information.
b) IF YOU DON’T PASS: keep practicing and make an appointment to take another driving test. Within 12 months after
getting your permit, you can take the test up to 2 more times for $6 each time. After that, you must restart all the
124
steps, including submitting a new application form, taking the written (or audio) test, then taking the road test.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. VEH. CODE § 12801(2).
How to apply for a driver license if you are over 18, CAL. DMV, http://www.dmv.ca.gov/dl/dl_info.htm - two500
How to apply for a driver license if you are over 18, CAL. DMV, http://www.dmv.ca.gov/dl/dl_info.htm#two500. If
you don’t pass, you may be referred to a vision specialist, who may then prescribe eyeglasses, or a stronger
eyeglass prescription than you currently wear http://www.dmv.ca.gov/dl/dl_info.htm#VISION
114
Driver License/Identification Card Application Fees, DMV, http://www.dmv.ca.gov/dl/fees/driverlicense_fees.htm
115
Publications, DMV, https://www.dmv.ca.gov/pubs/pubs.htm.
116
These are available in English and American Sign Language, for both online and paper versions. Samples of
Driver License Written Tests, DMV, www.dmv.ca.gov/pubs/interactive/tdrive/exam.htm.
117
How to apply for a driver license if you are over 18, CAL. DMV, http://www.dmv.ca.gov/dl/dl_info.htm - two500
118
The DMV offers the written traffic test in Amharic, Arabic, Armenian, Cambodian, Chinese, Croatian, French,
German, Greek, Hebrew, Hindi, Hmong, Hungarian, Indonesian, Italian, Japanese, Korean, Laotian, Persian/Farsi,
Polish, Portuguese, Punjabi, Romanian, Russian, Samoan, Spanish, Tagalog/Filipino, Thai, Tongan, Turkish, and
Vietnamese. What other languages is the written or audio test available in?, DMV,
http://www.dmv.ca.gov/dl/dl_info.htm#languages
119
The DMV offers the audio traffic test in Armenian, Chinese/Mandarin, Hindi, Hmong, Japanese, Korean,
Portuguese, Punjabi, Russian, Spanish, and Vietnamese. What other languages is the written or audio test available
in?, DMV, http://www.dmv.ca.gov/dl/dl_info.htm#languages
120
How to apply for a permit if you are under 18, DMV, http://www.dmv.ca.gov/teenweb/permit_btn1/apply.htm
121
To learn more about what the test involves and how to prepare for it, visit
https://www.dmv.ca.gov/pubs/cdl_htm/sec13.htm or http://www.dmv.ca.gov/pubs/brochures/fast_facts/ffdl22.htm
122
If you’re borrowing this car from a friend or family member, make sure that either (1) the car’s insurance policy has
you listed as a regular driver, or (2) the insurance policy allows for “permissive users.” (Most car insurance policies
allow for permissive users, which means that if the car owner gives you permission to drive the car, the insurance
company will cover any damage to the car.) [CITE]
123
How to apply for a driver license if you are over 18, CAL. DMV, http://www.dmv.ca.gov/dl/dl_info.htm#two500
124
CAL. VEH. CODE § 12506; How to apply for a driver license if you are over 18, CAL. DMV,
http://www.dmv.ca.gov/dl/dl_info.htm#two500.
111
112
113

PAGE 48 OF 1210

ROADMAP TO REENTRY
!

I NEED A DRIVER LICENSE.
(C) I USED TO HAVE A DRIVER LICENSE, BUT IT’S FROM ANOTHER STATE
WHAT DO I HAVE TO DO TO DRIVE LEGALLY?

…BUT
IT’S
FROM
ANOTHE
R STATE

Hasn’t
expired
—still
valid

1)

2)
3)
4)

1)
Expired
2)
more
than 6
months
ago, but
less than 3)
4 years
ago

4)

5)

6)

Find a DMV office near you. (Go to http://apps.dmv.ca.gov/fo/offices/locator/locator.htm to locate one)
a) Prepare the information and documents you need to bring to the DMV. For U.S. Citizens and those legally present in
the U.S. this information is:
125
b) Your 9-digit Social Security Number. (If you don’t have/don’t know your SSN, follow the instructions on PG. 32)
c) Proof of Birth Date and Legal Presence. (See PG. 43 to find out how)
d) Submit Driver License application to DMV.
Present the documents and information listed above, along with an accurate mailing address that will be good for at least
60 days.
126
Give a thumbprint; get your photo taken; pass a vision test.
127
PAY THE FEE OF $33. You may pay by cash, check, money order, or debit card—but not credit card. There is no option
to reduce this fee.
Find a DMV office near you. (Go to http://apps.dmv.ca.gov/fo/offices/locator/locator.htm to locate one)
Prepare the information and documents you need to bring to the DMV. For U.S. Citizens and those legally present in the
U.S. this information is:
128
a) Your 9-digit Social Security Number. (If you don’t have/don’t know your SSN, follow the instructions on PG. 32
first)
b) Proof of Birth Date and Legal Presence. (See PG. 43 to find out how)
Submit Driver License application to DMV.
a) Present the documents and information listed above, along with an accurate mailing address that will be good for at
least 60 days.
129
b) Give a thumbprint; get your photo taken; pass a vision test.
130
c) PAY THE FEE OF $33. You may pay by cash, check, money order, or debit card—but not credit card. There is no
option to reduce this fee.
Prepare for the written (or audio) traffic test.
a) Review the California Driver Handbook, which is available for free at any DMV office, or online at
https://apps.dmv.ca.gov/pubs/dl600.pdf. The
Handbook is available in print and audio forms, and has been
131
translated into several different languages.
b) Take a free optional driving knowledge tutorial at www.dmv.ca.gov/pubs/interactive/tdrive/flash/flash_intro.htm.
c) Take a sample test. You can ask for a free sample test
at your DMV office, or can find one online at
132
www.dmv.ca.gov/pubs/interactive/tdrive/exam.htm.
Make an appointment to take the written (or audio) traffic test:
a) By phone at 1-800-777-0133, or online (http://www.dmv.ca.gov).
b) The DMV doesn’t give test after 4:30 PM, so be sure to schedule an appointment early enough to give you time to
133
wait in line, fill out papers, and take the test.
c) If you want to take an audio version of the test or have an examiner read the
questions to you, the DMV should
134
accommodate this request. The written version is offered in 32 languages. The audio version is offered in 12
135
languages.
Pass written/audio traffic test.
a) If you don’t pass: you must wait until the next day to retake it. Over the next 12 months, you can take it again for free
136
up to 2 more times. After that, you must pay to take it again.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. VEH. CODE § 12801(2).
How to apply for a driver license if you are over 18, CAL. DMV, http://www.dmv.ca.gov/dl/dl_info.htm#two500. If
you don’t pass, you may be referred to a vision specialist, who may then prescribe eyeglasses, or a stronger
eyeglass prescription than you currently wear http://www.dmv.ca.gov/dl/dl_info.htm - VISION.
127
Driver License/Identification Card Application Fees, DMV, http://www.dmv.ca.gov/dl/fees/driverlicense_fees.htm.
128
CAL. VEH. CODE § 12801(2).
129
How to apply for a driver license if you are over 18, CAL. DMV, http://www.dmv.ca.gov/dl/dl_info.htm#two500. If
you don’t pass, you may be referred to a vision specialist, who may then prescribe eyeglasses, or a stronger
eyeglass prescription than you currently wear http://www.dmv.ca.gov/dl/dl_info.htm#VISION
130
Driver License/Identification Card Application Fees, DMV, http://www.dmv.ca.gov/dl/fees/driverlicense_fees.htm.
131
Publications, DMV, https://www.dmv.ca.gov/pubs/pubs.htm.
132
These are available in English and American Sign Language, for both online and paper versions. Samples of
Driver License Written Tests, DMV, www.dmv.ca.gov/pubs/interactive/tdrive/exam.htm.
133
How to apply for a driver license if you are over 18, CAL. DMV, http://www.dmv.ca.gov/dl/dl_info.htm - two500.
134
The DMV offers the written traffic test in Amharic, Arabic, Armenian, Cambodian, Chinese, Croatian, French,
German, Greek, Hebrew, Hindi, Hmong, Hungarian, Indonesian, Italian, Japanese, Korean, Laotian, Persian/Farsi,
Polish, Portuguese, Punjabi, Romanian, Russian, Samoan, Spanish, Tagalog/Filipino, Thai, Tongan, Turkish, and
Vietnamese. What other languages is the written or audio test available in?, DMV,
http://www.dmv.ca.gov/dl/dl_info.htm#languages
135
The DMV offers the audio traffic test in Armenian, Chinese/Mandarin, Hindi, Hmong, Japanese, Korean,
Portuguese, Punjabi, Russian, Spanish, and Vietnamese. What other languages is the written or audio test available
in?, DMV, http://www.dmv.ca.gov/dl/dl_info.htm#languages
136
How to apply for a permit if you are under 18, DMV, http://www.dmv.ca.gov/teenweb/permit_btn1/apply.htm
125
126

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Expired
more
than 4
years
ago

1)
2)

Find a DMV office near you. (Go to http://apps.dmv.ca.gov/fo/offices/locator/locator.htm to locate one)
Prepare the information and documents you need to bring to the DMV. For U.S. Citizens and those legally present in the
U.S. this information is:
137
a) Your 9-digit Social Security Number. (If you don’t have/don’t know your SSN, follow the instructions on PG. 32
first)
b) Proof of Birth Date and Legal Presence. (See PG. 43 to find out how)
3) Submit Driver License application to DMV.
a) Present the documents and information listed above, along with an accurate mailing address that will be good for at
least 60 days.
138
b) Give a thumbprint; get your photo taken; pass a vision test.
139
c) PAY THE FEE OF $33. You may pay by cash, check, money order, or debit card—but not credit card. There is no
option to reduce this fee.
4) Prepare for the written (or audio) traffic test.
a) Review the California Driver Handbook, which is available for free at any DMV office, or online at
https://apps.dmv.ca.gov/pubs/dl600.pdf. The Handbook is available in print and audio forms, and has been
140
translated into several different languages.
b) Take a free optional driving knowledge tutorial at www.dmv.ca.gov/pubs/interactive/tdrive/flash/flash_intro.htm.
c) Take a sample test. You can ask for a free sample test at your DMV office, or can find one online at
141
www.dmv.ca.gov/pubs/interactive/tdrive/exam.htm.
5) Make an appointment to take the written (or audio) traffic test
a) By phone at 1-800-777-0133, or online (http://www.dmv.ca.gov).
b) The DMV doesn’t give test after 4:30 PM, so142
be sure to schedule an appointment early enough to give you time to
wait in line, fill out papers, and take the test.
c) If you want to take an audio version of the test or have an examiner read the questions to you, the DMV should
143
accommodate
this request. The written version is offered in 32 languages. The audio version is offered in 12
144
languages.
6) Pass written/audio traffic test.
a) If you don’t pass: you must wait until the next day to retake it.
Over the next 12 months, you can take it again for free
145
up to 2 more times. After that, you must pay to take it again.
b) If you pass: the DMV will issue you a permit that you must have on when you practice driving with a licensed driver.
7) Prepare for the behind-the-wheel road test.
a) Have a licensed adult driver in the car with you while you practice driving. You’ll want to practice starting the
vehicle, moving forward, stopping, turning, backing up, changing lanes, driving on the freeway, parking, and using
146
defensive driving techniques.
147
b) NOTE: Until you pass your road test, it’s illegal for you to drive without a licensed driver in the vehicle with you.
8) Book an appointment to take the behind-the-wheel road test.
9) By phone (1-800-777-0133), or online (http://www.dmv.ca.gov/foa/welcome.do?localeName=en).
10) The DMV does not have cars for you to drive—you must bring one that is safe to drive and has a valid registration card. If
you plan on driving to your appointment, remember to go with an adult licensed driver.
148
11) Arrange to bring proof of insurance to the DMV for the car you plan on driving. You must have proof the car is properly
insured.
12) Take the behind-the-wheel road test
a) IF YOU PASS: you’ll get a temporary California
Driver License to use until your official photo license arrives by mail.
149
The temporary license is valid for 60 days. If your photo license doesn’t arrive in the mail within 60 days, call 1800-777-0133 to check the status of your license. When you call, have your temporary license available to provide
information.
b) IF YOU DON’T PASS: keep practicing and make an appointment to take another driving test. Within 12 months after
getting your permit, you can take the test up to 2 more times for $6 each time. After that, you must restart all the
150
steps, including submitting a new application form, taking the written (or audio) test, then taking the road test.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. VEH. CODE § 12801(2).
How to apply for a driver license if you are over 18, CAL. DMV, http://www.dmv.ca.gov/dl/dl_info.htm#two500. If
you don’t pass, you may be referred to a vision specialist, who may then prescribe eyeglasses, or a stronger
eyeglass prescription than you currently wear http://www.dmv.ca.gov/dl/dl_info.htm - VISION.
139
Driver License/Identification Card Application Fees, DMV, http://www.dmv.ca.gov/dl/fees/driverlicense_fees.htm
140
Publications, DMV, https://www.dmv.ca.gov/pubs/pubs.htm.
141
These are available in English and American Sign Language, for both online and paper versions. Samples of
Driver License Written Tests, DMV, www.dmv.ca.gov/pubs/interactive/tdrive/exam.htm.
142
How to apply for a driver license if you are over 18, CAL. DMV, http://www.dmv.ca.gov/dl/dl_info.htm - two500.
143
The DMV offers the written traffic test in Amharic, Arabic, Armenian, Cambodian, Chinese, Croatian, French,
German, Greek, Hebrew, Hindi, Hmong, Hungarian, Indonesian, Italian, Japanese, Korean, Laotian, Persian/Farsi,
Polish, Portuguese, Punjabi, Romanian, Russian, Samoan, Spanish, Tagalog/Filipino, Thai, Tongan, Turkish, and
Vietnamese. What other languages is the written or audio test available in?, DMV,
http://www.dmv.ca.gov/dl/dl_info.htm#languages.
144
The DMV offers the audio traffic test in Armenian, Chinese/Mandarin, Hindi, Hmong, Japanese, Korean,
Portuguese, Punjabi, Russian, Spanish, and Vietnamese. What other languages is the written or audio test available
in?, DMV, http://www.dmv.ca.gov/dl/dl_info.htm#languages
145
How to apply for a permit if you are under 18, DMV, http://www.dmv.ca.gov/teenweb/permit_btn1/apply.htm
146
To learn more about what the test involves and how to prepare for it, visit
https://www.dmv.ca.gov/pubs/cdl_htm/sec13.htm or http://www.dmv.ca.gov/pubs/brochures/fast_facts/ffdl22.htm
147
http://apps.dmv.ca.gov/pubs/hdbk/adults.htm#adult_permit
148
If you’re borrowing this car from a friend or family member, make sure that either (1) the car’s insurance policy has
you listed as a regular driver, or (2) the insurance policy allows for “permissive users.” (Most car insurance policies
allow for permissive users, which means that if the car owner gives you permission to drive the car, the insurance
company will cover any damage to the car.) [CITE]
149
CAL. VEH. CODE § 12506.
150
How to apply for a driver license if you are over 18, CAL. DMV, http://www.dmv.ca.gov/dl/dl_info.htm#two500.
137
138

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DRIVER LICENSE SUSPENSIONS & REVOCATIONS
MY DRIVER LICENSE HAS BEEN SUSPENDED OR REVOKED.
WHAT DOES THIS MEAN? HOW CAN I GET IT BACK?
If your Driver License was suspended or revoked, this means you lost your
driving privileges as a penalty for some violation, conviction, or unpaid debt,
such as:
•

•
•

Driving violations—Driving under the influence, hit-and-run, fleeing a law
enforcement officer, driving without proof of car insurance, having too many
accidents in a short time, having too many negative points on your driver
151
record, or driving recklessly (road rage, speeding, racing, etc.).
Other violations—Truancy, vandalism (including graffiti), fleeing a police
officer, failing to appear in court, or failing to report an accident.
152
Unpaid debts—Failing to pay traffic ticket fines; failing to pay other courtordered fines, fees and restitution; failing to pay child support; or failing to
pay other debts (such as loans, credit card payments, medical bills, car
payments, payday loans, landlord dues, utility bills, etc.) if the person to
153
whom you owe money gets a judgment against you in court.

Read more about a suspended driver license due to unpaid child support* in the
text box on PG. 53.
Read more about traffic fines and other types of court-ordered debt in the
COURT-ORDERED DEBT CHAPTER, beginning on PG. 755.
Read more about child support generally in the FAMILY & CHILDREN CHAPTER,
beginning on PG. 823, with specific information on child support starting on
154
PG. 868 of that Chapter.

WHAT DOES IT MEAN IF MY LICENSE WAS SUSPENDED?
If your Driver License was suspended, that means you temporarily lost your
driving privileges, but not forever. If your license was suspended, you will not be
155
able to drive for a period of time, anywhere from 30 days to a few years. After
your period of suspension has passed, your license is automatically reinstated.
However, if your license was suspended because of a physical or mental
condition or disorder that affects your ability to drive, that suspension will be
156
permanent if that condition becomes permanent.
A restricted license allows you to drive during a period of suspension, but only
for specific purposes that a judge has granted you permission to do, such as to
157
drive to work, school, or a court-ordered program (for example, a DUI class).

WHAT DOES IT MEAN IF MY LICENSE WAS REVOKED?
If your Driver License was revoked, that means your driving privileges are
“terminated” (ended). You may be able to get a Driver License again, but you

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
151
152
153
154
155
156
157

CAL. VEH. CODE §§ 13200-13201.5.
CAL. VEH. CODE §§ 13200-13202.7.
CAL. VEH. CODE § 16370.
CAL. WELF. & INST. CODE § 11350.6.
CAL. VEH. CODE § 13100 et seq.
CAL. VEH. CODE § 13102, 13556.
CAL. VEH. CODE §§ 13200 et seq.

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158

likely will have to wait several years. In extreme cases, you may be legally
159
forbidden from ever driving again. If you become eligible for a Driver License
again after it was revoked, you will have to apply for a new license.

IF MY LICENSE WAS SUSPENDED OR REVOKED, COULD I GET MY
DRIVING PRIVILEGES BACK?
Maybe. Unless your license was permanently revoked, you should be able to
regain your driving privileges if (1) the specified time period of your suspension
or revocation has passed, AND (2) you’ve fulfilled any conditions of your
160
suspension or revocation. Depending on the reason why your license was
suspended, the length of suspension will vary, and the steps you will need to
161
take to get your license back will also vary.
If your Driver License was suspended or revoked and you want to regain your
162
driving privileges, here are some steps you can take:
STEP 1:
•

•

Know the details of your situation.

The requirements to reinstate your license will depend on exactly why it was
suspended or revoked. Call the DMV at 1-800-777-0133, ask them to look up
your case, and find out what you need to do. When you call, be prepared with
your old Driver License number and any information the DMV has sent to
163
you.
Unless your Driver License was permanently revoked, you’ll probably find out
that you need to fulfill specific conditions (see STEP 2 below) and submit
“proof of completion” of those conditions to the DMV in order to reinstate
164
your license.

STEP 2: Make sure that you fulfill the conditions of your suspension or
revocation.
•

•
•

You may be required to complete traffic school, DUI treatment, or jail time,
and to provide documents proving that you did so. You may also be required
to pay fees and fines, including court-related fees and additional penalties
imposed by the DMV. See the chart on PG. 52 for examples of requirements
and steps to get your license back.
Keep all documents proving that you’ve fulfilled these conditions, such as
certificates and pay stubs, and be prepared to submit them as required.
You will also need to submit proof of “financial responsibility.” Most of the
165
time, this means proof of car insurance.

STEP 3: Prepare all required documents and payments.
Make copies of all your important documents, and keep careful records of all
payments.
STEP 4: Submit all required documents and payments to the DMV.
Confirm that you’re eligible to reinstate your license, and get proof from the
DMV.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

For example, if you were convicted of a felony where you used a vehicle as a deadly weapon. CAL. VEH. CODE
§ 13351.5.
159
CAL. VEH. CODE §§ 13101, 13351.5.
160
CAL. VEH. CODE § 13100 et seq.
161
CAL. VEH. CODE § 13100 et seq.
162
For more information, see Reinstate Your CA Suspended Driver’s License, DMV.ORG, http://www.dmv.org/cacalifornia/suspended-license.php#Reinstate-Your-CA-Suspended-Drivers-License.
163
What is a suspended driver license?, DMV, http://www.dmv.ca.gov/dl/dl_info.htm#sdl
164
CAL. VEH. CODE § 13352.
165
CAL. VEH. CODE § 34630.
158

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Once you’ve completed these 4 steps, you may be able to reinstate your Driver
License (if it was suspended) or apply for a renewal Driver License (if it was
revoked). In some cases, after you’ve completed some or most of the
requirements, you may be able to get a restricted license if your suspension or
166
revocation period hasn’t ended yet.
NOTE: If your license was suspended due to court-ordered debt, and these
debts have been referred to the California Franchise Tax Board (FTB) for
collection, there is a special payment process to speed up the return of your
Driver License. For instructions, go online to
https://www.ftb.ca.gov/online/Court_Ordered_Debt/payment.shtml, and see
Appendix G, PG. 106 of this chapter.

* What are my options if my Driver License was suspended because of
unpaid child support?

If your Driver License was suspended due to unpaid child support and you
cannot pay the amount required, you can ask a judge to reinstate your license
temporarily. To do so, you can file a Notice of Motion for Judicial Review of
License Denial (Form FL-670) with the court that issued your child support
167
order. This form asks the judge of that court to consider giving you back your
Driver License so that you can continue to go to work and earn money to pay the
child support. The judge will make the final decision, not the local child support
168
agency (LCSA). For more information about child support, see the FAMILY &
CHILDREN CHAPTER, which begins on PG. 823, with specific information about
child support beginning on PG. 868 of that Chapter.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See CAL. VEH. CODE § 13352.5.
The forms to request your license back in a child support case are available at
http://www.courts.ca.gov/1199.htm#id11393.
168
CAL. WELF. & INST. CODE § 11350.6; see also Child Support FAQs, JUDICIAL COUNSEL OF CALIFORNIA,
http://www.courts.ca.gov/1200.htm.
166
167

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THIS CHART EXPLAINS DIFFERENT REQUIREMENTS TO REGAIN DRIVING PRIVILEGES AFTER THE
169
SUSPENSION OF YOUR DRIVER LICENSE.

EXAMPLES OF CA REQUIREMENTS TO REGAIN DRIVER LICENSE
AFTER SUSPENSION
REASON FOR
SUSPENSION
Negligent operator

STEPS TO GET YOUR LICENSE BACK
•
•
•
•

Pay a reissue fee to DMV.
Pay fines to the court.
File Proof of Financial Responsibility (California Insurance Proof Certificate: SR 22). This
is a certificate proving that you have valid car insurance.
Complete Negligent Operator probation, while staying free of traffic violations and
avoidable accidents.

Driving under the
•
influence of alcohol and/or
drugs (DUI)
•
•

Complete a mandatory (required) suspension period. (This means no matter how quickly
you meet all the other requirements below, you must wait a certain period before you
can get your Driver License back.)
Pay a reissue fee to DMV.
File Proof of Financial Responsibility (California Insurance Proof Certificate: Form SR 22).
This is a certificate proving that you have valid car insurance.
•
Complete a DUI Treatment Program, file Notice of Completion Certificate (Form DL 101).
•
Pay fines to the court.
•
In some cases: Complete a term of imprisonment.
NOTE: If you meet some or all of these requirements before your mandatory suspension
period ends, you might be able to get a restricted license.

Having a physical/mental
condition or disorder

Show that the condition no longer prevents you from driving safely by providing medical
information and/or a satisfactory Driver Medical Evaluation (Form DS 326).

Being involved in a car
accident and not having
proof of car insurance
(“financial responsibility”)

•
•
•

Complete a mandatory (required) 1-year suspension period.
Pay a reissue fee to DMV.
File proof of financial responsibility (California Insurance Proof Certificate: Form SR 22)
proving that you have valid car insurance.

Failing to pay a traffic
citation (FTP), or failing to
appear in court on a traffic
citation (FTA)

•

Pay your citations or appear in court. The court will give you an FTP/FPA paper saying
you fulfilled this requirement.
Pay a reissue fee to DMV.

•

MY LICENSE WAS SUSPENDED IN ANOTHER STATE. WILL I BE
ABLE TO GET A CALIFORNIA DRIVER LICENSE?
Unfortunately, if your Driver License was suspended or revoked in another state,
you cannot get a California Driver License until:
•
•

You fix the violation and complete all the requirements to get your license
reinstated in the state where the suspension or revocation happened; and/or
The period of suspension or revocation is over, or more than 1 year has
170
passed since the revocation.

To figure out your situation and what steps you need to take, it’s best to contact
the DMV agency in the state where your license was suspended or revoked. If
you do not know in which state the suspension/revocation happened, you can

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

What is a suspended driver license?, CAL. DMV, http://www.dmv.ca.gov/dl/dl_info.htm#sdl.
CAL. VEH. CODE §§ 12805(g)-(h), 15024. In limited situations (i.e., if your suspension or revocation occurred in
certain states), you may be eligible for a license before the suspension or revocation period has expired if the DMV
finds you to be a safe driver.
169
170

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call the National Driver Register to find out where the problem occurred (see
more information immediately below).

WHAT LAWS COULD NEGATIVELY AFFECT ME IF I AM TRYING TO
GET (OR KEEP) A CALIFORNIA DRIVER LICENSE?
A few different laws can affect your ability to get or keep a CA Driver License.
They are outlined here to give you a sense of what they are and how they could
affect your ability to get or keep a Driver License in California.
NATIONAL DRIVER REGISTER (NDR)

171

When you apply for a California Driver License, the California DMV will check to
172
see whether your name is listed in the NDR’s Problem Driver Pointer System.
The NDR database contains information about all drivers who have had their
licenses denied, revoked or suspended, or who have been convicted of serious
173
traffic violations such as driving while impaired by alcohol or drugs. The NDR
has information on drivers from all 50 states.
If your name appears in the database, the DMV will investigate the reason and
decide whether or not to issue you a Driver License. If your license was
suspended or revoked in another state, the DMV will not issue you a California
Driver License until you have fulfilled the conditions of suspension or revocation
174
in the other state (including paying all fines and reinstatement fees).

How do I find out if my name is in the NDR database?
You can find out whether your name is in the NDR database and check
175
your driver status for free by sending a request letter to the NDR.
Although the database does not contain your detailed driving record
(i.e., it will not tell you why your license was suspended), it will tell you
the status of your driver license and the state where any problem
176
occurred (called the State-of-Record, or SOR). If you already know the
state in which your offense occurred, it may be faster and easier to
contact that state’s DMV agency directly for information.
To check your NDR status, write and send a notarized letter (also called
a “privacy act request”) to the NDR, stating that you would like an NDR
file check. Make sure to include your full legal name, date of birth,
gender, height, weight, eye color, and your previous driver license
number and state (if you know them); your social security number is
177
optional. If your name is in the NDR database, it may mean that your

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

49 U.S.C. § 30301 et seq.; 23 C.F.R. § 1327.1 et seq.
49 U.S.C. § 30305(a).
49 U.S.C. §§ 30302(a), 30304; NATIONAL DRIVER REGISTER (NDR),
http://www.nhtsa.gov/Data/National+Driver+Register+(NDR). All state DMV agencies are required to provide NDR
with the names of individuals who have lost their privileges or who have been convicted of a serious traffic violation.
174
NATIONAL DRIVER REGISTER (NDR), http://www.nhtsa.gov/Data/National+Driver+Register+(NDR).
175
49 U.S.C. § 30305(b)(11); NATIONAL DRIVER REGISTER (NDR),
http://www.nhtsa.gov/Data/National+Driver+Register+(NDR).
176
NATIONAL DRIVER REGISTER (NDR), http://www.nhtsa.gov/Data/National+Driver+Register+(NDR).
177
Under the Privacy Act, you are entitled to request a file search to see if your name is listed (i.e., if have a record) in
the NDR database. To do so, you must send a notarized letter (also called a “privacy act request”) to the NDR
stating that you would like an NDR file check. Mail your request to the National Driver Register, 1200 New Jersey
Avenue, S.E., Washington, D.C. 20590. In your request, make sure to include your full legal name, DOB, State and
Driver License Number, Sex, Height, Weight, and Eye Color (your social security number is optional). There is no
charge for this service. 23 C.F.R. § 1327.7; NATIONAL DRIVER REGISTER (NDR),
http://www.nhtsa.gov/Data/National+Driver+Register+(NDR). You can also request your status online, by visiting
the NDR website at http://www.nationaldriverregister-forms.org/national_driver_register_file_check_forms.html
(note: the link for Individual File Check Forms was broken as of Dec. 1, 2014). It may take the NDR 45 days or more
to respond to your request.
171
172
173

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driver license has been suspended, cancelled, revoked, or denied
178
because of a serious traffic violation.

What can I do if my name is in the NDR database?
Once you know your driver license status and which state the problem
occurred in, you must contact that state’s DMV agency directly to find
179
out how to resolve the issue and reinstate your license. You may need
to request a copy of your driving record from that state, in order to learn
180
why your license was suspended or revoked.
If you think the NDR database is incorrect, you will still need to contact
the state DMV agency where the problem supposedly occurred. You will
need to resolve the error directly with agency before the NDR can
181
correct or delete your record.
DRIVER LICENSE COMPACT (DLC)
The DLC is an agreement between California and most other states in the U.S. to
182
share driver records and information about traffic violations. When you apply
for a California Driver License, the California DMV will check to see if you ever
183
had a Driver License in another state. If your license from another state was
suspended, the DMV will not issue a new license until the suspension period is
184
over. If your license from another state was revoked, the DMV will not issue a
new license until the revocation period is over or 1 year has passed since the
185
revocation (whichever comes first).
In addition, the DLC requires each state to enforce traffic convictions that
occurred in another state—including by suspending or revoking your license for
serious violations. For example, if you have a California Driver License, but you
were convicted of a DUI in another state, the state where your DUI occurred will
report the conviction to the California DMV. The California DMV will then
penalize you for the violation—including suspending or revoking your California
186
Driver License—just as if the violation had occurred locally. The conviction will
187
also appear on your California driving record.
If you want to appeal your license suspension for an out-of-state traffic
188
conviction, you will have to follow California appeal procedures. In general,

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Your NDR driver license status may be any of the following:
1.
No Match: The individual does not have record a on the NDR.
2.
Licensed (LIC): Licensed means the individual holds a license in that State and the privilege to drive is valid.
3.
Eligible (ELG): The individual privilege to drive or apply for a license in a State(s) is valid.
4.
Not: The individual privilege to drive in a State(s) is invalid.
5.
NEN: The individual privilege to drive in a State(s) is invalid due to a non-moving violation.
NDR, http://www.nhtsa.gov/Data/National+Driver+Register+(NDR).
179
NDR, http://www.nhtsa.gov/Data/National+Driver+Register+(NDR). You should also contact the state DMV
agency if you think that the NDR database is incorrect.
180
The NDR provides online driver record request forms for each state on its website for a fee of $15. NDR,
http://www.nationaldriverregister-forms.org/ndr/state_forms/national_driver_register__state_driver_record_request_forms.html.
181
NDR, http://www.nationaldriverregister-forms.org/ndr/state_forms/national_driver_register__state_driver_record_request_forms.html.
182
CAL. VEH. CODE §§ 15000, 15020 et seq.
183
CAL. VEH. CODE § 15024. There are a few states that have not agreed to the Driver License Compact (e.g., Georgia,
Wisconsin, Michigan). If your license was suspended or revoked in one of these states, the California DMV may issue
you a license if it finds that you are a safe driver. CAL. VEH. CODE § 12805(g)-(h).
184
CAL. VEH. CODE §§ 12805(g); 15024(1).
185
CAL. VEH. CODE §§ 12805(h); 15024(2).
186
CAL. VEH. CODE § 15023; see also CAL. VEH. CODE §§ 13353.5; 13363. Note: There must be a “substantially similar”
offense in California laws in order for California to penalize you for an out-of-state violation. If California does not
have an equivalent offense, then California cannot penalize you for an out-of-state violation.
187
Out-of-State Convictions, CAL. DMV, https://www.dmv.ca.gov/portal/dmv/detail/dl/driversafety/neg_operator
188
CAL. VEH. CODE § 13558.
178

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you will have to show that the other state’s DUI conviction is not equivalent to
189
California’s DUI laws, or that the conviction was invalid for some other reason.
190

NONRESIDENT VIOLATOR COMPACT (NRVC)

(NOT YET IN CA)

The NRVC is another agreement among most U.S. states to enforce out-of-state
traffic violations. If you get an out-of-state ticket and then fail to pay the fine or
appear in court, the state where you got the ticket will notify your home state
(where your Driver License is from) that you didn’t comply with the ticket. Your
home state can then suspend your license for failing to comply with the out-ofstate ticket.
Currently, California is not part of the NRVC, so failing to comply with an out-of191
state ticket may not affect your California Driver License. (However, the
California DMV can still penalize you for the traffic violation itself, just not for
your failure to comply with it.) On the other hand, if your Driver License is from
another state, but you receive a ticket in California, you may have to pay the
traffic fine or post bail immediately (or be subject to arrest if you cannot pay right
192
away), and/or you may lose the right to drive in California.
If your right to drive in California has been suspended or revoked, but your
Driver License is from another state, you can use Form DL 300, “California Proof
Requirements for Non-Residents,” to prove your ability to pay and/or car
insurance (called “financial responsibility”) and request that your California
driving privileges be restored. The form is available online at
http://apps.dmv.ca.gov/forms/dl/dl300.pdf.
DRIVER LICENSE AGREEMENT

193

(NOT YET IN CA)

The Driver License Agreement combines the DLC and NRVC into a single
agreement, and increases the enforcement of out-of-state traffic violations,
194
making the rules stricter and more severe. However, this agreement is still
195
very new and doesn’t apply in most states yet (including California).

DOES GETTING MY CRIMINAL CONVICTION EXPUNGED HELP ME
GET MY SUSPENDED OR REVOKED DRIVER LICENSE BACK?
No. Unfortunately, an “expungement” (a California dismissal) will not reinstate
196
your driving privilege if it has been suspended or revoked by the DMV. The
only way to get your Driver License back is to satisfy the requirements of the
DMV.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See, e.g., Moles v. Gourley, 112 Cal. App. 4th 1049 (2003) (upholding suspension of appellant’s California driver
license for Virginia DUI conviction, based on court’s finding that California’s and Virginia’s DUI laws are substantially
similar, as required for California DMV to enforce Virginia conviction).
190
Nonresident Violator Compact, COUNCIL OF STATE GOV’TS (2011),
http://apps.csg.org/ncic/PDF/Nonresident%20Violator%20Compact.pdf; The Nonresident Violator Compact—
Administrative Procedures Manual, NHSTA (rev’d Apr. 1994),
http://www.aamva.org/uploadedFiles/MainSite/Content/DriverLicensingIdentification/DL_ID_Compacts/NRVC%20
Procedures%20Manual.pdf.
191
Nonresident Violator Compact, Nat’l Ctr. for Interstate Compacts,
http://apps.csg.org/ncic/Compact.aspx?id=142.
192
See, e.g., CAL. VEH. CODE §§ 13205, 13552-53, 40305-05.5, 16376; cf. Chicago Police Dept., Special Order S06-1301, Bond Procedures—Nonresident Violator Compact § II.B (effective March 7, 2008).
193
Driver License Agreement (July 2004).
194
For example, the Driver License Agreement expands enforcement of out-of-state violations to include equipment,
registration, and parking violations (which are not currently covered by the NRVC); requires drivers who receive outof-state tickets to comply with all court orders (e.g., fixing equipment, completing community service, etc.), in
addition to paying fines; and requires enforcement of out-of-state violations even if the law is different in the driver’s
home state (i.e., if you receive a ticket for doing something that is legal in your home state, but illegal in the state
where you received a ticket, your home state must still enforce the violation) or if the violation occurred in a nonmember state.
195
To date, only Connecticut, Arkansas, and Massachusetts have adopted the Driver License Agreement.
196
CAL. VEH. CODE § 13555.
189

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I AM UNDOCUMENTED & NEED ID!
You may be able to get one of these limited forms of ID that can be used for
some purposes, but not others.
Consular Identification Cards (CIDs): Some governments issue CID cards to
identify their citizens who are living in foreign countries. CID cards can be issued
to people who are undocumented or documented in the foreign county. See
Appendix I, PG. 113, for a list of countries that issue CIDs. If you are a citizen of
one of these countries, visit the nearest consulate to obtain your CID card. In the
U.S., CID cards can be a helpful ID document as you try to get a Driver License,
open a bank account, show proof of identity to police, and access other services.
197
However, CIDs do not grant you legal presence in the U.S. or other privileges.
Municipal IDs: A handful of California cities have begun issuing municipal (“city”)
ID cards for their residents. You can use these to get access to city services and
benefits. More importantly, they are considered a form of identification by local
officials and may provide evidence to get other forms of ID. Additionally, these
forms of ID do not require proof of citizenship or legal presence of any kind.
•

•

•

San Francisco City ID Card—Photo ID card for San Francisco residents to get
access to city programs and connect to local businesses. Serves as proof of
identity and city residency; can also be used as a public library card, and to
access other city services. For more information on this program, visit the SF
County Clerk’s website at: http://www.sfgov2.org/index.aspx?page=110, or
call 3-1-1 in the San Francisco Bay Area.
Oakland City ID Prepaid Mastercard—Photo ID with an optional Prepaid
Debit Card banking feature for residents of Oakland. This card allows
Oakland residents who don’t have bank accounts to have an affordable
alternative. For more information about this program, visit
http://www.oaklandcityid.com/, or call 1-888-997-3522.
Richmond City ID Card—Photo ID and prepaid debit card for residents of
Richmond CA. See http://www.richmondcityid.com/ or call 888-997-3522 for
more information about this program.

To learn about a special CA Driver License that allows undocumented
individuals to drive in the state of CA, but does not otherwise count as
government-issued ID to prove your identity or legal presence, please see the
information on PG. 40 and PG. 41.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

BORDER SECURITY: Consular Identification Cards Accepted within United States, but Consistent Federal
Guidance Needed, U.S. GOV’T ACCOUNTABILITY OFFICE, GAO-040881. (Aug. 24, 2004).
197

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V.

!

U.S. PASSPORT
WHAT WILL I LEARN?

•
•
•
•
•
•
•
•
•

What a U.S. passport is and why it’s useful
Whether you are eligible to apply for a U.S. passport
How to apply for a U.S. passport if you are on probation, parole,
or other supervision
Whether you must apply for a passport in person or can apply
by mail
How to find your local Passport Office or Acceptance Facility
and apply for a U.S. passport in person
How to apply for a U.S. passport by mail
What documents and information you will need to apply for a
U.S. passport
How long it takes to get your passport after you have applied
How to get your passport quickly when you have an emergency

WHY WOULD A U.S. PASSPORT USEFUL? WHY MIGHT I NEED
ONE?
If you have a U.S. passport, you can lawfully travel outside the United States and
return home by air, sea, or land. A passport can be useful if you need to visit
198
family abroad, especially in case of an emergency like illness or death. A
passport also qualifies as a government-issued photo ID document for all
purposes. For these reasons, if you are eligible OR when you become eligible for
a U.S. passport, it is a good idea to get one!

WHO IS ELIGIBLE FOR A U.S. PASSPORT?
199

To be eligible for a U.S. Passport, you must:
•
•
•

•
•

Be a U.S. citizen or U.S. National;
Provide a Social Security Number, proof of citizenship, and proof of identity;
NOT be currently “under sentence” (incarcerated, on probation, or on parole)
for any federal or state drug felony committed while using a passport or
200
crossing international borders (drug trafficking);
201
NOT have a conviction for sex trafficking;
NOT be under a court order or sentence condition forbidding you from
leaving the country—for example, if your conditions of parole, probation, or
202
some other type of supervision forbid you from leaving the U.S., you will

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

U.S. PASSPORTS & INT’L TRAVEL, U.S. DEP’T OF STATE,
http://travel.state.gov/content/passports/english/passports/FAQs.html.
199
U.S. PASSPORTS & INT’L TRAVEL, U.S. DEP’T OF STATE,
http://travel.state.gov/content/passports/english/passports/apply.html.
200
22 U.S.C. § 2714; see also 22 C.F.R. § 51.61. There are also a few misdemeanor offenses, such as federal and state
drug offenses, that would make someone ineligible for a U.S. passport. See 22 U.S.C. § 2714.
201
22 U.S.C. § 212a.
202
22 C.F.R. § 51.70(a)(2).
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•

•
•

!

need to ask your supervising officer or the court for permission to get a U.S.
Passport or to change the conditions;
Get permission from your supervising officer if you are under any form of
supervision but are allowed to leave the country (See the IMPORTANT NOTE
about getting permission from a supervising officer below);
203
NOT have any state or federal warrants out for your arrest;
204
NOT owe $2,500 or more in child support. For more information about
paying off your child support debt, go to the COURT-ORDERED DEBT
CHAPTER, beginning on PG. 755.

IMPORTANT NOTE ABOUT GETTING PERMISSION FROM A
SUPERVISING OFFICER/ P.O.: Even if you aren’t prohibited from leaving the

country, if you’re under ANY type of supervision (including state or federal
parole, probation, supervised release, PRCS, or mandatory supervision), you
MUST check in with your supervising officer if you want to apply for a
205
passport. The officer can write a letter on your behalf giving the passport
agency permission to issue you a U.S. Passport. You must submit this letter with
your passport application. This is required even if you only want to use the
passport as photo ID, and don’t intend to travel outside of the country. If you
submit an application for a U.S. Passport without first getting written approval
from your supervising officer, you could face legal consequences, including your
206
probation being revoked or a warrant being issued.

HOW DO I APPLY FOR A U.S. PASSPORT?
It depends on your situation. Some people can apply by mail. Others are
required to apply in person.

HOW DO I KNOW IF I NEED TO APPLY FOR A PASSPORT IN
PERSON OR IF I CAN APPLY BY MAIL?
You can apply for a U.S. passport BY MAIL if you:
• Currently have a U.S. passport;
• Your U.S. passport is undamaged;
• Your U.S. passport can be sent in with your application;
• Your U.S. passport was issued when you were age 16 or older;
• Your U.S. passport was issued less than 15 years ago; AND
207
• Your U.S. passport was issued in your current name.
• If you answered that ALL of the above requirements are true for you, then
you can simply apply by mail to renew your U.S. Passport. Go to PG. 64
below to learn how.
You must apply IN PERSON if:
• You have never had a passport before; OR
• Your previous U.S. passport was lost, stolen, or damaged; OR

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

22 C.F.R. § 51.60.
42 U.S.C. § 652(k).
E-mail from National Passport Information Center Agent 2019 (Jan. 21, 2015, 0:15 p.m.) (on file with author).
206
Telephone call with agent at the U.S. Department of State Office of Legal Affairs (Jan. 21, 2015).
207
Exception to this last condition: If you legally changed your name since your most recent passport, you can still
apply by mail if you provide official documents proving your name change. Acceptable documents include: an
original or certified copy of your marriage certificate, or government-issued papers showing your legal name
change. U.S. PASSPORTS & INT’L TRAVEL, U.S. DEP’T OF STATE,
http://travel.state.gov/content/passports/english/passports/renew.html.
203
204
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•
•
•

•

•
•
•

Your previous U.S. passport was issued when you were age 15 or younger;
OR
Your previous U.S. passport was issued more than 15 years ago; OR
Your name has legally changed since your U.S. passport was issued, and you
don’t have official documents proving your legal name change (like
government-issued papers showing your legal name change or an original or
208
certified copy of your marriage certificate, if you changed it for marriage.)
If you are required to apply in person, you will need to find a local Passport
Office. You can also apply at any Passport Acceptance Facility, which is a
broad category of places that includes post offices, court clerk’s offices,
public libraries, and any other government office that accepts passport
209
applications. To find passport offices or Passport Acceptance Facilities
near you, you can check your local yellow pages, call “Information” at 4-1-1, or
check the Internet for these online guides:
For a directory of Passport Offices in California, listed by county, visit:
www.uspassporthelPGuide.com/passport/california/
For a directory of Passport Acceptance Facilities in California, listed by city,
visit: www.us-passport-service-guide.com/california-passport-office.html
To search for any Passport Acceptance Facility near you, based on your ZIP
code and city, visit: http://iafdb.travel.state.gov/

HOW DO I APPLY IN PERSON FOR A NEW U.S. PASSPORT?
STEP 1:

Put together the required information and documents.

To apply for a U.S. Passport, you will need ALL of the following types of
documents: (1) Social Security Number, (2) Proof of Citizenship or Naturalization,
(3) Photo ID, and (4) Proof that you are off probation or parole. Here are more
210
details about each of these 4 documents:
(1) Social Security Number (SSN)—You must provide your 9-digit SSN, if you
211
have one (but you don’t need to show your actual Social Security card). (See
PG. 32 for information on how to request an original SSN or a replacement
212
Social Security Card). If you don’t have a SSN, you might still be able to get a
U.S. Passport. You have the option of entering zeros on the application instead,
but this will delay the processing of your application and may be used as a
reason to deny it.
(2) Proof of U.S. Citizenship or Naturalization—You can use any ONE of the
following documents as primary evidence of citizenship:
• An authorized birth certificate (see PG. 22 for how to get one);
• A previous U.S. passport (can be expired, but must be undamaged);
• A Consular Report of Birth Abroad (see PG. 30 for how to get one); OR
• A Certificate of Naturalization or Citizenship (see PG. 31 for how to get
213
one).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

U.S. PASSPORTS & INT’L TRAVEL, U.S. DEP’T OF STATE,
http://travel.state.gov/content/passports/english/passports/new.html
209
U.S. DEPARTMENT OF STATE, BUREAU OF CONSULAR AFFAIRS, http://iafdb.travel.state.gov/.
210
NOTE: If your name or gender is different on your evidence of citizenship and/or ID, you may need to submit
additional documentation. For more details, see U.S. PASSPORTS & INT’L TRAVEL, U.S. DEP’T OF STATE,
http://travel.state.gov/content/passports/english/passports/information/gender.html.
211
If you don’t, your application may be significantly delayed and/or denied. 26 U.S.C. 6039E; see also U.S.
PASSPORTS & INT’L TRAVEL, U.S. DEP’T OF STATE, http://travel.state.gov/content/passports/english/passports/new.html.
212
U.S. PASSPORTS & INT’L TRAVEL, U.S. DEP’T OF STATE,
http://travel.state.gov/content/passports/english/passports/FAQs.html.
213
U.S. PASSPORTS & INT’L TRAVEL, U.S. DEP’T OF STATE,
http://travel.state.gov/content/passports/english/passports/apply.html.
208

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If you don’t have any of the above, you must provide secondary evidence of
214
citizenship such as:
• A delayed birth certificate (one that was filed more than 1 year after birth);
• A combination of early public records (any records showing your name,
birthdate, and birthplace, preferably created in the first 5 years of your life,
for example, hospital/doctor records, early school records, religious records,
215
or census records).
For this category (“Proof of U.S. Citizenship or Naturalization”), you will have to
submit the ORIGINAL documents with your application. They will all be mailed
back to you.
(3) Photo ID—
You can use any ONE of these documents as a primary ID:
•
•
•
•
•

Valid, current Driver License from the state where you now live;
U.S. passport (must be undamaged & issued less than 15 years ago);
Certificate of Naturalization;
Valid city, state, or federal government ID (like a California State ID, see
PG. 39 for how to get one); OR
216
Valid military ID.

If you don’t have any of the above, you must provide a COMBINATION of
secondary ID documents that have your name, photo, and signature. Bring all of
the documents you have. Examples of secondary ID documents include:
•
•
•
•
•

Expired Driver License;
Driver License from a state where you no longer live;
Expired State ID card;
Student ID card; and
217
Employee ID card from your workplace.

The original ID documents in this category don't need to be sent in with your
application, but copies do. Bring the original ID document(s) to show in person
when you apply, plus a copy of each ID document to submit with your form.
(4) Proof that you’re no longer on probation, parole, or any other type of
218
community supervision (for people with certain drug trafficking or sex
219
trafficking convictions ), OR a letter from your supervising officer to the
passport agency allowing you to apply for a U.S. Passport.
•

•

IF YOU’RE NO LONGER UNDER COMMUNITY SUPERVISION SUCH AS
PROBATION OR PAROLE, you may apply for a U.S. passport so long as you
meet all other eligibility requirements (see the full list of eligibility
requirements on PG. 59 above)
IF YOU’RE STILL UNDER COMMUNITY SUPERVISION SUCH AS PROBATION
OR PAROLE—and you are allowed to leave the country—the passport agency
may allow you to get a U.S. Passport if you provide a letter from your

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

U.S. PASSPORTS & INT’L TRAVEL, U.S. DEP’T OF STATE,
http://travel.state.gov/content/passports/english/passports/apply.html.
215
Other forms of “secondary evidence” of citizenship: (3) a state-issued Letter of No Record; (4) a notarized Birth
Affidavit: Form DS-10. For more details on these forms of evidence, see U.S. PASSPORTS & INT’L TRAVEL, U.S. DEP’T OF
STATE, http://travel.state.gov/content/passports/english/passports/information/secondary-evidence.html.
216
U.S. PASSPORTS & INT’L TRAVEL, U.S. DEP’T OF STATE,
http://travel.state.gov/content/passports/english/passports/apply.html.
217
U.S. PASSPORTS & INT’L TRAVEL, U.S. DEP’T OF STATE,
http://travel.state.gov/content/passports/english/passports/apply.html.
218
22 U.S.C. § 2714.
219
22 U.S.C. § 212a.
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supervising officer supporting your application (for more information about
getting permission from your supervising officer, see the pop-out box on
PG. 60 above).
STEP 2: Obtain and Complete the Application (Form DS-11).
This form is available at any Passport Office, and also may be available from
some Passport Acceptance Facilities. You can go on the Internet from any
computer and download the form on one of these websites:
http://www.state.gov/documents/organization/212239.pdf or
https://pptform.state.gov. You may also contact the Department of
State directly and have the form mailed to you (although this will take
the longest). You can call the Department of State at (212) 647-4000,
or write to: U.S. Department of State, 2201 C Street NW, Washington,
DC 20520.

!

IMPORTANT: Do not sign the form at home. If you fill out the form at
home, wait to sign it. You must sign! the application in front of a
passport agent, so wait until you get to the office and the agent tells
you to sign!
STEP 3: Get a passport photo taken and pay for 2 copies.

220

You must provide 2 passport photos with your application. Passport
photos have strict specifications, so make sure you have the photo
taken by a professional who is familiar with the requirements (you can
go to most pharmacy’s photo centers to have these passport photos
taken). Do not attach your photos to the application form, but bring
them with you.
STEP 4: Go to your local Passport Office or Passport Acceptance
Facility with all of your documents (see PG. 61 to learn how
to find a location near you), submit your application, and
pay the fees.
You must pay $110 for your new passport, and $25 for processing
221
(“execution fee”)—that’s $135 total. You can pay using cash, check,
222
credit card, or money order. If paying by check, make it payable to
“U.S. Department of State,” and make sure that your full name and
birthdate are typed or printed on the front (use the “Memo” or “For”
line). Ask the passport agent if you have any questions!
STEP 5: Receive your passport in 4-6 weeks, and make a reminder
223
about when it needs to be renewed.
After you submit your passport application, it usually takes about 4-6
weeks to receive your U.S. Passport in the mail. If you were age 16 or
older when your U.S. Passport was issued, it will be valid for 10 years. If
you were age 15 or younger when your U.S. Passport was issued, it will
224
be valid for 5 years. (Note: If possible, it’s best to renew your passport
approximately 9 months before it expires. Some countries require that your

A NOTE ABOUT
EMERGENCIES:
There are cases
where you can
request to get your
U.S. Passport much
faster—but there are
special
requirements you
need to meet and
you’ll have to pay
extra. If you have an
emergency that
requires you to get
a passport quickly,
visit the website:
http://travel.state.go
v/content/passports
/english/passports/s
ervices/expedited.ht
ml to learn what to
do. From the U.S.,
you can also call 1877-487-2778
(TDD/TTY: 1-888874-7793), and
speak with a
representative
during normal
business hours,
which are MondayFriday, 8 a.m. to 10
p.m. (excluding
federal holidays). If
it’s a life or death
emergency and you
need to call outside
of normal business
hours, please call:
1-202-647-4000.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

You can use a photo you take yourself. However, to ensure your photo is acceptable, it may be a good idea to
have a professional passport photo service take your photo for about $12. You can find these services at many post
offices, print shops, grocery stores, and drug stores.
221
But you can pay an extra $60 fee for “Expedited Service”—quicker processing and delivery of your new passport.
U.S. PASSPORTS & INT’L TRAVEL, U.S. DEP’T OF STATE,
http://travel.state.gov/content/passports/english/passports/new.html, U.S. PASSPORTS & INT’L TRAVEL, U.S. DEP’T OF
STATE, http://travel.state.gov/content/passports/english/passports/information/costs.html.
222
U.S. PASSPORTS & INT’L TRAVEL, U.S. DEP’T OF STATE,
http://travel.state.gov/content/passports/english/passports/information/costs.html.
223
If you’re paying an extra $60 fee for Expedited Service, it should take 3 weeks. U.S. PASSPORTS & INT’L TRAVEL, U.S.
DEP’T OF STATE, http://travel.state.gov/content/passports/english/passports/information/processing-times.html.
224
U.S. PASSPORTS & INT’L TRAVEL, U.S. DEP’T OF STATE,
http://travel.state.gov/content/passports/english/passports/information/processing-times.html.
220

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passport be valid at least six months beyond the dates of your trip. Some airlines
will not allow you to board if this requirement is not met.)!!
If you have Internet access, you can track the status of your passport application
online: go to http://travel.state.gov/content/passports/english.html, and click
“Check Your Application Status.”!

HOW DO I APPLY BY MAIL FOR A RENEWAL OF MY U.S.
PASSPORT?
STEP 1:

Make sure you’re eligible and prepared to renew your passport. This
means:

You have a previously issued U.S. Passport, and ALL of the following is true
about it:
•
•
•
•
•

It is undamaged, and it can be sent in with your renewal application;
It was issued when you were age 16 or older;
It was issued less than 15 years ago;
225
It was issued in your current name; AND
Lastly, depending on what convictions are on your record, and any
restrictions of your supervision, you may need to be off parole, probation,
and any other type of community supervision, or have permission from your
226
supervising officer. See PG. 59 above for details.

STEP 2: Put together the required documents.
If your legal name hasn’t changed, you will just need to provide your previously
issued passport—nothing more.
If your legal name has changed, you will need to provide two additional items: (1)
your previously issued U.S. Passport, and (2) official documents showing your
legal name change, such as a certified copy of your marriage certificate or a
court order.
NOTE: You will need to submit the original documents. They will all be mailed
back to you.
227

STEP 3: Complete and sign the application form (DS-82).

This form is available at any Passport Office, and may be available from some
Passport Acceptance Facilities as well (see above on PG. 61 for how to locate
these offices). The form is available online at:
http://www.state.gov/documents/organization/212241.pdf OR
https://pptform.state.gov/?Submit2=Complete+Online+%26+Print. A copy of this
form is also available in Appendix J, PG. 115.
228

STEP 4: Get 2 passport photos taken.

You must provide 2 passport photos with your application. Passport photos have
strict specifications, so make sure you have the photo taken by a professional

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Exception to this last condition: If you legally changed your name since your most recent passport, you can still
apply by mail if you provide official documents proving your name change. Acceptable documents include: an
original or certified copy of your marriage certificate, or government-issued papers showing your legal name
change. U.S. PASSPORTS & INT’L TRAVEL, U.S. DEP’T OF STATE,
http://travel.state.gov/content/passports/english/passports/renew.html.
226
U.S. PASSPORTS & INT’L TRAVEL, U.S. DEP’T OF STATE,
http://travel.state.gov/content/passports/english/passports/renew.html.
227
U.S. PASSPORTS & INT’L TRAVEL, U.S. DEP’T OF STATE,
http://travel.state.gov/content/passports/english/passports/renew.html.
228
You can use a photo you take yourself. However, to ensure your photo is acceptable, it may be a good idea to
have a professional passport photo service take your photo for about $12. You can find these services at many post
offices, print shops, grocery stores, and drug stores.
225

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who is familiar with the requirements (you can go to most pharmacy’s photo
centers to have these photos taken). Do not attach your photo to the application
form.
STEP 5: Pay the fee.
The fee for a renewal passport is $110. There is no additional processing fee
229
required. You must pay using a personal check or money order—not cash. If
paying by check, make it payable to “U.S. Department of State,” and make sure
your full name and birthdate are typed or printed on the front (memo or “for”
230
line). Ask the passport agent if you have any questions.
STEP 6: Mail your renewal application materials.
Make sure you include ALL of the following:
•
•
•
•

Your completed DS-82 with photo attached
Your previous passport,
Your fee payment for $110, AND
Official docuents showing your legal name change (if necessary).

Address the envelope to:

231

National Passport Processing Center
P.O. Box 90155
Philadelphia, PA 19190-0155
STEP 7: Receive your passport in 4-6 weeks, and make a reminder about
232
when it needs to be renewed.
After you submit your passport application, it usually takes about 4-6 weeks to
receive your U.S. Passport in the mail. If you were age 16 or older when your U.S.
Passport was issued, it will be valid for 10 years. If you were age 15 or younger
233
when your U.S. Passport was issued, it will be valid for 5 years. (Note: If
possible, it’s best renew your passport approximately 9 months before it expires.
Some countries require that your passport be valid at least six months beyond
the dates of your trip. Some airlines will not allow you to board if this
requirement is not met.)
If you have Internet access, you can track the status of your passport application
online: go to http://travel.state.gov/content/passports/english.html, and click
“Check Your Application Status.”!
!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

But you can pay an extra $60 fee for “Expedited Service”—quicker processing and delivery of your new passport.
U.S. PASSPORTS & INT’L TRAVEL, U.S. DEP’T OF STATE,
http://travel.state.gov/content/passports/english/passports/renew.html;
http://travel.state.gov/content/passports/english/passports/information/costs.html.
230
U.S. PASSPORTS & INT’L TRAVEL, U.S. DEP’T OF STATE,
http://travel.state.gov/content/passports/english/passports/renew.html.
231
If you’re paying an extra $60 fee for Expedited Service, use this address instead: National Passport Processing
Center; P.O. Box 90955; Philadelphia, PA 19190-0955.
232
If you’re paying an extra $60 fee for Expedited Service, it should take 3 weeks. U.S. PASSPORTS & INT’L TRAVEL, U.S.
DEP’T OF STATE, http://travel.state.gov/content/passports/english/passports/information/processing-times.html.
233
U.S. PASSPORTS & INT’L TRAVEL, U.S. DEP’T OF STATE,
http://travel.state.gov/content/passports/english/passports/information/processing-times.html.
229

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VI. LIBRARY CARD
WHAT WILL I LEARN?
•
•
•
•
•

Why a library card is useful, and how to make the most of
resources at the library
How to find your local public library
What documents and information to bring to the library when
you go to apply for a library card
What to do if you want a library card but don’t have photo ID
How to submit your application for a library card

WHAT ARE THE BENEFITS OF HAVING A LIBRARY CARD?
A library card is FREE and gives access to your local public library. At the library,
you will have access to the Internet, a world of information, and entertainment.
Some useful benefits are:
• Free access to books and media materials. Public libraries contain all kinds
of books, movies, music, newspapers, magazines, and more. Anyone can
visit a public library and use these materials on-site.
• Free access to helpful librarians. Public libraries have librarians on staff who
are trained to help with all kinds of research questions. Anyone can walk in
and get free research help from a librarian.
• Free access to computers and the Internet. Most public libraries have
computer labs where anyone can go online for FREE. You can use email,
search for information, and visit websites. This can make it much easier to
contact people, find jobs and services, do research for school, and look up
news and information.
• Free access to classes, programs, and events. Many public libraries provide
free trainings, computer services, and educational programs and events for
community members of all ages.

WHY WOULD I GET A LIBRARY CARD?234
Although anyone can visit a public library and use certain resources there, you
need a library card to borrow books and other materials (to use them outside of
the building). Also, in some libraries, you may need to get a library card before
you can use the Internet or computers.

HOW DO I GET A LIBRARY CARD?
Below are some basic steps. You might do them in a slightly different order,
depending on your situation.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

RE-ENTRY L.A.: A SELF-HELP RESOURCE GUIDE FOR PEOPLE RETURNING TO LOS ANGELES COUNTY FROM PRISON OR JAIL, 5
(2009 Ed.).
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STEP 1:

!

Find a public library near you.

Your local public library will be listed in the yellow pages, or you can call 411
(“Information”) to get the address. You might also try asking at a local
community center. A list of public libraries in California, listed by city with
addresses and phone numbers, is available online at:
http://www.publiclibraries.com/california.htm. A list of public libraries in
California, listed in alphabetical order by library name, with web links, is
available at: http://www.lib-web.org/united-states/public-libraries/california/.
STEP 2: Bring a photo ID & proof of your current address.
•
•

•

If you have a California State ID or Driver License, you can use it as both your
photo ID and proof of address.
If you don’t have a California State ID or Driver License, use any 2 of the
following (1 must be a photo ID, and 1 must have your current address): U.S.
Passport, school ID, any government-issued ID, employee ID, a personal
check, credit card statement, rental or property tax receipt, utility bill, or
postmarked business mail sent to you at your home address.
If you don’t have a photo ID: California law says that everyone in the state
235
should have access to public libraries. For this reason, many libraries will
make an exception to the photo ID rule. Depending on where you live, your
local library may accept a prison ID card, or some other official document
236
with your name and address on it. To find out if the public library in your
area accepts other types of identification, call or visit the library and explain
your situation.

STEP 3: Fill out a library card application form.
Ask a librarian for the form, fill it out, and turn it in. The librarian will check your
ID and proof of address, process your application, and immediately give you
your new library card. The card and processing should be FREE.

HELPFUL HINTS
FOR USING YOUR LOCAL LIBRARY
•
•

•

•
•

Keep an open mind and enjoy yourself!
Don’t be afraid to ask for help from librarians—they are there to help with
things like finding books, accessing the Internet, and helping you find other
resources.
Take care of any materials you borrow, and keep track of due dates—to be
respectful, and to avoid being fined (libraries charge late fees if you return
materials past their due date).
If you’re using library computers, plan ahead and give yourself extra time in
case you have to wait for your turn.
Many libraries offer free classes and programs like literacy programs,
computer skills classes, etc. Ask a librarian for a list of what is available at
your local branch.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
235
236

CAL. VEH. CODE § 18701.
E-mail from David Cismowski, Chief, State Library Services (Jan. 15, 2015, 04:48 PST) (on file with author).

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VII. VOTER REGISTRATION
WHAT WILL I LEARN?
•
•
•
•
•
•
•
•
•
•
•
•
•
•

Why voting is important
Whether the type of supervision you are under—like
probation or parole—will prevent you from voting
Whether it’s possible to get your voting rights back
How to register to vote, either online or by mail
When you should register to vote
How to vote if you don’t have a photo ID
How to vote if you are homeless
How to get time off work to vote
How to vote by mail
How to vote in person at a polling place
How to vote in person if you have a disability that makes it
challenging to get to, or get around, the polling place
What to do if you want to vote in a language other than
English
What to do if you want to vote in person but need help
reading or filling out the ballot
Who to call if you have any questions about voting

WHY REGISTER TO VOTE?
Voting is a way to participate in choosing the laws and the decision makers in
your community. Voting can also be a meaningful way to exercise your rights as
a citizen, and an opportunity to express your political identity as a member of
your city, county, state, and/or country.
As a person with a criminal record, you may or may not have lost your right to
vote. If you’re still able to vote, you may be deciding whether to exercise your
right. If you’ve lost your right to vote and need to restore it, you may be deciding
whether it’s worth the effort. Either way, voting rights are extremely important in
each citizen having a voice—and yet states have absolute power to restrict or
237
restore the voting rights of people with criminal records.

IN GENERAL, WHO CAN REGISTER TO VOTE IN CALIFORNIA?
To register to vote in the next election, you must be a U.S. citizen, a California
resident, and at least age 18 by Election Day. But even if you meet those
requirements, you might not be able to register if you have certain criminal
convictions or if you’re under certain kinds of custody or supervision.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

In this country, 48 of the 50 states restrict the voting rights of people with felony convictions. A Report on State
Legal Barriers Facing People with Criminal Records, LEGAL ACTION CENTER, http://www.lac.org/roadblocks-toreentry/main.php?view=law&subaction=8.
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I HAVE A CRIMINAL RECORD. CAN I REGISTER TO VOTE IN
CALIFORNIA?
238

It depends.

A MISDEMEANOR conviction never affects your voting rights in California. If you
have only misdemeanor(s) on your record, you still have your voting rights!
A FELONY conviction could cause you to lose your voting rights in California.
However, you may be able to restore your right to vote. You will have to wait
until you finish your sentence, which includes completing your parole term and
239
any other requirements in the community. Note, if you were found mentally ill,
you only lose your right to vote during the time you were involuntarily
240
committed.
See the chart on the next page (PG. 70) to understand how your criminal record
and supervision status will affect your voting rights.

I LOST MY VOTING RIGHTS WHILE SERVING A FELONY
SENTENCE. WHAT IS THE PROCESS FOR REGAINING MY ABILITY
TO VOTE?
In California, your voting rights are automatically restored once you’ve
completed your prison sentence for the felony, AND after your parole or other
supervision term. All you have to do is register (or re-register) to vote before the
241
next election (see instruction on how to register on PG. 71 below).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

REENTRY COUNCIL OF THE CITY AND COUNTY OF SAN FRANCISCO, GETTING OUT & STAYING OUT: A GUIDE TO SAN
FRANCISCO RESOURCES FOR PEOPLE LEAVING JAILS AND PRISONS 54 (2012/13 Ed.).
239
See Voting Rights for Californians with Criminal Convictions or Detained in Jail or Prison, SECRETARY OF STATE,
STATE OF CALIFORNIA, https://www.sos.ca.gov/elections/sharing-ideas/a-voting-guide-for-inmates.pdf;
https://www.aclunc.org/vote.
240
CAL. ELEC. CODE § 2211(a)(3).
241
Know Your Voting Rights: California—Text Only, ACLU, https://www.aclu.org/voting-rights/know-your-votingrights-california-text-only.
238

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THE CHART BELOW EXPLAINS WHETHER OR NOT YOU HAVE THE RIGHT TO VOTE IN CALIFORNIA BASED ON
YOUR CURRENT SUPERVISION AND CUSTODY STATUS. PLEASE NOTE THAT THE TOP-HALF OF THE CHART
EXPLAINS VOTING RIGHTS FOR PEOPLE WITH STATE CONVICTIONS, WHILE THE BOTTOM-HALF OF THE
CHART EXPLAINS VOTING RIGHTS FOR PEOPLE WITH FEDERAL CONVICTIONS. IF YOU ARE ON MORE THAN
ONE TYPE OF SUPERVISION, AND EITHER SAYS “NO,” THEN YOU CANNOT VOTE.

VOTING RIGHTS WITH A RECORD
State Convictions
SUPERVISION STATUS

CAN I VOTE?

(Note: You must also be age 18 or older by the next Election
Day, a U.S. Citizen, and a California resident)

Currently incarcerated in State Prison

NO

State Parole

NO

Misdemeanor Probation

YES

Felony Probation

YES

Post-Release Community Supervision (PRCS)

NO

242

Mandatory Supervision

NO

243

•
•

Currently incarcerated in jail

•

(but see footnote)
(but see footnote)

IT DEPENDS –
Because of PRCS or Mandatory Supervision: NO
Because it is a condition of your probation: YES
Because you have been convicted and sentenced and
are awaiting to be transferred to prison: NO

Pending Felony Charge
(meaning you’re charged of a felony, but not yet convicted)

YES

Felony Conviction with a “Split Sentence”
that combines jail & probation time

NO

Federal Convictions
SUPERVISION STATUS

CAN I VOTE?

(Note: You must also be age 18 or older by the next Election
Day, a U.S. Citizen, and a California resident)

Currently incarcerated in Federal Prison

NO

Federal Parole (applies to very few people)

NO

Federal Probation

YES

Federal Supervised Release

NO

I DON’T KNOW MY SUPERVISION STATUS. HOW DO I FIND OUT?
It is very common to not know what kind of supervision you are on! If you are
unaware or unsure of what your supervision status is, you should talk to your
supervising officer or your public defender to find out what category you fall

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Scott et al. v. Bowen, No. RG14-712570 (Cal. Sup. Ct. of Alameda Cnty., June 05, 2014) (appeal granted).
There is an ongoing lawsuit to allow people on Mandatory Supervision and PRCS to vote. See Scott et al. v.
Bowen, No. RG14-712570 (Cal. Sup. Ct. of Alameda Cnty., June 05, 2014) (appeal granted). That means if you are on
Mandatory Supervision or PRCS, you will be able to vote if the lawsuit is ultimately successful, so be on the lookout
for any future changes to this rule. To check for the latest updates on this lawsuit, go to https://www.aclunc.org/ourwork/legal-docket/michael-scott-et-al-v-debra-bowen.
242
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into. Tell them you are trying to determine if you are eligible to vote. You can
even show them this chart to help figure out what classification you are in!
It’s also possible that you are on multiple forms of supervision. If you are on
more than one type of supervision and either one prevents you from voting, then
you cannot vote. In other words, if you look at the chart—both of your
supervision status categories must say “yes;” if one says “no,” you cannot vote.

WHAT IF I VOTED IN AN ELECTION THAT I WAS NOT LEGALLY
ALLOWED TO VOTE IN?
It depends. If you ACCIDENTALLY voted in an election that you were not
allowed to vote in, you will probably not be in trouble with the law. Voter fraud
244
requires “specific intent.” This means that you had to have meant to vote in an
election, knowing that you were not allowed to vote and with the purpose of
voting even though you knew you were not supposed to vote.
If you PURPOSEFULLY voted in an election, knowing you were not supposed to
245
vote, you could be found guilty of voter fraud. While majority of the voter
fraud crimes are prosecuted when committed on the large scale to impact
246
elections, the punishment can be up to five years in prison and a $10,000 fine.

REGISTERING TO VOTE IN CA:
I WANT TO VOTE IN THE NEXT ELECTION. WHEN IS
THE LAST DAY I CAN REGISTER TO VOTE IN
CALIFORNIA?

WHEN IS ELECTION
DAY?
The General Election is
held on the first
Tuesday of November.
See more information
about voting on
Election Day on
PG. 75!

The deadline to register is 15 days before the next local, state, or
federal election. You must submit the voter registration application
form before Midnight on the deadline.
• If you register using the online form, the timestamp must be before midnight
on the deadline date (by 11:59 p.m.).
• If you register using a paper form, it must be postmarked or hand-delivered
to your county elections office at least 15 days before the election. (See
247
PG. 72 to learn how to find your county elections office).

I DON’T HAVE OFFICIAL PHOTO ID. CAN I STILL REGISTER TO
VOTE?
Yes. However, if you register to vote without a Driver License number, State ID
number, or SSN, then when you later go in person to vote you might have to
show documents with your name and address. Examples of documents you
could show at the voting poll are: a military ID, a student ID, a prison ID, a utility
248
bill, and/or a check from the government.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

81 Ops. Cal. Atty. Gen. 321 (1998).
CAL. ELEC. CODE § 18560.
22 U.S.C. § 1973gg-10.
247
Election and Voter Information, CAL. SEC’Y OF STATE, http://www.sos.ca.gov/elections/elections_faq.htm.
248
2 CAL. CODE REGS. 20107. For a full list of documents that are acceptable for this purpose, contact your county
elections office, or visit the website at
http://elections.cdn.sos.ca.gov/regulations/hava_id_regs_from_barclays_3_3_06.pdf.
244
245
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You’ll only have to show these kinds of documents before voting if
ALL of the following is true:
1) You registered online or by mail;
2) You registered without including any Driver License, State ID,
or SSN information on your form; AND
249
3) You’ve NEVER voted before.

I’M HOMELESS. CAN I STILL REGISTER TO VOTE IN
CALIFORNIA?
Yes. You don’t need a home address to register. Using the map on
the bottom of the voter registration form, just identify 2 cross streets
where you usually stay. If you fill out your application online, you
can check the box that says, “I do not have a street address” in the
250
home and mailing address section.

SINCE THE LAST TIME I REGISTERED TO VOTE, MY
ADDRESS, NAME, POLITICAL PARTY OR SUPERVISION
STATUS HAS CHANGED. DO I HAVE TO RE-REGISTER?
Probably. You need to re-register if any one of the following
situations is true:
• You’ve changed your permanent address, legal name, or political
party; OR
• You’ve completed a felony prison sentence AND you’re no longer
on parole; OR
• You’ve completed parole or another type of supervision that
251
prevented you from voting.

PRISON IDs:

CAN I USE MY
PRISON ID AS
IDENTIFICATION
WHEN I GO TO VOTE?
Although a prison ID isn’t
explicitly listed as
acceptable ID, the law
does allow a “document
issued by a government
agency” to prove who
you are. (CAL. CODE REGS.
tit. 2, § 20107(d)(2)(E).)
Because your prison ID
was issued by the
California Department of
Corrections &
Rehabilitation (CDCR),
which is a government
agency, it should be an
acceptable form of ID.
Keep in mind though that
the people who work at
the polling stations are
volunteers and not
experts in California law,
so you may need to speak
with a few different
people if you are having
difficulties. Remember:
you won’t need your
prison ID card at all if you
were able to provide a
SSN, Driver License
number, or State ID
number when you
registered.

I HAVE OTHER QUESTIONS ABOUT REGISTERING TO VOTE IN
CALIFORNIA. WHO CAN I ASK FOR HELP?
•

•

Call the CA Secretary of State’s toll-free voter hotline at 1-800-345-VOTE
(English), 1-800-232-VOTA (Spanish), 1-800-339-2857 (Chinese), or 1-800252
833-8683 (TTY/TDD); OR
Contact your county elections office—This office maintains your
LEARN HOW TO FIND
253
voter registration record (if you have one). There is an
YOUR COUNTY
ELECTIONS OFFICE
alphabetical list of all county elections offices on the CA
HERE!
Secretary of State’s website at:
o http://www.sos.ca.gov/elections/voting-resources/find-yourpolling-place/. This website lists each county elections office’s address
and phone number.
o (If you don’t know your county, you can look it up by typing in your ZIP
code online at http://quickfacts.census.gov/cgi-bin/qfd/lookup or call the
voter hotline numbers above.)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Know Your Voting Rights: California—Text Only, ACLU, https://www.aclu.org/voting-rights/know-your-votingrights-california-text-only.
250
Voter Registration Application, CAL. SEC’Y OF STATE, https://covr.sos.ca.gov/Home/MainForm; Know Your Voting
Rights: California—Text Only, ACLU, https://www.aclu.org/voting-rights/know-your-voting-rights-california-text-only.
251
Election and Voter Information, CAL. SEC’Y OF STATE, http://www.sos.ca.gov/elections/elections_faq.htm;
http://www.sos.ca.gov/elections/elections_vr.htm.
252
Election and Voter Information, CAL. SEC’Y OF STATE, http://www.sos.ca.gov/elections/elections_faq.htm;
http://www.sos.ca.gov/elections/elections_vr.htm.
253
For a directory of California County Elections Offices, including location, office hours, and contact information,
visit Election and Voter Information, CAL. SEC’Y OF STATE, http://www.sos.ca.gov/elections/elections_d.htm.
249

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HOW DO I REGISTER TO VOTE IN CALIFORNIA? WHAT IS THE
APPLICATION PROCESS?
To register to vote, you need to fill out a voter registration form and submit it to
your county elections office (learn how to find your county elections office
directly above). You can do this (1) by filling out an online form (if you have
access to a computer that’s connected to Internet and a printer) or (2) by filling
254
out a paper form. Both are completely acceptable, so do what is best and
easiest for you! Read on for details.!

!

IMPORTANT: If you want to vote in the next election, you must register
!
at least 15 days before that election. Once
you’re registered, you can
255
vote in all state and local elections.

! REGISTERING THROUGH THE INTERNET ONLINE FORM:
Choose this option only if you have access to a computer that’s connected to
the Internet and a printer.
STEP 1:

Go to the online form.

Visit http://registertovote.ca.gov/.
website will open the form.

256

Click “Register to Vote Now,” and the

STEP 2: Complete the online form.
Click through the pages and enter your information in the boxes. Make sure you
answer all questions that are marked by a star (*).
NOTE: The form asks for your California Driver License or California State ID
number, birthdate, and the last 4 digits of your SSN. Enter this if you can, but
know that you may still be able to vote even if some information is missing. Your
257
county elections official may assign you a special number to vote.
STEP 3: Submit the online form.
What happens next depends on whether you have a valid California Driver
License or State ID and have a signature on file with the DMV.
•

•

If you do have a valid California Driver License or State ID: You probably
have a signature on file with the DMV. Click “Submit” when you finish the
form, and the website will most likely find your signature in the DMV
database. It will then send your information to your county elections office.
If you don’t have a valid California Driver License or State ID: You probably
don’t have a signature on file with DMV. Click “Print” when you finish the
form, sign the printed form, and submit the printed form to your county
elections office—either by mail or in person.

STEP 4: Wait to hear from for your county elections office.
It will contact you if it approves your voter registration, or if it needs more
258
information to confirm that you can vote.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Election and Voter Information, CAL. SEC’Y OF STATE, http://www.sos.ca.gov/elections/new-voter/registeringvote.htm.
255
Election and Voter Information, CAL. SEC’Y OF STATE, http://www.sos.ca.gov/elections/new-voter/registeringvote.htm.
256
The form is available in English, Spanish, Chinese, Hindi, Japanese, Khmer, Korean, Tagalog, Thai, and
Vietnamese. Election and Voter Information, CAL. SEC’Y OF STATE, http://www.sos.ca.gov/elections/elections_faq.htm.
257
Election and Voter Information, CAL. SEC’Y OF STATE, http://www.sos.ca.gov/elections/new-voter/registeringvote.htm.
258
Election and Voter Information, CAL. SEC’Y OF STATE, http://www.sos.ca.gov/elections/elections_faq.htm.
254

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!

REGISTERING WITH THE PAPER FORM:

STEP 1:
•

•
•
•

Get the paper form. There are a few different ways to get it:

Pick up a paper form at any county elections office (see PG. 72 for how to
259
find one), public library (see PG. 67 for how to find one), DMV office (Go to
http://apps.dmv.ca.gov/fo/offices/locator/locator.htm to locate one), or post
office;
Call 1-800-345-VOTE (toll-free voter hotline) and ask to get a paper form
mailed to you;
260
Download the form at www.sos.ca.gov/nvrc/fedform/ and print it; OR
Contact the CA Secretary of State’s Office, and ask that a paper form be
mailed to you. You can ask by sending a letter, calling, or emailing the office:
California Secretary of State's Office, Elections Division
1500 11th Street, 5th Floor; Sacramento, CA 95814
Phone: (916) 657-2166
Email: elections@sos.ca.gov

STEP 2: Complete the paper form.
Fill in as much information as possible. Note: The form asks for your California
driver license or ID number, birthdate, and last 4 digits of your SSN. Enter this if
you have this information, but know that you may still be able to vote even if
some is missing. Your county elections official may assign you a number that will
261
identify you as a voter. When you go to vote on election day, you may have to
show documents with your name and address. Examples: a military or student
ID, a utility bill, or a check from the government.
STEP 3: Submit the paper form. Mail it to your county elections office, or drop it
off in person.
STEP 4: Wait to hear from for your county elections office.
It will contact you if it approves your voter registration, or if it needs more
262
information to confirm that you can vote.

IMPORTANT TIP
One of the questions on a Voter Registration form is: “Have you ever been
convicted of a Felony?” Under law, it is important that you answer this question
263
truthfully.
Even if you have your voting rights restored, you must answer this question
honestly and check the box. If you lie, you could be found guilty of perjury

.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

For a directory of California County Elections Offices, including location, office hours, and contact information,
visit http://www.sos.ca.gov/elections/elections_d.htm.
260
The form is available in English, Spanish, Chinese, Hindi, Japanese, Khmer, Korean, Tagalog, Thai, and
Vietnamese. Election and Voter Information, CAL. SEC’Y OF STATE, http://www.sos.ca.gov/elections/elections_faq.htm.
261
Election and Voter Information, CAL. SEC’Y OF STATE, http://www.sos.ca.gov/elections/new-voter/registeringvote.htm.
262
Election and Voter Information, CAL. SEC’Y OF STATE, http://www.sos.ca.gov/elections/elections_faq.htm.
263
Cal. Pen. Code § 118; People v. Darcy, 59 Cal. App. 2d 342, 348 (1943) (The court held that “to sustain a perjury
charge it is not necessary that the false statement be made for the purpose of injuring another . . .. Whether a false
statement has been made willfully or as the result of an honest mistake is a question of fact solely for the jury to
decide.”).
259

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VOTING ON ELECTION DAY
I REGISTERED TO VOTE. WHERE, WHEN, AND HOW DO I VOTE IN
THE NEXT ELECTION?
In California, you can vote in two ways: (1) by mail ballot, or (2) at your local
county polling place.
Voting by Mail—If you’re already registered to vote at your current home
address, contact your county elections office to request a vote-by-mail ballot
application form (see PG. 72 to learn how to find the nearest county elections
264
office). Once you get this form in the mail, complete and return it to the county
elections office at least 7 days before the election.
Voting in Person—Once you’re registered, you’ll get a sample ballot in the mail
(which you don't need to fill out—its just supposed to help to prepare you for
election day). Your voting location (called a “polling place”) is listed on this
265
ballot. You can also call your county elections office to ask about your voting
location. On the day of the election, go to this location to vote. All polls should
be open from 7 a.m. to 8 p.m.

WHEN IS ELECTION DAY?
266

The General Election is on the first Tuesday of November.

CAN I GET TIME OFF FROM WORK TO VOTE IN CALIFORNIA?
Yes. If you don’t have enough time outside of work to vote, you have to right to
take time off from work to vote—up to 2 hours, which must be paid time off. You
need to tell your employer at least 2 working days in advance, and you can only
take the time off at the start or end of your workday unless you have made a
267
different agreement with your boss. This applies to part-time and temporary
employees as well if they are hired to work for more than 52 hours over the
268
course of 90 calendar days. But note that independent contractors are not
considered employees under law, and thus don’t have the right to paid time off
269
to vote. However, even when you don’t have the right to get paid time off to
vote, you can take a reasonable time off work to vote, because federal law
270
prohibits anyone from interfering with citizens’ right to vote.

I HAVE A PHYSICAL DISABILITY. CAN I GET HELP GETTING
ACCESS TO MY VOTING LOCATION?
Yes. Follow these 2 steps:
STEP 1: First, contact your county elections office to find out if your voting
location (“polling place”) is accessible to you, given your disability.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

For a directory of California County Elections Offices, including location, office hours, and contact information,
visit http://www.sos.ca.gov/elections/elections_d.htm or see PG. 53.
265
For a directory of California County Elections Offices, including location, office hours, and contact information,
visit http://www.sos.ca.gov/elections/elections_d.htm or see PG. 53.
266
See Election and Voter Information, CAL. SEC’Y OF STATE, http://www.sos.ca.gov/elections/elections_cand.htm;
http://www.sos.ca.gov/elections/statewide-elections/2014-general/2014-key-dates-deadlines.htm.
267
CAL. ELEC. CODE § 14000, Know Your Voting Rights: California—Text Only, ACLU,
https://www.aclu.org/print/voting-rights/know-your-voting-rights-california-text-only.
268
CAL. LAB. CODE § 3352.
269
CAL. LAB. CODE § 3353.
270
Voting Rights Act of 1965, Pub. L. 89-110 (1965).
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STEP 2: Second, if your voting location isn’t accessible to you, “curbside voting”
should be available to you. With “curbside voting,” you will be asked to get as
close as possible to the voting area as you can, given your disability and
elections officials should bring you a sign-in sheet, a ballot, and any other voting
271
materials you may need.

ENGLISH ISN’T MY FIRST LANGUAGE. CAN I GET A BALLOT IN MY
NATIVE LANGUAGE?
272

Maybe. This depends. Call your county elections office to find out what
languages the ballot is available in in your county. If your county doesn’t have
ballots in your native language, you can bring an interpreter with you to vote (as
273
long as this person isn’t your employer or labor union officer).

I CAN’T READ, AND/OR I PHYSICALLY CAN’T VOTE BY MYSELF.
CAN I GET HELP IN THE VOTING BOOTH?
Yes. If you can’t mark a ballot because you can’t read, and/or because you have
a disability, tell a poll worker when you get to your voting location (“polling
place”).
•

•

You have the right to use a voting machine that is accessible to you. Poll
workers should explain how to use the voting equipment before you go into
the booth, and should also provide further help if you need it after you go
274
into the booth. They are legally required to do so.
You also have the right to select up to 2 people (including a poll worker) to
help you in the booth, as long as these people aren’t your employer, agents
275
of your employer, or officers/agents of your labor union.

WHAT IF I VOTED IN AN ELECTION THAT I WAS NOT LEGALLY
ALLOWED TO VOTE IN?
It depends. If you ACCIDENTALLY voted in an election that you were not
allowed to vote in, you will probably not be in trouble with the law. Voter fraud
276
requires “specific intent.” This means that you had to have meant to vote in an
election, knowing that you were not allowed to vote and with the purpose of
voting even though you knew you were not supposed to vote. Conversely, if you
PURPOSEFULLY voted in an election, knowing you were not supposed to vote,
277
you could be found guilty of voter fraud.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Know Your Voting Rights: California—Text Only, ACLU, https://www.aclu.org/print/voting-rights/know-yourvoting-rights-california-text-only.
272
For a directory of California County Elections Offices, including location, office hours, and contact information,
visit http://www.sos.ca.gov/elections/elections_d.htm.
273
Know Your Voting Rights: California—Text Only, ACLU, https://www.aclu.org/voting-rights/know-your-votingrights-california-text-only.
274
CAL. ELEC. CODE § 14272.
275
CAL. ELEC. CODE § 14282.
276
81 Ops. Cal. Atty. Gen. 321 (1998).
277
CAL. ELEC. CODE § 18560.
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VIII. SELECTIVE SERVICE
REGISTRATION
WHAT IS THE SELECTIVE SERVICE SYSTEM & WHY DO I NEED TO
KNOW ABOUT IT?
The Selective Service System is a federal agency that keeps a list of all adult
278
males in the United States. In case of a military emergency, the federal
government uses the Selective Service registration list to draft men for military
279
service —and to provide public service work assignments for men who are
280
morally opposed to military service. If you’re a male between ages 18 and 25
and you live in the United States, and you don’t fall under one of the legal
281
exceptions, you must register with the Selective Service before you turn 26.
For the legal exceptions to registration, see the list below under the question:
282
“WHO IS NOT REQUIRED TO REGISTER WITH SELECTIVE SERVICE?”
You need to know about the Selective Service because almost ALL males who
are between ages 18 and 25, and who live in the United States, are legally
required to register with Selective Service, with only a few exceptions. IT’S THE
LAW, and if you do not follow it, there could be negative consequences. If you
did not apply but legally should have, you might now be disqualified from certain
federal or state programs and benefits—such as student financial aid, obtaining
citizenship, federal job training, or federal jobs. Read on for more information.

WHO IS REQUIRED TO REGISTER WITH THE SELECTIVE SERVICE?
Selective Service registration is required for nearly ALL men ages 18 to 25
th
(before your 26 birthday), who live in the United States. There are very few
283
exceptions, which are listed in the next question.

WHO IS NOT REQUIRED TO REGISTER WITH SELECTIVE
SERVICE?
You are NOT required to register with the Selective Service if you fit in one of
the categories below:
(1) Certain people who are confined:
284
• People who are incarcerated in jail or prison —You DO NOT have to
register for the Selective Service while you are incarcerated, even if you are
a male age 18 to 25. But if you are age 25 or younger at the time of your
285
release, you must register within 30 days of getting out.
• People who are being kept in a hospital or institution for medical reasons.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

50 U.S.C. App. 451 et seq. (“Military Selective Service Act”); see also What Does Selective Service Provide for
America, SELECTIVE SERV. SYS., http://www.sss.gov/what.htm.
279
See 50 U.S.C. App. 451; Agency Mission, SELECTIVE SERV. SYS., http://www.sss.gov/mission.htm; What Does
Selective Service Provide for America, SELECTIVE SERV. SYS., http://www.sss.gov/what.htm.
280
See 32 C.F.R. § 1656.1.
281
50 U.S.C. App. 453; see also When to Register, SELECTIVE SERV. SYS., http://www.sss.gov/when.htm.
282
50 U.S.C. App. 451 et seq., http://www.sss.gov/PDFs/MSSA-2003.pdf.
283
50 U.S.C. App. 456; see also Back to School: A Guide to Continuing Your Education after Prison, PRISONER REENTRY
INSTITUTE, JOHN JAY COLLEGE OF CRIMINAL JUSTICE (July 2010), 24.
284
50 U.S.C. App. 456; see also Selective Service—Who Must Register, SELECTIVE SERV. SYS.,
http://www.sss.gov/PDFs/WhoMustRegisterChart.pdf; http://www.sss.gov/FSwho.htm.
285
Who Must Register, SELECTIVE SERV. SYS., http://www.sss.gov/FSwho.htm.
278

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(2) Certain people who have disabilities:
• People with a mental or physical disability that prevents them from
functioning in public, with or without assistance.
• People who have been confined continuously to a residence, hospital, or
286
institution from ages 18 to 25.
(3) Certain non-citizens:
• Lawful non-immigrants holding visas in the U.S.
287
• Seasonal agricultural workers holding visas (H-2A)
(4) Certain military members:
• Members of the U.S. Armed Forces on active duty.
• Cadets or midshipmen in a U.S. Service Academy or Coast Guard Academy
• Students in Officer Procurement Programs at certain U.S. military colleges
(5) Certain people who have had a sex change:
• People who are born female (assigned female at birth) and have had a sex
change do not need to register with the Selective Service. However, people
born male (assigned male at birth) and have had a sex change are still
288
required to register.

WHEN DO I REGISTER WITH THE SELECTIVE SERVICE?
You must register within 30 days after you reach age 18, but the Selective
Service will accept your late registration through age 25 (before your 26th
289
birthday, but not after).

HOW DO I REGISTER WITH THE SELECTIVE SERVICE?
You can register in 3 ways, and all are acceptable. You can register:
(1) online, (2) by filling out a paper registration form and mailing it to
the Selective Service System, OR (3) by checking the “Register Me”
option on the Federal Student Financial Aid Application (called the
“FAFSA”).!
(1) Registering online:
If you have access to a computer (most public libraries have free
computer access, see PG. 66 for more information on public library
access), this is the fastest and easiest way to register.
• Go to https://www.sss.gov/RegVer/wfRegistration.aspx.
• Fill out the online form and click “Submit Registration.”

DO I NEED A
SOCIAL
SECURITY
NUMBER (SSN)
TO REGISTER
WITH THE
SELECTIVE
SERVICE?
No. If you have a
SSB, you must
provide it when
registering. But you
don’t need to have a
SSN to register.

(2) Registering by mail:
You can find the registration form for the Selective Service at any U.S.
post office and at many high schools. If you want to find it online and
print it out to send in via mail, you can go to
https://www.sss.gov/PDFs/Regform_copyINT.pdf.
• Fill out the form and mail it to: Selective Service System, P.O. Box 94638,
290
Palatine, IL 60094-4638.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Time to Register, SELECTIVE SERV. SYS., https://www.sss.gov/sssyou/sssyou.htm.
NOTE: Most other categories of non-citizens are required to register. These include permanent resident
immigrants (“green card” holders), undocumented immigrants, refugees, and asylum grantees. Selective Service—
Who Must Register, SELECTIVE SERV. SYS., http://www.sss.gov/PDFs/WhoMustRegisterChart.pdf.
288
Selective Service—Who Must Register, SELECTIVE SERV. SYS., http://www.sss.gov/PDFs/WhoMustRegisterChart.pdf;
http://www.sss.gov/QA.HTM.
289
Men Cannot Register after Reaching Age 26, SELECTIVE SERV. SYS., http://www.sss.gov/FSmen.htm.
286
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(3) Registering through FAFSA (Free Application for Federal Student Aid):
If you are a student applying for federal student financial aid using the FAFSA
(Free Application for Federal Student Aid), you can register simply by checking
“Register Me” on Box #22 of that application form. The U.S. DEP’T OF EDUC. will
send your information to the Selective Service, and you are done!

ISSUES WITH SELECTIVE SERVICE
REGISTRATION
I REGISTERED WITH THE SELECTIVE SERVICE, BUT I LOST MY
REGISTRATION NUMBER AND MY PROOF OF REGISTRATION.
HOW CAN I GET MY REGISTRATION NUMBER AND PROOF OF
REGISTRATION?
Contact the Selective Service to request your number and get new proof of
registration. Be ready to provide your name, birthdate, SSN, AND current
mailing address. You can contact the Selective Service 3 ways:
• By phone: Call 1-847-688-6888.
• By mail: Mail a request to Selective Service System, P.O. Box 94638,
Palatine, Illinois, 60094-4638.
• Online: Visit http://www.sss.gov and click “Check Registration.” You’ll need
to enter your SSN.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
290

How to Register, SELECTIVE SERV. SYS., http://www.sss.gov/FSregist.htm.

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IT’S BEEN MORE THAN 30 DAYS SINCE I TURNED 18, AND I
HAVEN’T REGISTERED WITH THE SELECTIVE SERVICE. CAN I
STILL REGISTER?
•
•

IF YOU ARE AGE 25 OR YOUNGER, then YES, you can still register. You
291
should do so immediately! Follow same steps above on PG. 78 to register.
IF YOU ARE AGE 26 OR OLDER, it’s probably too late to register. HOWEVER,
if you have good reasons for failing to register between ages 18 to 25—such
as being incarcerated the entire time you were 18-25, then you might be able
to get an official Selective Service response saying that you were or were not
292
required to register called a “Status Information Letter.” See PG. 81 to
learn how to request a “Status Information Letter.”

I AM 26 OR OLDER AND NEVER REGISTERED WITH THE
SELECTIVE SERVICE—AND DON’T FALL INTO ANY OF THE LEGAL
EXCEPTIONS. WHAT ARE SOME POSSIBILE CONSEQUENCES?
If you are age 26 or older, failed to register with the Selective Service, and don’t
fall into any of the legal exceptions to the registration requirement—then under
law you could face a fine of up to $250,000 and/or a prison term of up to 5
293
years. Even if you don’t face charges, you may be disqualified from certain
government programs and benefits—including federal student financial aid,
294
obtaining citizenship, federal job training, and federal jobs. In California,
failure to register with the Selective Service also means you can’t get STATE
295
student financial aid.
In certain situations, you may be able to prove that your failure to register was
unintentional. If you have enough proof, you might be eligible for government
benefits and programs even though you didn’t register at the required time. (See
PG. 80 below.)

I AM 26 OR OLDER AND NEVER REGISTERED WITH THE
SELECTIVE SERVICE. NOW I’M DISQUALIFIED FROM CERTAIN
GOVERNMENT BENEFITS AND PROGRAMS. WHAT ARE MY
OPTIONS?
It depends on 2 factors—(1) whether you had good reason for not registering and
(2) what program or benefit you are applying for.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Who Must Register, SELECTIVE SERV. SYS., http://www.sss.gov/FSwho.htm.
Benefits and Programs Linked to Registration, SELECTIVE SERV. SYS., http://www.sss.gov/FSbenefits.htm;
http://www.sss.gov/QA.HTM.
293
Benefits and Programs Linked to Registration, SELECTIVE SERV. SYS., https://www.sss.gov/FSbenefits.htm.
294
See Benefits and Programs Linked to Registration, SELECTIVE SERV. SYS., http://www.sss.gov/FSbenefits.htm;
http://www.sss.gov/QA.HTM.
295
34 C.F.R. § 668.37(d)(2)(i), (e).
291
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IF YOU DIDN’T REGISTER FOR THE SELECTIVE SERVICE BECAUSE . . .
. . .You were incarcerated
between the ages of 18
and 26

. . . You didn’t know
about the registration
requirement, OR
mistakenly believed it
didn’t apply to you
OR
. . . You thought you were
already registered, but
the Selective Service has
no record of your
registration

You may be able to prove that you should qualify for the benefits or programs you are
trying to get. To do this, you will have to fill out a form requesting a “Status Information
Letter” from the Selective Service System. (See Appendix K, PG. 122.) You will have to
list the dates during which you were incarcerated, and attach any documents that show
when and where you were incarcerated. If you can prove that you were incarcerated
during the relevant time, the Selective Service System will send you an official letter
stating that you were not required to register. If you show this letter to the financial aid,
federal job training, or federal job office to which you are applying, it can’t legally deny
you benefits because of your Selective Service status.
You may still be eligible for government benefits if you can prove to the benefit-issuing
296
agency that you did not “knowingly or willfully” fail to register.
The agency handling
your case—NOT the Selective Service System—is in charge of deciding whether you
297
have provided enough proof.
You must send the benefit-issuing agency certain documents as proof.
1. First, you must request a “Status Information Letter” (see PG. 81) from the Selective
298
Service System, which summarizes your status with the Selective Service.
2. Then you should send this letter along with a detailed “explanation letter” explaining
299
in your own words why you didn’t register.
Your explanation letter should include
any information you think might be relevant to the agency’s decision. This may
include information about where you were living from the ages of 18 to 25, whether
you thought you were already registered, and/or why you weren’t aware of the
300
registration requirement.
3. To present the most persuasive case, you should also include any documentation
you have that supports your story.

HOW DO I GET A “STATUS INFORMATION LETTER?”
You can request a “Status Information Letter” by (1) calling, OR (2) sending a
written request. If you are requesting a “Status Information Letter” because you
want to establish that you were incarcerated, institutionalized, hospitalized, or
confined from ages 18 through 25, before you contact the Selective Service, be
prepared to describe ALL of the circumstances that prevented you from
registering at the proper time, and have copies of documents showing all the
301
dates you were hospitalized, institutionalized, or incarcerated.
If you are requesting a “Status Information Letter” because you failed to register
for other reasons, you must summarize these reasons on the request form. Note:
You do not have to send a separate “letter of explanation” to the Selective
Service System—that’s only for the agency that denied you the benefits.
TO REQUEST:
• By phone: Call 1-847-688-6888 and connect to an operator. Ask for a “Status
Information Letter.”
• By mail: Get a copy of the “Request for Status Information Letter” form. Use
the form in Appendix K, PG. 122, or visit http://www.sss.gov/PDFs/status.pdf,

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Men Cannot Register after Reaching Age 26, SELECTIVE SERV. SYS., http://www.sss.gov/FSmen.htm. For
information about student financial aid, see 34 C.F.R. § 668.37(d)(2)(i); 34 C.F.R. § 668.37(e); U.S. DEP’T OF EDUC. & FED.
STUDENT AID, 2014-2015 FEDERAL STUDENT AID HANDBOOK.
297
See Men Cannot Register after Reaching Age 26, SELECTIVE SERV. SYS., http://www.sss.gov/FSmen.htm; see also
Men 26 and Older, SELECTIVE SERV. SYS., http://www.sss.gov/Status.html.
298
The Status Information Letter will include a code that summarizes the Selective Serving’s findings in your case.
Different codes correspond to different categories. For example, the Selective Service might include a code
indicating that you were sent a letter to inform you of the registration requirement, but that it was returned by the
post office as undeliverable. See U.S. DEP’T OF EDUC. & FED. STUDENT AID, 2014-2015 FEDERAL STUDENT AID HANDBOOK.
299
See Request for Status Information Letter, SELECTIVE SERV. SYS.,
http://www.sss.gov/PDFs/PrinterFriendly/status.pdf.
300
See U.S. DEP’T OF EDUC. & FED. STUDENT AID, 2014-2015 FEDERAL STUDENT AID HANDBOOK.
301
See Men 26 and Older, SELECTIVE SERV. SYS., https://www.sss.gov/Status.html.
296

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and print it from a computer. Fill out the form, sign it, and attach copies of
documents to prove the information you write in the form. Mail the form,
along with your documents, to: Selective Service System, P.O. Box 94638,
Palatine, Illinois, 60094-4638.

HOW SELECTIVE SERVICE REGISTRATION AFFECTS
GOING BACK TO SCHOOL
I’VE HEARD THAT IF I DIDN'T APPLY FOR THE SELECTIVE
SERVICE WHEN I WAS YOUNGER, IT CAN AFFECT MY ABILITY TO
GO BACK TO SCHOOL NOW THAT I AM RELEASED AND IN THE
COMMUNITY? IS THAT TRUE? WHAT CAN I DO?
It’s true—if you failed to register for the Selective Service between the ages of 18
to 25 (before your 26th birthday), you are not eligible for state or federal
financial aid unless you fall into an exception for registering or had a really good
reason for not registering, like being incarcerated the entire time ages 18-25.
However, even if you weren’t incarcerated during that entire time period, you
still may be able to get financial aid despite not registering if you can prove that
your failure to register was unintentional. In other words, you have to prove that
you didn’t fail to register on purpose, even though you knew you were supposed
302
to.
For financial aid purposes, the person in charge of deciding whether you have
303
provided enough proof will often be an employee of your school. You will
have to request a “Status Information Letter” from the Selective Service System
(See Appendix K, on PG. 122), then send that letter to the relevant department at
your school, along with a letter explaining why you didn’t register. Learn more
about this topic in the EDUCATION CHAPTER, beginning on PG. 906.

HELPFUL HINT
The school employee in charge of your case is required to consider ALL
information related to your situation—not just what the Selective Serve System
says happened—so provide as much detail as possible to make your case
stronger. This may include information about where you were living from the
ages of 18 to 25, whether you thought you were already registered, and/or why
304
you weren’t aware of the registration requirement.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Time to Register, SELECTIVE SERV. SYS., https://www.sss.gov/sssyou/sssyou.htm.
See U.S. DEP’T OF EDUC. & FED. STUDENT AID, 2014-2015 FEDERAL STUDENT AID HANDBOOK 1-71.
304
See U.S. DEP’T OF EDUC. & FED. STUDENT AID, 2014-2015 FEDERAL STUDENT AID HANDBOOK.
302
303

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IX. CONCLUSION
If you are formerly incarcerated, you have quickly realized how important these
various forms of identification (“ID”) and other key documents are to rebuilding
your life, your identity, and your sense of self.
To review, the BUILDING BLOCKS OF REENTRY: ID & VOTING CHAPTER has
covered the following topics:
1.
2.
3.
4.
5.
6.
7.

Birth Certificate
Social Security Number (SSN) & Card
California State ID, Drivers License, and Municipal ID
U.S. Passport
Library Card
Voter Registration
Selective Service Registration

We hope this Chapter has empowered you to gather the important documents
and ID you need to start over strong—and to better understand the different
processes and issues that might come up along the way, so you can plan ahead.
Another important set of documents—not covered in this Chapter—are copies of
your criminal records. It is important to know what could show up from your
criminal record as you apply for public benefits, programs, housing, and jobs;
how to spot and fix errors; and how to get help making your record less visible
and less powerful by “cleaning” it up. Criminal records are so important in
reentry that we have written an entire chapter of this legal guide dedicated just
to them. Go to the UNDERSTANDING & CLEANING UP YOUR CRIMINAL
RECORD CHAPTER, beginning on PG. 1020, to learn more.
Congratulations on all you have accomplished! Feel free to call Root & Rebound
at 510-279-3662, email us at roadmap@rootandrebound.org, or write to us at:
Root & Rebound, 1730 Franklin Street, Suite 300, Oakland, CA 94612, for further
assistance or a referral.

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ID & VOTING APPENDIX
APPENDIX A.

CDPH Application for Certified Copy of Birth Record –
PG. 85

APPENDIX B.

A Listing of Vital Statistics Office Phone Numbers for Each
State – PG. 89

APPENDIX C.

Application for Replacement Naturalization/Citizenship
Document, Form N-565 – PG. 97

APPENDIX D.

Application for a Social Security Card, Form SS-5 – PG. 100

APPENDIX E.

A complete list of documents that the DMV accepts to prove
legal presence – PG. 102

APPENDIX F.

Verification for Reduced Fee Identification Card, Form
DL 937 – PG. 103

APPENDIX G.

Court-Ordered Debt Payment Instructions – PG. 106

APPENDIX H.

A full list of acceptable identity and residency verification
documents – PG. 107

APPENDIX I.

A full list of countries that issue CIDs – PG. 113

APPENDIX J.

U.S. Passport Renewal Application, Form DS-82 – PG. 115

APPENDIX K.

Status Information Letter for Selective Service System –
PG. 122

APPENDIX L.

American Civil Liberties Union of California Voting Rights
Resources – PG. 127

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APPENDIX A
CDPH Application for Certified Copy of
Birth Record
See next page.

PAGE 85 OF 1210

State of California – Health! and Human Services Agency

California Department of Public Health

APPLICATION FOR CERTIFIED COPY OF BIRTH RECORD
PLEASE READ THE INSTRUCTIONS ON PAGE 2 BEFORE COMPLETING THIS APPLICATION
As part of statewide efforts to prevent identity theft, California law (Health and Safety Code Section 103526) permits only authorized individuals as listed on the
application to receive certified copies of birth records. All others will be issued Certified Informational Copies marked with the legend, “Informational, Not A
Valid Document to Establish Identity.”
Please indicate the type of certified copy you are requesting:
I would like a Certified Informational Copy. This document will be
printed with a legend on the face of the document that states,
“INFORMATIONAL, NOT A VALID DOCUMENT TO ESTABLISH IDENTITY.”

I would like a Certified Copy. This copy will establish the identity of
the registrant. (To receive a Certified Copy you MUST INDICATE
YOUR RELATIONSHIP TO THE REGISTRANT by selecting from the list
below AND COMPLETE THE ATTACHED SWORN STATEMENT
declaring that you are eligible to receive the Certified Copy. The
Sworn Statement MUST BE NOTARIZED if the application is
submitted by mail unless you are a law enforcement or local or
state governmental agency.)

(A Sworn Statement does not need to be provided.)

NOTE: Both documents are certified copies of the original document on file with our office. With the exception of the legend and redaction of
signatures and Social Security Number, the documents contain the same information.

$25 per copy (payable to CDPH Vital Records).

PLEASE SUBMIT CHECK OR MONEY ORDER – DO NOT SEND CASH
(CDPH cannot be held responsible for fees paid in cash that are lost, misdirected, or undelivered).

To receive a Certified Copy I am:
The registrant (person listed on the certificate) or a parent or legal guardian of the registrant. (Legal guardian must provide documentation.)
A party entitled to receive the record as a result of a court order or an attorney or a licensed adoption agency seeking the birth
record in order to comply with the requirements of Section 3140 or 7603 of the Family Code. (Please include a copy of the court order.)
A member of a law enforcement agency or a representative of another governmental agency, as provided by law, who is conducting official
business. (Companies representing a government agency must provide authorization from the government agency.)
A child, grandparent, grandchild, brother or sister, spouse, or domestic partner of the registrant.
An attorney representing the registrant or the registrant’s estate, or any person or agency empowered by statute or appointed by a court
to act on behalf of the registrant or the registrant’s estate.

PLEASE ATTACH CHECK HERE

Fee:

Appointed rights in a power of attorney, or an executor of the registrant’s estate. (Please include a copy of the power of attorney, or
supporting documentation identifying you as executor.)

APPLICANT INFORMATION (PLEASE PRINT OR TYPE)

Today’s Date:

Agency Name (If Applicable)

Agency Case Number

Inmate ID Number

Print Name of Applicant

Signature of Applicant

Purpose of Request

Mailing Address – Number, Street

Amount Enclosed – DO NOT SEND CASH

Number of Copies

$ _______ Check $ ______ Money Order
City

Name of Person Receiving Copies, if Different from Applicant

State/Province

ZIP Code

Mailing Address for Copies, if Different from Applicant

Daytime Telephone (include area code)
(
)

Country

City

BIRTH RECORD INFORMATION (PLEASE PRINT OR TYPE)

Adopted:

State

No

Yes

ZIP Code

(If Yes, see #4 on Page 2)

Complete the information below as shown on the birth record, to the best of your knowledge.
FIRST Name

MIDDLE Name

LAST Name

City of Birth (must be in California)

County of Birth

Date of Birth – MM/DD/CCYY (If unknown, enter approximate date of birth)

Sex
___Female

___Male

Father/Parent FIRST Name

MIDDLE Name

LAST Name (Before Marriage/Domestic Partnership)

Mother/Parent FIRST Name

MIDDLE Name

LAST Name (Before Marriage/Domestic Partnership)

BIRTH
VS 111 (01/15)

Page 1 of 3

INFORMATION:
Birth records have been maintained in the California Department of Public Health Vital Records since July 1, 1905.
The name required on Vital Records (see Items 1C, 6C, 7C, 9C, and 12C) is the name given at birth, or a name received through
adoption, court ordered name change, or naturalization. AKAs (Also Known As) and assumed names cannot be entered as the legal
name on the birth record.
INSTRUCTIONS:
1.

ONLY individuals who are authorized by Health and Safety Code Section 103526 can obtain a Certified Copy of a birth record
to establish identity of the registrant (person listed on the certificate). (Page 1 identifies the individuals who are authorized
to make the request.) All others may receive a Certified Informational Copy which will be marked, “Informational, Not a
Valid Document to Establish Identity.”
Confidential Information on Birth Record: some individuals have special needs for a birth certificate that contains the
confidential information provided at the time the birth record was prepared. This confidential information may be used to
establish ethnicity, to provide health background, or for other personal reasons. For information on how to obtain a birth
certificate containing the confidential information, please refer to the Birth Record section of our website at:
www.cdph.ca.gov. Only specific individuals may obtain confidential copies.

2.

Complete a separate application for each birth record requested.

3.

Complete the Applicant Information section on Page 1 and provide your signature where indicated. In the Birth Record
Information section, provide all the information you have available to identify the birth record. If the information you
furnish is incomplete or inaccurate, we may not be able to locate the record.

4.

If the registrant has been adopted, make the request in the adopted name. If the registrant was born outside the United
States and re adopted in California, mark the “Yes” box and complete the application with the adopted information. (If you
are requesting a copy of the original birth certificate, you must provide a court order releasing the original sealed record.)

5.

SWORN STATEMENT:
The authorized individual requesting the certified copy must sign the attached Sworn Statement, declaring under
penalty of perjury that they are eligible to receive the certified copy of the birth record and identify their relationship
to the registrant – the relationship must be one of those identified on Page 1.
If the application is being submitted by mail, the Sworn Statement must be notarized by a Notary Public. (To find a
Notary Public, see your local yellow pages or call your banking institution.) Law enforcement and local and state
governmental agencies are exempt from the notary requirement.
You do not have to provide a Sworn Statement if you are requesting a Certified Informational Copy of the birth
record.

6.

Submit $25 for each copy requested. If no birth record is found, the fee will be retained for searching for the record (as
required by law) and a “Certificate of No Public Record” will be issued to the applicant. Indicate the number of copies you
want and include the correct fee(s) in the form of a personal check or postal or bank money order (International Money
Order for out of country requests) made payable to CDPH Vital Records. PLEASE SUBMIT CHECK OR MONEY ORDER – DO
NOT SEND CASH (CDPH cannot be held responsible for fees paid in cash that are lost, misdirected, or undelivered).

7.

Mail completed applications with the fee(s) to:
California Department of Public Health
Vital Records – MS 5103
P.O. Box 997410
Sacramento, CA 95899 7410
(916) 445 2684

BIRTH
Page 2 of 3
VS 111 (01/15)

!

State of California – Health and Human Services Agency

California Department of Public Health

SWORN STATEMENT
I, ___________________________________, declare under penalty of perjury under the laws of the State of California,
(Applicant’s Printed Name)
that I am an authorized person, as defined in California Health and Safety Code Section 103526 (c), and am eligible to receive a
certified copy of the birth, death, or marriage certificate of the following individual(s):

Applicant’s Relationship to Person Listed on Certificate
Name of Person Listed on Certificate

(Must Be a Relationship Listed on Page 1 of Application)

(The remaining information must be completed in the presence of a Notary Public or CDPH Vital Records staff.)

Subscribed to this ______ day of ______________, 20___, at ________________________________, _____________.
(Day)
(Month)
(City)
(State)

______________________________________________________
(Applicant’s Signature)

Note: If submitting your order by mail, you must have your Sworn Statement notarized using the Certificate of Acknowledgment
below. The Certificate of Acknowledgment must be completed by a Notary Public. (Law enforcement and local and state
governmental agencies are exempt from the notary requirement.)

CERTIFICATE OF ACKNOWLEDGMENT
A notary public or other officer completing this certificate verifies only the
identity of the individual who signed the document to which this certificate is
attached, and not the truthfulness, accuracy, or validity of that document.
State of _______________________)
County of ______________________)
On ____________before me, _________________________________, personally appeared _______________________________________,
(insert name and title of the officer)
who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and
acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on
the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under PENALTY OF
PERJURY under the laws of the State of California that the foregoing paragraph is true and correct
WITNESS my hand and official seal.
(SEAL)

_________________________________________________________
SIGNATURE OF NOTARY PUBLIC
Page 3 of 3
VS 111 (01/15)

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APPENDIX B
A Listing of Vital Statistics Office Phone
Numbers for Each State
For people born outside of California in the U.S., this Appendix provides a chart
that lists all the Vital Statistics Office phone numbers and addresses for each
state in the U.S. However, because these numbers are subject to change, you
should check with the CDC for the most up-to-date information. You can:
•
•
•

Visit the CDC website at http://www.cdc.gov/nchs/w2w.htm
Call the CDC directly by phone at 1-800-CDC-INFO (1-800-232-4636)
OR
Write to the CDC at:
Centers for Disease Control and Prevention
1600 Clifton Road
Atlanta, GA 30329-4027

Let the Vital Statistics office in the state where you were born know that you are
trying to get an authorized certified copy of your birth certificate. Ask (1) what
their procedures are; (2) what you need to send the Vital Statistics Office; and
(3) the cost.
IMPORTANT NOTE IF YOU ONLY HAVE A PRISON/JAIL ID CARD:
If the only form of identification (ID) that you currently have is a valid Prison
Identification Card, that may be sufficient enough for some States. First, call the
State that you were born in and follow the instructions to be connected to an
operator and confirm what you need to provide in order to obtain your certified
Birth Certificate. Here are a few examples of what states accept if you only have
a Prison ID Card:
•

•
•

Idaho and Delaware accept a current Prison Identification Card (not older
than the current year), with a photo on it, to be copied and sent along with
your application and payment for a birth certificate.
Arizona, on the other hand, needs only a notarized signature along with full
payment, and does not require a copy of your Prison/Jail ID card.
Oregon requires a combination of documents, including the following:
(1) official court papers, (2) parole or probation paperwork, (3) your full name,
(4) your date of birth, and (5) a photo identification (your Prison/Jail ID Card is
acceptable). If you have them, Oregon will also accept a Utility Bill, Vehicle
Registration Paperwork, and/or Hospital Card to help prove who you are.

The point is, it’s best to call ahead of time and ask!

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CONTACT INFORMATION OF
VITAL STATISTICS OFFICES FOR EVERY STATE IN THE U.S.
STATE

MAILING
ADDRESS

Alabama

Alabama Vital Records
P.O. Box 5625
Montgomery, AL 36103-5625

PHONE

COST FOR A COPY OF BIRTH CERTIFICATE,
AND WHO TO ADDRESS THE CHECK TO
$15.00 (Additional copies $6.00 each, and to expedite a
request is an additional $15.00)

(334) 206-5418

Make your check or money order payable to “State Board of
Health”
$30.00 (Additional copies are $25.00 each)
Personal check or money order should be made payable to
“Bureau of Vital Statistics”

Dept. of Health and Social
Services
Bureau of Vital Statistics
5441 Commercial Blvd.
Juneau, AK 99801

Alaska

American
Samoa

American Samoa Government
Dept. of Homeland
Security Office of Vital Statistics
P.O. Box 6894
Pago Pago, AS 96799

(907) 465- 3391

(684) 6331405/1406. For
Health
Information
Office, Health
and Vital
Statistics call
(684) 6334606/2262

SPECIAL NOTES:
1.
All requests must include a copy of governmentissued picture ID of the applicant (i.e. Identification
Card, Drivers License, a Prison/Jail ID Card, or any
government-issued identification with photo ID.)
2. While copying/ scanning picture ID, enlarge the copy
and lighten the picture on the computer or printer as
much as possible to be sure that it is clear and
readable when sent to Alaska’s Bureau of Vital
Statistics.
3. REQUIRED! Once you have copied your picture ID,
you must sign the paper that you submit along with
the application itself.

$5.00
Money order should be made payable to “The Office of Vital
Statistics/ASG” Personal checks are not accepted.

$20.00

Arizona

Office of Vital Records Arizona
Dept. of
Health Services
P.O. Box 3887
Phoenix, AZ 85030-3887

(602) 364-1300

Arkansas

Arkansas Dept. of Health
4815 West Markham St.
Little Rock, AR 72205

(501) 661-2336

California

CA Dept. of Public Health—Vital
Records
MS: 5103
P.O. Box 997410
Sacramento, CA 95899-7410

Canal Zone

Vital Records Section Passport
Services U.S. Dept. of State
1111 19th St. NW, Suite 510
Washington, DC 20522-1705

PAGE 90 OF 1210

Cashier’s checks and money orders must be for the exact
amount and made payable to “Office of Vital Records”
SPECIAL NOTES: Acceptable payment methods are cashier’s
check, money order, Visa or MasterCard. If you pay by
credit/debit card, you must include the full number and
expiration date on your application.
$12.00 ($10.00 for each additional copy)
Personal check or money order should be made payable to
“Arkansas Dept. of Health”
$25.00

(916) 445-2684

(202) 955-0307

A personal check or money order should be made payable to
“CDPH Vital Records”
$30.00 (Additional copies of the same record requested at the
same time are $20.00 each.)
Personal check or money order must be signed, dated and
made payable to “U.S. Dept. of State”

ROADMAP TO REENTRY
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Colorado

Vital Records Section CO Dept. of
Public Health and Environment
4300 Cherry Creek Drive South
HSVRD-VS-A1
Denver, CO 80246-1530

(303) 692- 2200

Personal check or money order should be made payable to
“Vital Records Section”
$30.00

Connecticut

CT Dept. of Public Health
410 Capitol Ave., MS #11 VRS
Hartford, CT 06134

(860) 509-7897

Delaware

Office of Vital Statistics Division
of Public Health 417 Federal St.
Dover, DE 19901

(302) 744-4549

District of
Colombia

Vital Records Division
899 North Capitol St. NE, First
Floor
Washington, DC 20002

Florida

Dept. of Health Bureau of Vital
Statistics
P.O. Box 210 1217 Pearl St. (Zip
32202)
Jacksonville, FL 32231-0042
MAIL-IN REQUEST:
State Vital Records Office
2600 Skyland Dr., NE
Atlanta, GA 30319

Georgia

IN-PERSON REQUEST:
There are 159 counties in
Georgia. You can go to the
office in the county where
you were born. If you aren’t
sure, call the phone number
listed to the right.

Guam

Office of Vital Statistics
P.O. Box 2816
Hagatna, Guam 96932

Hawaii

State Dept. of Health Office of
Health Status
Monitoring Issuance/Vital
Statistics Section
P.O. Box 3378
Honolulu, HI 96801

Idaho

Vital Records Unit Bureau of Vital
Records and
Health Statistics
P.O. Box 83720
Boise, ID 83720-0036

Illinois

Division of Vital Records Illinois
Dept. of Public
Health 925 E Ridgely Ave.
Springfield, IL 62702

Indiana

Vital Records Indiana State Dept.
of Health
P.O. Box 7125
Indianapolis, IN 46206-7125

$17.75 (Additional copies of the same birth record ordered at
the same time are $10.00 each. )

Requests sent to the State Vital Records Office require a
postal money order made payable to the “Treasurer, State of
Connecticut”
$25.00
Personal check or money order should be made payable to
“Office of Vital Statistics”

(202) 671- 5000

$23.00
Personal check or money order should be made payable to
“DC Treasurer”

(904) 359-6900

$9.00
Personal check or money order should be made payable to
“Bureau of Vital Statistics”

(404) 679-4702
Call this phone
number if you
need the mailing
address or
telephone of a
specific county’s
Vital Records
office in Georgia.

(671)735-7292

$25.00 (Additional copies of the same record ordered at the
same time are $5.00.)
A certified check or money order should be made payable to
“ Vital Records Services”
SPECIAL NOTES: All requests for vital records include the
signature and photocopy picture ID of the requestor and the
proper fee.

$5.00
Money order should be made payable to “Treasurer of Guam”

(808) 586-4533

$10.00 (Additional copies ordered at the same time are $4.00
each.)
Cashiers check, certified check, or money order should be
made payable to “State Dept. of Health”

(208) 334- 5988

$13.00
Personal check or money order should be made payable to
“Idaho Vital Records”

(217) 782-6553

$15.00 (Additional certifications of the same record ordered at
the same time are $2.00 each. The fee for all full certified copy
is $15.00. )
Money orders, certified checks, or personal checks should be
made payable to “Illinois Dept. of Public Health”

(317) 233-2700

$10.00(Additional copies of the same birth record ordered at
the same time are $4.00 each.)
Personal check or money order should be made payable to
“Indiana State Dept. of Health”

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Iowa

Iowa Dept. of Public Health
Bureau of Vital Records Lucas
Office Building 1st Floor 321 East
12th St.
Des Moines, IA 50319-0075

Kansas

Office of Vital Statistics, Curtis
State Office Building 1000 SW
Jackson St., Suite 120
Topeka, Kansas 66612-2221

Kentucky

Office of Vital Statistics
Dept. for Public Health, Cabinet
for Health and Family Services
275 East Main St. 1E-A
Frankfort, KY 40621-0001

(515) 281-4944

$15.00
Personal check or money order should be made payable to
“Iowa Dept. of Public Health”

(785) 296-1400

$15.00(Additional copies of the same record ordered at the
same time are $15.00 each.)
Personal check or money order should be made payable to
“Vital Statistics”

(502) 564- 4212

$10.00
Personal check or money order should be made payable to
“Kentucky State Treasurer”
Long form- $15.50 (suggested)
Available Louisiana (LA) Birth Certificate Types
Birth Long
A certified birth certificate that can typically be used for travel,
passport, proof of citizenship, social security, driver's license,
school registration, personal identification and other legal
purposes. Birth Certificates are available for events that
occurred in the State of Louisiana within the last 100 years.

Office of Public Health Vital
Records Registry
P.O. Box 60630
New Orleans, LA 70160

Louisiana

(504) 593-5100
Fax: (504)5688716

First Copy: $15.00 Additional Copies: $15.00
Birth Short—Card
CANNOT BE USED TO OBTAIN A PASSPORT, DRIVER'S
LICENSE OR TRAVEL. The Birth Short—Card is a wallet size
version of the Birth Certificate that can be used for
INFORMATIONAL PURPOSES ONLY.
First Copy: $9.00 Additional Copies: $9.00
Checks should be made payable to “ Louisiana Vital Records”
SPECIAL NOTES: Walk-in services only accept cash, check, or
money order as forms of payment (no credit or debit cards).

Maine

Maryland

Massachusetts

Maine Center for Disease Control
and Prevention
11 State House Station 220
Capitol St.
Augusta, Maine 04333-0011
Division of Vital Records Dept. of
Health and
Mental Hygiene 6550
Reisterstown Road P.O. Box
68760 Baltimore, MD 21215-0036

Registry of Vital Records and
Statistics
150 Mount Vernon St., 1st Floor
Dorchester, MA 02125-3105

PAGE 92 OF 1210

(207) 287-3181,
or toll-free at 1888-664-949

Certified $15.00
Non-Certified $10.00
(Additional copies of same record ordered at same time are
$6.00 each.)
Personal check or money order should be made payable to
“Treasurer, State of Maine”

(410) 260-6400

$24.00
Personal check or money order should be made payable to
“Division of Vital Records”

If your birth
certificate is from
the year 1920 or
earlier, CALL
(617) 727-2816
If your birth
certificate is from
the year 1921 or
later, CALL
(617) 740-2600

$20.00 (In-person Request)
$32.00 (Mail-In request)
Additional $3.00 for Birth Certificated from year 1920 or
earlier
Personal check or money order should be made payable to
“Commonwealth of Massachusetts”
SPECIAL NOTES: State office has no records previous to 1921.
For earlier records, write to The Massachusetts Archives at
Columbia Point, 220 Morrissey Blvd., Boston, MA 02125 (617)
727-2816.!

ROADMAP TO REENTRY
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Michigan

Minnesota

Vital Records Request
P.O. Box 30721
Lansing, MI 48909

Minnesota Dept. of Health
Central Cashiering – Vital
Records
P.O. Box 64499
St. Paul, MN 55164

Mississippi

Mississippi Vital Records State
Dept. of Health P.O. Box 1700
Jackson, MS 39215-1700

Missouri

Missouri Dept. of Health and
Senior Services
Bureau of Vital Records
930 Wildwood
P.O. Box 570
Jefferson City, MO 65102-0570

Montana

Office of Vital Statistics,
MT Dept. of Public Health and
Human Services
111 N Sanders, Rm. 6
P.O. Box 4210 Helena, MT 59604

Nebraska

Nebraska Vital Records
P.O. Box 95065
Lincoln, NE 68509-5065

Nevada

Office of Vital Records
4150 Technology Way, Suite 104
Carson City, NV 89706

New
Hampshire

Division of Vital Records
Administration—
Archives Building
71 South Fruit St.
Concord, NH 03301-2410

To request an
application call
the recorded
message at (517)
335-8656 to
leave your name
and mailing
address with
type of
application
needed. To
speak to a
customer service
representative
call (517)- 3358666 and press
option #4

(651) 201-5970

$34.00 (Rush fee additional $12.00. Exception is Senior Citizen
age 65+ ($14.00) requesting their own birth record. Additional
copies of any record ordered at the same time are $16.00
each.)
Personal check or money order should be made payable to
“State of Michigan”

$26.00 (Additional copies of the birth record when ordered at
the same time are $19.00.)
Personal check or money order should be made payable to
Minnesota Dept. of Health.

To verify current
fees, the
telephone
number is (601)
576-7981. A
recorded
message may be
reached on (601)
576-7450

$15.00 (Additional copies of same record ordered at the same
time are $5.00 each.)
Personal check , bank or postal money order or bank cashier’s
check are accepted and should be made payable to
“Mississippi State Dept. of Health”

$15.00(Copies of these records are $15.00 each)
(573) 751-6387

Personal check or money order should be made payable to
“Missouri Dept. of Health and Senior Services”
SPECIAL NOTES: Please include a legal size self- addressed
stamped envelope.!

(406) 444- 2685

$12.00
(Additional copies of the same record requested at the same
time are $5.00.)
Personal check or money order should be made payable to
“Montana Vital Records”

(402) 471- 2871

$17.00
Personal check or money order should be made payable to
“Nebraska Vital Records”

(775) 684- 4242

$20.00
Personal check or money order should be made payable to
“Office of Vital Records”

(603) 271-4651

$15.00
Personal check or money should be made payable to
“Treasurer, State of New Hampshire”

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TOLL FREE
(866)649-8726

New Jersey

New Jersey Dept. of Health Office
of Vital Statistics and Registry
P.O. Box 370
Trenton, NJ 08625-0370

(OR visit online
at
http://www.state.
nj.us/health/vital
for up-to-date
information on
ordering)

New Mexico

NM Vital Records
P.O. Box 25767
Albuquerque, NM 87125

TOLL FREE
(866) 534-0051

New York

Certification Unit Vital Records
Section, 2nd Floor
800 North Pearl St.
Menands, NY 12204

1-855-322-1022

$25.00 (Additional copies of the same record ordered at the
same time are $2.00 each.)
SPECIAL NOTES: For information on Express Mail or In
persons order visit
http://www.state.nj.us/health/vital/contact.shtml

$10.00
Personal check or money order should be made payable to
“NM Vital Records”
$30.00
Personal check or money order should be made payable to
“New York State Dept. of Health”
$15.00 ( Additional Copies $15.00)
SPECIAL NOTES:

New York City

NYC Health Department Office of
Vital Records
125 Worth St., CN4, Rm. 133
New York, NY 10013

(212) 639-9675

North Carolina

NC Vital Records
1903 Mail Service Center
Raleigh, NC 27699-1903

North Dakota

ND Dept. of Health Division of
Vital Records
600 East Blvd. Ave., Dept. 301
Bismarck, ND 58505-0200

(701) 328- 2360

North Mariana
Islands

Commonwealth Healthcare
Corporation
Vital Statistics Office
P.O. Box 500409
Saipan, MP 96950

(670) 236-8717
or (670) 2368702

Ohio

Vital Statistics Ohio Dept. of
Health
P.O. Box 15098
Columbus, OH 43215-0098

(614) 466- 2531

Oklahoma

Vital Records Service Oklahoma
State Dept. of Health
P.O. Box 53551
Oklahoma City, OK 73152

Oregon

Oregon Vital Records
P.O. Box 14050
Portland, OR 97293-0050

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(919) 733- 3000

•

The office has birth records for people who were
born and/or died in the five boroughs of New York
City: Brooklyn, the Bronx, Manhattan, Queens, or
Staten Island.

•

Birth records issued before 1910 and death records
issued before 1949 must be ordered through the
Municipal Archives.

•

For more information please visit:
http://www.nyc.gov/html/doh/html/services/vr-orderother.shtmlor write to Dept. of Records and
Information Services, 31 Chambers St., New York,
NY 10007.

$24.00
Business or certified check or money order should be made
payable to “NC Vital Records”
$7.00(Additional copies of birth records are $4.00)
Personal check or money order should be made payable to
“ND Dept. of Health”
$20.00
Money order or bank cashiers check should be made payable
to “Commonwealth Healthcare Corporation”
$21.50
Personal check or money order should be made payable to
“Treasury, State of Ohio”
$15.00(Additional Copies $ 15.00 each)

(405) 271-4040

(971) 673-1190

Personal check or money order should be made payable to
“OSDH”
$20.00(Additional copies of the same record ordered at the
same time are $15.00 each.)
Personal check or money order should be made payable to
“OHA/Vital Records”

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Pennsylvania

Puerto Rico

Division of Vital Records
ATTN: Birth Unit
101 South Mercer St., Room 401
P.O. Box 1528 New Castle, PA
16103

Dept. of Health Demographic
Registry
P.O. Box 11854
Fernández Juncos Station
San Juan, PR 00910

Rhode Island

RI Dept. of Health Office of Vital
Records, Room 101
3 Capitol Hill
Providence, RI 02908-5097

South Carolina

Office of Vital Records, SCDHEC
2600 Bull St.
Columbia, SC 29201

South Dakota

Vital Records, State Dept. of
Health
207 E Missouri Ave, Suite 1-A
Pierre, SD 57501

Tennessee

Texas

Tennessee Vital Records Central
Services Building 4215th Ave.
North Nashville, TN 37243

Texas Vital Records Dept. of
State Health
Services
P.O. Box 12040
Austin, TX 78711-2040

$20.00
(724) 656-3100

Personal check or money order should be made payable to
“Vital Records”
$5.00($4.00 each additional copy requested on the same
application. Registrants over 60 years of age and Veterans of
the United States Armed Forces can obtain copies of their
birth records free of charge.)

(787) 765-2929
Ext. 6131

Payment method via money orders, which should be made
payable to the “Secretary of Treasury”
SPECIAL NOTES: Maximum three (3) copies per registrant per
year. Beneficiaries of a Veteran of the United States Armed
Forces can obtain copies of their death records free of charge
(widow or children under 21 years of age).

To verify current
fees after office
hours, the
telephone
number is (401)
222-2811.
To verify current
fees and general
information
during office
hours, please call
the Health Hot
Line at (401) 2225960

(803) 898-3630

$20.00(Additional copies of the same record ordered at the
same time are $15.00 each.)
Personal check or money order should be made payable to
“Rhode Island General Treasurer”

$12.00(Additional copies of the same birth records ordered at
the same time of certification are $3.00 each.)
Acceptable method of payment is a money order or cashiers
check made payable to “SCDHEC- Vital Records.”

(605) 773-4961

$15.00
Personal check or money order should be made payable to
“South Dakota Dept. of Health.”

(615) 741- 1763

Long term- $15.00
Short term- $ 8.00
(Additional copies of the same birth, marriage, or divorce
record requested at the same time are $5.00 each.)
Personal check or money order should be made payable to
“Tennessee Vital Records”

(512) 776- 7111

$22.00 (Additional copies of the birth record ordered at same
time are $22.00 each.)
Mail-in requests must be made by personal check or money
order made payable to DSHS.
$20.00 (Additional copies, when requested at the same time,
are $8.00 each.)
Personal check or money order should be made payable to
“Vital Records”

Utah

Certification Unit
Office of Vital Records
P.O. Box 141012
Salt Lake City, UT 84114-1012

(801) 538-6105

SPECIAL NOTES:
•
Identification is now required for the purchase of a Utah
Birth Certificate.
•
Mailed request must include an enlarged and easily
identifiable photocopy of the front and back of your ID.
•
If no proofs are enclosed, your application will be
returned.

PAGE 95 OF 1210

ROADMAP TO REENTRY
!

Vermont

VT Dept. of Health Vital Records
Section
P.O. Box 70 108 Cherry St.
Burlington, VT 05402-0070

$10.00
(802) 863-7275

Personal check or money order should be made payable to
“Vermont Dept. of Health”
$12.00

Virginia

Division of Vital Records
P.O. Box 1000
Richmond, VA 23218-1000

(804) 662-6200

Personal check or money order should be made payable to “
State Health Department”
SPECIAL NOTES: Must submit a photocopy of their ID.

Virgin Islands

Dept. of Health Vital Statistics,
Charles Harwood Memorial
Hospital
St. Croix, VI 00820

$15.00 (mail requests)
$12.00 (in person)
(340) 774-9000
ext. 4685 or
4686

Money order for birth records should be made payable to
“Department of Health”
SPECIAL NOTES: Personal checks are not accepted

Washington

Center for Health Statistics
Department of Health
P.O. Box 9709
Olympia, WA 98504-7814

West Virginia

Vital Registration Office, Room
165
350 Capitol St.
Charleston, WV 25301-3701

$20.00(For Expedited Delivery must add Express Mail, an
additional $18.30)
(360) 236- 4300

(304) 558-2931
VitalChek Phone:
(877) 448-3953
Fax: (866) 8708723
For automated
assistance 24
hours a day, 7
days a week, you
can call (608)
266-1371

Wisconsin

WI Vital Records Office
1 West Wilson St. P.O. Box 309
Madison, WI 53701-0309

If you want to
talk to an actual
person, you can
call the service
counter during
the hours of 8:00
A.M. to 4:15 P.M.
(Central
Standard Time),
Monday through
Friday at (608)
266-1373

Personal check or money order should be made payable to
“Department of Health”
$12.00(By Mail or In Person)
$30.50 + shipping (By Phone, Internet, or Fax)(Non-Rush Fee
Charged by VitalChek)
$35.50 + shipping (Rush Fee Charged by Vital Chek)
SPECIAL NOTES: Can order in person, by mail, by phone,
Internet or fax (Credit Card/ Debit Card Only). Personal check
or money order should be made payable to “Vital Registration”

$20.00 (Additional copies of the same record ordered at the
same time are $3.00 each.)
Personal check or money order should be made payable to
“State of Wisconsin Vital Records”
SPECIAL NOTES: A stamped, self addressed business size
(#10) envelope should be include with the request. A copy of
valid photo ID and a signature is required of the applicant.

$13.00

Wyoming

PAGE 96 OF 1210

Vital Statistics Services
Hathaway Building
2300 Capitol Avenue
Cheyenne, WY 82002

Personal check or money order should be made payable to
“Vital Statistics Services"
(307) 777-7591

SPECIAL NOTES: Please enclose a self-addressed, stamped
envelope with the request. All personal checks are only
accepted when: (1) the requestor is entitled to the record and
the check in personalized and on the account of the person
making the request; (2) third party or non-bank checks will not
be processed.

ROADMAP TO REENTRY
!

APPENDIX C
Application for Replacement
Naturalization/Citizenship Document,
Form N-565
See next page.

PAGE 97 OF 1210

!

OMB No. 1615-0091; Expires 02/28/2015

Form N-565, Application for Replacement
Naturalization/Citizenship Document

Department of Homeland Security
U.S. Citizenship and Immigration Services

START HERE - Please type or print in black ink
Part 1.
Information about you.
Family Name

Given Name

For USCIS Use Only
Receipt

Returned
Middle Name

Address - In care of:
Street Number and Name

Apt. Number

City or Town

Resubmitted

State or Province
Zip or Postal Code

Country
Date of Birth (mm/dd/yyyy)

Country of Birth

Certificate Number

A-Number

Telephone Number (with area/country codes)

E-Mail Address (if any)

Reloc Sent

Reloc Rec'd

Part 2. Type of application
1. I hereby apply for: (check one)
a.
b.
c.
d.
e.

New Certificate of Citizenship
New Certificate of Naturalization
New Certificate of Repatriation
New Declaration of Intention
Special Certificate of Naturalization to obtain recognition of my U.S. citizenship by a
foreign country. (Skip Number 2 and go to Part 3)

2. Basis for application: (Refer to the instructions for additional information.)
a.

Applicant
Interviewed

Declaration of Intention verified by
Citizenship verified by

My certificate is/was lost, stolen or destroyed (attach a copy of the certificate if you
have one). Explain when, where and how.
Remarks

b.
c.
d.

My certificate is mutilated (attach the certificate).
My name has been changed (attach the certificate).
My certificate or declaration is incorrect (attach the document(s)).

Part 3. Processing information
Marital
Male
Height
Single
Status
Female
Married
My last certificate or Declaration of Intention was issued to me by:
USCIS Office or Name of Court:
Date (mm/dd/yyyy):

Gender

Widowed
Divorced
Action Block

Name in which the document was issued:
Other names I have used (if none, so indicate):
Since becoming a citizen, have you lost your citizenship in any manner?
No

Yes (attach an explanation)

Part 4. Complete if applying for a new document because of a name
change
Name changed to present name by: (check one)
Marriage or divorce on (mm/dd/yyyy)
(Attach a copy of marriage or divorce certificate)
Court Decree (mm/dd/yyyy)
(Attach a copy of the court decree)

To Be Completed by
Attorney or Representative, if any.
Fill in box if Form G-28 is attached
to represent the applicant.
VOLAG No.
ATTY State License Number
Form N-565 (Rev. 02/28/13) Y

!

Part 5. Complete if applying to correct your document
If you are applying for a new certificate or Declaration of Intention because your current one is incorrect, explain why it is incorrect and attach copies
of the documents supporting your request.

Part 6. Complete if applying for a special certificate of recognition as a citizen of the U.S. by the
government of a foreign country
Name of Foreign Country
Information about official of the country who has requested this certificate (if known)
Name

Official Title

Government Agency:
Suite Number

Address: Street Number and Name
City

State/Province

Country

Zip or Postal Code

Part 7. Signature

Read the information on penalties in the instructions before completing this part. If you are going to file this
application at a USCIS office in the United States sign below. If you are going to file this application at a USCIS
office abroad, sign it in front of a USCIS or Consular Official.

I certify, or if outside the United States, I swear or affirm, under penalty of perjury under the laws of the United States of America, that this application
and the evidence submitted with it is all true and correct. I authorize the release of any information from my records which U.S. Citizenship and
Immigration Services needs to determine eligibility for the benefit I am seeking.
Signature

Date (mm/dd/yyyy)

Signature of USCIS
or Consular Official
NOTE:

Date (mm/dd/yyyy)

Print Your Name

If you do not completely fill out this form or fail to submit required documents listed in the instructions, you may not be found eligible
for a certificate and this application may be denied.

Part 8. Signature of person preparing form, if other than the applicant
I declare that I prepared this application at the request of the applicant and it is based on all information of which I have knowledge.
Signature
Firm Name and Address

Date (mm/dd/yyyy)

Print Your Name

Telephone Number (with area code)

E-Mail Address (if any)

Form N-565 (Rev. 02/28/13) Y Page 2

ROADMAP TO REENTRY

APPENDIX D
Application for a Social Security Card,
Form SS-5
See next page.

PAGE 100 OF 1210

!

SOCIAL SECURITY ADMINISTRATION
Application for a Social Security Card
NAME

!
Form Approved
OMB No. 0960-0066

First

Full Middle Name

Last

First

Full Middle Name

Last

TO BE SHOWN ON CARD

1

FULL NAME AT BIRTH
IF OTHER THAN ABOVE
OTHER NAMES USED

2

Social Security number previously assigned to the person
listed in item 1

3

PLACE
OF BIRTH

5

(Do Not Abbreviate)

Office
Use
Only

City

State or Foreign Country

CITIZENSHIP
( Check One )

9
10
11
12

7

Are You Hispanic or Latino?
(Your Response is Voluntary)

Yes

8

RACE
Select One or More
(Your Response is Voluntary)

-

FCI

Male

SEX

MM/DD/YYYY
Other (See
Instructions On
Page 3)

Legal Alien Not Allowed
To Work(See
Instructions On Page 3)

Native Hawaiian

American Indian

Other Pacific
Islander

Alaska Native

Black/African
American

White

Asian

No

DATE
OF
BIRTH

4

Legal Alien
Allowed To
Work

U.S. Citizen

ETHNICITY

6

-

Female

First
A. PARENT/ MOTHER'S
NAME AT HER BIRTH
B. PARENT/ MOTHER'S SOCIAL
SECURITY NUMBER (See instructions for 9 B on Page 3)
First
A. PARENT/ FATHER'S
NAME
B. PARENT/ FATHER'S SOCIAL SECURITY
NUMBER (See instructions for 10B on Page 3)

Full Middle Name

-

Last

-

Full Middle Name

-

Unknown
Last

-

Unknown

Has the person listed in item 1 or anyone acting on his/her behalf ever filed for or received a Social Security number
card before?
Yes (If "yes" answer questions 12-13)

No

Don't Know (If "don't know," skip to question 14.)

Name shown on the most recent Social
Security card issued for the person
listed in item 1

First

Full Middle Name

any different date of birth if used on an
13 Enter
earlier application for a card

TODAY'S

14 DATE

Last

MM/DD/YYYY

DAYTIME PHONE

15 NUMBER

MM/DD/YYYY

Area Code

Number

Street Address, Apt. No., PO Box, Rural Route No.

16 MAILING ADDRESS

City

State/Foreign Country

ZIP Code

(Do Not Abbreviate)
I declare under penalty of perjury that I have examined all the information on this form, and on any accompanying statements or forms,
and it is true and correct to the best to my knowledge.

17 YOUR SIGNATURE

18

YOUR RELATIONSHIP TO THE PERSON IN ITEM 1 IS:
Natural Or
Adoptive Parent

Self

Legal Guardian

Other

Specify

DO NOT WRITE BELOW THIS LINE (FOR SSA USE ONLY )
NPN
PBC

DOC
EVI

EVA

EVC

NTI

CAN

PRA

NWR

ITV
DNR

UNIT

SIGNATURE AND TITLE OF EMPLOYEE(S) REVIEWING
EVIDENCE AND/OR CONDUCTING INTERVIEW

EVIDENCE SUBMITTED

DATE
DCL

Form SS-5 (08-2011) ef (08-2011)

Destroy Prior Editions

Page 5

DATE

ROADMAP TO REENTRY
!

APPENDIX E
A complete list of documents that the
DMV accepts to prove legal presence
•
•
•
•
•
•

PAGE 102 OF 1210

U.S. Birth Certificate
U.S. Passport
U.S. Armed Forces ID Card
Certificate of Naturalization
Permanent Resident Card
Foreign passport with a valid I-94 (The I-94 expiration date must be more
than 2 months from the Driver License/ID card application date)

ROADMAP TO REENTRY
!

APPENDIX F
Verification for Reduced Fee Identification
Card, Form DL 937
See next page.

PAGE 103 OF 1210

!

Request for Status Information Letter
I am requesting a Status Information Letter. I am a male who is not registered with Selective
Service. I am now 26 years old or older, and was born after December 31, 1959.

Section 1:
Name

First

Middle

List any other names used

Last
Include any multiple last names

Current Mailing Address

Street Address
City

State

Zip Code

Social Security Number
Date of Birth

Month / Day / Year

Daytime Telephone Number
E-mail Address

Section 2:
MILITARY:
List dates of active duty service:
to
List dates of reserve duty service:
to
List dates of military school service:
to
Military school attended:
Attach copy of DD214 (or DD Form 4 if still on active duty)
INCARCERATED, INSTITUTIONALIZED, HOSPITALIZED, OR CONFINED TO HOME:
List dates during which you were (circle appropriate situation) incarcerated,
to
,
Attach proof of each instance

to

,

to

!

NON CITIZEN / UNDOCUMENTED IMMIGRANT

Month / Day / Year

USCIS (Formerly INS) status at time of entry:
List all alien status(es) held since entering the country, and give dates:
(Attach separate sheet if necessary)
to
to
to
to

USCIS Status:
USCIS Status:
USCIS Status:
USCIS Status:

Attach copies of supporting documentation (see following information sheet for
detailed instructions regarding this)
TRANSSEXUAL:
At birth my gender was:
REASON WHY YOU FAILED TO REGISTER WITH SELECTIVE SERVICE UPON
REACHING AGE 18 AND BEFORE REACHING AGE 26:

Section 3:
Print, sign and date, then send this letter, together with ALL copies of required documents and
any other supporting information you may wish to include to:
Selective Service System
ATTN: SIL
PO Box 94638
Palatine, IL 60094-4638

Signature

Date

No action can be taken until we receive ALL of the information/documentation needed. You
should retain a copy of all documents and correspondence submitted to us.

ROADMAP TO REENTRY

APPENDIX G
Court-Ordered Debt Payment Instructions
Western Union is the only payment option COD offers to expedite the release.
If you have any other referring court-ordered liabilities, they must also be paid. To
expedite the release:
• Call the referring office that placed the hold on your driver license and ask: “Does
your office accept Western Union payment in full through COD to expedite the
release of my license?”
• If the answer is yes, then pay your COD account in full through Western
Union and provide COD with the Western Union Money Transfer Control Number
(MTCN).
• If the answer is no, ask the referring office if they accept other payment options
to expedite the release.
WESTERN UNION
This service charges a fee.
• Go to Western Union—Send Money to pay online, in person, or by phone.
o Check Pay A Bill box
o Provide one of the following:
" Company name: CA Franchise Tax Board
" City code (no spaces): FranchiseTaxBoard
o Account number: Enter account number
o Attention: Court-Ordered Debt
o Amount: Enter payment amount
o Speed: Check Urgent box
• Once payment is complete, Western Union will give you a Money Transfer
Control Number (MTCN).
• Call COD at 916.845.4064 and provide your MTCN to verify payment.
WEB PAY
Login to My COD Account online
(https://www.ftb.ca.gov/online/Court_Ordered_Debt/index.asp) and go to
“Pay Now.” Have the following information ready:
• Your COD account number
• Billing number on your COD notice
• Bank account holder last name
• Checking or savings account number and routing number
CREDIT CARD
This service charges a fee. Have the following information ready:
• Jurisdiction Code: 1584
• Payment type: Court-Ordered Debt Payment
• Your COD account number
• Billing number on your COD notice
• Pay online: Go to Official Payments—Make a Payment and select State Payments.
• Pay by phone: Call 800.272.9829 and select option 2 State Payments.
CHECK, MONEY ORDER, OR CASHIER’S CHECK
•
•
•

Pay to Court-Ordered Debt Collections.
Write your full name, account number, and billing number on your payment.
Mail your payment and the top portion of your notice to: Court-Ordered Debt
Collections, Franchise Tax Board, PO Box 1328, Rancho Cordova, CA 95741-1328

PAGE 106 OF 1210

!

!

APPENDIX H
A full list of acceptable identity and
residency verification documents
See next page.

ROADMAP TO REENTRY
!

AB 60 – Document Options for a California Driver License
Customers applying for a driver license must provide Proof of Identity and California Residency if they do not have
satisfactory proof of legal presence. Use the following guideline to help you determine the documents that are
needed when applying for a driver license.

PROOF OF IDENTITY:
ONE (1) OF THE FOLLOWING DOCUMENTS
California Driver License or California Identification Card:
California Driver License (issued 10/2000 or later)
California Identification Card (issued 10/2000 or later)
Foreign Document that is valid, approved by the Department of Motor Vehicles (DMV) and electronically verified
by DMV with the country of origin:
Mexican Federal Electoral Card (Instituto Federal Electoral (IFE) Credencial para Votar – 2013 version)
Mexican Passport (issued in 2008 or later)
Mexican Consular Card (Matricula Consular - 2006 and 2014 versions)
Foreign Passport that is valid and approved by DMV (see page 4 & 5 for list of DMV approved passports). The
customer must also provide his/her social security number that is electronically verifiable with the Social Security
Administration.
-----OR-----TWO (2) DOCUMENTS FROM TABLE A
--OR-ONE (1) DOCUMENT FROM TABLE A AND ONE (1) DOCUMENT FROM TABLE B
Table A
Table B
Foreign Document that is valid and approved by DMV:
Foreign Birth Certificate
that is a certified copy
Argentinian Identification Card (Documento Nacional de Identidad (DNI) – 2012
issued by a national civil
version)
registry within six (6)
Chilean Identification Card (Cedula de Identidad – 2013 version)
months of the
application date (for a
El Salvadorian Identification Card (Documento Unico de Identidad (DUI) – 2010
CA driver license) that
version)
contains an embedded
Peruvian Identification Card (Documento Nacional de Identidad (DNI) – 2010
photo of the applicant;
version)
Guatemalan National Identification Card (Documento Personal de Identificacion
(DPI) – 2012 version)
Guatemalan Consular Card (Tarjeta de Identificacion Consular– 2002 version)
Brazilian Consular Card (Carteira de Matricula Consular – 2010 version)
Foreign Passports (see pages 4 & 5 for list of DMV approved passports)
1
Revised December 11, 2014

PAGE 108 OF 1210

OR
Foreign Birth Certificate
that is accompanied by
an Apostille
authentication and
translated.

!

AB 60 – Document Options for a California Driver License
Customers applying for a driver license must provide Proof of Identity and California Residency if they do not have
satisfactory proof of legal presence. Use the following guideline to help you determine the documents that are
needed when applying for a driver license.
-----OR-----SECONDARY REVIEW
AS MANY AS POSSIBLE OF THE FOLLOWING DOCUMENTS
The applicant shall submit as many as possible of the following documents that will be reviewed by DMV to verify
the  applicant’s  identity.
School documents, including any document issued by a public or private primary, secondary, or post-secondary
institution,  college,  or  university  that  either  includes  the  applicant’s  date  of  birth,  or  if  a  foreign  school  
document, is sealed by the school and includes a photograph of the applicant at the age the record was issued.
Documents issued by or filed with a government within the United States (U.S.) or the U.S. government,
including:
1. U.S. Department of Homeland Security (DHS) Form I-589, (Application for Asylum and for Withholding of
Removal).
2. U.S. DHS Form I-20 (Certificate of Eligibility for Nonimmigrant (F-1) Student Status – For Academic and
Language Students or Certificate of Eligibility for Nonimmigrant (M-1) Student Status – For Vocational
Students).
3. U.S. DHS Form DS-2019 (Certificate of Eligibility for Exchange Visitor (J-1) Status).
4. Court documents where the applicant is named as a party to the court proceeding.
5. Income tax returns.
6. Driver’s  license.
Documents pertaining to civil marital status or civil unity, including marriage licenses or domestic partner
registrations. If the language on the marriage license is in a language other than English, the marriage license
shall be accompanied by a certified translation or an affidavit of translation into English.
Divorce decrees. If the language on the decree is in a language other than English, the decree shall be
accompanied by a certified translation or an affidavit of translation into English.
Foreign  passport,  consular  identification  card,  foreign  national  identification  card,  or  a  foreign  driver’s  license.    
If  the  foreign  driver’s  license  is  in  a  language  other  than  English,  it  shall  be  accompanied  by  a  certified  
translation or an affidavit of translation into English.
Identification cards that contain a photograph of the applicant issued by a government within the U.S. or the
U.S. government.
Birth documents including a birth certificate or adoption records.
Any of the above  documents  that  list  the  applicant’s  spouse,  domestic  partner,  child,  parent,  or  legal  guardian  
provided the applicant also provides a birth certificate, adoption records, marriage license, or domestic partner
registration to trace the relationship.

2
Revised December 11, 2014

!

AB 60 – Document Options for a California Driver License
Customers applying for a driver license must provide Proof of Identity and California Residency if they do not have
satisfactory proof of legal presence. Use the following guideline to help you determine the documents that are
needed when applying for a driver license.

----AND----

PROOF OF CALIFORNIA RESIDENCY
ONE (1) OF THE FOLLOWING DOCUMENTS
All residency documents must  list  the  applicant’s  first  and  last  name,  and  California  residence  address  with  the  
exception of the last three (3) items below.
Rental or lease agreements with the signatures of the owner/landlord and the tenant/resident.
Deeds or titles to residential real property.
Mortgage bills.
Home utility bills including cellular phone bills.
School documents.
Medical documents.
Employment documents.
Faith based documents.
Insurance documents, including medical, dental, vision, life, home, rental, and vehicle.
Internal Revenue Service or California Franchise Tax Board tax returns.
California Certificates of Vehicle or Vessel Titles or registrations.
California  driver’s  licenses  or  identification  cards.
Change of Address Confirmations by the U.S. Postal Service (Form CNL 107).
Federal government-issued documents.
A property tax bill or statement.
Records of a financial institution.
The  following  documents  do  not  need  to  have  the  customer’s California residence address:
Court documents that list the applicant as a resident of California.
A letter, on letterhead from a homeless shelter, a shelter for abused women, a nonprofit entity, a faith based
organization, an employer, or a government within the U.S. attesting that the applicant resides in California.
A parent, legal guardian, or child may use a birth certificate and a spouse or domestic partner may use a
marriage license or domestic partner registration certificate to trace his or her relationship to the individual to
whom one of the above residency documents has been addressed.
3
Revised December 11, 2014

!

Approved Foreign Passports
Country Name
Afghanistan
Albania
Argentina
Armenia
Australia
Austria
Azerbaijan
Bahamas
Bahrain
Bangladesh
Belarus
Belgium
Belize
Bolivia
Bosnia and Herzegovina
Botswana
Brazil
Brunei
Bulgaria
Burkina Faso
Cabo Verde
Cambodia
Canada
Cayman Islands
Chile
China
Colombia
Comoros
Congo
Congo, Democratic Republic of the
Costa Rica
Cote  D’Ivoire
Croatia
Cyprus
Czech Republic
Denmark
Dominican Republic
Ecuador
Egypt
El Salvador
Equatorial Guinea
Eritrea

Issued In/After

Country Name

2011
2009
2009
2001
2005
2006
2013
2010
2011
2010
2006
2006
2005
2010
2009
2010
2006
2008
2010
2008
2005
2005
2010
2008
2013
2007
10/2009
2008
2008
2009
2006
2008
2009
2010
2005
2012
2006
2013
2008
2009
2011
2010

Estonia
Fiji Islands
Finland
France
Gabon
Georgia
Germany
Ghana
Greece
Guatemala
Guinea-Bissau
Honduras
Hong Kong
Hungary
Iceland
India
Indonesia
Indonesia
Interpol
Iran
Iraq
Ireland
Israel
Italy
Jamaica
Japan
Kazakhstan
Kenya
Kosovo
Latvia
Libya
Lithuania
Luxembourg
Macao
Macedonia, FYR
Madagascar
Malaysia
Malaysia
Malta
Mexico
Mongolia
Montenegro
4

Revised December 11, 2014

Issued In/After
2005
2012
2006
2006
2009
2005
2007
2010
2006
2011
2008
2005
2006
2006
2006
2008
2006
2008
2009
2011
2009
2006
2011
2006
2009
2006
2009
2008
2008
2007
2009
2006
2006
2009
2008
2007
2010
2013
2008
2008
2011
2008

!

Approved Foreign Passports
Country Name
Morocco
Mozambique
Myanmar
Nepal
Netherlands
New Zealand
Nicaragua
Nigeria
Norway
Palau
Palestinian Territory, Occupied
Panama
Paraguay
Peru
Philippines
Poland
Portugal
Qatar
Romania
Russia
Saint Helena
Saint Kitts and Nevis
San Marino
Sao Tome and Principe

Issued In/After

Country Name
Senegal
Serbia
Sierra Leone
Slovakia
Slovenia
Somalia
South Africa
South Korea
South Sudan
Spain
Sweden
Switzerland
Taiwan
Tajikistan
Thailand
Turkey
Turkmenistan
Ukraine
United Arab Emirates
United Kingdom
Uruguay
Vanuatu
Vatican City
Virgin Islands (British)
Zambia

2009
2010
2010
2010
2006
2009
2010
2007
2005
2008
2008
2010
2012
2010
2010
2006
2006
2008
2008
2010
2012
2010
2009
2008

**Please note this document is subject to change

5
Revised December 11, 2014

Issued In/After
2008
2008
2010
2005
2006
2007
2009
2008
2012
2006
2005
2006
12/28/2009
2010
2009
2010
2008
2007
2011
2006
2009
2010
2008
2007
2008

APPENDIX I
A full list of countries that issue CIDs
ARGENTINA
Matrícula Consular Argentina
www.embassyofargentina.us/espanol/consuladosargentinoseneeuu/consulados
argentinoseneeuu.htm
Embassy: (202) 238-6401

BRAZIL
Matrícula de Cidadão Brasileiro
www.brasilemb.org/consulado/consular_jurisdictions.shtml
Embassy: (202) 238-2828

COLOMBIA
Tarjeta de Registro Consular
http://www.colombiaemb.org/opencms/opencms/consulates/consulates.html
Embassy: (202) 387-8338

GUATEMALA
Tarjeta de Identificación Consular
http://www.guatemala-embassy.org/main.php?parent_id=7&id_area=109
Embassy: (202) 745-4952

GUINEA
http://www.guineaembassy.com
Embassy: (202) 986-4300

MALI
Carte d’Identité Consulaire
http://www.maliembassy.us
Embassy: (202) 332-2249
Consulate General of Mali in NY: (212) 737-4150

MEXICO
Mexican Matrícula Consular de Alta Seguridad
To find your consulate, visit http://www.embassyofmexico.org or
http://directorio.gob.mx and click on Relaciones Exteriores, Embajadas y
Consulados, Consulados de México en el extranjero.
Embassy: (202) 728-1600

!

ROADMAP TO REENTRY
!

SENEGAL
Carte Consulaire
http://www.senegalembassy-us.org/enOurReps.htm
Embassy: (202) 234-0540 or (202) 234-0541

DOMINICAN REPUBLIC
Contact your local consulate for more information http://www.domrep.org
Embassy: (202) 332-6280

ECUADOR
http://www.ecuador.us/info/consulate.htm
Embassy: (202) 234-7200 ext. 224

EL SALVADOR
http://www.elsalvador.org/home.nsf/infoconsular
Embassy: (202) 265-9671

HONDURAS
http://www.hondurasemb.org
Embassy: (202) 737-2972/78

NIGERIA
Atlanta
http://www.nigeria-consulate-atl.org
(770) 394-6261
New York
http://www.nigeria-consulate-ny.org
(212) 850-2200
Embassy: (202) 986-8400

PAKISTAN
Consulate General of Pakistan
http://www.pakistanconsulateny.org
(212) 879-5800

PERU
Documento Nacional de Identificación
Peruvian consulates do not offer consular ID cards. However, their national ID
may be accepted as form of ID by some institutions or companies.
http://www.consuladoperu.com/archivos/ jurisdicciones.com
Information Hotline: (800) 535-3953
Embassy: (202) 833–9860/69

PAGE 114 OF 1210

APPENDIX J
U.S. Passport Renewal Application,
Form DS-82
See next page.

!

!

U.S. PASSPORT RENEWAL APPLICATION FOR ELIGIBLE INDIVIDUALS
PLEASE DETACH AND RETAIN THIS INSTRUCTION SHEET FOR YOUR RECORDS

Date of Application:_____________________

CAN I USE THIS FORM?
Complete the checklist to determine your eligibility to use this form
I can submit my most recent U.S. passport book and/or U.S. passport
card with this application.

Yes

No

I was at least 16 years old when my most recent U.S. passport book
and/or passport card was issued.

Yes

No

I was issued my most recent U.S. passport book and/or passport
card less than 15 years ago.

Yes

No

My most recent U.S. passport book and/or U.S. passport card that
I am renewing has not been lost, stolen, mutilated, or damaged.

Yes

No

My U.S. passport has not been limited from the normal ten year
validity period due to passport damage/mutilation, multiple passport
thefts/losses, or non-compliance with 22 C.F.R. 51.41. (Please
refer to the back pages of your U.S. passport book for endorsement
information.)

Yes

No

Yes

No

I use the same name as on my recent U.S. passport book and/or
U.S. passport card.
--OR-I have had my name changed by marriage or court order and can
submit proper documentation to reflect my name change.

If you answered NO to any of the statements above,
STOP - You cannot use this form!
You must apply on application form DS-11 by making a personal appearance before an acceptance agent
authorized to accept passport applications. Visit travel.state.gov to find your nearest acceptance facility.
U.S. PASSPORTS, EITHER IN BOOK OR CARD FORMAT, ARE ISSUED ONLY TO U.S. CITIZENS OR NON-CITIZEN NATIONALS. EACH PERSON
MUST OBTAIN HIS OR HER OWN U.S. PASSPORT BOOK OR PASSPORT CARD. THE PASSPORT CARD IS A U.S. PASSPORT ISSUED IN CARD
FORMAT. LIKE THE TRADITIONAL PASSPORT BOOK, IT REFLECTS THE BEARER'S ORIGIN, IDENTITY, AND NATIONALITY AND IS SUBJECT TO
EXISTING PASSPORT LAWS AND REGULATIONS. UNLIKE THE PASSPORT BOOK, THE PASSPORT CARD IS VALID ONLY FOR ENTRY TO THE
UNITED STATES AT LAND BORDER CROSSINGS AND SEA PORTS OF ENTRY WHEN TRAVELING FROM CANADA, MEXICO, THE CARIBBEAN,
AND BERMUDA. THE U.S. PASSPORT CARD IS NOT VALID FOR INTERNATIONAL AIR TRAVEL.
PLEASE NOTE: YOUR NEW PASSPORT WILL HAVE A DIFFERENT PASSPORT NUMBER THAN YOUR PREVIOUS PASSPORT.

INFORMATION, QUESTIONS, AND INQUIRIES
Please visit our website at travel.state.gov. In addition, you may contact the National Passport Information
Center (NPIC) toll-free at 1-877-487-2778 (TDD: 1-888-874-7793) or by email at NPIC@state.gov. Customer
Service Representatives are available Monday-Friday 8:00a.m.-10:00p.m. Eastern Time (excluding federal
holidays.) Automated information is available 24 hours a day, 7 days a week.
FAILURE TO PROVIDE INFORMATION REQUESTED ON THIS FORM, INCLUDING YOUR SOCIAL SECURITY NUMBER,
MAY RESULT IN SIGNIFICANT PROCESSING DELAYS AND/OR THE DENIAL OF YOUR APPLICATION.
NOTICE TO APPLICANTS RESIDING ABROAD
United States citizens residing abroad CANNOT submit this form to the domestic address listed on the Instruction Page 2. Such applicants should contact the
nearest U.S. Embassy or Consulate for procedures to be followed when applying overseas.
WARNING: False statements made knowingly and willfully in passport applications, including affidavits or other documents submitted to support
this application, are punishable by fine and/or imprisonment under U.S. law, including the provisions of 18 U.S.C. 1001, 18 U.S.C. 1542, and/or 18
U.S.C. 1621. Alteration or mutilation of a passport issued pursuant to this application is punishable by fine and/or imprisonment under the
provisions of 18 U.S.C. 1543. The use of a passport in violation of the restrictions contained therein or of the passport regulations is punishable
by fine and/or imprisonment under 18 U.S.C. 1544. All statements and documents are subject to verification.

See page 2 of the instructions for detailed information on the completion and submission of this form.
DS-82 08-2013

!

Instruction Page 1 of 4

!

WHAT DO I SEND WITH THIS APPLICATION FORM?
Your most recent U.S. passport book and/or card;
A certified copy of your marriage certificate or court order if your name has changed;
Fees; and
A recent color photograph.

See below for more detailed information.
1. YOUR MOST RECENTLY ISSUED U.S. PASSPORT (BOOK AND/OR CARD FORMAT).
Submit your most recently issued U.S. passport book and/or card. When submitting a U.S. passport book and/or card with this form, please verify that the
document was issued at age 16 or older in your current name (or see item #2 below) and issued within the past 15 years. You are also eligible to use this form if
you currently have a U.S. passport book and/or card that complies with the previously listed criteria, and would like to obtain a alternative product (U.S. passport
book and/or card) for the first time. However, you must submit the product you currently have (U.S. passport book and/or card) with this application. If your U.S.
passport book and/or card has been lost, stolen, damaged, or mutilated, you must apply on the DS-11 application form as specified below.
2. A CERTIFIED MARRIAGE CERTIFICATE OR COURT ORDER. (PHOTOCOPIES ARE NOT ACCEPTED)
If the name you are currently using differs from the name on your most recent U.S. passport, you must submit a certified copy of your marriage certificate or
court order showing the change of name. All documents will be returned to you by mail. If you are unable to document your name change in this manner, you
must apply on the DS-11 application form by making a personal appearance at (1) a passport agency; (2) U.S. Embassy or Consulate, if abroad; (3) any federal
or state court of record or any probate court accepting passport applications; (4) a designated municipal or county official; or (5) a post office, which has been
selected to accept passport applications.
3. THE CURRENT PASSPORT FEE.
Enclose the fee in the form of a personal check or money order. MAKE CHECKS PAYABLE TO "U.S. DEPARTMENT OF STATE." THE FULL NAME
AND DATE OF BIRTH OF THE APPLICANT MUST BE TYPED OR PRINTED ON THE FRONT OF THE CHECK. DO NOT SEND CASH. Passport Services
cannot be responsible for cash sent through the mail. By law, the fees are non-refundable. Please visit our website at travel.state.gov for detailed information
regarding current fees.
OVERNIGHT DELIVERY SERVICE: If you desire overnight delivery service for the return of your U.S. passport, please include the appropriate fee with your
payment.
FASTER PROCESSING: For an additional fee, you may request expedited service. Please include this fee in your payment and submit the application to the
appropriate address. Please write "Expedite" on the outer envelope when mailing. Also, TO ENSURE MINIMAL PROCESSING TIME for expedited
passport book applications, Passport Services recommends using overnight delivery when submitting the application AND including the appropriate
postage fee for return overnight delivery for the newly issued passport book. Expedited service is available only in the United States. Overnight return
delivery is only available for passport books. Please visit travel.state.gov for updated information regarding fees, processing times, or to check the status of
your passport application online.
4. A RECENT COLOR PHOTOGRAPH.
Submit a color photograph of you alone, sufficiently recent to be a good likeness of you (taken within the last six months), and 2x2 inches in size. The
image size measured from the bottom of your chin to the top of your head (including hair) should not be less than 1 inch, and not more than 1 3/8 inches. The
photograph must be color, clear, with a full front view of your face, and printed on thin paper with plain light (white or off-white) background. The photograph
must be taken in normal street attire, without a hat, head covering, or dark glasses unless a signed statement is submitted by the applicant verifying the item is
worn daily for religious purposes or a signed doctor's statement is submitted verifying the item is used daily for medical purposes. Headphones, "bluetooth", or
similar devices must not be worn in the passport photograph. Any photograph retouched so that your appearance is changed is unacceptable. A snapshot,
most vending machine prints, and magazine or full-length photographs are unacceptable. A digital photo must meet the previously stated qualifications, and will
be accepted for use at the discretion of Passport Services. Please visit our website at travel.state.gov for details and information.

WHERE DO I MAIL THIS APPLICATION?
FOR ROUTINE SERVICE:
National Passport Processing Center
Post Office Box 90155
Philadelphia, PA 19190-0155

FOR EXPEDITED SERVICE (Additional Fee):
National Passport Processing Center
Post Office Box 90955
Philadelphia, PA 19190-0955

Due to the sensitivity of the enclosed documents, Passport Services recommends using trackable mailing service when submitting your application.
NOTE REGARDING MAILING ADDRESSES: Passport Services will not mail a passport to a private address outside the United States. If you do not live at the
address listed in the "mailing address", then you must put the name of the person and mark it as "In Care Of." If your mailing address changes prior to receipt of
your new passport, please contact the National Passport Information Center (NPIC) at 1-877-487-2778 or visit travel.state.gov.
NOTE: You may receive your newly issued document and your returned citizenship evidence in separate mailings. If you are applying for both a passport book
and/or card, you may receive three separate mailings; one with your returned citizenship evidence; one with your newly issued passport book, and one with
your newly printed passport card.
If you choose to provide your email address in Item #6 on this application, Passport Services may use that address to contact you in the event there is a problem
with your application or if additional information is required.
DS-82 08-2013
Instruction Page 2 of 4

!

!

FEDERAL TAX LAW

Section 6039E of the Internal Revenue Code (26 USC 6039E) requires you to provide your Social Security number (SSN), if you have one, when
you apply for a U.S. passport or renewal of a U.S. passport. If you have not been issued a SSN, enter zeros in box #5 of this form. If you are
residing abroad, you must also provide the name of the foreign country in which you are residing. The U.S. Department of State must provide your
SSN and foreign residence information to the U.S. Department of Treasury. If you fail to provide the information, you are subject to a $500 penalty
enforced by the IRS. All questions on this matter should be directed to the nearest IRS office.

NOTICE TO CUSTOMERS APPLYING OUTSIDE A STATE DEPARTMENT FACILITY
If you send us a check, it will be converted into an electronic funds transfer (EFT). This means we will copy your check and use the account
information on it to electronically debit your account for the amount of the check. The debit from your account will usually occur within 24 hours and
will be shown on your regular account statement.
You will not receive your original check back. We will destroy your original check, but we will keep the copy of it. If the EFT cannot be processed
for technical reasons, you authorize us to process the copy in place of your original check. If the EFT cannot be completed because of insufficient
funds, we may try to make the transfer up to two times, and we will charge you a one-time fee of $25, which we will also collect by EFT.

REMITTANCE OF FEES
Passport service fees are established by law and regulation (see 22 U.S.C. 214, 22 C.F.R. 22.1, and 22 C.F.R. 51.50-56), and are collected at the
time you apply for the passport service. If the Department fails to receive full payment of the applicable fees because, for example, your check is
returned for any reason or you dispute a passport fee charge to your credit card, the U.S. Department of State will take action to collect the
delinquent fees from you under 22 C.F.R. Part 34, and the Federal Claims Collection Standards (see 31 C.F.R. Parts 900-904). In accordance with
the Debt Collection Improvement Act (Pub.L. 104-134), if the fees remain unpaid after 180 days and no repayment arrangements have been made,
the Department will refer the debt to the U.S. Department of Treasury for collection. Debt collection procedures used by the U.S. Department of
Treasury may include referral of the debt to private collection agencies, reporting of the debt to credit bureaus, garnishment of private wages and
administrative offset of the debt by reducing, or withholding eligible federal payments (e.g., tax refunds, social security payments, federal retirement,
etc.) by the amount of your debt, including any interest penalties or other costs incurred. In addition, non-payment of passport fees may result in
the invalidation of your U.S. passport book and/or card. An invalidated passport card cannot be used for travel.

OTHER USES OF SOCIAL SECURITY NUMBER
Your Social Security number will be provided to the U.S. Department of Treasury, used in connection with debt collection and checked against lists
of persons ineligible or potentially ineligible to receive a U.S. passport book and/or card, among other authorized uses.

NOTICE TO APPLICANTS FOR OFFICIAL, DIPLOMATIC, OR NO-FEE PASSPORTS
You may use this application if you meet all of the provisions listed on Instruction Page 2, however, you must CONSULT YOUR SPONSORING
AGENCY FOR INSTRUCTIONS ON PROPER ROUTING PROCEDURES BEFORE FORWARDING THIS APPLICATION. Your completed
passport will be released to your sponsoring agency for forwarding to you.

IMPORTANT NOTICE TO APPLICANTS WHO HAVE LOST OR HAD A PREVIOUS U.S. PASSPORT BOOK
AND/OR PASSPORT CARD STOLEN
A United States citizen may not normally bear more than one valid or potentially valid U.S. passport book or more than one valid or potentially valid
U.S. passport card at a time. Therefore, when a valid or potentially valid U.S. passport book or U.S passport card cannot be presented with a new
application, it is necessary to submit a Form DS-64, Statement Regarding a Lost or Stolen U.S. Passport. Your statement must detail why the
previous U.S. passport book or U.S. passport card cannot be presented.
The information you provide regarding your lost or stolen U.S. passport book or passport card will be placed into our Consular Lost or Stolen
Passport System. This system is designed to prevent the misuse of your lost or stolen U.S. passport book or passport card. Anyone using the
passport book or passport card reported as lost or stolen may be detained upon entry into the United States. Should you locate the U.S. passport
book or passport card reported lost or stolen at a later time, report it as found, and submit it for cancellation. It has been invalidated. You may not
use that passport book or passport card for travel.

PROTECT YOURSELF AGAINST IDENTITY THEFT!
REPORT YOUR LOST OR STOLEN U.S. PASSPORT BOOK OR PASSPORT CARD!
For more information or to report your lost or stolen U.S. passport book or passport card by phone, call NPIC at:
1-877-487-2778 or visit our website at travel.state.gov.

SPECIAL NOTICE TO U.S. PASSPORT CARD APPLICANTS ONLY
The maximum number of letters provided for your given name (first and middle) on the U.S. passport card is 24 characters. The 24 characters may be
shortened due to printing restrictions. If both your given names are more than 24 characters, you must shorten one of your given names you list on item 1 of
this form.
DS-82 08-2013

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Instruction Page 3 of 4

ACTS OR CONDITIONS

!

If any of the below-mentioned acts or conditions have been performed by or apply to the applicant, the portion which applies should be lined out,
and a supplementary explanatory statement under oath (or affirmation) by the applicant should be attached and made a part of this application.
I have not, since acquiring United States citizenship/nationality, been naturalized as a citizen of a foreign state; taken an oath or made an
affirmation or other formal declaration of allegiance to a foreign state; entered or served in the armed forces of a foreign state; accepted or
performed the duties of any office, post, or employment under the government of a foreign state or political subdivision thereof; made a formal
renunciation of nationality either in the United States, or before a diplomatic or consular officer of the United States in a foreign state; or been
convicted by a court or court martial of competent jurisdiction of committing any act of treason against, or attempting by force to overthrow, or
bearing arms against the United States, or conspiring to overthrow, put down, or to destroy by force, the government of the United States.
Furthermore, I have not been convicted of a federal or state drug offense or convicted for "sex tourism" crimes statute, and I am not the subject of
an outstanding federal, state, or local warrant of arrest for a felony; a criminal court order forbidding my departure from the United States; a
subpoena received from the United States in a matter involving federal prosecution for, or grand jury investigation of, a felony.

PRIVACY ACT STATEMENT
AUTHORITIES: Collection of this information is authorized by 22 U.S.C. 211a et seq.; 8 U.S.C. 1104; 26 U.S.C. 6039E; Executive Order 11295
(August 5, 1966); and 22 C.F.R. parts 50 and 51.
PURPOSE: We are requesting this information in order to determine your eligibility to be issued a U.S. passport.
Your Social Security number is requested in order to verify your identity. Failure to provide your Social Security number on this form may delay
processing of your application.
ROUTINE USES: This information may be disclosed to another domestic government agency, a private contractor, a foreign government agency,
or to a private person or private employer in accordance with certain approved routine uses. These routine uses include, but are not limited to, law
enforcement activities, employment verification, fraud prevention, border security, counterterrorism, litigation activities, and activities that meet the
Secretary of State's responsibility to protect U.S. citizens and non-citizen nationals abroad.
More information on the Routine Uses for the system can be found in System of Records Notices State-05, Overseas Citizen Services Records and
State-26, Passport Records.
DISCLOSURE: Providing your Social Security number and the other information on this form is voluntary, but failure to provide the information on
this form may, given the form's purpose of verification of identity and entitlement to a U.S. passport, result in processing delays or denial of the
passport application.
Failure to provide your Social Security number may also subject you to a penalty enforced by the Internal Revenue Service, as described in the
Federal Tax Law section of the instructions to this form. Your Social Security number will be provided to the Department of the Treasury and may
be used in connection with debt collection, among other purposes as authorized and generally described in this section. Providing your Social
Security number and other information requested on this form is otherwise voluntary.

ELECTRONIC PASSPORT STATEMENT
The U.S. Department of State now issues an "Electronic Passport" book, which contains an embedded electronic chip. The electronic passport
book continues to be proof of the bearer's United States citizenship/nationality and identity, and looks and functions in the same way as a passport
without a chip. The addition of an electronic chip in the back cover enables the passport book to carry a duplicate electronic copy of all information
from the data page. The electronic passport book is usable at all ports-of-entry, including those that do not yet have electronic chip readers.
Use of the electronic format provides the traveler the additional security protections inherent in chip technology. Moreover, when used at
ports-of-entry equipped with electronic chip readers, the electronic passport book provides for faster clearance through some of the port-of-entry
processes.
The electronic passport book does not require special handling or treatment, but like previous versions should be protected from extreme heat,
bending, and from immersion in water. The electronic chip must be read using specially formatted readers, which protects the data on the chip from
unauthorized reading.
The cover of the electronic passport book is printed with a special symbol representing the embedded chip. The symbol
port-of-entry areas where the electronic passport book can be read.

will appear in

PAPERWORK REDUCTION ACT STATEMENT
Public reporting burden for this collection of information is estimated to average 40 minutes per response, including the time required for searching
existing data sources, gathering the necessary data, providing the information and/or documentation required, and reviewing the final collection.
You do not have to supply this information unless this collection displays a currently valid OMB control number. If you have comments on the
accuracy of this burden estimate and/or recommendations for reducing it, please send them to: U.S. Department of State, Bureau of Consular
Affairs, Passport Services, Office of Program Management and Operational Support, 2201 C Street NW, Washington, D.C. 20520.
DS-82 08-2013

Instruction Page 4 of 4

!

!

CONTROL NO. 1405-0020
U.S. PASSPORT RENEWAL APPLICATION FOR ELIGIBLE INDIVIDUALS OMB
OMB EXPIRATION DATE: 12-31-2016

Please Print Legibly Using Black Ink Only
Attention: Read WARNING on page 1 of instructions
Please select the document(s) for which you are applying:

U.S. Passport Book

U.S. Passport Card

ESTIMATED BURDEN: 40 MIN

Both

The U.S. passport card is not valid for international air travel. For more information see page 1 of instructions.

28 Page Book (Standard)

52 Page Book (Non-Standard)

Note: The 52 page option is for those who frequently travel abroad during the passport validity period, and is recommended
for applicants who have previously required the addition of visa pages.

1. Name Last
D

DP DOTS Code

O

End. #

Exp.

Middle

First

2. Date of Birth (mm/dd/yyyy)
-

M

F

6. Email Address (e.g., my_email@domain.com)

5. Social Security Number
-

4. Place of Birth (City & State if in the U.S., or City & Country as it is presently known.)

3. Sex

-

-

7. Primary Contact Phone Number
-

@

-

8. Mailing Address: Line 1: Street/RFD#, P.O. Box, or URB.

Address Line 2: Clearly label Apartment, Company, Suite, Unit, Building, Floor, In Care Of or Attention if applicable. (e.g., In Care Of - Jane Doe, Apt # 100)

City

State

Zip Code

Country, if outside the United States

9. List all other names you have used. (Examples: Birth Name, Maiden, Previous Marriage, Legal Name Change. Attach additional pages if needed)
B.

Attach a color photograph taken
within the last six months

STAPLE

STAPLE

2" x 2"

2" x 2"

STAPLE

STAPLE

A.

10. Passport Book and/or Passport Card Information
Your name as printed on your most recent U.S. passport book and/or passport card

Most recent passport book number

Issue date (mm/dd/yyyy)

Most recent passport card number

Issue date (mm/dd/yyyy)

11. Name Change Information Complete if name is different than last U.S. passport book or passport card
Date (mm/dd/yyyy)
Place of Name Change (City/State)
Changed by Marriage
Changed by Court Order
Please submit a certified copy. (Photocopies are not accepted!)

CONTINUE TO PAGE 2
YOU MUST SIGN AND DATE THE APPLICATION IN THE DESIGNATED AREA BELOW

I declare under penalty of perjury all of the following: 1) I am a citizen or non-citizen national of the United States and have not, since acquiring U.S. citizenship or nationality,
performed any of the acts listed under "Acts or Conditions" on page four of the instructions of this application (unless explanatory statement is attached); 2) the statements made
on the application are true and correct; 3) I have not knowingly and willfully made false statements or included false documents in support of this application; 4) the photograph
submitted with this application is a genuine, current photograph of me; and 5) I have read and understood the warning on page one of the instructions to the application form.

x

Applicant's Legal Signature

FOR ISSUING OFFICE ONLY

PPT BK C/R

Marriage Certificate

Date of Marriage/Place Issued:

Court Order

Date Filed/Court:

Date

PPT BK S/R

PPT CD C/R

PPT CD S/R

From
To:
Other:
Attached:
Bk Fee

For Issuing Office Only

DS-82 08-2013

!

Cd Fee

EF

Postage

Other

* DS 82 C 08 2013 1 *
Page 1 of 2

Name of Applicant (Last, First & Middle)

12. Height

Date of Birth (mm/dd/yyyy)

14. Eye Color

13. Hair Color

15. Occupation

!

16. Employer or School (if applicable)

17. Additional Contact Phone Numbers
Home

Home

Cell

Work

Cell

Work

18. Permanent Address: If P.O. Box is listed under Mailing Address or if residence is different from Mailing Address.
Apartment/Unit

Street/RFD # or URB (No P.O. Box)

City

State

Zip Code

19. Emergency Contact - Provide the information of a person not traveling with you to be contacted in the event of an emergency.
Name

City

Apartment/Unit

Address: Street/RFD # or P.O. Box

State

Zip Code

Phone Number

Relationship

20. Travel Plans
Departure Date (mm/dd/yyyy)

Return Date (mm/dd/yyyy)

Countries to be visited

STOP! YOU HAVE COMPLETED YOUR APPLICATION
BE SURE TO SIGN AND DATE PAGE ONE

* DS 82 C 08 2013 2 *
DS-82 08-2013

Page 2 of 2

!

APPENDIX K
Status Information Letter for Selective
Service System
See next page.

!

Request for Status Information Letter
I am requesting a Status Information Letter. I am a male who is not registered with Selective
Service. I am now 26 years old or older, and was born after December 31, 1959.

Section 1:
Name

First

Middle

List any other names used

Last
Include any multiple last names

Current Mailing Address

Street Address
City

State

Zip Code

Social Security Number
Date of Birth

Month / Day / Year

Daytime Telephone Number
E-mail Address

Section 2:
MILITARY:
List dates of active duty service:
to
List dates of reserve duty service:
to
List dates of military school service:
to
Military school attended:
Attach copy of DD214 (or DD Form 4 if still on active duty)
INCARCERATED, INSTITUTIONALIZED, HOSPITALIZED, OR CONFINED TO HOME:
List dates during which you were (circle appropriate situation) incarcerated,
to
,
Attach proof of each instance

to

,

to

!

NON CITIZEN / UNDOCUMENTED IMMIGRANT

Month / Day / Year

USCIS (Formerly INS) status at time of entry:
List all alien status(es) held since entering the country, and give dates:
(Attach separate sheet if necessary)
to
to
to
to

USCIS Status:
USCIS Status:
USCIS Status:
USCIS Status:

Attach copies of supporting documentation (see following information sheet for
detailed instructions regarding this)
TRANSSEXUAL:
At birth my gender was:
REASON WHY YOU FAILED TO REGISTER WITH SELECTIVE SERVICE UPON
REACHING AGE 18 AND BEFORE REACHING AGE 26:

Section 3:
Print, sign and date, then send this letter, together with ALL copies of required documents and
any other supporting information you may wish to include to:
Selective Service System
ATTN: SIL
PO Box 94638
Palatine, IL 60094-4638

Signature

Date

No action can be taken until we receive ALL of the information/documentation needed. You
should retain a copy of all documents and correspondence submitted to us.

!

INSTRUCTIONS

SECTION 1:
Name

SECTION 2:

:

:

:

:

:

!

SECTION 3:

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APPENDIX L
American Civil Liberties Union of
California Voting Rights Resources
FREQUENTLY ASKED QUESTIONS
What are my voting rights if I have a misdemeanor?
A misdemeanor conviction does not affect your right to vote at all. You can vote
in all elections.
What are my voting rights if I have a felony?
If you have a felony conviction, you can vote IF:
• you are on probation, even if you are in county jail as a condition of your
probation, or
• you have completed your probation, or
• you are awaiting a judge’s decision on a probation violation, or
• you have completed mandatory supervision, or
• you have completed post-release community supervision, or
• you have completed your parole.
The only time you are not allowed to vote is IF:
• you have a felony conviction and you are still in state prison, or
• you are serving an 1170(h) felony sentence in county jail, or
• you are awaiting transfer to a state prison, or
• you are on parole, on post-release community supervision, or on mandatory
supervision.
Once you have completed your prison sentence and parole or other community
supervision, you can register to vote. If you are unsure what type of sentence
you are serving check with your parole or probation officer.
Can I vote when I am on probation?
Yes! You can vote at all times when you are on probation, whether your
conviction is a felony or a misdemeanor.
Can I vote when I am on parole?
No. You can only vote once you have completed your parole.
Can I vote on mandatory supervision?
No. You can only vote once you have completed your mandatory supervision.
Can I vote while I am on post-release community supervision?
No. You can only vote once you have completed your post-release community
supervision.
Can I vote while I am in county jail? Maybe. You can vote IF you are in county
jail:
• awaiting trial for any crime, or
• for a misdemeanor conviction, or
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•
•

on a probation violation, or
on felony probation.

The only time you lose the right to vote while in county jail is when you are:
•
•
•
•

in state prison for a felony conviction, or
in jail awaiting transfer to a state prison for a felony conviction, or
serving an 1170(h) felony sentence in the county jail, or
in jail for a parole violation.

How do I get back my right to vote?
In California, you do not need to do anything to “restore” your right to vote. It is
automatically restored once you have completed your parole and no longer in
state prison. However, you must register or re-register to vote in an upcoming
election.
How do I register to vote?
There are two ways to register to vote:
•
•

You can register online at our website, www.letmevoteca.org
You can pick up a paper registration form at the DMV, post office, public
libraries, or your county elections office. Complete the form, sign it, and drop
it in the mail!

Do I need to re-register if I move or change my name?
Yes. You need to re-register (using either of the methods above) if you move or
change your name.
How and where do I vote?
In California, you can vote two ways:
Vote-by-Mail: This means that every election your ballot will be mailed to you
and you can take your time to fill it out and mail back your vote. It’s easy to
become a vote-by-mail voter. Either: (1) put your initials on line 15 on your voter
registration application, or (2) if you are already registered to vote, you will get a
vote-by-mail application attached to the sample ballot you receive about a
month before the election. Complete this application and mail back to your
county election official.
Reminder! A vote-by-mail ballot will be mailed to the address you provide on
your voter registration. If you move a lot , this may not be the best option for
you.
At your local polling place: Once you are registered to vote, you can vote at
your local polling place on Election Day. Your local polling place is listed on the
Sample Ballot you receive in the mail. If for any reason you are unsure of your
polling place, you can look it up at http://www.votersedge.org or contact your
local county elections office to find out.
When is the last day to register to vote?
You must register (or re-register, if you’ve moved or changed your name, or if
your right to vote has been restored) at least 15 days before the next local, state,
or federal election.

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If you have a misdemeanor conviction, you can always vote.
In fact, you can always keep your right to vote unless you are currently serving a
sentence for certain felonies
If you have a felony conviction, you can vote if:
•
•
•
•

You are on probation OR
you have completed your post-release community supervision OR
you have completed your mandatory supervision OR
you have completed parole

Your voting rights are automatically returned when you complete your sentence.
You just have to fill out a voter registration card.
Questions?
votingrights@acluca.org
Para más información acerca de su derecho al voto si tiene antecedentes
penales, visite
http://www.letmevoteca.org

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Correctional Supervision in the Community:

PAROLE &
PROBATION
Being under some type of supervision is usually
required for you to be released from prison or jail into
community. In the PAROLE & PROBATION CHAPTER,
you will learn that in California, there are many types
of supervision—state parole, county probation,
Mandatory Supervision, PRCS, federal probation &
federal parole. This chapter will help you understand
what it means to be under supervision, what special
rules you have to follow, and all of the rights you
have as a person in reentry.

DISCLAIMER – YOUR RESPONSIBILITY WHEN USING THIS GUIDE: When putting together the
Roadmap to Reentry: A California Legal Guide, we did our best to give you useful and accurate
information because we know that people who are currently or formerly incarcerated often have
difficulty getting legal information, and we cannot provide specific advice to every person who
requests it. The laws change frequently and are subject to differing interpretations. We do not
always have the resources to make changes to this informational material every time the law
changes. If you use information from the Roadmap to Reentry legal guide, it is your responsibility to
make sure that the law has not changed and applies to your particular situation. If you are
incarcerated, most of the materials you need should be available in your institution’s law library. The
Roadmap to Reentry guide is not intending to give legal advice, but rather legal information. No
attorney-client relationship is created by using any information in this guide. You should always
consult your own attorney if you need legal advice specific to your situation.

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TABLE OF CONTENTS
I.! INTRODUCTION ................................................................................................. 142!
What is community supervision? ........................................................... 142!
Why is it important to know what type of supervision I am on, and
the rules of that supervision department? .......................................... 142!
What are the main types of supervision in California? ..................... 142!
What is the difference between the state & federal systems? ...... 144!
I’m not sure what type of supervision I am on or going to be on.
How do I find out? ..................................................................................... 145!
Key Terms in the Parole & Probation Chapter ............................................. 145!
II.! STATE PAROLE .................................................................................................. 147!
Basics of State Parole ..................................................................................... 147!
What is California state parole? ..............................................................147!
I am currently incarcerated in California state prison, and preparing
for release. Will I be required to serve a parole term after I get
released from prison? ............................................................................... 148!
When is the Post-Release Community Supervision (PRCS) vs. Parole
assessment done? ..................................................................................... 148!
After Release: What to Expect in Your First Days Out on State Parole ... 148!
What are some my responsibilities when I first get out of state
prison under state parole supervision? ............................................... 148!
What county will I be paroled to, and who decides? ........................ 150!
Is there any form of financial assistance from parole when I first get
out? ................................................................................................................. 151!
Length of State Parole .................................................................................... 154!
Where will I see the length of my parole? And who calculates it? 154!
If I am on state parole, what law sets the length of my parole? .... 154!
What can I do if I think that the length of my parole is
miscalculated? ............................................................................................ 156!
I filed a form 602 administrative appeal about my parole length,
and was denied at all three levels of review, or it is way past when
a formal response was due to me but I never got one. Now that I
have “exhausted” (completed) the administrative appeals process,
how do I file a state petition for a writ of habeas corpus? .............. 160!
Getting Off State Parole.................................................................................. 160!
Can I get off state parole early? ............................................................. 160!
What should happen when I reach my presumptive discharge date
(PDD)? ............................................................................................................ 161!
What are my rights at the presumptive discharge (PDD) review
process? ....................................................................................................... 162!
Do I have a right to appear at the PDD review before the Board of
Parole Hearings (BPH)? ............................................................................ 162!
On what basis can the BPH decide to keep me on parole past my
PDD instead of letting me off early? ..................................................... 162!
What happens if the BPH decides to continue my parole? ............ 162!
Can I appeal the BPH’s decision to keep me on parole past my
PDD? Where can I look for arguments to support my appeal? ..... 163!
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What happens if I don’t get notice of a BPH decision within 30 days
after my PDD? ............................................................................................. 163!
General Conditions for Every Person on State Parole: ....................... 164!
General Condition of State Parole: Little Protection Against Invasion
of Privacy, Searches & Seizures............................................................. 165!
What are my rights to privacy of my person, residence, or property
while on parole? .........................................................................................165!
Are there any additional limitations on searches while I’m on
parole? ..........................................................................................................166!
What action can/should I take if a parole or law enforcement officer
conducts a search that I believe is unlawful? .....................................166!
Additional Laws That Apply to All People on State Parole ........................ 168!
What are other laws & restrictions that apply to me and all people
on state parole? ..........................................................................................168!
Special (Extra) Conditions of State Parole: Conditions that only apply to
certain individuals on parole .......................................................................... 169!
Who sets the special conditions of parole, and how do they
decide?..........................................................................................................169!
What are examples of common special conditions of state parole?.. 170!
When will I find out the conditions of my parole, and if any extra
(special) conditions have been added? ................................................. 171!
Am I legally protected from having certain unfair extra (special)
conditions imposed on me? ..................................................................... 171!
Special Conditions for Sex Offenders ........................................................... 172!
If I must register as a sex offender, what are the additional
mandatory conditions of my parole? ..................................................... 172!
Are there any exceptions to these mandatory special parole
conditions for registered sex offenders? ............................................. 174!
Special Conditions for Mentally Disordered Offenders (MDOs) ............... 175!
What does it mean to be classified as a mentally disordered
offender (MDO)—and what are the mandatory special conditions
placed on MDOs on state parole? ......................................................... 175!
Who determines whether a person on parole is classified as an
MDO, and what is the process for making this decision? ................ 175!
Can I challenge an MDO determination? If so, what is the process? . 175!
If I am found to be an MDO, and I want to be seen as an outpatient,
is that possible? .......................................................................................... 176!
If I am found to be an MDO, when and how often is my MDO status
reviewed? ..................................................................................................... 176!
Can the Department of STate Hospitals (DSH) hold me beyond my
Maximum Discharge Date (MDD)? ......................................................... 177!
How to Challenge State Parole Conditions ................................................. 178!
How could I challenge a condition of parole that I believe is
unlawful and invalid? ................................................................................. 178!
How could I challenge a parole condition that is a problem for me
because of a disability that I have?........................................................ 179!
Transfer Locations on State Parole ................................................................ 181!
I want to transfer my parole to another county. How can I do that?.... 181!
I want to transfer parole to another state. How can I do that? .......182!

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Your Rights as a Parolee with a Disability ................................................... 184!
I have a disability. What rights do I have on state parole to get
accommodations for my disability? ....................................................... 184!
How will my parole officer know about my disability & any
accommodations that I need? ................................................................ 184!
What kinds of accommodations must Parole make for me if I have a
disability? ..................................................................................................... 184!
If parole is not accommodating my disability and I feel I am not
getting fair treatment or equal access to parole services or
programs, what can I do? ........................................................................ 185!
What rights do I have during a parole revocation hearing to
accommodate my disability? .................................................................. 186!
State Parole Violations & Revocations ......................................................... 187!
What were the major changes to the way that parole revocation
hearings work under realignment (as of july 1, 2013)? ..................... 187!
If I am suspected of a parole violation, who has the authority to
arrest me? Do they need a warrant to arrest me? ............................ 188!
What happens if I am arrested for an alleged parole violation? .... 188!
What law governs (sets out the rules for) the hearing? ................... 189!
Who represents the interest of parole/the state of California in the
hearing?........................................................................................................ 189!
Who represents me if I cannot afford an attorney? .......................... 190!
What is the legal standard for finding a person guilty of a parole
violation? ...................................................................................................... 190!
If I go to jail on a parole violation, am I entitled to bail? .................. 190!
What rights do I have during a parole revocation hearing? ........... 190!
What happens if a “material” (very important) state witness doesn’t
show up to the parole revocation hearing, even though he/she was
required to attend? ..................................................................................... 191!
Can the district attorney introduce evidence at my parole hearing
that was found in an unlawful search & seizure? .............................. 192!
If the judge revokes my parole and orders me back into custody,
where will I serve and for how long? .................................................... 192!
What rights do I have if I am a person with a disability going
through parole revocation proceedings? ............................................ 193!
How do I challenge (appeal) a parole revocation decision or action
made by the county superior court? ..................................................... 194!
What types of issues could I bring up in a challenge to parole
revocation proceedings, decisions, or actions? ................................ 194!
What is the process for appealing a decison made by CDCR? ..... 194!
III.! COUNTY PROBATION AND NEW FORMS OF COUNTY-LEVEL
SUPERVISION .................................................................................................... 196!
What is county probation? ....................................................................... 196!
How did California’s “Realignment law” change California’s state
probation? .................................................................................................... 197!
What are types of supervision fall under the control of county
probation now after realignment? ......................................................... 197!
Misdemeanor Probation (a.k.a. Informal Probation or Summary Probation) . 198!
Basics of Misdemeanor Probation (MSD) ............................................. 198!
What is misdemeanor probation (a.k.a. informal or summary
probation)?................................................................................................... 198!
Who will monitor me under Misdemeanor Probation (MSD)? ........ 198!

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After Release: What to Expect in your first days out on Misdemeanor
Probation (MSD) ....................................................................................... 198!
What are some good first steps to take after I first get released
from jail or placed onto misdemeanor probation (MSD)? ................198!
Length of Misdemeanor Probation (MSD) ............................................ 198!
How long is misdemeanor probation (MSD)? .....................................198!
Can I get off misdemeanor probation (MSD) early? ..........................199!
Conditions of Misdemeanor Probation (MSD) ..................................... 199!
On misdemeanor probation (MSD), What kinds of conditions will the
court impose on me? .................................................................................199!
If I am on misdemeanor probation, will I have to report to a
probation officer? ..................................................................................... 200!
What will the judge look for when I am monitored in court during
“progress reports?” .................................................................................. 200!
How do I change a condition of my Misdemeanor Probation (MSD)?
...................................................................................................................... 200!
What’s the process for requesting a change to my Misdemeanor
Probation (MSD) conditions? .................................................................. 201!
Transfer Locations on Misdemeanor Probation (MSD)? ..................... 201!
How do I transfer counties on misdemeanor probation? ............... 201!
How do I transfer states on misdemeanor probation (MSD)? ....... 202!
Violations & Revocations on Misdemeanor Probation (MSD) .......... 202!
What are the rules for violations & revocations of misdemeanor
probation (MSD)? ...................................................................................... 202!
Felony probation (a.k.a. Formal probation) ................................................ 203!
Basics of felony probation (FP) ............................................................. 203!
What is felony probation (FP)? .............................................................. 203!
Who will monitor me on felony probation (FP)?................................ 203!
After Release: What to Expect in Your First Days Out on Felony
Probation (FP) ......................................................................................... 203!
What are some of my responsibilities when I first get released onto
felony probation (FP)? ............................................................................. 203!
Length of Felony Probation (FP) ........................................................... 204!
How long will I be on felony probation (FP)?..................................... 204!
Can I get off felony probation early? ................................................... 204!
Conditions of Felony Probation (FP) .................................................... 205!
What are common conditions of Felony Probation (FP)? ................... 205!
How do I change a condition of my felony probation (FP)
conditions? ................................................................................................. 205!
Transfer locations on Felony Probation (FP) ...................................... 206!
I want to transfer my felony probation to another county. can I do
that? ............................................................................................................. 206!
What is the process for transferring my felony probation (FP) to a
new county?............................................................................................... 206!
How do I transfer to a new state? ......................................................... 207!
Violations & Revocations of Felony Probation ....................................207!
What are the rules for violations & revocations of felony probation? .. 207!

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Post-Release Community Supervision (PRCS) ............................................ 208!
Basics of PRCS ........................................................................................ 208!
What is Post-Release Community Supervision (PRCS)? ................. 208!
Who will be released from state prison to county supervision on
PRCS? .......................................................................................................... 208!
Who will not be released from state prison to county supervision on
PRCS? .......................................................................................................... 208!
When is the PRCS vs. Parole assessment done? ............................. 209!
After Release: What to Expect in Your First Days Out on PRCS ...... 209!
What must I do when I first get out on PRCS?................................... 209!
Where will I be released to on PRCS? ................................................. 209!
Can I request that CDCR send me to PRCS in a different county
than where they want to send me? ....................................................... 210!
Length of PRCS ........................................................................................ 210!
Who sets the length of PRCS? ............................................................... 210!
How long does PRCS supervision last? ............................................... 210!
Can I get off PRCS early? ......................................................................... 210!
Conditions of PRCS ................................................................................. 210!
What conditions must I follow if I am on PRCS? ................................ 210!
Is there a document where I can find all my PRCS conditions? ..... 211!
Can I challenge a PRCS condition? ........................................................ 211!
How do I challenge a PRCS condition? ................................................ 211!
What could happen if I do not follow the conditions of my PRCS? .... 212!
Transfer Locations on PRCS................................................................... 213!
How do I transfer counties (within California) once out on PRCS?..... 213!
If the probation department pursues the case in court, do I have the
right to a hearing for a PRCS violation petition? ................................ 213!
Do I have the right to a free attorney if I can’t afford one at a PRCS
violation hearing? ...................................................................................... 214!
If the judge finds that I have violated the terms or conditions of my
PRCS, what are possible punishments?.................................................. 214!
How can I challenge a court decision revoking my PRCS, or a
decision by the hearing officer after a PRCS violation hearing? ... 214!
Mandatory supervision ................................................................................... 215!
What is mandatory supervision? ............................................................ 215!
Who can be released onto mandatory supervision? ........................ 215!
What must I do after I get released onto Mandatory Supervision?
........................................................................................................................ 216!
Length of Mandatory Supervision ......................................................... 216!
How long will I be on mandatory supervision? .................................. 216!
Can I get off mandatory supervision early? ........................................ 216!
Conditions of Mandatory Supervision .................................................. 217!
What are the conditions of mandatory supervision? ............................ 217!
Can I earn good time credits on mandatory supervision? .............. 217!
Transfer Locations on Mandatory Supervision .................................... 217!
How do I transfer counties on mandatory supervision? .................. 217!
I am on probation (misdemeanor or felony probation), PRCS, or
mandatory supervision, and I want to transfer to another state. How
can I do that? .............................................................................................. 217!

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Violations & Revocations of Mandatory Supervision .......................... 218!
What is the probation violation and revocation process on
mandatory supervision, and what are my rights in that process? .218!
What happens if I am unable to abide by the conditions of my
mandatory supervision? ...........................................................................218!
Your Rights as a Person with a Disability on Mandatory Supervision... 218!
I have a disability. What rights do I have regarding accommodations
for my disability? .........................................................................................218!
How can I request an accommodation or file a complaint if I feel
that probation is not accommodating my disability, or if I am not
getting access to probation services or programs? ..........................219!
Violations & revocations under county probation supervision of felony
probation, misdemeanor probation, & mandatory supervision ............... 220!
Pre-hearing .............................................................................................. 220!
What is the probation revocation process in California? ............... 220!
What could happen if I don’t follow the conditions of my probation?. 220!
Can I be revoked for not paying restitution?..................................... 220!
Can flash incarceration be used as an intermediate sanction? .....221!
Am I entitled to bail? ..................................................................................221!
What does the court have the power to do to my probation status?.221!
The Hearing .............................................................................................. 221!
What court will hear my case? ................................................................221!
Who hears the cases? ............................................................................. 222!
Who represents the interest of probation in the hearing? ............ 222!
What does the prosecutor (D.A.) need to prove? ............................ 222!
Do I have a right to notice of the probation revocation hearing? 222!
Do I have the right to an attorney at the hearing? ........................... 222!
What rights do I have during a probation revocation hearing? .....223!
Can the prosecutor (d.a.) introduce evidence that was obtained in
violation of my fourth amendment right against unlawful search &
seizure at my probation revocation proceeding? .............................224!
Can a witness be excused from testifying in front of me at a
probation revocation hearing?...............................................................224!
What happens if a very important witness doesn’t show up to the
probation revocation hearing, even though he/she was required to
attend? ........................................................................................................ 225!
Sentencing ............................................................................................... 225!
How long can I be sentenced to jail time for a probation
revocation? ................................................................................................ 225!
Could I be sentenced to prison instead of jail for a probation
revocation? ................................................................................................ 225!
If my probation is revoked and terminated, how long will I be sent
to prison or jail? ........................................................................................ 225!
Challenging a Revocation decision ...................................................... 226!
What rights do I have if I am a person with a disability going
through probation revocation proceedings? .................................... 226!
Can I challenge a decision/action by the county superior court? 227!
IV.! FEDERAL COMMUNITY SUPERVISION: FEDERAL PROBATION ............... 229!
Basics of Federal Probation .......................................................................... 229!
What is federal probation? ..................................................................... 229!
Who is supervised by federal probation? .......................................... 230!

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After Release: What to Expect in Your First Days Out on Federal
Probation ......................................................................................................... 230!
When must I report to my probation officer? ..................................... 230!
Length of Federal Probation .......................................................................... 231!
How long is my supervision under federal probation? .................... 231!
Can I get off of federal probation early? .............................................. 231!
Could my time on federal probation be extended beyond the
original sentence? .................................................................................... 232!
Conditions of Federal Probation ....................................................................233!
What are conditions of federal probation, and why are they
important? ................................................................................................... 233!
Where can I find a written statement of my conditions of federal
probation? ................................................................................................... 233!
How often do I have to see my probation officer if I am on federal
probation? ................................................................................................... 233!
What is the difference between mandatory & discretionary
conditions? ................................................................................................. 234!
What are the mandatory conditions on federal probation? ........... 234!
What are additional mandatory conditions that only certain people
on Federal Probation have to follow? ................................................. 235!
What discretionary conditions will I have to follow on federal
probation? ................................................................................................... 235!
What rules must the judge follow when ordering discretionary
conditions on my federal probation? ................................................... 236!
Can I ask that my conditions of federal probation be changed? ..237!
Can I challenge unlawful discretionary conditions that were added
on to my federal probation? ....................................................................237!
How can I challenge unlawful discretionary conditions that were
added on to my federal probation? ......................................................237!
Transfer Locations on Federal Probation .................................................... 238!
I am on federal probation or supervised release, and I want to
move. How can I do that? ....................................................................... 238!
I am on federal probation and want to move/transfer to a new state.
How can I do that? .................................................................................... 239!
What are some positive factors that could help my request to
move/ transfer be approved? ................................................................ 240!
What are some negative factors that could hurt the chances of my
request to move/ transfer from being approved? ............................ 240!
I am on federal probation or supervised release. Is it possible to
move while a transfer investigation is still pending? ........................ 241!
Can I challenge a denial of my transfer request? .............................. 241!
I am on federal probation, and I’m trying to move in with someone
who lives in government-assisted housing (like public housing,
section 8, or a voucher program), can I still move in? ...................... 241!
Violations & Revocations—For BOTH Federal Probation and Supervised
Release ............................................................................................................. 242!
Disabilities & Federal Probation ................................................................... 242!
V.! FEDERAL COMMUNITY SUPERVISION: SUPERVISED RELEASE .............. 243!
Basics of Supervised Release ....................................................................... 243!
What is supervised release? .................................................................. 243!
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After Release: What to Expect in Your First Days Out on Supervised
Release ............................................................................................................. 244!
Length of Supervised Release....................................................................... 244!
How long is my supervision under supervised release? ................ 244!
Can I get off supervised release early? ............................................... 244!
What factors can the judge consider? .................................................245!
Conditions of Supervised Release ................................................................ 245!
What are conditions of supervised release, and why are they
important? ...................................................................................................245!
What is the difference between mandatory & discretionary
conditions of supervised release? ........................................................246!
Where can I find a written statement of my conditions of supervised
release? .......................................................................................................246!
How often do I have to see my probation officer if I am on
supervised release?..................................................................................246!
What are the mandatory conditions that apply to me and everyone
else on superVISed release? ................................................................. 247!
What are additional mandatory conditions that only certain people
on Supervised Release have to follow? .............................................. 247!
Are there other additional conditions I will have to follow on
supervised release?.................................................................................. 248!
What rules must the judge follow when ordering discretionary
conditions on my supervised release? ................................................ 248!
What discretionary conditions will I have to follow on supervised
release? .......................................................................................................249!
What additional discretionary conditions may I have to follow on
supervised release?................................................................................. 250!
Can my conditions of supervised release be changed? ......................251!
How do I challenge unlawful discretionary conditions that were
added on to my supervised release? ....................................................251!
Transfer Locations on Supervised Release ................................................. 252!
I am on federal probation or supervised release, and I want to
move. How can I do that?....................................................................... 252!
I am on supervised release and want to move/transfer to a new
state. How can I do that? .........................................................................254!
What are some positive factors that could help my request to
move/ transfer be approved? .................................................................254!
What are some negative factors that could hurt the chances of my
request to move/ transfer from being approved? .............................254!
I am on federal probation or supervised release. Is it possible to
move while a transfer investigation is still pending? ...................... 255!
Can I challenge a denial of my transfer request? ............................ 255!
I am on supervised release, and I’m trying to move in with someone
I know. If my family member or the person who I want to move in
with lives in government-assisted housing (like public housing,
section 8, or a voucher program), can I still move in? .................... 256!
Violations & Revocations—For Both Federal Probation and Supervised
Release ..............................................................................................................257!
What is a violation of my federal probation or supervised release? . 257!
Can my U.S. probation officer send me back to prison? ................ 257!
What could the court do if it finds that I violated my federal
probation or supervised release? ........................................................ 258!

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When is revocation of federal probation or supervised release
mandatory? ................................................................................................. 258!
What will happen if my violation was also a new criminal offense?
....................................................................................................................... 258!
What are possible sanctions for an alleged violation of federal
probation or supervised release?......................................................... 259!
What laws guide the court in sentencing me for my revocation of
federal probation or supervised release? ........................................... 261!
Can I appeal the court’s revocation decision/action? What court has
jurisdiction? ................................................................................................ 262!
What will the judge look for when reviewing my appeal? ............. 262!
Disabilities & Supervised Release ................................................................ 263!
VI.! FEDERAL COMMUNITY SUPERVISION: FEDERAL PAROLE ...................... 264!
Basics of Federal Parole ................................................................................ 264!
Who is released onto federal parole? ................................................. 264!
If I am on federal parole, why do I report to a U.S. probation officer?
....................................................................................................................... 264!
Before Release: What to Know about Getting Released onto Federal
Parole................................................................................................................ 265!
I am still incarcerated. What is the legal process for getting
released from federal prison onto federal parole? .......................... 265!
What could happen if I refuse to sign the certificate of release? . 266!
Do I have to return to the same community that I came from for my
federal parole? .......................................................................................... 266!
What is the difference between federal parole and “mandatory
release”? ..................................................................................................... 266!
Is it possible that I be released from federal prison and not be on
any type of community supervision? ................................................... 267!
After Release: What to Expect in Your First Days Out on Federal Parole .... 267!
After I am released to federal parole, when and to whom must I
report? ......................................................................................................... 267!
I am not a U.S. citizen, and I am told I have an outstanding detainer
against me. What is a detainer? What could happen to me? ........ 267!
Length of Federal Parole ............................................................................... 268!
How long will I be on federal parole? .................................................. 268!
Can I get off federal parole early? ........................................................ 268!
How does the U.S. Parole Commission decide whether to let me off
federal parole early? ................................................................................ 269!
If I am denied early termination of my federal parole, can I
challenge the U.S. parole commission’s decision? .......................... 269!
Conditions of Federal Parole.......................................................................... 271!
What conditions must I follow on federal parole? ............................. 271!
General conditions of federal parole .................................................... 271!
I am on federal parole. Can I travel outside my federal parole
district? .........................................................................................................273!
Special conditions of federal parole...................................................... 273!
What special conditions could apply to me on federal parole? ....273!
Can federal parole require me to go to a half-way house or require
me to undergo drug or alcohol treatment while I’m under
supervision? ............................................................................................... 274!
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If I’m on parole, may I own, use or possess firearms after they are
released? ..................................................................................................... 274!
Can the parole commission change any of my conditions of
release? ....................................................................................................... 274!
After a parolee is released, may any of the conditions be changed?
Can additional ones be imposed? ........................................................ 275!
Transferring Federal Parole ...........................................................................275!
I’m on federal parole and I want to transfer to a new district. How
can I do that? .............................................................................................. 275!
I am on federal parole and want to transfer to another state. How
can I do that? .............................................................................................. 275!
I am classified as a sex offender, and I want to transfer to another
state. How can I do that? ......................................................................... 277!
Violations & Revocation of Federal Parole ..................................................278!
What could happen if I violate the conditions of my federal parole
(or mandatory release)? ........................................................................... 278!
Who issues an arrest warrant or summons to appear at a hearing if I
violate federal parole or mandatory release? .................................... 278!
After a warrant or summons is issued, what happens? ................... 279!
May a parolee have an attorney at a preliminary interview and
revocation hearing? ................................................................................. 280!
Will I be in prison pending hearing? ......................................................281!
Where are the revocation hearings held? ...........................................281!
What is the timeline of the hearing? ......................................................281!
If my hearing is held in a federal institution rather than locally, am I
entitled to an attorney and may i present witnesses on my behalf? 282!
What is the hearing procedure? ........................................................... 282!
When is revocation mandatory? ........................................................... 282!
How could I be sentenced for a revocation of federal parole?.... 282!
If the commission revokes parole or mandatory release, does a
parolee get any credit on the sentence for the time spent under
supervision? ................................................................................................ 283!
If I get my federal parole revoked, how long must I serve before the
parole commission reviews my case again? ...................................... 283!
Can I appeal the revocation decision by the U.S. Parole
Commission? .............................................................................................. 283!
Disability Rights for People on All Types of Federal Supervision ............ 284!
I have a disability. What rights do I have on felony probation or
parole to have accommodations for my disability? .......................... 284!
How can I file a complaint if I feel that my federal probation officer
is not accommodating my disability, or feel that I am not getting
access to parole services or programs? ............................................. 284!
VII.! CONCLUSION ................................................................................................... 286!
COMMUNITY SUPERVISION: PAROLE & PROBATION APPENDIX ...................287!

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WHAT WILL I LEARN IN THE
PAROLE & PROBATION CHAPTER?
•
•
!

The different types of supervision in California, and the basics
about each type
For each type of supervision, you will learn:
o What to do when you first get out – a step-by-step guide
o General and Special Rules: What general rules
(conditions) you have to follow, What special rules (extra
conditions) might be added on, and How to appeal
(challenge) the special conditions
o Length of supervision: How the length of supervision is
calculated, and how to get off early, if possible
o Transferring Supervision to a Different Location: What
the procedures are for transferring your supervision to a
different county or state
o Disability Rights: How to navigate parole and probation if
you have a disability and need help or accommodations
o Violations & Revocations: What your rights are if you’re
accused of violating the conditions of your supervision,
and how the “revocation” (violations) process works

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I.

INTRODUCTION

WHAT IS COMMUNITY SUPERVISION?
After your release from prison or jail OR instead of incarceration, you will often
be required to be under some sort of correctional supervision in the community,
with special rules that apply to you—like where you can live and work, who you
can contact, and people or places that you have to regularly report to.

WHY IS IT IMPORTANT TO KNOW WHAT TYPE OF SUPERVISION I
AM ON, AND THE RULES OF THAT SUPERVISION DEPARTMENT?
It is important to know what kind of supervision you are on and the rules of that
supervision department because it impacts every other part of your life—where
you can travel, where and how often you have to report to a supervising officer,
the steps you should take if you are having a problem with the rules
(“conditions”) of your supervision, the amount of time you’ll be under
supervision in the community, the types of record-cleaning and record-improving
remedies that will be available to you, the type of contact you may be able to
have with certain people or family members, your ability to vote and serve on a
jury, and MORE. We hope that this Chapter helps to explain to you the rights and
responsibilities you have under your specific type of supervision—state parole;
county probation, mandatory supervision, or PRCS; OR federal probation,
supervised release, or federal parole.

WHAT ARE THE MAIN TYPES OF SUPERVISION IN CALIFORNIA?
There are 4 main categories of supervision in California. They are:
1)

STATE PAROLE: In California, parole is a condition of release for most
305
people coming out of prison. It only applies in felony cases when a person
is sentenced to state prison. It also only takes effect after release from
prison.
a) People sentenced to serve determinate sentences—such as an exact
term of “seven years”—serve the specified amount of time in prison
ordered by the judge. Once their sentence is over, they are released.
b) People sentenced to serve indeterminate terms, such as “25 to life with
the possibility of parole,” are released only after a Board of Parole
306
Hearing (BPH) determines that they are ready to re-enter society.
i) Most people released from California state prison are required to
serve a period of parole after they are released. People on parole—
called parolees—remain under the control of the California
Department of Corrections and Rehabilitation’s (CDCR) Division of
Adult Parole Operations (DAPO), are supervised by CDCR parole
agents, and must meet certain requirements or “conditions” of
307
parole.

2) COUNTY PROBATION & NEW FORMS OF COUNTY-LEVEL SUPERVISION:
Probation is a type of supervision that a judge orders at trial as part of the
original sentence, either as an alternative to incarceration OR in addition to

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See 15 CAL. CODE REGS. § 2355.
Lifer Parole Process, CAL. DEP’T OF CORR. & REHAB., http://www.cdcr.ca.gov/BOPH/lifer_parole_process.html.
307
Lifer Parole Process, CAL. DEP’T OF CORR. & REHAB., http://www.cdcr.ca.gov/BOPH/lifer_parole_process.html.
305
306

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308

incarceration. California probation reduces or eliminates the time that a
309
person must spend in custody in jail or prison. People on probation must
report to their county probation office (for felony probation, more
information on PG. 203) or to local superior court (for misdemeanor
probation, more information on PG. 198), and must meet certain
requirements or “conditions” of probation. Depending on the circumstances,
either the court or a probation officer monitors the person’s compliance with
his/her probation terms. Misdemeanor Probation, Felony Probation,
Mandatory Supervision, and Post-Release Community Supervision (PRCS)
are all types of community supervision that fall under the responsibility of
California’s county probation departments. Unlike state parole offices, which
are all operated by CDCR and DAPO, county probation departments have a
lot more independence and differences between them. Here is a quick
overview of the different types of county probation:
a) MISDEMEANOR PROBATION: If you get probation imposed for a
conviction that is a California misdemeanor, it is known as misdemeanor
310
probation—also called “informal” probation or “summary” probation.
b) FELONY PROBATION: If you get convicted of a felony crime and get
placed on probation, it will be Felony Probation (sometimes called
311
“formal probation” or FP).
c) POST-RELEASE COMMUNITY SUPERVISION (PRCS): People released
from a state prison after incarceration for a non-violent, non-serious,
non-sexual crimes are placed under supervision by local, county
312
probation officers instead of being supervised under state parole. This
form of supervision is called Post-Release Community Supervision
(PRCS). PRCS can last for up to 3 years, but can end earlier if the person
313
under supervision does not violate any conditions of his/her PRCS.
d) MANDATORY SUPERVISION: Mandatory Supervision: In California,
through a process called “split sentencing, a judge can split the time of a
sentence between a jail term and a period of supervision by a county
probation officer. This type of supervision is known as Mandatory
Supervision.
3) FEDERAL PROBATION: People convicted of certain federal offenses may
be sentenced to Federal Probation or Supervised Release. The U.S.
314
Probation and Pretrial Services System oversees federal probation.
a) FEDERAL PROBATION: After you are convicted of a federal crime,
315
federal probation is used as an alternative sentence to prison time.
That means that federal “probation” is still considered a sentence in and
of itself. For the most part, if you are placed on federal probation, you
must report to your assigned probation office and comply with all the
316
rules (“conditions”) of your federal probation.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See CAL. PENAL CODE § 1203.
See CAL. PENAL CODE § 1203.
CAL. PENAL CODE § 1203(d).
311
See CAL. PENAL CODE § 1203(b).
312
CAL. PENAL CODE § 3450; 15 CAL. CODE REGS. §§ 3079-79.1.
313
See CAL. PENAL CODE § 3451 (a) ("[A]ll persons . . . shall, upon release from prison and for a period not exceeding
three years immediately following release, be subject to community supervision provided by a county agency.").
314
18 U.S.C. § 3153. See also Probation Pretrial Services, US Courts,
http://www.U.S.C.ourts.gov/FederalCourts/ProbationPretrialServices.aspx.
315
A defendant may receive a sentence of probation unless he or she is convicted of a Class A or B felony; probation
is prohibited by statute of conviction; or the defendant is sentenced at the same time to imprisonment. 18 U.S.C.
§ 3561(a). A court’s authority to impose probation is based solely on statute. See Affronti v. U.S., 350 U.S. 79, 83
(1955). The authorized length of probation is between one and five years for a felony; not more than five years for a
misdemeanor; and not more than one year for an infraction. 18 U.S.C. § 3561(c).
316
18 U.S.C. § 3563(b)(15). Ever since 1984 (the time when the “Sentencing Reform Act” went into effect), federal
criminal courts have recognized federal probation as a sentence in itself. 18 U.S.C. § 3561;
http://www.ussc.gov/sites/default/files/pdf/guidelines-manual/2012/manual-pdf/Chapter_7.pdf p. 477. Although it
is statutorily permissible to receive a sentence of unsupervised or “summary” probation in federal court, it is not the
norm – even in misdemeanor cases.
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309
310

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b) SUPERVISED RELEASE: Supervised Release is overseen by federal
317
district courts with the help of federal probation officers. The judge
can sentence you to a term of Supervised Release after your release
318
from federal prison. In other words, a term of Supervised Release
does not replace any time you are sentenced to prison; rather, a judge
orders Supervised Release in addition to any term in prison you may
319
serve. In some cases, the judge that sentences you is actually required
by law to impose a term of Supervised Release in addition to a prison
320
term. It’s common for a federal sentence to include a period of time in
prison, followed by a period of time in the community on Supervised
Release.
4) FEDERAL PAROLE: Federal Parole was eliminated in 1984. However, a small
group of people—(1) those sentenced in federal court before November 1,
1987; (2) those who violate criminal laws in Washington, D.C. (the nation’s
capital); (3) those convicted of crimes within the U.S. military’s criminal
justice system; and (4) people convicted in certain foreign transfer treaty
cases—may still be on federal parole, but are still supervised by federal
321
probation officers.

WHAT IS THE DIFFERENCE BETWEEN THE STATE & FEDERAL
SYSTEMS?
Depending on whether you were convicted of a federal or state crime, it will
affect not only where you are incarcerated (federal prison, state prison, or
county jail), but also what type of supervision you will be on after your release.
BELOW IS A CHART THAT BRIEFLY SHOWS THESE DIFFERENCES BETWEEN THE STATE & FEDERAL SYSTEMS.

FEDERAL vs. STATE SYSTEMS
TYPES OF OFFENSES

INSTITUTIONS SENTENCED TO
(PRISONS/JAILS)

(For example only.
This list is not complete.)

FEDERAL •
SYSTEM •
•
•
•
•
•

STATE
SYSTEM

Drug trafficking
Human trafficking
Immigration crimes
National security crimes
Computer fraud
Corporate “white-collar” crimes
Certain drug crimes

•
•

The vast majority of crimes are going •
to be part of the state criminal
•
justice system.
•

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

TYPES OF
SUPERVISION

People often held in county jails
Sentenced to Federal Prison

•
•
•

Federal Probation
Supervised Release
Federal Parole

People often held in county jails
Sentenced to County Jail OR
Sentenced to a California State Prison
OR sentenced directly to supervision (see
column to right)

•
•

State parole
Probation (run by
counties)
Mandatory Supervision
PRCS

•
•

United States Sentencing Commission, Federal Offenders Sentenced to Supervised Release, July 2010 10, p. 1.
http://www.ussc.gov/sites/default/files/pdf/training/annual-national-trainingseminar/2012/2_Federal_Offenders_Sentenced_to_Supervised_Release.pdf.
318
18 U.S.C. § 3583.
319
http://www.ussc.gov/sites/default/files/pdf/guidelines-manual/2012/manual-pdf/Chapter_7.pdf p. 477
320
See, e.g., 21 U.S.C. § 841(b)(1)(A) (mandating a lifetime term of supervised release for those convicted of certain
drug offenses).
321
Parole in the Federal Probation System, US Courts, http://www.U.S.C.ourts.gov/News/TheThirdBranch/11-0501/Parole_in_the_Federal_Probation_System.aspx.
317

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I’M NOT SURE WHAT TYPE OF SUPERVISION I AM ON OR GOING
TO BE ON. HOW DO I FIND OUT?
You may not know what type of supervision you are currently on, and in certain
situations you could be on more than one type, or on different types back-toback. If you don’t know, and you are still incarcerated, you should ask a
correctional counselor in your institution. If you don’t know, and you are out, you
should ask the case manager or supervising officer you report to.
Once you know what type of supervision you are on, you can skip to the section
in this chapter that addresses questions and issues related to your specific type
of supervision.
•
•

•
•
•

If you are currently or soon to be under the supervision of state parole, go to
PG. 147.
If you are currently or soon to be under the supervision of county probation
or some other type of county-level supervision (like “mandatory supervision”
or “PRCS”), go to PG. 208.
If you are currently or soon to be under the supervision of federal probation,
go to PG. 229.
If you are currently or soon to be under federal community supervision of
supervised release, go to PG. 243.
If you are currently or soon to be under the supervision of federal parole, go
to PG. 264.

A Note About the Terms Used in the Parole & Probation Chapter:
We want to mention that this Chapter uses a lot of the terminology and language
that the California Department of Corrections (CDCR) and other correctional
agencies and departments use to describe people returning to the community
from prison and jail. We don’t agree with many of the ways that people with
criminal records are described, but at times we use this language to make this
material understandable to our readers. To learn about the movement to use
humanizing language when talking about currently or formerly incarcerated
people: please visit the following Root & Rebound blog post that summarized a
letter from formerly incarcerated leaders discussing the power of language:
https://rootrebound.wordpress.com/2014/01/29/discourse-can-de-humanizeopen-letter-on-language-from-cnus/.

KEY TERMS IN THE PAROLE & PROBATION
CHAPTER
Before you start reading this chapter, it would be good for you to get a sense of
some of the key terms we use. Although they are explained in the chapter, we
want to include them here for you to get familiar with:
• Conditions—Written rules that you have to follow while on parole or
probation
• Special Conditions—Extra rules that apply to you in addition to the basic
rules that apply to all people under supervision
• Commitment Offense—The offense for which you went to prison or jail
• Discharge—The date you are released from supervision
• Parole Period—The period of time you have to spend on parole
• Residence—The address where you live
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•

•

•

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Board of Parole Hearings (BPH)—A group of 12 commissioners, chosen by
the California governor, who sit on a board and conduct hearings where they
decide if a person is suitable to get released from prison on to parole.
CDCR—CDCR is the abbreviation for the California Department of
Corrections and Rehabilitation, which is a state government agency runs the
criminal justice system in California
California Penal Code—The legal basis for all criminal laws in California.

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Brief Introduction to Parts II & III of this Chapter: State Community
Supervision
Each state in the U.S. runs its own criminal justice system. In the next two sections of the
PAROLE & PROBATION CHAPTER, you will learn about the types of correctional
!supervision in the community that are run by the state of California:
•
Section II cover STATE PAROLE, which is overseen by the California Department of
Corrections (CDCR) and the Division for Adult Parole Operations (DAPO).
•
Section III covers COUNTY PROBATION & NEW FORMS OF COUNTY-LEVEL
SUPERVISION, which are overseen locally by county probation offices and officers
that report back to the state of California.

II.

STATE PAROLE
WHAT WILL I LEARN?

•
•
•

•
•
•
•
•

The Basics of State Parole
After Release—What to Expect in Your First Days Out on State
Parole
The length of State Parole—including (a) what to do if you
believe your parole term length is miscalculated and (b) how to
get off parole early
The general conditions of state parole
The extra (“special”) conditions of state parole, and the legal
requirements for imposing these
The process for challenging conditions of state parole
Your rights as a parolee with a disability
Procedures for state parole violations and revocations

BASICS OF STATE PAROLE
WHAT IS CALIFORNIA STATE PAROLE?
In California, parole is a condition of release for a person coming out of
322
prison. It will only apply to people convicted of a state felony and sentenced
to state prison. State parole only takes effect after you are released from prison.
People on parole—sometimes called parolees—remain under the control of
CDCR. Within CDCR, parolees are more specifically under the control of the
Division of Adult Parole Operations (DAPO), a division of CDCR. As a parolee,
you are supervised by CDCR parole agents, and must satisfy certain rules or
323
“conditions” of parole.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

15 CAL. CODE REGS. § 2355.
People who are sentenced to state prison for potential life sentences (for example, “25 years to life”) are only
eligible for parole after they serve the determinate part of their sentence, and only after the Bd. of Parole Hearings
(BPH, commonly called the “parole board”) determines that you are ready to re-enter society. That determination
takes place during a California Bd. of Parole Hearings suitability hearing (also known as a “Lifer hearing”). Some
people released from California state prison are required to serve a period of parole after they are released. Lifer
Parole Process, CAL. DEP’T OF CORR. & REHAB., http://www.cdcr.ca.gov/BOPH/lifer_parole_process.html.
322
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I AM CURRENTLY INCARCERATED IN CALIFORNIA STATE
PRISON, AND PREPARING FOR RELEASE. WILL I BE REQUIRED TO
SERVE A PAROLE TERM AFTER I GET RELEASED FROM PRISON?
Yes, if you committed a certain type of offense, or are in a specific situation. If
you are currently incarcerated in California state prison, you must serve a parole
term after release from prison if any of the following apply:
• Your current prison term is for a serious felony as defined in CAL. PENAL CODE
§ 1192.7(c);
• Your current prison term is for a violent felony as defined in CAL. PENAL CODE
§ 667.5(c);
• You were sentenced as a “three-striker” under CAL. PENAL CODE §§ 667(b)-(i) or
1170.12(c)(2);
• You are classified by CDCR as a “High-Risk Sex Offender,” regardless of your
commitment offense; OR
• You are found to be a “Mentally Disordered Offender” (MDO) under CAL.
PENAL CODE § 2962.2.

!

IMPORTANT: If you don't fall into any of these categories, then you are
likely on a new form of supervision called Post-Release Community
Supervision (PRCS). Go to PG. 208 to! learn more about PRCS. If you think
you will be on state parole, not PRCS, see the earlier section on state
parole, on PG. 147.

WHEN IS THE POST-RELEASE COMMUNITY SUPERVISION (PRCS)
VS. PAROLE ASSESSMENT DONE?
Before you are released from prison, a correctional counselor will screen your
324
case and decide whether to refer you to state parole or PRCS. The
correctional officer should start this screening process at least 180 days prior to
325
your calculated release date. The CDCR Form 611, “Release Program Study,”
(see Appendix S, PG. 332) is used to determine if you will be eligible for PRCS
326
after release.

AFTER RELEASE: WHAT TO EXPECT IN YOUR
FIRST DAYS OUT ON STATE PAROLE
WHAT ARE SOME MY RESPONSIBILITIES WHEN I FIRST GET OUT
OF STATE PRISON UNDER STATE PAROLE SUPERVISION?
There are several responsibilities to be aware when you first get out of state
prison and are living in the community under the supervision of parole:

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 3451(a).
http://www.cdcr.ca.gov/realignment/docs/PRCS-County.pdf.
326
http://www.cpoc.org/assets/Realignment/whatcountiesneedtoknow.pptx.
324
325

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1.

FIRST, YOU SHOULD MAKE CONTACT WITH YOUR PAROLE OFFICER &
VISIT THAT PAROLE OFFICE.

CDCR makes it clear that “it is up to you to get yourself to your parole office” upon
release, so do your best to make contact with your parole officer right away, and
327
visit the office as soon as you can, if you don’t have a set appointment time.
You should call your parole officer when you first get out. The agent’s name,
address, and telephone number should be on CDCR Form 611, “Release Program
Study,” which you should have received a copy of at least 45 days before your
release date (or if less than 45 days remain because your legal status changed in
328
prison, then as soon as possible before your release to parole). If you cannot get
a hold of your parole agent, or do not know who that person is, try going to the
closest parole office you can find and ask them for help. The parole office can call
your parole agent and let him or her know you are coming and when you will be
there. For a list of California state parole office’s main phone numbers, visit:
http://www.cdcr.ca.gov/Parole/Public_Officers_and_Regional_Offices/.
If you were given a date, time, and place to report to your parole officer (see
your Form 611, Release Program Study), you should report to him or her at that
329
time in that location. Generally, it is recommended that if you get out on a
weekday and have the time or ability to go to the office that day, you should. If
you get out on a weekend or national holiday when the parole office is closed, it
is recommended that you go to your parole office the very next day it is open. If
you get stuck out of town, get lost, or cannot get to where you have to go, call
your parole agent or the Officer of the Day collect. Call the Parole Headquarters
for your Region (or if you don’t know which region, call the California Region I
Headquarters) and ask for the Officer of the Day: Northern Region Headquarters
(Tel. 916-255-2758); Southern Region Parole Headquarters (Tel. 909-468330
2300).
2. TELL YOUR PAROLE AGENT OF CRIMES AGAINST YOU AFTER RELEASE, IF
ANYTHING LIKE THAT HAPPENS.
If anyone commits a crime against you before you make contact with your parole
331
officer, tell your parole agent what happened.
3. TELL YOUR PAROLE AGENT IF YOU ARE STOPPED BY THE POLICE.
332

If you get stopped by the police for any reason, tell your parole agent about it.
4. REGISTER WITH THE LOCAL POLICE OR SHERIFF, IF NECESSARY.

Before you get out of prison, you should be told if you have to register with the
local police or sheriff. Not all people on parole will have to do this, but if you
333
went to prison for a sex, drug, gang, or arson case, it may be required. If you
are told it is a necessary part of your parole conditions, register with the Police
or Sherriff as soon as possible. The correctional counselor at the prison must

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CDCR Parolee Information Handbook, 4.
15 CAL. CODE REGS. § 3075.2(b)(2); See CDCR, Notice and Conditions of Parole,
http://www.cdcr.ca.gov/Regulations/Adult_Operations/docs/NCDR/2014NCR/14-03/CDCR%201515.pdf; DAPO’s
timelines for completing Form 611. Department Operations Manual (hereinafter "DOM") § 81010.5 ),
http://www.cdcr.ca.gov/Regulations/Adult_Operations/docs/DOM/DOM%202015/DOM%202015.pdf (updated Jan.
2015) (“The Parole Agent shall investigate all proposed programs. If a proposed program is determined by a Parole
Agent not to be suitable for a parolee, efforts shall be made by the Parole Agent to develop an appropriate
alternate program in the county of commitment. [DAPO] staff shall return the completed RPS Form, CDC Form 611,
and Conditions of Parole to the institution housing the inmate 60 days before the inmate's EPRD. However, if the
RPS, CDC Form 611, is not received by the parole unit at least 75 days before the EPRD, the preparole investigation
shall be returned within 15 days of receipt.”).
329
CDCR, Parolee Information Handbook at 4.
330
See Parole, Public Officers and Regional Offices, CAL. DEP’T OF CORR. & REHAB.,
http://www.cdcr.ca.gov/Parole/Public_Officers_and_Regional_Offices/.
331
CDCR, Parolee Information Handbook at 4.
332
CDCR, Parolee Information Handbook at 4.
333
CDCR, Parolee Information Handbook at 5.
327
328

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notify you of your registration requirement before you are released from
custody—and will do so by checking a box on CDCR Form 611, “Release Program
Study,” indicating your registration requirements (see example of this form in
Appendix S, PG. 332), which must be given to you at least 45 days before your
334
expected release date. You will then have to sign a form that tells you when
and how you must register (see the chart on the next page to know which
335
additional form you’ll be given). If you have questions, talk with your
correctional counselor in the prison, or with your parole agent once you are
336
out. Please refer to the chart on the next page for a summary of these
registration requirements.

THE CHART BELOW SUMMARIZES THE LAWS THAT REQUIRE PEOPLE WITH CERTAIN CONVICTIONS TO
REGISTER WITH THE LOCAL POLICE/SHERIFF OR OTHER REIGSTRY.

SUMMARY OF SPECIAL LEGAL REQUIREMENT TO REGISTER WITH POLICE OR SHERIFF!
TYPE OF CONVICTION
REQUIRING REGISTRATION

LEGAL AUTHORITY

FORM YOU MUST SIGN BEFORE RELEASE TO SHOW
YOU RECEIVED NOTICE OF YOUR DUTY TO REGISTER

CRIMINAL STREET GANG337
RELATED

Cal. Pen Code § 186.30

Each county creates its own forms.
Contact your local Police or Sheriff department to ask what you
need to do to register for a gang-related conviction. The local
police or sheriff’s office may require you to fill out certain forms
338
and some first require an appointment.

SEX OFFENDER

Cal. Pen. Code § 290 et
seq.

DOJ Form SS 8047, “Notification of Sex Offender Registration”

ARSON

Cal. Pen Code. § 457.1

DOJ Form SS 8049, “Notice of Arson Offender Registration
Requirement”

CONTROLLED SUBSTANCE
OFFENDER

CAL. HEALTH & SAFETY CODE
§ 11590

DOJ Form SS 8048, “Notice of Narcotic Offender Registration”

WHAT COUNTY WILL I BE PAROLED TO, AND WHO DECIDES?
You will most likely be paroled from prison to the county where you last lived
339
(called your “last legal residence”).
However, CDCR will require you to parole to a different county if it would be “in
340
the best interests of the public.” This means that if you were convicted of
certain violent felonies (including murder, voluntary manslaughter, mayhem,
rape, sodomy by force, oral copulation, lewd acts on a child under 14, any felony
punishable by death), or a crime involving stalking or a great bodily injury
enhancement, you will not be paroled to a county where you would be within 35
miles of the residence of a victim or witness if: (1) the victim or witness has
requested additional distance, and/or (2) the BPH or CDCR finds that there is a

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See 15 CAL. CODE REGS. §§ 3650; 3075.2(b).
CDCR Parolee Information Handbook at 5; see 15 CAL. CODE REGS. § 3075.2(b).
336
CDCR Parolee Information Handbook at 5.
337
There has been significant case law on what information the police or sheriff can require from you. See, e.g.,
People v. Sanchez, 105 Cal. App. 4th 1240 (2003); People v. Bailey, 101 Cal. App. 4th 238 (2002).
338
Telephone call with Gang Task Force police officer in Watsonville, CA. If you are required to register for a gangrelated offense, the local police/ sheriff’s office may ask for relevant information from you like the name of the gang,
size of the gang, where the gang tends to congregate, and/or where gang members live. Usually a parole officer will
tell someone of this registration requirement in the first days after release from prison, and may give the parolee
instructions for when and how to make an appointment to register with the local police or sheriff’s office.
339
See CAL. PENAL CODE § 3003(a).
340
CAL. PENAL CODE § 3003(b). A county that wants a parolee to be sent somewhere else must show that the parole
authorities have abused their discretion when choosing the county of parole. McCarthy v. Superior Court, 191 Cal.
App. 3d 1023, 1027 (1987); City of Susanville v. CDCR, 204 Cal. App. 4th 377 (2012).
334
335

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341

need to protect the victim or witness. If the BPH or CDCR decides to send you
to another county for parole, the agency making the decision must state their
342
reasons for doing so in writing.

Interested in requesting a transfer of your parole?
For information on how to request to transfer your parole location from
one county to a different county, see PG. 181, or from one state to a
different state, see PG. 181.

IS THERE ANY FORM OF FINANCIAL ASSISTANCE FROM
PAROLE WHEN I FIRST GET OUT?
Yes, but it is very limited and for a very small amount. You are entitled
to the money in your trust account and gate money. You may be able
to get other emergency funds by requesting them through your
parole agent. Below we explain the types of financial assistance you
can ask for on your first days out in more detail:

1.

TRUST ACCOUNTS:

WHAT IS
“INTEREST”?
Interest is a small
percentage amount
of your money
being held that gets
added to your
account periodically
for the prison
having the ability to
hold your money.

Money that you brought to, earned, or received in prison is kept in an
interest-bearing trust account. The “interest” is paid to the trust account on a
monthly basis, minus operational expenses incurred. Any money in your prison
trust account, including any interest you earned, must be given to you
343
at your release.
I WAS IN CDCR’S
What should I do if the prison never gives me my
CUSTODY FOR
LESS THAN 6
money?
MONTHS DUE
If the prison does not give you your gate money, let your
TO A PAROLE
parole officer know immediately.
VIOLATION. DO I
GET GATE
2. GATE MONEY (a.k.a. “RELEASE ALLOWANCE”):
MONEY WHEN I
AM RELEASED?
> $200 GATE MONEY:
If you are leaving state prison and you are (1) paroled, (2) placed on
post-release community supervision (PRCS), or (3) discharged from a
CDCR institution or reentry facility, you are entitled to $200 in state
344
funds upon release. Even though your parole agent is responsible
for giving you these funds, the agent is not required to give you the
entire amount immediately. Instead, your parole agent may distribute
the $200 in separate, smaller amounts over a period of 60 days
345
following your release. By the end of those 60 days, you should
have received the entire $200. If you need to purchase clothes or a
bus ticket at the time of your release, you must pay for it; CDCR does
not provide extra gate money for clothing or transportation, but will
deduct it from your $200 gate money if you ask them to front this
346
cost.

If you were returned
to the custody of
prison or jail on a
parole violation—
but were there for
less than 6
months—you will
receive $1.10 per
day that you are
held, up to a
maximum of $200.
(See 15 CAL. CODE
REGS.
§ 3075.2(d)(4).)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 3003(f) and (h). This provision does not apply to the victim’s next of kin. In re David, 202 Cal.
App. 4th 675 (2012).
342
CAL. PENAL CODE § 3003(b).
343
CAL. PENAL CODE § 2085; 15 CAL. CODE REGS. § 3099.
344
The rules for gate money are in CAL. PENAL CODE § 2713.1, 15 CAL. CODE REGS. § 3075.2(d), and DOM §§ 74070.23,
74070.23.5, 81010.6.1, 81010.6.2.
345
Most people receive at least $50–$100 of their “gate money” immediately upon release from prison, and many
receive the entire $200. 15 CAL. CODE REGS. § 3075.2(d)(8). See also Prison Law Office, The Parolee Rights Manual at
22, http://www.prisonlaw.com/pdfs/ParoleeManual,Aug2013.pdf (updated Aug. 2013).
346
The rules for gate money are in CAL. PENAL CODE § 2713.1, 15; CAL. CODE REGS. § 3075.2(d); and DOM §§ 74070.23,
74070.23.5, 81010.6.1, 81010.6.2.
341

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IMPORTANT: You also have the right to the $200 gate money in the
following cases:
•

!

•
•

If you were sent to a local jail for civil commitment proceedings or evaluation
347
as a “sexually violent predator” (SVP).
If you are a “lifer parolee” who returned to prison on a parole violation, when
348
you are re-released to parole.
If you served 6 straight months or more on a sentence OR on a return-tocustody for a parole violation (these 6 months could be time spent in jail or in
349
prison).

> YOU WILL GET ONLY $100 GATE MONEY IF YOU ALREADY RECEIVED A $100
ADVANCE
350

If you are released from prison into a Community Correctional Reentry Facility
351
or Alternative Custody Program (ACP), you may be given an advance of up to
352
$100 of your gate money at that time. Once you are released from the reentry
facility or ACP, you may only receive what is left of the $200 not yet given to
353
you—for most, this will be $100 remaining.

> YOU WILL NOT RECEIVE YOUR GATE MONEY IF YOU ARE RELEASED FROM
PRISON INTO THE CUSTODY OF ANOTHER AGENCY THAT IS DETAINING YOU
If you are released from prison into the custody of another state, local law
enforcement, or the federal government (i.e. you are released from state prison
and into the custody of a federal prison or another jail/prison because you have
been convicted or face charges in another jurisdiction), you will not get any gate
354
money until you are released from that custody. Similarly, if you are released
from prison into the custody of the U.S. Immigration and Naturalization Service
355
(INS) and are waiting a deportation hearing date, you will not get gate money.
> YOU WILL FORFEIT (GIVE UP) YOUR RIGHT TO GATE MONEY IN THE
FOLLOWING SITUATION
If you abscond from parole (meaning you flee, go missing, or do not report to
your parole agent as required) before receiving all of your gate money, you give
up your right to the gate money. This means if you fail to report or to let your
parole agent know of your whereabouts, you lose your right to the $200 gate
356
money. If you abscond from parole, you also risk: 1) getting your parole
revoked and going back to prison; 2) being held on parole for a longer time
period than originally required; 3) being forced to wear a GPS tracking advice by
parole (see PG. 170).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Sabatasso v. Superior Court, 167 Cal. App. 4th 791 (2008) (holding contrary portion of 15 CAL. CODE REGS.
§ 3075.2(d)(2) invalid).
348
15 CAL. CODE REGS. § 3075.2(d)(4); see also Prison Law Office, The Parolee Rights Manual at 22,
http://www.prisonlaw.com/pdfs/ParoleeManual,Aug2013.pdf (updated Aug. 2013)
349
15 CAL. CODE REGS. § 3075.2(d).
350
CDCR operates fourteen "reentry hubs" in California. Programs typically last up to four years, and include classes
in Substance Abuse, Criminal Thinking, Anger Management, and Family Relationships. They are available to people
who have been released from prison within the past four years, and are designed specifically "for inmates who have
a moderate-to-high risk to reoffend, as assessed by the California Static Risk Assessment (CSRA), and who have an
assessed criminogenic need, as identified by the Correctional Offender Management Profiling for Alternative
Sanctions (COMPAS) and/or other assessment(s) identified by CDCR." CDCR, Fact Sheet: Reentry Hubs,
http://www.cdcr.ca.gov/rehabilitation/docs/Factsheets/OS-IP-Factsheet-ReentryHubs-Mar2014.pdf.
351
Alternative Custody Program (ACP) means a voluntary program developed for female inmates whose current
commitment offense is neither violent nor serious and whose prior or current commitment offense is not a
registerable sex offense pursuant to PC section 1170.05 that allows eligible inmates committed to state prison to
serve their sentence in the community in lieu of confinement in state prison. Provisions for ACP are located in Title
15, Division 3, Chapter 1, Article 6.8 commencing with section 3078. 15 CAL. CODE REGS. § 3000.
352
15 CAL. CODE REGS. § 3075.2(d)(8)(A).
353
15 CAL. CODE REGS. § 3075.2(d)(8)(B).
354
15 CAL. CODE REGS. § 3075.2(d)(1).
355
15 CAL. CODE REGS. § 3075.2(d)(2).
356
CAL. PENAL CODE § 2713.1; see also Prison Law Office, The Parolee Rights Manual at 22,
http://www.prisonlaw.com/pdfs/ParoleeManual,Aug2013.pdf (updated Aug. 2013).
347

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> YOU HAVE NO RIGHT TO GATE MONEY IN THE FOLLOWING SITUATION
If you are released after being placed in jail for parole revocation proceedings,
357
you do not receive gate money.

3. EMERGENCY FUNDS
358

There are 2 very limited types of emergency funds that you can request
through your parole agent: (1) Cash Assistance Loans (also called “financial
359
360
assistance funds”) and (2) Funds for Services (also called “Bank Drafts”).
Unfortunately, in these current tight budget times, these funds are extremely
limited.
These funds are discretionary. This means that your parole agent and his or her
supervisor decide whether to give you a “cash assistance loan” or funds for
services. Their decision will depend on the following factors:
•
•
•

361

Whether there is money available;
362
The circumstances, including your history and needs; AND
Whether you are a citizen (as there are legal limits on the financial assistance
that CA State Parole can provide to certain parolees who are not U.S.
363
citizens).
(1) FIRST TYPE OF EMERGENCY FUND: Cash Assistance Loans
Cash Assistance Loans (a.k.a. “Financial Assistance Funds”) are loans that
you may request from your parole agent. CDCR expects you to pay back
these loans as soon as possible (for example, once employment or other
financial circumstances allow you to do so). These loans are only granted
when there is a critical need and assistance is not available from any other
364
source. The loans are usually for amounts under $50. The parole agent’s
supervisor must approve any loan over $50 or any series of loans totaling
365
more than $150 in a 30-day period.
(2) SECOND TYPE OF EMERGENCY FUND: Funds for Services:
Your parole agent is also authorized to distribute Funds for Services (a.k.a.
“Bank Drafts”), including for housing, food, and clothing. Your parole agent
may authorize a loan of up to $500 to you for over-the-counter purchases.
The check may be written either directly to you or to the vendor who is
selling the item that you are purchasing. Once again, the loans are granted
on an emergency basis, and you must pay the money back as soon as you
366
able to do so.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 2713.1; see also Prison Law Office, The Parolee Rights Manual at 22,
http://www.prisonlaw.com/pdfs/ParoleeManual,Aug2013.pdf (updated Aug. 2013).
358
The rules for these funds are in 15 CAL. CODE REGS. § 3605 and DOM § 81070.1 et seq.
359
15 CAL. CODE REGS. § 3605; DOM § 81070.1 et seq. (outlining Parole’s cash assistance loan procedures).
360
See 15 CAL. CODE REGS. § 3605.
361
CAL. PENAL CODE § 2713.1; see also Prison Law Office, The Parolee Rights Manual at 22,
http://www.prisonlaw.com/pdfs/ParoleeManual,Aug2013.pdf (updated Aug. 2013).
362
See DOM § 81070.1 (“A determination of how much money is needed is a matter of judgment, and
circumstances will generally differ from case to case.”).
363
15 CAL. CODE REGS. § 3630 (“Pursuant to Section 411 of the Personal Responsibility and Work Opportunity
Reconciliation Act of 1996, (PRWORA) (8 U.S.C. Section 1621), and notwithstanding any other provision of Title 15,
Division 3 of the California Code of Regulations, aliens who are not “qualified aliens” or “nonimmigrant aliens,” as
defined by federal law, or who are paroled into the United States for less than one year, are ineligible to receive or
participate in the following parole services: (1) Food coupons, (2) Bus passes, (3) Job placement services, (4) Shortterm cash assistance.”)
364
15 CAL. CODE REGS. § 3605; DOM § 81070.1.
365
DOM § 81070.1 et seq.
366
DOM § 81070.2; DOM § 81070.7; see also Prison Law Office, The Parolee Rights Manual at 23,
http://www.prisonlaw.com/pdfs/ParoleeManual,Aug2013.pdf (updated Aug. 2013).
357

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LENGTH OF STATE PAROLE
WHERE WILL I SEE THE LENGTH OF MY PAROLE? AND
WHO CALCULATES IT?
Your parole date will be listed on your CDCR Form 1515, “Notice and
Conditions of Parole” (see example in Appendix G, PG. 302). Parole
will be responsible for calculating these dates based on state law, and
your parole agent must tell you what they are.

IF I AM ON STATE PAROLE, WHAT LAW SETS THE
LENGTH OF MY PAROLE?
If you are on state parole, the length of your parole period is set by
367
state law and is based on your commitment offense (the crime you
are or were incarcerated for), and when the commitment offense
occurred. The state law that is applied to determine your base parole
period and maximum parole period is the law that was in existence at
the time of the commitment offense (NOT the date you were
368
sentenced on and NOT the date you were released onto parole).
In most cases, there is a minimum parole period that can be increased
369
up to a maximum parole period if you commit parole violations.
Because state laws set the minimum & maximum parole term lengths,
the date that a person actually gets off parole will be determined by a
number of factors. See PG. 155 for more information.
There are actually 3 discharge dates—a Controlling Discharge Date, A
Maximum Discharge Date, and a Presumptive Discharge Date— that
together determine when you will actually get off parole, and a number
of factors that interact with those 3 dates to determine when you will
be eligible to get off parole earlier or later than you originally expected.
See the chart on PG. 155 below for a detailed description of these
three dates and how they interact with each other.
You can find the parole term lengths in California Penal Code
§ 3000(b) (for set-length parole terms) and § 3000.1 (for life-long parole
terms)—we have included copies of the current versions of these laws
in Appendix F, PG. 298, for your reference. (The California Penal Code
is a chapter of laws that apply to crimes, parole, and other criminal
justice system-related laws in California). To look up the discharge
dates that apply to you, see Appendix C, PG.294 of this chapter.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See generally CAL. PENAL CODE §§ 3000(b); 3000.1.
See In re Thomson, 104 Cal. App. 3d 950 (1980); In re Bray, 97 Cal. App. 3d 506 (1979).
369
See generally CAL. PENAL CODE §§ 3000(b); 3000.1.
367
368

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WHAT STOPS
THE CLOCK FOR
MY LENGTH OF
TIME ON
PAROLE?
The clock for your
parole period is
paused if:
(1) YOU GO MISSING:
Any time during that
you “abscond” from
parole (go missing or
fail to report to your
parole agent), and any
time you are not
available for parole
supervision, this
“stops the clock” and
does not count toward
the parole period.
(2) YOU HAVE TO GO
THROUGH SEXUALLY
VIOLENT PREDATOR
(SVP) PROCEEDINGS:
The parole term is
“tolled” (paused) until
the SVP proceedings
are dismissed or you
are discharged from
the Department of
State Hospitals (DSH).
(3) YOU ARE SENT TO
COUNTY JAIL (NOT
PRISON) FOR A NEW
FELONY
CONVICTION. If you
are sentenced to a
county jail term for a
new felony conviction,
you will stay on parole
while serving your jail
sentence, but the
clock will pause on
your parole term. If the
jail sentence ends
before your controlling
discharge date (CDD)
(see chart on PG. 155),
you must report to
your parole officer
upon release and
finish serving your
original parole term.
But if your are
sentenced for a new
felony conviction, your
parole will just be
forgotten about—it
isn’t paused, but it no
longer matters.

ROADMAP TO REENTRY
!

THE 3 DISCHARGE DATES YOU SHOULD KNOW
TO FIGURE OUT WHEN YOU GET OFF PAROLE!
CONTROLLING
DISCHARGE DATE (CDD)
THIS IS YOUR BASE PAROLE
PERIOD.
Your CDD is the date that you
are set to be discharged from
parole if nothing changes—your
base term.
For example, if someone is on
parole for 5 years with a
maximum of 7 years, then the
Controlling Discharge Date
(CDD) is 5 years from the day of
370
release from state prison.
(NOTE: These parole length
calculations are based on state
law. There is a sample
worksheet for how to calculate
your parole discharge date in
Appendix C, PG. 294 of this
chapter)
Please refer to Appendix C,
PG. 294 of this chapter to
determine your CDD.

MAXIMUM DISCHARGE
DATE (MDD)
THIS IS MAXIMUM/ THE LAST
DATE POSSIBLE FOR YOU TO
BE HELD ON PAROLE.
The MDD is the last possible
date you could be on parole.
For example, if someone is on
parole for 5 years with a
maximum of 7 years, then the
Maximum Discharge Date (MDD)
is 7 years from the day of
371
release from state prison.
(NOTE: These parole length
calculations are based on state
law. There is a sample
worksheet for how to calculate
your parole discharge date in
Appendix C, PG. 294 of this
chapter)
Please refer to Appendix C,
PG. 294 of this chapter to
determine your MDD.

PRESUMPTIVE DISCHARGE DATE (PDD)

THIS IS THE DATE YOU ARE ELIGIBLE TO GET OFF PAROLE
EARLY.
The PDD is the date you can be discharged from parole, and the
date that you should be discharged if the BPH does not find “good
372
cause” (a good reason) to retain you.
This date is always before
your CDD (base term). You can only get off on your PDD if you have
served parole continuously without disruptions, meaning no
revocation/violation time, suspensions, or “dead time” for
absconding (going missing or failing to report to your parole agent).
For example, someone might have a 5-year parole length with a
Presumptive Discharge Date (PDD) of 3 years. This means that the
person is eligible to be discharged after 3 continuous years on
parole.
(NOTE: These parole length calculations are based on state law.
There is a sample worksheet for how to calculate your parole
discharge date in Appendix C, PG. 294 of this chapter)
IMPORTANT! Some people do not have a PDD—meaning certain
individuals do not have a date on which they are eligible to get off
373
parole early.
This is based on what your commitment offense
was and when it happened. Go to Appendix C, PG. 294 of this
chapter to determine your PDD, if you have one.

For an example of how you can calculate your own parole discharge date, see
Appendix C, PG. 294. To determine your CDD, MDD, and PDD, see Appendix B,
PG. 292.

HELPFUL HINT
In addition to these very important 3 dates, you can ask for your parole agent to
recommend that you get off parole even earlier than your Presumptive
Discharge Date (PDD), but this is very hard to do successfully. That’s because
for your parole agent to recommend you get off even earlier, everyone has to
agree—the parole agent has to support you; the agent’s supervisor has to agree;
the Regional Administrator for your parole region must approve your request;
and finally, the Board of Parole Hearings (BPH), must approve your early release
from parole.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Time during which a parolee absconds or is unavailable for supervision does not count toward either the CDD.
There is no limit on how long the CDD can be extended due to absconding or unavailability. CAL. PENAL CODE
§ 3000(b)(6)(B). Time served in custody for parole revocation terms will extend the CDD, but only until the MDD is
reached. The CDD comes from state law: CAL. GOV’T CODE § 3000(b) (set-length parole terms) and § 3000.1 (life-long
parole terms).
371
The MDD also comes from state law: CAL. GOV’T CODE § 3000(b) (set-length parole terms) and § 3000.1 (life-long
parole terms). There is no limit on how long the CDD can be extended due to absconding or unavailability. CAL.
PENAL CODE § 3000(b)(7). See also CAL. PENAL CODE § 3000(b)(6). Time served in custody for a parole revocation will
extend the CDD, but only until the MDD is reached.
372
Note that a provision for early “earned discharge” for some parolees (former 15 CAL. CODE REGS. § 3075.4) has
been repealed.
373
There is no presumptive discharge date from state parole for any person serving a life-long parole period
following an indeterminate life term for a sex offense under CAL. GOV’T CODE §§ 269, 288.7(c), 667.51, 667.61(j), (l), or
(m), or 667.71 [if a victim was a child under age 14]. There is also no presumptive early discharge for parolees who
were sentenced to prison for offenses committed between July 1, 1977, and December 31, 1978. 15 CAL. CODE REGS.
§ 2535(b)(5). See In re Miller, 2006 WL 1980385 (Cal. Ct. App. July 17, 2006) at n.2 (discussing CAL. PENAL CODE
§ 3000(b), Stats. 1977, chs.2, p.165, as it was prior to 1979).
370

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WHAT CAN I DO IF I THINK THAT THE LENGTH OF MY PAROLE IS
MISCALCULATED?
If you believe your parole length has been miscalculated, which does happen
time to time, you can and should APPEAL (challenge) your parole term length
with CDCR. You have to exhaust the appeals process before you can go to
court.
First, understand the timelines for filing an appeal (see box below). Then, follow
the three steps, starting on PG. 156, to file your appeal.

TIMELINES FOR ALL 602 APPEALS
What timelines must I follow in submitting a 602 appeal?
1. For submitting an initial 602 administrative appeal, you have 30 days to appeal after
the event or decision occurs, or after having first knowledge about the action or
decision being appealed;
2. If you get an unsatisfactory response from Parole or CDCR to a 602 appeal, you have
374
30 days to submit a higher-level appeal.
3. SPECIAL NOTE: There are special timelines and processes for submitting (1)
emergency appeals, (2) appeals of involuntary psychiatric transfer, and (3) disability375
related appeals. What timelines must CDCR/Parole follow in responding to my 602
appeal?
CDCR/Parole must respond to your 602 appeals within the following time limits:
1. Parole has 30 working days (from date of receipt by Appeals Coordinator) to
376
complete and return to you a First Level Response to your 602 appeal.
2. Parole has 30 working days (from date of receipt by Appeals Coordinator) to
377
complete and return to you a Second Level Response to your 602 appeal.
3. Parole has 60 working days (from date of receipt by Appeals Chief) to complete and
378
return to you a Third Level Response to your 602 appeal
The only EXCEPTIONS for CDCR/Parole to take longer than this are if:
1. The parolee, staff, or witnesses are unavailable;
2. The complexity of the decision, action, or policy requires additional research;
3. It’s necessary to involve other agencies or jurisdictions in the appeal; or
379
4. A state of emergency requires CDCR and Parole to postpone “nonessential
administrative decisions and actions, including normal time requirements for such
380
decisions and actions.”

IF THERE IS AN UNREASONABLE DELAY IN GETTING A FORMAL RESPONSE
TO YOUR 602: Except for the Third Level of a 602 appeal, CDCR/Parole must
provide you in writing with (1) an explanation of the reasons for the delay, and (2)
an estimated completion date, and these explanations must be given to you
381
within the time limits above. SO IF YOU DON’T GET A FORMAL WRITTEN
RESPONSE to your 602 and never got notified in writing about the delay, then
the appeals process is exhausted, and you can raise your issue in court by filing
a state petition for a writ of habeas corpus in the superior court of the county of
your parole (See PG. 312 to learn how).
Keeping the timelines for 602 appeals in mind, you can challenge the length of
your parole period by following the steps on the next page.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

15 CAL. CODE REGS. § 3084.8(b).
15 CAL. CODE REGS. §§ 3084.8(f), (g), 3084.9 et seq.
15 CAL. CODE REGS. § 3084.8(c)(1).
377
15 CAL. CODE REGS. § 3084.8(c)(2).
378
15 CAL. CODE REGS. § 3084.8(c)(3).
379
An emergency as it is meant here is defined in 15 CAL. CODE REGS. § 3383(c).
380
15 CAL. CODE REGS. § 3084.8(d).
381
15 CAL. CODE REGS. § 3084.8(e).
374
375
376

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STEP 1: Submit two forms at the same time: (1) First, submit CDCR Form 22 to
your parole agent, requesting an interview to discuss the issue, and (2) Submit a
CDCR Form 602 appeal to the Regional Appeals Coordinator at the same time.
To challenge the length of your parole, you will need to file a CDCR Form 22
(with your parole agent) and a CDCR Form 602 (with your Regional Appeals
Coordinator) at the same time. Be sure to attach a copy of the Form 22 to the
Form 602 appeal; and vice versa, attach a copy of the Form 602 to the Form 22
382
request.
•

SUBMIT FORM 22: To challenge the length of your parole (your CDD, MDD,
or PDD), you will need to file a CDCR Form 22, “Request for Interview, Item or
383
Service” with your parole agent. You can get this Form 22 from any parole
field office (see Appendix I, PG. 308 for an example, but always ask for the
384
most current version of any CDCR form). If you don’t already know it, you
can find your local parole office’s address online at:
http://www.cdcr.ca.gov/Parole/Public_Officers_and_Regional_Offices/. Click
on the Region where you are located for a full list of parole offices and
addresses in that region. You can also deliver the Form 22 in person to your
parole agent at your parole office.
Your parole agent has 3 working days from the time he or she receives your
Form 22 request to return the original and a copy of the form to you with a
response. In the response, your parole agent must: (1) note his or her decision
on the form, (2) sign and date the form, and (3) retain a copy for his or her
385
own records.

•

•

!

SUBMIT FORM 602: At the same time, you should submit a formal
administrative appeal using CDCR Form 602 (see Appendix J, PG. 309 for a
blank Form 602 for your reference, but always ask your parole officer for the
most current version of any CDCR form) to your Regional Appeals
386
Coordinator. (See Appendix D on PG. 296 for a list of Regional Appeals
Coordinators to see who and where you should send your appeal.)
Send your completed CDCR Form 602, with all supporting documents listed
on the Form 602 and enclosed with the form. As supporting document, you
MUST include both a copy of your CDCR Form 1515 AND a copy of your
CDCR Form 22 with your 602 appeal.

WARNING: If you send a Form 602 appeal to Regional Appeals
Coordinator before filing a more informal Form 22 with you parole agent,
the Appeals Coordinator may screen out your 602 for not having first
submitted a Form 22 (Parole’s reasoning is that they want parolees to try
and solve these issues informally with their parole agent before a formal
appeal is processed). So long as you file the Form 22 and Form 602 at
the same time, your 602 appeal should not be screened out because
parole agents must respond to the Form 22 requests faster than the
Appeals Coordinator has to respond to your Form 602 appeal.
!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

15 CAL. CODE REGS. § 3084.6(e)(2).
CDCR Form 22, “Request for Interview, Item or Service” is not available online. You should request the most
current version from your parole agent. A version is included in Appendix I, PG. 189, for your reference or use.
384
15 CAL. CODE REGS. § 3086(c)(4).
385
15 CAL. CODE REGS. § 3086(f)(4).
386
15 CAL. CODE REGS. §§ 3084.2; 3084.3
382
383

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STEP 2: You should receive a response to your 602 within 30 working days
(don’t count state holidays or weekends). If CDCR denies your 602 appeal at the
First Level of Review, you must continue to pursue the administrative appeals
387
process THROUGH ALL 3 LEVELS OF REVIEW before filing a case in court.
There are special rules for processing 602 appeals concerning miscalculation of
your parole discharge date. First level review will be done by the records office
388
staff. If the appeal is denied at the first level, you can request second level
review, which will consist of a “computation review hearing.” Unless you waive
(give up) your rights, you should be notified at least 24 hours in advance of the
389
date and time of the hearing. At the end of the hearing, you must be given a
390
copy of the hearing decision on a CDCR Form 1033. If the appeal is denied, or
you are dissatisfied with the decision, you can submit the appeal to the CDCR
Appeals Chief as normal for third level review.
STEP 3: Finally, if you exhaust (complete) all three levels of the 602
administrative appeals process, you can continue to challenge the calculation of
your parole length (or any other parole condition) by filing a state petition for a
writ of habeas corpus in the superior court of the county of your parole. See the
next question, and Appendix K, PG. 312 to learn how!

!

REAL-LIFE PRACTICE TIP
FOR 602 APPEALS
In real-life practice, the formal written response to a 602 appeal will often not
get back to the parolee who filed it. Sometimes the formal response is sent to a
parole agent, who doesn’t hand it over to the parolee. If you are not physically
sent or handed a WRITTEN formal response to your Form 602 appeal (which is
different and separate than the written response from your parole agent to a
Form 22 request), then this is NOT considered an answer or formal response
under law—because it was never given/sent to you. After 30 working days are
up, you can try calling your parole agent to find out where the formal response
to your 602 is and request a copy be sent to you immediately, but if you are still
not given anything after an unreasonable amount of time has passed, then you
have exhausted (completed) the administrative appeals process and can file a
state petition for a writ of habeas corpus (or file a second 602 appeal about the
delay). See PG. 156 for detailed information about what to do if you don’t hear
back within the legal time limits. Please note: A short delay is unlikely to be seen
as “exhausting” the administrative appeals process—for example, a few days or
a week late, or a mistake that was immediately fixed by handing you a copy
when you asked—but if a month or more has passed, this looks more like an
unreasonable delay and is likely to be considered exhaustion, allowing you to
take the case to state court.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
15 CAL. CODE REGS. § 3084.7.
15 CAL. CODE REGS. § 3084.9(d).
389
15 CAL. CODE REGS. § 3084.9(d)(2).
390
15 CAL. CODE REGS. § 3084.9(d)(3).
387
388

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IMPORTANT!
WHAT CAN I DO IF CDCR/ PAROLE IS BREAKING THE LEGAL TIME
LIMITS FOR RESPONDING TO MY 602 APPEAL?
Unfortunately, it often happens that the CDCR Regional Appeals Coordinator office will not get back to you with a written
formal response to your 602 appeal within the timelines required by law. Make sure to ask your parole agent and parole
agent’s supervisor for the formal response to your 602 appeal at any of the three levels of review. If you still do not
receive a written FORMAL RESPONSE in person or by mail after asking, you can:
(1) File another 602 appeal, noting CDCR and Parole’s failure to return a formal response to your 602 appeal within the
timelines required by law.
(2) File a state petition for a writ for habeas corpus in your local California State Superior Court– stating in the petition that
because CDCR/Parole Department didn’t send you a formal response to your 602 appeal within the legal timelines,
you’ve exhausted (completed) the only administrative appeals process available to you.
(3) As a more informal action, and to help create a record of what is happening with your original 602, you should:

! Call the Regional Appeals Coordinator office requesting a formal response to your 602 be sent to you (and document
these phone calls); AND
! Write and send a dated and signed letter to the Regional Appeals Coordinator where you sent the original 602, noting
CDCR and Parole’s failure to return a formal response to your 602 appeal within the timelines required by law; AND
! Similarly, write and send a dated and signed letter directly to the parole field office where you report, with attention to
your parole agent and your parole agent’s supervisor, noting CDCR and Parole’s failure to return a formal response to
your 602 appeal within the timelines required by law. In the letter you should include:
•
Your full name;
•
Your CDC number under your name;
•
A brief explanation of what issues your original 602 appeal was all about. Be sure to include the date that a formal
response to your 602 appeal was due back to you; explain what level you are at in the 602 appeals process; and how
much time has passed since your formal response was due back to you. You may also want to state any additional
facts about the 602 appeal that you believe are relevant; AND
•
A copy of your original 602 appeal, if you have one, as evidence of your appeal.
Why is this suggested?
It is always better to have any problems that occur with the appeals process PUT INTO WRITING in a letter to the
parole office, rather than just have verbal conversations about CDCR/Parole’s failure to respond with the legal
timelines.
Where do you send your letter?
(1) Send the first letter to your parole agent and the agent’s supervisor directly to your parole office where you report.
Please visit parole’s website at: http://www.cdcr.ca.gov/Parole/Public_Officers_and_Regional_Offices/ to find the
address of your local parole office, if you don’t already know it. Click on the Region where you are located for a full list
of parole offices and addresses in that region.
(2) Sent the second letter to the Regional Appeals Coordinator to the office address where you sent your original 602.
As of now, it will be one of the following addresses, depending on which region of parole you are located in:
Northern Region Parole, Appeals Coordinator
9825 Goethe Road, Ste. 200
Sacramento, CA 95827-2572
Coordinator Southern Region Parole, Appeals
21015 Pathfinder Road Ste. 200
Diamond Bar, CA 91765

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I FILED A FORM 602 ADMINISTRATIVE APPEAL ABOUT MY
PAROLE LENGTH, AND WAS DENIED AT ALL THREE LEVELS OF
REVIEW, OR IT IS WAY PAST WHEN A FORMAL RESPONSE WAS
DUE TO ME BUT I NEVER GOT ONE. NOW THAT I HAVE
“EXHAUSTED” (COMPLETED) THE ADMINISTRATIVE APPEALS
PROCESS, HOW DO I FILE A STATE PETITION FOR A WRIT OF
HABEAS CORPUS?
If you have gone through all three levels of the 602 administrative appeals
process OR it is way past the deadline for receiving a response from
CDCR/Parole to your 602 appeal, then you have exhausted (completed) the
administrative appeals process and you can now file a state petition for a writ of
391
habeas corpus in the county of your parole.
Through a habeas corpus proceeding, an incarcerated person or someone on
parole can ask a court to order “injunctive relief,” which means you ask a judge
to order that prison or parole officials DO something or STOP DOING something.
For example, a court could order parole officials to drop an illegal parole
condition OR to fix a parole term length miscalculation. For more detailed
information on how to file a habeas corpus petition, see Appendix K, PG. 312.

GETTING OFF STATE PAROLE
CAN I GET OFF STATE PAROLE EARLY?
It depends—THIS IS USUALLY AN OPTION FOR PEOPLE, BUT IT IS AT THE
DISCRETION OF PAROLE (WITH LIMITATIONS ON HOW THEY CAN MAKE
THESE DECISIONS).
Most people have the legal right to a presumption that they should get off of
parole early—this is called the presumptive discharge date or PDD. Learn more
about PDDs on PG. 155.
Some people do not have a PDD under law BECAUSE OF THEIR commitment
offense and when it occurred. See Appendix B, PG. 292, for a list of people who
do not have PDDs under law.
If you have a PDD, different time periods apply to you and they are set by state
law. Your PDD depends on the underlying commitment offense, and when the
commitment offense occurred. The PDD periods can be found in California Penal
392
Code Sections 3000, 3000.1, 3001. If you fit into more than one category, the
longer period applies. See Appendix B, PG. 292, for a list of current PDD
lengths.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Prison Law Office, The Parolee Rights Manual, at 34, http://www.prisonlaw.com/pdfs/ParoleeManual,Aug2013.pdf
(updated Aug. 2013).
392
CAL. PENAL CODE §§ 3000, 3000.1, and 3001. See also Prison Law Office, The Parolee Rights Manual, at 30,
http://www.prisonlaw.com/pdfs/ParoleeManual,Aug2013.pdf (updated Aug. 2013).
391

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WHAT SHOULD HAPPEN WHEN I REACH MY PRESUMPTIVE
DISCHARGE DATE (PDD)?
If you are entitled to a PDD under law, then the Board of Parole Hearings (BPH)
393
must conduct a discharge review within 30 days of your PDD. At this hearing,
BPH must decide whether to keep you on parole or let you off early based on
394
your parole agent’s report (submitted to the BPH on CDCR Form 1502)
395
recommending for or against keeping you on parole. Your parole agent will
make his or her recommendation based on factors like:
1.

Parole Adjustment: Whether or not you followed your parole conditions or
were involved in any criminal behavior or activities. This includes whether
your living situation and your employment, education, or vocational training
were stable; your ability to be financially independent in the community;
your compliance with special conditions of parole; your mental health status
and compliance with any mental health treatment; and any gang
involvement.
2. Restitution payment: The amount of your restitution balance, and any efforts
to satisfy your restitution balance; and
3. Criminal History: Your compliance with any conviction-related registration
requirements (for example, sex offense, arson, gang-related, or drug-related
396
registration requirements—refer to the chart on PG. 150); whether your
397
commitment offense or other past convictions were serious or violent;
whether you used a weapon or possessed a firearm during your
398
commitment offense.

What can I do if CDCR or parole staff makes a mistake
in the report?

WHAT IS A
“MISTAKE OF
FACT”?

A mistake of fact is
If your parole agent (or any other Parole or CDCR staff)
an error caused by
makes a “mistake of fact” in the report to the BPH
someone’s
recommending whether or not you should be kept on parole,
unawareness or
you can file a CDCR Form 602 administrative appeal
ignorance of the
399
challenging the mistake. See the steps for filing a 602
circumstances of an
administrative appeal above on PG. 156. However, if you want
event.
to directly challenge the BPH decision (since there was no
mistake in parole’s report, but you still think there wasn’t good cause to
400
keep you on parole), you do not need to file a 602 appeal. Please see
PG. 163 below for more information about how to challenge a BPH
action.

If the reviewers of your 602 appeal find that there was a significant
mistake in your parole agent’s report to the BPH and that mistake led to
you being kept on parole past your PDD, they can change the
recommendation and ask the BPH to reconsider its decision and
401
discharge you from parole.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 3001. See also Prison Law Office, The Parolee Rights Manual, at 30,
http://www.prisonlaw.com/pdfs/ParoleeManual,Aug2013.pdf (updated Aug. 2013).
394
15 CAL. CODE REGS. § 3721.1.
395
15 CAL. CODE REGS. §§ 3721-3723.
396
See CAL. PENAL CODE §§ 290, 457.1, 186.30; CAL. HEALTH & SAFETY CODE § 11590.
397
“Serious or violent” as it is meant here is defined in CAL. PENAL CODE §§ 1192.7(c), 1192.8, or 667.5(c).
398
15 CAL. CODE REGS. § 3721(b).
399
15 CAL. CODE REGS. §§ 3721-3723.
400
See CAL. PENAL CODE §§ 290, 457.1, 186.30; CAL. HEALTH & SAFETY CODE § 11590.
401
15 CAL. CODE REGS. § 3723.
393

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WHAT ARE MY RIGHTS AT THE PRESUMPTIVE DISCHARGE (PDD)
REVIEW PROCESS?
You have the right to see a written record of BPH’s decision of whether or not to
keep you on parole. The BPH must make a written record of its decision, and
402
must send a copy of that decision to you. If it is more than 30 days past your
PDD and you did not receive written notice of the BPH’s decision, you may be
entitled to IMMEDIATE DISCHARGE FROM PAROLE if the BPH failed to make a
decision in your case. See PG. 163 below for more information.

DO I HAVE A RIGHT TO APPEAR AT THE PDD REVIEW BEFORE
THE BOARD OF PAROLE HEARINGS (BPH)?
403

No. You do not have a right to personally appear at the BPH review. But, if
404
CDCR staff makes a “mistake of fact” (see definition on PG. 161 in the report
that goes to BPH, then you can file a CDCR Form 602 administrative appeal
405
asking for reconsideration, and clarifying the mistake that has been made.
See the steps for filing a 602 appeal on PG. 156.

ON WHAT BASIS CAN THE BPH DECIDE TO KEEP ME ON PAROLE
PAST MY PDD INSTEAD OF LETTING ME OFF EARLY?
The BPH must have “good cause” to retain you (keep you) on parole past
406
the presumptive discharge date (PDD), if you are entitled to one. The
law sets out broad factors that give parole “good cause” to keep
someone on parole—such as the original crime, in-prison behavior, and
407
parole adjustment (defined on PG. 161 above). At this time, there are no
published legal cases challenging a BPH finding of good cause for
keeping someone on parole past his or her PDD, so unfortunately there
isn’t much legal guidance. If you are in the situation of challenging a
finding of good cause, it may help for you to show the BPH as much
evidence as possible that you have adjusted well to parole, followed all of
your parole conditions, been making efforts to pay off your restitution,
complied with any registration requirements, and made significant efforts
to turn your life around (both in prison and after release) since your
commitment offense (including documentation of any employment,
education or training, certificates for completing programs that helped you
improve yourself or learn new skills, etc.).

WHAT HAPPENS IF THE BPH DECIDES TO CONTINUE MY
PAROLE?
If the BPH decides to continue your parole past the PDD, you will be reviewed
for possible discharge each year until your maximum discharge date (MDD) is
408
reached. At these annual review dates, you will remain on parole unless the
409
BPH affirmatively acts to discharge you.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
402
403
404
405
406
407
408
409

CAL. PENAL CODE § 3001(b).
15 CAL. CODE REGS. 2535(c).
A mistake of fact is an error caused someone’s unawareness or ignorance of the circumstances of an event.
15 CAL. CODE REGS. §§ 3721-3723.
15 CAL. CODE REGS. § 2535(d).
15 CAL. CODE REGS. §§ 2535(d) and 3722(c); DOM §§ 81080.1-81080.1.1.
CAL. PENAL CODE § 3001(d); 15 CAL. CODE REGS. § 2535(c).
In re Carr, 38 Cal. App. 4th 209 (1995).

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WHAT IS
“GOOD
CAUSE”?
Good Cause is
considered a
good reason. It
is defined by
the CDCR as a
finding by a
preponderance
of the evidence,
more likely than
not, that there is
a factual basis
and good
reason for a
decision. (15
CAL. CODE
REGS.§ 2000(b)(
50)).

ROADMAP TO REENTRY

CAN I APPEAL THE BPH’S DECISION TO KEEP ME ON PAROLE
PAST MY PDD? WHERE CAN I LOOK FOR ARGUMENTS
REMINDER! YOU
TO SUPPORT MY APPEAL?
Yes. Since you are challenging a decision by the BPH, and not by
parole, you do NOT need to file a 602 appeal—you can challenge
410
the BPH decision directly in state court.
If there was not a mistake in parole’s report/recommendations to
the BPH, but you still want to challenge the BPH’s decision to keep
you on parole past your PDD because you don’t think they had a
good reason to keep you on parole, then there is no administrative
411
appeals process for challenging the BPH’s decision to retain you.
Instead you will skip the appeals process and go straight to filing a
state writ of habeas corpus in the state superior court where your
parole is located to challenge the BPH’s decision to keep you on
parole past the PDD.

WHAT HAPPENS IF I DON’T GET NOTICE OF A BPH
DECISION WITHIN 30 DAYS AFTER MY PDD?

CAN CHALLENGE
FACTUAL
MISTAKES IN
YOUR PAROLE
AGENT’S
DISCHARGE
REVIEW REPORT

If your parole agent or
parole staff makes a
FACTUAL MISTAKE in
their recommendation
to the BPH about
whether or not you
should be discharged
early, you can
challenge that mistake
through a 602 appeal
(see PG. 156 for that
process). (15 CAL.
CODE REGS. § 3723).

It depends on why you didn’t get the notice. There are two
possibilities:
IT HAS BEEN MORE THAN 30 DAYS SINCE MY PRESUMPTIVE DISCHARGE DATE (PDD), AND NO RESPONSE
FROM BPH ABOUT WHETHER I AM DISCHARGED FROM PAROLE. WHAT NEXT?
POSSIBILITY #1:
If you didn't get the notice because the BPH didn’t hold a
hearing at all within 30 days following your PDD.

POSSIBILITY #2:
If the BPH held a hearing and decided to retain you on
parole, but didn’t give you “notice” of their decision
(meaning the BPH didn’t actually tell you their decision)

If your situation falls under this first possibility,
then you
412
should be automatically discharged. The law states that
unless the BPH acts to retain a person on parole
after PDD,
413
the parolee “shall” be discharged from parole. This
means that parole ends automatically if the414BPH fails to
take action to retain the person on parole. So, if there is
no decision to retain you within 30 days after your PDD,
you should be discharged from parole immediately. If it’s
more than 30 days past your PDD, file a CDCR Form 22
with your parole agent and a CDCR Form 602 appeal with
your parole region’s Appeals Coordinator to resolve this.
For the steps on how to file these forms and start the
appeals process, see the steps on PG. 178.

If your situation falls under this second possibility, the lack of
notice does not invalidate BPH’s decision to retain you on
parole (meaning you415
will still be on parole), but you may still
appeal the decision. If the BPH makes a decision to retain
you on parole without giving you notice of that
decision
416
within the 30-day requirement under the law, you can file a
state petition for a writ of habeas corpus (see Appendix K,
PG. 312 for steps on how to do this). The court may order BPH
to provide you with a copy of the retention decision, which
you can use to challenge BPH’s finding of good
417
cause (through a writ of habeas corpus). See Appendix K,
PG. 312 to learn how to file a writ of habeas corpus in state
superior court. !

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Prison Law Office, The Parolee Rights Manual at 34; see also CDCR, Armstrong Remedial Plan, amended
Dec. 1, 2010, at 93; DOM § 54100.5.
411
This is because the BPH abolished its administrative appeal procedure beginning May 2004. See 15 CAL. CODE
REGS. Art. VI.
412
DOM § 81080.1.1 ("By law, a parolee, unless committed to prison for a "violent felony" under PC 667.5(c), is
discharged if the BPH does not order the parolee retained on parole by the 30th day after completion of one, two,
three, five, or seven years of continuous parole as appropriate to the commitment category.").
413
CAL. PENAL CODE § 3001.
414
In re Torres, 111 Cal. Rptr. 3d 919 (App. 2 Dist. 2010); In re Nesper, 217 Cal. App. 3d 872(1990).
415
In re Stone, 197 Cal. App. 4th 746 (2011); see also People v. Jack, 60 Cal. App. 4th 1129 (1997); In re Ruzicka, 230
Cal. App. 3d 595 (1991); In re Roa, 1 Cal. App. 4th 724 (1991).
416
See DOM § 81080.1.1.
417
See In re Stone, 197 Cal. App. 4th at 754 (2011) (proper remedy for lack of notice is "ordering the Board ‘to
transmit to appellant a copy of the written parole retention record so that he may have the opportunity to pursue
his right of appeal’”) (quoting People v. Jack, 60 Cal. App.4th at 1134). See also In re Ruzicka, 230 Cal. App. 3d at
604 (1991) (“[D]enial of Ruzicka's due process rights [due to lack of notice] can be remedied by an order directing
the DoC to transmit a copy of the written determination record to Ruzicka and afford him an opportunity to pursue
his right of appeal.”).
410

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GENERAL CONDITIONS FOR EVERY PERSON
ON STATE PAROLE:
The general conditions (rules) that apply to you and ALL people on
418
state parole are the following:
•

•
•
•

•
•
•
•
•

•
•

•

•

WHY IS IT
IMPORTANT TO
KNOW AND
UNDERSTAND THE
CONDITIONS OF
MY PAROLE?

Unless other arrangements are approved in writing, you should
It is important to know
report to your parole agent on the first working day following
and understand the
your release.
conditions of your
You must inform your parole agent of your residence,
parole because if you
employment, education, and/or training.
violate any of the
conditions of your
You must report any change or anticipated change to your
parole, you may be
residence (the address where you live) before the change.
arrested, incarcerated
You must inform your parole agent within 72 hours (3 days) of
in a county jail, or
returned to state
any change to your employment—including a change in job
prison, even if you are
location, a change in your employer, or if you are
not convicted of a
terminated/fired/laid off from your job.
new crime. (See CAL.
You must comply with all of your parole agent’s instructions.
PENAL CODE
§ 3000.08(c).
You cannot travel more than 50 miles from your residence
without your parole agent’s prior approval.
You cannot leave your county of residence for more than 48 hours at a time.
You cannot leave California without prior written approval of your parole
agent.
You cannot engage in any illegal activities (which includes any activities that
would violate any state, federal, county, or municipal law). If you engage in
illegal activity, even if you are not convicted of a crime, your parole may be
revoked.
If you are arrested for any felony or misdemeanor crime, you must inform
your parole agent as soon as possible.
You cannot own, use, possess, or have access to:
419
o Any type of gun or ammunition
420
o Any weapon;
o Any knife with a blade longer than two inches, except kitchen knives
(which must be kept only in the kitchen of your home) and knives related
to your employment (which may be used and carried only in connection
with your employment); or
o A crossbow of any kind.
Because you cannot own or have access to or control of any of these
weapons/instruments, if you live with someone who has a gun, weapon,
knife, or crossbow in your residence, you must make sure that the other
person removes those items from the residence, or at least keeps the items
locked in a place to which you don’t have access.
You must waive extradition to the State of California from any other state or
the District of Columbia (Washington, D.C.). This means that you must give up
the right to a formal procedure for returning you to California should you

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CDCR, Notice and Conditions of Parole,
http://www.cdcr.ca.gov/Regulations/Adult_Operations/docs/NCDR/2014NCR/14-03/CDCR%201515.pdf.
419
This includes “any device which a reasonable person would believe to be capable of being used as a gun, or any
ammunition which could be used in a gun.” In addition to CDCR Regulations that govern gun and weapon
ownership while on parole, it is important for you to know that California law makes it a felony for any ex-felon to
own, possess, or have custody or control of any firearm—so this applies even once you are off parole. Federal law
also makes it a crime for an ex-felon to possess a firearm or ammunition that has been shipped or transported
through interstate or foreign commerce. A certificate of rehabilitation (see PG. 34) does not restore the right to
possess a firearm. In some cases, but not all, the right can be restored by a full pardon.
420
You may not own, use, posses, or have access to a weapon as defined in state or federal laws, or any device,
which a reasonable person would believe to be capable of being used as a weapon.
418

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•

•

leave the state and get arrested or taken into custody. In other words, you
421
cannot challenge any effort by California to return you to the state.
If another jurisdiction (another state) has lodged a “detainer” against you
(meaning that other state has ordered you be held there), you may be
released to the custody of that state, which means that California will let that
422
other state take control over your supervision and detention temporarily.
However, if you are released from the other state’s custody before your
California state parole would have ended, or if the other state decides not to
hold you, you must immediately contact the nearest California state parole
423
office for instructions on reporting to a parole agent.
Almost no right against searches or seizures by a probation officer, a CDCR
agent or officer, or any law enforcement/police officer. See the next question
(PG. 166) for more detailed information about searches and seizures while
you’re on parole.

GENERAL CONDITION OF STATE PAROLE: LITTLE
PROTECTION AGAINST INVASION OF PRIVACY,
SEARCHES & SEIZURES
Unfortunately, one of the conditions of parole is that you have almost no right
against searches and seizures by parole officers or other law enforcement, but
you DO have some. Since this is a very important issue in daily life, this section
explains in detail what rights you DO have to privacy from law enforcement
searches.

WHAT ARE MY RIGHTS TO PRIVACY OF MY PERSON,
RESIDENCE, OR PROPERTY WHILE ON PAROLE?
Unfortunately, you lose most of your constitutional rights against searches and
seizures while you’re on parole. Generally speaking, for people OFF PAROLE,
the government and law enforcement cannot unreasonably search you or your
property or take things from you; and if they do search you illegally, it can’t be
424
used as evidence against you in court. BUT ON STATE PAROLE, you have
very few rights when it comes to searches of your property, yourself, or your
residence. If you are on state parole:
• You, your residence, and any property that you possess can be searched or
seized (taken) by a probation officer, a CDCR agent or officer, or any other
peace/police officer, at any time (day or night), with or without a search
425
warrant, and with or without cause —even if other non-parolees live there
426
with you.
• Officers can also search the passenger compartment of any car while you are
427
a passenger, even if you are not the driver or owner of the car.
• If you are placed in custody pending parole revocation proceedings, parole
428
agents and other law enforcement officers may search your property.
The U.S. Supreme Court has upheld these conditions, even though they would
violate the constitutional rights of someone who is not on parole or not under
429
criminal justice.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CDCR, Notice and Conditions of Parole,
http://www.cdcr.ca.gov/Regulations/Adult_Operations/docs/NCDR/2014NCR/14-03/CDCR 1515.pdf.
422
CAL. PENAL CODE § 1389.
423
CDCR, Notice and Conditions of Parole,
http://www.cdcr.ca.gov/Regulations/Adult_Operations/docs/NCDR/2014NCR/14-03/CDCR 1515.pdf.
424
Silverthrone Lumber Co. v. U.S., 251 U.S. 385 (1920).
425
CDCR, Notice and Conditions of Parole,
http://www.cdcr.ca.gov/Regulations/Adult_Operations/docs/NCDR/2014NCR/14-03/CDCR 1515.pdf.
426
See Samson v. California, 547 U.S. 843 (2006); U.S. v. Lopez (9th Cir. 2007) 474 F.3d 1208.
427
People v. Schmitz, 55 Cal. 4th 909 (2012).
428
People v. Hunter, 140 Cal. App. 4th 1147, 1152-53 (2006).
421

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BUT—AND THIS IS A BIG BUT—A search of you, your residence, or your
property that goes outside of the normal rules applied to all citizens
CANNOT be justified if the officers who conducted the search did not
know that you were on parole,430 or did not have “probable cause” to
believe that you lived in the residence that was searched.431 With that
being said, however, if a law enforcement or parole officer knows that
you are on parole, the officer is allowed to assume that you are subject to
a parole search condition, in which a search without a warrant,
reasonable suspicion or probable cause, and without your consent are
permitted, since this is a general condition that applies to all people on
parole.432
WHAT IS
“PROBABLE
CAUSE”?

ARE THERE ANY ADDITIONAL LIMITATIONS ON
SEARCHES WHILE I’M ON PAROLE?
Yes. Even when the officer knows or has probable cause to believe you
are on parole, the one and only limit on parole searches is that such
“searches must be no more intrusive than necessary for a legitimate
433
interest in parole supervision”.
The courts have understood this to mean that parole searches must be
constitutionally “reasonable”—meaning they cannot take place too
often, at an unreasonable time of day, be unreasonably long, or be
434
conducted in an “arbitrary or capricious” (unreasonable) manner.
Searches cannot be motivated by the officer’s dislike of you, nor can
they be used for non-legitimate law enforcement purposes (for example,
435
to harass or embarrass you).
When conducting a parole search of your house, law enforcement
officers must give you notice of the officers’ authority and the purpose in
436
conducting the search prior to entering your house.

WHAT ACTION CAN/SHOULD I TAKE IF A PAROLE OR LAW
ENFORCEMENT OFFICER CONDUCTS A SEARCH THAT I
BELIEVE IS UNLAWFUL?

An officer has
“probable cause”
to search
someone on
parole, their
residence, or their
property when
the officer has
some heightened
knowledge that
they are at the
address where
either the parolee
or the subject of
an arrest warrant
resides.
Motley v. Parks,
432 F.3d 1072,
1079 (9th Cir.
2005) overruled
in part by United
States v. King,
687 F.3d 1189
(9th Cir. 2012).

A person on parole has little recourse (very few legal remedies) when law
enforcement officers conduct an unlawful search because evidence that is
obtained through an unlawful search can still be admitted at a parole revocation
437
hearing. Additionally, it is very rare for a court to even find that parole search
was “unreasonable.”
If you believe that the search is unlawful, you should tell the attorney who is
representing you. At a parole revocation hearing, you and your attorney will be
notified of evidence used against you (see PG. 187 for information on parole
revocation hearings).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
See U.S. v. Grandberry, 730 F. 3d 968, 975 (9th Cir. 2013); Samson v. California, 547 U.S. 843 (2006).
People v. Sanders, 31 Cal. 4th 318 (2003).
Motley v. Parks, 432 F.3d 1072, 1080 (9th Cir. 2005).
432
People v. Middleton, 131 Cal. App. 4th 732, 738-39 (2005).
433
CAL. PENAL CODE § 3067(d); People v. Williams, 3 Cal. App. 4th 1100 (1992); see also U.S. v. King, 687 F.3d 1189
(2012).
434
People v. Reyes, 19 Cal. 4th 743, 753-754 (1998).
435
People v. Clower, 16 Cal. App. 4th 1737, 1741 (1993); see also U.S. v. Follette, 282 F. Supp. 10, 13 (S.D.N.Y. 1968).
436
People v. Constancio, 42 Cal. App. 3d 533 (1974); see also Parsley v. Superior Court, 9 Cal. 3d 934, 938.
437
Pennsylvania Board of Prob. & Parole v. Scott, 524 U.S. 357, 363-364 (1998).
429

430
431

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IN SUM, WHILE YOU ARE ON PAROLE, OFFICERS CAN SEARCH YOU
OR YOUR PROPERTY:
•
•
•

WITHOUT your consent (your permission);
WITHOUT a search warrant;
WITHOUT “probable cause” or even reasonable suspicion that you violated
438
parole.

BUT…
In order to search you or your property, an officer must know or have a reason to
know that you are on parole or some other type of supervision. In court cases on
this issue, judges have said that a search may be illegal if the parole officer
didn’t know or have reason to know the person being searched was on parole.
However, any items that are taken (seized) during the search may still be used
as evidence against you in a later court proceeding or in a revocation hearing.
Still, the search/seizure cannot be more intrusive than reasonable necessary.
If you believe that you were subject to an illegal search, or a search where an
officer did not have knowledge that you were on parole, tell your attorney,
contact a Public Defender’s officer for help, or contact Root & Rebound.

ADDITIONAL RESOURCES FOR LEGAL INFORMATION & HELP:
•

•
•

Root & Rebound: Reentry Advocates
o Phone: (510) 279-4662
o Email: info@rootandrebound.org
American Civil Liberties Union—Northern California
o Phone: (415) 621-2488 (English), 415-293-6356 (español)
American Civil Liberties Union—Southern California:
o Phone: (213) 977-5253

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Samson v. California, 547 U.S. 843 (2006); U.S. v. Lopez, 474 F.3d 1208 (9th Cir. 2007); People v. Reyes, 19 Cal. 4th
743 (1998); see also CAL. PENAL CODE § 3067(b)(3).
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ADDITIONAL LAWS THAT APPLY TO ALL
PEOPLE ON STATE PAROLE
In addition to general conditions, there are additional laws and restrictions on
your civil rights that apply to all people on state parole. These rules
won’t be listed on your CDCR Form 1515, “Notice and Conditions of
IMPORTANT
Parole” (the form your parole agent gives you upon release), but they
DISTINCTION
are just as important.
ABOUT VOTING

WHAT ARE OTHER LAWS & RESTRICTIONS THAT APPLY
TO ME AND ALL PEOPLE ON STATE PAROLE?
Additional laws and restrictions that apply to you and all people on
state parole are:
1) YOU CANNOT VOTE—In California elections, people who are on
parole (or who are currently incarcerated) are not allowed to vote in
439
any elections. (To learn more about voting rights in California, go
to the BUILDING BLOCKS OF REENTRY: ID & VOTING CHAPTER,
PG. 70, to see a chart of who can vote based on the type of
supervision they’re on.) In federal elections, the voting eligibility
laws in the state where you live determine whether or not you have
the right to vote if you have a felony convictions. Since these laws
vary from state to state, if you ever move, you should look into the
state’s voter requirements.
2) YOU CANNOT SERVE ON A JURY—If you have a felony conviction
on your record, you cannot serve on a jury in California, even after
440
you are off parole. Unfortunately, that means you will not be able
to serve on a jury for the rest of your life if you have a felony on your
record.

RIGHTS (AS OF
NOW)!

This voting ban
does NOT apply to
people on county
probation in
California. But this
voting ban DOES
apply to people
sentenced under the
new Realignment
law (AB 109) –
meaning those who
are on Mandatory
Supervision or PostRelease Community
Supervision (PRCS),
and report to county
probation offices
and not parole – but
there is an ongoing
lawsuit challenging
this. See Scott et al.
v. Bowen, No. RG14712570 (Cal. Sup. Ct.
of Alameda Cnty.,
June 05, 2014)
(appeal granted).

Is there any way to get back my right to serve on a jury?
Yes. You may be able to reduce the impact of your felony conviction(s),
including restoring your right to serve on a jury in California. If you are
legally allowed to you may:
(1) Have your felony reduced to a misdemeanor (since misdemeanors
don’t prevent you from serving on a jury in California); or
(2) Apply for a Certificate of Rehabilitation and a Governor’s Pardon at
the same time. If you receive the Governor’s Pardon, you can serve
on a jury again.
(3) Apply directly for a Governor’s Pardon, restoring your right to serve
441
on a jury—and other civil rights—if it is granted. (See the
UNDERSTANDING & CLEANING UP YOUR CRIMINAL RECORD
CHAPTER, beginning on PG. 1020, for more information.)
3) YOU CANNOT BE ON PRISON GROUNDS WITHOUT APPROVAL—In
California, it is a crime for a former prisoner to be on prison grounds for any
442
reason without prior approval of the warden. To get permission to visit,
you must (1) get written approval from your parole officer and send it to the
warden, along with a letter requesting the warden’s permission and a
443
visiting questionnaire (CDCR Form 106, see Appendix M, PG. 318).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. CONST. art. II, § 4; CAL. ELEC. CODE § 2150.
CAL. CODE CIV. PROC. § 203(a)(5). The California Supreme Court has upheld this restriction. See Rubio v. Superior
Court, 24 Cal. 3d 93 (1979) (holding that there is no fundamental right to serve on a jury and that excluding ex-felons
from juries does not violate the Equal Protection Clause because the prohibition is rationally related to the state
goal of assuring impartial verdicts).
441
See CAL. PENAL CODE § 4853; CAL. CODE CIV. PROC. § 203(a)(5).
442
CAL. PENAL CODE § 4571.
443
15 CAL. CODE REGS. §§ 3172(d), 3172.1(b)(4)-(5).
439
440

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GENERAL VS. SPECIAL
CONDITIONS
Aside from the general conditions of parole, are there other special
conditions that could be imposed on me?
Yes. There are discretionary special conditions that your parole officer can
impose on you if they meet certain legal standards (see PG. 289). There are also
mandatory special conditions that are imposed on certain individuals because
California state law requires them to be imposed. Continue reading below for
special conditions further explained.

SPECIAL (EXTRA) CONDITIONS OF
STATE PAROLE: CONDITIONS THAT
ONLY APPLY TO CERTAIN
INDIVIDUALS ON PAROLE
Sometimes, people are given special conditions by the Board of
Parole Hearings (BPH) or their Parole Officer that add EXTRA
limitations to their lives. This section explains when special
conditions can be applied under law, and your rights!

WHO SETS THE SPECIAL CONDITIONS OF PAROLE,
AND HOW DO THEY DECIDE?
The California Department of Corrections and Rehabilitation
(CDCR) and individual parole agents can require you to follow
certain additional, special conditions, which are special rules you
444
must follow while you are on parole.
If you are a “lifer” in California, or if you were released onto parole
before July 1, 2013; or charged with a parole violation before July 1,
445
2013, then the BPH can also require you to follow certain
446
additional, special parole conditions in those cases.
If you are not a “lifer,” County Superior Court judges are in charge
447
of handling parole conditions and revocations of parole.
County Superior Court judges may impose special parole
conditions, but the special conditions must be reasonably
related to (having to do with) the offense for which the person
spent time in prison, or to the risk of each offender’s recidivism,
448
and criminal history.
CDCR imposes different supervision levels on you depending on
whether you are classified as High Control, High Service, Control

DO YOU THINK THAT
A SPECIAL PAROLE
CONDITION IS
VIOLATING YOUR
LEGAL RIGHTS?
Go to PG. 178 to learn how
to challenge a parole
condition, which you can
do either from prison or
when you are out in the
community.

CAN I ASK FOR MY
SUPERVISION LEVEL
TO BE REVIEWED/
REDUCED?
Yes. Most parolees who
complete 180 days of
satisfactory parole will
automatically be assigned
to the “minimum
supervision” category
EXCEPT for people whose
commitment offense is
legally classified as
“violent” (see CAL. PENAL
CODE § 667.5); 290
registrants (see CAL. PENAL
CODE § 290); people with
cases that received a lot of
media or public attention,
and certain gang members
(as documented on CDCR
Form 812-A). If you are not
one of the people who is
automatically assigned to
“minimum supervision”
after 180 days of
completing satisfactory
parole, you can still
request a reduction in
supervision level by asking
the unit supervisor, who
can make a decision on a
case-by-case basis. (CAL.
PENAL CODE § 3504.)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
444
445
446
447
448

See CDCR Form 1515, http://www.cdcr.ca.gov/BOPH/docs/CDCR1515_7-8-2010.pdf.
CAL. PENAL CODE § 3053 et seq.
CAL. PENAL CODE § 3000(b)(7).
CAL. PENAL CODE § 3454-55.
CAL. PENAL CODE § 3454(b).

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Services, or Minimum Supervision (see the footnote below for more information
449
about these four classifications). This impacts what special conditions are
imposed on you. Your supervision level should be reviewed periodically to
450
determine whether it should be changed.

!

It’s also important to know that victims and witnesses can also request special
conditions, including no-contact provisions and/or that you are not paroled to
451
the county where they live. Read more about the special conditions that relate
to victims and witnessed on PG. 181. It’s also likely that BPH or CDCR will place a
no-contact provision for crime partners, preventing you from contacting/seeing
anyone who was your co-defendant in the criminal case.
Lastly, state law requires some special parole conditions for people convicted of
452
certain types of offenses (these special conditions are called mandatory).
Specifically, there are mandatory special conditions for “Sex Offenders” (see
PG. 172 for more information) and mandatory special conditions for “Mentally
Disordered Offenders” (see PG. 176 for more information).

WHAT ARE EXAMPLES OF COMMON SPECIAL CONDITIONS OF
STATE PAROLE?
The most common special conditions for a person on state parole are:
1.
2.
3.
4.

You cannot drink alcohol;
You must submit to drug testing; or
453
You must participate in mental health treatment.
GPS DEVICES– some people on parole will be required to wear GPS
tracking devices (usually, ankle monitors). It is the CDCR’s policy to require
GPS monitoring for:
o Any parolee validated as a member or associate of a prison gang, street
gang, or “disruptive group;”
o Any parolee placed on “High Control” supervision;
o Any parolee with a history of being unavailable for supervision,
absconding (going missing), escalating parole violations, or other such
factors indicating the parolee is likely to commit another crime; and
454
o Any parolee required by the BPH to have a GPS monitoring condition.
Failure to keep the GPS device charged or wear it is a violation of
455
parole. Parolees can be required to pay for the cost of the GPS if they
456
are able to do so.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

15 CAL. CODE REGS. § 3504; see also CDCR, Post-Release (County-Level) Community Supervision,
http://www.cdcr.ca.gov/realignment/Post-Release-Community-Supervision.html. “High control” is the
highest level of supervision, and it is based on the committed offense and prior criminal history. “High
service” is a level of supervision based on service needs and behavioral patterns—this is primarily used
for people requiring special assistance, such as individuals with severe mental or psychiatric problems.
“Control services” is a level of supervision based on the committed offense and prior criminal history,
or service needs and behavioral patterns that do not meet the specifications of “high control.”
“Minimum supervision” is a level of supervision based on committed offense and prior criminal history,
and services needed for behavioral patterns.
450
15 CAL. CODE REGS. § 3504.
451
CAL. PENAL CODE § 3053 et seq.
452
See CAL. PENAL CODE § 3053 et seq. For example, any parolee convicted of a sex offense while intoxicated or
addicted to alcohol is barred from using alcohol. CAL. PENAL CODE § 3053.5. A parolee convicted of domestic
violence must participate in counseling. CAL. PENAL CODE § 3053.2(e)-(i).
453
See 15 CAL. CODE REGS. § 2513.
454
CAL. PENAL CODE §§ 3004(a), 3010-3010.7; 15 CAL. CODE REGS. § 3561.
455
15 CAL. CODE REGS. § 3562.
456
CAL. PENAL CODE §§ 3004(c); 3000.07; 3010.8; 15 CAL. CODE REGS. § 3563.
449

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WHEN WILL I FIND OUT THE CONDITIONS OF MY PAROLE, AND
IF ANY EXTRA (SPECIAL) CONDITIONS HAVE BEEN ADDED?
• WHILE INCARCERATED:
You should find out about the conditions of your parole at least 45
days before your release: your correctional counselor should provide
you with this information in a CDCR Form 1515, “Notice and
457
458
Conditions of Parole.” You will be asked to sign the Form 1515.
You will also be given a copy of Form 1515 for you to keep upon your
release.
If possible, even if you don't agree with a special condition given to
you in the CDCR Form 1515, it is usually best for you to sign Form 1515
and comply with the conditions while at the same time taking the
steps necessary to challenge any disputed condition. If you don't sign
459
the form, you might not get out of prison until the matter is resolved.
• ONCE YOU’RE RELEASED:
When you are out and you first meet with your parole agent, your
parole officer should give you a copy of your Form 1515 to keep and
should explain ALL of the general and special conditions of your
460
parole. It is important that you fully understand your parole
conditions. If you do not understand your parole conditions, ask your
parole agent to clear up and answer your questions or concerns.

REFUSING TO
COMPLY WITH
SPECIAL
CONDITIONS
Your parole may be
revoked for 6
months if you (1)
refuse to give any
required DNA
sample prior to
release or (2) refuse
to sign any
documents
acknowledging a
duty to register as a
sex offender. (See
CAL. PENAL CODE
§ 3060.5).

If your parole officer doesn’t present you with the Form 1515 in your first
meeting, you should ask him or her to do so. Again, it is very important that the
parole agent explains to you your conditions of parole, and if they do not, you
should ask them to.

AM I LEGALLY PROTECTED FROM HAVING CERTAIN UNFAIR
EXTRA (SPECIAL) CONDITIONS IMPOSED ON ME?
Yes. A parole condition is invalid if it fails one of the following 4 legal tests:
TEST 1: A parole condition is invalid if it:
(1) Has no relation to the commitment offense;
(2) Bars conduct that is not in itself criminal; and
(3) Requires or forbids conduct that is not reasonably related to future criminal
461
conduct or activities.
You must show that the condition does not meet any of the 3 factors.
For example, courts have held that if a parolee has no history of alcohol abuse
or committing crimes while intoxicated, alcohol testing cannot be imposed as a

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

15 CAL. CODE REGS. § 3075.2(b)(2)(A).
15 CAL. CODE REGS. §§ 3075.2, 3502. CDCR Form 611 is used for the Release Program Study and CDCR Form 1515
is used to notify parolees of their conditions of parole.
459
Prison Law Office, The Parolee Rights Manual at 17, http://www.prisonlaw.com/pdfs/ParoleeManual,Aug2013.pdf.
459
15 CAL. CODE REGS. 3075.2(b)(3)(B) (“A unit supervisor or higher level staff may place an inmate or parolee refusing
to sign the CDC Form 1515 into custody pending a revocation hearing.”). Although the BPH regulations still contain
a rule that parolees must sign their conditions of parole, it is unclear whether this provision is still enforced in cases
in which the BPH has parole authority.
460
DOM § 81010.16; 15 CAL. CODE REGS. 3075.2(b)(3)(A).
461
People v. Lent, 15 Cal. 3d 481, 486 (1975); People v. Dominguez, 256 Cal. App. 2d 623, 627 (1967). Many of the
relevant cases deal with probation conditions, to which courts usually apply the same analysis as to parole
conditions. See also People v. Petty, 213 Cal. App. 4th 154 (2013) (condition requiring parolee to take psychiatric
drugs invalid where no connection between mental health condition and criminality); People v. Brandao, 210 Cal.
App. 4th 568 (2012) (prohibition on associating with gang members must have connection to parolee’s criminality);
People v. Olguin, 45 Cal. 4th 375 (2008) (condition requiring notification of all pets in home valid to protect
supervising officer’s safety during home visits).
457
458

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condition of parole because using alcohol is not illegal and the condition would
462
not relate to the parolee’s past criminal conduct or future criminality.
TEST 2: A parole condition is invalid if it:
(1) Infringes on (violates) a constitutional right AND
463
(2) Is broader than necessary to promote public safety or rehabilitation.
TEST 3: A parole condition may be invalid if it is excessively broad or so vague
464
that it cannot be understood and followed.
For example, a parole condition prohibiting a parolee from associating with
certain groups of people must include a requirement that the parolee knows or
465
should know that any given individual is part of the prohibited group.
TEST 4: A parole condition is invalid if it limits the type of employment you can
466
have, but does not directly relate to the parolee’s crime.
For example, a parole condition that forbids you from becoming a salesperson
467
because you were previously convicted of fraud for bouncing a check.

SPECIAL CONDITIONS FOR SEX OFFENDERS
IF I MUST REGISTER AS A SEX OFFENDER, WHAT ARE THE
ADDITIONAL MANDATORY CONDITIONS OF MY PAROLE?
The following are the mandatory conditions of parole imposed on sex offenders:
1)

REQUIREMENT TO REGISTER!—Any person required to register as a sex
offender, who “willfully” (intentionally) decides not to register, is guilty of a
468
new criminal charge for failure to register as a sex offender. If you were
originally convicted of a misdemeanor, then the new charge for failure to
register will also be a misdemeanor. If you were originally convicted of a
469
felony, the new charge for failure to register will be a felony. You must
register with the local chief of police (or with the county sheriff if your city
470
doesn’t have a local police department).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

People v. Kidoo, 225 Cal. App. 3d 922 (1990), overruled on other grounds in People v. Welch, 5 Cal. 4th 228 (1993).
People v. Smith, 152 Cal. App. 4th 1245, 1250 (2007).
People v. Fritchey, 2 Cal. App. 4th 829, 838 (1992); U.S. v. Bonanno, 452 F. Supp. 743, 752 (N.D. Cal. 1978). See
also People v. Bauer, 211 Cal. App. 3d 937 (1989) (condition not to become pregnant); People v. Pointer, 151 Cal.
App. 3d 1128, 1139 (1984) (forbidding living with parents); People v. Beach, 147 Cal. App. 3d 612, 622-623 (1983)
(banishing from home); In re Sheena K., 116 Cal. App. 4th 436 (2004) (not associating with anyone disapproved by
officer); People v. O’Neil, 165 Cal. App. 4th 1351 (2008) (same); Hyland v. Procunier, 311 F. Supp. 749 (N.D. Cal. 1970)
(condition to get permission before making speech); Arciniega v. Freeman, 404 U.S. 4, 92 S.Ct. 22 (1971) (not
associating with ex-convicts at work); People v. Garcia, 19 Cal. App. 4th 97, 101-102 (1993) (not associating
knowingly or unknowingly with ex-felons or drug users); In re Justin S., 93 Cal. App. 4th 811 (2001) (not associating
with “any gang members”); In re Stevens, 119 Cal. App. 4th 1228 (2004) (prohibiting use of computers or Internet
when neither used in committing crime); U.S. v. Williams, 356 F.3d 1045 (9th Cir. 2004) (requiring releasee to take
medications); In re H.C., 175 Cal. App. 4th 1067 (2009) (not frequenting areas of gang activity); U.S. v. Soltero, 510
F.3d 858, 867 (9th Cir. 2007) (not associating with members of “disruptive groups”); U.S. v. Wolf Chold, 699 F.3d
1082 (9th Cir 2012) (condition not to live with or be in company of minor under 18 or socialize with minor children).
465
People v. Turner, 155 Cal. App. 4th 1432 (2007).
466
See People v. Burden, 205 Cal. App. 3d 1277 (1988); People v. Lewis., 77 Cal. App. 3d 455 (1978); People v. Keefer,
35 Cal. App. 156 (1972).
467
See People v. Burden, 205 Cal. App. 3d 1277 (1988).
468
CAL. PENAL CODE § 290.018(b).
469
CAL. PENAL CODE § 290.018(b).
470
CAL. PENAL CODE § 290.46.
462
463
464

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2) GPS TRACKER—Any person on parole who is required to register
as a sex offender must wear a GPS tracking device (usually an
471
ankle bracelet) while on parole.
3) RESIDENCY RESTRICTIONS—There are strict residency restrictions
on all parolees who are required to register as sex offenders under
California Penal Code § 290 (“290 registrants”). If required to
register as a sex offender, you cannot reside within 2,000 feet of
472
any school or park where children regularly gather. The CDCR
may also be able to impose other residency restrictions as
special conditions of parole in individual cases based on specific
473
case factors.
4) REQUIREMENTS FOR TRANSIENTS – If you are required to
register as a sex offender, you must re-register every year, within
five business days of your birthday, with the chief of police in the
city where you live (or with the county sheriff if there is no city
474
police department).

!

IMPORTANT! If you are not living in one place (for example, if
you don’t have a stable place to live and/or are homeless), then
parole considers you “transient,” and you must register with the
chief of police in whatever city you are physically present in on
that date (or with the county sheriff if there is no city police
department). If you move to a new city, you must inform the
chief of police (or county sheriff if there is no city police
department) in the city where you have relocated.475 If you don’t
have a stable place to live, you should re-register AT LEAST
EVERY 30 DAYS with the chief of police in the city where you
are currently present (or with the county sheriff if there is no city
police department), no matter how long you have been
physically present in that city.476

IMPORTANT
DEFINITIONS FOR
PEOPLE WHO
MUST REGISTER
AS SEX
OFFENDERS TO
KNOW
• “DISTANCE” is
measured by a
straight line
between the main
entrance of the
residence and the
boundary of the
nearest park or
school, not the
driving or walking
distance. (15 CCR
§ 3571(e)(4).)
• A “transient” is a
person who does
not have a
residence.
• A “residence” is any
place where:
(1) You spend 1 day or
night at the same
address every week
for two or more
weeks in a row;
(2) You spend 2 or
more
consecutive days
or nights living at
the same
address;
(3) You have a key
to the address
“and there is a
pattern of
residency”; or
(4) The parole agent
finds evidence of
your residency
such your
clothes or
toiletries (15 CAL.
CODE REGS.
§ 3590(a).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 3004(b). The statute says that § 290 registrants must be monitored by GPS “for life,” but no law
enforcement agency is designated to do such monitoring once parole has ended and no punishment is authorized.
Also, the GPS requirement does not apply to persons who were both convicted and released from custody prior to
November 8, 2006. Doe v. Schwarzenegger, 476 F. Supp. 2d 1178 (E.D. Cal. 2007); Doe v. Schwarzenegger, No. C
06-06968 JSW (N.D. Cal. Feb. 22, 2007).
472
CAL. PENAL CODE § 3003.5(b). This rule applies to any sex offender released on parole on or after November 8,
2006, even if the most recent term was for a non-sex offense or the parolee was initially released before November 8,
2006, and later re-released after a parole revocation. In re E.J., 47 Cal. 4th 1258 (2010). However, the residency
restrictions cannot be applied to people who were both convicted and released from custody prior to November 8,
2006. Doe v. Schwarzenegger, 476 F. Supp. 2d 1178 (E.D. Cal. 2007).
473
For example, parolees convicted of violating Penal Code §§ 288 or 288.5 cannot live within one half-mile (2,640
feet) of a K-12 school if they are deemed “high risk” by CDCR. CAL. PENAL CODE § 3003(g). Also, a sex offender
parolee cannot live in a single family house with another person who is also a sex offender, unless they are related
by blood, marriage, or adoption. CAL. PENAL CODE § 3003.5(a).
474
CAL. PENAL CODE § 290.012(a).
475
CAL. PENAL CODE § 290.011(a).
476
CAL. PENAL CODE § 290.011(b).
471

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ARE THERE ANY EXCEPTIONS TO THESE MANDATORY SPECIAL
PAROLE CONDITIONS FOR REGISTERED SEX OFFENDERS?
Yes, there are 2 exceptions:
(1) Parole agents are supposed to make exceptions if you are mentally ill and
are either living in a licensed mental health facility or need medical care in a
477
licensed mental health facility.
(2) If you are homeless, you may stay at such locations as bridges,
encampments, and bus stops that are closer than 2,000 feet to a school or
478
park, but you must keep your parole agent informed of your whereabouts.
In addition, if you are homeless, you may stay temporarily at an address
without establishing “residency” if the stay is for approved work, receiving
medical services, or conducting legitimate business (i.e. working or
completing a task at a licensed business, professional, or government
479
building).

IN RE TAYLOR — PROP 83
CHALLENGES
The “Proposition 83” residency restriction on where people
convicted of certain sex offense can live was challenged as being so
unreasonable, vague, and overbroad that it violates constitutional
480
rights. Parolees throughout the state challenged the residency
restrictions. In a number of counties, judges granted individual
parolees temporary relief (excusing them from following that law, and
481
allowing them to live in more places in the county).
In March 2015, the California Supreme Court decided that certain
residency restrictions are unconstitutional as applied to all sex
482
offender parolees in San Diego County. The Court decided that
CDCR may still force conditions on individual sex offenders on a
483
case-by-case basis. We do not know whether the Taylor ruling will
be interpreted as applying only to San Diego County or throughout
the state of California. However, there appear to be strong
arguments that the § 3003.5(b) residency restrictions are at least
unconstitutional as applied in other counties where there is very little
484
affordable Proposition 83-compliant housing available to parolees.
If you are required to register as a sex offender on parole, and learn
about the registry restriction court challenges in your county, you
should contact the Public Defender’s office to find out the status of
local challenges.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

HELP FROM
THE PRISON
LAW OFFCE
The Prison Law
Office also has a
more detailed
information letter
on the status of
these cases and a
sample petition
for writ of habeas
corpus for
challenging the
residency
restrictions. This
letter can be
obtained by
writing to the
Prison Law Office
or visiting its
online Resources
page at

http://www.prisonla
w.com/pdfs/Prop8
3Update,March27,
2015.pdf

15 CAL. CODE REGS. § 3590.1(d).
15 CAL. CODE REGS. §§ 3590.2(a) and 3590.3(b)
15 CAL. CODE REGS. § 3590.1.
480
In re Taylor, 60 Cal.4th 1019 (2015).
481
The counties that have granted relief to individuals include San Diego, Los Angeles, Sacramento, San Francisco,
Contra Costa, & San Bernardino.
482
In re Taylor, 60 Cal.4th 1019 (2015).
483
As of mid-March 2015, it is unclear how CDCR will respond to the Taylor decision. We also do not know if the
CDCR will try to impose special residency restriction conditions on many sex offender parolees.
484
The Prison Law Office, Proposition 83 Update, http://www.prisonlaw.com/pdfs/Prop83Update,March2015.pdf.
477
478
479

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SPECIAL CONDITIONS FOR MENTALLY
DISORDERED OFFENDERS (MDOS)
WHAT DOES IT MEAN TO BE CLASSIFIED AS A MENTALLY
DISORDERED OFFENDER (MDO)—AND WHAT ARE THE
MANDATORY SPECIAL CONDITIONS PLACED ON MDOS ON
STATE PAROLE?
“Mentally disordered offenders” (MDOs) are people who the California
Department of Corrections (CDCR) has determined must receive inpatient
485
treatment from the Department of State Hospitals (DSH) as a condition of their
parole.
To be committed as an MDO on parole, you must:
(1) Be diagnosed with a serious mental illness that causes you to pose a
substantial danger of physical harm to others, AND
486
(2) Have been sentenced to prison for an offense involving violence.

WHO DETERMINES WHETHER A PERSON ON PAROLE IS
CLASSIFIED AS AN MDO, AND WHAT IS THE PROCESS FOR
MAKING THIS DECISION?
There are several steps to the MDO determination process by CDCR:
STEP 1: First, CDCR mental health staff and a DSH psychologist or psychiatrist
487
must screen you for classification as an MDO while you’re in prison.
STEP 2: If both agree that you qualify as an MDO, the CDCR will send
certification papers to the Board of Parole Hearings (BPH) stating that you have
488
been found to be an MDO.
STEP 3: The BPH then notifies the prisoner that he or she will have to undergo
489
DSH inpatient treatment as a condition of parole. The BPH also MUST notify
490
the prisoner of his or her right to challenge the MDO finding.

CAN I CHALLENGE AN MDO DETERMINATION? IF SO, WHAT IS THE
PROCESS?
Yes. You can challenge the MDO finding by requesting a hearing before the
BPH.
If you challenge the finding, the BPH MUST do the following:
1. Have you evaluated by two independent mental health professionals, AND
2. Must hold a hearing in front of a BPH commissioner. At this hearing, the
State of California must prove by a preponderance of the evidence (that it is
more likely than not) that you are a Mentally Disordered Offender—again,
that you are both (1) diagnosed with a serious mental illness that causes you
to pose a substantial danger of physical harm to others AND (2) were

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

The DSH was formerly known as the Department of Mental Health (DMH).
CAL. PENAL CODE § 2962. The definition of a crime involving violence under CAL. PENAL CODE § 2062(e) is broader
than the definition of violent felonies in CAL. PENAL CODE § 667.5(c).
487
CAL. PENAL CODE § 2962(d)(1).
488
CAL. PENAL CODE § 2962(d)(1).
489
15 CAL. CODE REGS. § 2573(c).
490
CAL. PENAL CODE §§ 2966 and 2978; 15 CAL. CODE REGS. §§ 2573-2574.
485
486

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491

sentenced to prison for an offense involving violence. If you want a lawyer
492
at the hearing, the state must provide you one for free.
If, at this hearing, the BPH commissioner determines that you are an MDO, and
you want to challenge that finding, you can file a petition in the local superior
court to demand a jury trial. The BPH must provide a prisoner who requests a
trial with two things: (1) a petition form and (2) instructions for filing the petition.
At trial, you have the right to an attorney for free and the district attorney will
represent the State. The district attorney has the burden of proving “beyond a
493
reasonable doubt” that you met the criteria of being classified as an MDO.

IF I AM FOUND TO BE AN MDO, AND I WANT TO BE SEEN AS AN
OUTPATIENT, IS THAT POSSIBLE?
It might be possible. The normal rule is that if you are found to be an MDO on
parole, you must be placed in inpatient treatment (confined to a state
hospital to live and receive mental health treatment)—unless the
Department of State Hospitals (DSH) finds that you can be treated safely
494
as an outpatient.

WHAT IS THE
“DEPARTMENT
OF STATE
HOSPITALS
(DSH)”?

However, after 60 days in DSH custody, you can request a hearing in
front of a BPH commissioner to ask for outpatient status as an MDO
(where you live in the community but go to a mental health hospital for
495
treatment). At the hearing, the DSH must show by “a preponderance
of the evidence” (that it is more likely than not) that you require inpatient
496
treatment. At this hearing before the BPH, you have the right to a free
497
appointed attorney (called a Panel Attorney) and the appointment of
two independent evaluators, and you may appeal the decision in County
498
Superior Court (see below for more information).

The DSH was
created in 2012 to
take over the
functions of the
now-defunct
Department of
Mental Health
(DMH). DSH
oversees inpatient
mental health
treatment facilities
in California.

IF I AM FOUND TO BE AN MDO, WHEN AND HOW OFTEN IS
MY MDO STATUS REVIEWED?
The Board of Parole Hearings (BPH) must review your status as an MDO when
you reach your presumptive discharge date (PDD) (the date under state
law that you should be discharged early from parole if the BPH doesn’t
find a good reason to keep you: see PG. 155 to learn more about PDDs),
and decide whether or not it recommends that you continue in your
499
MDO inpatient placement or be discharged. If the BPH recommends
that you continue in your MDO placement, it MUST hold re-commitment
proceedings similar to the original MDO commitment procedures (see
PG. 176 for information about the initial MDO classification process that
500
happens in prison before your release). An MDO who is re-committed
multiple times could end up serving his or her entire time on parole in a
501
DSH hospital. Before being re-committed, you’ll receive a written form
502
notifying you of the decision.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

WHAT IS “RECOMMITMENT”?
Re-commitment
refers to the
process by which
DSH decides that
a person is still an
MDO and must be
confined in a DSH
facility for another
year.

CAL. PENAL CODE § 2966(a); 15 CAL. CODE REGS. § 2576(b).
15 CAL. CODE REGS. § 2576(b)(4).
CAL. PENAL CODE § 2966(a)-(b).
494
CAL. PENAL CODE § 2964.
495
CAL. PENAL CODE § 2964(b).
496
CAL. PENAL CODE § 2964; 15 CAL. CODE REGS. § 2578.
497
More information on Panel Attorneys see
http://www.cdcr.ca.gov/BOPH/docs/Attorney_Orientation/Panel_Attorney_Program_Guide.pdf.
498
CAL. PENAL CODE § 2964(a) and (b); 15 CAL. CODE REGS. §§ 2576, 2578. Your email must be made within sixty days
of the BPH’s determination that your are an MDO.
499
15 CAL. CODE REGS. §§ 2535 and 2580.
500
15 CAL. CODE REGS. § 2580(b)-(c).
491
492
493

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CAN THE DEPARTMENT OF STATE HOSPITALS (DSH) HOLD ME
BEYOND MY MAXIMUM DISCHARGE DATE (MDD)?
Possibly. If you are classified as an MDO and reach your parole’s maximum
discharge date (MDD) (The MDD is the maximum parole term as set by statute,
after which the parolee must be discharged see PG. 155), the DSH can seek to
continue the mental health commitment (meaning you have to stay in inpatient
503
treatment) for 1 more year.
If your MDO commitment is continued for an additional year, the DSH can
504
continue to seek re-commitment every year. If the DSH seeks to continue your
MDO commitment, the district attorney (prosecutor) will argue on behalf of DSH/
the State. You will also be appointed an attorney and a jury trial in county
Superior Court. At the trial, the district attorney must prove that you still meet
the MDO criteria—that you are still both: (1) diagnosed with a serious mental
illness that causes you to pose a substantial danger of physical harm to others
505
AND (2) were sentenced to prison for an offense involving violence.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
CAL. PENAL CODE § 2970(e).
CAL. PENAL CODE § 2972.1.
CAL. PENAL CODE § 2970(a).
504
CAL. PENAL CODE § 2970.
505
The burden of proof in an MDO hearing is “beyond a reasonable doubt”—this means that in order for your to be
re-committed, the district attorney must prove, beyond a reasonable doubt, that you are still both: (1) diagnosed
with a serious mental illness that causes you to pose a substantial danger of physical harm to others AND (2) were
sentenced to prison for an offense involving violence. CAL. PENAL CODE § 2970.
501
502
503

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HOW TO CHALLENGE STATE PAROLE
CONDITIONS
HELPFUL HINT
It’s suggested that you sign the Form 1515, and then
challenge the condition later. Don’t refuse to sign!
First, while you can and should challenge a condition of
parole that you believe is unlawful, it is usually best for you to
sign the “Notice and Conditions of Parole” (CDCR Form 1515,
see example of this form in Appendix G, PG. 302) and comply
with them while taking the steps necessary to challenge the
disputed condition. Otherwise you may end up having to
spend additional time in custody while the matter is being
resolved.

HOW COULD I CHALLENGE A CONDITION OF
PAROLE THAT I BELIEVE IS UNLAWFUL AND
INVALID?
•

IF THE CONDITION WAS PUT ON YOU BY BPH:

If you want to challenge a BPH decision or parole condition set by
BPH, you do not need to file any administrative appeal UNLESS
the issue involves a disability. This is because the BPH has no
general administrative appeal process, so you can immediately
challenge a BPH decision by filing a state petition for writ of
habeas corpus in the Superior Court in the county of your parole.
Again, to learn when & how to file a state petition for writ of habeas
corpus, see Appendix K, PG. 312, at the end of this chapter.
•

IF THE CONDITION WAS PUT ON YOU BY PAROLE:

STEP 1:

APPEAL THE CONDITION:

To challenge a parole condition, you generally must start by filing a
CDCR Form 22, “Request for Interview, Item, or Service,” (see
sample in Appendix I, PG. 308) and an administrative appeal, on
CDCR Form 602. It’s best to file the Form 22 at the same time as
the Form 602 appeal because the Appeals Coordinator may screen
506
out a formal 602 appeal if you do not first submit a Form 22.
The 602 administrative appeal may solve the problem, but even if
it does not, courts usually will not consider a lawsuit challenging a
CDCR decision unless the parolee has “exhausted administrative
507
remedies.” Once you get a response, you should file the first
level of 602 administrative appeal and go through all three levels
of appeal, if necessary.
There are some circumstances in which you may bring a court
challenge without first filing an administrative appeal. These
include situations where:

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

15 CAL. CODE REGS. § 3084.6(e)(2).
See In re Dexter, 25 Cal. 3d 921, 925 (1979); In re Muszlaski, 52 Cal. App. 3d 500, 503 (1975).
506

PAGE 178 OF 1210

REMINDER OF THE
LEGAL TEST FOR
ADDING EXTRA
(SPECIAL) CONDITIONS
TO YOUR PAROLE:
The courts have held that
conditions of parole are
invalid if they don’t meet
the following 4 tests:
TEST 1: A parole condition
is invalid if it:
• Has no relation to the
commitment offense;
• Bars conduct that is not
in itself criminal; and
• Requires or forbids
conduct that is not
reasonably related to
future criminal conduct
or activities.
You must show that the
condition does not meet
any of the 3 factors. For
example, courts have held
that if a parolee has no
history of alcohol abuse or
committing crimes while
intoxicated, alcohol testing
cannot be imposed as a
condition of parole
because using alcohol is
not illegal and the
condition would not relate
to the parolee’s past
criminal conduct or future
criminality.
TEST 2: A parole condition
is invalid if it infringes on
(violates) a constitutional
right AND is broader than
necessary to promote
public safety or
rehabilitation.
TEST 3: A parole condition
may be invalid if it is
excessively broad or so
vague that it cannot be
understood and followed.
For example, a parole
condition prohibiting a
parolee from associating
with certain groups of
people must include a
requirement that the
parolee knows or should
know that any given
individual is part of the
prohibited group.
TEST 4: A parole condition
is invalid if it limits the type
of employment you can
have, but does not directly
relate to the parolee’s
crime.

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•
•
•

There is no administrative remedy (for example, because the condition is
required by a state law);
An administrative appeal would not give you any relief; OR
508
Delay could cause you irreparable harm such as risk of serious injury.

STEP 2: If your complete Step One and your 602 appeal is denied,
you can then file a state writ of habeas corpus.

WHAT IS A
“WRIT OF
HABEAS
CORPUS”?

WHEN? You may consider filing a writ of habeas corpus when
authorities or state officials have violated the federal Constitution or
statutes or California’s Constitution, statutes, or regulations.
HOW? See Appendix K, PG. 312 to learn how to file a state petition for a
writ of habeas corpus.
OTHER RESOURCES TO HELP YOU: A state court habeas form and more
information about state habeas cases can be found in the Prison Law
Office’s State Habeas Corpus Manual. The manual can be obtained for
FREE by writing to the Prison Law Office (at General Delivery, San
Quentin, CA 94964) or by visiting its website at:
http://www.prisonlaw.com/pdfs/STATEHABEAS2008.pdf.

A writ of habeas
corpus is when
you petition a
court, asking it to
determine
whether a parole
condition is legal
or not.

HOW COULD I CHALLENGE A PAROLE CONDITION THAT IS A
PROBLEM FOR ME BECAUSE OF A DISABILITY THAT I HAVE?
If you cannot satisfy a parole condition because of a disability that you have, or if
the parole condition is unfair to you because of your disability, the steps to
challenge that condition are different than the appeals process discussed on
PG. 178. To challenge a parole condition related to a disability that you have, you
will first want to figure out which agency put the condition on you—Parole or the
BPH—because the steps for challenging it are different depending on who put
the condition in place.
IF THE CONDITION WAS PUT ON YOU BY PAROLE: You should file a CDCR
Form 1824 Request (NOT a Form 22 and Form 602 appeal) (see a sample copy
of that form in Appendix Q, PG. 326). See the section on “DISABILITIES” below
at PG. 184 to learn more about that procedure.
IF THE CONDITION WAS PUT ON YOU BY THE BOARD OF PAROLE HEARINGS
(BPH): Normally you don’t need to file an appeal to challenge a parole condition
that the BPH put on you, but it’s different if that condition relates to your
disability or an accommodation that you need. To challenge a BPH condition
related to your disability, you should fill out BPH Form 1074 “Request for
Reasonable Accommodation,” (see a sample copy of that form in Appendix R,
PG. 329), and send it to the BPH’s ADA Coordinator at:
BPH ADA COORDINATOR
1515 K Street, Suite 600
Sacramento, CA 95814
If the response from the BPH is unsatisfactory (doesn’t solve the issue), you can
submit you appeal to the Second and Third levels of appeal.
Find the forms you need online here:
http://www.cdcr.ca.gov/BOPH/Inmates_w_Disabilities_Resource.html

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Glendale City Emp.’s Ass’n, Inc. v. Glendale, 15 Cal. 3d 328, 342-43 (1975); In re Serna, 76 Cal. App. 3d 1010
(1978).
508

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IF YOU ARE UNSURE IF PAROLE OR THE BPH PUT THE CONDITION ON
YOU:
Ask your parole agent if it was Parole or the BPH, and then follow the appeals
process for challenging conditions related to your disability explained above.

ADDITIONAL RESOURCE
The Prison Law Office, a nonprofit organization that works on prisoners’ rights
issues, also has a detailed information letter describing the rules, timelines, and
procedures for pursuing administrative appeals. The letter can be obtained at no
cost by writing to the Prison Law Office at:
Prison Law Office
General Delivery
San Quentin, CA 94964
OR by visiting the Prison Law Office’s online Resources page at:
www.prisonlaw.com

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TRANSFER LOCATIONS ON STATE PAROLE
In this section, you will learn how to request that your parole be transferred:
from one county to another county, or from California to a different state. Keep
reading to learn more!

I WANT TO TRANSFER MY PAROLE TO ANOTHER COUNTY. HOW
CAN I DO THAT?
You can request a transfer to another California county while you are still
incarcerated (recommended!) or after you are out and living in the
community. If your transfer request is denied, you may challenge the
denial by filing a 602 appeal (see above PG. 156).

HELPFUL TIP—
REQUEST
TRANSFER
WHILE
INCARCERATED:

HOW TO REQUEST WHILE YOU’RE INCARCERATED:
While you are still incarcerated in CDCR, it’s best to go to your
correctional counselor to help you navigate your transfer request.
You should ask him/her to submit a Transfer Investigation Request
form (TIR). The correctional counselor will submit your TIR to the
Board of Parole Hearings (BPH), which generally dsicusses it with the
District Attorney responsible for your case, to make a final decision.
Try to work with the correctional counselor as much as possible.
You should explain why being in a different county will help you be
more successful living in the community. You should also provide
supporting documents (such as letters from supportive family
members, a doctor, a prospective employer) verifying the reasons that
the transfer would be beneficial to your rehabilitation and reentry, and
submit these supporting documents along with the correctional
509
counselor’s Transfer Investigation Request (TIR) to the BPH.

If possible, you
should make the
request for transfer
while you are still in
prison—when the
Release Program
Study (CDCR Form
611) is being
prepared. For more
information about
Form 611, the
“Release Program
Study,” see
Appendix S
PG. 332.

The BPH could deny your request to transfer your parole to another county if:
1.) It believes denying your request will better protect the safety of the victim;
2.) It believes denying your request will better protect the public’s safety;
3.) You don’t have verified work or educational program in your requested
county;
510
4.) You don’t have family/ a support stem in your requested county
HOW TO REQUEST AFTER YOU ARE RELEASED:
You should submit a verbal or written request to your parole agent. We
recommend a written request, and making a copy and keeping it in a safe
place—just in case you don’t hear back and need to follow up and need a paper
trail. There is no special form that you need to use for this request; your request
can just be submitted as a standard dated letter. See the next question to learn
about how your request should be processed by parole after it is received.
You should explain to your parole officer why being in a different county will
help you be more successful living in the community. You should also provide
supporting documents (such as letters from supportive family members, a
doctor, or a prospective employer) verifying the reasons that the transfer would
511
be beneficial to your rehabilitation and reentry.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 3003(b)(3)-(4).
CAL. PENAL CODE § 3003(b). If you receive treatment pursuant to Penal Code section 2960—BPH may also deny
your transfer request if your requested county doesn’t have the necessary outpatient treatment programs.
511
CAL. PENAL CODE § 3003(b)(3)-(4).
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What should my parole agent do after I submit a verbal or written
request to transfer counties?
A parole agent who receives a transfer request should prepare a
Transfer Investigation Request form (TIR) and submit it to the parole unit
supervisor. The supervisor should then consider the following factors:
• Any need to protect the safety of the parolee, a victim, a witness, or
other person;
• Any public concern that would reduce the chance that parole would
be successfully completed;
• A verified work offer or an educational or vocational program;
• The existence of family with whom you have strong ties and whose
support would increase the chance that you would successfully
complete parole; and
• The presence or lack of any needed mental health treatment
512
programs.

HELPF UL HINT
Because there is a limit on the number of “out-of-county” parolees who may be
supervised in each county (meaning there’s a limit on transfers), once again,
your request to transfer parole to another county in California may be denied
even if some or all of these factors are favorable. It is best to put the strongest
application possible forward, and to get as much support as you can, especially
from your Parole Agent, correctional counselors, and anyone else you know
working for the government—including judges, District Attorneys, Public
Defenders, etc. It would also be great to get the support of leaders from the
community you are hoping to transfer to.

I WANT TO TRANSFER PAROLE TO ANOTHER STATE.
HOW CAN I DO THAT?
First, some background: a legal agreement between all of the states
called the Interstate Compact for Adult Offender Supervision sets out
the rules for transferring parole from one state to another (called
513
“interstate parole transfer”). The Interstate Compact applies in all 50
514
states, Puerto Rico, and the U.S. Virgin Islands. If you are classfied
as a sex offender, there are special rules that apply to you in
requesting to transfer your parole to a different state (see PG. 183).
IF YOU ARE CURRENTLY INCARCERATED:
The earliest that California can send an interstate transfer request for
you is 120 days before your expected release date (ERD) from
515
prison. The receiving state is supposed to respond within 45 days of
516
receiving a transfer request. The process can be sped up in an
517
emergency.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

NOTE ABOUT
INTERSTATE
TRANSFERS:
The Interstate
Compact for Adult
Offender
Supervision also
governs the rules for
all interstate
transfers of state
probation, including
PRCS and
Mandatory
Supervision. See
PG. 208 of this
chapter for more
information on those
types of county-level
supervision.

CAL. PENAL CODE § 3003(b).
CAL. PENAL CODE §§ 11180, 11181.
An Interstate Commission has developed rules for transfer eligibility and supervision. The Interstate
Commission’s rules have the same effect as statutory law and are mandatory in the states that adopted them. All
state officials and state courts must carry out the terms of the Compact and comply with these rules. To the extent
that state statutes, rules, or policies conflict with the terms of the Compact or rules created by the Commission to
carry out the Compact, then such statutes, rules, or policies are superseded by the Commission’s rules to the extent
of any conflict. More Information on the Compact and rules made by the Interstate Commission for Adult
Supervision and California State Council can be found at www.interstatecompact.org.
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513
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IF YOU ARE FORMERLY INCARCERATED:
If you are out and living in the community, you may request to transfer your
parole to a new state if you meet basic eligibility requirements. Read about
those requirements below, and follow these steps:
STEP 1: Generally speaking, you must meet the basic eligibility requirements to
request to transfer your parole to a different state. The basic requirements are:
1) You have three or more months left to serve on parole at the time you
submit your application to the state you wish to transfer to.
2) You have not had parole revoked and have no pending parole revocation
charges.
3) You were previously a resident of the receiving state for at least 1 year OR
you have family that lives in the state who are willing and able to assist you;
and
4) You can obtain employment or have another means of support.
NOTE: Technically, if you do not meet these requirements, California and the
state you wish to transfer to may still agree to transfer your parole if there is a
518
very good reason (“good cause”) to do so.
STEP 2: Request the transfer. If you meet the eligibility requirements above, you
must request a transfer verbally or in writing from your parole agent. Again, we
suggest making a written request to have a paper trail, and making a copy of
your request and keeping it in a safe place.
STEP 3: Your parole agent determines whether or not you meet the basic
eligibility requirements.
STEP 4: Your parole agent must submit a Transfer Request to CDCR’s California
Interstate Compact Unit in Sacramento, CA for review.
STEP 5: If California approves the transfer, it will be sent to the receiving state
for review. It is then up to the state you wish to transfer to whether or not to
519
accept you for parole supervision.
STEP 6: If approved by both California AND the state you wish to transfer to, you
520
will then be transferred.
SPECIAL RULES FOR SEX OFFENDERS TO TRANSFER PAROLE TO NEW STATE:
In addition to the rules laid out above, there are additional special rules for
521
transferring states if you are registered as a Sex Offenders.
STEP 1: To get the process started, you should talk to your correctional
counselor (if you are still incarcerated) or your parole agent (if you are out on
parole).
STEP 2: The parole agent should determine whether you meet the eligibility
requirements.
STEP 3: If the requirements are met, the parole agent should submit a transfer
application to the CDCR’s Interstate Compact Unit in Sacramento, CA.
STEP 4: If the CDCR approves the transfer application, the request will be sent to
522
the receiving state.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
Rules Adopted by the Interstate Commission for Adult Supervision (hereinafter ICAOS), Rules 3.101 and 3.105
ICAOS Rule 3.104.
ICAOS Rule 3.1046.
518
ICAOS Rule 3.101-2.
519
ICAOS Rule 3.101.
520
See DOM § 81060.1 et seq. for details on CDCR’s procedure for handling applications from parolees for out-ofstate transfers. See ICAOS Rules 102-3.109.
521
For additional rules see ICAOS Rule 3.101-3.
522
See DOM § 81060.1 et seq. for the CDCR’s procedure for handling applications from parolees for out-of- state
transfers. See also ICAOS Rules 3.102-3.109. Further information can be obtained from the CDCR Interstate
Compact Unit, P.O. Box 942883, Sacramento, CA 94283.
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YOUR RIGHTS AS A PAROLEE WITH A
DISABILITY
I HAVE A DISABILITY. WHAT RIGHTS DO I HAVE ON STATE
PAROLE TO GET ACCOMMODATIONS FOR MY DISABILITY?
523

The Americans with Disabilities Act (ADA) and California state law protect you
524
from discrimination due to your disabilities. There are specific rules and
procedures that govern your rights (these apply to both prisoners AND parolees
in California):
• The rules for parolees with physical disabilities (such as mobility,
PRACTICAL TIP IF
hearing, and vision disabilities) and learning disabilities are in the
YOU ARE
Armstrong Remedial Plan (January 3, 2001, amended December 1,
CURRENTLY
INCARCERATED,
2010), § IV.S.
PREPARING FOR
• The rules for parolees with developmental disabilities are in the
RELEASE, AND
Clark Remedial Plan (March 1, 2002), § VIII.
REQUIRE A
DEVICE FOR
YOUR DISABILITY:

HOW WILL MY PAROLE OFFICER KNOW ABOUT MY
DISABILITY & ANY ACCOMMODATIONS THAT I NEED?

Your correctional counselor in the prison must notify your parole agent
about your disability and related special needs by giving information
about your disability on CDCR Form 611, “Release Program Study” (see
copy of form in Appendix S, PG. 329) and accompanying forms that
explain the accommodations you will require (CDCR Form 1845 for
physical disabilities (example in Appendix T, PG. 335) and CDCR Form
128C-2 for developmental disabilities (example in Appendix U,
PG. 338). If the information about your disability is not on your Release
Program Study (Form 611), tell your correctional counselor (if you’re still
incarcerated) or your parole agent (if you’re out) about it. If, after you
talk to your corrections counselor or parole agent, your disability is not being
recorded and accommodated, file an appeal. The process for filing an appeal
can be found below on PG. 185.

The prison staff
often fail to give you
the device you need
for your disability
when you are
released. If this
happens to you,
inform your parole
agent immediately
and file a disabilityrelated appeal on
CDCR Form 1824
(read more about
this special appeals
process below on

WHAT KINDS OF ACCOMMODATIONS MUST PAROLE MAKE FOR
ME IF I HAVE A DISABILITY?
If you have a disability, parole staff must make the following accommodations:
1.

First, parole staff must make sure that you receive “effective
communication” during all orientations, interviews, and supervision
meetings, and when you are notified of conditions of parole and registration
requirements. This means that parole staff must provide any help necessary
for you to understand the information that is being communicated. Examples
525
include:
o Assistance by a sign language interpreter for a hearing- impaired
person;
o Reading aloud of written materials for a vision-impaired person; or
o Simplifying information for a developmentally disabled person.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
523
524
525

CAL. GOV’T CODE § 11135 (2011).
42 U.S.C. § 12131 et seq.
Armstrong v. Brown Remedial Plan at 4, Bd. of Parole Hearings, Cal. Dep’t of Corr. & Reh.

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2. Second, parole staff must make reasonable changes to procedures so that
you can receive services in a location that is accessible to you. For example:
o If a disability makes it difficult for you to get to the parole office, the
parole agent should meet you somewhere else, such as at your home.
o If the parole agent refers you to community service such as a drug
treatment center, job center, or literacy center, the parole staff should
make sure that you can actually get to the programs and services
offered.
o If you are required to attend a program at the parole office (such as an
outpatient clinic), that program must be accessible considering your
special needs.
3. Third, if you are a prisoner who uses a wheelchair or other healthcare
appliance (such as a cane, prosthesis, eyeglasses, or prosthetic eyes), you
have the legal right to keep the device when you leave prison, even if the
state provided you with the device.
4. Fourth, if you are transported somewhere while you are out on parole, the
parole staff must consider all of your disability needs in determining the
mode of transportation to use.
5. Lastly, if parole staff arrests you while you are on parole, they must take your
disability into account in placing you under any physical restraints. For
example:
o If you need to use a cane, the parole agent should not cuff you behind
your back.

IF PAROLE IS NOT ACCOMMODATING MY DISABILITY AND I FEEL
I AM NOT GETTING FAIR TREATMENT OR EQUAL ACCESS TO
PAROLE SERVICES OR PROGRAMS, WHAT CAN I DO?
There is a special CDCR appeals process if you are a person with a disability
asking for fair treatment or asking to get access to parole services or programs.
526
Follow these steps:
STEP 1: Fill out CDCR Form 1824 “Request for Modification or Reasonable
Accommodation” (a yellow form, see Appendix Q, PG. 326). If you cannot fill out
the form due to your disability, ask your parole agent, an advocate, or a friend or
family member for help. All parole offices should have this form available. You
do not need to request an informal review through Form 22 before filing a Form
1824 (as you do with a 602 appeal).
STEP 2: If you get a First Level response from parole denying your request, you
can appeal to the Second Level by attaching the original CDCR Form 1824 (find
a sample copy in Appendix Q, PG. 326) to a regular CDCR Form 602
administrative appeal (find a sample copy in Appendix J, PG. 309), filling out
Section F of CDCR Form 602. Send both forms to the Regional Parole
Administrator (See Appendix D, PG. 309 for their contact information).
STEP 3: If you get a Second Level response denying your request, you can send
the appeal to the Third Level for review.
STEP 4: If you get a Third Level response denying your request, that means you
have “exhausted” (completed) all three levels of the 1824 disability appeals
process, and you can bring the issue to court by filing a state petition for a writ
of habeas corpus in the superior court of the county of your parole. See
Appendix K, PG. 312) to learn how! Find the necessary forms online here:
http://www.cdcr.ca.gov/BOPH/Inmates_w_Disabilities_Resource.html.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
526

Armstrong v. Brown Remedial Plan at 4, Bd. of Parole Hearings, Cal. Dep’t of Corr. & Reh.

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WHAT RIGHTS DO I HAVE DURING A PAROLE REVOCATION
HEARING TO ACCOMMODATE MY DISABILITY?
Under the Americans with Disabilities Act (ADA), you have the legal right to
527
reasonable accommodations during parole violation/revocation proceedings.
Examples of accommodations include:
•
•
•
•

Ensuring access to the hearing room for a parolee with mobility impairments;
Providing Braille, taped documents, or reading assistance for a visionimpaired parolee;
Providing assistance in communicating for a developmentally disabled
parolee; OR
528
Providing sign language interpretation for a hearing-impaired parolee.

Just like all other aspects of parole, the CDCR’s parole staff must use “effective
communication” and provide reasonable accommodations when interacting with
you. That means that they must use effective communication and provide
reasonable accommodations when:
1) Arresting you;
2) Modifying your conditions of parole; or
529
3) Imposing sanctions like flash incarceration.

KEEP IN MIND:
If you are a disabled parolee who is having problems receiving help from parole
staff, you can submit a CDCR Form 1824, “Request for Modification or
Reasonable Accommodation,” (read more about this process on PG. 185 above).
CDCR parole staff should also alert jail staff and the attorney appointed to you
530
about what your needs are when revocation proceedings begin.
In the courtroom, your attorney and the court should be responsible for ensuring
531
your needs are met throughout the court process.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

42 U.S.C. § 12131 et seq.
See Prison Law Office, The Parolee Rights Manu (updated Aug. 2013) at 43,
http://www.prisonlaw.com/pdfs/ParoleeManual,Aug2013.pdf
529
See Armstrong Remedial Plan (Jan. 3, 2001), § IV.S; Clark Remedial Plan (Mar. 1, 2002), § VIII.
530
See Armstrong Remedial Plan (Jan. 3, 2001), § IV.S; Clark Remedial Plan (Mar. 1, 2002), § VIII.
531
See Armstrong Remedial Plan (Jan. 3, 2001), § IV.S; Clark Remedial Plan (Mar. 1, 2002), § VIII.
527
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STATE PAROLE VIOLATIONS & REVOCATIONS
Under AB 109, California’s “Realignment” law, there were major changes to the
procedures required for California state parole revocations. These changes took
532
effect on July 1, 2013. The new rules for revocation hearings laws are
explained in this section.

WHAT WERE THE MAJOR CHANGES TO THE WAY THAT PAROLE
REVOCATION HEARINGS WORK UNDER REALIGNMENT (AS OF
JULY 1, 2013)?
1. CHANGE TO WHO HEARS THE CASE
The biggest change is that local county Superior Courts are now responsible for
533
hearing most parole revocation cases. Before July 1, 2013, the Board of
Parole Hearings (BPH) was responsible for hearing all parole revocation
cases, and now that responsibility has shifted to the courts for most
534
cases. County Superior Court judges will be the ones hearing these
535
cases in state court. One of the ideas behind this change was to create
more transparency and fairness in parole revocation hearings—by having
an independent, unbiased judge hear the case and weigh the evidence.
However, the BPH will continue to hear certain cases. The BPH will
continue to hear:
• Parole consideration for lifers (also called “parole suitability hearings”);
• Medical parole hearings;
• Cases regarding mentally disordered offenders” (MDOs); and
• Cases regarding “sexually violent predators.”

NOTE FOR
“LIFERS”:
This change in
the law means
that if you were
a “lifer” in
prison, your
parole
revocation
hearing will be
before the BPH,
not the local
county superior
court.

2. CHANGE TO WHERE YOU SERVE A SENTENCE FOR A PAROLE VIOLATION
• If your parole is revoked for a parole violation that occurred on or after July 1,
2013, you will be sentenced to COUNTY JAIL, not state prison.
• If your parole is revoked for a parole violation that occurred before July 1,
2013, you would have been sent back to state prison, so this is a big change
in the law!
• THERE IS ONE EXCEPTION: If you are a parolee classified as a “serious
offender” (meaning you were a life-term prisoner under California Penal
Code § 3000.1 or convicted of certain types of sex offenses under California
Penal Code § 3000(a)(4), you will be sent back to CDCR to serve time in state
prison for a parole revocation, and then you will go back to the BPH, who
retains jurisdiction, for future consideration in determining whether or not to
536
discharge you back onto parole.
3. HOW LONG YOU SERVE YOUR SENTENCE
If you serve your parole violation (revocation) term in country jail, you will serve a
537
MAXIMUM of 180 days. Most people do serve their parole revocation terms in
county jails.
But, if you are a former lifer, you may be sentenced to a maximum of 12 months
538
in prison for a parole violation. People who have maximum parole periods that

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Cal. Dep’t of Corr. & Reh., Fact Sheet: 2011 Public Safety Realignment,
http://www.cdcr.ca.gov/realignment/docs/realignment-fact-sheet.pdf.
533
CAL. PENAL CODE § 3000.08(a).
534
CAL. PENAL CODE § 3000.08(j).
535
CAL. PENAL CODE §§ 1203.2(b)(1) and (f).
536
CAL. PENAL CODE § 3000.08(f)(1).
537
CAL. PENAL CODE § 3000.08.
537
CAL. PENAL CODE § 3056(a).
538
CAL. PENAL CODE § 3057(e).
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are life-long (some people convicted to sex offenders or murder) may be
sentenced to up to a year in prison for revocations, unless, at sometime during
that year sentence, BPH determines that the person should be incarcerated
539
longer.

IF I AM SUSPECTED OF A PAROLE VIOLATION, WHO HAS THE
AUTHORITY TO ARREST ME? DO THEY NEED A WARRANT TO
ARREST ME?
A parole agent or police officer can arrest you if he or she has probable cause
(meaning a reasonable belief of a prudent person based off of the specific
540
facts) to believe you violated a condition of parole. BUT the arresting
agent/officer does not need a warrant. A judge in the court COULD issue a
warrant, but does not have to. (CAL. PENAL CODE § 3000.08(c)). If the parole
officer suspects that you have violated a term of your parole, then you can be
arrested by a parole agent or peace office at any time until the judge makes a
final decision about your guilt or innocence of the case (called a “final
541
disposition”).

WHAT HAPPENS IF I AM ARRESTED FOR AN ALLEGED PAROLE
VIOLATION?
Here is what you can expect if you are arrested for an alleged parole violation:
1)

After an arrest, a CDCR parole agent can place you on “hold”— meaning
542
place you in jail pending further proceedings.
2) Once you are on “hold,” CDCR parole staff then decides if there is probable
cause to believe that you violated the law or a condition of your parole. The
staff does not have to hold a hearing or give you a chance to provide more
543
information, but they have to come to this decision among themselves.
3) It depends whether or not CDCR staff finds probable cause when they look
over the alleged violation.
a) If CDCR staff does not find probable cause, you will be re-released on
544
parole.
b) If CDCR staff does find probable cause, they must decide whether
“intermediate sanctions” can address the violation, or whether a formal
revocation proceeding needs to happen. Intermediate sanctions might
include:
c) New parole conditions;
d) Sending you to a special reentry court;
e) Requiring your participation in treatment or rehabilitation programs; or
f) “Flash incarceration”—which is detention in the county jail for up to 10
545
consecutive days.
4) If CDCR staff decides that intermediate sanctions are not enough, they will
546
file a formal parole revocation petition in the local superior court.
a) The CDCR’s petition should describe:
i) The relevant conditions of parole;
ii) The circumstances of the violation;
iii) The history and background of the parolee; and

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
539
540
541
542
543
544
545
546

CAL. PENAL CODE § 3000.1(d).
See Brinegar v. United States, 338 U.S. 160, 175 (1949).
CAL. PENAL CODE § 3000.08(c).
CAL. PENAL CODE §§ 1203.2(a), 3000.08(c), and 3056; People v. Woodall, 216 Cal. App. 4th 1221 (2013).
CAL. PENAL CODE § 3000.08(d).
CAL. PENAL CODE § 3000.08(c).
CAL. PENAL CODE §§ 3000.08(d)-(f).
CAL. PENAL CODE § 3000.08(f).

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iv) Parole staff’s recommendations for disposition (meaning there
recommendations on what the outcome of the parole revocation
petition should be).
b) At this point, CDCR staff should inform you of your rights, including: (1)
the right to consult with an attorney, and (2) that if you don’t have the
money to hire an attorney, you have the right to have the court provide
you a free attorney (the Public Defender will be appointed). We
recommend that you consult with an attorney or public defender before
waiving any rights.

!

IMPORANT: CDCR may inform you that you have the right to waive both your

right to an attorney and your right to a hearing, admit the parole violation, and
accept the CDCR’s proposed revocation term (sometimes called a “screening
547
offer”). The waiver of an attorney or hearing must be in writing. AGAIN, WE
RECOMMEND THAT YOU ASK TO SPEAK TO AN ATTORNEY, AND IF YOU
CANNOT AFFORD ONE, THAT YOU WAIT FOR YOUR FREE ATTORNEY TO
COME MEET WITH YOU. Please note: There is currently no timeline required for
these steps to happen, which is concerning.
548

Currently, the law does not set any timelines for parole revocation steps.
CDCR staff should make a probable cause determination within 2 business days
after a hold is placed, notify a parolee of charges and rights within 3 business
days after the hold, and either file a revocation petition with the court or release
the parolee within 7 business days after the hold. However, these timelines are
not formal regulations and the CDCR is not obligated to enforce them.

SUMMARY
So, in sum, what are the 3 options that parole has if they arrest me
for an alleged violation?
1)

Intermediate Sanctions: new parole conditions, reentry court, and treatment
or rehabilitation programs.
549
2) Flash Incarceration for up to 10 days. No court involvement required.
3) Petition the local superior court for a formal revocation under California
550
Penal Code § 1203.2.

WHAT LAW GOVERNS (SETS OUT THE RULES FOR) THE
HEARING?
California Penal Code Section 1203.2.

WHO REPRESENTS THE INTEREST OF PAROLE/THE STATE OF
CALIFORNIA IN THE HEARING?
The District Attorney.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 3000.08(f).
The Valdivia Injunction, which previously set timeliness requirements on the parole revocation process, is no
longer in effect. Because of the major changes in parole laws, the court overseeing Valdivia decided that the case is
“moot” (meaning no longer applicable) and that any problems with the new parole revocation procedures will have
to be raised in new cases. Thus, advocates for people on parole have expressed concerns that there could be long
delays between the placement of parole holds in jail and CDCR’s filing of revocation petitions. Advocates are also
concerned that parolees may be pressured into giving up their rights and taking “screening offers” (like a parole
revocation plea bargain) without having an opportunity to consult with an attorney. See also Prison Law Office, The
Parolee Rights Manual at 43, http://www.prisonlaw.com/pdfs/ParoleeManual,Aug2013.pdf.
549
CAL. PENAL CODE § 3000.08.
550
CAL. PENAL CODE § 1203.2.
547
548

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WHO REPRESENTS ME IF I CANNOT AFFORD AN ATTORNEY?
The Public Defender.

WHAT IS THE LEGAL STANDARD FOR FINDING A PERSON
GUILTY OF A PAROLE VIOLATION?
At the parole revocation hearing, the judge must decide whether a
“preponderance of the evidence” (meaning 51% or more than half of the
evidence) supports the charges. In other words, the District Attorney must prove
that it is more likely than not that you violated parole.

IF I GO TO JAIL ON A PAROLE VIOLATION, AM I ENTITLED TO
BAIL?
551

552

No. You have no right to bail on a pending parole violation. However, a
court could still grant it. Once a court has “jurisdiction” (legal authority to hear
the case) over a petition to revoke your parole, the court is allowed to set bail
and release the parolee on his or her own recognizance (meaning the judge can
553
decide that bail and/or release would be appropriate in that case). Your parole
554
violation hearing must be held within 90 days if you are not released on bail.

WHAT RIGHTS DO I HAVE DURING A PAROLE REVOCATION
HEARING?
Parole cannot be suspended or revoked by the Superior Court Judge unless
there is good cause (a good reason) to believe that a person has violated the
555
conditions of his or her parole.
As a parolee, your rights are as follows:
1. Written notice of the alleged violation(s) (the rule or law that parole claims
you have broken) and the possible consequences, with enough information
to allow you to prepare a defense and obtain evidence that would help
556
explain the situation, or justify it;
557
2. Disclosure of the evidence against you (just like at trial);
3. Timely hearing of the charges at a probable cause hearing and a formal
558
revocation hearing (within 90 days if you were not granted bail);
559
4. The right to present witnesses and documentary evidence.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 3056.
In re Law, 10 Cal.3d 21, 26. (1973) (no due process right to bail while parole violation proceedings are pending).
CAL. PENAL CODE § 3056.
554
CAL. PENAL CODE § 1381.5; Gonzalez v. Superior Court, 166 Cal. App. 4th 922 (2008).
555
CAL. PENAL CODE § 3063. Note: In Morrissey v. Brewer, the U.S. Supreme Court established the minimum due
process requirements for parole revocation proceedings under the Fourteenth Amendment to the U.S.
Constitution. Cases since Morrissey have reaffirmed those rights and described them with greater detail.
556
Morrissey v. Brewer, 408 U.S. 471, 488-89 (1972); Vanes v. U. S. Parole Comm’n, 741 F.2d 1197 (9th Cir. 1984) (due
process violated by lack of notice of basis for parole violation charge); Rizzo v. Armstrong, 921 F.2d 855, 858 (9th Cir.
1990) (failure to give notice of consequences if parole revoked at hearing).
557
Morrissey v. Brewer, 408 U.S. 471, 498, 92 S.Ct. 2593 (1972) (“As we said in another connection in Greene v.
McElroy, 360 U.S. 474, 496–97 (“Certain principles have remained relatively immutable in our jurisprudence. One of
these is that where governmental action seriously injures an individual, and the reasonableness of the action
depends on fact findings, the evidence used to prove the Government's case must be disclosed to the individual so
that he has an opportunity to show that it is untrue.”). See also People v. Moore, 34 Cal. 3d 215 (1983) (state has
duty to preserve and disclose material physical evidence).
558
Morrissey v. Brewer, 408 U.S. 471, 485 (1972); People v. Woodall, 216 Cal. App. 4th 1221 (2013) (probation
revocation procedures that fail to provide probable cause hearing do not violate due process rights if full hearing
occurs relatively soon or if preliminary hearing on any new criminal charges is conducted). See also CAL. PENAL CODE
§ 1381.5; Gonzalez v. Superior Court, 166 Cal. App. 4th 922 (2008).
559
See Morrissey v. Brewer, 408 U.S. 471, 488-89 (1972). You can subpoena and present witnesses and documentary
evidence to the same extent that the State can (In re Carroll, 80 Cal. App.3d 22, 34 (1978)).
551
552
553

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5. The right to confront and cross-examine witnesses who speak out against
560
your interest. You have a conditional right under the U.S. (federal) and
California (state) constitutions to cross-examine people whose statements
561
are used against you in a parole violation proceeding. BUT SEE NOTE
BELOW!!
6. A neutral and detached (unbiased and fair) hearing body (meaning, the
562
Superior Court Judge); and
7. A written statement of the decision, the evidence relied on, and the reasons
563
for revoking parole.

!

IMPORTANT! You may waive (give up) your right to a parole revocation by
564
admitting that you violated parole. It is important that you SAY SOMETHING if
you believe your rights are violated during the process or in a hearing. If you are
unsure if your rights have been violated or if you don’t understand your rights,
ask your lawyer or public defender. If you do not have a lawyer or public
defender, call your local public defender’s office.
IMPORTANT NOTE ABOUT WITNESSES! Witnesses may not be required to
testify in front of you at your parole revocation hearing if they are deemed
565
fearful or confidential. Be sure to speak to your lawyer about all potential
witnesses—those both for your and against you—prior to your hearing.
“Fearful witnesses” are witnesses whose identity is known to you but who: (1)
have indicated that they are at a risk of harm if they testify in your presence; or
(2) have requested that their contact information be withheld from you.
Testimony of a fearful witness can be taken outside the parolee’s presence, but
your attorney must be present.
“Confidential witnesses” are witnesses, whose identity is not known to you, and
566
who would be at a risk of harm if their identity were disclosed. However, if
confidential information is used as part of the evidence that you violated parole,
you can ask the District Attorney (prosecutor) to show you this information. If the
District Attorney refuses to show you this information, then he or she must prove
that showing you this information would create a risk of harm to the informant.

WHAT HAPPENS IF A “MATERIAL” (VERY IMPORTANT) STATE
WITNESS DOESN’T SHOW UP TO THE PAROLE REVOCATION
HEARING, EVEN THOUGH HE/SHE WAS REQUIRED TO ATTEND?
If a material (very important) state witness fails to attend a parole revocation
hearing and the hearing cannot fairly proceed without the witness, the court can
postpone the hearing or dismiss the case.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Morrissey v. Brewer, 408 U.S. 471, 488-89 (1972); Valdivia v Schwarzenegger, 599 F.3d 984, 989 (9th Cir. 2010).
U.S. CONST. amend. VI; CAL. CONST. art. I, § 15. Thus, upon the your request, the people who gave the information
that proves the parole violation charge should be made available for you to question them at the hearing, unless
the judge determines that requiring the witness to appear would create a risk of harm. If the state has “good cause”
(a good explanation or reason) for failing to present a witness and that good cause outweighs your right to confront
the witness, the witness’s prior statements may be presented at the hearing, even if those statements were made
outside of court. The more important the witness’s testimony is to the case, the stronger your right to confront and
cross-examine that witness is. Courts may overturn a parole revocation if the hearing officer relies on unsworn
hearsay (out of court statements) without determining the unavailability of the declarant or the reliability of the
hearsay, or without considering the parolee’s interests prior to admitting the evidence. See, e.g., In re Miller, 145
Cal. App. 4th 1228 (2006).
562
Morrissey v. Brewer, 408 U.S. 471, 488-89 (1972).
563
Morrissey v. Brewer, 408 U.S. 471, 488-89 (1972).
564
In re La Croix, 12 Cal. 3d 146, 153 (1974).
565
Morrissey v. Brewer, 408 U.S. 471, 487 (1972).
566
See U.S. v. Comito, 177 F.3d 1166 (9th Cir. 1999); In re Melendez, 37 Cal. App. 3d 967, 973 (1974); In re Prewitt, 8
Cal. 3d 470, 477-78 (1972); In re Love, 11 Cal. 3d 179 (1974) (due process violation in failure to disclose contents of
“confidential” report where disclosure would not endanger any informant).
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To decide whether the witness’s testimony would be “material,” the court will
balance the importance of the witness’s expected testimony against the
availability and reliability of another source of the same information. Also, if the
state’s material witnesses fails to appear, but your witnesses are present, you
and your attorney may want to ask that the judge take the testimony of your
witnesses before postponing the rest of the hearing.

CAN THE DISTRICT ATTORNEY INTRODUCE EVIDENCE AT MY
PAROLE HEARING THAT WAS FOUND IN AN UNLAWFUL SEARCH
& SEIZURE?
Yes. Unfortunately, the “exclusionary rule,” which applies in criminal cases, does
not apply in parole revocation hearings. This means that this evidence may be
used in parole revocation hearings, even if it would be excluded from a criminal
court trial, or already was excluded from a criminal court trial related to the same
567
issue.

SUMMARY OF SENTENCING
What are the court’s 3 options for sentencing/ punishment if it finds
that I violated my state parole?
The court’s 3 options are:
1)

Return you to parole supervision with changes (called “modifications”) to
your conditions of parole, including possible time in county jail;
2) Refer you to a Reentry Court or other Evidence-Based Practice program; or
568
3) Revoke your parole and order confinement.

IF THE JUDGE REVOKES MY PAROLE AND ORDERS ME BACK
INTO CUSTODY, WHERE WILL I SERVE AND FOR HOW LONG?
It depends on your conviction history.
(1) MOST PEOPLE – Almost everyone who has his or her parole revoked will
569
serve the parole revocation sentence in county jail. You will most likely get
570
180 days in county jail, even if there were multiple grounds for the revocation.
You can earn “half-time” credit on parole revocation sentences (meaning 2 days
“good conduct credit” for every 2 days actually served in custody), regardless of
the nature of the commitment offense or parole violation. If you are serving a
parole revocation sentence and you violate jail rules or refuse to do assigned
571
work, then you may lose some or all of your good conduct credits.
(2) FORMER “LIFER” –There are different rules if you are on parole after serving
an indeterminate prison term of “life with the possibility of parole” (a.k.a. “former
lifers”). If you are a former lifer:
• You can get a parole revocation sentence term of up to 12 months;

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Penn. Bd. of Prob. & Parole v. Scott, 524 U.S. 35 (1998) (exclusion of evidence at parole hearing would hinder
functioning of parole system); In re Martinez, 1 Cal. 3d 641, 649-52 (1970), disapproved on other grounds in In re
Tyrell J., 8 Cal. 4th 68 (1994); In re Love, 11 Cal. 3d 179, 190 (1974).
568
CAL. PENAL CODE §§ 3000.08(f)-(g), 3004(a), 3056(a).
569
CAL. PENAL CODE § 3056(a).
570
CAL. PENAL CODE § 3056(a). A parolee may not be kept in custody beyond the maximum parole discharge date
(see Section 16.C, above). You are no longer subject to extensions of your revocation sentence for in-custody
misconduct (meaning bad behavior while you are in jail/custody). See CAL. PENAL CODE § 3057(e).
571
CAL. PENAL CODE § 4019.
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•
•

You are not entitled to earn good conduct credits; and
Your revocation sentence could be extended if you violate rules while you
572
are in custody.

(3) CERTAIN SEX OR MURDER CONVICTIONS – There are also different rules
573
for people convicted of certain sex offenses or certain murder convictions:
• If you have life-long parole (some people convicted of sex offenses or
574
murder) and it gets revoked, you’ll be sent back to prison, not county jail.
• Within 1 year of being returned to prison, a two-member BPH panel will hold
a hearing. The panel must release you within 1 year of the date of the
revocation—unless it determines the seriousness of the parole violation
requires longer incarceration for public safety. If the two-member BPH panel
keeps you in prison longer than 1 year, you have the legal right to a parole
575
consideration hearing every year afterwards.

WHAT RIGHTS DO I HAVE IF I AM A PERSON WITH A DISABILITY
GOING THROUGH PAROLE REVOCATION PROCEEDINGS?
Under a federal law called the Americans with Disabilities Act (ADA), you have
the legal right to reasonable accommodations during parole violation/revocation
576
proceedings. Examples of accommodations could include:
• Ensuring access to the hearing room for a parolee with mobility impairments;
• Providing Braille, taped documents, or reading assistance for a visionimpaired parolee;
• Providing assistance in communicating for a developmentally disabled
parolee; OR
577
• Providing sign language interpretation for a hearing-impaired parolee.
Just like all other aspects of parole, the CDCR’s parole staff must use “effective
communication” and provide reasonable accommodations when interacting with
you. That means that they must use effective communication and provide
reasonable accommodations when:
1) Arresting you;
2) Modifying your conditions of parole; or
578
3) Imposing sanctions like flash incarceration.

KEEP IN MIND: If you are a disabled parolee who is having problems receiving
help from parole staff, you can submit a CDCR Form 1824, “Request for
Modification or Reasonable Accommodation,” (read more about this process on
PG. 185 above). CDCR parole staff should also alert jail staff and the attorney
appointed to you about what your needs are when revocation proceedings
579
begin.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 3057(e).
CAL. PENAL CODE § 3000.1(d).
CAL. PENAL CODE §§ 3000.08(h), 3056(b).
575
CAL. PENAL CODE § 3000.1(d).
576
42 U.S.C. § 12131 et seq.
577
See Prison Law Office, The Parolee Rights Manu (updated Aug. 2013) at 43,
http://www.prisonlaw.com/pdfs/ParoleeManual,Aug2013.pdf.
578
See Armstrong Remedial Plan (Jan. 3, 2001), § IV.S; Clark Remedial Plan (Mar. 1, 2002), § VIII.
579
See Armstrong Remedial Plan (Jan. 3, 2001), § IV.S; Clark Remedial Plan (Mar. 1, 2002), § VIII.
572
573
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HOW DO I CHALLENGE (APPEAL) A PAROLE REVOCATION
DECISION OR ACTION MADE BY THE COUNTY SUPERIOR
COURT?
If you are challenging a decision made by the county superior court, you should
be able to file a direct appeal under the statute that allows an appeal “from any
580
order made after judgment, affecting the substantial rights of the party.”
Follow these steps:
STEP 1: To appeal, the parolee must file a Notice of Appeal in the Superior Court
581
within 60 calendar days after the original court’s decision.
STEP 2: When a timely Notice of Appeal is filed, the Superior Court will prepare a
record of the parole revocation proceedings consisting of all the documents filed
in the original court and transcripts of the hearings; the court will then provide
these documents to the Court of Appeal, the State, and you (the parolee). In a
direct appeal, the Court of Appeal must appoint a free attorney to represent you
582
if you do not have enough money to pay for a private attorney.

!

IMPORTANT: If you do not file a timely Notice of Appeal, or if the issue
involves information outside the court record, then you may be able to
raise the issues in a state court petition for a writ of habeas corpus.

WHAT TYPES OF ISSUES COULD I BRING UP IN A CHALLENGE TO
PAROLE REVOCATION PROCEEDINGS, DECISIONS, OR ACTIONS?
There are many types of issues that you can raise in a challenge to a revocation
proceeding or decision. For this reason, we recommend that you speak with
your attorney if you believe that your rights have been violated! Your claim could
be based on violations of state or federal constitutional due process rights,
California or federal statutes, or California administrative rules. For example, you
could argue that:
• The revocation hearing is being unreasonably delayed;
• You were denied the right to cross-examine witnesses at the parole
revocation hearing; or
• The evidence did not support the revocation decision.
UNFORTUNATELY—in most cases, the process for raising such challenges will
be too slow to provide you any relief before you have served the entire parole
revocation sentence term. BUT You may still benefit by:
• Getting your parole revocation cases re-heard;
• Getting their revocations vacated; and/or
• Getting the time served for the revocation deducted from the controlling
parole discharge date.

WHAT IS THE PROCESS FOR APPEALING A DECISON MADE BY
CDCR?
You can challenge a CDCR action or lack of action in these stages by filling out a
CDCR Form 602 administrative appeal (see Appendix J, PG. 309 for copy of
form) and submitting it to the CDCR’s parole agent.
Possible uses for a 602 appeal include challenging the CDCR’s decision to place
a parole hold or find probable cause for a violation, asking for an attorney for the

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
CAL. PENAL CODE § 1237(b).
CAL. RULES OF COURT, rule 8.308.
582
CAL. RULES OF COURT, rule 8.300.!!
580
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early stage of the revocation process, or challenging a delay by CDCR in filing a
583
formal petition.
There are two reasons for filing a CDCR Form 602 administrative appeal and refiling it to the highest level necessary:
1. First reason—It might solve the problem.
2. Second reason—Courts usually require you to “exhaust administrative
remedies” (meaning that you pursued all three levels administrative review
before filing a case in court) and that you filed an appeal before filing a
584
lawsuit in court claiming that the CDCR violated your legal rights.
After completing any required administrative remedies, you can challenge a
CDCR or BPH action or decision by filing a state court petition for a writ of
habeas corpus. If the judge issues an “order to show cause,” it must appoint a
free lawyer to represent you if you request one and show that you do not have
585
enough money to pay for a private lawyer. See Appendix K, PG. 312 for
information on when and how to file a state court petition for a writ of habeas
corpus.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Prison Law Office, The Parolee Rights Manual, at 34, http://www.prisonlaw.com/pdfs/ParoleeManual,Aug2013.pdf
(updated Aug. 2013).
584
See In re Dexter, 25 Cal.3d 921, 925 (1979).
585
Prison Law Office, The Parolee Rights Manual, at 34, http://www.prisonlaw.com/pdfs/ParoleeManual,Aug2013.pdf
(updated Aug. 2013).
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III.

COUNTY PROBATION
AND NEW FORMS OF
COUNTY-LEVEL
SUPERVISION
WHAT WILL I LEARN?

•
•

•
•
•
•
•
•
•

How California’s “Realignment” Law changed county-level
probation and supervision
The different types of county level supervision—misdemeanor
probation, felony probation, post-release community
supervision, mandatory supervision
Terms and condition of probation and supervision
How to request a change to your probation or supervision
conditions
How to request a transfer to a different county
What to do if your probation or supervision is revoked
What happens at a probation revocation hearing
How to challenge probation conditions
How to challenge probation revocation

If you are convicted of certain types of state criminal offenses:
1.

You will be sentenced to time in county jail/ state prison. This will be
followed by either (1) a term on county probation or (2) one of California’s
newer forms of county-level supervision; OR
2. You will be sentenced directly to one of these forms of supervision, and you
will be supervised by a local county probation officer.
Continue reading to learn more!

WHAT IS COUNTY PROBATION?
586

Probation is a suspended state prison or county jail sentence. In other words,
instead of doing the full amount of time in custody (in prison or jail), you can stay
in the community under supervision and be required to follow certain rules and
587
588
conditions. The primary purpose of probation is rehabilitation.
All probation sentences are different. However, there are some standard
conditions that apply to most if not all people on probation in California. If you
have a disability, you should get certain accommodations on probation, so make
sure you see PG. 184 to learn about requesting the accommodation you need on
probation. Each county is responsible for running its own probation department,
and each of these departments have their own specific rules.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 1203.1(a).
CAL. PENAL CODE § 1203(a).
588
People v. Scroggins, 191 Cal. App. 3d 502, 505 (1987).
586
587

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HOW DID CALIFORNIA’S “REALIGNMENT LAW” CHANGE
CALIFORNIA’S STATE PROBATION?
The Realignment Law made some of the largest and most pivotal changes to the
criminal justice system in California. Generally speaking, Realignment
transferred the responsibility of supervision to the state’s 58 counties for people
convicted of felonies (excluding those classified as high-risk sex offenders)
released from prison whose commitment offenses are statutorily defined as nonserious and non-violent. This is sometimes referred to as “the 3 nons”—nonserious, non-violent, non-sexual felonies.
• If you were convicted after October 1, 2011 and you have no current or prior
convictions defined by statute as “serious, violent, or sexual” felony offenses,
you now serve time locally (regardless of the length of your sentence) with
the possibility of community supervision instead of the full sentence time
being spent in custody in jail or prison.
• Here are the 4 types of state probation’s community supervision after
Realignment: (1) Misdemeanor Probation (MSD) (a.k.a. “Summary” or
“Informal” probation); (2) Felony Probation (FP) (a.k.a. “Formal” probation);
(3) Post-Release Community Supervision (PRCS); and (4) Mandatory
Supervision.

WHAT ARE TYPES OF SUPERVISION FALL UNDER THE CONTROL
OF COUNTY PROBATION NOW AFTER REALIGNMENT?
Here is a quick overview of the different types of supervision that are under the
control of county probation departments in California:
Misdemeanor Probation (MSD)—a.k.a. informal or summary probation: If you
get convicted of a misdemeanor and get placed on probation in California,
you are placed on misdemeanor probation—also called “informal” probation
589
or “summary” probation. To learn more about misdemeanor probation, go
to PG. 198.
2) Felony Probation (FP): If you get convicted of a felony and get placed on
probation in California, it will be felony probation—also called “formal
590
probation” or FP). To learn more about felony probation, go to PG. 203.
3) Post-Release Community Supervision (PRCS): PRCS is a new type of
supervision created by Realignment (AB 109). People released from a state
prison after incarceration for non-violent, non-serious, non-sexual crimes are
591
placed under supervision by local, county probation officers. This form of
supervision is called Post-Release Community Supervision (PRCS). PRCS can
last for up to 3 years, but can end earlier if you do not violate any PRCS
592
conditions. To learn more about PRCS, go to PG. 208.
4) Mandatory Supervision: Mandatory supervision is a new type of supervision
created be Realignment (AB 109). California state courts are allowed to use a
tool called “split sentencing,” which allows a judge to split the time of a
sentence between a jail term and a period of supervision by a county
probation officer. This type of supervision is known as Mandatory
593
Supervision. To learn more about mandatory supervision, go to PG. 215.
1)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See CAL. PENAL CODE § 1203(d).
See Cal. Dep’t of Corr. & Reh., Implementation of the Post Release Community Supervision Act of 2011,
http://www.cdcr.ca.gov/realignment/docs/PRCS-County.pdf.
591
For more information about the 3 nons and PRCS, see http://www.cdcr.ca.gov/realignment/Post-ReleaseCommunity-Supervision.html.
592
See Cal. Dep’t of Corr. & Reh., Post-Release Community Supervision, http://www.cdcr.ca.gov/realignment/PostRelease-Community-Supervision.html.
593
For more information on split sentences, see University of California Berkeley: The Chief Justice Earl Warren
Institute on Law and Social Policy, Thinking Critically About Realignment in California,
https://www.law.berkeley.edu/files/bccj/Thinking_Critically_3-14-2012.pdf.
589
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MISDEMEANOR PROBATION (A.K.A. INFORMAL
PROBATION OR SUMMARY PROBATION)
BASICS OF MISDEMEANOR PROBATION (MSD)
WHAT IS MISDEMEANOR PROBATION (A.K.A. INFORMAL OR
SUMMARY PROBATION)?
In California, if you get probation imposed for a misdemeanor conviction, it is
known as misdemeanor probation (MSD)—also sometimes called “informal
594
probation” or “summary probation.”

WHO WILL MONITOR ME UNDER MISDEMEANOR PROBATION
(MSD)?
The County Superior Court.

AFTER RELEASE: WHAT TO EXPECT IN YOUR FIRST
DAYS OUT ON MISDEMEANOR PROBATION (MSD)
WHAT ARE SOME GOOD FIRST STEPS TO TAKE AFTER I FIRST
GET RELEASED FROM JAIL OR PLACED ONTO MISDEMEANOR
PROBATION (MSD)?
Instructions for what to do when you first start your probation term will be
different depending on what county you are being supervised in. The best thing
to do when you first get out, is call or visit your county probation department
immediately to find out what the requirements and instructions apply to you.

LENGTH OF MISDEMEANOR PROBATION (MSD)
HOW LONG IS MISDEMEANOR PROBATION (MSD)?
The length of your MSD probation depends on what the court ordered, and that
usually depends on what county you are being supervised in. The period of
misdemeanor probation may last up to three years, depending on which county
you are in. Each county sets a mandatory minimum (which can be as low as one
595
year). But remember, every county in California operates differently.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
594
595

CAL. PENAL CODE § 1203(d).
CAL. PENAL CODE § 1203.1(a).

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CAN I GET OFF MISDEMEANOR PROBATION (MSD) EARLY?
Possibly. California law allows you to ask the court to be released early from
596
your probation or Mandatory Supervision. It is very common for courts to
grant a term of 3 or 4 years of informal probation for misdemeanor
597
convictions; however, some people are able to satisfy all of the conditions of
their probation (all of the things the court orders you to do—such as attend
counseling or paying restitution) before the 3 or 4 years are up. For this reason,
598
judges are often willing to release people from probation early. The process is
the same for asking a court to terminate your misdemeanor probation, felony
probation, or Mandatory Supervision early. If your request (called a “Motion”) to
end your misdemeanor probation early is granted by the judge, then you might
also be able to ask for certain convictions to be dismissed from your record! For
more information on how to file a Motion to Terminate Probation early, and also
how to request dismissals of eligible convictions, please see the
UNDERSTANDING & CLEANING UP YOUR CRIMINAL RECORD CHAPTER,
beginning on PG. 1020.

CONDITIONS OF MISDEMEANOR PROBATION (MSD)
ON MISDEMEANOR PROBATION (MSD), WHAT KINDS OF
CONDITIONS WILL THE COURT IMPOSE ON ME?
Once misdemeanor probation is granted, the court will decide what
conditions of probation to impose. Here is some general information to
know about your conditions of probation:
Conditions set by the Criminal Court Judge: The judge in the criminal
court has a lot of freedom in determining the conditions of your
misdemeanor probation, and may impose reasonable conditions for the
599
purposes of rehabilitation or to protect the community. However, the
court cannot impose a condition that is unreasonable or that does not
600
properly take into consideration the circumstances of your case.” .
MSD conditions differ from offense to offense. Some common examples
of MSD conditions are:
• You must “violate no laws”: This is a general condition for almost
everyone on misdemeanor probation that means you cannot violate
any laws (other than minor traffic offenses) while you are on MSD
probation;
• No-contact (stay away) orders that prevent you from being around
or seeing and communicating with certain individuals;
• Anger management courses;
• Substance abuse rehabilitation/ treatment programs;
601
• Restrictions on your ability to have access to or carry weapons;
602
• Impose a fine up to $1,000;

WHEN WOULD
A COURT
ORDER
COMMUNITY
SERVICE
INSTEAD OF
RESITITUTION?
For example, if
you are
unemployed due
to a disability, and
unable to make
restitution
payments to the
state, the court
may order you to
instead complete
community
service (CAL.
PENAL CODE
§ 1202.4(n)). But if
your probation is
revoked, the court
must impose
restitution instead
(Cal. Pen. Code
§ 1202.4(n)).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 1203.3(a). “The court may at any time when the ends of justice will be subserved thereby, and
when the good conduct and reform of the person so held on probation shall warrant it, terminate the period of
probation, and discharge the person so held.”
597
CAL. PENAL CODE § 1203 (a).
598
Information/advice taken from: http://californiaexpungementhelp.com/early-termination-of-probation/
599
CAL. PENAL CODE § 1203.1(j). See also People v. Birkett, 21 Cal.4th 226, 235 (1999).
600
People v. Birkett, 21 Cal.4th 226, 320 (1999).
601
See First District Appellate Project, Probation Conditions: Adults and Juveniles—What Types of Conditions are
Unreasonable and Unconstitutional, http://www.fdap.org/downloads/articles_and_outlines/Seminar2011ProbationConditions.pdf.
602
CAL. PENAL CODE § 1203.1(a)(1). See also http://www.scscourt.org/self_help/criminal/misdemeanors.shtml.
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•

•

Restitution Payments to the Victim or State OR community service: Courts
are also required to order restitution payments, either to the victim or to the
603
state, as a condition of probation. Read more about restitution payments
in the COURT-ORDERED DEBT CHAPTER, beginning on PG. 755. The court
604
may also sentence you to serve a sentence in county jail for up to a year;
Minimum Fine or Jail Sentence Sometimes Required by Law: For some
misdemeanor convictions, the court is required
to impose a minimum fine or
605
jail sentence as a condition of your probation.

IF I AM ON MISDEMEANOR PROBATION, WILL I HAVE TO REPORT
TO A PROBATION OFFICER?
No. If you’re on misdemeanor probation, you’ll report to a judge in the County
606
Superior Court. This means that you will be required to appear in court before
607
a judge for “progress reports” as often as the judge orders you to do so.
When you go to the court for a “progress report,” the judge will determine
608
whether you are following the conditions of your probation.

WHAT WILL THE JUDGE LOOK FOR WHEN I AM MONITORED IN
COURT DURING “PROGRESS REPORTS?”
When you go to court for a “progress report,” the judge will be checking to see if
you are following the conditions of your probation. The judge will also ask you
about your progress in any programs (i.e. AA meetings, anger management
classes) that you were assigned as part of your misdemeanor probation.
It is important that you BRING DOCUMENTATION of any progress and positive
steps that you’ve made in fulfilling your probation conditions. This means that
you should bring documentation of any progress that you’ve made in: courtordered treatment programs; community service; public works service; etc.

HOW DO I CHANGE A CONDITION OF MY
MISDEMEANOR PROBATION (MSD)?
Under state law, you can ask the judge to modify (change) your
609
probation terms AT ANY TIME. This does not mean the judge will
do so, but you can always ask!

WHAT IS "GOOD
CAUSE”?
“Good cause,”
means a reason(s)
that is persuasive
enough to convince
a judge that s/he
should make an

To ask the judge to change a condition of your probation, you have
to file a motion with the court that is monitoring your probation, asking that
your probation conditions be modified. You must show why there is a good
reason for the judge to modify your conditions. Remember to bring all
documentation of your progress with you to court (i.e. reports/attendance
sheets from any classes or courses that you were required to take as part of
your misdemeanor probation).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 1202.4(m). However, if the court finds “compelling and extraordinary reasons for not imposing
restitution,” it must order community service as a condition of probation instead, unless it also finds “compelling
and extraordinary reasons” for not requiring community service. CAL. PENAL CODE § 1202.4(n).
604
CAL. PENAL CODE § 1203.1(a).
605
For example, if you are convicted of driving on a suspended license and this offense occurred within 5 years of a
prior offense for driving on a suspended license, the court must impose a minimum 10-day jail sentence as a
condition of probation (see CAL. VEH. CODE § 14601(c) (West 2014)). The CAL. GOV’T CODE also has special mandatory
probationary terms for specific offenses, such as completion of a domestic violence rehabilitation program (DVRP)
for those convicted of a crime of domestic violence (see CAL. PENAL CODE § 1203.097(a)(6) (West 2014)).
606
CAL. PENAL CODE § 1203(a).
607
CAL. PENAL CODE § 1202.4(n).
608
For example, if the court ordered you to go to substance abuse treatment, then at your “progress report,” the
court will ask for written reports or attendance sheets from your treatment program.
609
CAL. PENAL CODE § 1203.3(a).
603

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There is no standard statewide form used to request a modification of
probation conditions. But some counties may have local forms for this purpose.
You may call the county Superior Court clerk’s office to find out whether or not
they have local forms to request a change. If the Public Defender was assigned
to your case, contact your Public Defender and ask them to file a motion to
modify your probation terms for you. If you had a private attorney but can no
longer afford one, you may call the Public Defender and ask them to represent
you in your attempt to change your probation conditions.
Before the judge can modify your conditions, the court must notify the
prosecutor (the District Attorney) in your case, and hold a hearing where the
610
prosecutor has a chance to speak. If the judge decides to change your
611
conditions, he or she must state the reasons for doing so.
IF YOU ARE ASKING FOR THE CHANGE BECAUSE OF A DISABILITY:
If you are asking to change a condition because of a disability, you should
explain why your disability makes it difficult for you to comply with your current
probation conditions, and what changes (in conditions) or assistance (from the
probation department or other services) you need to successfully complete
your probation For example, if you were ordered to perform public works
service (for example, highway cleanup), but your disability prevents you from
doing so, you may ask the judge at the local county superior court for a
modification that allows you to do community service (for example,
volunteering at the local public library) instead.
When you go to court, remember to BRING DOCUMENTATION OF YOUR
DISABILITY and explain the reasons why your disability makes it difficult for
you to follow the conditions and rules of your probation.

WHAT’S THE PROCESS FOR REQUESTING A CHANGE TO MY
MISDEMEANOR PROBATION (MSD) CONDITIONS?
To request a change to your misdemeanor conditions (called a “modification”),
start by contacting the Court Clerk at your local county superior court where you
were convicted to ask if there is a local form for this type of request. If not, you
and your attorney will have to draft a motion. See Appendix Y, PG. 346, for more
information.

TRANSFER LOCATIONS ON MISDEMEANOR
PROBATION (MSD)?
HOW DO I TRANSFER COUNTIES ON MISDEMEANOR
PROBATION?
Below is the process for a county to submit a “notice of motion for transfer” in
order to send the supervision of a person to a new county’s probation
612
department:
1)

When a person is released on probation or mandatory supervision, the court
must transfer the case to the superior court in any other county where the
person resides permanently (the county where the person plans to remain

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
610
611
612

CAL. PENAL CODE § 1203.3(b)(1).
CAL. PENAL CODE § 1203.3(b)(2).
The court must follow the Judicial Council’s procedures and court rules set out in CAL. PENAL CODE § 1203.9(d).

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2)
3)
4)

5)
6)
7)
8)

9)

permanently/for the duration of probation or mandatory supervision), unless
the transferring court determines that the transfer would be inappropriate.
Next, the proposed receiving county may provide comments on the record
about the proposed transfer.
The court and the probation department must investigate county transfers
with precedence over most other actions, and make speedy decisions.
If victim restitution was ordered as a condition of probation or mandatory
supervision, the transferring court shall determine the amount of restitution
before the transfer unless the court finds that it can’t make that decision
within a reasonable time from when the motion for transfer is made. If a case
is transferred without the amount of restitution being decided, the
transferring court must make a determination about the restitution amount
as quickly as possible.
For every other determination related to probation (besides the amount of
victim restitution), the receiving county will have the power to make those
decisions, and must accept jurisdiction over the case.
The transfer order must require the supervised person to be in the care and
custody of the probation officer of the receiving county.
If it applies, the transfer order must also include an order for reimbursement
of reasonable costs for processing the transfer to be paid to the sending
county in accordance with Cal. Pen. Code § 1203.1b.
The sending county must send copies of any orders and any probation
reports to the court and the probation officer in the receiving county within 2
weeks of finding that the supervised person permanently resides in or has
permanently moved to the receiving county.
The receiving county may also follow these rules and procedures to again
transfer the probation supervision to another county later on.

HOW DO I TRANSFER STATES ON MISDEMEANOR PROBATION
(MSD)?
If you are on Misdemeanor Probation (or Felony Probation) and want to transfer
to a new state, go to PG. 368 to learn how.

VIOLATIONS & REVOCATIONS ON MISDEMEANOR
PROBATION (MSD)
WHAT ARE THE RULES FOR VIOLATIONS & REVOCATIONS OF
MISDEMEANOR PROBATION (MSD)?
The rules and procedures for probation and revocation proceedings are the
same for misdemeanor probation and felony probation.
Please see PG. 220.

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FELONY PROBATION (A.K.A. FORMAL
PROBATION)

WHAT’S THE
MAIN
DIFFERENCE
BETWEEN
FELONY
PROBATION VS.
MISDEMEANOR
PROBATION

BASICS OF FELONY PROBATION (FP)
WHAT IS FELONY PROBATION (FP)?
Felony Probation (sometimes called “formal probation” or FP) is a
type of community supervision that is part of the original sentence
handed down by a judge at trial, as an alternative to or in addition to
613
incarceration for a felony conviction.
FP reduces or eliminates the time you must spend in custody in jail or
prison and instead allows you to remain in or return to a community
614
sooner, so long as you follow your probation conditions.
This means that some people never serve time in jail or prison for a
felony but are sentenced to felony supervision in the community, while
some other people are sentenced to time in prison/jail and felony
supervision in the community.

The main difference
between felony and
probation and
misdemeanor
probation is that,
unlike with
misdemeanor
probation, if you are
on felony probation,
your are assigned a
probation officer.

WHO WILL MONITOR ME ON FELONY PROBATION (FP)?
Depending on the circumstances, either the court (and the judge of that court) or
a probation officer will monitor you to make sure you follow your probation
615
conditions. Generally, you must report to the probation officer once a month,
616
although the judge could require you to report more or less often than that. It
is very important to remain in contact with your probation officer, or it could
617
trigger a probation violation hearing.

!

IMPORTANT! How Felony Probation operates, and what services are
available, varies from county to county. Ask your probation officer what is
available to you in your county.

AFTER RELEASE: WHAT TO EXPECT IN YOUR FIRST
DAYS OUT ON FELONY PROBATION (FP)
WHAT ARE SOME OF MY RESPONSIBILITIES WHEN I FIRST GET
RELEASED ONTO FELONY PROBATION (FP)?
Instructions for what to do when you first start your probation term will be
different depending on what county you are being supervised in. When you first
get out, the best thing to do is call or visit your county probation department
immediately to find out what requirements and instructions apply to you.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
613
614
615
616
617

CAL. PENAL CODE § 1203(a).
CAL. PENAL CODE § 1203(a).
CAL. PENAL CODE § 1203(d).
CAL. PENAL CODE § 1203.1.
CAL. PENAL CODE § 1203(j).

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LENGTH OF FELONY PROBATION (FP)
HOW LONG WILL I BE ON FELONY PROBATION (FP)?
618

Felony probation (FP) is typically imposed for a term of 3–5 years. The length
of your probation depends on what the court ordered, and that usually depends
on what county you are being supervised in (since each county has some
619
discretion to set the maximum length of felony probation within this range).

CAN I GET OFF FELONY PROBATION EARLY?
Possibly. California law allows you to ask the court to be released early from
620
your probation. If you have completed all of the conditions of your probation
(for example, paid all fines/fees, completed all counseling) and you are at least
half-way through your probation term (for example, 1 ½ years through a 3-year
probation term), you may be a good candidate to have your probation ended
early. The process for terminating (ending) felony probation early is the same as
the process for ending misdemeanor probation or mandatory supervision early.
If your request (called a “Motion”) to end your felony probation early is granted
by the judge, then you might also be able to ask for certain convictions to be
dismissed from your record! For more information on how to file a Motion to
Terminate Probation early, and also how to request dismissals of eligible
convictions, please see the UNDERSTANDING & CLEANING UP YOUR
CRIMINAL RECORD CHAPTER, beginning on PG. 1020.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 1203.1(a) provides: “The court, or judge thereof, in the order granting probation, may suspend
the imposing or the execution of the sentence and may direct that the suspension may continue for a period of time
not exceeding the maximum possible term of the sentence, except as hereinafter set forth, and upon those terms
and conditions as it shall determine. The court, or judge thereof, in the order granting probation and as a condition
thereof, may imprison the defendant in a county jail for a period not exceeding the maximum time fixed by law in
the case. However, where the maximum possible term of the sentence is five years or less, then the period of
suspension of imposition or execution of sentence may, in the discretion of the court, continue for not over five
years.”
619
Each county sets its own mandatory minimum. For example, in Alameda County, Yolo County, Sacramento
County, and Alpine County require a minimum of 5 years on FP, while most counties in California only require a
minimum of 3 years on FP.
620
CAL. PENAL CODE § 1203.3(a). “The court may at any time when the ends of justice will be subserved thereby, and
when the good conduct and reform of the person so held on probation shall warrant it, terminate the period of
probation, and discharge the person so held.”
618

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!

IMPORTANT: It is important to know the conditions of your probation
because, if you do not follow the terms and conditions of your FP, your
probation could be revoked and you could:
• Be sent to jail, or go to prison (where the court had earlier suspended
a prison sentence by granting you FP);621
• Be sentenced to the maximum sentence authorized for the crime you
were convicted of;
• Have additional terms, such as public works service (“PWS” or
“volunteer works”) or community service added to your probation;622
• Have your probation revoked, and reinstated, for a new period of
three-five years623 (see PG. 220 on probation revocation proceedings)

CONDITIONS OF FELONY PROBATION (FP)
WHAT ARE COMMON CONDITIONS OF FELONY PROBATION (FP)?
There are some general/standard rules and conditions that apply to most (if not
all) people on felony probation, BUT REMEMBER, EVERY COUNTY WILL HAVE
DIFFERENT RULES AND CONDITIONS.
624

Felony probation will often include some of the following rules/ conditions:
1) Meeting with your probation officer as often as required, generally once a
month;
625
2) Payment of restitution, fines, and fees;
3) Participation in individual or group therapy;
4) Mandatory drug testing, if you were convicted of certain drug-related crimes;
5) Community service;
6) An agreement to submit to law enforcement searches of your person,
residence, or property with or without a warrant (sometimes called a “search
th
condition” or a “4 Waiver”);
7) No contact with victim(s) and following any stay away orders not to harass
victim(s);
626
8) Not associating with people who you know are gang members;
9) Agreement not to violate any laws.
To challenge/ try to change the conditions of probation, see the next question
and answer.

HOW DO I CHANGE A CONDITION OF MY FELONY PROBATION
(FP) CONDITIONS?
Follow the outlined steps below to request a change (called a “modification”) in
your probation terms: Start by contacting the Court Clerk at your local county
superior court where you were convicted to ask if there is a local form. If not, you
and your attorney will have to draft a motion. See Appendix Y, PG. 346 for more
information. (Note: The process for requesting a change to MSD conditions is
the same as the process for requesting a change to FP conditions.)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 1203.1(a).
CAL. PENAL CODE § 1203.1(c).
CAL. PENAL CODE § 1203.1(a).
624
See First District Appellate Project, Probation Conditions: Adults and Juveniles—What Types of Conditions are
Unreasonable and Unconstitutional, http://www.fdap.org/downloads/articles_and_outlines/Seminar2011ProbationConditions.pdf.
625
CAL. PENAL CODE § 1202.4. This probation requirement will likely be imposed on anyone who was found guilty of
being a “gang offender” under of CAL. PENAL CODE § 1202.4(a) or (b).
626
CAL. PENAL CODE § 186.22(a) makes it illegal to participate in a gang. CAL. PENAL CODE § 186.22(b) states that
621
622
623

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TRANSFER LOCATIONS ON FELONY PROBATION (FP)
I WANT TO TRANSFER MY FELONY PROBATION TO ANOTHER
COUNTY. CAN I DO THAT?
It’s possible. The California Superior Court of the county that you were convicted
of a crime in has jurisdiction (decision-making power) over county-to-county
627
transfers for probation.
When deciding whether transfer is appropriate, the judge will look at:
1) Permanency of residence of the offender;
2) Local programs available for the offender; and
628
3) Restitution orders and victim issues.

WHAT IS THE PROCESS FOR TRANSFERRING MY FELONY
PROBATION (FP) TO A NEW COUNTY?
Below is the process for a county to submit a “notice of motion for transfer” in
order to send the supervision of a person to a new county’s probation
department:
1)

2)
3)
4)

5)
6)
7)
8)

9)

When a person is released on probation or mandatory supervision, the court
must transfer the case to the superior court in any other county where the
person resides permanently (the county where the person plans to remain
permanently/for the duration of probation or mandatory supervision), unless
the transferring court determines that the transfer would be inappropriate.
Next, the proposed receiving county may provide comments on the record
about the proposed transfer.
The court and the probation department must investigate county transfers
with precedence over most other actions, and make speedy decisions.
If victim restitution was ordered as a condition of probation or mandatory
supervision, the transferring court shall determine the amount of restitution
before the transfer unless the court finds that it can’t make that decision
within a reasonable time from when the motion for transfer is made. If a case
is transferred without the amount of restitution being decided, the
transferring court must make a determination about the restitution amount
as quickly as possible.
For every other determination related to probation (besides the amount of
victim restitution), the receiving county will have the power to make those
decisions, and must accept jurisdiction over the case.
The transfer order must require the supervised person to be in the care and
custody of the probation officer of the receiving county.
If it applies, the transfer order must also include an order for reimbursement
of reasonable costs for processing the transfer to be paid to the sending
county in accordance with Cal. Pen. Code § 1203.1b.
The sending county must send copies of any orders and any probation
reports to the court and the probation officer in the receiving county within 2
weeks of finding that the supervised person permanently resides in or has
permanently moved to the receiving county.
The receiving county may also follow these rules and procedures to again
629
transfer the probation supervision to another county later on.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
627
628
629

Governed by CAL. PENAL CODE § 1203.9- the Court has jurisdiction over transfers.
CAL. PENAL CODE § 1203.9(a)(2).
CAL. PENAL CODE § 1203.9.

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HOW DO I TRANSFER TO A NEW STATE?
Go to PG. 182 to learn how to transfer to a new state.

VIOLATIONS & REVOCATIONS OF FELONY
PROBATION
WHAT ARE THE RULES FOR VIOLATIONS & REVOCATIONS OF
FELONY PROBATION?
See PG. 220 for the rules and procedures. Probation revocation proceedings are
the same for Misdemeanor Probation (PG. 198), Felony Probation (PG. 203), and
a newer form of supervision called “Mandatory Supervision” (PG. 215).

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POST-RELEASE COMMUNITY SUPERVISION
(PRCS)
PRCS is run by your local county probation office and the rules vary from county
to county across California. We have tried to provide information here that will
be helpful to all as general rules and guidelines, but we encourage you to ask
people in your particular county probation office about how PRCS operates
locally, and what services or programs are available to you there.

BASICS OF PRCS
WHAT IS POST-RELEASE COMMUNITY SUPERVISION (PRCS)?
It is a new form of community supervision under California’s 2011 “Realignment”
Law (AB 109), which mandated that a large group of people leaving state prison
would be monitored by the probation department of each county, instead of by
state parole.
After October 1, 2011, a specific group of former prisoners—people released from
a state prison for crimes that are non-violent, non-serious, AND non-sexual —are
630
now placed under the supervision of county probation officers.

WHO WILL BE RELEASED FROM STATE PRISON TO COUNTY
SUPERVISION ON PRCS?
The following people will be released from state prison onto PRCS supervision:
• Individuals currently serving terms for non-violent, non-serious commitment
offenses;
• Some sex offenders; AND
• Individuals who, prior to October 1, 2011, would have been placed on non631
revocable parole (NRP).

!

IMPORTANT NOTE: If you were paroled from state prison before October
1, 2011, you will stay on parole, and not be placed on PRCS. However, if
you are returned to the custody of state prison due to a parole revocation
case, the CDCR will screen your case beginning at least 180 days before
your calculated release date (see the next question about this timeline) to
decide if you should be (1) returned to state parole or (2) placed on PRCS
after serving the revocation term.632

WHO WILL NOT BE RELEASED FROM STATE PRISON TO COUNTY
SUPERVISION ON PRCS?
The 3 nons—anyone convicted of the following offenses will be released onto
state PAROLE, not PRCS:
1)

A “serious” felony (as described in Cal. Pen. Code § 1192.7(c));

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE §§ 3450–3465.
CAL. PENAL CODE § 3450 et seq; 15 CAL. CODE REGS. § 3079 et seq.
632
CAL. PENAL CODE § 3000.09(c).
630
631

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2) A “violent” felony (as described in Cal. Pen. Code § 667.5(c));
3) Individuals with an indeterminate life-term, including third-strikers, who were
sentenced pursuant to Cal. Pen. Code § 667(e)(2) or § 1170.12(c)(2);
4) Any crime for which the person is classified as a high-risk sex offender (as
defined by CDCR);
5) Any crime for which the person is required, as a condition of parole, to
undergo treatment by the State Department of State Hospitals (DSH) as a
633
mentally disordered offender pursuant to Cal. Pen. Code § 2962.
6) If you think you will be on parole, not PRCS, see earlier section on state
parole, PG. 147).

WHEN IS THE PRCS VS. PAROLE ASSESSMENT DONE?
Before you are released from prison, a correctional counselor will screen your
634
case and decide whether to refer you to state parole or PRCS. The
correctional officer should start this screening process at least 180 days prior to
635
your calculated release date. The CDCR Form 611, “Release Program Study,”
(see Appendix S, PG. 332) is used to determine if you will be eligible for PRCS
636
after release.

AFTER RELEASE: WHAT TO EXPECT IN YOUR FIRST
DAYS OUT ON PRCS
WHAT MUST I DO WHEN I FIRST GET OUT ON PRCS?
You must report to your County Probation Department for PRCS supervision
within 2 working days after your release from state prison, court, or county
637
jail. Instructions for what to do when you first get out on PRCS vary from
county to county. Please see Appendix Z on PG. 348 for some examples of the
PRCS release process in a few California counties.

WHERE WILL I BE RELEASED TO ON PRCS?
In most cases, you will be sent to the county of your last legal residence before
638
you were incarcerated. However, CDCR can send you to PRCS in a different
county for various reasons, including victim safety concerns, to help you
639
maintain family ties, or so you can benefit from work or educational programs.
Please keep reading for more information on how to make a request to be sent
to a different county other than the one you last legally lived in.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 3451(b).
CAL. PENAL CODE § 3451(a).
http://www.cdcr.ca.gov/realignment/docs/PRCS-County.pdf.
636
http://www.cpoc.org/assets/Realignment/whatcountiesneedtoknow.pptx.
637
See L.A. Cnty. Prob. Dep’t, Just Released,
http://probation.lacounty.gov/wps/portal/probation/!ut/p/b1/04_Sj9Q1MjA1tzS0NDcw04_Qj8pLLMtMTyzJzM9LzA
Hxo8zi3QwMDNz9nYKN_INdjA083dydnA39TQyNgo2ACiKRFRg4u1saeDqZuFt4mYUYOvuZE9IfrhFT0mwoTG6AixWgBUY4ACOBgSs8DLR9_PIz03Vz43KsfTMDEgHAB9RScE!/dl4/d5/L2dJQSEvUU.
638
CAL. PENAL CODE § 3003.
639
CAL. PENAL CODE § 3003(a)-(c).
633
634
635

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CAN I REQUEST THAT CDCR SEND ME TO PRCS IN A DIFFERENT
COUNTY THAN WHERE THEY WANT TO SEND ME?
Yes. While you are in prison, you can request to be released on to PRCS in a
different county than where CDCR has assigned you—which is typically the
county of last legal residence. Please read the section on how to request a PRCS
Location Transfer, beginning on PG. 213.

LENGTH OF PRCS
WHO SETS THE LENGTH OF PRCS?
The Superior Court Judge who sentences you.

HOW LONG DOES PRCS SUPERVISION LAST?
PRCS can last for minimum of six months, and for a maximum of 3 years.
Remember PRCS can end earlier if you do not violate any conditions of your
640
PRCS.
If at any time you abscond (go missing) or are otherwise unavailable for
641
supervision, that amount of time will not count toward the total PRCS period.

CAN I GET OFF PRCS EARLY?
It’s possible. If you have no violations of your PRCS, the county probation
department that supervises you may discharge you after 6 consecutive
642
months of no violations.
However, early release from PRCS is discretionary—it’s up to the
supervising agency to decide. Most individuals discharge from PRCS
643
within 30 days after serving a continuous year without violations.

CONDITIONS OF PRCS
WHAT CONDITIONS MUST I FOLLOW IF I AM ON PRCS?
You must comply with all of your conditions on PRCS.
standard conditions include:
1)

644

The

A waiver of your Fourth Amendment Rights—agreeing to be
searched by law enforcement without probable cause;
2) Informing the Probation Department of your home and work
addresses; and
645
3) Never possessing or having access to weapons.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
640
641
642
643
644
645

CAL. PENAL CODE § 3451(a).
CAL. PENAL CODE § 3451(b).
CAL. PENAL CODE § 3451(a)(1).
CAL. PENAL CODE § 3456(a).
CAL. PENAL CODE § 3452.
CAL. PENAL CODE §§ 3067(a); 3453.

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A NOTE ABOUT
ADDING EXTRA
(SPECIAL)
CONDITIONS OF
PRCS:
The county
probation office
may send special
conditions to CDCR
prior to release, but
they must be
related to your
offense. So CDCR
can make the PRCS
conditions, and then
the local county
probation office can
add to those
conditions, if the
new conditions are
lawful.

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IS THERE A DOCUMENT WHERE I CAN FIND ALL MY PRCS
CONDITIONS?
Yes—you should refer to your signed CDCR Form 1515, “Notice and Conditions
646
of Parole” (see Appendix G, PG. 302 for an example of this form).
If you do not sign the conditions while you are still incarcerated, the prison/jail
staff will notify the county of your supervision, and you can be held in custody
647
until you sign Form 1515 or until your credits expire.

CAN I CHALLENGE A PRCS CONDITION?
Yes. The legal standards for determining whether a PRCS condition is unlawful
648
are generally the same as for parole conditions. Please refer to, PG. 178
above, to understand what makes a PRCS condition lawful vs. unlawful.

HOW DO I CHALLENGE A PRCS CONDITION?
The procedure will depend on whether the supervising agency (the county
probation department) or the court made the decision, and when the challenge
is being raised.
IF THE CONDITION WAS SET BY THE PROBATION OFFICER SUPERVISING
YOUR PRCS: then you should complete any administrative appeal or grievance
process that is available through Probation. If there is no administrative appeal
process or the administrative appeal is unsuccessful, then you can file a state
649
petition for a writ of habeas corpus in the local superior court. See Appendix K
PG. 312 to learn how to file a state petition for a writ of habeas corpus.
IF THE CONDITION WAS SET BY THE COURT JUDGE OR A COURT-APPOINTED
HEARING OFFICER: then you should be able to proceed with a court challenge.
It appears likely that a direct appeal can be filed under the statute that allows an
appeal to be filed “from any order made after judgment, affecting the substantial
rights of the party.” To appeal, you must file a 22/ notice of appeal in the
superior court within 60 calendar days after the court’s decision.
When 22/a timely notice of appeal is filed:
• The superior court will prepare a record of the parole revocation proceedings
consisting of all the documents filed in the court and transcripts of the
hearings and provide these documents to the court of appeal, the state, and
the parolee.
o In a direct appeal, an attorney will be appointed by the Court of Appeal
at state’s expense, if the parolee does not have enough money to pay
for one.
o If you wish to have a court-appointed attorney, you must file your notice
of appeal within 60 calendar days after the court’s decision.
If the notice of appeal is not timely filed or if the issue involves information that
is not in the court record, it might be possible to raise the issues in a state court
habeas corpus petition.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Cal. Dep’t of Corr. & Reh., Form 1515.
See Cal. Dep’t of Corr. & Reh., Form 1515.
See Prison Law Office, The Parolee Rights Manual at 34,
http://www.prisonlaw.com/pdfs/ParoleeManual,Aug2013.pdf
649
See Prison Law Office, The Parolee Rights Manual at 34,
http://www.prisonlaw.com/pdfs/ParoleeManual,Aug2013.pdf
646
647
648

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IMPORTANT: Whether or not issues from your case can be raised on a
habeas appeal can be a difficult subject to determine. For this reason, it
is recommended that you seek help from a court-appointed attorney, if
possible. Again, remember that if you wish to have a court-appointed
attorney, you must file your notice of appeal within 60 calendar days
after the court’s decision.
Please refer to Appendix K, on PG. 312 for more information on direct appeals
and state habeas corpus petitions, including sample forms.

WHAT COULD HAPPEN IF I DO NOT FOLLOW THE CONDITIONS OF
MY PRCS?
There are different types of consequences for not following (violating) the terms
and conditions of your post-release community supervision (PRCS). These
include:
•

•

•

INTERMEDIATE SANCTIONS: PRCS agencies are supposed to develop and
use “intermediate sanctions” for minor violations of PRCS conditions.
Intermediate sanctions could include programs like drug treatment, mental
650
health counseling, and job assistance.
FLASH INCARCERATION: Another type of punishment for violating a PRCS
condition is “flash incarceration.” Flash incarceration is an immediate return
651
to jail for a period of up to 10 days. One of the conditions for being placed
on PRCS is that you give up the right to demand a court hearing before being
652
subject to flash incarceration.
COURT PETITION TO MODIFY/REVOKE/TERMINATE PRCS: If the PRCS
supervising agency (the county probation office) decides that more serious
punishment is appropriate for the violation, the agency will file a petition to
modify, revoke, or terminate PRCS through the County Superior Court. The
probation office’s petition will be filed with a hearing officer appointed by the
local Superior Court. Either the supervising agency (probation department) or
the hearing officer can decide to keep a person in custody (in jail) while the
653
petition is pending.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 3450(b)(8).
CAL. PENAL CODE § 3450(b)(8)(A).
CAL. PENAL CODE §§ 3453(q) and 3454(c). People earn credit toward their PRCS terms for actual time spent in flash
incarceration, but do not earn any good conduct credits for such incarceration. CAL. PENAL CODE §§ 4019(i),
3450(b)(8)(A).
653
CAL. PENAL CODE § 3455(a)-(c).
650
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TRANSFER LOCATIONS ON PRCS
HOW DO I TRANSFER COUNTIES (WITHIN CALIFORNIA) ONCE OUT
ON PRCS?
California state law governs the process for transferring a person’s PRCS
654
between counties. Unlike the state law that governs transfers of Misdemeanor
Probation, PG. 198, Felony Probation, PG. 203, and Mandatory Supervision,
655
PG. 215), the Court does not have the authority to transfer a person’s PRCS.
Instead, the PRCS transfer process is administrative, and happens directly from
656
one county to another. Under law, the process for transferring counties on
PRCS is as follows:
STEP 1: The supervising agency (the county probation department) must
determine that:
You no longer permanently reside (see definition in footnote)
jurisdiction, AND

657

within its

Your change of residence was either approved by probation OR didn’t violate
658
the terms and conditions of your PRCS.
STEP 2: The supervising agency (the county probation department) then has 2
weeks in which they must send any information it received from CDCR before
you were released over to the receiving probation department in your new
659
county of permanent residence.
STEP 3: Once the receiving county probation department has verified your
permanent residency in its county, the agency must accept you on PRCS
660
there.
NOTE: Your supervising agency (the county probation department) is not
required to transfer your PRCS to another county unless you have shown your
ability to establish permanent residence within another county without violating
the terms and conditions of your PRCS.
Go to PG. 182 to learn how to transfer to a new state.

IF THE PROBATION DEPARTMENT PURSUES THE CASE IN
COURT, DO I HAVE THE RIGHT TO A HEARING FOR A PRCS
VIOLATION PETITION?
Yes. If you must respond to a PRCS violation petition, you have the right to a
661
hearing in County Superior Court.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See CAL. PENAL CODE § 3460.
See CAL. PENAL CODE § 1203.9.
Chief Probation Officers of California, PRCS Transfer Protocol, http://www.cpoc.org/assets/Realignment/transfers
of prcs offender protocol.pdf.
657
For the purpose of CAL. PENAL CODE § 3460, “residence means the place where the person customarily lives [not
including your place] of employment, school, or other special or temporary purpose. A person may have only one
residence.” CAL. PENAL CODE § 3460(c).
658
CAL. PENAL CODE § 3460(a).
659
CAL. PENAL CODE § 3460(a).
660
CAL. PENAL CODE § 3460(b).
661
CAL. PENAL CODE § 3455(a).
654
655
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DO I HAVE THE RIGHT TO A FREE ATTORNEY IF I CAN’T AFFORD
ONE AT A PRCS VIOLATION HEARING?
Yes, at least in some cases—you have the right to a free court-appointed
662
attorney if you cannot afford your own. You can give up the right to an
attorney and a hearing, admit the violation, and accept the proposed
663
punishment, but it’s suggested that you ALWAYS ask for an attorney and
hearing.

IF THE JUDGE FINDS THAT I HAVE VIOLATED THE TERMS OR
CONDITIONS OF MY PRCS, WHAT ARE POSSIBLE PUNISHMENTS?
If you are found to have violated the terms or conditions of your PRCS at a
hearing, the judge, magistrate, or hearing officer can:
1) Return you to PRCS supervision with modified (changed or new)
conditions;
2) Refer you to a special program or to a special “reentry court” for
664
assessment for a special program; OR
3) Revoke (take away) your PRCS and order you to county jail for a maximum
665
term of 180 days.
NOTE: If you are ordered to serve county jail time for a PRCS violation, you
can earn 2 days of good conduct credits for every 2 days you actually
666
serve.

HOW CAN I CHALLENGE A COURT DECISION REVOKING MY
PRCS, OR A DECISION BY THE HEARING OFFICER AFTER A PRCS
VIOLATION HEARING?
You can almost always challenge the judgment of a PRCS recvocation
667
hearing. Follow the steps below:
STEP 1: To appeal, you must file a notice of appeal in the county Superior Court
668
within 60 calendar days after the court’s decision.
STEP 2: After a timely notice of appeal is filed, the Superior Court will prepare a
record of the PRCS revocation proceedings that includes all the documents filed in
the court and transcripts of the hearings. The Superior Court must then provide
these documents to (1) the Court of Appeal, (2) the State/ District Attorney
(representing the Probation Department), and (3) you. In a direct appeal, the court
of appeal must appoint an attorney to represent you for free if you don’t have
669
enough money to pay for one. In order to have a court-appointed attorney, you
must file your notice of appeal within 60 calendar days after the court’s decision.

HELPFUL HINT
Alternative to filing a timeline notice of appeal:
If the “notice of appeal” is not filed on time, or if the issue involves information that isn’t
in the court record, then it might be possible to raise the issues in a state court habeas
corpus petition (see Appendix K PG. 312 to learn about the general process for filing one).
This is not recommended unless (1) your notice of appeal wasn’t filed in time, or (2) the
appeal involves information that the court has no record of.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
662
663
664
665
666
667
668
669

CAL. PENAL CODE § 3455(a).
CAL. PENAL CODE § 3455(a).
Re-entry Court procedures are discussed at CAL. PENAL CODE § 3015.
CAL. PENAL CODE § 3455(a) and (d).
CAL. PENAL CODE § 3455(a) and (d).
CAL. PENAL CODE § 1237(b)
CAL. PENAL CODE § 1237(b)
CAL. RULES OF COURT, Rule 8.308.

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MANDATORY SUPERVISION
BASICS OF MANDATORY SUPERVISION
WHAT IS MANDATORY SUPERVISION?
If you receive a split sentence (jail and community supervision time), you could
be placed on Mandatory Supervision after your release from county jail.
California’s 2011 Realignment law (AB 109) has given criminal courts in California
670
a legal tool called “split sentencing.” Split sentencing allows a judge to split
the time of a person’s sentence between a jail term and a period of supervision
by a probation officer.
While Mandatory Supervision is not technically probation under law, it will feel
the same—you will be supervised by a county probation officer, and it will feel a
671
lot like probation in how the supervision functions.
Please note: Mandatory Supervision is run by the counties and rules vary from
county to county across California. We have tried to provide information here
that will be helpful to all, but we encourage you to find out information from your
particular county probation office about how Mandatory Supervision operates,
and what services or programs are available to you there.

WHO CAN BE RELEASED ONTO MANDATORY SUPERVISION?
You are eligible for a “split sentence” and Mandatory Supervision if your felony
conviction is for a non-violent, non-serious, non-sex offense (the “3 nons”) under
672
law.
You CANNOT get a “split sentence” if:
1) You have a prior or current felony conviction for a serious felony described
in Cal. Pen. Code § 1192.7(c);
2) You have a prior or current conviction for a violent felony described in Cal.
Pen. Code § 667.5(c);
3) You have a prior felony conviction in another jurisdiction for an offense that
has all the elements of a serious or violent felony discussed directly above;
4) You are required to register as a sex offender pursuant to Cal. Pen. Code
§ 290 et seq.; OR
5) Your conviction included a sentence enhancement pursuant to Cal. Pen.
Code § 186.11.
These 5 categories of individuals will still have to serve their sentence in state
673
prison.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See CAL. PENAL CODE § 1170(h)(5).
Mandatory supervision is similar to probation, though mandatory may also include extra monitoring conditions,
such as GPS monitoring or home detention. Fore more information about mandatory supervision and split
sentences, see Rebecca Sullivan Silbert, Thinking Critically About Realignment in California,
https://www.law.berkeley.edu/files/bccj/Thinking_Critically_3-14-2012.pdf.
672
See CAL. PENAL CODE § 1170(h)(5).
673
See CAL. PENAL CODE § 1170(a)(3).
670
671

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AFTER RELEASE: WHAT TO EXPECT IN YOUR FIRST
DAYS OUT ON MANDATORY SUPERVISION
WHAT MUST I DO AFTER I GET RELEASED ONTO MANDATORY
SUPERVISION?
You must report to your County Probation Department for Mandatory
Supervision within 2 working days after your release from state prison, court, or
674
county jail.
Other instructions for what to do when you first get out on Mandatory
Supervision vary from county to county, and you should check with your local
county’s probation office for a list of all the requirements.

LENGTH OF MANDATORY SUPERVISION
HOW LONG WILL I BE ON MANDATORY SUPERVISION?
It depends. The judge in the court that convicted you sets the term and length of
mandatory supervision, and it is different for every person depending on what
your conviction is for. BUT there are limitations. Split sentences cannot be
longer than the maximum sentence possible for the conviction—meaning the
total time you serve in custody (in jail) and supervision time (time on Mandatory
Supervision) cannot be more than the maximum original sentence.

CAN I GET OFF MANDATORY SUPERVISION EARLY?
Possibly. California law allows you to ask the court to be released early from
675
mandatory supervision. It is entirely up to the judge to decide whether to
terminate your mandatory supervision early. Since they are given so much
discretion, some judges (and even some whole counties) are unwilling to let
people off of mandatory supervision early, regardless of the person’s progress.
Many judges see mandatory supervision as an alternative to incarcerating you
for the whole time (that’s why it’s called “split sentencing” because the judge
split your sentence between incarceration and being on mandatory supervision
in the community), so for the most part they are less likely to end your
mandatory supervision early as compared with probation.
We recommend that you speak with an attorney BEFORE filing a “Motion to
Terminate Mandatory Supervision” early. If you go ahead with asking a judge to
end your mandatory supervision early (such a request is called a “Motion”) and it
is granted, then you might also be able to ask for certain convictions to be
dismissed from your record! For more information on how to file a Motion to
Terminate Probation early, and also how to request dismissals of eligible
convictions, please see the UNDERSTANDING & CLEANING UP YOUR
CRIMINAL RECORD CHAPTER, PG. 1020.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See L.A. Cnty. Prob. Dep’t, Just Released,
http://probation.lacounty.gov/wps/portal/probation/!ut/p/b1/04_Sj9Q1MjA1tzS0NDcw04_Qj8pLLMtMTyzJzM9LzA
Hxo8zi3QwMDNz9nYKN_INdjA083dydnA39TQyNgo2ACiKRFRg4u1saeDqZuFt4mYUYOvuZE9IfrhFT0mwoTG6AixWgBUY4ACOBgSs8DLR9_PIz03Vz43KsfTMDEgHAB9RScE!/dl4/d5/L2dJQSEvUU.
675
CAL. PENAL CODE § 1203.3(a). “The court may at any time when the ends of justice will be subserved thereby, and
when the good conduct and reform of the person so held on probation shall warrant it, terminate the period of
probation, and discharge the person so held.”
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CONDITIONS OF MANDATORY SUPERVISION
WHAT ARE THE CONDITIONS OF MANDATORY SUPERVISION?
State law requires Mandatory Supervision to be supervised by a county
probation officer with the same “terms, conditions, and procedures that apply to
676
people on probation (such as submitting to drug testing).”
Generally speaking, Probation Officers use routine office appointments,
employment services and treatment program partnerships to ensure compliance
with terms and conditions of probation.

CAN I EARN GOOD TIME CREDITS ON MANDATORY
SUPERVISION?
No. There are no good time credits for the supervision portion of Mandatory
677
Supervision.

TRANSFER LOCATIONS ON MANDATORY
SUPERVISION
HOW DO I TRANSFER COUNTIES ON MANDATORY
SUPERVISION?
Transferring counties on Mandatory Supervision works the same way as it does
678
for felony probation. Please read on PG. 181 to learn how to transfer.
Go to PG. 182 to learn how to transfer to a new state.

I AM ON PROBATION (MISDEMEANOR OR FELONY PROBATION),
PRCS, OR MANDATORY SUPERVISION, AND I WANT TO
TRANSFER TO ANOTHER STATE. HOW CAN I DO THAT?
The rules and process for transferring your probation, PRCS, or Mandatory
679
Supervision to another state are the same as rules that apply to state parole.
Please refer to the process and rules on PG. 368 to understand the rules and
process for interstate transfer, governed by the Interstate Compact for Adult
680
Offender Supervision.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 1170(h)(5)(B)(i).
CAL. PENAL CODE § 1170(h)(5)(B).
See CAL. RULES OF COURT, Rule 4.530.
679
CAL. PENAL CODE § 1203.9(a).
680
To view the Interstate Compact for Adult Offender Supervision, please visit:
http://www.interstatecompact.org/Portals/0/library/legal/ICAOS_Rules.pdf
676
677
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VIOLATIONS & REVOCATIONS OF MANDATORY
SUPERVISION
WHAT IS THE PROBATION VIOLATION AND REVOCATION
PROCESS ON MANDATORY SUPERVISION, AND WHAT ARE MY
RIGHTS IN THAT PROCESS?
Go to PG. 220 to learn about your rights relations to the probation violation and
revocation process.

WHAT HAPPENS IF I AM UNABLE TO ABIDE BY THE CONDITIONS
OF MY MANDATORY SUPERVISION?
If you’re on Mandatory Supervision, the violation and revocation process works
the same way as it does for felony probation (FP) and misdemeanor probation
681
(MSD). Please read the violation and revocations information on PG. 220, for a
description of the law and how the process works.

YOUR RIGHTS AS A PERSON WITH A DISABILITY ON
MANDATORY SUPERVISION
I HAVE A DISABILITY. WHAT RIGHTS DO I HAVE REGARDING
ACCOMMODATIONS FOR MY DISABILITY?
The federal Americans with Disabilities Act (ADA) and California state law
protect you against discrimination based on your disability, and protect your
rights to equal treatment and reasonable accommodations.
682

If you are on probation (MSD or FP), PRCS, or Mandatory Supervision
have the right to:

, you

1.

Reasonable accommodations and changes in procedures so that you can
participate in probation services, programs, and activities, and can
683
successfully complete the terms of your supervision. EXAMPLES
INCLUDE:
a. If you are in a wheelchair, probation staff should make sure that any
programs, meetings, and services are in wheelchair-accessible
buildings.
b. If your probation officer refers you to community service (such as a
drug treatment center, job center, or literacy center), or requires you
to complete a program, the probation staff should make sure that
you can actually get to the services and participate in the programs.
c. If you are required to complete a work program, probation staff
should make sure that you are given a (alternative) job that you are
able to do with your disability.
2. Effective communication so that you can fully understand and participate in

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 1203.2(a)(2).
Title II of ADA, § 202 (codified at 42 U.S.C. § 12132); Cal Gov’t Code § 11135; CAL. CIV. CODE §§ 54 et seq. See also
28 C.F.R. Part 35 (implementing the ADA). In addition to federal and state law, some cities or counties may provide
additional protections for individuals with disabilities, which protect your rights while you are on supervision in that
county. Telephone call with Jennifer Scaife, Reentry Division Director, San Francisco Adult Probation Dept., Nov. 6,
2014.
683
28 C.F.R. § 35.130.
681
682

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684

probation programs, services, activities, and proceedings. This includes
communication during orientations, interviews, and supervision meetings;
when you are notified of conditions of probation and registration
requirements; and during grievance and revocation proceedings. EXAMPLES
include:
a. Assistance by a sign language interpreter for a hearing- impaired
person;
b. Reading aloud of written materials for a vision-impaired person; or
c. Simplifying information for a developmentally disabled person.
3. Additional assistance (including services) and aids (like healthcare devices)
to accommodate your disability and ensure that you can fully and
successfully participate in programs, activities, and services. EXAMPLES
include:
a. Providing sign language interpretation if you are hearing impaired or
b. Wheelchair assistance if you have difficulty walking and cannot
685
access a building.
4. Information about your right to receive accommodations and equal
treatment, and how this affects your probation programming and
686
requirements.

HOW CAN I REQUEST AN ACCOMMODATION OR FILE A
COMPLAINT IF I FEEL THAT PROBATION IS NOT
ACCOMMODATING MY DISABILITY, OR IF I AM NOT GETTING
ACCESS TO PROBATION SERVICES OR PROGRAMS?687
Unlike for state parole, there are no formal probation policies or procedures to
request accommodations or file a complaint related to your disability. Each
county does things differently, and many counties have no formal procedures.
You can first talk to your probation officer and explain the situation to him/her
OR you may ask a judge to modify your probation to accommodate your
disability by filing a motion requesting a change. Please Appendix AA, on
PG. 349, for detailed steps on the process.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

28 C.F.R. § 35.160(a).
28 C.F.R. § 35.160(b).
28 C.F.R. § 35.106.
687
The information in this section is based on our staff’s conversation with probation staff in Alameda, Contra Costa,
and Yolo Counties, and our law clerk’s conversation with probation staff in Sacramento. If your county Probation
Department employs more than 50 people (including POs and other staff), the department is required by law to
provide a formal complaint (grievance) process. 28 C.F.R. § 35.107(b). However, most Probation Departments do not
have formal grievance procedures to request accommodations or complain about discrimination based on disability.
684
685
686

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VIOLATIONS & REVOCATIONS UNDER
COUNTY PROBATION SUPERVISION OF
FELONY PROBATION, MISDEMEANOR
PROBATION, & MANDATORY SUPERVISION
The following questions and answers apply to most forms of county-level
community supervision in California, including misdemeanor probation (MSD),
felony probation (FP), and Mandatory Supervision, but NOT Post-Release
Community Supervision (PRCS).

PRE-HEARING
WHAT IS THE PROBATION REVOCATION PROCESS IN
CALIFORNIA?
The following probation revocation process applies to: (1) misdemeanor
688
probation (MSD), (2) felony probation (FP), and (3) Mandatory Supervision.

WHAT COULD HAPPEN IF I DON’T FOLLOW THE CONDITIONS OF
MY PROBATION?
If any probation officer, parole officer, or police officer has probable cause to
believe that you are violating any term or condition of your supervision, the
officer may re-arrest you (even without a warrant) and bring you before the
689
court.
This is the case so long as you are on probation—at any point until the time your
probation terminates or your case is dismissed. Alternatively, the court may, in
690
its own discretion, issue a warrant for your re-arrest.
If you willfully miss a scheduled court date/ “progress report,” this is considered
691
a probation violation and the court will issue a bench warrant for your arrest.

CAN I BE REVOKED FOR NOT PAYING RESTITUTION?
Yes, BUT not if you cannot afford to pay. If you do not pay restitution, your
692
probation can be revoked. But your probation will not be revoked due to a
failure to pay restitution unless the court determines that: 1) you have the ability
693
to pay, and 2) you willfully failed to pay.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 1203.2(a).
CAL. PENAL CODE § 1203.2(a).
CAL. PENAL CODE § 1203.2(a).
691
CAL. PENAL CODE § 1203.2(a).
692
CAL. PENAL CODE § 1203.2. See also Bearden v. Georgia, 461 U.S. 660.
693
CAL. PENAL CODE § 1203.2. See also, People v. Self, 233 Cal. App. 3d 212 (“Probation shall not be revoked for
failure of a person to make restitution . . . as a condition of probation unless the court determines that the
defendant has willfully failed to pay and has the ability to pay. Restitution shall be consistent with a person’s ability
to pay.”).
688
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CAN FLASH INCARCERATION BE USED AS AN INTERMEDIATE
SANCTION?
Not if you are on misdemeanor probation (MSD), felony probation (FP), or
Mandatory Supervision. Flash incarceration can only be used for people on
694
parole or PRCS.

AM I ENTITLED TO BAIL?
It depends. Bail amounts for probation violations vary from county to county. Bail
amounts for probation violations may also vary depending on the type of offense
695
you were convicted of, and whether you are on MSD or FP.
If you have internet access, you can usually find standard felony and
misdemeanor bail amounts for probation violations (also referred to as “bail
696
schedules”) on your county Superior Court’s website. Or you may call your
county public defenders office to ask them about bail amounts for probation
violations.

WHAT DOES THE COURT HAVE THE POWER TO DO TO MY
PROBATION STATUS?
The court can:
1) Reinstate your probation with the same probation terms and conditions;
2) Reinstate and modify (meaning change the terms or conditions of your
probation),
3) Revoke and terminate (meaning take away your probation and sentence you
to jail or prison time). The court can modify, revoke, or terminate probation’s
supervision of you on its own motion or upon the petition (a formal, legal
request through the court) of you, the probation or parole officer, or the
697
District Attorney. This applies to MSD, FP, and Mandatory Supervision .

FOR FULL DETAILS ON THE COURT PROCEDURE AND SENTENCING IN
PROBATION REVOCATION PROCEEDING, PLEASE SEE PG. 220.

THE HEARING
WHAT COURT WILL HEAR MY CASE?
The court in the county in which you are supervised has “jurisdiction” (the legal
authority) to hear the motion or petition to modify, revoke, or terminate you
698
probation.
For those on probation, it will be either the court in the county in which you are
supervised or the court in the county in which the alleged violation of
699
supervision occurred.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE §§ 1203.2(g); 3450(b)(8)(A) (allowing short-term “flash incarceration” for people supervised on
parole and PRCS).
695
CAL. PENAL CODE § 1268 et. seq.
696
For example, you can find Riverside County’s bail schedule at:
http://www.riverside.courts.ca.gov/bailschedule.pdf. In Riverside County, the standard bail amount for a violation of
misdemeanor probation is $5,000. But the bail standard bail amount for a violation of FP in Riverside County is
$50,000.
697
CAL. PENAL CODE § 1203.2(a).
698
CAL. PENAL CODE § 1203.2(b).
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WHO HEARS THE CASES?
Judges, magistrates, or court-appointed hearing officers hear probation
700
revocation cases.

WHO REPRESENTS THE INTEREST OF PROBATION IN THE
HEARING?
701

The District Attorney (DA), on behalf of the state of California.

WHAT DOES THE PROSECUTOR (D.A.) NEED TO PROVE?
The prosecutor, also known as the District Attorney (DA), must prove that is
702
more likely than not that you violated probation.
Unlike a criminal trial where the DA must prove the case “beyond a
reasonable doubt,” the DA in a probation revocation hearing only
needs to prove by a “preponderance of the evidence” that you
703
violated probation.

DO I HAVE A RIGHT TO NOTICE OF THE PROBATION
REVOCATION HEARING?
704

Yes, unless you waive the notice requirement in writing.

WHAT DOES
“PREPONDERANCE
OF THE EVIDENCE”
MEAN?
Requires the court
to find that more
than half of the
evidence at least
51% of it supports
the charges or
alleged probation
violation.

You must be given notice before your first court appearance in the
probation revocation proceedings, unless you agreed in writing to a modification
705
(a change) or termination (an end) of a specific term of your supervision.
If you agreed in writing to a modification or termination of a specific term of your
supervision, you also do not have to make an in-person appearance in court for
706
the hearing. We suggest that you speak with an attorney or public defender
prior to waiving your right to a revocation hearing.

DO I HAVE THE RIGHT TO AN ATTORNEY AT THE HEARING?
707

Yes. Before you waive the requirement to personally appear at the hearing or
before you accept an offer of modification of your probation conditions, you
should be informed that you have the right to an attorney, and if you cannot
708
afford one, you have the right to a free attorney provided by the court.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
CAL. PENAL CODE § 1203.2 (b)(1).
CAL. PENAL CODE § 1203.2(b)(1) and (f).
CAL. PENAL CODE § 1203.2.
702
People v. Rodriguez, 51 Cal.3d 437, 441 (1990). (“Considerations of both law and policy dictate that the facts in a
probation revocation hearing be provable by a preponderance of the evidence. First, constitutional principles
permit the revocation of probation when the facts supporting it are proven by a preponderance of the evidence.
While no constitutional provision declares a standard of proof for probation revocation hearings, the United States
Supreme Court has indicated that due process requires no stricter standard of proof in probation revocation
hearings than a preponderance of the evidence.”)
703
People v. Rodriguez, 51 Cal.3d 437, 441 (1990).
704
CAL. PENAL CODE § 1203.2 (b)(2).
705
CAL. PENAL CODE § 1203.2 (b)(2).
706
CAL. PENAL CODE § 1203.2 (b)(2).
707
People v. Vickers, 8 Cal. 3d 451, 461 (“[T]he efficient administration of justice requires that the defendant be
assisted by retained or appointed counsel at all revocation proceedings other than at summary proceedings had
while the probationer remains at liberty after absconding.”). See also, Gagnon v. Scarpelli, 411 U.S. 778.
708
Pursuant to CAL. PENAL CODE § 1203.2(b)(2)
699
700
701

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709

If you waive the right to an attorney, this waiver must be in writing. Again, we
suggest that you speak with an attorney or public defender prior to waiving your
right to a revocation hearing.

WHAT RIGHTS DO I HAVE DURING A PROBATION REVOCATION
HEARING?
There are minimal due process requirements for probation revocation
710
proceedings. This means that you don’t have all of the same rights that you
711
have at trial.
You have the following rights:
1) Written notice of the alleged violations and the possible consequences, with
enough information to allow you to prepare a defense and obtain mitigating
evidence (meaning evidence that would lessen the perceived severity of the
712
violation or help justify it);
713
2) Disclosure of the evidence against you;
3) Timely hearing of the charges at a probable cause hearing and a formal
714
revocation hearing;
715
4) The right to present witnesses and evidence. You can subpoena and
716
present witnesses and evidence. A person served with a subpoena for a
parole revocation hearing is required to appear at the hearing unless the
hearing is held at a place outside the county of his or her residence and
717
more than 75 miles from his or her residence;
718
5) The right to confront and cross-examine adverse witnesses. You have a
conditional right under the U.S. and California constitutions to confront
witnesses whose statements are used against you in a probation violation
719
hearing. This means that you or your attorney may cross-examine any
720
people who gave information or testified that you violated your probation.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 1203.2(b)(2).
In Morrissey v. Brewer, the U.S. Supreme Court established minimal due process requirements for parole
revocation proceedings under the Fourteenth Amendment to the U.S. Constitution. 408 U.S. 471, 488-89 (1972).
With regard to the revocation of probation, the Court subsequently held that “a probationer, like a parolee, is
entitled to a preliminary and a final revocation hearing, under the conditions specified in Morrissey.” Gagnon v.
Scarpelli, 411 U.S. 778, 782 (1973). Thus, the State “must provide the same process [found in Morrissey ] when
terminating a probationer from probation.” State v. Rogers, 144 Idaho 738, 742–43 (2007); State v. Scraggins, 153
Idaho 867, 871 (2012). While Morrissey and Gagnon holdings make clear that probationers do not retain the full
constitutional protections afforded criminal defendants, a probationer has a protected liberty interest in continued
probation, and is therefore entitled to due process before probation may be revoked. Morrissey and Gagnon set
forth those minimum due process requirements. See State v. Scraggins, 153 Idaho 867, 871 (2012). Cases since
Morrissey have reaffirmed those rights and described them more specifically. See People v. Vickers, 8 Cal. 3d 451
(1979) (“[T]he efficient administration of justice requires that the defendant be assisted by retained or appointed
counsel at all revocation proceedings other than at summary proceedings had while the probationer remains at
liberty after absconding.”); see also, Gagnon V. Scarpelli, 411 U.S. 778 (1973).
711
See Gagnon V. Scarpelli 411 U.S. 778 (1973).
712
Morrissey v. Brewer, 408 U.S. 471, 488-89 (1972); Vanes v. U.S. Parole Commission, 741 F.2d 1197 (9th Cir. 1984)
(due process violated by lack of notice of basis for parole violation charge); Rizzo v. Armstrong, 921 F.2d 855, 858
(9th Cir. 1990) (failure to give notice of consequences if parole revoked at hearing).
713
Morrissey v. Brewer, 408 U.S. 471, 488-89 (1972); People v. Moore, 34 Cal.3d 215 (1983) (state has duty to preserve
and disclose material physical evidence).
714
Morrissey v. Brewer, 408 U.S. 471, 485 (1972); People v. Woodall, 216 Cal. App. 4th 1221 (2013) (probation
revocation procedures that fail to provide probable cause hearing do not violate due process rights if full hearing
occurs relatively soon or if preliminary hearing on any new criminal charges is conducted).
715
Morrissey v. Brewer, 408 U.S. 471, 488-489 (1972).
716
In re Carroll, 80 Cal. App. 3d 22, 34 (1978).
717
CAL. GOV’T CODE § 11185(a).
718
Morrissey v. Brewer, 408 U.S. 471, 488-89 (1972); Valdivia v Schwarzenegger, 599 F.3d 984, 989 (9th Cir. 2010).
719
See Gagnon V. Scarpelli 411 U.S. 778 (1973).
720
You keep this right to cross-examine a witness unless: a.) the hearing officer (i.e. the judge) determines that there
is “good cause” that the witness does not have to testify, and b.) that the “good cause” outweighs (exceeds) your
right to confront that particular witness.720 If the hearing officer determines that there is “good cause” that a witness
does not have to testify, then the hearing officer may take into consideration that witness’s past out-of-court
statements, even though the witness will not be in court you to confront. For example, if a judge determines that
there is “good cause” that a witness’s safety will be in danger if he or she testifies at your probation revocation
hearing, then the witness’s past statements are admissible at your hearing. But remember—the more important the
witness’s testimony is to the case, the stronger your right to confront and question that witness is (see U.S. v.
Comito, 177 F.3d 1166 (9th Cir. 1999); Valdivia v Schwarzenegger, 599 F.3d 984, 989 (9th Cir. 2010); People v. Arreola,
7 Cal.4th 1144, 1154 (1994).See also Gagnon V. Scarpelli 411 U.S. 778 (1973) (“[T]he minimum requirements of due
709
710

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721

6) A fair and unbiased hearing body; and
7) A written statement of the decision, the evidence relied on, and the reasons
722
for revoking parole.

!

IMPORTANT: You may waive (give up) your rights, either expressly—by
saying you give up the right, or by implication—by failing to assert the
right.723 Therefore, it is important that you take advantage of your rights
and complain if a right is violated.

CAN THE PROSECUTOR (D.A.) INTRODUCE EVIDENCE THAT WAS
OBTAINED IN VIOLATION OF MY FOURTH AMENDMENT RIGHT
AGAINST UNLAWFUL SEARCH & SEIZURE AT MY PROBATION
REVOCATION PROCEEDING?
724

Yes. You should note that the “exclusionary rule” that usually applies in a
criminal court trial—a rule that bars evidence obtained in violation of the Fourth
Amendment to the U.S. Constitution—does NOT apply in probation revocation
hearings. This means that even if evidence was suppressed in an earlier criminal
725
trial, it can still most likely be brought in to a later parole revocation hearing.

CAN A WITNESS BE EXCUSED FROM TESTIFYING IN FRONT OF
ME AT A PROBATION REVOCATION HEARING?
Witnesses may not be required to testify in front of you if they are deemed
726
fearful or confidential.
•

•

“Fearful witnesses” are witnesses whose identity is known to you but who: (1)
have indicated that they are at a risk of harm if they testify in your presence;
or (2) have requested that their contact information be withheld from you.
Testimony of a fearful witness can be taken outside the parolee’s presence,
but the parolee’s attorney must be present.
“Confidential witnesses” are witnesses whose identity you are unaware of
727
and who would be at a risk of harm if their identity were disclosed.
However, if confidential information is used as part of the reason you’re
charged with violating probation, you can request that the prosecutor
disclose (reveal) this information or prove that revealing this information
728
would create a risk of harm to the confidential witness.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
process include . . . “the right to cross-examine adverse witnesses . . . unless the hearing officer specifically finds
good cause for not allowing confrontation.”).
721
Morrissey v. Brewer, 408 U.S. 471, 488-89 (1972) .
722
See People v. Hawkins, 44 Cal. App. 3d 958 (1975); see also, Morrissey v. Brewer, 408 U.S. 471, 488-89 (1972).
723
In re La Croix (1974) 12 Cal.3d 146, 153.
724
See U.S. v. Vandemark, 522 F.2d 1019, 1020 (“This accords with the almost unanimous view that the exclusionary
rile does not usually apply in probation revocation settings.”). See also, People v. Harrison, 199 Cal. App. 3d 803,
808 (1988).(“We believe that federal [and state] law does [sic] not require application of the exclusionary rule to
probation revocation hearings”).
725
Pennsylvania Board of Probation & Parole v. Scott, 524 U.S. 357 (1998) (exclusion of evidence at parole hearing
would hinder functioning of parole system); In re Martinez, 1 Cal.3d 641, 649-652 (1970), disapproved on other
grounds in In re Tyrell J., 8 Cal.4th 68 (1994); In re Love, 11 Cal.3d 179, 190 (1974); see also, People v. Rackling, 195
C.A. 4th 872, 874 (2011) (finding that the Miranda exclusionary rule does not apply in probation revocation
proceedings).
726
The hearing officer may exempt a confidential informant from “confrontation and cross-examination.” Morrissey,
408 U.S. 471, 487 (1972) (stating that, “[h]owever, if the hearing officer determines that an informant would be
subjected to risk of harm if his identity were disclosed, he need not be subjected to confrontation and crossexamination”).
727
See United States v. Comito (9th Cir. 1999) 177 F.3d 1166; In re Melendez (1974) 37 Cal. App. 3d 967, 973; In re
Prewitt (1972) 8 Cal.3d 470, 477-78. But see People v. Stanphill (2009) 170 Cal. App. 4th 61 (no need for balancing
test where statement meets hearsay exception as “spontaneous statement”).
728
See In re Prewitt, 8 Cal.3d 470, 478 (1972); In re Love, 11 Cal.3d 179 (1974) (due process violation in failure to
disclose contents of “confidential” report where disclosure would not endanger any informant).

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WHAT HAPPENS IF A VERY IMPORTANT WITNESS DOESN’T
SHOW UP TO THE PROBATION REVOCATION HEARING, EVEN
THOUGH HE/SHE WAS REQUIRED TO ATTEND?
If a very important (called “material”) state witness fails to attend a parole
revocation hearing, and the hearing cannot fairly proceed without the witness,
729
the court can postpone the hearing or dismiss the case.

SENTENCING
HOW LONG CAN I BE SENTENCED TO JAIL TIME FOR A
PROBATION REVOCATION?
It depends on what your original conviction was for. When your probation is
revoked and terminated, the court may—if the original sentence was
suspended—now sentence you to jail for the longest period (the maximum
sentence) that you could have originally been sentenced for the specific crime
730
you were convicted of committing.

COULD I BE SENTENCED TO PRISON INSTEAD OF JAIL FOR A
PROBATION REVOCATION?
It’s possible. You could be sentenced to prison time instead of jail time if the
crime that you were originally convicted of is one that would have allowed a
731
judge to sentence you to prison. On the other hand, if the crime you were
originally convicted of would not have allowed a judge to sentence you to prison
time, then your probation revocation time cannot be sentenced to prison either.

SUMMARY OF SENTENCING FOR PROBATION
REVOCATION PROCEEDINGS
What are the options the court has for sentencing/ punishment if they revoke
probation? The judge could:
1) Reinstate your probation on the same terms and conditions;
2) Reinstated and modify (change) the terms of your probation to make them
more difficult, (including adding fines, community service, or public works
service); OR
3) Revoke and terminate your probation—and send you to jail or prison,
732
depending on the commitment offense.

IF MY PROBATION IS REVOKED AND TERMINATED, HOW LONG
WILL I BE SENT TO PRISON OR JAIL?
It depends. The length of time that you will be sentenced depends on what the

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

To decide whether the witness’s testimony would be “material,” the court will weight the importance of the
witness’s expected testimony against the availability and reliability of any alternative source of the same information.
Also, if the state’s material witnesses fail to appear, but your witnesses are present, you and your attorney may want
to ask that the court to take the testimony of your witnesses before postponing the rest of the hearing.
See CAL. PENAL CODE § 1050(e).
730
CAL. PENAL CODE § 1203.2 (c).
731
CAL. PENAL CODE § 1203.2 (d). The statute reads: “In any case of revocation and termination of probation,
including, but not limited to, cases in which the judgment has been pronounced and the execution thereof has
been suspended, upon the revocation and termination, the court may, in lieu of any other sentence, commit the
person to the Department of Corrections and Rehabilitation, Division of Juvenile Facilities if he or she is otherwise
eligible for such commitment.” CAL. PENAL CODE § 1203.2 (d).
732
CAL. PENAL CODE § 1203.1(j).
729

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judge ordered at the time you were sentenced. When you were initially
sentenced to probation, the sentencing judge had the option of either ordering
that the Execution of Sentence be Suspended (ESS) or ordering that the
Imposition of Sentence be Suspended (ISS). Trying to figure out if the judge
imposed ESS or ISS can be tricky. This is a technical area of law, you should be
asking your attorney or public defender if you are not sure whether the judge
ordered ESS or ISS.
Here are the basics:
• ESS means that the sentence is only executed (meaning, you serve the
sentence) if your probation is revoked because you violated your probation
conditions.
• ISS means that your sentence has not yet been determined at the time the
judge sentences you to probation. But, if you have ISS and you violate the
terms of your probation, and you probation is revoked, then the court, at time
that the court finds you in violation of your probation, will sentence you to
whatever length sentence (up to the maximum for your specified offense) it
733
deems appropriate.

CHALLENGING A REVOCATION DECISION
WHAT RIGHTS DO I HAVE IF I AM A PERSON WITH A DISABILITY
GOING THROUGH PROBATION REVOCATION PROCEEDINGS?
The ADA and California state law protect your rights during probation revocation
734
proceedings. In addition, you have a constitutional right to Due Process during
735
a revocation hearing, this means that the court must give you notice of and
ensure that you can participate effectively in the hearing. (See PG. 223 above for
more information on your Due Process rights during a probation revocation
hearing).
If you have a disability, you have the following rights during probation revocation
proceedings:
•

•

736

Reasonable accommodations from Probation staff Examples of
accommodations include: Ensuring access to the hearing room for a person
with mobility impairments; providing Braille or taped documents or reading
assistance for a vision-impaired person; providing assistance in
communicating for a developmentally disabled person; or providing sign
language interpretation for a hearing-impaired person.
Probation staff must use effective communication and provide
accommodations when interacting with people on probation with
737
disabilities. That means that they must use effective communication and
provide accommodation when arresting parolees or modifying conditions of
738
probation.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

If you plead guilty and have ISS, then whether or not your sentence will be imposed in front of the same judge
who accepted your guilty plea depends on whether or not you signed an Arbuckle waiver. An Arbuckle waiver
occurs when a defendant waives his right to be sentenced by the same judge who presided over his/her
trial/accepted the change of plea. Without an Arbuckle waiver, any sentencing imposed by another judge is
unlawful.
734
CAL. GOV’T CODE § 11135(a).
735
U.S. CONST. amend. 14; CAL. CONST. art. 7; see also CAL. PENAL CODE § 1203.2; People v. Vickers, 8 Cal. 3d 451
(1972).
736
See 42 U.S.C. § 12101 et seq. Fore more information about reasonable accommodations, and about the rights of
disabled persons who are on parole or probation, please see: Prison Law Office Parolee Handbook (Aug. 2013), 43.
737
Prison Law Office Parolee Handbook (Aug. 2013), 43
738
See Armstrong Remedial Plan (Jan. 3, 2001), § IV.S; Clark Remedial Plan (Mar. 1, 2002), § VIII.
733

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•
•
•

In the courtroom, attorney and court are responsible for meeting your needs
739
during the court processes.
Additional assistance to accommodate your disability so that ensure that you
740
can fully and successfully participate in the revocation proceeding.
Information about your right to receive accommodations and equal
treatment, and how this affects your probation programming and
741
requirements.

IMPORTANT TIPS IN COURT:
•

•

•

Tell the judge about your disability and how it affects your probation:
Remember, the judge has much more power than your probation officer in
deciding whether or not to revoke your probation. So if your disability is
making it difficult for you to comply with your probation conditions (and if this
is the reason for your revocation), you should try to explain this to the judge.
Remember to bring documentation (i.e. letters from doctors, medical reports)
of your disability to court with you.
Tell the Judge what assistance you need from the Probation Department to
accommodate your disability: You should also explain if you need any
additional assistance from the Probation Department.742
Bring Witnesses: Finally, you can also bring any witnesses (for example, a
doctor, therapist, or other service provider) and evidence (such as a letter
from your doctor or prescription for medication) to show how your disability
affects you.

CAN I CHALLENGE A DECISION/ACTION BY THE COUNTY
SUPERIOR COURT?
Yes. If you are on probation and would like to challenge a revocation decision or
action made by a court, you can file a direct appeal that allows you appeal “any
743
order made after judgment, affecting the substantial rights of the party.”
STEP 1: To file an appeal, you must file a notice of appeal in the superior court
744
within 60 calendar days after the court’s decision.
STEP 2: When you file a timely notice of appeal, the County Superior will prepare
a record of the probation revocation proceedings consisting of all the
documents filed in the court and transcripts of the hearings and provide these
documents to you, the court, the state (the prosecutor).. In a direct appeal, the
court must appoint an attorney to represent the you for free if you do not have
enough money to pay for one. If you wish to have a court-appointed attorney,
you must file a timely notice of appeal within 60 calendar days after the court’s
decision. For a list of California County Superior Courts, visit:
http://www.courts.ca.gov/find-my-court.htm.
STEP 3: If you do not file a timely notice of appeal or if your case involves
information outside the court record, then you may be able to raise the issues in
a state court petition for a writ of habeas corpus (see explanation in Appendix K,
on PG. 312).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
739
740
741
742
743
744

See CAL. RULES OF COURT, Rule 1.100(b). See also, CAL. CIV. CODE § 51 et seq.
28 C.F.R. § 35.106.
28 C.F.R. § 35.106.
Telephone conversation with Tony Crear, Alameda County Probation Department
CAL. PENAL CODE § 1237(b).
CAL. RULES OF COURT, rule 8.308.

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There are many types of issues that you can raise in a challenge to a revocation
proceeding or decision. Claims can be based on violations of state or federal
constitutional due process rights, California or federal statutes, or California
administrative rules. For example, a person could argue that the revocation
hearing is being unreasonably delayed, that he or she was denied the right to
cross-examine witnesses at the hearing, or that the revocation decision was not
supported by the evidence. Unfortunately, in most cases, the process for raising
such challenges will be too slow to provide any relief before you serve the entire
revocation term. However, you may still benefit by getting their your revocation
cases re-heard, getting their revocations vacated, and/or getting the time served
for the revocation deducted from the controlling parole discharge date.

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Brief Introduction to Parts IV, V, and VI of this Chapter:
Federal Community Supervision
We mentioned earlier that each state in the U.S. runs its own criminal justice system—
including deciding criminal laws, methods of incarceration, and community supervision. In
addition to each state running its own system, the federal government (which oversees all
the states) has a separate system to prosecute federal offenses (including things like drug
!trafficking, human trafficking, immigration, national security, computer fraud, corporate
“white-collar” crimes.) In the next two sections of the PAROLE & PROBATION CHAPTER,
you will learn about the types of correctional supervision in the community that are RUN
BY THE U.S. FEDERAL GOVERNMENT:
• Part IV covers FEDERAL PROBATION
• Part V covers FEDERAL SUPERVISED RELEASE
• Part VI covers FEDERAL PAROLE

IV. FEDERAL COMMUNITY
SUPERVISION: FEDERAL
PROBATION
WHAT WILL I LEARN?
•
•
•
•
•
•
•
•

Important basic information about Federal Probation
What to expect in your first days out on Federal Probation
The general conditions of Federal Probation
What extra (special) conditions of Federal Probation can be
added
How to challenge the conditions of Federal Probation
How to transfer locations while on Federal Probation
The process of violations & revocations on Federal Probation
Your rights as a person with a disability on Federal Probation

BASICS OF FEDERAL PROBATION
WHAT IS FEDERAL PROBATION?
After you are convicted of a federal crime, federal probation is often used as an
745
alternative sentence to prison time. That means that federal “probation” is still
considered a sentence in and of itself. For the most part, if you are placed on
federal probation, you must report to your assigned probation office and comply
746
with all the rules (terms and conditions) of your federal probation.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

A defendant may receive a sentence of probation unless he or she is convicted of a Class A or B felony; probation
is prohibited by statute of conviction; or the defendant is sentenced at the same time to imprisonment. 18 U.S.C.
§ 3561(a). A court’s authority to impose probation is based solely on statute. See Affronti v. U.S., 350 U.S. 79, 83
(1955). The authorized length of probation is between one and five years for a felony; not more than five years for a
misdemeanor; and not more than one year for an infraction. 18 U.S.C. § 3561(c).
746
18 U.S.C. § 3563(b)(15). Ever since 1984 (the time when the “Sentencing Reform Act” went into effect), federal
criminal courts; see also United States Sentencing Commission, Guidelines Manual,
http://www.ussc.gov/sites/default/files/pdf/guidelines-manual/2012/manual-pdf/Chapter_7.pdf.
745

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WHO IS SUPERVISED BY FEDERAL PROBATION?
1) People who are on “federal probation”
2) People who are on something called “supervised release”
3) People who would have, in the past (and today in Washington, D.C. only) be
put on federal parole

AFTER RELEASE: WHAT TO EXPECT IN YOUR
FIRST DAYS OUT ON FEDERAL PROBATION
WHEN MUST I REPORT TO MY PROBATION OFFICER?
You must report to your probation officer within 72 hours (3 days), or sooner if a
747
judge or U.S. Probation Officer orders you to.
Read the written statement given to you by U.S. Probation for information on
748
where, when, and to whom you should report. If you cannot remember where
you were supposed to report or have lost your written statement, you should
749
report to the nearest U.S. Probation office and they will be able to help you.
To find the U.S. Probation office closest to you:
1)

Go to the U.S. Courts’ website here:
http://www.uscourts.gov/Court_Locator/CourtLocatorSearch.aspx
2) Fill in your city, state, and zip code.
3) Under the “Court Type” drop-down menu, choose “Probation Offices”
4) A list of offices nearest you will appear. If you click the link for “Details” on
any one of those listings, it will take you to a new web page with the street
address, phone number for the U.S. Probation office, and an interactive map
of the location.
Sometimes the Federal Bureau of Prisons (BOP)—which oversees the federal
prison system across the country—will release you to a transitional house (a
“halfway house”), before you’ve reached your actual release date—usually 6
months ahead of time.
Before you leave federal prison, the prison staff will give you a “Notice of
Release and Arrival” (Form BP-S714.056), which will clearly state the exact
amount of time you are allowed for transportation from the prison to the
transitional house. Once at the transitional house, you might be subject to a
lockdown period (for example, a 72-hour lockdown period)—meaning you cannot
leave for those days.
After being released from a transitional house, Federal Probation staff will give
you another Notice of Release and Arrival (Form BP-S714.056). For some people
on federal probation, that is the moment that the 72-hour clock for checking in
with your Probation Officer begins. That form will also clearly state your home
confinement date. The transitional house you are leasing in may have
requirements you first have to meet to their satisfaction before you will be
released to home confinement—usually on an ankle monitor until the 6 months
are up.!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See United States Probation Office, Central District of California, Frequently Asked Questions,
http://www.cacp.U.S.C.ourts.gov/faq.
748
18 U.S.C. § 3564(d).
749
Telephone call with Duty Officer at the San Francisco United States Probation Office on March 19, 2015.
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LENGTH OF FEDERAL PROBATION
HOW LONG IS MY SUPERVISION UNDER FEDERAL PROBATION?
The maximum term of probation that can be imposed depends on the type of
750
conviction offense:
(1) FELONY CONVICTION: Minimum 1 year to maximum 5 years (maximum); or
(2) MISDEMEANOR CONVICTION: Maximum 5 years.
751
(3) INFRACTION: Maximum 1 year.
Therefore, to know the range of time you could be sentenced to federal
probation, you will need to know if you were convicted of a felony,
misdemeanor, or infraction. If you aren’t sure, ask your federal public defender
or your probation officer.

CAN I GET OFF OF FEDERAL PROBATION EARLY?
Possibly. You can ask for early release from federal probation from the judge
who originally sentenced you.
•
•

For a misdemeanor conviction or an infraction, you can file a petition and ask
the judge to terminate your federal probation at any time.
For a felony conviction, you can file a petition and ask the judge to terminate
752
your federal probation after one year. Talk to your U.S. Probation Officer
about this request first, because he or she can help you ask the judge for
this.

The court has the power to decide whether or not to let you off probation early.
In most cases, judges will deny requests to be let off probation early. But that
doesn’t mean that you shouldn’t try, especially if you’ve done really well on your
probation. And remember, it is really helpful if your Probation Officer supports
your request.
You have the best shot of being let off of federal probation EARLY if:
•
•
•
•
•

You have completed 2/3 of your probation term (or at the very least, you are
½ way through),
You have had no violations,
You have complied with all the terms of your probation,
You have paid all restitution an fines, and
753
Your probation officer agrees that you should be let off early

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

There are three types of crimes in the federal criminal justice system: Felonies, Misdemeanors, and Infractions.
Felonies are offenses for which a term of imprisonment of more than one year is possible. Misdemeanors are
offenses for which a term of imprisonment no greater than one year may be imposed. Finally, Infractions are
offenses for which the term of imprisonment may be no longer than five days. See 18 U.S.C. § 3559.
751
18 U.S.C. § 3561(c)(1)(3). The United States Sentencing Guidelines provide a recommendation to sentencing
judges based on a number of factors, including the seriousness of the instant offense and the defendant’s prior
criminal record. Ultimately, this recommendation is reflected in a Guideline Sentencing Range sitting at the
intersection of the applicable Offense Level and Criminal History Category. See United States Sentencing
Guidelines 2014 Sentencing Table, http://www.ussc.gov/sites/default/files/pdf/guidelinesmanual/2014/2014sentencing_table.pdf; U.S.S.G. § 1B1.1 General Application Principles,
http://www.ussc.gov/sites/default/files/pdf/guidelines-manual/2014/GLMFull.pdf. The Sentencing Guidelines
recommend that probation be imposed for at least one year, but no longer than five years, if the Guideline Offense
Level is 6 or greater. When the Guideline Offense Level is less than 6, the Guidelines recommend probation be
imposed for no greater than three years. See U.S.S.G. § 5B1.2(a), Term of Probation,
http://www.ussc.gov/sites/default/files/pdf/guidelines-manual/2013/manual-pdf/2013_Guidelines_Manual_Full.pdf.
752
18 U.S.C. § 3564(c).
753
See Federal Defenders of New York, Supervised Release, http://federaldefendersny.org/information-for-clientand-families/supervised-release.html.
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What factors might the judge consider in my request?
It depends on the judge. Ultimately, the decision to end your federal
probation early is up to the judge who originally sentenced you. To get
off of federal probation early, you must show the judge that you have
earned it through good conduct, and it must be in the interest of
754
justice. See APPENDIX EE PG. 358 for more information about.
Here is the full list of factors that the judge may consider when deciding
whether to let you off probation early:
"
"
"
"
"
"
"
"
"

Whether or not your Probation Officer or the Prosecutor support
your request;
The nature and seriousness of the crime you were convicted of;
Your criminal history and/or mental illness history;
Whether the judge believes you are a threat to the public;
Whether the judge believes you have been sufficiently punished;
Whether you have completed any substance abuse treatment or
rehabilitation programs;
How your sentence compares to the federal sentencing guidelines
recommended sentence;
755
U.S. Sentencing Commission policy statements;
756
Whether you’ve paid restitution to the victims.

COULD MY TIME ON FEDERAL PROBATION BE EXTENDED
BEYOND THE ORIGINAL SENTENCE?
Yes, but only if you were not originally given the maximum term on federal
probation that would be allowed under law. The judge may extend your
probation at any time before the end of your sentence, but must give you a
hearing before doing so. At that court hearing, the judge can make your
probation term longer if he or she did not originally give you the maximum
757
authorized term.
A judge may extend your time on federal probation instead of sending you to jail
if he or she finds you violated your conditions of probation (see PG. 233 which
discusses conditions of federal probation). The maximum amount of time you’ll
spend on federal probation supervision depends on whether you were convicted
of a felony, misdemeanor, or infraction. Look at PG. 231 to figure out the
maximum amount of time you could spend on federal probation.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

18 U.S.C. § 3564(c).
In 2011, the Sentencing Commission issued a policy statement informing judges that they may let former
narcotics abusers from supervised release early, if that person has successfully completed a treatment program. See
United States Sentencing Commission, 2013 Guidelines Manual, http://www.ussc.gov/guidelinesmanual/2013/2013-5d12. See 18 U.S.C. § 3583(e)(1)-(2).
756
See 18 U.S.C. § 3553(a)(1)-(7).
757
18 U.S.C. § 3564(d).
754
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CONDITIONS OF FEDERAL PROBATION
WHAT ARE CONDITIONS OF FEDERAL PROBATION, AND WHY
ARE THEY IMPORTANT?
Your conditions of federal probation are the rules set by the judge that you must
follow if you want to remain in the community under supervision, and not be
sent back to prison. These are called “release conditions”—they tell you what
you can and can’t do in the community. These conditions are broken down into
two types: (1) mandatory conditions and (2) discretionary conditions.
Examples include:
•
•
•
•
•
•
•
•
•

Not being able to own/store guns or other weapons;
No contact with victims or witnesses; restrict your association with certain
people or groups;
Restricted travel;
Curfews;
Community service;
Electronic monitoring;
Employment requirements;
Mental health treatment;
Substance abuse treatment.

It is important for you to know what conditions you must follow on federal
probation so that you don’t get into trouble or sent to prison for violating those
rules.
Also: be sure to talk to your U.S. Probation Officer about how to get connected
758
to any needed services or resources offered in your community.

WHERE CAN I FIND A WRITTEN STATEMENT OF MY CONDITIONS
OF FEDERAL PROBATION?
The judge must direct the probation officer to provide you with a written
statement that explains all the conditions you must follow, and is clear and
759
specific enough to guide your conduct under supervision.
The conditions of supervision are also listed on the “Judgment in a Criminal
Case” produced by the court after your sentencing hearing. Ask your attorney or
the Clerk of the Court where you were sentenced for a copy of this document so
that you can be sure of your obligations to the Court. Most judges will not
excuse your failure to comply with the conditions of supervision simply because
760
you did not receive a copy of the conditions.

HOW OFTEN DO I HAVE TO SEE MY PROBATION OFFICER IF I AM
ON FEDERAL PROBATION?
It depends. How often you must report to your probation officer varies widely

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Reentry Council, Getting Out Staying Out: A Guide to San Francisco Resources for People Leaving Jails and
Prisons, 30, http://sfreentry.com/wp-content/uploads/2013/07/1213-2nd-printing-GOSO.pdf.
759
18 U.S.C. §§ 3563, 3583.
760
This is because the Judge also reads all of the conditions to you at your sentencing hearing.
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based on the individual “supervision plan” developed for you by your probation
761
officer.
Some supervision plans require weekly meetings and even more frequent phone
contact; for others, occasional or monthly contact is sufficient. Meetings may
762
take place at the probation office, your home, or your workplace. Probation
officers sometimes make “surprise” visits. For this reason, it is important that
you always inform your probation officer of any changes to your work schedule.

WHAT IS THE DIFFERENCE BETWEEN MANDATORY &
DISCRETIONARY CONDITIONS?
Federal law governs the mandatory conditions of federal probation (the law
breaks it down into a list of mandatory conditions (required) and discretionary
763
conditions (not required).
1) Mandatory conditions are the rules that judges must impose.
2) Discretionary conditions are the rules that judges can, but do not have to,
impose.
If a judge wants to impose a discretionary condition, he or she MUST find that
764
the condition reasonably relates to sentencing factors, and is reasonably
765
necessary for the purposes of supervision.
The only difference to note is that intermittent confinement may be imposed as
a condition of probation during the first year of federal probation. Intermittent
confinement means temporarily going into Bureau of Prisons (BOP) custody for a
766
night, a weekend (or possibly for a longer period of time).

WHAT ARE THE MANDATORY CONDITIONS ON FEDERAL
PROBATION?
The following conditions are mandatory and apply to EVERYONE on
Federal Probation. (Note: These also apply to everyone on Supervised
Release, see PG. 243.)
1)

POSSIBLE
EXCEPTION TO
THE BAN ON
SUBSTANCE USE
The Court can
completely remove
or suspend this
condition if your
pre-sentence report
(or other reliable
sentencing
information)
indicated a low risk
of future substance
abuse.

You cannot commit another federal, state, or local crime during
the entire length of your federal probation. The court must
make this condition known and clear to you.
2) You cannot unlawfully use a controlled substance.
3) You must submit to one drug test within 15 days of release and
at least 2 periodic drug tests thereafter (as determined by the
court).
a) Consequences for a confirmed positive drug test include:
b) Possible prison time, and
c) Court-ordered participation in a substance abuse treatment program
(unless your current or past participation in such a program warrants an
767
exception)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See 18 U.S.C. § 3563(b)(15) (permitting the Court to order a defendant to report to a probation officer as directed
by probation)
762
See Federal Judicial Center, Who Does What?,
http://www.fjc.gov/federal/courts.nsf/autoframe!openform&nav=menu1&page=/federal/courts.nsf/page/360.
763
18 U.S.C. § 3563.
764
See 18 U.S.C. § 3553(a) (listing the sentencing factors Judges must consider when imposing sentence).
765
18 U.S.C. §§ 3563(b); 3583(d), 3583.
766
18 U.S.C. § 3563(b)(10).
767
18 U.S.C. §§ 3563, 3583.
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768

5) You must cooperate in the collection of a DNA sample. You may be
placed in prison for up to one year or fined up to $100,000 if you fail to
cooperate with a DNA sample.
6) You must notify your U.S. probation officer if there is any significant change
in your income or economic circumstances, which would impact how much
769
you can pay towards any unpaid restitution, fines, or special assessments.
Even those receiving SSI/SSDI “Disability” benefits will be asked to pay. If
you are low-income, you should communicate with your probation officer
about how you might be able to arrange payments you can afford.

!

IMPORTANT NOTE: OTHER MANDATORY CONDITIONS MAY APPLY
DEPENDING ON YOUR COMMITMENT OFFENSE!!! See the next quetion.

WHAT ARE ADDITIONAL MANDATORY CONDITIONS THAT ONLY
CERTAIN PEOPLE ON FEDERAL PROBATION HAVE TO FOLLOW?
The following are mandatory conditions that apply to ONLY CERTAIN people on
Felony Probation, depending on your commitment offense.
> MANDATORY CONDITIONS if you were convicted of a felony:
You must also follow at least one of the following two conditions, as ordered by
the judge:
770
• Pay restitution to a victim of the offense, OR
771
• Perform community service.
EXCEPTIONS: You do not have to obey one of these two additional conditions if
one of the following applies to you:
• The judge imposed a fine that removed this requirement; OR
• The judge finds on the record that extraordinary circumstances exist that
would make such a condition plainly unreasonable, in which case the judge
772
must impose one or more of the other discretionary conditions.
> MANDATORY CONDITION if you are required to register as a sex offender:

773

You must comply with all the requirements of the Sex Offender Registration &
774
Notification Act.

WHAT DISCRETIONARY CONDITIONS WILL I HAVE TO FOLLOW
ON FEDERAL PROBATION?
For a discretionary condition to be lawful, the following must be true:
1)

It must be “reasonably related” to the nature and circumstances of the
offense, your personal history and characteristics, the need to protect the
public from you committing future crimes, and the need to provide you

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

18 U.S.C. § 3563. For people on supervised release, DNA samples are usually taken prior to your release
(especially if you were convicted of murder, voluntary manslaughter, enslavement, kidnapping, robbery, burglary
incest, or arson). But if your DNA sample was not taken prior to your release, some Districts contract with companies
who will take your DNA sample after your release. See United States Courts, Judiciary Begins Sample Collection for
DNA Testing, http://www.U.S.C.ourts.gov/News/TheThirdBranch/02-0201/Judiciary_Begins_Sample_Collection_for_DNA_Testing.aspx.
769
18 U.S.C. § 3563.
770
18 U.S.C. § 3563(b)(2) (You must make restitution to a victim of the offense under section 3556 (but not subject to
the limitation of section 3663(a) or 3663A(c)(1)(A))).
771
18 U.S.C. § 3563(b)(12).
772
18 U.S.C. § 3563(a)(2).
773
42 U.S.C. § 16911, et seq.
774
18 U.S.C. § 2250.
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educational or vocational training, medical care, or other correctional
treatment; AND
2) It cannot deprive you of liberty (meaning, your ability to live your life freely
without excessive restrictions) any more than “reasonably necessary” to
deter future crimes, protect the public, and for the purpose of providing you
775
with training and treatment.
A judge may order discretionary conditions on your federal probation—but only
if it meets this two-part legal standard.
Furthermore, discretionary conditions of federal probation can be thought of in
two categories—(1) “standard conditions,” which are imposed in almost every
person’s case (see note directly below), and (2) other discretionary conditions
that may be added to you in particular (see the next question).
AN IMPORTANT NOTE ABOUT STANDARD CONDITIONS:
The list of “Standard Conditions” below—while technically discretionary (not
required)— will be added by the judge in almost every case of federal probation
(the same is true for Supervised Release, see PG. 243). These “standard
conditions” will be IN ADDITION TO the general conditions of federal probation
776
discussed on PG. 234 above. For a full list, please see PG. 353. If you are on
federal probation that means you will likely have to follow all of these rules.

WHAT RULES MUST THE JUDGE FOLLOW WHEN ORDERING
DISCRETIONARY CONDITIONS ON MY FEDERAL PROBATION?
To add a discretionary condition to your federal probation, the judge must find
that that the conditions are reasonably related to the following factors:
• The nature and circumstances of the offense;
• Your personal history and characteristics;
• Reflecting the seriousness of the offense, to promote respect for the law and
to provide just punishment for the offense;
• Adequately deterring future criminal conduct;
• Protecting the public from further crimes committed by you; and/or
• Providing you with needed educational or vocational training, medical care,
777
or other correctional treatment in the most effective manner.
• Furthermore, if the additional discretionary conditions deprive you of liberty
or property, the judge must find that the conditions are reasonably necessary
to:
o Reflect the seriousness of the offense, to promote respect for the law,
and to provide just punishment for the offense;
o Adequately deter future criminal conduct;
o Protect the public from further crimes committed by you; and/or
o Provide you with needed educational or vocational training, medical
778
care, or other correctional treatment in the most effective manner.
Courts have emphasized that ALL of these requirements MUST be satisfied for a
779
judge to impose a special condition.
If you want to learn about your rights to challenge or change a discretionary
condition of your federal probation, see the next Question & Answer on PG. 106.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

18 U.S.C. § 3583(d).
See 18 U.S.C. § 3583; U.S.S.G. § 5D1.3(b)–(d) (standard conditions” are set forth in U.S.S.G. § 5D1.3(c)).
See 18 U.S.C. § 3563(b) (referring to 18 U.S.C. §§ 3553(a)(1), (a)(2)).
778
See 18 U.S.C. § 3563(b) (referring to 18 U.S.C. § 3553(a)(2)).
779
See, e.g., U.S. v. Bender, 566 F.3d 78 (8th Cir. 2009); U.S. v. Perazza-Mercado, 553 F.3d 65 (1st Cir. 2009); U.S. v.
Pruden, 398 F.3d 241, 249 (3d Cir. 2005).
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CAN I ASK THAT MY CONDITIONS OF FEDERAL PROBATION BE
CHANGED?
Yes. The judge may change, reduce, or increase the conditions of a sentence of
780
federal probation at any time before your probation term ends. The judge may
change or increase the conditions of your probation if you violate a condition of
probation. In the best-case scenario—if you have not had any violations and you
have fulfilled all probation requirements—the judge may end your probation
781
early. In the worst-case scenario, the judge may revoke your probation and
sentence you to time in prison.

CAN I CHALLENGE UNLAWFUL DISCRETIONARY CONDITIONS
THAT WERE ADDED ON TO MY FEDERAL PROBATION?
YES. If you think that a discretionary condition is illegal, then you can appeal the
condition.
For a federal probation condition to be LAWFUL:
(1) It must be “reasonably related” to the nature and circumstances of the
offense, your personal history and characteristics, any concerns of public
safety, and the need to provide you educational or job training, medical
care, or correctional treatment; AND
(2) Cannot deprive you of liberty (meaning, your ability to live your life freely
without excessive restrictions) any more than “reasonably necessary” to
deter future crimes, protect the public, and provide you with training and
782
treatment.
Courts have emphasized that BOTH of these requirements must be met to
783
impose a DISCRETIONARY CONDITION on you. If you object to a special
condition, it is the government’s responsibility (NOT yours) to show that the
784
condition is legally justified. We suggest that you speak with an attorney if you
think a condition of your probation is illegal.

HOW CAN I CHALLENGE UNLAWFUL DISCRETIONARY
CONDITIONS THAT WERE ADDED ON TO MY FEDERAL
PROBATION?
Within 14 days of your sentencing hearing, you must file a Notice of Appeal with
785
the Clerk of the Court where you were convicted. Once this occurs, you
should contact the Federal Public Defender’s Office in your federal judicial
district. For a list of Federal Public Defender’s Offices in California, visit:

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

18 U.S.C. §§ 3563, 3583; see also FED. R. CRIM. PRO. 32.1 (describing the procedures required for the probation
officer to petition the Court for a modification or revocation of probation or supervised release, and for the Court in
adjudicating a potential revocation or modification). The Court can also modify or revoke your Federal Probation or
Supervised Release after the official end of the term (i.e., a specific number of years after your release from custody)
so long as the violation and Probation Officer’s Petition to Modify or Revoke was filed with the Court before the
official end of the term of supervision. This means that the Probation Office can obtain an arrest warrant years after
an event occurred.
781
18 U.S.C. § 3563(c); see also FED. R. CRIM. PRO. 32.1.
782
18 U.S.C. § 3583(d).
783
See, e.g., U.S. v. Bender, 566 F.3d 78 (8th Cir. 2009); U.S. v. Perazza-Mercado, 553 F.3d 65 (1st Cir. 2009); U.S. v.
Pruden, 398 F.3d 241, 249 (3d Cir. 2005).
784
U.S. v. Weber, 451 F.3d 553 (9th Cir. 2006) (“We have long held that a term of supervised release is part of a
defendant’s sentence . . . and, like imprisonment, restricts a defendant’s liberty and fundamental rights . . .. As a
result, when the government seeks to restrict a defendant’s liberty through a term of supervised release, it
shoulders the burden of proving that a particular condition of supervised release involves no greater deprivation of
liberty than is reasonably necessary to serve the goals of supervised release.”).
785
Fed. R. App. Pro. 4(b)(1)(A).
780

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http://www.fd.org/docs/defender-contacts/federal-public-and-communitydefender-directory.pdf?sfvrsn=9.
NOTE: The same rules and processes apply for challenging discretionary
conditions of Supervised Release as for federal probation (refer back to PG. 106
for challenging conditions of federal probation.)

TRANSFER LOCATIONS ON FEDERAL
PROBATION
The same rules and processes for transferring and moving residences apply to
both federal probation and Supervised Release (Supervised Relase transfers
discussed on PG. 252).

I AM ON FEDERAL PROBATION OR SUPERVISED RELEASE, AND I
WANT TO MOVE. HOW CAN I DO THAT?
The process depends on whether you are asking to move to a new residence
within the same district OR to a new residence in a different district.
In a nutshell, it’s easier to move within the same district than to move to a new
one. The steps below outline both possibilities:
POSSIBILITY #1:
If you are moving to a new residence within your current district, follow these
steps:
STEP 1: Notify your Probation Officer that you want to change your address, and
submit that address and the contact information for anyone else living at that
address. You must get permission from your Probation Officer to move within
your current U.S. Probation District—even if it’s across the street.
STEP 2: Your Probation Officer will investigate the new address—so long as it is
located in the same U.S. Probation District. As part of that investigation, your
Probation Officer will:
1) Make sure the new address actually exists;
2) Make sure that other people living at the new address are willing and able to
have you in their home;
3) Run a background check on everyone living at the new address;
4) PLEASE NOTE: Since it is a standard condition for all people on Federal
Probation or Supervised Release to avoid associating with anyone else who
has a felony conviction, your request to move/transfer to live with someone
who has been convicted of a felony will likely be denied.
5) Make sure that everyone at the new address knows about and agrees to the
786
“Search Condition” of your Federal Probation or Supervised Release.
6) Make sure there are no weapons at the new address.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

The Search Condition might read something like “The defendant is prohibited from possessing controlled
substances. To ensure that the defendant is in compliance, the defendant will submit to search of his person, home,
or vehicle at any time of the day or night by any law enforcement or probation officer without cause.” This means
your friends may get searched if at your home (or vice versa). If either of you have any contraband, there is a good
chance both of you will be getting in trouble.
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POSSIBILITY #2:
If you are moving to a new residence outside of your current U.S. Probation
District, it’s suggested that you follow these steps:
STEP 1: Before you ask for a formal transfer to a new district—which can be a
longer, more challenging process—ask your probation officer for what is called
“courtesy supervision” by another district. This technically keeps your case in
the original district, but allows you to live in and travel to the district of your
choice. Your probation officer AND the probation officer of the other district
have to agree. After doing this, it is much easier to transfer to the courtesy
district than to just transfer from one district to another without “courtesy
supervision” being set up first.
STEP 2: If “courtesy supervision” is denied or doesn’t work out, you can still
request a formal transfer. Tell your Probation Officer that you want to change
your address, and submit that address and the contact information for anyone
else living at that address. You must get permission from your Probation Officer
to move to a new address in a different U.S. Probation District.
STEP 3: Your Probation Officer must submit a “Transfer Investigation” to the
new district. The Transfer Investigation generally takes 30 days or longer, since
both your current district and the new district must investigate your new
proposed address and approve the transfer. As part of the “Transfer
Investigation,” a Probation Officer in the receiving District will:
1) Make sure the new address actually exists;
2) Make sure that other people living at the new address are willing and able to
have you in their home;
3) Run a background check on everyone living at the new address;
a) PLEASE NOTE: Since it is a standard condition for all people on Federal
Probation or Supervised Release to avoid associating with anyone else
who has a felony conviction, your request to move/transfer to live with
someone who has been convicted of a felony will likely be denied.
4) Make sure that everyone at the new address knows about and agrees to the
“Search Condition” of your Federal Probation or Supervised Release.
5) Make sure there are no weapons at the new address.
STEP 4: The receiving District must approve or deny the transfer after
conducting the “Transfer Investigation.” The receiving district can deny your
request to transfer/move for any reason. The sending district where you are
currently supervised must wait for a response before it can act to transfer your
787
supervision.

!

IMPORTANT NOTE! Some districts have hard and fast rules about certain
offenses—e.g., they won’t accept people with sex offenses, or the
receiving district will require a more onerous investigation of that person.

I AM ON FEDERAL PROBATION AND WANT TO MOVE/TRANSFER
TO A NEW STATE. HOW CAN I DO THAT?
To transfer districts, it’s best to first discuss it with your Probation Officer, who
will review your plan and make sure you meet certain criteria required for
transfer. To have the transfer request approved, you must get the permission of
BOTH your current probation officer AND a probation officer from the new
district. Only those transfers that follow the U.S. Parole Commission’s

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
787

Phone Call with Amy Rizor, Supervisory Probation Officer, U.S. Probation (Oakland, CA office).

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instructions can be approved.

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Go to PG. 275 to learn how to transfer states. An Interstate Compact governs all
transfers between states, and applies to all types of supervision (state parole,
county probation and other county-level forms of supervision, federal probation,
supervised release, and federal parole).

WHAT ARE SOME POSITIVE FACTORS THAT COULD HELP MY
REQUEST TO MOVE/ TRANSFER BE APPROVED?
Most U.S. Probation Districts have some internal criteria for analyzing individual
requests to transfer into their District.
The following are factors that will likely work in your favor if you can show these
to your Probation Officer:
1)
2)
3)
4)

Reliable job offer in new area;
Proven family and community ties;
Other positive connections to the new area;
Reasonable plan for living in the new area (e.g., income, social and family
support, etc.);
5) The new address was your legal residence prior to incarceration, and had
nothing to do with your criminal offense;
6) You have nowhere else to go and would be homeless if you don’t move; and
7) The move appears to be in your best interest for other reasons not listed
above.

WHAT ARE SOME NEGATIVE FACTORS THAT COULD HURT THE
CHANCES OF MY REQUEST TO MOVE/ TRANSFER FROM BEING
APPROVED?
Most U.S. Probation Districts have some internal criteria for analyzing individual
requests to transfer into their District.
The following are factors that will make it less likely that your request to move or
transfer districts is approved:
1) No job offer in new area;
2) No or weak family and community ties in the new area;
3) Weak social connections to the new area, or connections that could be a
bad influence on you;
4) Unreasonable plan for moving (e.g., no income, no social or family
connections, etc.);
5) You are unable to provide contact information for the people you are
connected to or the people you will be living with at the new address;
6) You appear to be trying to escape a possible violation of your Federal
Probation or Supervised Release conditions in your current District;
7) The new address where you want to move is unsafe;
8) Someone with a felony or someone who is currently on community
supervision for a criminal conviction lives at the new address; and
9) The residence is connected to a previous criminal offense committed by you
or by someone who you would be living with.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
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28 C.F.R. § 2.38.

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I AM ON FEDERAL PROBATION OR SUPERVISED RELEASE. IS IT
POSSIBLE TO MOVE WHILE A TRANSFER INVESTIGATION IS
STILL PENDING?
Maybe. Sometimes a U.S. Probation Officer will give someone permission to
move while an investigation is pending.
For example, you may be allowed to move before an official approval of your
transfer request if:
1)

An eviction is forcing you out of your home and you have nowhere else to
live but at the new address in your current district or a different district;
2) You have a job offer that requires you to start on a specific date;
3) Another emergency reason that requires you to move.

IF YOUR NEED TO MOVE IS URGENT:
You should inform your Probation Officer and request a travel permit while the
“Transfer Investigation” and approval are still pending. But please be aware, if
the new district completes its “Transfer Investigation” and denies the transfer
!
request for any reason, you would be required to move back to the original
789
sending district. If you do not move back, you will be violating the Court’s
Order to follow the directions of the Probation Officer. If the court finds you were
not following the directions of your Probation Officer it can revoke your
supervision and send you to prison.

CAN I CHALLENGE A DENIAL OF MY TRANSFER REQUEST?
Yes. If your request to move/transfer has been denied by your current probation
officer, you can ask to speak with a Supervising U.S. Probation Officer. However,
it is often the case that the request has already gone through a supervisor, and
has been denied with the supervisor’s approval. Other times, a request to
move/transfer will be conditionally denied, meaning you could get your request
approved later on if you do the things asked of you, like finding a safer home to
move to, securing a firmer job offer, finding a different family member to connect
790
with in the new place, etc.

I AM ON FEDERAL PROBATION, AND I’M TRYING TO MOVE IN
WITH SOMEONE WHO LIVES IN GOVERNMENT-ASSISTED
HOUSING (LIKE PUBLIC HOUSING, SECTION 8, OR A VOUCHER
PROGRAM), CAN I STILL MOVE IN?
It depends. If the family member or person you want to move in with lives in
subsidized housing, there might be federal, state, or local laws that restrict
someone on federal probation or Supervised Release from moving into the
residence. It may depend on what your conviction was for. To avoid putting that
person’s government- assisted housing subsidy at risk, refer to the HOUSING
CHAPTER, beginning on PG. 369, to learn more about how your criminal record
or supervision status might affect where you can live.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
789
790

Phone Call with Amy Rizor, Supervisory Probation Officer, U.S. Probation, N.D. Cal. (Oakland office).
Phone Call with Amy Rizor, Supervisory Probation Officer, U.S. Probation, N.D. Cal. (Oakland office).

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VIOLATIONS & REVOCATIONS—FOR BOTH
FEDERAL PROBATION AND SUPERVISED
RELEASE
The same rules and processes for violations and revocations apply to both
791
federal probation and Supervised Release. Please jump to PG. 257 to learn
more about violations and revocations.

DISABILITIES & FEDERAL PROBATION
If you have a disability and are under federal community supervision of any kind
(federal probation, supervised release, or federal parole), go to PG. 284 below to
learn about your rights.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

To read more about federal probation and supervised release violations and revocation, and the legal
distinctions between the two of them and the codes that govern them, see Administrative Office of the United
States Court, Revocation of Probation and Supervised Release, http://www.fd.org/docs/select-topics--probation/revocation-of-prob-and-sup-release.pdf.
791

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V.

!

FEDERAL COMMUNITY
SUPERVISION:
SUPERVISED RELEASE

BASICS OF SUPERVISED RELEASE
WHAT IS SUPERVISED RELEASE?
Supervised release is overseen by Federal District Courts
792
with the assistance of federal probation officers. The
judge can sentence you to a term of Supervised Release in
793
addition to a sentence of imprisonment. In other words, a
term of Supervised Release does not replace any time you
are sentenced to prison; rather, a judge orders Supervised
794
Release in addition to any term in prison you may serve. In
some cases, the judge that sentences you is actually required
by law to impose a term of Supervised Release in addition to a
795
prison term.

SENTENCING
REFORM ACT
Some historical
background: In
1984, as part of the
Sentencing Reform
Act (“SRA”) that
created the federal
sentencing
guidelines system,
Congress got rid of
federal parole and
created Supervised
Release.

It’s common today for a federal sentence to include a period of
time in prison, followed by a period of time in the community on Supervised
Release.

HELPFUL HINT
Supervised Release vs. Federal Probation:
What’s the difference between the two?
Federal Probation: Federal probation is a substitute for incarceration, meaning
!!
that probation is ordered instead of incarceration.
Supervised release: Supervised release is ordered in addition to incarceration.
This means that after you are released from prison, you may be placed on
supervised release.
Note that the same terms and conditions generally apply to both people on
federal probation and on supervised release.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

United States Sentencing Commission, “Federal Offenders Sentenced to Supervised Release,” July 2010 10, p. 1.
http://www.ussc.gov/sites/default/files/pdf/training/annual-national-trainingseminar/2012/2_Federal_Offenders_Sentenced_to_Supervised_Release.pdf.
793
18 U.S.C. § 3583.
794
See Unites States Sentencing Commission, Sentencing Guidelines, p. 477,
http://www.ussc.gov/sites/default/files/pdf/guidelines-manual/2012/manual-pdf/Chapter_7.pdf.
795
See, e.g., 21 U.S.C. § 841(b)(1)(A) (mandating a lifetime term of supervised release for those convicted of certain
drug offenses).
792

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AFTER RELEASE: WHAT TO EXPECT IN YOUR
FIRST DAYS OUT ON SUPERVISED RELEASE
Generally, you must report to your probation officer within 72 hours (3 days) of
796
release, or sooner if a judge or a U.S. Probation Officer orders you to do so.
IMPORTANT: Read the written statement given to you by U.S. Probation for
797
information on where, when, and to whom you should report.

LENGTH OF SUPERVISED RELEASE
HOW LONG IS MY SUPERVISION UNDER SUPERVISED RELEASE?
Supervised Release can be up to 5 years, with a few exceptions discussed below
798
on PG. 244.
The length of the term of your Supervised Release is determined by the “Class”
799
of crime for which you were convicted. To figure out what the range of time
your will be sentenced to Supervised Release, you should find out which “Class”
of crime you were convicted of (for example, a Class A Felony, Class B Felony,
Class A Misdemeanor, etc.). See the chart in the APPENDIX HH, PG. 363, for
more information.
IMPORTANT EXCEPTIONS:
Despite the lengths of Supervised Release listed above, the term length may be
up to life if you committed:
• An offense listed in 18 U.S.C. § 2332b(g)(5)(B), which resulted in, or created a
foreseeable risk of, death or serious bodily injury to another person; OR
• A sex offense— for these commitment offenses, the maximum term of
supervised release as allowed by statute is recommended.

CAN I GET OFF SUPERVISED RELEASE EARLY?
Possibly. You can ask for an early termination of supervised release from the
judge who originally sentenced you. You are eligible to be released early after
800
one year of supervised release. Talk to your U.S. Probation Officer about this
request first, because he or she can help you ask the judge for this.
The court has the power to decide whether or not to let you off supervised
release early. In most cases, judges will deny requests to be let off supervised
release early. But that doesn’t mean that you shouldn’t try, especially if you’ve
done really well on your supervised release. And remember, it is really helpful if
your Probation Officer supports your request.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See United States Probation Office for the Central district of California, Frequently Asked Questions,
http://www.cacp.U.S.C.ourts.gov/faq.
797
18 U.S.C. § 3564(d).
798
See Federal Judicial Center, Who Does What?,
http://www.fjc.gov/federal/courts.nsf/autoframe!openform&nav=menu1&page=/federal/courts.nsf/page/360.
799
See 18 U.S.C. § 3583(c). The types of “classes” of crimes can be found in 18 U.S.C. § 3559.
800
18 U.S.C. § 3683(e)(1).
796

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HELPFUL HINT
You have the best shot of being let of supervised release early if:
• You have completed 2/3 of your supervised release term (or at the very least
½ way through),
!!
• You have had no violations,
• You have complied with all the terms of your supervised release,
• You have paid all restitution and fines, and
801
• Your probation officer agrees that you should be let off early

WHAT FACTORS CAN THE JUDGE CONSIDER?
It depends on the judge. Ultimately, the decision to end your supervised release
early is up to the judge who originally sentenced you. To get off of supervised
release early, you must show the judge that you have earned it through good
802
conduct, and it must be in the interests of justice.
Here is the full list of factors that the judge may consider when deciding whether
to let you off supervised release early:
•
•
•
•
•
•
•
•
•

Whether or not your Probation Officer or the Prosecutor support your
request;
The nature and seriousness of the crime you were convicted of;
Your criminal history and/or mental illness history;
Whether the judge believes you are a threat to the public;
Whether the judge believes you have been sufficiently punished;
Whether you have completed any substance abuse treatment or
rehabilitation programs;
How your sentence compares to the federal sentencing guidelines
recommended sentence;
803
U.S. Sentencing Commission policy statements;
804
Whether you’ve paid restitution to the victims.

CONDITIONS OF SUPERVISED RELEASE
WHAT ARE CONDITIONS OF SUPERVISED RELEASE, AND WHY
ARE THEY IMPORTANT?
Your conditions of Supervised Release are rules set by the judge that you must
follow if you want to remain in the community under supervision and not end up
back in prison. These are called “release conditions”—and tell you what you can
and can’t do in the community.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Federal Defenders of New York, Supervised Release, http/::federaldefendersny.org:information-for-clientand-families:supervised-release.html.
802
18 U.S.C. § 3683(e)(1).
803
In 2011, the Sentencing Commission issued a policy statement informing judges that they may let former
narcotics abusers from supervised release early, if that person has successfully completed a treatment program. See
United States Sentencing Commission, 2013 Guidelines Manual, http://www.ussc.gov/guidelinesmanual/2013/2013-5d12. See also 18 U.S.C. § 3583(e)(1)-(2).
804
18 U.S.C. § 3553(a)(1)-(7).
801

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EXAMPLE of release conditions include:
•
•
•
•
•
•
•
•
•
•

Not having guns or other weapons;
No contact with victims or witnesses;
Restrictions on your association with certain people or groups;
Restrictions on your travel; or
A curfew;
Community service;
Electronic monitoring;
Employment requirements;
Mental health treatment, or
Substance abuse treatment.

It is important for you to know what conditions you must follow on Supervised
Release so that you don’t get into trouble or sent back to prison for violating
those rules. Also, be sure to talk to your U.S. Probation Officer about how to get
805
connected to any needed services or resources offered in your community.

WHAT IS THE DIFFERENCE BETWEEN MANDATORY &
DISCRETIONARY CONDITIONS OF SUPERVISED RELEASE?
Federal law governs the mandatory conditions of Supervised Release (the law
breaks it down by a list of mandatory conditions (required) and discretionary
806
conditions (not required).

WHERE CAN I FIND A WRITTEN STATEMENT OF MY CONDITIONS
OF SUPERVISED RELEASE?
The court must direct the probation officer to provide you with a written
statement that explains all the conditions you must follow, and is clear and
807
specific enough to guide your conduct under supervision.
The conditions of supervision are also listed on the Judgment in a Criminal Case
produced by the Court after your sentencing hearing. Ask your attorney or the
Clerk of the Court for a copy of this document so that you can be sure of your
obligations to the Court. Most Judges will not excuse your failure to comply with
the conditions of supervision simply because you did not receive a copy of the
808
conditions.

HOW OFTEN DO I HAVE TO SEE MY PROBATION OFFICER IF I AM
ON SUPERVISED RELEASE?
It depends. How often you must report to your probation officer varies widely
based on the individual “supervision plan” developed for you by your probation
809
officer.
Some supervision plans require weekly meetings and even more frequent phone

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Reentry Council, Getting Out Staying Out, http://sfreentry.com/wp-content/uploads/2013/07/1213-2nd-printingGOSO.pdf.
806
18 U.S.C. § 3583.
807
18 U.S.C. §§ 3563; 3583.
808
This is because the Judge also reads all of the conditions to you at your sentencing hearing.
809
See 18 U.S.C. § 3563(b)(15) (permitting the Court to order a defendant to report to a probation officer as directed
by probation)
805

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contact; for others, occasional or monthly contact is sufficient. Meetings may
810
take place at the probation office, your home, or your workplace. Probation
officers sometimes make “surprise” visits. For this reason, it is important that
you always inform your probation officer of any changes to your work schedule.

WHAT ARE THE MANDATORY CONDITIONS THAT APPLY TO ME
AND EVERYONE ELSE ON SUPERVISED RELEASE?
The following conditions are mandatory and apply to EVERYONE on Supervised
811
Release. (Note: These also apply to everyone on Federal Probation, see
PG. 234).
1.
2.
3.

4.
5.

!

You cannot commit another federal, state, or local crime during the entire
length of your Supervised Release. The court must make this condition
known and clear to you.
You cannot unlawfully use a controlled substance.
You must submit to one drug test within 15 days of release and at least 2
periodic drug tests thereafter (as determined by the court).
• Consequences for a confirmed positive drug test include:
o Possible prison time, and
o Court-ordered participation in a substance abuse treatment program
(unless your current or past participation in such a program warrants
812
an exception)
813
You must cooperate in the collection of a DNA sample. You may be placed
in prison for up to one year or fined up to $100,000 if you fail to cooperate
with a DNA sample.
You must notify your U.S. probation officer if there is any significant change
in your income or economic circumstances, which would impact how much
you can pay towards any unpaid restitution, fines, or special
814
assessments. Even those receiving SSI/SSDI “Disability” benefits will be
asked to pay. If you are low-income, you should communicate with your
probation officer about how you might be able to arrange payments you can
afford.

IMPORTANT NOTE: OTHER MANDATORY CONDITIONS MAY APPLY
DEPENDING ON YOUR COMMITMENT OFFENSE!!! SEE BELOW:

WHAT ARE ADDITIONAL MANDATORY CONDITIONS THAT ONLY
CERTAIN PEOPLE ON SUPERVISED RELEASE HAVE TO FOLLOW?
The following are mandatory conditions that apply to ONLY CERTAIN people on
Supervised Release, depending on your commitment offense.
> MANDATORY CONDITIONS if you were convicted of a felony:
You must also follow at least one of the following two conditions, as ordered by
the judge:

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Federal Judicial Center, Who Does What?,
http://www.fjc.gov/federal/courts.nsf/autoframe!openform&nav=menu1&page=/federal/courts.nsf/page/360.
811
See 18 U.S.C. §§ 3563, 3583.
812
18 U.S.C. §§ 3563; 3583.
813
18 U.S.C. § 3563. DNA samples are usually taken prior to your release (especially if you were convicted of murder,
voluntary manslaughter, enslavement, kidnapping, robbery, burglary incest, or arson). But if your DNA sample was
not taken prior to your release, some Districts contract with companies who will take your DNA sample after your
release. See United States Courts, Judiciary Begins Sample Collection for DNA Testing, http://www.U.S.C.ourts.gov/
News/TheThirdBranch/02-02-01/Judiciary_Begins_Sample_Collection_for_DNA_Testing.aspx.
814
18 U.S.C. § 3563.
810

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1) Pay restitution to a victim of the offense,
816
2) Perform community service.

815

OR

EXCEPTIONS: You do not have to obey one of these two additional conditions if
one of the following applies to you:
• The judge imposed a fine that removed this requirement; OR
• The judge finds on the record that extraordinary circumstances exist that
would make such a condition plainly unreasonable, in which case the judge
must impose one or more of the other discretionary conditions (listed below,
817
PG. 245).
> MANDATORY CONDITION if you are required to register as a sex offender:

818

You must comply with all the requirements of the Sex Offender Registration &
819
Notification Act.
> MANDATORY CONDITION if you were convicted of a domestic violence crime
820
for the FIRST time:
You must attend an offender rehabilitation program that has been approved by
the court—in consultation with a State Coalition Against Domestic Violence or
other appropriate experts—so long as an approved program is readily available
821
within a 50-mile radius of your legal residence.

ARE THERE OTHER ADDITIONAL CONDITIONS I WILL HAVE TO
FOLLOW ON SUPERVISED RELEASE?
Most likely, yes. The U.S. Sentencing Commission recommends that the
“Standard Conditions” be applied to everyone on Supervised Release (this is the
822
same as for Federal Probation conditions, discussed earlier on PG. 234), See
the question “WHAT DISCRETIONARY CONDITIONS WILL I HAVE TO FOLLOW
ON SUPERVISED RELEASE?” on PG. 249 for more information.

WHAT RULES MUST THE JUDGE FOLLOW WHEN ORDERING
DISCRETIONARY CONDITIONS ON MY SUPERVISED RELEASE?
To add a discretionary condition to your Supervised Release, the judge must find
that that the conditions are reasonably related to the following factors:
• The nature and circumstances of the offense;
• Your personal history and characteristics;
• Reflecting the seriousness of the offense, to promote respect for the law and
to provide just punishment for the offense;
• Adequately deterring future criminal conduct;
• Protecting the public from further crimes committed by you; and/or
• Providing you with needed educational or vocational training, medical care,
823
or other correctional treatment in the most effective manner.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

18 U.S.C. § 3563(b)(2) (2008) (You must make restitution to a victim of the offense under section 3556 (but not
subject to the limitation of section 3663(a) or 3663A(c)(1)(A))).
816
18 U.S.C. § 3563(b)(12) (2008).
817
18 U.S.C. § 3563(a)(2) (2008).
818
42 U.S.C. § 16911, et seq.
819
18 U.S.C. § 2250.
820
This applies to domestic violence crimes listed in 18 U.S.C. § 3561(b).
821
See 18 U.S.C. § 3583 et seq.
822
United States Sentencing Commission, U.S.S.G. § 5D1.3.
823
See 18 U.S.C. § 3563(b) (referring to 18 U.S.C. §§ 3553(a)(1), (a)(2)).
815

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Furthermore, if the additional discretionary conditions deprive you of liberty or
property, the judge must find that the conditions are reasonably necessary to:
• Reflect the seriousness of the offense, to promote respect for the law, and to
provide just punishment for the offense;
• Adequately deter future criminal conduct;
• Protect the public from further crimes committed by you; and/or
• Provide you with needed educational or vocational training, medical care, or
824
other correctional treatment in the most effective manner.
If a judge is going to impose a special condition, then both of the following
requirements must: be met:
1. The condition must have a reasonable relationship to the factors listed
above on PG. 245 AND
2. The condition must be reasonably necessary to achieve the purposes listed
above on PG. 245.
Moreover, if you object to the discretionary condition, it is the federal
825
government’s burden to show that the discretionary condition is justified.
These are the same legal standards and rules that applied to setting
discretionary conditions for people on federal probation (see below for
information about discretionary conditions).

WHAT DISCRETIONARY CONDITIONS WILL I HAVE TO FOLLOW
ON SUPERVISED RELEASE?
If the above legal standards are met (refer to the last two questions), the judge
may order discretionary conditions on your Supervised Release. These can be
thought of in two categories—standard conditions, which are imposed in almost
every case (see Appendix CC, PG. 353), and other discretionary conditions that
may be added (see Appendix DD, PG. 245).
STANDARD CONDITIONS— The list of “Standard Conditions”—while technically
discretionary (not required)— are added by the judge in almost every case of
Supervised Release (and federal probation), as recommended by the U.S.
Sentencing Commission, the agency that oversees federal sentencing
826
guidelines.
You will likely be ordered to follow most if not all of the following rules
827
(conditions), or something very similar to these:
•

•
•
•

You cannot leave the limits of your judicial district (meaning the area that the
court has jurisdiction—i.e. the “Southern District of California”) without
written permission from the court or your probation officer.
You must file a written report with your probation officer within the first 5
days of each month, or as directed by your probation officer.
You must truthfully answer any questions and follow any instructions that
your probation officer asks of you.
You must meet your family responsibilities, primarily paying any courtordered child support or support for the parent with whom your child is living.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See 18 U.S.C. § 3563(b) (referring to 18 U.S.C. § 3553(a)(2)).
U.S. v. Weber, 451 F.3d 553 (9th Cir. 2006) (“We have long held that a term of supervised release is part of a
defendant’s sentence . . . and, like imprisonment, restricts a defendant’s liberty and fundamental rights . . .. As a
result, when the government seeks to restrict a defendant’s liberty through a term of supervised release, it
shoulders the burden of proving that a particular condition of supervised release involves no greater deprivation of
liberty than is reasonably necessary to serve the goals of supervised release.”).
826
See 18 U.S.C. § 3583; U.S.S.G. § 5D1.3(b)-(d) (Standard conditions” are set forth in U.S.S.G. § 5D1.3(c)).
827
18 U.S.C. § 3563(b).
824
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•

•

•
•

•

•
•
•

•
•

•
•

You must work regularly at a lawful occupation, unless your U.S. probation
officer excuses you for school, training, or other reasons the officer finds
acceptable.
You must notify your probation officer at least 10 days before you change
your address (some officers will require more or less notice, so check your
conditions).
You cannot drink alcoholic beverages to excess. You cannot use or distribute
illegal drugs, or frequent places where others use or distribute drugs.
You cannot associate with people engaged in criminal activity. (This means
you cannot hang out with or spend time with people who are committing
crimes.)
You cannot associate with anyone convicted of a felony unless your U.S.
probation officer gives you permission to do so. (Again, this means that
unless your probation officer says differently, you are not allowed to hang out
with or spend time with someone who has been convicted of a felony. Just
spending time with someone who has been convicted of a felony can be
considered a violation of your probation, even if you were not doing anything
else wrong.)
You must let your probation officer to visit you any time at home or
elsewhere.
You must let your probation officer to take any contraband that he or she
finds in plain view around you.
You must get in touch with your U.S. probation officer within 3 days (72
hours) if you’re arrested or questioned by law enforcement (again, some
officers will require you to report faster, so check your conditions).
You cannot serve as an informant to law enforcement without court
permission.
As directed by your U.S. probation officer, you must notify other people
about any risks that your criminal record, personal history or characteristics
might pose; and you must allow your U.S. probation officer to notify people of
any risks posed by your criminal record, personal history or characteristics.
You must pay any court-ordered “special assessment” and fines, and follow
any court-ordered payment plan set up for you.
You must notify your U.S. probation officer if there is any significant change
in your income or economic circumstances which would impact how much
you can pay towards any unpaid restitution, fines, or special assessments
(NOTE: this is a mandatory condition for people on federal probation, and a
recommended “standard condition” for people on Supervised Release).

WHAT ADDITIONAL DISCRETIONARY CONDITIONS MAY I HAVE
TO FOLLOW ON SUPERVISED RELEASE?
If the above legal standards are met (refer to PG. 237), the judge may order
additional discretionary conditions on your Supervised Release.
As discussed, the Standard Conditions listed on PG. 353 above are almost
always added.
For a full list of discretionary conditions that may be added see Appendix DD,
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CAN MY CONDITIONS OF SUPERVISED RELEASE BE CHANGED?
Yes. A judge may change, reduce, or increase your conditions before your
828
Supervised Release term ends. A probation officer can also change your
conditions of Supervised Release.
Changes in conditions (called “modifications”) usually happen because you got
in trouble with your probation officer (for example, you tested dirty on a drug
test), or you didn’t follow a condition of your Supervised Release. In this type of
situation, the probation officer will usually ask a judge to change your
conditions, often with the consent of your attorney, to get an order for you to do
something (for example, to get an order that you go into in-patient, residential
substance abuse treatment).
PRACTICE TIP—AN ATTORNEY CAN HELP YOU: It’s been suggested that it is
sometimes easier to work out any changes to your conditions of supervised
release directly with your probation officer, rather than go before a judge. To
protect yourself in this type of situation, it is best to “invoke your right to
counsel”—meaning ask for an attorney to represent you—and then you can
communicate with your attorney who will work something out with the probation
officer or represent you before the judge if the issue ends up going back to
829
court.

!

WARNING: Sometimes a U.S. probation officer will ask you to waive (give
up) your right to an attorney and submit to a change of your conditions of
Supervised Release (called a “modification”).830 You may be asked
(directly or indirectly) to give up your right to an attorney. You should
NOT give up this right. You should “invoke your right to counsel instead,”
and ask for an attorney. If you do not agree to changes in the conditions
of your Supervised Release, then any changes will require the same
justification as conditions imposed during the original sentencing
hearing.831

HOW DO I CHALLENGE UNLAWFUL DISCRETIONARY
CONDITIONS THAT WERE ADDED ON TO MY SUPERVISED
RELEASE?
Within 14 days of your sentencing hearing, you must file a Notice of Appeal with
832
the Clerk of the Court where you were convicted. Once this occurs, you
should contact the Federal Public Defender’s Office in your federal judicial
district. . For a list of Federal Public Defender’s Offices in California, visit:
http://www.fd.org/docs/defender-contacts/federal-public-and-communitydefender-directory.pdf?sfvrsn=9.
A discretionary condition on your Supervised Release may be imposed only if it:

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

18 U.S.C. §§ 3563, 3583; see also FED. R. CRIM. PRO. 32.1 (describing the procedures required for the probation
officer to petition the Court for a modification or revocation of probation or supervised release, and for the Court in
adjudicating a potential revocation or modification). The Court can also modify or revoke your Federal Probation or
Supervised Release after the official end of the term (i.e., a specific number of years after your release from custody)
so long as the violation and Probation Officer’s Petition to Modify or Revoke was filed with the Court before the
official end of the term of supervision. This means that the Probation Office can obtain an arrest warrant years after
an event occurred.
829
Telephone call with David Wasserman, Deputy Federal Public Defender, Federal Public Defender for the Central
District of California,
830
See, e.g., U.S. v. Begay, 631 F.3d 1168 (10th Cir. 2011); U.S. v. Emerson, 231 F.3d. 349 (5th Cir. 2007).
831
See also Defender Services Office, The Fine Print: Strategies for Avoiding Restrictive Conditions of Supervised
Release, http://www.fd.org/docs/select-topics---common-offenses/fine_print.pdf.
832
Fed. R. App. Pro. 4(b)(1)(A).
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(1) Is “reasonably related” certain statutory (meaning, included in the law)
833
sentencing factors, which include the nature and circumstances of the
offense, the history and characteristics of the defendant, the need to protect
the public from further crimes of the defendant, and the need to provide
needed educational or vocational training, medial care, or other correctional
treatment; AND
(2) Involves “no greater deprivation of liberty than is reasonably necessary” to
serve the purposes of deterrence, protection of the public, and training and
834
treatment.
Courts have emphasized that BOTH of these requirements must be satisfied in
835
order to impose a special condition. Moreover, in the event of an objection, it
836
is the government’s burden to show that the condition is justified.
NOTE: These rules and processes for challenging discretionary conditions of
Supervised Release are the same as those that apply to that apply to Federal
Probation (refer back to PG. 237 for information on challenging discretionary
conditions of federal probation.)

TRANSFER LOCATIONS ON SUPERVISED
RELEASE
The same rules and procedures for transferring and moving residences apply to
both federal probation and Supervised Release (federal probation transfers
discussed earlier on PG. 238).

I AM ON FEDERAL PROBATION OR SUPERVISED RELEASE, AND I
WANT TO MOVE. HOW CAN I DO THAT?
The process depends on whether you are asking to move to a new residence
within the same district OR to a new residence in a different district. A district is
the geographic area that a district federal court has power to make decisions
over—for example, California has four federal districts: Southern District,
Northern District, Central District, and Eastern District.
In a nutshell, it’s easier to move within the same district than to move to a new
one. The steps below outline both possibilities:
POSSIBILITY #1: If you are moving to a new residence within your current
district, follow these steps:
STEP 1: Notify your Probation Officer that you want to change your address, and
submit that address and the contact information for anyone else living at that
address. You must get permission from your Probation Officer to move within
your current U.S. Probation District—even if it’s across the street.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See 18 U.S.C. §§ 3553(a)(1), 3553(a)(2)(B) - (D).
18 U.S.C. § 3583(d).
See, e.g., U.S. v. Bender, 566 F.3d 78 (8th Cir. 2009); U.S. v. Perazza-Mercado, 553 F.3d 65 (1st Cir. 2009); U.S. v.
Pruden, 398 F.3d 241, 249 (3d Cir. 2005).
836
U.S. v. Weber, 451 F.3d 553 (9th Cir. 2006) (“We have long held that a term of supervised release is part of a
defendant’s sentence . . . and, like imprisonment, restricts a defendant’s liberty and fundamental rights . . .. As a
result, when the government seeks to restrict a defendant’s liberty through a term of supervised release, it
shoulders the burden of proving that a particular condition of supervised release involves no greater deprivation of
liberty than is reasonably necessary to serve the goals of supervised release.”)
833
834
835

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STEP 2: Your Probation Officer will investigate the new address—so long as it is
located in the same U.S. Probation District. As part of that investigation, your
Probation Officer will:
1) Make sure the new address actually exists;
2) Make sure that other people living at the new address are willing and able to
have you in their home;
3) Run a background check on everyone living at the new address;
a) PLEASE NOTE: Since it is a standard condition for all people on Federal
Probation or Supervised Release to avoid associating with anyone else
who has a felony conviction, your request to move/transfer to live with
someone who has been convicted of a felony will likely be denied.
4) Make sure that everyone at the new address knows about and agrees to the
837
“Search Condition” of your Federal Probation or Supervised Release.
5) Make sure there are no weapons at the new address.
POSSIBILITY #2: If you are moving to a new residence outside of your current
U.S. Probation District, follow these steps:
STEP 1: HELPFUL HINT!!!—Before you ask for a formal transfer to a new district—
which can be a longer, more challenging process—ask your probation officer for
what is called “courtesy supervision” by another district. This technically keeps
your case in the original district, but allows you to live in and travel to the district
of your choice. Your probation officer AND the probation officer of the other
district have to agree. After doing this, it is much easier to transfer to the
courtesy district than to just transfer from one district to another without
“courtesy supervision” being set up first.
STEP 2: If “courtesy supervision” is denied or doesn’t work out, you can still
request a formal transfer. Tell your Probation Officer that you want to change
your address, and submit that address and the contact information for anyone
else living at that address. You must get permission from your Probation Officer
to move to a new address in a different U.S. Probation District.
STEP 3: Your Probation Officer must submit a “Transfer Investigation” to the
new district. The Transfer Investigation generally takes 30 days or longer, since
both your current district and the new district must investigate your new
proposed address and approve the transfer. As part of the “Transfer
Investigation,” a Prbation Officer in the receiving District will:
1) Make sure the new address actually exists;
2) Make sure that other people living at the new address are willing and able to
have you in their home;
3) Run a background check on everyone living at the new address;
a) PLEASE NOTE: Since it is a standard condition for all people on Federal
Probation or Supervised Release to avoid associating with anyone else
who has a felony conviction, your request to move/transfer to live with
someone who has been convicted of a felony will likely be denied.
4) Make sure that everyone at the new address knows about and agrees to the
“Search Condition” of your Federal Probation or Supervised Release.
5) Make sure there are no weapons at the new address.
STEP 4: The receiving district must approve or deny the transfer after
completing the “Transfer Investigation.” The receiving district can deny your

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

The Search Condition might read something like “The defendant is prohibited from possessing controlled
substances. To ensure that the defendant is in compliance, the defendant will submit to search of his person, home,
or vehicle at any time of the day or night by any law enforcement or probation officer without cause.” This means
your friends may get searched if at your home (or vice versa). If either of you have any contraband, there is a good
chance both of you will be getting in trouble.
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request to transfer for any reason. The sending district where you are currently
838
supervised must wait for a response before it can transfer your supervision.

!

IMPORTANT NOTE! Some districts have hard and fast rules about certain
offenses—e.g., they won’t accept people with sex offenses, or the
receiving district will require a more onerous investigation of that person.

I AM ON SUPERVISED RELEASE AND WANT TO MOVE/TRANSFER
TO A NEW STATE. HOW CAN I DO THAT?
To transfer districts, you need to discuss it with your Probation Officer, who will
review your plan and make sure you meet certain criteria required for transfer.
To have the transfer request approved, you must get the permission of both
your probation officer from the current district AND a probation officer from the
new district. You can only transfer if it doesn’t go against the instructions from
839
the U.S. Parole Commission.
Go to PG. 275 to learn how to transfer states. An Interstate Compact governs all
transfers between states, and applies to all types of supervision (state parole,
county probation and other county-level forms of supervision, federal probation,
supervised release, and federal parole).

WHAT ARE SOME POSITIVE FACTORS THAT COULD HELP MY
REQUEST TO MOVE/ TRANSFER BE APPROVED?
Most U.S. Probation Districts have some internal criteria for analyzing individual
requests to transfer into their District. The following are factors that will likely
work in your favor if you can show these to your Probation Officer:
1) Reliable job offer in new area;
2) Proven family and community ties;
3) Other positive connections to the new area;
4) Reasonable plan for living in the new area (e.g., income, social and family
support, etc.);
5) The new address was your legal residence prior to incarceration, and had
nothing to do with your criminal offense;
6) You have nowhere else to go and would be homeless if you don’t move; and
7) The move appears to be in your best interest for other reasons not listed
above.

WHAT ARE SOME NEGATIVE FACTORS THAT COULD HURT THE
CHANCES OF MY REQUEST TO MOVE/ TRANSFER FROM BEING
APPROVED?
Most U.S. Probation Districts have some internal criteria for analyzing individual
requests to transfer into their District.
The following are factors that will make it less likely that your request to move or
transfer districts is approved:
• No job offer in new area;
• No or weak family and community ties in the new area;

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
838
839

Phone Call with Amy Rizor, Supervisory Probation Officer, U.S. Probation (Oakland, CA office) (Sept. 2014).
28 C.F.R. § 2.38.

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•
•
•
•
•
•
•

Weak social connections to the new area, or connections that could be a bad
influence on you;
Unreasonable plan for moving (e.g., no income, no social or family
connections, etc.);
You are unable to provide contact information for the people you are
connected to or the people you will be living with at the new address;
You appear to be trying to escape a possible violation of your Federal
Probation or Supervised Release conditions in your current District;
The new address where you want to move is unsafe;
Someone with a felony or someone who is currently on community
supervision for a criminal conviction lives at the new address; and
The residence is connected to a previous criminal offense committed by you
or by someone who you would be living with.

I AM ON FEDERAL PROBATION OR SUPERVISED RELEASE. IS IT
POSSIBLE TO MOVE WHILE A TRANSFER INVESTIGATION IS
STILL PENDING?
Maybe. Sometimes a U.S. Probation Officer will give someone permission to
move while an investigation is pending.
For example, you may be allowed to move before an official approval of your
transfer request if:
1)

An eviction is forcing you out of your home and you have nowhere else to
live but at the new address in your current district or a different district;
2) You have a job offer that requires you to start on a specific date;
3) Another emergency reason that requires you to move.

IF YOUR NEED TO MOVE IS URGENT:
You should inform your Probation Officer and request a travel permit while the
“Transfer Investigation” and approval are still pending. But please be aware, if
the new district completes its “Transfer Investigation” and denies the transfer
!
request for any reason, you would be required to move back to the original
840
sending district. If you do not move back, you will be violating the Court’s
Order to follow the directions of the Probation Officer. If the court finds you were
not following the directions of your Probation Officer it can revoke your
supervision and send you to prison.

CAN I CHALLENGE A DENIAL OF MY TRANSFER REQUEST?
Yes. If your request to move/transfer has been denied by your current probation
officer, you can ask to speak with a Supervising U.S. Probation Officer. However,
it is often the case that the request has already gone through a supervisor, and
has been denied with the supervisor’s approval. Other times, a request to
move/transfer will be conditionally denied, meaning you could get your request
approved later on if you do the things asked of you, like finding a safer home to
move to, securing a firmer job offer, finding a different family member to connect
841
with in the new place, etc.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Phone Call with Amy Rizor, Supervisory Probation Officer, U.S. Probation, N.D. Cal. (Oakland, CA office) (Sept.
2014).
841
Phone Call with Amy Rizor, Supervisory Probation Officer, U.S. Probation, N.D. Cal. (Oakland, CA office) (Sept.
2014).
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I AM ON SUPERVISED RELEASE, AND I’M TRYING TO MOVE IN
WITH SOMEONE I KNOW. IF MY FAMILY MEMBER OR THE
PERSON WHO I WANT TO MOVE IN WITH LIVES IN
GOVERNMENT-ASSISTED HOUSING (LIKE PUBLIC HOUSING,
SECTION 8, OR A VOUCHER PROGRAM), CAN I STILL MOVE IN?
It depends. If the family member or person you want to move in with lives in
subsidized housing, there might be federal, state, or local laws that restrict
someone on federal probation or Supervised Release from moving into the
residence. It may depend on what your conviction was for. To avoid putting that
person’s government- assisted housing subsidy at risk, refer to the HOUSING
CHAPTER, beginning on PG. 369, to learn more about how your criminal record
or supervision status might affect where you can live.

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VIOLATIONS & REVOCATIONS—FOR BOTH
FEDERAL PROBATION AND SUPERVISED
RELEASE
The same rules and processes for violations and revocations apply to both
842
federal probation and Supervised Release. Read this section if you are on
either of these two types of federal supervision and have questions about
violations and revocations.

WHAT IS A VIOLATION OF MY FEDERAL PROBATION OR
SUPERVISED RELEASE?
It is a violation of your Federal Probation or Supervised Release (SR) if you break
any law or disobey any condition of your post-release supervision. Read about
conditions of Federal Probation (PG. 233) and Supervised Release (PG. 245)
above.
If your probation officer thinks you have broken one of your conditions of
843
supervision, you may be charged with a violation.
1) If the judge finds that you have violated one of your conditions of
844
supervision, you could go to prison.
2) If you are having trouble with your Probation officer, or if you think you are
in danger of being violated, you should call your attorney. If you have
retained a private attorney, you should call him or her. If you don’t have a
private attorney, you should call the Federal Public Defender in you District.
Often an attorney can help you resolve a supervision problem before there
845
is a formal violation charge.

CAN MY U.S. PROBATION OFFICER SEND ME BACK TO PRISON?
No, your probation officer cannot send you back to prison, but it is part of the
officer’s job to tell the court about a violation of your conditions. The judge at
court, however, usually CAN send you back to prison.
• MINOR VIOLATIONS: Typically, if your probation officer learns of a minor
violation of a condition, or believes that a violation is likely to happen, the
officer will discuss with you how to avoid a more serious problem.
Alternatively, the probation officer might ask the judge to modify your
conditions of Federal Probation or Supervised Release.
• SERIOUS or REPEATED VIOLATIONS: After a serious violation or repeated
violations, your probation officer may tell a judge about these violations and
request revocation of your Federal Probation/Supervised Release. If this
happens, you have the right to a revocation hearing, at which the judge may
decide to revoke your Federal Probation/Supervised Release and send you
846
back to prison.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

To read more about federal probation and supervised release violations and revocation, and the legal
distinctions between the two of them and the codes that govern them, see Administrative Office of the United
States Court, Revocation of Probation and Supervised Release, http://www.fd.org/docs/select-topics--probation/revocation-of-prob-and-sup-release.pdf.
843
18 U.S.C. § 3565 (a).
844
18 U.S.C. § 3565 (a)(2).
845
See Federal Defenders of San Diego, Violations of Probation or Supervised Release,
http://www.fdsdi.com/pdf/Client_Violations.pdf.
846
See Federal Judicial Council, Who Does What?,
http://www.fjc.gov/federal/courts.nsf/autoframe!openform&nav=menu1&page=/federal/courts.nsf/page/360.
842

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WHAT COULD THE COURT DO IF IT FINDS THAT I VIOLATED MY
FEDERAL PROBATION OR SUPERVISED RELEASE?
FOR A FEDERAL PROBATION VIOLATION: If the judge finds that you violated a
condition of Federal Probation, it may:
1)

Continue you on federal probation, with or without lengthening your term, or
changing/increasing the conditions you must follow; OR
847
2) Revoke your federal probation and resentence you.
FOR A SUPERVISED RELEASE VIOLATION: If the judge finds that you violated a
condition of Supervised Release, it may:
1)

Continue you on supervised release, with or without lengthening the term,
or changing/ increasing the conditions you must follow; OR
848
2) Revoke your Supervised Release and send you back to prison. For certain
849
violations, the court is required to do this by law (it’s mandatory).

WHEN IS REVOCATION OF FEDERAL PROBATION OR
SUPERVISED RELEASE MANDATORY?
For both Federal Probation and Supervised Release, revocation and additional
time sentenced to prison are mandatory if the violation is one of the following:
1)

Possession of controlled substance (in violation of the condition set forth in
section 18 U.S. C. 3563(a)(3));
850
2) You possess a firearm (in violation of Federal law or a condition of
probation),
851
3) You refuse to comply with drug testing, or
4) You test positive for illegal controlled substances more than 3 times over the
852
course of 1 year.
If one of the above situations occurs, then your probation officer or the
prosecutor will have to file a violation notice, telling the judge that they think you
853
have violated.

WHAT WILL HAPPEN IF MY VIOLATION WAS ALSO A NEW
CRIMINAL OFFENSE?
854

All violations of the law are also violations of your conditions of supervision.
Essentially, the law treats a new criminal conviction as two wrongs:
(1) Disobeying the federal court by violating a condition of your supervision, AND
855
(2) Whatever you did to break the law. If you get arrested on state or federal
charges while on federal probation or Supervised Release, you will probably be
violated in federal court.
A NOTE ABOUT SENTENCING WHEN THERE IS ANOTHER PENDING CRIMINAL
CASE AGAINST YOU FOR THE SAME OFFENSE: Your sentence for the violation

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

18 U.S.C. § 3565 (a).
18 U.S.C. § 3583(e)(3).
U.S. Sentencing Commission, Sentencing Guidelines, http://www.ussc.gov/sites/default/files/pdf/guidelinesmanual/2012/manual-pdf/Chapter_7.pdf.
850
The definition for firearm in 18 U.S.C § 921.
851
18 U.S.C. § 3563(a)(4).
852
18 U.S.C. §§ 3565(b), 3583 (g)
853
See Federal Defenders of San Diego, Violations of Probation or Supervised Release,
http://www.fdsdi.com/pdf/Client_Violations.pdf.
854
18 U.S.C. § 3565 (a).
855
See Federal Defenders of San Diego, Violations of Probation or Supervised Release,
http://www.fdsdi.com/pdf/Client_Violations.pdf.
847
848
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of your federal probation or Supervised Release will be SEPARATE from
whatever sentence you might get in the other criminal case, and will probably
FOLLOW your sentence for the new criminal conviction (in other words, these
sentences will follow one after the other).

WHAT ARE POSSIBLE SANCTIONS FOR AN ALLEGED VIOLATION
OF FEDERAL PROBATION OR SUPERVISED RELEASE?
When there’s an allegation that you violated your federal probation or
Supervised Release, revocation proceedings will usually begin. The law and
rules that govern these revocation hearings can be found in the Federal Rules of
856
Criminal Procedure, Section 32.1. There will be a series of steps that you will
follow in a revocation hearing, from appearing in front of a Magistrate
Judge, to attending a Probable Cause Hearing, and finally attending a
YOUR RIGHT TO
Revocation Hearing. The steps below are a general outline of the
COUNSEL
revocation process, and possible outcomes:
STEP 1:

Initial Appearance

Whenever someone is first taken into federal custody or has been
cited/summoned to federal court, he or she has an initial appearance
before a Magistrate Judge. This appearance allows the Court to
advise you of the charges, set a preliminary hearing date (unless
waived or you are out of custody) and direct you to the District Judge
presiding over your case.

If you had an
Assistant Federal
Defender before,
that same attorney
will probably
represent you in the
revocation process.
In some cases you
may get a different
attorney from the
same office. If you
had a private lawyer
but can no longer
afford to pay, the
court must appoint
a lawyer for you.

NOTE: If you are arrested outside of the federal district that has
jurisdiction over your case (usually the place where you are being
officially supervised), then you have additional rights at this Initial
Appearance stage. First, you have the right to an “Identity Hearing,”
where the government must show only that you are the person named
in the warrant for arrest, not that you actually committed the crime.
Second, you have the right to receive a reliable certified electronic COPY of the
original revocation petition that was filed (this right to receive a copy of the
857
revocation petition is called “Arrival of Process”). !
STEP 2: Probable Cause Hearing
Know Your Rights! If you are held in custody for an alleged violation of your
federal probation or Supervised Release, then you have the following rights:
1)

You must receive a prompt hearing to determine if there is “probable cause”
858
to hold you for a revocation hearing (a.k.a. the “probable cause hearing”).
If you are in custody, you only receive what is called a “probable cause
hearing.” This will usually happen within one week, but “prompt” does not
859
have a specific timeframe, so it could be longer.
860
2) You must be given notice of the hearing.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Fed. Rules Crim. P. § 32.1.
An Identity Hearing usually consists of a law enforcement officer testifying about what information they received
from the charging district in order to determine that you were the person who was named in the arrest warrant.
Arrival of Process is usually satisfied by an email copy of the certified petition.
858
See FED. R. CRIM. P. § 32.1(a)(1).
859
For example, if you are in custody doing time on a state charge, and that state charge serves as the violation of
your SR, the PO can wait until your state sentence is over before brining you to have your PC hearing even though
the PO may have filed the violation petition and the warrant issued at the start of the client’s sentence in state
prison. A state defendant could be serving a 15-year state sentence such that his 5-year term of SR would have
expired by the time he is done with his state time. However, so long as the petition was filed within the supervised
release period, then there is an argument to be made that he can still be sent to prison on a federal violation.
Perhaps most judges would not do this, but it is a possibility.
860
See FED. R. CRIM. P. § 32.1(a)(1); http://www.ussc.gov/sites/default/files/pdf/training/online-learningcenter/supporting-materials/Revocation-of-Probation-and-Supervised-Released.pdf, p. 3.
856
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3) You must be given an opportunity to appear and present evidence, an
opportunity to question opposing witnesses (if requested), and be told of
861
your right to an attorney.
4) The Rules of Evidence are more relaxed; hearsay is allowed. This means that
the judge can consider evidence (testimony, photographs, etc.) that he
would not be able to consider in a full criminal trial.
5) You will usually appear before the same judge who sentenced you. The
judge will explain your rights and make sure you have a lawyer.
6) If you are not held to answer (i.e., probable cause is not found), then the
allegations will be dismissed. If you are held to answer (i.e., probable cause
is found), then you will be directed to a District Judge to enter an admission
862
or denial to the allegations. If you admit the allegations, the Judge will
either set a future date for sentencing or sentence you right then and there.
However, if you deny the allegations, then you go to a revocation hearing.
IMPORTANT NOTE ABOUT PENDING CRIMINAL CHARGES AGAINST YOU &
THE REVOCATION PROCESS: Unless your lawyer advises you otherwise, do not
admit a violation that’s based on pending criminal charges until the pending
charges are resolved. Admitting to criminal conduct during the revocation
hearing in federal court could then be used against you in your pending criminal
case. It’s best to consult with your attorney to figure out what to do in your
situation.
STEP 3: Revocation Hearing
You have the right to a revocation hearing before a District Judge within a
reasonable time in the district that has decision-making power (called
863
“jurisdiction”) over your case

KNOW YOUR RIGHTS
IN THE REVOCATION PROCESS
•
•
•

•
•
•

•

864

You must be given notice of the hearing.
You must be given written notice of the charges against you (i.e., the alleged
865
violation of your supervision).
You must receive notice of your right to an attorney. If you can’t afford an
attorney, you will be appointed a Federal Public Defender in your District, or
another court-appointed defender. !!
866
You must have the opportunity to appear at the revocation hearing.
You must have an opportunity to see the evidence against you, as well as the
867
opportunity to present your own evidence;
The Rules of Evidence are more relaxed; hearsay is allowed. This means that
the judge can consider evidence (testimony, photographs, etc.) that he would
not be able to consider in a full criminal trial.
Additional constitutional rights described in
http://www.ussc.gov/sites/default/files/pdf/training/online-learningcenter/supporting-materials/Revocation-of-Probation-and-SupervisedReleased.pdf (pp. 6-7).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See FED. R. CRIM. P. 32.1(a)(1); http://www.ussc.gov/sites/default/files/pdf/training/online-learningcenter/supporting-materials/Revocation-of-Probation-and-Supervised-Released.pdf, Page 3.
862
FED. R. CRIM. P. 32.1(a)(2).
863
FED. R. CRIM. P. 32.1(a)(2)
864
FED. R. CRIM. P. 32.1(b)(1)(B).
865
FED. R. CRIM. P. 32.1(b)(2)(A).
866
See U.S. v. Pelensky, 129 F.3d 63 (2d Cir. 1997); U.S. v. LeBlanc, 175 F.3d 511 (7th Cir. 1999); U.S. v. Stocks, 104
F.3d 308 (9th Cir. 1997).
867
FED. R. CRIM. P. 32.1.
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WHAT LAWS GUIDE THE COURT IN SENTENCING ME FOR MY
REVOCATION OF FEDERAL PROBATION OR SUPERVISED
RELEASE?

!

IMPORTANT NOTE: The laws about revocation sentencing are confusing
and difficult to figure out on your own! You have the right to lawyer if you
can’t afford one, and it’s best to ask your attorney to walk through your
specific situation and help you understand what the judge can sentence
you to if your federal probation or Supervised Release is revoked.
The chart shown below on PG. 262 is important because this period determines
the maximum amount of time you can be sent to prison for violating the terms
and conditions of your Supervised Release.
For example, assume you have been convicted of a Class A felony and receive 5
years of Supervised Release. Then, let’s say, you violate the terms and
conditions of your supervision. The judge may, but is not required to, sentence
868
you to four years in prison. If the judge were to do that, you could only be
placed on supervision for one additional year. However, if you were to violate
your supervision again, the judge could sentence you up to the maximum
available term of imprisonment (which is 5 years), but could not impose any
869
additional supervision. This could result in you serving nine years in prison on
revocations when the original term of supervision was only 5 years.

EXCEPTIONS: Offenses committed on or before April 30, 2003:
There are special rules, however, if you committed the offense of conviction on
or before April 30, 2003. Assume the same situation as described above: you’re
convicted of a Class A felony, sentenced to prison with five years of Supervised
Release. Upon your first revocation, you are sentenced four years in prison and
one year of Supervised Release. If you violated your Supervised Release again,
you can only be sentenced to one year in prison (meaning that the difference
between the total term of Supervised Release available by statute for that
offense minus the amount of prison imposed during any previous revocation(s)).
This is different than the first scenario when the judge could impose a five-year
term on a second revocation after imposing a four-year term on the first
revocation.
REVOCATION SENTENCING GUIDELINES:
In addition to the statute governing the maximum terms of supervision, judges
must consider the United States Sentencing Guidelines in determining your
870
sentence upon revocation. The recommended sentence is based on (1) the
Grade of Violation, (2) your Criminal History Category at the time of your original
conviction, and (3) the Class of your original conviction.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

18 U.S.C. § 3583(e)(3) (outlining maximum terms of imprisonment available upon Supervised Release).
18 U.S.C. § 3583(h) (explaining that the length of any term of supervised release imposed upon revocation shall
not exceed the term of supervised release authorized by statute for the offense that resulted in the original term of
supervised release, less any term of imprisonment that was imposed upon revocation of supervised release); see
also U.S. v. Knight, 580 F.3d 933 (9th Cir. 2009).
870
The United States Code and the Federal Rules of Criminal Procedure provide guidance for revocation of federal
probation and Supervised Release. In addition, Chapter 7 of the U.S. Sentencing Guidelines addresses revocation of
probation and supervised release. Every circuit has held that because the Sentencing Commission intended the
policy statements of Chapter 7 to be recommendations, and not binding. But they must be considered. See United
States Sentencing Commission, Revocation of Parole and Supervised Release,
http://www.ussc.gov/sites/default/files/pdf/training/online-learning-center/supporting-materials/Revocation-ofProbation-and-Supervised-Released.pdf.
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This chart outlines Congress’ recommended terms of imprisonment upon
revocation:
REVOCATION TABLE
(IN MONTHS OF IMPRISONMENT)
Grade of
Violation

Criminal History Category*
I

II

III

IV

V

VI

Grade C

3-9

4-10

5-11

6-12

7-13

8-14

Grade B

4-10

6-12

8-14

12-18

18-24

21-27

Grade A

12-18

15-21

18-24

24-30

30-37

33-41

However, if you were on probation or supervised release as a result of a
sentence for a Class A felony, the Congress’ recommendation looks like this:
Grade of
Violation
Grade A

Criminal History Category*
I

II

III

IV

V

VI

24-30

27-33

30-37

37-46

46-57

51-63

Although these are only recommendations for the judge, the judge must
consider them first when rendering a decision.

CAN I APPEAL THE COURT’S REVOCATION DECISION/ACTION?
WHAT COURT HAS JURISDICTION?
It depends. The appellate court (which is the court above the district court) that
made the decision will have the authority to hear the case, unless you have
already completed your time on supervision. In that case, appellate courts have
held that they don’t have authority to hear the case, because your have already
871
completed your sentence, and have no “injury” that the court can fix.

WHAT WILL THE JUDGE LOOK FOR WHEN REVIEWING MY
APPEAL?
The judge who is reviewing your revocation case will look at different aspects
using different legal standards.
Unless a violation is for drug or firearm possession, which requires revocation, a
district court judge’s decision to revoke your federal probation or Supervised
Release will be reviewed by the higher-up appellate judge for “abuse of
872
discretion.” This means, the judge reviewing your case will only grant you an
appeal if they found that the district court judge below them actually mishandled
your case—by acting unreasonably or incorrectly applying the law.
The higher-up appellate judge who is reviewing your case can also review the
LAW that was applied by the district court judge below as if the questions were

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Office of Defender Services Training Branch, Revocation of Probation and Supervised Release,
http://www.ussc.gov/sites/default/files/pdf/training/online-learning-center/supporting-materials/Revocation-ofProbation-and-Supervised-Released.pdf.
872
See Office of Defender Services Training Branch, Revocation of Probation and Supervised Release,
http://www.ussc.gov/sites/default/files/pdf/training/online-learning-center/supporting-materials/Revocation-ofProbation-and-Supervised-Released.pdf.
871

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being asked for the first time. In other words, the reviewing judge can freshly
make his or her own judgment about whether the lower court correctly applied
873
the law (this is called a “de novo” review).
If there were any FACTUAL ERRORS made in your case, the appellate judge will
874
eview htose for “clear error.” This means that the court will not find a factual
875
error unless all the evidence together shows a mistake was made. However, if
you fail to object to an argument or a fact, then the judge in the appeals court
may review the case under the “plain error” standard—a harder burden for you
to meet (this means that the appeals court has to find that the error is extremely
unjust or unfair).
Again, the SENTENCE that you received at the revocation hearing will be
reviewed for reasonableness, which means that the higher-up appellate judge
looks to see if the judge at the district court below abused his or her discretion
in making a decision in the case, by mishandling the case (acting unreasonably
876
or incorrectly applying the law) .

DISABILITIES & SUPERVISED RELEASE
If you have a disability and are under federal community supervision of any kind
(including federal probation, supervised release, or federal parole), please go to
PG. 284 below to learn about your rights.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Office of Defender Services Training Branch, Revocation of Probation and Supervised Release,
http://www.ussc.gov/sites/default/files/pdf/training/online-learning-center/supporting-materials/Revocation-ofProbation-and-Supervised-Released.pdf.
874
See Office of Defender Services Training Branch, Revocation of Probation and Supervised Release,
http://www.ussc.gov/sites/default/files/pdf/training/online-learning-center/supporting-materials/Revocation-ofProbation-and-Supervised-Released.pdf.
875
See U.S. v. U.S. Gypsum Co., 333 U.S. 364, 395 (1948) (“A finding is ‘clearly erroneous’ when although there is
evidence to support it, the reviewing court on the entire evidence is left with the definite and firm conviction that a
mistake has been committed.”). This standard is highly deferential, meaning most of the time the appeals court will
agree with the district court.
876
See Office of Defender Services Training Branch, Revocation of Probation and Supervised Release,
http://www.ussc.gov/sites/default/files/pdf/training/online-learning-center/supporting-materials/Revocation-ofProbation-and-Supervised-Released.pdf.
873

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VI. FEDERAL COMMUNITY
SUPERVISION: FEDERAL
PAROLE
The Sentencing Reform Act of 1984 eliminated federal parole for most people
convicted of a federal crime. Now, instead of defendant’s serving an
indeterminate sentence (i.e., one where a parole board determines how much of
the Judge’s sentence you serve), all federal defendants serve 85% of his or her
sentence. This is much like “mandatory release” discussed below. See the
information on “RELEASE PLANNING” at Appendix II PG. 364. In light of the
Sentencing Reform Act, only a few groups of individuals are serving a federal
parole sentences.

BASICS OF FEDERAL PAROLE
WHO IS RELEASED ONTO FEDERAL PAROLE?
Federal parole now applies only to individuals who were:
•
•
•
•

Sentenced for a federal offense before November 1, 1987;
Convicted of violating the laws of the District of Columbia in D.C. Superior
Court before August 5, 2000;
Convicted of crimes within the military criminal justice system;
877
Convicted in certain foreign transfer treaty cases.

IF I AM ON FEDERAL PAROLE, WHY DO I REPORT TO A U.S.
PROBATION OFFICER?
Federal U.S. Probation offices and officers are responsible for overseeing and
878
administering federal parole. U.S. Probation Officers provide parole services
as request of the USPC.
Thus, U.S. probation officers function as parole officers and supervise people on
879
federal parole and mandatory release.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Federal parole in the United States was a system that existed prior to the Sentencing Reform Act of 1984. Parole
of federal prisoners began after enactment of legislation on June 25, 1910.[1] Under parole, prisoners were eligible
for release before their sentences were complete. Parole boards under the United States Parole Commission
determined whether a prisoner should be released and whether or not a parolee who violated parole should be
sent back to prison. The U.S. Parole Comm’n (USPC, or “Parole Commission”) was just reauthorized for 5 more years,
effective beginning November 1, 2013. Despite the abolishment of federal parole in 1987, the USPC currently has
jurisdiction over more than 17,800 individuals convicted of felonies under the D.C. Penal Code, and 3500 individuals
convicted of the other kinds of eligible federal offenses discussed above.
878
See United States Courts, Probation and Pretrial Services-Mission,
http://www.U.S.C.ourts.gov/FederalCourts/ProbationPretrialServices/Mission.aspx.
879
28 C.F.R. § 2.38; 8 U.S.C. §§ 3655; 4203(b)(4).
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BEFORE RELEASE: WHAT TO KNOW ABOUT
GETTING RELEASED ONTO FEDERAL PAROLE
I AM STILL INCARCERATED. WHAT IS THE LEGAL PROCESS FOR
GETTING RELEASED FROM FEDERAL PRISON ONTO FEDERAL
PAROLE?
There are several steps you will follow in planning for your release from federal
prison onto federal parole. These will include creating a release plan, creating a
plan for payment of restitution and fines, investigation of your plan, and release.
Please see the Appendix II, PG. 364 to find out more.
STEP 1: Release Plan
Once you have a release date from the U.S. Parole Commission (USPC), you
must complete a satisfactory plan for parole supervision to actually get released.
If the release plan is NOT approved, your release may be delayed regardless of
the date the USPC had set when it first granted your parole.
The Regional Commissioner of the USPC may change your date of release
(earlier or later) onto parole to allow more time for release planning. At most, the
Regional Commissioner can delay your release onto parole for 120 days;
otherwise, you have the right to a hearing if the Regional Commissioner wants to
880
push back your release date more than 120 days.
Generally, you are required to have the following included in your release plan:
1) Availability of legitimate employment;
2) An approved residence for the prospective parolee; and
881
3) Availability of necessary aftercare if you are ill or will require special care.
STEP 2: Unpaid Fines & Restitution
Your release onto parole might also be delayed if you still owe court-ordered
882
fines or restitution. When you still have fines or restitution to pay, a
reasonable plan for payment, or a performance of services, if ordered by the
883
court, will be included in your parole release plan, where feasible.
STEP 3: Investigation Phase
Your U.S. Probation Officer will do an investigation to make sure that the
person’s release plan is appropriate. This investigation will start with the
probation officer asking you questions about your release plan. The probation
officer will then follow up and verify your answers. For example, if you told the
probation officer that your approved residence did not have any persons with a
felony record, the probation officer will follow-up to make sure this is true.
STEP 4: Release
After the Parole Commission approves your release plan, and a U.S. Probation
Officer completes an investigation, you will be released on the date set by the
Parole Commission (unless there is misconduct or some other reason leading to
a change in the date).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
28 C.F.R. § 2.28.
28 C.F.R. § 2.33(a)(2).
28 C.F.R. § 2.7.
883
28 C.F.R. § 2.33.
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WHAT COULD HAPPEN IF I REFUSE TO SIGN THE CERTIFICATE
OF RELEASE?
If you don’t sign the certificate of release, one of the two following things could
happen:
1)

If you have been granted a parole date and you refuse to sign the certificate
of release (or any other document necessary to fulfill a condition of release),
the USPC will treat your refusal as a withdrawal of your application for
parole, effective on the date of your refusal. You will not be released on
parole and you will have to reapply for parole consideration.

2) If you are scheduled for release to supervision through good-time deduction
and you refuse to sign the certificate of release, you will be released but you
still must follow the conditions listed on the certificate of release, or risk
884
violation and revocation (see Appendix GG, PG. 360).

DO I HAVE TO RETURN TO THE SAME COMMUNITY THAT I CAME
FROM FOR MY FEDERAL PAROLE?
Usually, yes. In most instances, you will be released to parole in the U.S. Judicial
District of your legal residence, or in the U.S. Judicial District where you were
885
convicted of the federal offense.
THERE IS ONE EXCEPTION: if the U.S. Parole Commission decides that your
chances of success on parole will be better in another community, or believes it
would serve “the public interest,” it can order you be paroled to a different
886
District. !

WHAT IS THE DIFFERENCE BETWEEN FEDERAL PAROLE AND
“MANDATORY RELEASE”?
If you are never granted parole during your prison sentence, you will be released
through “Mandatory Release” (unless you have forfeited all your statutory “good
time credits”). The institution’s officials set your Mandatory Release date by
calculating how much statutory “good time” credit you have a legal right to, and
how much extra “good time” is earned.
The law states that if you are entitled to Mandatory Release, you must “be
treated as if released on parole” and are “subject to all provisions of the law
relating to the parole of United States prisoners until the expiration of the
maximum term or terms for which [you were] sentenced, less 180 days.” What
this really means is that you should have a release plan (see question above) as
if you were going out on parole. You will also be supervised by a U.S. Probation
Officer as if on federal parole until 180 days before the end date of your
sentence—so long as you don’t violate the conditions of your mandatory release,
in which case the U.S. Parole Commission (USPC) can hold you under
supervision until the original full term date of the sentence.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

28 C.F.R. § 2.40(a)(2).
28 C.F.R. § 2.33(b); see U.S. Parole Comm’n, Frequently Asked Questions,
http://www.justice.gov/uspc/faqs.html#q29.
886
28 C.F.R. § 2.33(b).
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IS IT POSSIBLE THAT I BE RELEASED FROM FEDERAL PRISON
AND NOT BE ON ANY TYPE OF COMMUNITY SUPERVISION?
Yes, it is possible, but rare. If you are NOT paroled and have less than 180 days
left on your original sentence when you are released, you will be released
without supervision. However, if a “special parole term” is being served,
supervision will end at the full term date, and this 180-day date does not apply.

AFTER RELEASE: WHAT TO EXPECT IN YOUR
FIRST DAYS OUT ON FEDERAL PAROLE
AFTER I AM RELEASED TO FEDERAL PAROLE, WHEN AND TO
WHOM MUST I REPORT?
US. Probation Officers function as parole officers and provide supervision to
887
persons released on parole or on mandatory release. !
•
•
•
•

888

You will go to an approved residence and report within 3 days (72 hours)
889
to the United States Probation Office shown on your certificate of release.
You must continue to report to a U.S. Probation Officer in-person as
instructed by your officer once released.
In addition, you must submit a monthly written report, and follow all the
890
conditions of your release.
U.S. Probation Officers must also provide you with parole
CONSTITUTIONAL
891
CONCERNS
services at the request of the U.S. Parole Commission (USPC).
ABOUT
DETAINERS

I AM NOT A U.S. CITIZEN, AND I AM TOLD I HAVE AN
OUTSTANDING DETAINER AGAINST ME. WHAT IS A
DETAINER? WHAT COULD HAPPEN TO ME?
An ICE detainer is a written request by immigration officials to a
local jail or other law enforcement agency that the agency detain an
individual for an additional 48 hours (excluding weekends and
holidays) after his or her release date so that ICE officials can decide
whether to take the individual into federal custody and begin formal
deportation proceedings.
A “detainer”—or “immigration hold”—is one of the key tools U.S.
Immigration and Customs Enforcement (ICE) uses to apprehend
individuals who come in contact with local and state law
enforcement agencies and put them into the federal immigration,
and often times, deportation system.
Even if you have a detainer against you, the USPC may still grant
you release onto federal parole if you meet the other criteria in 28
C.F.R. § 2.18. The presence of a detainer is not in itself a valid reason

State and local
corrections officials
frequently violate the
48-hour limitation by
continuing to hold
individuals beyond the
period allowed by
regulation, raising
constitutional
concerns. Detainers
have resulted in the
illegal imprisonment
of many people—
including U.S. citizens,
lawful permanent
residents, without any
charges pending,
sometimes for days or
weeks after they
should have been
released from
custody.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

28 C.F.R. § 2.38.
Unless you are released on a detainer.
28 C.F.R. § 2.40(a)(1) (“Your certificate of release informs you of these conditions and special conditions that we
have imposed for your supervision.”).
890
See U.S. Parole Comm’n, Frequently Asked Questions, http://www.justice.gov/uspc/faqs.html.
891
See 18 U.S.C. §§ 3655, 4203(b)(4).
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for the denial of parole.

892

When a State or local detainer is outstanding against a prisoner whom the
USPC wishes to parole, the Commission may order either of the following:
1)

In this event, you can only be released to agency that put the detainer on
you. When such a detainer is removed, you can’t be released unless the
Commission makes a new order of parole; OR
2) If you have an acceptable plan for community supervision, you can be
released into the community if the detaining officials remove the detainer or
893
don’t pick you up

LENGTH OF FEDERAL PAROLE
HOW LONG WILL I BE ON FEDERAL PAROLE?
You will be on parole and under the supervision of a U.S. Probation Officer until
the maximum expiration date of the sentence (for offenses committed before
April 11, 1987), unless the Commission ends your supervision earlier.

!

IMPORTANT NOTE: Your time on federal parole runs at the same time as
any other Federal, State, or local sentence to supervision.894
•

•

IF YOUR SUPERVISION IS ENDED EARLY: You will be given a Certificate of
Early Termination, which may also be provided to other supervising
895
agencies.
IF YOU ARE NOT RELEASED TO PAROLE, AND INSTEAD YOU ARE
MANDATORILY RELEASED: Your supervision by a U.S. Probation Officer
automatically ends 180 days before the maximum expiration date, unless the
USPC ends supervision earlier. If your supervision is ended early, you will be
896
given a Certificate of Early Termination. You have been mandatorily
released if you reached the end of the sentence imposed by the court minus
any “good time” deductions you earned during the time of your
897
confinement.

CAN I GET OFF FEDERAL PAROLE EARLY?
Possibly. Read about when and how you can ask to be released from federal
parole early.
•

•

Every year, your U.S. Probation Officer submits a report to the Parole
Commission about your adjustment in the community. After reviewing the
report and any recommendations it contains, the Parole Commission may
898
decide to end your parole supervision early.
At any point in time, you may request, or the Parole Commission on its own
899
motion may decide, to end your parole supervision early.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

28 C.F.R. § 2.31.
28 C.F.R. § 2.32.
28 C.F.R. § 2.39.
895
28 C.F.R. § 2.39.
896
See U.S. Parole Comm’n, Frequently Asked Questions, http://www.justice.gov/uspc/faqs.html.
897
28 C.F.R. § 2.35.
898
See U.S. Parole Comm’n, Frequently Asked Questions, http://www.justice.gov/uspc/faqs.html.
899
28 C.F.R. §§ 2.43(a)(1), 2.95(a)(1).
892
893
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•

•

After you’ve completed 2 years on federal parole (again: not counting any
time you spend on parole before the most recent release, and not counting
900
any time you spent in confinement on another sentence ), the Parole
Commission must consider terminating your federal parole, and again must
901
consider early termination at a minimum every year thereafter.
After you’ve completed 5 years on federal parole (again: not counting any
time spend on parole before the most recent release, and not counting any
time you spent in confinement on another sentence), by law, the Parole
Commission must end your supervision UNLESS it finds—after conducting a
hearing with you present—that you are likely to engage in future conduct
violating criminal law. You have the right to a personal hearing before the
Parole Commission can make such a finding to keep you on federal parole
902
past 5 years. You should not waive your right to this hearing.

HOW DOES THE U.S. PAROLE COMMISSION DECIDE
WHETHER TO LET ME OFF FEDERAL PAROLE EARLY?
The Parole Commission must consider the following guidelines,
which indicate that your federal parole should be ended early:
1)

You received a “salient factor score” (SFS) in the “very good
risk category” AND you have completed 2 continuous years of
supervision free from an incident of new criminal behavior or
serious parole violation (which includes a new arrest or report
of a parole violation if supported by substantial evidence of guilt,
903
even if no conviction or parole revocation results); OR
2) You received a “salient factor score” in a risk category other than
very good AND you have completed 3 continuous years of
supervision free from an incident of new criminal behavior or
serious parole violation (which includes a new arrest or report of a
parole violation if supported by substantial evidence of guilt, even
904
if no conviction or parole revocation results).
However, the USPC may disregard the outcome indicated by the 2
guidelines above based on case–specific factors, including:

WHAT IS A
“GOOD RISK
DETERMINATION”?
It is VERY difficult to
have a “very good
risk” determination
for the SFS. This is
because the score
sheet is written to
be nearly
impossible for
someone to every
have that good of a
score. To have a VG
(Very Good) you
have to have 10 -8
SFS, which is very
hard given that you
lose a point just for
being on parole.
The scorecard is
very “stacked”
against the parolee.
not.

1) Your current behavior;
2) Your background; and
905
3) Your criminal history.

IF I AM DENIED EARLY TERMINATION OF MY FEDERAL PAROLE,
CAN I CHALLENGE THE U.S. PAROLE COMMISSION’S DECISION?
906

907

Yes. You can appeal to the National Appeals Board. However, the National
Appeals Board does not often reverse the decision of the Parole Commission,
unless an error was made. There are several steps to challenge the Parole

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

28 C.F.R. §§ 2.43(d), 2.95(d).
28 C.F.R. §§ 2.95(b), 2.43(b) (“In calculating the two-year and five-year period . . . , the Commission shall not
include any period of parole before the most recent release, or any period served in confinement on any other
sentence.”) See U.S. Parole Comm’n, Frequently Asked Questions, http://www.justice.gov/uspc/faqs.html.
902
28 C.F.R. §§ 2.43, 2.95. See also U.S. Parole Comm’n, Frequently Asked Questions,
http://www.justice.gov/uspc/faqs.html.
903
The Parole Commission cannot terminate your federal parole supervision until it determines the disposition of a
pending criminal charge. 28 C.F.R. §§ 2.43(g)(1)(i), 2.95(e)(1)(i).
904
The Parole Commission cannot terminate your federal parole supervision until it determines the disposition of a
pending criminal charge. 28 C.F.R. §§ 2.43(g)(1)(ii), 2.95(e)(1)(ii).
905
28 C.F.R. §§ 2.43(h), 2.95(e)(3).
906
28 C.F.R. § 2.43(e); see also 28 C.F.R. §§ 2.17; 2.26; 2.43.
907
28 C.F.R. § 2.26.
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Commission’s decision not to let you off federal parole early. Please see the
APPENDIX JJ PG. 365 for full details on each step.
STEP 1: You may send a written appeal to the National Appeals Board
challenging any decision to grant (other than a decision to grant parole on the
date of parole eligibility), rescind, deny, or revoke parole.
NOTE: If you want to appeal a decision denying your parole on the date of
parole eligibility, you instead need to submit a “petition of reconsideration” to
908
the USPC.
909

STEP 2: Use the proper form (Parole Form I-22) and file your written appeal
within 30 days from the date of entry of the decision that you are appealing. If
you don’t file within 30 days of the decision, you lose your right to
challenge/appeal it.
OTHER REQUIREMENTS OF YOUR APPEAL:
1)

The appeal must include an opening paragraph that briefly summarizes the
legal grounds for the appeal.
2) You should then list each ground separately and clearly explain the reasons
or facts that support each ground.
If you’re appeal doesn’t meet these requirements, the USPC may return it to you,
in which case have 30 additional days from the date the appeal is returned to
submit an appeal that meets the above requirements.
LEGAL GROUNDS FOR YOUR APPEAL CAN INCLUDE:
1)

That the guidelines were wrongly applied in your:
o Severity rating;
o Salient factor score;
o Time in custody;

2) That a decision outside the guidelines was not supported by the reasons or
facts as stated;
3) That especially mitigating circumstances (for example, facts relating to the
severity of the offense or your probability of success on parole) justify a
different decision;
4) That a decision was based on wrong information, and the correct facts
justify a different decision;
5) That the USPC did not follow correct procedure in deciding the case, and a
different decision would have resulted if it would have followed the right
procedure;
6) There was important information that you did not know at the time of the
hearing;
7) There are compelling reasons why a more lenient decision should be given
on grounds of compassion
8) The Attorney General (AG) may file an appeal by making a written request to
have the Regional Commissioner’s regarding decision regarding an
individual’s federal parole. The request by the AG must be within 30 days of
the Commissioner’s decision. The National Board of Appeals will have 60
days, after receiving the AG’s request, to reaffirm, modify or reverse the
Commissioners decision. The Board of Appeals decision has to be provided
910
in writing to both the AG and prisoner the appeal relates to.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
908
909
910

See 28 C.F.R. §§ 2.17; 2.27.
Parole Form I-22, available at http://www.justice.gov/sites/default/files/uspc/legacy/2013/02/26/formi22.pdf.
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How can I strengthen my appeal?
You can provide additional information for the USPC to consider in an
addendum to your original appeal. An addendum is when you have new
or additional information you would like to give to USPC, but you have
already turned in your application. You can send the new information to
USPC with a note that you would like to attach the new information as
an “addendum.”
You can attach exhibits (photos, documents that help your case, etc.) to
your appeal, but the exhibits shouldn’t be copies of documents that the
USPC already has.
STEP 3: The National Appeals Board may affirm, modify, or reverse the decision
of the Parole Commissioner(s) below.
STEP 4: You receive the National Appeals Board’s decision. The National
Appeals Board must act within 60 days of receiving your papers to affirm,
modify, or reverse the decision below. The decision of the National Appeals
911
Board is final.

CONDITIONS OF FEDERAL PAROLE
WHAT CONDITIONS MUST I FOLLOW ON FEDERAL PAROLE?
There are a lot of general and additional conditions that it is important to follow!
Here is an overview of all the general conditions, and you should also be aware
912
of any special conditions that might apply to you.

GENERAL CONDITIONS OF FEDERAL PAROLE
1)

Go directly to your approved residence in the district named in your
Certificate of Release (unless you are released to a detainer, explained on
PG. 267 above);
2) Report in-person within 3 days (72 hours) to the U.S. Probation Office named
on your Certificate of Release. If because of an emergency you are unable to
appear in person within 3 days (72 hours) after your release, you should
report to the nearest U.S. Probation Office and obey any instructions that
the “duty officer” gives you.
a. If you were released to another authority (not U.S. Probation), then
you should follow these first 2 steps as soon as you are released
from the custody of the other authority.
3) Cooperate with your Probation Officer, and provide any information
requested to your Probation Officer. You must answer completely and
truthfully when the Probation Officer asks you for information.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

28 C.F.R. § 2.26.
See 28 C.F.R. § 2.40(a)(1) (“All persons on supervision must follow the conditions of release described
in § 2.204(a)(3) through (6). These conditions are necessary to satisfy the purposes of release conditions stated in 18
U.S.C. 4209. Your certificate of release informs you of these conditions and other special conditions that we have
imposed for your supervision.”); 28 C.F.R. 2.85(a)(1) (D.C. federal parole) (“General conditions of release and notice
by certificate of release. All persons on supervision must follow the conditions of release described in § 2.204(a)(3)
through (6). Your certificate of release informs you of these conditions and other special conditions that we have
imposed for your supervision.”).
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4) Between the first and third day of each month, you must make a written
report to the supervision officer on a form provided to you. The written
report will look different depending where you are. It will most likely look
like a worksheet where you will fill out your address, job information, and
answer other questions about your life, or a form that you will fill out and
submit on line at the probation office’s website. Your Probation Officer will
show you how to fill this out and give it to you at your check-in.
5) Report to your Probation Officer as that officer directs.
TALKING TO
6) Tell your Probation Officer if you are arrested or questioned by
YOUR P.O.
law enforcement/police within 2 days of the contact with law
ABOUT
AN
enforcement.
ARREST
7) Tell your Probation Officer if you change your job or address
Under the federal
within 2 days of the change.
law that governs
8) You must let the Probation Officer to visit your home and
federal parole, if you
workplace.
end up being
9) You must let the Probation Officer take any item that the officer
arrested for an
reasonably believes you are not allowed to have (for example, an
incident that police
questioned you
illegal drug or a weapon), and that is in plain view in your
about (or any other
possession (meaning they can see it without having to open
incident), you must
drawers or dig through compartments), including in your home,
tell your probation
workplace, or vehicle.
officer. It could help
10) You must take a drug or alcohol test whenever your Probation
to show the USPC
913
that you are being
Officer orders you to take the test.

Conditions that Prohibit Conduct:
1)
2)
3)
4)
5)
6)
7)
8)

honest with your
P.O. and trying hard
to comply.

You cannot violate any law and must not associate with any person
who is violating any law.
You cannot possess a firearm, any other dangerous weapon, or ammunition.
You cannot illegally possess or use a controlled substance.
You cannot drink alcoholic beverages to excess.
Stay away from a place where a controlled substance is illegally sold, used,
or given away.
You cannot leave your district of supervision without permission. (See
PG. 275 for instructions on how to get permission to leave your district of
permission.)
You cannot associate with a person who has a criminal record without the
permission of your Probation Officer.
You cannot act as an informant (meaning someone who gives information to
law enforcement/police about secret or criminal activities) for any law
enforcement officer without the prior approval of the U.S. Parole
914
Commission.

Additional Conditions You Must Follow:
1)
2)
3)
4)

5)

You must make a good faith effort to work regularly, unless excused by your
Probation Officer.
You must support your children and any legal dependents.
You must participate in an employment-readiness program if your
supervision officer tells you to do so.
You must make a good faith effort to pay any fine, restitution order, court
costs or assessment or court-ordered child support or alimony payment. If
asked by your Probation Officer, you must provide your financial
information. You must cooperate with your Probation Officer in setting up an
installment plan to pay these debts and obligations.
If your underlying conviction was for a domestic violence crime, and it was
your first conviction for domestic violence, you must attend an approved

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
913
914

28 C.F.R. § 2.204.
28 C.F.R. § 2.204(5).

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offender-rehabilitation program for the prevention of domestic violence (if
such a program is readily available within 50 miles of your home).
6) If required by law, you must register with any applicable special offender
registration law, for example, a law that requires you to register as a “sex
offender” or a “gun offender.”
7) If directed by your Probation Officer AND if authorized by the DNA Analysis
Backlog Elimination Act of 2000, you must provide a DNA sample.
8) You must inform a person about your criminal record or personal history if
your supervision officer determines that your relationship or contact with
this person may pose a risk of harm to this person. The Probation Officer
may direct you to do this and then ask for some form of confirmation or
proof that you followed the direction. The Probation Officer may also speak
915
directly with that person.

I AM ON FEDERAL PAROLE. CAN I TRAVEL OUTSIDE MY FEDERAL
PAROLE DISTRICT?
Yes, if you get permission from your Probation Officer and/or the Parole
916
Commission first.
1)

Your Probation Officer may give you permission to travel outside your
federal parole district without approval of the U.S. Parole Commission in the
following situations:
a. Vacation trips for 30 days or less.
b. Trips to look into certain employment possibilities for 30 days or
less.
c. Repeated travel across a district boundary, no more than 50 miles
917
outside the district, for a job, shopping, or recreation.
2) For the following types of travel, you must (1) get the Parole Commission’s
advance permission in writing, and (2) show a substantial need for such
travel:
a. All foreign travel;
b. A job that requires you to repeatedly travel more than 50 miles
outside your federal parole district (except offshore job locations);
and
918
c. Vacation travel outside the district for more than 30 days.
3) A special condition imposed by the Regional Commissioner prohibiting
919
certain travel shall supersede any of the above general rules. This means
that if you have a special condition that prohibits certain travel then you will
not be able to travel even if you meet the conditions above.

SPECIAL CONDITIONS OF FEDERAL PAROLE
WHAT SPECIAL CONDITIONS COULD APPLY TO ME ON FEDERAL
PAROLE?
If the U.S. Parole Commission determines that it is necessary to protect the
public from further crimes and to provide adequate supervision over you, it may
impose a special condition other than one of the general conditions above.
Examples of special conditions of release that the Commission might require of

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
915
916
917
918
919

28 C.F.R. § 2.204(6).
See 28 C.F.R. § 2.41.
28 C.F.R. § 2.41(a)(3).
28 C.F.R. § 2.41(b)
28 C.F.R. § 2.41(c).

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your are found at 28 C.F.R. § 2.204(b)(2), and include the following possible
requirements:
1)

2)
3)
4)
5)

If the Parole Commission requires you to participate in a drug-treatment
program, you must submit to a drug test before release and to at least two
other drug tests, as determined by your Probation Officer. However, a
decision not to impose this special condition, because available information
indicates that you have a low risk of future substance abuse, constitutes
good cause (a good reason under law) for suspending the drug testing
920
requirements of 18 U.S.C. 4209(a). Furthermore, a grant of parole or reparole depends on your passing all pre-release drug tests administered by
921
the Federal Bureau of Prisons (BOP).
You must live in or participate in a program at a community corrections
center, or both, for all or part of your period of supervision;
You must participate in a drug-or alcohol-treatment program, and abstain
from all use of alcohol and other intoxicants;
As an alternative to incarceration, you may be put on house arrest (home
confinement), meaning you remain at home during nonworking hours, and
your compliance is monitored by telephone or electronic signaling devices;
You must allow a supervising off it a time of their choosing, to conduct a
search of your person, or of any building, vehicle, or other area under your
control, and to seize contraband found.

CAN FEDERAL PAROLE REQUIRE ME TO GO TO A HALF-WAY
HOUSE OR REQUIRE ME TO UNDERGO DRUG OR ALCOHOL
TREATMENT WHILE I’M UNDER SUPERVISION?
922

Yes. Federal law allows the U.S. Parole Commission to require you to go into
a half-way house or undergo treatment for drug or alcohol for all or part of the
time under supervision. In most cases, you will be notified in advance and may
submit comments about that proposal to the Parole Commission before the final
923
decision is made.

IF I’M ON PAROLE, MAY I OWN, USE OR POSSESS FIREARMS
AFTER THEY ARE RELEASED?
No—almost never. Except in very rare situations, federal law forbids anyone who
has ever been convicted of a felony from possessing firearms or ammunition.
Generally, you will not be permitted to own or possess a firearm or
924
ammunition.

CAN THE PAROLE COMMISSION CHANGE ANY OF MY
CONDITIONS OF RELEASE?
Yes. If you believe the conditions on your Certificate of Release are unfair, you
may ask the Case Manager for an appeal form and submit it to the Regional
Commissioner within 30 days after your release. The U.S. Parole Commission
will consider the appeal and you will be notified of the decision within 21 days

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
920
921
922
923
924

28 C.F.R. § 2.204.
See 28 C.F.R. § 2.40.
18 U.S.C. § 3563(b)(9); see also, 2011 Federal Sentencing Guidelines Manual § 5B1.3(e)(1).
18 U.S.C. § 3563(b)(9).
18 U.S.C. § 3563.

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after you file your appeal. While the appeal is pending, the parolee must
925
continue to abide by the conditions imposed.

AFTER A PAROLEE IS RELEASED, MAY ANY OF THE CONDITIONS
BE CHANGED? CAN ADDITIONAL ONES BE IMPOSED?
Yes. The Probation Officer or the U.S. Parole Commission may propose
changing or adding to your conditions of federal parole. You will be notified of
any such proposal and be given up to 10 days to make any written comments to
the U.S. Parole Commission. You will be notified within 21 days after you provide
926
written comments.
STEP 1: Ask your U.S. Probation Officer for a form to make comments.
STEP 2: You may write directly to the Commission (with a copy to your Probation
927
Officer) if you want to have any of the conditions changed or deleted.

TRANSFERRING FEDERAL PAROLE
I’M ON FEDERAL PAROLE AND I WANT TO TRANSFER TO
A NEW DISTRICT. HOW CAN I DO THAT?
To transfer districts, you need to discuss it with your Probation Officer,
who will review your plan and make sure you meet certain criteria
required for transfer.
To have the transfer request approved, you must get the permission
of both the Probation Officer from the transferring district and from
the receiving district. You can only transfer if it doesn’t go against the
928
instructions from the U.S. Parole Commission (USPC). If you meet
the criteria, have your plan approved, and sign the required forms
and submit a transfer request through the Interstate Compact
Offender Tracking System (ICOTS), your transfer request will then be
submitted to the other state for investigation and a decision on
acceptance or rejection.

IMPROVING
YOUR CHANCES
OF HAVING A
TRANSFER
REQUEST
APPROVED
Your request is
much more likely to
be approved if you
have a good track
record – clean drug
tests, always going
to your meetings
with your Probation
Officer, staying out
of trouble with law
enforcement.

Please read the next question for more information about transferring between
states.

I AM ON FEDERAL PAROLE AND WANT TO TRANSFER TO
ANOTHER STATE. HOW CAN I DO THAT?
An Interstate Compact for Adult Offender Supervision governs transferring
929
between states for adults under all types of community supervision. The
Compact has been adopted by all 50 states, Puerto Rico, and the U.S. Virgin

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
925
926
927
928
929

28 C.F.R. §§ 2.40(d), 2.204(c)–(d).
28 C.F.R. §§ 2.40(d), 2.204(c)–(d).
28 C.F.R. §§ 2.40(d), 2.204(c)–(d).
28 C.F.R. § 2.38
CAL. PENAL CODE §§ 11180; 11181.

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930

Islands. An Interstate Commission has developed rules for transfer eligibility
and supervision.
To view a flowchart overview of the Interstate Compact process, go to
Appendix MM, PG. 368. To A full list of rules for interstate transfer can be found
931
here: http://www.interstatecompact.org/Portals/0/library/legal/ICAOS_Rules.pdf.
At the discretion of the sending state, you are eligible and can be approved for
transfer if you meet the following criteria:
1)

You have more than 90 calendar days or an indefinite period of supervision
remaining at the time the sending state transmits the transfer request; and
2) You have a valid plan of supervision; and
3) You are in substantial compliance with the terms of supervision in the
sending state (meaning you have not had your probation or parole revoked
and you have no pending revocation charges); and
4) Either:
a. You are a resident of the receiving state, OR
b. You have family in the receiving state who indicate a willingness and
ability to assist (as specified in your supervision plan) and you can
obtain employment in the receiving state or have some other means
932
of support.
If you are approved for transfer by the sending state, then the receiving state
933
must accept you for federal parole supervision.

ALTERNATIVE OPTION:
Even if you do not meet the above criteria and eligibility requirements for
interstate parole transfer, the sending and receiving states may also agree to
transfer you if there is good cause to do so. To pursue this option:
STEP 1: Discuss the transfer with your Probation Officer.

!!

STEP 2: If the special circumstances and good cause for transferring your
supervision are approved, the sending state must provide the receiving state
enough documentation to justify the transfer.
STEP 3: The receiving state shall have the discretion to accept or reject the
transfer of supervision in a manner consistent with the purpose of the Interstate
934
Compact.

How do I start the process?
To get the process started, you should talk to your federal correctional
counselor or federal probation agent. The parole agent should
determine whether you meet the eligibility criteria. If the criteria are met,
the agent should submit a transfer application to the department’s
Interstate Compact Unit (In California, the CDCR’s Interstate Compact
Unit in Sacramento). If that unit approves your application, the request
935
will be sent to the receiving state.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Information on the Compact and rules made by the Interstate Commission for Adult Supervision and California
State Council can is available at www.interstatecompact.org.
931
Interstate Commission for Adult Offender Supervision, ICAOS Rules,
http://www.interstatecompact.org/Portals/0/library/legal/ICAOS_Rules.pdf.
932
ICAOS Rule 3.101.
933
ICAOS Rule 3.101.
934
ICAOS Rule 3.101-2.
935
See DOM § 81060.1 et seq. for the CDCR’s procedure for handling applications from parolees for out-of- state
transfers. See also ICAOS Rules 3.102-3.109. Further information may be obtained from the CDCR Interstate
Compact Unit, P.O. Box 942883, Sacramento, CA 94283.
930

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How long will it take?
The earliest that your supervising agency can send a transfer request is
936
120 days before your expected release date from prison. The
receiving state is supposed to respond within 45 calendar days of
937
receiving a transfer request. The process can be expedited in an
938
emergency.

I AM CLASSIFIED AS A SEX OFFENDER, AND I WANT TO
TRANSFER TO ANOTHER STATE. HOW CAN I DO THAT?
You must meet the above 5 criteria, AND you must be able to meet additional
specific requirements for transferring the supervision of people classified as sex
939
offenders.
NOTE: You cannot leave the sending state until the receiving state has approved
the transfer request or issued reporting instructions.
See Appendix LL, PG. 367 to follow detailed steps.
Follow these steps:
STEP 1: Discuss your desire to transfer with your U.S. Probation Officer.
STEP 2: Satisfy all of the eligibility criteria. At the discretion of the sending state,
you are eligible and can be approved for transfer if you meet the following
criteria and all 5 of the criteria above (see previous page).
STEP 3: Complete an Application for Transfer.
STEP 4: The sending state must send the receiving state:
1)
2)
3)
4)
5)

Assessment information, including sex offender specific assessments;
Social history;
Information relevant to the sex offender’s criminal sexual behavior
Law enforcement report that provides specific details of sex offense;
Victim information: including the name, sex, age and relationship to the
offender and the statement of the victim or victim’s representative;
6) The sending state’s current or recommended supervision and treatment
940
plan.
STEP 5: The receiving state has 5 business days to review the proposed
residence. If the proposed residence is not acceptable due to existing state law
or policy, the receiving state may deny the application. No travel permit can be
941
granted by the sending state until the receiving state says it can.
STEP 6: A travel permit will be given to you by your Probation Officer if the
receiving state has approved the new residence. Travel permits are issued by
the local parole office, so each office uses a different form. Your Probation
Officer will give you this form once you have been approved by the Interstate
942
Commission for Adult Offender Supervision.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

ICAOS Rules 3.101; 3.105
ICAOS Rule 3.104.
ICAOS Rule 3.106.
939
For additional rules see ICAOS Rule 3.101-3.
940
ICAOS Rule 3.101-3(b).
941
ICAOS Rule 3.101-3(c).
942
Email conversation with Harry Hageman, Executive Director, Interstate Commission for Adult Supervision on Feb.
26, 2015.
936
937
938

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VIOLATIONS & REVOCATION OF FEDERAL
PAROLE
WHAT COULD HAPPEN IF I VIOLATE THE CONDITIONS OF MY
FEDERAL PAROLE (OR MANDATORY RELEASE)?
1)

First, a U.S. Probation Officer will likely report the violation to the U.S. Parole
Commission. While your Probation Officer is required to report any and all
violations to the U.S. Parole Commission (USPC), the officer may
recommend that you be continued under supervision without sanctions.

2) Second, a Parole Commissioner determines the appropriate punishment
(called “sanctions”), which could include:
a) Issuance of an arrest warrant, or
b) A summons for you to appear at a hearing.
The Probation Officer's recommendation is one of the factors considered by the
943
Commission in its decision.
At this stage of the process, there are two reasons why the USPC might wait to
issue an arrest warrant or a hearing summons:
• It may wait until, in the opinion of the Commission, the frequency or
seriousness of violations requires it to issue a warrant or summons;
• You (the parolee) have been charged with a new criminal offense and are
awaiting disposition of the charge, so the Commission may decide to (1)
withhold the summons, (2) issue and hold the warrant in abeyance, or (2)
944
issue a warrant and place a detainer on you.
3) Third, the warrant will be “executed,” which means that you will be taken
into custody or asked to come to a hearing. What happens next will depend
on your personal circumstances, but the different possibilities are described
in the next two questions.

WHO ISSUES AN ARREST WARRANT OR SUMMONS TO APPEAR
AT A HEARING IF I VIOLATE FEDERAL PAROLE OR MANDATORY
RELEASE?
Only a Parole Commissioner may issue a warrant or a summons for a violation of
945
the conditions of your release on federal parole.
Any officer of any Federal correctional institution or any Federal officer
authorized to execute the warrant will do so by returning you to the custody of
946
the Attorney General.
You must be served with a summons to appear at a preliminary interview or
revocation hearing by a Federal officer who is authorized to serve you, and proof
of such service shall be returned to the appropriate regional office of the
947
USPC.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

United States Department of Justice, U.S. Parole Comm’n—Frequently Asked Questions,
http://www.justice.gov/uspc/faqs.html.
944
28 C.F.R. § 2.44(a).
945
28 C.F.R. § 2.44.
946
28 C.F.R. § 2.46(a).
947
28 C.F.R. § 2.46(d)
943

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AFTER A WARRANT OR SUMMONS IS ISSUED, WHAT HAPPENS?
1)
2)
3)

4)

5)

You will be either taken into custody, usually in the nearest government948
approved jail or detention center, or summoned to appear at a hearing.
If you have been convicted of a new offense, a Probation Officer will
personally advise you of your legal rights and conduct a preliminary
949
interview.
The Regional Commissioner will pick an official to conduct a preliminary
interview with you —this official could be a U.S. Probation Officer in the
district where you are confined, so long as it is not the same U.S. Probation
950
Officer who recommended that you be arrested.
You’ll go through a preliminary interview (sometimes called a probable
cause hearing) by the official, which will be used to help the U.S. Parole
Commission determine if there is probable cause to believe you actually
violated your parole conditions. If the Parole Commission finds probable
951
cause, then it must decide whether to conduct a final revocation hearing.
YOU HAVE THE RIGHT TO ASK FOR AN ATTORNEY & INVITE WITNESSES
952
TO THE PRELIMINARY HEARING! At the beginning of the preliminary
interview, the interviewing officer must:
o Verify that you received the Warrant Application (as required by
953
§ 2.46(b));
o Advise you of your right to have the preliminary interview postponed so
that you have time to get an attorney to represent you or to arrange for
954
witnesses to attend on your behalf;
o Tell you that if you cannot afford an attorney, you can apply to a U.S.
District Court for appointment of counsel to represent you at the
preliminary interview and the revocation hearing (pursuant to 18 U.S.C.
3006A). You do not have a constitutional right to have an attorney at
your revocation hearing, but you can request an attorney and may have
one appointed to you. You will most likely qualify for an attorney if you
955
cannot afford one.

6) YOU HAVE THE RIGHT TO ASK THE PAROLE COMMISSION TO MAKE
WITNESSES WHO PROVIDED INFORMATION LEADING TO YOUR
REVOCATION CHARGE APPEAR AT THE PRELIMINARY INTERVIEW—
o You should request that the Commission bring in anyone who has given
information that it will use in its decision to revoke or reinstate your
parole. Such adverse witnesses shall be requested to attend the
preliminary interview unless (1) you admit a violation; or (2) have been
convicted of a new offense while on supervision; or (3) the interviewing
956
officer finds good cause for their absence. The Parole Commission
may subpoena (meaning order through the court) witnesses who are
957
against your interest (adverse) and the production of documents.
7)

AT THE PRELIMINARY INTERVIEW, THE INTERVIEWING OFFICER MUST:
o Review the violation charges with you;
o Tell you about the evidence which has been presented to the Parole
958
Commission;

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

28 C.F.R. § 2.48(g)
28 C.F.R. § 2.48(c).
950
28 C.F.R. § 2.48(a).
951
28 C.F.R. § 2.48.
952
28 C.F.R. § 2.48(b).
953
28 C.F.R. § 2.48(b).
954
28 C.F.R. § 2.48(b).
955
18 U.S.C. 3006A(a)(1)(E).
956
28 C.F.R. § 2.48 (b).
957
28 C.F.R. §§ 2.48; 2.51.
958
Disclosure of the evidence presented to the U.S. Parole Comm’n must be made pursuant to 28 C.F.R. § 2.50(d).
See also 28 C.F.R. § 2.48(c).
948
949

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o Take statements of witnesses and documentary evidence on your behalf;
and
o Allow cross-examination of those witnesses in attendance.
8) AT THE CONCLUSION OF THE PRELIMINARY INTERVIEW, THE
INTERVIEWING OFFICER MUST:
o Tell you his or her recommended decision as to whether there is
probable cause to believe that you violated the conditions of your parole.
o Tell you recommendation and the basis for it.
o Submit to the Parole Commission a summary of the preliminary interview
959
along with the officer’s recommended decision. In this report, the
interviewing officer will recommend (1) whether there is “probable cause”
to believe that a violation has occurred AND (2) whether you should be
held in custody pending a revocation hearing or be reinstated to your
parole supervision.

A Finding of Probable Cause
Just because an interviewing officer finds “probable cause” to believe you
violated your parole, does not mean that your parole has been revoked. It just
means that there is reason to believe you!! did what the warrant says you did—
you will still have a chance to be reinstated at your Final Revocation Hearing.
“Probable cause” is a very low standard, meaning an interviewing officer will
most likely find “probable cause,” but you can still be reinstated at your Final
Revocation Hearing.
9) After the interviewing officer’s report is received, the Parole Commission will
either order you reinstated to supervision or order that a Hearing Examiner
hold you in custody for a revocation hearing.
10) Even if the Commission finds probable cause to believe you have violated
the conditions of your parole, it may still order you reinstated back to parole
supervision or release you pending further proceedings if:
a) Continued revocation proceedings are not warranted; OR
b) Keeping you in jail is not necessary because the you have not violated
multiple times or the charge you are facing is not serious, and you are
likely to appear for further proceedings, and don’t constitute a danger to
960
yourself or others.
11) If you’re convicted of a new offense, you are NOT entitled to a preliminary
interview because the conviction is sufficient evidence (probable cause is
automatically shown) that you violated your conditions of parole. In that
case, you may be immediately transported to a federal institution for a
961
revocation hearing.

MAY A PAROLEE HAVE AN ATTORNEY AT A PRELIMINARY
INTERVIEW AND REVOCATION HEARING?
Yes. You have the right to an attorney of your choice, or you may request to
962
have the court appoint you an attorney if you can’t afford your own.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
959
960
961
962

28 C.F.R. § 2.48.
28 C.F.R. § 2.48(e)(2).
28 C.F.R. § 2.48(f).
28 C.F.R. § 2.48(b).

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You do not have a constitutional right to have an attorney at your parole
revocation hearing, but you will most likely qualify for an attorney if you cannot
963
afford one. You should apply for an attorney with the District Court in your
judicial district. It is your responsibility to tell your attorney the time and place of
964
the hearing.

WILL I BE IN PRISON PENDING HEARING?
It depends. If you were picked up on an arrest warrant issued by the USPC, you
will be held in custody until a final decision about your revocation or release.
The only exception is if the Regional Commissioner orders otherwise, but this is
not likely. If you received a summons to a revocation hearing (under 28 C.F.R.
§ 2.44), you will remain on supervision pending the decision of the
965
Commission.

WHERE ARE THE REVOCATION HEARINGS HELD?
The revocation hearing will be either (1) an institutional hearing OR (2) a local
hearing.
1)

INSTITUTIONAL HEARINGS: Generally, revocation hearings are held after
you are returned to a federal institution. An institutional hearing is held
within 90 days from time you were taken into custody on the U.S. Parole
Commission’s warrant.
OR
2) LOCAL HEARINGS: If there are sufficient reasons to do so, the U.S. Parole
Commission may order your revocation hearing held in your own community
or in the community where you were arrested. You only have the right to a
local hearing if: (1) You deny violating the conditions of your release, AND
(2) You were NOT convicted of a new crime.
If a local revocation hearing is requested, the you must complete a request
form. There is a penalty for false answers on this form. Local revocation
hearings are generally held within 60 days from the date the Regional
Commissioner finds “probable cause” that parole or mandatory release was
966
violated. If granted, your local revocation hearing will be scheduled to
happen reasonably near the place of the alleged violation(s) or arrest.
A NOTE ABOUT GETTING SUPPORT FROM A LAWYER: At a local revocation
hearing, you are more likely to have a lawyer and you can request that all
adverse witnesses be called so you can confront and cross-examine them. In
order to get a local revocation hearing, you and your attorney must (1) deny
all the charges and (2) request a local revocation hearing.

WHAT IS THE TIMELINE OF THE HEARING?
A local revocation hearing must be within 60 days of the probable cause
determination. Institutional revocation must be held within 90 days of the date

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

18 U.S.C. § 3006A(a)(1)(E).
28 C.F.R. § 2.48(b).
28 C.F.R. § 2.49(e).
966
United States Department of Justice, U.S. Parole Comm’n—Frequently Asked Questions,
http://www.justice.gov/uspc/faqs.html.
963
964
965

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the warrant was executed, when you were taken into custody. However, you can
967
request postponement or consent to a postponed revocation proceeding.

IF MY HEARING IS HELD IN A FEDERAL INSTITUTION RATHER THAN
LOCALLY, AM I ENTITLED TO AN ATTORNEY AND MAY I PRESENT
WITNESSES ON MY BEHALF?
You do not have the right to appointed counsel, but may secure an attorney at
your own expense. NOTE: The attorney can act only in the capacity of a
968
representative.

WHAT IS THE HEARING PROCEDURE?
The purpose is to determine whether you have violated the conditions of your
release and, if so, whether your parole or mandatory release should be (1)
revoked (taken away) or (2) reinstated (where you continue on parole as you
969
were). To get more information about how to prepare for the hearing, please
see the Appendix KK, PG. 366

WHEN IS REVOCATION MANDATORY?
If the USPC finds after a revocation hearing that you:
(1) Possessed a controlled substance,
(2) Refused to comply with drug testing,
(3) Possessed a firearm, or
(4) Tested positive for illegal controlled substances more than 3 times over the
course of 1 year, the USPC must revoke your term of supervision and impose a
970
term of prison.
If you fail a drug test, the USPC must consider appropriate alternatives to
971
revocation.

HOW COULD I BE SENTENCED FOR A REVOCATION OF FEDERAL
PAROLE?
If the Parole Commission finds by a “preponderance of the evidence,” (that it is
more likely than not) that you violated a condition of the parole, the Commission
may take any of the following actions:
1)

Continue your supervision on federal parole, which can include:
a. Reprimanding you;
b. Modifying (changing) your conditions of release;
c. Referring you to a community corrections center for all or part of the
remainder of your original sentence;

OR
972
2) Revoke your parole, and send you back to prison.

In determining whether to revoke parole for not paying a fine, restitution, court
costs or assessment, and/or court-ordered child support or alimony payment

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

28 C.F.R. § 2.49.
United States Department of Justice, U.S. Parole Comm’n—Frequently Asked Questions,
http://www.justice.gov/uspc/faqs.html.
969
28 C.F.R. § 2.55.
970
See 28 C.F.R. § 2.218.
971
28 C.F.R. § 2.204.
972
28 C.F.R. § 2.52.
967
968

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that was a condition of your release on supervision, the U.S. Parole Commission
must consider your employment status, earning ability, financial resources, and
any other special circumstances that may have a bearing on the matter.
Revocation shall not be ordered unless you are found to be deliberately evading
973
or refusing compliance. (Learn more about court-ordered debt in the COURTORDERED DEBT CHAPTER, beginning on PG. 755).

IF THE COMMISSION REVOKES PAROLE OR MANDATORY
RELEASE, DOES A PAROLEE GET ANY CREDIT ON THE
SENTENCE FOR THE TIME SPENT UNDER SUPERVISION?
Generally, if you are convicted of a new law violation, you are entitled to credit
for any of the time spent under supervision unless serving a Youth Corrections
Act (YCA) or Narcotics Addiction Rehabilitation Act (NARA) commitment.
Also, there is no credit given for any time a parolee intentionally failed to
respond or report to a Probation Officer or after a parolee has absconded from
his or her area and the Probation Officer did not know where he or she was
living. For violation of any of the other noncriminal conditions, a parolee
generally will be credited for all of the time spent under supervision in the
974
community.

IF I GET MY FEDERAL PAROLE REVOKED, HOW LONG MUST I
SERVE BEFORE THE PAROLE COMMISSION REVIEWS MY CASE
AGAIN?
The U.S. Parole Commission uses its own guidelines to determine the length of
time you should serve in prison for the revocation. The guidelines are the same
ones used for inmates who apply for their initial parole hearings. Decisions, of
course, can be made above or below the guidelines for good cause (a good
975
reason).

CAN I APPEAL THE REVOCATION DECISION BY THE U.S. PAROLE
COMMISSION?
Yes. It’s the same process discussed above (PG. 269) for appealing a denial of
976
early release from parole to the National Appeals Board.
The U.S. Attorney General can also appeal a Regional Parole Commissioner’s
decision.
The Attorney General, within 30 days after entry of a Regional Commissioner's
decision, may send a written request to the National Appeals Board to review
the decision. Within 60 days of the receipt of the request the National Appeals
Board must affirm, modify, or reverse the decision, or order a rehearing at the
institutional or regional level, and send a written decision to the Attorney
977
General and to you.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

28 C.F.R. § 2.52.
United States Department of Justice, U.S. Parole Comm’n—Frequently Asked Questions,
http://www.justice.gov/uspc/faqs.html.
975
United States Department of Justice, U.S. Parole Comm’n—Frequently Asked Questions,
http://www.justice.gov/uspc/faqs.html.
976
28 C.F.R. § 2.26.
977
28 C.F.R. §§ 2.26; 2.54.
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If the Commission finds out you were convicted of a new crime after your
revocation hearing for something you did while you were on parole, the
Regional Commissioner may reopen your case pursuant to § 2.52(c)(2) for a
special reconsideration hearing on the next regularly scheduled docket to
consider whether you should give up your time spent on parole or any other
consequence that he may think is appropriate. If he decides to change
978
something, this new ruling will replace the ruling you got at your hearing.

DISABILITY RIGHTS FOR PEOPLE ON ALL
TYPES OF FEDERAL SUPERVISION
I HAVE A DISABILITY. WHAT RIGHTS DO I HAVE ON FELONY
PROBATION OR PAROLE TO HAVE ACCOMMODATIONS FOR MY
DISABILITY?
Section 504 of the Rehabilitation Act of 1973 protects individuals on federal
979
probation/federal parole from discrimination due to their disabilities.
The Rehabilitation Act provides essentially the same protections as the
Americans with Disabilities Act (ADA), including the right to reasonable changes
in policies, rules, and conditions; equal opportunity to participate in programs,
services, and benefits; and additional assistance (services or devices) so that
980
you can participate in programs and activities related to your supervision.
Thus, federal probation staff must offer you the same types of accommodations
and services discussed for state parole under “State Parole: Disabilities and the
ADA,” see PG. 184.

HOW CAN I FILE A COMPLAINT IF I FEEL THAT MY FEDERAL
PROBATION OFFICER IS NOT ACCOMMODATING MY DISABILITY,
OR FEEL THAT I AM NOT GETTING ACCESS TO PAROLE
SERVICES OR PROGRAMS?
Unfortunately, there are no special procedures or forms to seek
accommodations for your disability, or to complain about overly restrictive
conditions under federal supervision. There are several steps you can take to try
and rectify the situation.
STEP 1: If your disability makes it difficult to comply with your federal probation
or parole conditions, or your conditions are overly strict and cause you harm due
981
to your disability, the first thing to do is talk with your U.S. probation officer.
You should explain:
1)

Your disability;

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

28 C.F.R. § 2.28.
Codified at 29 U.S.C. § 794 (2014). The Rehabilitation Act also applies to any program or activity that receives
federal funding or other assistance. Note, however that the ADA does NOT cover federal agencies or programs; it
only applies to state and local programs.
980
28 C.F.R § 39.130.
981
Telephone conversation with Deputy Chief Noel Belton, U.S. Probation Office, Northern District of California,
Nov. 5, 2014. Telephone conversation with Day Officer Nisha Modica and Supervision Supervisor Jeff Oestreicher,
U.S. Probation Office, Eastern District of California, Nov. 5, 2014. If you know before sentencing that one (or more)
of the recommended conditions of probation (described in the pre-sentence report) will cause problems due to
your disability, you can ask the judge to change them at sentencing.
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2) Which condition of supervision is causing you problems due to your
disability (e.g., drug testing conditions that prevent you from taking
necessary medication) or how you are being treated differently due to your
disability (e.g., you are stopped from participating in certain programs due to
your disability or related medical treatment) or why you need additional help
to participate in activities or follow the rules of supervision; and
3) What accommodations (like changes in rules, policies, or procedures),
982
services, or other assistance you need for your disability.
4) If you have any other documents—such as a letter from your doctor or
prescription for medication—you should show that to your probation officer.
You can also remind your probation officer that federal law requires him or
her to provide “reasonable accommodations” for your disability. Your
probation officer, along with the judge and any medical providers who help
you with your disability, will consider your situation and make a case-by-case
decision about whether and how to accommodate your disability.
STEP 2: If you are unhappy with your probation officer’s decision, you can ask a
supervisor for assistance. If the probation department does not provide the
assistance you need, you can go to court to request a change in your
983
supervision conditions or other accommodations.
STEP 3: You have the right to file an administrative complaint with the
Department of Justice, which will investigate and attempt to resolve cases of
984
discrimination based on disability, including a hearing and appeal process.
Note, however that this process can take a long time to complete, so it’s best as
a last resort.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Colum. Hum. Rts. L. Rev., A Jailhouse Lawyer’s Manual: Rights of Prisoners with Disabilities (9th ed.), 2011.
You can also file a new complaint (start a new case) to allege disability discrimination under Section 504. “Your
Section 504 complaint must say that: (1) You are an individual with a disability; (2) You are “otherwise qualified” for
the program, activity, or service from which you were excluded; (3) You were denied benefits or discriminated
against solely because of your disability; and (4) The program, activity, prison, or jail receives federal financial
assistance. . .. But your complaint should also include other information, both to make your situation clear and to
get the judge to sympathize with the problems you face in prison. You should (1) discuss your disability in detail, (2)
explain the accommodations you need, and (3) describe the discrimination you have experienced. You should also
mention any other facts you think are relevant and will make your argument stronger.” Colum. Hum. Rts. L. Rev., A
Jailhouse Lawyer’s Manual at 726.
984
28 C.F.R. § 39.170.
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VII. CONCLUSION
Being under some type of supervision is usually required for you to be released
from prison or jail. In California, there are many types of supervision—state
parole, county probation, Mandatory Supervision, PRCS, federal probation,
Supervised, and federal parole. Hopefully now that you’ve read this Chapter, you
better understand what it means to be under supervision, what special rules you
have to follow, and all of the rights you have as a person in reentry.

LET’S REVIEW!
•

!

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In the PAROLE & PROBATION CHAPTER, you learned about:
o Different types of supervision in California, including the state and
federal systems for supervision
o Who gets put onto what type of supervision, and the reasons why
o What to expect and know about when you first get released onto
community supervision
o The General vs. Special/ Discretionary Conditions of Supervision: What
general rules (conditions) you have to follow, what special/ discretionary
(extra conditions) might be added on, and how to challenge special/
discretionary conditions
o The Length of Supervision: How it is is calculated, and how to get off
early, if possible
o Transferring Supervision to a Different Location: What the procedures
are for transferring your supervision to a different county or state
o Disability Rights: How to navigate parole and/or probation if you have a
disability and need help or accommodations
o Violations: What your rights are if you’re accused of violating the
conditions of your supervision, and how the “revocation” (violations)
process works for the different types of supervision

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Community Supervision:
PAROLE & PROBATION
APPENDIX
APPENDIX A.

General And Discretionary Conditions Of California State
Parole – PG. 289

APPENDIX B.

California State Parole Term Lengths – PG. 292

APPENDIX C.

Learn How To Calculate Your State Parole Discharge Date –
PG. 294

APPENDIX D.

State Parole (DAPO) Regional Appeals Coordinators
Addresses & Phone Numbers – PG. 296

APPENDIX E.

Notice Of Arson Offender Registration Requirement –
PG. 297

APPENDIX F.

California Penal Code Sections 3000(B) & 3000.1 – PG. 298

APPENDIX G.

California CDCR Form 1515 – PG. 302

APPENDIX H.

California CDCR Form: Written Consent For Minor Visitation
– PG. 307

APPENDIX I.

California CDCR Form 22 – PG. 308

APPENDIX J.

California CDCR Form 602 – PG. 309

APPENDIX K.

How To File A State Writ Habeas Corpus Petition – PG. 312

APPENDIX L.

California CDCR Form 1502 – PG. 316

APPENDIX M.

California CDCR Form 106 – PG. 318

APPENDIX N.

Transferring To Another State As a Person Required to
Register as a Sex Offender – PG. 321

APPENDIX O.

California CDCR Form 106 – PG. 322

APPENDIX P.

California CDCR Form 106-A – PG. 324

APPENDIX Q.

California CDCR Form 1824 – PG. 326

APPENDIX R.

California BPH Form 1074 – PG. 329

APPENDIX S.

California CDCR Form 611 – PG. 332

APPENDIX T.

California CDCR Form 1845 – PG. 335

APPENDIX U.

California CDCR Form 128C-2 – PG. 338

APPENDIX V.

California CDCR Form 1707 – PG. 341

APPENDIX W.

Selected California Felony Probation Instructions (County
Specific) – PG. 343
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APPENDIX X.

Sample Instructions for County Probation From Different
Counties in California – PG. 344

APPENDIX Y.

Changing Conditions Of Misdemeanor Or Felony Probation
– PG. 346

APPENDIX Z.

Sameple Instuctions for PRCS from Different Counties in
California – PG. 348

APPENDIX AA.

Information on Modifying the Conditions of County
Probation – PG. 349

APPENDIX BB.

U.S. Department Of Justice, Federal Bureau Of Prisons
(BOP) Form BP-A714.056, “Notice Of Release And Arrival” –
PG. 351

APPENDIX CC.

Federal Probation/Supervised Release Standard Conditions
– PG. 353

APPENDIX DD.

Federal Probation/Supervised Release Discretionary
Conditions – PG. 355

APPENDIX EE.

List Of Factors Federal Judges Consider When Determining
Whether To Let Someone Off Probation Early – PG. 358

APPENDIX FF.

Federal Crime Classes – PG. 359

APPENDIX GG.

Sample Certificate Of Supervised Release – PG. 360

APPENDIX HH.

Federal Supervised Release Term Length Chart – PG. 363

APPENDIX II.

Federal Supervised Release Plans – PG. 364

APPENDIX JJ.

Appeals To The National Appeal Board – PG. 365

APPENDIX KK.

Federal Parole Revocation Hearings – PG. 366

APPENDIX LL.

Transferring To Another State As A Sex Offender On
Federal Probation/Supervised Release – PG. 367

APPENDIX MM.

Interstate Compact Process Flowchart – PG. 368

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APPENDIX A
General And Discretionary Conditions Of
California State Parole
985

General Conditions of State Parole:
•
•

•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•

•
•

The release date and how long the parolee may be on parole.
Advisement that the parolee, their residence, and possessions can be
searched at any time of the day or night, with or without a warrant, and with
or without a reason. This can be done by a parole agent or police officer.
By signing the parole conditions, the parolee waives extradition if they are
found out of state.
The parolee’s obligation to always tell their parole agent where they live and
work.
The parolee’s obligation to report upon release from prison or jail.
The parolee’s obligation to tell their parole agent about a new address before
they move.
The parolee’s obligation to tell their parole agent, within three days, if they
get a new job.
The parolee’s obligation to report to their parole agent when told to report or
a warrant can be issued for their arrest.
The parolee’s obligation to follow their parole agent’s instructions.
The parolee’s obligation to ask their parole agent if it is OK to travel more 50
miles from their residence, and receive approval before they travel.
The parolee’s obligations to receive a travel pass before they leave the
county for more than two days.
The parolee’s obligations to receive a travel pass before they can leave the
State.
The parolee’s obligation to obey ALL laws.
The parolee’s obligation to tell their parole agent immediately if they get
arrested or get a ticket.
An advisement that if a parolee breaks the law, they can be sent back to
prison even if they do not have any new criminal charges.
The parolee’s obligation to not be around guns, or things that look like a real
gun, bullets, or any other weapons.
The parolee’s obligation to not have a knife with a blade longer than two
inches except a kitchen knife. Kitchen knives must be kept in your kitchen.
Knives you use for work are also allowed if approved by the parole agent
tells, but they can only be carried while at work or going to and from work.
The parolee must possess a note from the parole agent approving this, and it
must be carried at all times.
The parolee’s obligation to not own, use, or have access to a weapon listed in
Penal Code Section 12020.
The parolee’s obligation to sign their conditions of parole. Failure to sign
them can result in a return to prison.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
985

Parole Conditions, Cal. Dep’t of Corr. & Reh., http://www.cdcr.ca.gov/Parole/Parolee_Conditions/.

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Discretionary Conditions of State Parole:
•
•
•
•
•

•
•
•

•
•

•
•

•

•
•
•
•
•
•
•
•

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Require you to support your dependents and meet other family
responsibilities;
Require that you make restitution to a victim of the offense under section
3556;
Require that you give notice (ordered pursuant to the provisions of section
3555) to the victims of the offense;
Require that you be employed or be pursuing educational/vocational training
to prepare you for suitable employment;
Prevent you altogether from working in a specified occupation, business, or
profession with a reasonably direct relationship to the conduct underlying
your commitment offense (OR prevent you from working in a specified
occupation, business, or profession only to a certain degree/under stated
circumstances);
Forbid you from going to specified kinds of places;
Forbid you from associating with specified persons;
Forbid you from excessive use of alcohol, or any use of a narcotic drug or
other controlled substance, as defined in section 102 of the Controlled
Substances Act (21 U.S.C. 802), without a prescription by a licensed medical
practitioner;
Forbid you from possessing a firearm, destructive device, or other dangerous
weapon;
Require that you get medical, psychiatric, or psychological treatment,
including treatment for drug or alcohol dependency (as specified by the
court)
Require that you live in a specified institution for medical, psychiatric, or
psychological treatment
Require that you remain in the custody of the Bureau of Prisons during
nights, weekends, or other intervals of time, totaling no more than the lesser
of one year or the term of imprisonment authorized for the offense, during
the first year of the term of probation or supervised release (this is known as
intermittent confinement);
Require you to live at a community corrections facility (including somewhere
maintained by or contracted with the Bureau of Prisons), or attend a program
at such a community corrections facility, for all or part of the term of
probation;
Require you to work in community service as directed by the court;
Require you to live in a specified place or area, or prevent you from living in a
specified place or area;
Require you to remain within the jurisdiction of the court, unless granted
permission to leave by the court or a probation officer;
Require you report to a probation officer as directed by the court or the
probation officer;
Allow a probation officer to visit you at your home or elsewhere as specified
by the court;
Require you to quickly notify your probation officer, or answer your P.O.’s
questions, about any change in address or employment;
Require you to quickly notify your probation officer if you are arrested or
questioned by a law enforcement officer;
Require you to stay at home/where you live during non-working hours (this is
known as home confinement or house arrest), and require you to be
monitored by telephonic or electronic signaling devices to track you and

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•

•
•
•

•

make sure you are at home during these times. This condition can only be
986
used as an alternative to incarceration.
Require that you obey any court order or other government administrative
order that requires you to pay for support/maintenance of a child or to both
the child and parent with whom the child is living;
Deport you if you are “deportable” under law;
Satisfy any other court-imposed conditions; and
If you are required to register under the Sex Offender Registration and
Notification Act: The judge may order a search at any time, with or without a
warrant, of your person, any property, your house/residence, vehicle, papers,
computer, or other electronic/data devices or media, by any law enforcement
or probation officer with reasonable suspicion concerning a violation of a
condition of probation or unlawful conduct, and by any probation officer
lawfully carrying out his/her function of supervision.
Intermittent confinement. Intermittent confinement can only be used if you
987
violate a condition of probation.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

This is because if you are sentenced to a term of incarceration, you cannot receive a sentence of probation.
Rather, you would receive a term of supervised release following imprisonment as part of your sentence.
987
18 U.S.C. § 3583(b), (d).
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APPENDIX B
California State Parole Term Lengths
I.

CONTROLLING DISCHARGE DATE (CDD) & MAXIMUM
DISCHARGE DATE (MDD):

Three-year base period, maximum period of four years:
• People who were sentenced to a determinate (set-length) prison term, and
who do not fall into any of the other categories listed below. Longer parole
periods apply to people convicted of serious sex crimes or sentenced to life
with the possibility of parole.
• People sentenced to life with the possibility of parole for offenses committed
988
before January 1, 1979.
Five-year base period, maximum period of seven years:
• People convicted of a violent sex crime listed in CAL. PENAL CODE
§ 667.5(c)(3)-(6), (16), or (18) committed between July 19, 2000, and
September 19, 2006, or between November 7, 2006, and September 9, 2010.
This provision also applies to people convicted of a violent sex crime listed in
Penal Code § 667.5(c)(11) committed between January 1, 2003, and
September 19, 2006, or between November 7, 2006, and September 9,
989
2010.
• People sentenced for a sex crime under CAL. PENAL CODE § 661.61 (the “one
strike” law) committed between July 19, 2000, and September 19, 2006 (note
that the base term can be extended for an additional five years if the prisoner
is deemed to pose a danger to society; as of January 1, 2002, either the
original or extended parole period can be increased to a maximum of seven
years). This also applies to people sentenced under Penal Code § 667.71
(recidivist sex offenders) for offenses committed from January 1, 2003,
990
through September 19, 2006.
• Life prisoners who committed their offenses on or after January 1, 1979, and
991
who do not fall into some other category.
Ten-year base period, maximum period of fifteen years:
• People convicted of a violent sex crime listed in Penal Code § 667.5 (c)(3)-(6),
(11), (15), (16), or (18) committed between September 20, 2006, and November
6, 2006. This provision also applies to people convicted of a violent sex
crime listed in CAL. PENAL CODE § 667.5 (c)(3)-(6), (11), or (18) committed on or
after September 9, 2010, and who do not fall into some other category.
• People sentenced to life with the possibility of parole for a sex offense under
CAL. PENAL CODE §§ 209(b) [with intent to commit a sex offense], 269, 288.7,
or 667.51 committed between September 20, 2006, and November 6,
992
2006.
• People sentenced to life with the possibility of parole for a sex offense under
CAL. PENAL CODE §§ 667.61 or 667.71 committed on or after September 20,
2006, and who do not fall into some other category.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 3000(b); 15 CAL. CODE REGS. § 2515(e); In re Wilson, 30 Cal.3d 438, 440-41 (1981) .
CAL. PENAL CODE § 661.61.
CAL. PENAL CODE § 661.61.
991
CAL. PENAL CODE § 3000(b)(1); 15 CAL. CODE REGS. § 2515(d).
992
This provision also purports to apply to people sentenced to life with the possibility of parole under CAL. PENAL
CODE § 209 [with intent to commit a sex offense] or § 667.51 committed on or after September 9, 2010. However,
such offenses appear to be covered by the life-long parole provision in CAL. PENAL CODE § 3000.1.
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Twenty-year and six month base period with a maximum life-long parole:
• People convicted of a sex offense under CAL. PENAL CODE §§ 261, 262, 264.1,
286, 288a, 288(b)(1), 288, 288.5, or 289 if the victim was under 14 years of
age and the offense was committed on or after September 9, 2010. These
parolees can be kept on parole longer, even without parole violations, upon a
993
finding of good cause.
Life-long parole period:
• People sentenced to life with the possibility of parole for first- or seconddegree murder committed on or after January 1, 1983 (BUT NOT
994
CONSPIRACY TO COMMIT ANY DEGREE OF MURDER).
• People sentenced to life with the possibility of parole under Penal Code
§ 209(b) [with intent to commit a sex offense] committed on or after
995
September 9, 2010.
• Prisoners sentenced to life with the possibility of parole for sex offenses
under CAL. PENAL CODE §§ 269, 288.7(c), 667.51, 667.61(j), (l), or (m), or 667.71
996
[if victim under age 14] committed on or after September 9, 2010.

II.

PRESUMPTIVE DISCHARGE DATE (PDD):

Most parolees can be discharged from parole early if they successfully complete
a certain amount of parole time and the BPH does not find good cause to retain
997
them on parole. This is called the “presumptive discharge date” (PDD). If a
parolee fits into more than one category, the longer period applies.
• Six months: Any person with a determinate sentence for non-violent, nonserious, non-sex offenses.
• One year: Any person who has a three-year parole term following a
determinate sentence for a serious felony listed in Penal Code §§ 1192.7 or
1192.8(a) or for an offense requiring registration as a sex offender.
• Two years: Any person who has a three-year parole term following a
determinate sentence for a violent felony listed in Penal Code § 667.5(c).
• Three years: Any person who has a five-year parole term following a
determinate sentence for a violent sex crime listed in Penal Code § 667.5(c)
or following an indeterminate life sentence for a crime other than murder.
• Five years: Any person sentenced to an indeterminate life sentence for
second- degree murder.
• Six years and six months: Any person with a ten-year parole term following
an indeterminate life sentence under Penal Code §§ 209(b) [with intent to
commit a sex offense], 667.51, 667.61, or 667.71.
• Seven years: Any person sentenced to an indeterminate life term for firstdegree murder.
• No presumptive discharge date: Any person serving a life-long parole period
following an indeterminate life term for a sex offense under Penal Code
§§ 269, 288.7(c), 667.51, 667.61(j), (l), or (m), or 667.71 [if a victim was a child
under age 14]. There is also no presumptive early discharge for parolees who
were sentenced to prison for offenses committed between July 1, 1977, and
998
December 31, 1978.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 667.61(e).
CAL. PENAL CODE § 3000.1; 15 CAL. CODE REGS. § 2515(f).
CAL. PENAL CODE §§ 3000(b)(3) and 3000.1(a)(2). There is a discrepancy between the statutory language and the
stated legislative intent to require life-long parole for “habitual sex offenders [and] persons convicted of kidnapping
a child under 14 years of age with the intent to commit a specified sex offense.” Legis. Couns. Dig. Assem. Bill No.
1844, Ch. 219. Thus, there is potentially an argument that prisoners convicted under § 209(b) should be subject to
only a 10-year parole term if the victim is over 14 years old.
996
CAL. PENAL CODE § 667.61(e).
997
CAL. PENAL CODE §§ 3000, 3000.1, 3001.
998
15 CAL. CODE REGS. § 2535(b)(5).
993
994
995

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APPENDIX C
Learn How To Calculate Your State Parole
Discharge Date
(Excerpted with slight modifications from Prison Law Office, The
Parolee Rights Handbook, August 2013, available for download on
their website at:
http://www.prisonlaw.com/pdfs/ParoleeManual,Aug2013.pdf)
FOR PEOPLE ON STATE PAROLE:
How Is the Parole Discharge Date Calculated?
A parolee who is not serving life-long parole and who is retained past the
“presumptive discharge date” can calculate when he or she must be discharged
from parole. There are two important dates: the “controlling discharge date”
(CDD) and the “maximum discharge date” (MDD). The CDD is the date that a
parolee is currently set to be discharged from parole if nothing changes. The
MDD is the maximum parole term as set by statute, after which the parolee must
be discharged.
Two types of events may change the CDD and MDD:
•

•

Time during which a parolee absconds or is unavailable for supervision does
not count toward either the CDD or MDD. There is no limit on how long the
CDD and MDD can be extended due to absconding or unavailability.
Time served in custody for parole revocation terms will extend the CDD, but
only until the MDD is reached.

The pieces of information a parolee needs to figure out his or her CDD and MDD
are: (1) the initial parole date; (2) the base and maximum parole terms that apply
to his or her case (see Section 16.A, above); (3) how much time he or she has
been unavailable for supervision, if any; and (4) the amount of time he or she has
served in custody on parole violations.
Here is a calculation worksheet that can be used by any parolee, with an
example of a calculation for a parolee named Joe who is serving a three-year
parole term with a maximum term of four years following a determinate
sentence for a non-serious, non-violent, non-sex offense.
Worksheet
1)

Start with the date the parolee was first paroled. For our
example, Joe paroled on January 1, 2013.

1/1/2013

2) Add the amount of time the parolee must serve before a
presumptive discharge review. Joe has a presumptive
discharge date of six months plus 30 days, and was eligible
for early discharge on July 1, 2013.

7/1/2013

3) However, the BPH acted to retain Joe on parole, so his CDD
will be set by his full statutory base parole period. Joe has a

1/1/2016

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three-year base parole period, so his CDD is January 1, 2016.
Joe has a statutory maximum parole term of four years, so his
MDD is January 1, 2017.

!

(CDD)
1/1/2017
(MDD)

4) Joe absconded from parole, and the “clock” on his parole
term stopped running during that time. This extends both the
CDD and the MDD. Joe absconded for three months, so his
CDD is now April 1, 2016, and his MDD is now April 1, 2017.

4/1/2016
(CDD)

5) Joe also violated parole and served a parole revocation term
in custody. This extends the CDD but only until the MDD is
reached. Joe’s revocation term was 180 days, but he only
served 90 days in jail because he behaved well and got good
conduct credits. Thus, 90 days is added to his CDD, which is
now July 1, 2016. The revocation time does not affect Joe’s
MDD, which is still April 1, 2017.

7/1/2016
(CDD)

6) Joe violated parole two more times and got two more 180-day
revocation terms (360 days total); while he was in jail, Joe got
into fights and refused to work, so he did not get any good
conduct credits. The time Joe spends in jail extends his CDD
but does not affect his MDD. Also, since a CDD cannot be
further in the future than an MDD, Joe has “maxed out” and
will be discharged on April 1, 2017.

4/1/2017
(CDD)

4/1/2017
(MDD)

4/1/2017
(MDD)

4/1/2017
(MDD)

IMPORTANT: if your parole length seems wrong, you can challenge it (it’s
a similar process to challenging a parole condition). See PG. 178 above
for more information.

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APPENDIX D
State Parole (DAPO) Regional Appeals
Coordinators Addresses & Phone Numbers
Based on which parole (DAPO) region your parole office is located, you should
send any appeals (602s, etc.) to that parole region’s Regional Appeals
Coordinator. There are now 3 parole regions in California.
NORTHERN REGION PAROLE:
Laurie Harikian, Region I Appeals Coordinator
Region I Headquarters
9825 Goethe Road, Ste. 200
Sacramento, CA 95827-2572
Tel. 916-255-2758

SOUTHERN REGION PAROLE:
Christopher Hernandez, Southern Region Appeals Coordinator
Southern Region Parole Headquarters
21015 Pathfinder Road Ste. 200
Diamond Bar, CA 91765
Tel. 909-468-2300

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APPENDIX E
Notice Of Arson Offender Registration
Requirement

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APPENDIX F
California Penal Code Sections 3000(B) &
3000.1
California Penal Code section 3000(b):
(b) Notwithstanding any provision to the contrary in Article 3 (commencing
with Section 3040) of this chapter, the following shall apply to any inmate
subject to Section 3000.08:
(1) In the case of any inmate sentenced under Section 1168 for a crime
committed prior to July 1, 2013, the period of parole shall not exceed five
years in the case of an inmate imprisoned for any offense other than first
or second degree murder for which the inmate has received a life
sentence, and shall not exceed three years in the case of any other
inmate, unless in either case the Board of Parole Hearings for good
cause waives parole and discharges the inmate from custody of the
department. This subdivision shall also be applicable to inmates who
committed crimes prior to July 1, 1977, to the extent specified in Section
1170.2. In the case of any inmate sentenced under Section 1168 for a
crime committed on or after July 1, 2013, the period of parole shall not
exceed five years in the case of an inmate imprisoned for any offense
other than first or second degree murder for which the inmate has
received a life sentence, and shall not exceed three years in the case of
any other inmate, unless in either case the department for good cause
waives parole and discharges the inmate from custody of the
department.
(2)
(A) For a crime committed prior to July 1, 2013, at the expiration
of a term of imprisonment of one year and one day, or a term of
imprisonment imposed pursuant to Section 1170 or at the
expiration of a term reduced pursuant to Section 2931 or 2933,
if applicable, the inmate shall be released on parole for a period
not exceeding three years, except that any inmate sentenced for
an offense specified in paragraph (3), (4), (5), (6),(11), or (18) of
subdivision (c) of Section 667.5 shall be released on parole for a
period not exceeding 10 years, unless a longer period of parole
is specified in Section 3000.1.
(B) For a crime committed on or after July 1, 2013, at the
expiration of a term of imprisonment of one year and one day, or
a term of imprisonment imposed pursuant to Section 1170 or at
the expiration of a term reduced pursuant to Section
2931 or 2933, if applicable, the inmate shall be released on
parole for a period of three years, except that any inmate
sentenced for an offense specified in paragraph
(3), (4), (5), (6), (11), or (18) of subdivision (c) of Section 667.5 shall
be released on parole for a period of 10 years, unless a longer
period of parole is specified in Section 3000.1.
(3) Notwithstanding paragraphs (1) and (2), in the case of any offense for
which the inmate has received a life sentence pursuant to subdivision (b)
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or Section 667.51, 667.61, or 667.71, the period of parole shall be 10
years, unless a longer period of parole is specified in Section 3000.1.
(4)
(A) Notwithstanding paragraphs (1) to (3), inclusive, in the case of
a person convicted of and required to register as a sex offender
for the commission of an offense specified inspection
261, 262, 264.1, 286, 288a, paragraph (1) of subdivision (b) of
Section 288,Section 288.5, or 289, in which one or more of the
victims of the offense was a child under 14 years of age, the
period of parole shall be 20 years and six months unless the
board, for good cause, determines that the person will be
retained on parole. The board shall make a written record of this
determination and transmit a copy of it to the parolee.
(B) In the event of a retention on parole, the parolee shall be
entitled to a review by the board each year thereafter.
(C) There shall be a board hearing consistent with the
procedures set forth in Sections 3041.5 and 3041.7 within 12
months of the date of any revocation of parole to consider the
release of the inmate on parole, and notwithstanding the
provisions of paragraph (3) of subdivision (b) of Section 3041.5,
there shall be annual parole consideration hearings thereafter,
unless the person is released or otherwise ineligible for parole
release. The panel or board shall release the person within one
year of the date of the revocation unless it determines that the
circumstances and gravity of the parole violation are such that
consideration of the public safety requires a more lengthy
period of incarceration or unless there is a new prison
commitment following a conviction.
(D) The provisions of Section 3042 shall not apply to any
hearing held pursuant to this subdivision.
(5)
(A) The Board of Parole Hearings shall consider the request of
any inmate whose commitment offense occurred prior to July 1,
2013, regarding the length of his or her parole and the
conditions thereof.
(B) For an inmate whose commitment offense occurred on or
after July 1, 2013, except for those inmates described in Section
3000.1, the department shall consider the request of the inmate
regarding the length of his or her parole and the conditions
thereof. For those inmates described in Section 3000.1, the
Board of Parole Hearings shall consider the request of the
inmate regarding the length of his or her parole and the
conditions thereof.
(6) Upon successful completion of parole, or at the end of the maximum
statutory period of parole specified for the inmate under paragraph (1),
(2), (3), or (4), as the case may be, whichever is earlier, the inmate shall
be discharged from custody. The date of the maximum statutory period
of parole under this subdivision and paragraphs (1), (2), (3), and (4) shall
be computed from the date of initial parole and shall be a period
chronologically determined. Time during which parole is suspended
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a parole violator shall not be credited toward any period of parole unless
the prisoner is found not guilty of the parole violation. However, the
period of parole is subject to the following:
(A) Except as provided in Section 3064, in no case may a
prisoner subject to three years on parole be retained under
parole supervision or in custody for a period longer than four
years from the date of his or her initial parole.
(B) Except as provided in Section 3064, in no case may a
prisoner subject to five years on parole be retained under parole
supervision or in custody for a period longer than seven years
from the date of his or her initial parole.
(C) Except as provided in Section 3064, in no case may a
prisoner subject to 10 years on parole be retained under parole
supervision or in custody for a period longer than 15 years from
the date of his or her initial parole.
(7) The Department of Corrections and Rehabilitation shall meet with
each inmate at least 30 days prior to his or her good time release date
and shall provide, under guidelines specified by the parole authority or
the department, whichever is applicable, the conditions of parole and
the length of parole up to the maximum period of time provided by law.
The inmate has the right to reconsideration of the length of parole and
conditions thereof by the department or the parole authority, whichever
is applicable. The Department of Corrections and Rehabilitation or the
board may impose as a condition of parole that a prisoner make
payments on the prisoner's outstanding restitution fines or orders
imposed pursuant to subdivision (a) or (c) of Section 13967 of the
Government Code, as operative prior to September 28, 1994,
or subdivision (b) or (f) of Section 1202.4.
(8) For purposes of this chapter, and except as otherwise described in
this section, the board shall be considered the parole authority.
(9)
(A) On and after July 1, 2013, the sole authority to issue warrants
for the return to actual custody of any state prisoner released on
parole rests with the court pursuant to Section 1203.2, except
for any escaped state prisoner or any state prisoner released
prior to his or her scheduled release date who should be
returned to custody, and Section 5054.1 shall apply.
(B) Notwithstanding subparagraph (A), any warrant issued by the
Board of Parole Hearings prior to July 1, 2013, shall remain in full
force and effect until the warrant is served or it is recalled by the
board. All prisoners on parole arrested pursuant to a warrant
issued by the board shall be subject to a review by the board
prior to the department filing a petition with the court to revoke
the parole of the petitioner.
(10) It is the intent of the Legislature that efforts be made with respect to
persons who are subject to Section 290.011 who are on parole to
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California Penal Code section 3000.1
(a)
(1) In the case of any inmate sentenced under Section 1168 for any
offense of first or second degree murder with a maximum term of life
imprisonment, the period of parole, if parole is granted, shall be the
remainder of the inmate's life.
(2) Notwithstanding any other law, in the case of any inmate sentenced
to a life term under subdivision (b) of Section 209, if that offense was
committed with the intent to commit a specified sexual
offense, Section 269 or 288.7, subdivision (c) of Section 667.51, Section
667.71 in which one or more of the victims of the offense was a child
under 14 years of age, or subdivision (j), (l), or (m) of Section 667.61, the
period of parole, if parole is granted, shall be the remainder of the
inmate's life.
(b) Notwithstanding any other law, when any person referred to in paragraph (1)
of subdivision (a) has been released on parole from the state prison, and has
been on parole continuously for seven years in the case of any person
imprisoned for first degree murder, and five years in the case of any person
imprisoned for second degree murder, since release from confinement, the
board shall, within 30 days, discharge that person from parole, unless the board,
for good cause, determines that the person will be retained on parole. The board
shall make a written record of its determination and transmit a copy of it to the
parolee.
(c) In the event of a retention on parole pursuant to subdivision (b), the parolee
shall be entitled to a review by the board each year thereafter.
(d) There shall be a hearing as provided in Sections 3041.5 and 3041.7 within 12
months of the date of any revocation of parole of a person referred to in
subdivision (a) to consider the release of the inmate on parole and,
notwithstanding paragraph (3) of subdivision (b) of Section 3041.5, there shall be
annual parole consideration hearings thereafter, unless the person is released or
otherwise ineligible for parole release. The panel or board shall release the
person within one year of the date of the revocation unless it determines that
the circumstances and gravity of the parole violation are such that consideration
of the public safety requires a more lengthy period of incarceration or unless
there is a new prison commitment following a conviction.
(e) The provisions of Section 3042 shall not apply to any hearing held pursuant
to this section.

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APPENDIX G
California CDCR Form 1515

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APPENDIX H
California CDCR Form: Written Consent
For Minor Visitation
See next page

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APPENDIX I
California CDCR Form 22

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APPENDIX J
California CDCR Form 602
See next page

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APPENDIX K
How To File A State Writ Habeas Corpus
Petition
WHAT IS A HABEAS CORPUS PETITION?
Once you have gone through the entire 602 appeal process by filing your
grievance with the appropriate agency OR if you’ve exhausted administrative
remedies because CDCR/Parole didn’t get back to you on an appeal within the
legal timeline require by law, you may then file a state-level petition for a writ of
habeas corpus. A habeas corpus petition can be based on any rights guaranteed
by the federal or state constitutions, statutes, or regulations.
Through a habeas corpus petition, a state parolee (just like a state prisoner
challenging conditions of his/her confinement) can ask a court to order
“injunctive relief,” meaning that the court will order prison or parole officials to
do something or to stop doing something. For example, a court could order
parole officials to drop an invalid parole condition or fix a parole term length
miscalculation.

WHAT DEADLINES SHOULD I BE AWARE OF IF I WANT TO FILE A
WRIT HABEAS CORPUS IN STATE COURT?
There is no deadline or time limit on when you can file a habeas petition. But
keep in mind that, the longer you wait, the more you should be prepared to
999
explain in detail, to the court, why you didn’t file the petition sooner. You can
only file a habeas petition if you have “exhausted” (meaning that you completed
or gone through) all other administrative remedies. You exhaust the
administrative remedies by completing the three levels of the appeals process
discussed on PG. 178.
You must file your habeas petition while you are still under some form of
custody or parole. At the time you file your habeas petition, you must currently
be affected by the condition that you are appealing. If you are no longer
suffering from the condition that you are appealing, the court will likely dismiss
1000
your habeas petition.

HOW DO I FILE A WRIT OF HABEAS CORPUS IN STATE COURT?
Here are the steps you should take to prepare your habeas petition:
1.

Your petition should include a Judicial Council MC-275 form. You can access
this form at: http://www.courts.ca.gov/documents/mc275.pdf.
2. In addition to the MC-275 form, you must include the following information
in your habeas petition:
a. Identify the type of custody you are under (i.e. you are on parole)
and the person who supervises you (your parole office and CDCR)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

In re Sanders, 20 Cal. 4th 1083 (1999) ; In re Clark, 5 Cal.4th 750 (1993) ; In re Swain, 34 Cal.2d 300 (1949); In re
Moss 175 Cal. App. 3d 913 (1985).
1000
If you are no longer suffering from the condition that you are filing a habeas appeal about, then your case is said
to be “moot” (meaning not currently at issue; not currently debatable/arguable). There are special circumstances
where a court can hear a “moot” case (i.e. the issue you are appealing is one that is likely to come up frequently in
other cases). See In re Gardia, 767 Cal. App. 4th 841 (1998).
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b. Name a “respondent” (meaning the opposing party) in your case. If
you are on parole, the respondent is the Director of CDCR.
c. Describe why your current parole conditions are illegal (i.e. your
parole term length has been miscalculated)
d. State whether you have filed any previous court actions about the
illegal condition
e. Verify (swear that you are telling the truth) the statements you’ve
made in your petition
f. Include any supporting documents, such as sworn declarations by
witnesses with your petition
3. If you want to ask the court to appoint an attorney to your case, you should
file a “Declaration of Indigency” and “Request for Appointment of Counsel.”
o For a sample habeas petition, please visit:
http://www.prisonlaw.com/pdfs/STATEHABEAS2008.pdf

HOW AND WHERE DO I FILE A WRIT OF HABEAS CORPUS?
Usually, you should file your habeas petition with the Superior Court of the
1001
county that you are on parole in. You can file your petition by mailing it to the
Superior Court clerk. Remember: any time you file documents with the superior
court clerk, you should include an extra copy of the cover page along with a selfaddressed stamped envelope so that the clerk can send you a copy with the
date of filing and your case number.
If the court determines that you case should proceed, you will have to “serve”
the opposing party. Serving the opposing party means that you will have to send
CDCR a copy of your petition along with a “Proof of Service” form that verifies
that you have served the document.

HOW CAN I HAVE AN ATTORNEY APPOINTED TO MY CASE?
You can request an attorney by filing a “Declaration of Indigency” and “Request
for Appointment of Counsel.”

WHEN WILL I HEAR BACK FROM THE COURT ABOUT MY
PETITION?
1002

The judge must act within 60 days from the day you file your petition.
Note:
Unless the court orders an Order to Show Cause (OSC), you do not have the
right to an attorney. But if the court does issue an OSC, it must appoint an
attorney to your case if you cannot afford one. See below for more information
on OSCs.

WHAT CAN THE COURT DO WITH MY PETITION?
The judge at the state court may take the following actions in response to your
petition:
1.

Deny your petition: If the court denies your petition, it must explain the
reasons why it is denying your petition

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Griggs v. Superior Court, 16 Cal.3d 341 (1976). The petition can also be filed initially with the Court of Appeal or
even the California Supreme Court, if there are special reasons why those courts should hear it at once. CAL. CONST.
art. VI, § 10.
1002
CAL. RULES OF COURT, rule 4.551(a)(3)(A).
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2. Request an informal response from the respondent (the opposing party): If
the court thinks your case may have merit, but the court still wants more
information prior to taking any actions, the court can ask both parties to
submit informal briefings. Your reply can be as simple as a letter back to the
court (you must also serve the opposing party with a copy of your response).
Your response will be due 15 days after the date that the court requested an
1003
informal response (unless the court specifies another due date).
3. Issue an “Order to Show Cause”: This will require the opposing party (called
the “respondent”) to file an explanation why the court should not grant your
petition.
If the court decides that your case has merit (meaning the court decides your
case can go forward because you have a valid argument), then the court will
issue an OSC. An OSC directs the respondent (opposing party) to state any legal
or factual reasons why the petitioner (you) should not be granted his or her
request.

WHAT HAPPENS ONCE THE COURT ORDERS AN ORDER TO
SHOW CAUSE (OSC)?
The respondent (opposing party) must file a response, called a “return,”
explaining reasons why your petition should not be granted. The respondent
1004
usually has 30 days to file a return.

IS THERE ANYTHING THAT I HAVE TO DO ONCE THE
RESPONDENT FILES A “RETURN?”
Once the respondent files their “return,” you should file a “Denial and Exception
to the Return.” In your Denial (also called a “traverse”), you should deny any and
all false allegations made by the respondent in the return. You usually have 30
days to file your Denial with the court and serve the opposing party.

WHAT HAPPENS AFTER “RETURNS” AND “DENIALS” ARE FILED—
THE HEARING?
After the respondent files a “Return” and you file your “Denial,” the court has 30
days to decide whether or not to order an evidentiary hearing. The court only
has to grant a hearing if it thinks there is a reasonable likelihood that you may
be entitled to relief. If you are granted a hearing, both you and the opposing
party will have the opportunity to present evidence.

WHEN HAPPENS AFTER THE HEARING?
At the end of the hearing, the court will decide whether or not to grant you the
request made in your habeas petition.

WHAT IF THE COURT DOES NOT GRANT A HEARING?
If the court decides not to grant an evidentiary hearing, then the court will
decide whether or not to grant your habeas appeal based off: your petition, the
respondent’s Return, and your Denial. If the court did not order a hearing, then it

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
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CAL. RULES OF COURT, rule 4.551(b).
CAL. RULES OF COURT, rule 4.551(d).

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has 30 days after you filed your Denial to decide whether or not to grant your
petition.

WHAT HAPPENS IF MY PETITION IS GRANTED?
If the court grants your petition, the respondent has the right to appeal within 60
days of the court’s ruling. If the respondent does appeal , it can request that the
court’s order be “stayed”—meaning that it does not take effect while the appeal
is pending. If the respondent does appeal, your case will next be heard by the
Court of Appeal.

WHAT HAPPENS IF MY PETITION IS DENIED?
If the Superior Court denies your appeal, you to not have the right to appeal.
But, you can, however, file a new appeal with the Court of Appeal, following the
same process as discussed above.

WHAT HAPPENS IF THE COURT OF APPEAL DENIES MY
PETITION?
If the Court of Appeal denies your petition, you can ask the California Supreme
Court to her your case. You can do this by filing a petition for review with the
California Supreme Court. If you file a petition for review, the entire record from
your appeal in the Court of Appeal will be send to the Supreme Court. You also
have the option of filing a new petition for a writ of habeas corpus with the
Supreme Court—filing a new petition will start the process over again, and the
record from your appeal at the Court of Appeal will not be included in your
petition.
If the California Supreme Court denies your petition, and your case involves any
federal legal issues, you can file a new petition with the United States Supreme
Court.
For more information on how to file and appeal habeas petitions, please visit:
http://www.prisonlaw.com/pdfs/STATEHABEAS2008.pdf.

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APPENDIX L
California CDCR Form 1502
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APPENDIX M
California CDCR Form 106
See next page.

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APPENDIX N
Transferring To Another State As a Person
Required to Register as a Sex Offender
I AM CLASSIFIED AS A SEX OFFENDER, AND I WANT TO
TRANSFER TO ANOTHER STATE. HOW CAN I DO THAT?
You must meet the above 5 criteria, AND you must be able to meet additional
specific requirements for transferring the supervision of people classified as sex
1005
offenders.
NOTE: You cannot leave the sending state until the receiving state has approved
the transfer request or issued reporting instructions.
See the APPENDIX LL PG.367 to follow detailed steps.
Follow these steps:
STEP 1: Discuss your desire to transfer with your U.S. Probation Officer.
STEP 2: Satisfy all of the eligibility criteria. At the discretion of the sending state,
you are eligible and can be approved for transfer if you meet the following
criteria and all 5 of the criteria above (see PG. 367).
STEP 3: Complete an Application for Transfer
STEP 4: The sending state must send the receiving state:
(1)
(2)
(3)
(4)
(5)

assessment information, including sex offender specific assessments;
social history;
information relevant to the sex offender’s criminal sexual behavior
law enforcement report that provides specific details of sex offense;
victim information: including the name, sex, age and relationship to the
offender and the statement of the victim or victim’s representative;
(6) the sending state’s current or recommended supervision and treatment
1006
plan.
STEP 5: The receiving state has 5 business days to review the proposed
residence. If the proposed residence is not acceptable due to existing state law
or policy, the receiving state may deny the application. No travel permit can be
1007
granted by the sending state until the receiving state says it can.
STEP 6: A travel permit will be given to you by your Probation Officer if the
receiving state has approved the new residence. Travel permits are issued by
the local parole office, so each office uses a different form. Your Probation
Officer will give you this form once you have been approved by the Interstate
1008
Commission for Adult Offender Supervision.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. RULES OF COURT, Rule 3.101-3.
CAL. RULES OF COURT, Rule 3.101-3(b).
CAL. RULES OF COURT, Rule 3.101-3(c).
1008
Email conversation with Executive Director Harry Hageman, Interstate Commission for Adult Supervision, Feb. 26,
2015.
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APPENDIX O
California CDCR Form 106
See next page.

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APPENDIX P
California CDCR Form 106-A
See next page

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APPENDIX Q
California CDCR Form 1824
See next page.

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APPENDIX R
California BPH Form 1074
See next page.

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APPENDIX S
California CDCR Form 611
See next page.

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APPENDIX T
California CDCR Form 1845
See next page.

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APPENDIX U
California CDCR Form 128C-2
See next page.

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APPENDIX V
California CDCR Form 1707

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APPENDIX W
Selected California Felony Probation
Instructions (County Specific)
Felony Probation Instructions by County in CA (for those publicly
available)—limited list.
WARNING: It is very important to understand that there are many different types
1009
of FP programs that vary from county to county in California.
1) Fresno County:
• The Fresno County Probation Department has many types of FP programs to
monitor your conduct. For example, if you have a drug problem, you could be
referred to Drug Court, the PC1000 program, or the Probationers in Recovery
program. Whatever the program or type of supervision, you are expected to
obey the conditions of probation that were set by the Court.
• The frequency and method of contact with your Probation Officer depends
on the seriousness of your commitment offense(s).
• In addition to special supervision programs, there are special programs—
these are conditions of probation offered such as Work Furlough and Work
Project. These special programs allow for consequences other than custody
1010
in jail for a felony conviction.
2) Butte County:
In Butte County, there are different types of FP supervision units. Examples:
•

•

•

Adult Supervision Unit—Supervising low to moderate risk offenders,
Probation Officers utilize monthly mail-in forms, office appointments, and
program referrals to ensure compliance with terms and conditions of
probation.
Field Supervision Unit—Supervising high risk offenders—namely domestic
violence, gang, and sex crimes—Probation Officers utilize routine office
appointments and searches, drug testing, and treatment program partnership
to ensure compliance with terms and conditions of probation.
Adult Treatment Unit—The Proposition 36 and Drug Court programs
supervise offenders with substance abuse issues. Probation Officers utilize
routine drug and alcohol tests, office appointments, and treatment program
1011
partnership to ensure compliance with terms and conditions of probation.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
See Fresno County Adult Probation Department, Frequently Asked Questions,
http://www.co.fresno.ca.us/DepartmentPage.aspx?id=12773.
1011
Butte County Probation Department, Formal Adult Probation Caseloads,
http://www.buttecounty.net/probation/AdultProbation/TypesofAdultSupervision.aspx.
1010

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APPENDIX X
Sample Instructions for County Probation
From Different Counties in California
WARNING: There are some standard conditions that apply to most (if not all)
1012
individuals placed on probation, but instructions for what to do when you first
start your probation term will vary depending on what county you are being
supervised in. You should call or visit you county probation department
immediately to find out what the requirements and instructions apply to you.
For example only, below you can find a few county probation offices’ reporting
instructions:

San Francisco County’s Instructions:1013
STEP 1: You need to contact the Probation Department as soon as you are
released from custody. If you are released after 5:00pm, please contact the
Department the next day. We open our offices at 8:00am and close at 5:00pm.
Main phone number is: (415) 553-1706.
STEP 2: When you contact the Department you will need to provide our support
staff with your full name and date of birth. If you have your court number, please
provide it too. Our support staff will be able to give you the name and phone
number of your assigned probation officer.
STEP 3: Your probation officer will schedule an appointment to meet with you.
Please, make sure to keep your appointment and be on time. If you cannot make
your appointment, you must call the day before to re-schedule.
STEP 4: Most likely than not the Court would have ordered for you to attend a
counseling or rehabilitation program. You along with your officer will choose
which programs better meet your needs. It is important that you contact the
program and arrange for an intake session.
STEP 5: Stay out of trouble! We know you’re facing a lot of challenges and
difficulties getting your life back together, but if you need help or support, call
your officer before you do something that put you back in jail.

Los Angeles County’s Instructions:1014
STEP 1: If you were just released from county jail or the court, following your
sentencing, and you were ordered by the Court to report to the Probation
Department for supervision, you need to report within 48 hours or within the
time frame ordered by the court.
STEP 2: When you report to the Probation office, tell the receptionist that you
were just recently released from jail, or referred from Court, and you need your
1015
orientation instructions.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See City and County of San Francisco Adult Probation Department, On Probation,
http://sfGov’torg/adultprobation/probation.
1013
See City and County of San Francisco Adult Probation Department, On Probation,
http://sfGov’torg/adultprobation/probation.
1014
See L.A. Cnty. Prob. Dep’t, Just Released,
http://probation.lacounty.gov/wps/portal/probation/!ut/p/b1/04_Sj9Q1MjA1tzS0NDcw04_Qj8pLLMtMTyzJzM9LzA
Hxo8zi3QwMDNz9nYKN_INdjA083dydnA39TQyNgo2ACiKRFRg4u1saeDqZuFt4mYUYOvuZE9IfrhFT0mwoTG6AixWgBUY4ACOBgSs8DLR9_PIz03Vz43KsfTMDEgHAB9RScE!/dl4/d5/L2dJQSEvUU.
1015
See L.A. Cnty. Prob. Dep’t, Just Released,
http://probation.lacounty.gov/wps/portal/probation/!ut/p/b1/04_Sj9Q1MjA1tzS0NDcw04_Qj8pLLMtMTyzJzM9LzA
1012

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Here is a list of important documents to bring to your probation orientation in
L.A. County:
(1) Valid identification (driver’s license, California I.D., any identification with
your name, picture, or signature.
(2) Verification of residence (this can be a letter or other mailing with your name
and the address where you live, a copy of a rental agreement, or a signed
letter from your landlord verifying that the address presented is your
residence).
(3) A copy of any and all documents that the sentencing court (meaning the
court that actually gave you your criminal sentence) gave to you. This may
include:
• A copy of the sentencing minute ordered;
• A referral card with your next court appointment;
• A referral for registration due to your conviction that is related to
drugs, gang affiliation, arson, or certain sex offenses or proof of
registration of any one of these requirements, if so ordered by the
court.

Ventura County’s Instructions:1016
STEP 1: Upon being placed on formal probation (and immediately upon release
from custody when on probation), you must immediately report to 800 South
Victoria Avenue, Ventura, California, at the Pre-Trial Detention Facility (Sheriff’s
Building), Room A, second floor. Bring to probation your current address, phone
numbers, and all relevant contact information
STEP 2: Your assigned probation officer will contact you via mail or phone within
30 days of the date you were granted probation to set up your first
appointment/intake meeting.
If you have not heard from your probation officer within a 30-day period:
•

Have your case number, date of birth, and Social Security number (SSN)
available and call the Ventura County Probation Agency at one of the
locations nearest your residence. Tell the receptionist your case number and
any relevant identifying information. You will then be connected to your
assigned probation officer or the Officer-of-the-Day (OD) at your local
probation office.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
Hxo8zi3QwMDNz9nYKN_INdjA083dydnA39TQyNgo2ACiKRFRg4u1saeDqZuFt4mYUYOvuZE9IfrhFT0mwoTG6AixWgBUY4ACOBgSs8DLR9_PIz03Vz43KsfTMDEgHAB9RScE!/dl4/d5/L2dJQSEvUU.
1016
See Ventura County Probation Department, FAQs, http://public.venturaprobation.org/index.php/aboutus/faqs?catid=1.

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APPENDIX Y
Changing Conditions Of Misdemeanor Or
Felony Probation
STEP 1:

Draft the Motion and Supporting Documents:

• There is no official court form for this motion. You may contact the Court Clerk
in the local county superior court where you were convicted to ask if there is a
local form for this purpose. Most likely there is not, so you or your attorney will
have to draft an original motion. Your motion should consist of the following
1017
parts:
(1) Notice of Motion: This tells the court what you want it to do. In other
words, it notifies the court that you want it to modify your probation
1018
conditions.
(2) Memorandum of Points and Authorities: This section explains the law or
authority that you are relying on for your request, as well as the facts
1019
supporting your request under that law or authority.
In the case of a disability, you should include the following: Americans
1020
with Disabilities Act (ADA),
California Government Code § 11135, Civil
Code §§ 54 et seq., California Penal Code § 1203.3 and the specific facts
of your disability, how it affects you on probation, and what changes or
additional assistance you need.
(3) Declaration: This is your signed, sworn statement of the facts used in your
1021
memorandum. It must include all of the facts used to support your motion.
(4) Any Supporting Documentation: If you have any documentation, such as
a doctor’s letter or prescription for medication, you should include
these.
TIP:
(5) Proposed Order: This is the document the judge signs to grant
Try and get to the
your motion and officially allow your probation to be terminated.
Clerk’s office early,
(6) Proof of Service: Include the Proof of Service form with your
because there may
motion. This document must be included with all your court
be long lines. Make
papers to prove that you gave a copy of the court papers to every
sure to bring lots of
person who is required by law to get them.
copies and a friend
Need help with your court forms? Ask the attorney/ Public Defender
from your case, the court’s Self-Help Center, or your local law library
for assistance with your motion.

!

to help if you can.

IMPORTANT: If you had public defender for your case, many Public
Defender offices will write, file, and argue motions to modify probation
on your behalf. Call you public defender to find out whether they are able
to assist you in filing and arguing your motion.
STEP 2: File the Motion
• Once your motion is drafted, you should make at least 4 copies—an original
copy for the court, one copy for the District Attorney, one for the Probation

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. RULES OF COURT, Rule 3.1112.
CAL. RULES OF COURT, Rule 3.1112.
CAL. RULES OF COURT, Rule 3.1113.
1020
This law protects people with disabilities against discrimination and requires public entities to provide
reasonable accommodations. The law applies to all public entities, including local courts and probation
departments. http://www.ada.gov/pubs/adastatute08.pdf.
1021
CAL. RULES OF COURT, Rule 3.1112.
1017
1018
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Department, and one for you to keep. The court clerk will keep the original
copy for the court’s file.
• Bring the original motion and all copies to the clerk who will stamp all the
documents with the date you are filing these documents. The clerk will give
you back your copy, plus any copies that need to be served on the other
parties. Remember to make sure that the clerk stamps each of these copies!
• Be sure to confirm with the clerk if the clerk’s office will serve the District
Attorney and the Probation Department, or if you are responsible for
doing that. If the clerk gives you back more than just your own copy, it
most likely means that you are responsible for service! (See STEP 3
below).
• FEES/ COST: Be aware that there are always fees associated with filing
documents with the court. These fees will vary by county, and you can
request a fee waiver if you qualify. Check with the clerk for your county’s
fee schedule and waiver request process. Note: if you had a public
defender on your case, you also may be eligible to receive a fee waiver
for court filing fees.
After your motion has been filed, the clerk will give you a court date to
have your motion heard by the judge.
STEP 3: Serve the Motion on the Other Parties
•

•

If the clerk indicates that you are responsible for “service,” this means
that you must make sure that all necessary people (called necessary
“parties”) get a copy of the motion in the proper manner.
The law requires that you give the District Attorney at least 2 days’
notice of your motion (or 5 days if your case involves domestic
1022
violence).
This means that the DA must have a copy of your motion
at 2 two days before the date of your hearing. It is best to serve the
motion on all necessary people (parties) right after you file it. Be sure to
have the DA’s office stamp the copy of your motion that you are
keeping for yourself too—this serves as your proof that you served the
DA with your motion.

STEP 4: The Hearing
•

•

When you file your motion, the clerk will give you a court date for your
motion to be heard by a judge. You will have to attend the hearing if
you are not being represented by an attorney. In most cases, even if
you are being represented by an attorney, you will want to be present
to show your respect to the judge and the court process. The judge is
unlikely to modify your probation unless it thinks that you are taking
your probation seriously—and going to your court date shows the
1023
judge that you care about your case!
If the judge grants your motion or modifies your probation conditions in
any other way, he or she must state the reasons for doing so on the
1024
record.

IF YOU ARE
REQUESTING A
CHANGE IN
YOUR
PROBATION
CONDITIONS
DUE TO A
DISABILITY:
During the
hearing, you (or
your attorney, if
you have one) will
explain to the
judge why your
disability makes it
difficult for you to
comply with your
current
conditions, what
changes you need
in your probation
conditions, and if
you need any
other assistance
from the
probation
department to
successfully
complete your
probation. You
can also ask the
court to order the
probation
department to
provide certain
assistance or
other
accommodations.
The prosecutor
will also have a
chance to speak,
including a
chance to oppose
your request for
modification. For
more information
on disabilities,
please see
PG. 284.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 1203.3(b)(1).
If you are requesting a change in your probation conditions due to a disability: During the hearing, you (or your
attorney, if you have one) will explain to the judge why your disability makes it difficult for you to comply with your
current conditions, what changes you need in your probation conditions, and if you need any other assistance from
the probation department to successfully complete your probation. You can also ask the court to order the
probation department to provide certain assistance or other accommodations. The prosecutor will also have a
chance to speak, including a chance to oppose your request for modification.
1024
CAL. PENAL CODE § 1203.3(b)(1)(A).
1022
1023

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APPENDIX Z
Sameple Instuctions for PRCS from
Different Counties in California
WARNING: You must report to your County Probation Department for PRCS
supervision within 2 working days after your release from state prison, court, or
county jail. Instructions for what to do when you first get out on PRCS vary from
one county probation department to the next. For example only, here are the
instructions for people on PRCS in a couple of California counties:
If you are on PRCS under the L.A. County Probation Department:
•
•

•

•

1025

You must report within 2 working days of your release.
You should bring the following important documents to your probation
“H.U.B.” orientation:
o Valid identification: Driver’s license, California State I.D., or any
identification with your name, picture, or signature). [NOTE: Please go to
the BUILDING BLOCKS OF REENTRY: ID & VOTING CHAPTER,
beginning on PG. 13 if you need to get this type of document/ID.]
o Verification of residence: this can be a letter or other correspondence
with your name and the address where you reside, a copy of a rental
agreement, or a signed letter from your landlord verifying that the
address presented is your residence.
o A copy of any and all document you were given by the sentencing court
or the Corrections Counselor regarding your release.
Once the HUB orientation is complete, you will be given:
o A copy of your signed permanent probation instructions or the courtordered conditions of supervision,
o All signed financial documents, and
o A referral to your probation officer or the probation office closest to your
residence.
Lastly, you will be instructed when and where to report to your local county
probation office within 48 hours. Once you report to the local county
probation office for supervision, you will be assigned a supervision probation
officer, who will explain the specific requirements of supervision and
reporting requirements to you.

If you are on PRCS under the Butte County Probation Department:

1026

•

You must report within 2 working days of your release.
The Butte County Probation Department’s supervision of people on PRCS
includes: office visits, home visits, searches, urine testing, and enforcement.
Probation will complete an evidence-based “Offender Needs Guide” to
identify and target your needs. This is Probation’s tool to identify your
specific risk and protective factors to improve case management and reduce
the risk of re-offending.

•

Based on the “Offender Needs Guide,” your Probation Officer will make
referrals for services to the appropriate agencies.

•
•

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See L.A. Cnty. Prob. Dep’t, Just Released,
http://probation.lacounty.gov/wps/portal/probation/!ut/p/b1/04_Sj9Q1MjA1tzS0NDcw04_Qj8pLLMtMTyzJzM9LzA
Hxo8zi3QwMDNz9nYKN_INdjA083dydnA39TQyNgo2ACiKRFRg4u1saeDqZuFt4mYUYOvuZE9IfrhFT0mwoTG6AixWgBUY4ACOBgSs8DLR9_PIz03Vz43KsfTMDEgHAB9RScE!/dl4/d5/L2dJQSEvUU.
1026
See Butte County Probation, AB 109, http://www.buttecounty.net/probation/AdultProbation/AB109.aspx.
1025

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APPENDIX AA
Information on Modifying the Conditions
of County Probation
HOW CAN I REQUEST AN ACCOMMODATION OR FILE A
COMPLAINT IF I FEEL THAT COUNTY PROBATION IS NOT
ACCOMMODATING MY DISABILITY, OR IF MY DISABILITY IS
PREVENTING ME FROM ACCESSING PROBATION SERVICES OR
PROGRAMS?
Unlike for state parole, there are no formal probation policies or procedures to
request accommodations or file a complaint related to your disability. Each
county does things differently, and many counties have no formal procedures.
You can first talk to your probation officer and explain the situation to him/her
OR you may ask a judge to modify your probation to accommodate your
disability by filing a motion requesting a change.
STEP 1:

Start by talking with your probation officer and explain to him/her:

1. What your disability is;
2. Why it is difficult for you to participate in programs or supervision
requirements; and
3. What assistance, accommodations or changes you need.
4. If you have to do any evaluations with other agencies or service providers
(for example, if the Probation Department does a risk- or needs-assessment
for you, or you have a work placement evaluation by the Sheriff’s
department), you should also explain to them why your disability makes it
difficult for you to participate or meet other requirements.
5. If you were sentenced under Realignment and are on Mandatory
Supervision or PRCS, you may be entitled to participate in special programs
1027
or other services for your disability.
STEP 2: If that didn’t fix the problem, you can ask the judge to modify your
probation to accommodate your disability by filing a motion
requesting a change (called a “modification”).
If after talking to your probation officer or their supervisor, you still need help
because (1) you did not get the assistance you require for your disability, (2) you
are unable to participate in the programs which you are being offered or
required to participate in, or (3) the terms of your supervision are difficult for you
due to your disability, then you can go back to court to request help from the
judge.
In order to ask the judge to modify your probation, you must FILE A MOTION
requesting that the judge modify probation to accommodate your disability.
Once you file your motion, you will have a hearing.
Remember, that your motion requesting modification of your probation should
include mention of the following laws:

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1027

Telephone calls with the following county probation departments, Nov. 6, 2014:
•
Tony Crear, Community Network Coordinator, Alameda Cnty. Probation Dept.
•
Robin Nicole Livingston, AB 109 Probation Officer, Contra Costa Cnty. Probation Dept.
•
Jim Metzen, Probation Consultant, Yolo Cnty. Probation Dept.
•
Alan Seeber, Sacramento Cnty. Probation Dept.
•
Whitnee Reynolds, Administrative Assistant / Training Coordinator, Chief Probation Officers of Cal.

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The Americans with Disability Act (ADA)—The ADA protects people with
disabilities against discrimination and it requires public entities to provide
reasonable accommodations. The ADA applies to all public entities, including
1028
local courts and probation departments.
1029
California Government Code § 11135 and Civil Code §§ 54 et seq.,
which
provide similar state protections as the federal ADA.
California Penal Code § 1203.3, which gives the court authority to change
1030
your probation conditions.
The specific facts of your disability, how it affects you on probation, and what
changes or additional assistance you need.

•

•
•
•

STEP 3: The Hearing
During the hearing, you (or your attorney, if you have one) will explain to the
judge why your disability makes it difficult for you to comply with your current
conditions, what changes you need in your probation conditions, and if you need
any other assistance from the probation department will help you to successfully
complete your probation. You can also ask the court to order the probation
department to provide certain assistance or other accommodations. The
prosecutor will also have a chance to speak at your hearing—this includes a
chance to oppose your request for modification.
Because the judge has much more control over the Probation Department and
the terms of your supervision, the Judge can order Probation to provide you with
assistance, and can decide any other accommodations that are necessary for
1031
you to successfully complete your supervision.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1028
1029
1030
1031

The ADA is available at http://www.ada.gov/pubs/adastatute08.pdf.
CAL. GOV’T CODE § 11135.
CAL. GOV’T CODE § 1203.3.
Telephone call with Tony Crear, Alameda County. Probation Dept.

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APPENDIX BB
U.S. Department Of Justice, Federal
Bureau Of Prisons (BOP) Form BPA714.056, “Notice Of Release And
Arrival”

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APPENDIX CC
Federal Probation/Supervised Release
Standard Conditions
STANDARD CONDITIONS— The list of “Standard Conditions” below—while
technically discretionary (not required)— are added by the judge in almost every
case of Supervised Release, as recommended by the U.S. Sentencing
1032
Commission, the agency that oversees federal sentencing guidelines.
You will likely be ordered to follow most if not all of the following rules
(conditions), or something very similar to these:
1.

You cannot leave the limits of your judicial district (meaning the area that the
court has jurisdiction—i.e. the “Southern District o California”) without
written permission from the court or your probation officer.

2. You must file a written report with your probation officer within the first 5
days of each month, or as directed by your probation officer.
3. You must truthfully answer any questions and follow any instructions that
your probation officer asks of you.
4. You must meet your family responsibilities, primarily paying any courtordered child support or support for the parent with whom your child is
living.
5. You must work regularly at a lawful occupation, unless your U.S. probation
officer excuses you for school, training, or other reasons the officer finds
acceptable.
6. You must notify your probation officer at least 10 days before you change
your address (some officers will require more or less notice, so check your
conditions).
7.

You cannot drink alcoholic beverages to excess. You cannot use or
distribute illegal drugs, or frequent places where others use or distribute
drugs.

8. You cannot associate with people engaged in criminal activity. (This means
you cannot hang out with or spend time with people who are committing
crimes.)
9. You cannot associate with anyone convicted of a felony unless your U.S.
probation officer gives you permission to do so. (Again, this means that
unless your probation officer says differently, you are not allowed to hang
out with or spend time with someone who has been convicted of a felony.
Just spending time with someone who has been convicted of a felony can
be considered a violation of your probation, even if you were not doing
anything else wrong.)
10. You must let your probation officer to visit you any time at home or
elsewhere.
11. You must let your probation officer to take any contraband that he or she
finds in plain view around you.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1032

See 18 U.S.C. § 3583; U.S.S.G. § 5D1.3(b)-(d) (Standard conditions” are set forth in U.S.S.G. § 5D1.3(c)).

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12. You must get in touch with your U.S. probation officer within 3 days (72
hours) if you’re arrested or questioned by law enforcement (again, some
officers will require you to report faster, so check your conditions).
13. You cannot serve as an informant to law enforcement without court
permission.
14. As directed by your U.S. probation officer, you must notify other people
about any risks that your criminal record, personal history or characteristics
might pose; and you must allow your U.S. probation officer to notify people
of any risks posed by your criminal record, personal history or
characteristics.
15. You must pay any court-ordered “special assessment” and fines, and follow
any court-ordered payment plan set up for you.
16. You must notify your U.S. probation officer if there is any significant change
in your income or economic circumstances which would impact how much
you can pay towards any unpaid restitution, fines, or special assessments
(NOTE: this is a mandatory condition for people on federal probation, and a
recommended “standard condition” for people on Supervised Release).

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APPENDIX DD
Federal Probation/Supervised Release
Discretionary Conditions
WHAT ADDITIONAL DISCRETIONARY CONDITIONS MAY I HAVE
TO FOLLOW ON SUPERVISED RELEASE?
If the legal standards are met (refer to PG. 237), the judge may order additional
discretionary conditions on your Supervised Release.
As discussed, the Standard Conditions listed on PG. 234 above are almost
always added.
The following discretionary conditions may also be added (all but one of these is
the same as those listed under federal probation, PG. 245):
1)
2)
3)
4)
5)

6)
7)
8)

9)
10)
11)
12)

13)

Require you to support your dependents and meet other family
responsibilities;
Require that you make restitution to a victim of the offense under section
3556
Require that you give notice (ordered pursuant to the provisions of section
3555) to the victims of the offense;
Require that you be employed or be pursuing educational/vocational
training to prepare you for suitable employment;
Prevent you altogether from working in a specified occupation, business, or
profession with a reasonably direct relationship to the conduct underlying
your commitment offense (OR prevent you from working in a specified
occupation, business, or profession only to a certain degree/under stated
circumstances);
Forbid you from going to specified kinds of places;
Forbid you from associating with specified persons;
Forbid you from excessive use of alcohol, or any use of a narcotic drug or
other controlled substance, as defined in section 102 of the Controlled
Substances Act (21 U.S.C. 802), without a prescription by a licensed medical
practitioner;
Forbid you from possessing a firearm, destructive device, or other
dangerous weapon;
Require that you get medical, psychiatric, or psychological treatment,
including treatment for drug or alcohol dependency (as specified by the
court
Require that you live in a specified institution foe medical, psychiatric, or
1033
psychological treatment
Require that you remain in the custody of the Bureau of Prisons during
nights, weekends, or other intervals of time, totaling no more than the lesser
1034
of one year or the term of imprisonment authorized for the offense,
during the first year of the term of probation or supervised release (this is
1035
known as intermittent confinement);
Require you to live at a community corrections facility (including somewhere
maintained by or contracted with the Bureau of Prisons), or attend a

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

18 U.S.C. § 3563(b).
18 U.S.C. § 3583(d); U.S.S.G. § 5F1.8.
18 U.S.C. § 3563(b)(10) (known as “intermittent confinement”). See also U.S.S.G. § 5F1.8, which states that
intermittent confinement may be imposed as a condition of probation during the first year of federal
probation. See 18 U.S.C. § 3563(b)(10). It may be imposed as a condition of supervised release during the first year
of supervised release, but only for a violation of a condition of supervised release in accordance with 18 U.S.C.
§ 3583(e)(2) and only when facilities are available. See 18 U.S.C. § 3583(d).
1033
1034
1035

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14)
15)
16)
17)
18)
19)
20)
21)

22)
23)
24)
25)

program at such a community corrections facility, for all or part of the term of
probation;
Require you to work in community service as directed by the court;
Require you to live in a specified place or area, or prevent you from living in
a specified place or area;
Require you to remain within the jurisdiction of the court, unless granted
permission to leave by the court or a probation officer;
Require you report to a probation officer as directed by the court or the
probation officer;
Allow a probation officer to visit you at your home or elsewhere as specified
by the court;
Require you to quickly notify your probation officer, or answer your P.O.’s
questions, about any change in address or employment;
Require you to quickly notify your probation officer if you are arrested or
questioned by a law enforcement officer;
Require you to stay at home/where you live during non-working hours, and
require you to be monitored by telephonic or electronic signaling devices to
1036
track you and make sure you are at home during these times.
However, if
you were sentenced to a term of incarceration, this condition cannot be
1037
imposed on you.
This condition can only be used as an alternative to
1038
incarceration.
Require that you obey any court order or other government administrative
order that requires you to pay for support/maintenance of a child or to both
the child and parent with whom the child is living;
Deport you if you are “deportable” under law;
1039
Satisfy any other court-imposed conditions;
and
Finally, there are additional “special conditions” that are discretionary for
particular kinds of cases under Supervised Release:
a) If you are a non-citizen subject to deportation under law:
i) The court may order you deported and that you remain outside the
U.S. as a condition of your Supervised Release, and may order that
you are handed over to an authorized immigration official for such
deportation.
b) If you are required to register as a Sex Offender:
i. If your conviction is for a sex offense, the judge will consider
imposing the following special conditions:
1. A search at any time, with or without a warrant, of
your person, any property, your house/residence,
vehicle, papers, computer, or other electronic/data
devices or media, by any law enforcement or
probation officer with reasonable suspicion
concerning a violation of a condition of probation or
unlawful conduct, and by any probation officer
lawfully carrying out his/her function of
1040
supervision.
2. Require you to participate in a program for the
1041
treatment and monitoring of sex offenders;
3. Limit your use of a computer if one was used as part
of your commitment offense;

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

18 U.S.C. § 3563(b).
This is not true of Supervised Release. That is, you can be convicted of a crime, sentenced to a term of
imprisonment, and be ordered to serve an additional period of time on house arrest as a condition of Supervised
Release.
1038
18 U.S.C. § 3563(b)(19) (2008). This is because if you are sentenced to a term of incarceration, you cannot receive
a sentence of probation. Rather, you would receive a term of supervised release following imprisonment as part of
your sentence.
1039
18 U.S.C. § 3563(b).
1040
18 U.S.C. § 3583(d).
1041
See U.S.S.G. § 5D1.3(d); Jennifer Gilg, The Fine Print: Strategies for Avoiding Restrictive Conditions of
Supervised Release, http://www.fd.org/docs/select-topics---common-offenses/fine_print.pdf.
1036
1037

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4. Require you to submit to random, warrantless
searches of your person, residence, and
1042
computers;
5. Residency Restrictions (meaning there will be
certain places you cannot live);
6. Contact Restrictions (meaning there will be certain
people you cannot have contact with);
7. Movement Restrictions (meaning there will be
certain places you will not be able to go);
8. Employment/Occupational Restrictions (meaning
there will be certain types of jobs you cannot
1043
have);
9. Polygraph and/or Penile Plethysmograph
1044
Testing;
10. Tracking Conditions; and
11. Restrictions on the Possession of Certain Materials
(meaning there will be certain things you cannot
1045
have on your person or in your home)
ii. If you were convicted of a sex offense, you should ask about
any special conditions that apply to you as they differ
slightly among jurisdictions and judges. If you were
convicted of a federal sex offense, you most likely will have
to follow some version of the above conditions.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See U.S.S.G. § 5D1.3(d); Jennifer Gilg, The Fine Print: Strategies for Avoiding Restrictive Conditions of
Supervised Release, http://www.fd.org/docs/select-topics---common-offenses/fine_print.pdf.
1043
See also Defender Services Office, The Fine Print: Strategies for Avoiding Restrictive Conditions of Supervised
Release, http://www.fd.org/docs/select-topics---common-offenses/fine_print.pdf, pp. 3-6.
1044
See D. Richard Laws, Penile Plethysmography: Will We Ever Get It Right? in Sexual Deviance: Issues and
Controversies 82, 85 (Tony Ward, D. Richard Laws & Stephen M. Hudson eds., Sage Publications, Inc. 2003). Penile
Plethysmograph Testing (PPG) is a procedure that uses a gage to measure the change in a man’s penis size. Courts
sometimes proscribe PPG. as a condition of sex offender treatment. See also Defender Services Office, The Fine
Print: Strategies for Avoiding Restrictive Conditions of Supervised Release, http://www.fd.org/docs/select-topics--common-offenses/fine_print.pdf, pp. 3-6;
1045
See also Defender Services Office, The Fine Print: Strategies for Avoiding Restrictive Conditions of Supervised
Release, http://www.fd.org/docs/select-topics---common-offenses/fine_print.pdf, pp. 3-6.
1042

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APPENDIX EE
List Of Factors Federal Judges Consider
When Determining Whether To Let
Someone Off Probation Early
Here is the full list of factors that the judge may consider when deciding whether
to let you off probation early:
•
•
•
•
•
•
•
•
•

Whether or not your Probation Officer or the Prosecutor support your
request;
The nature and seriousness of the crime you were convicted of;
Your criminal history and/or mental illness history;
Whether the judge believes you are a threat to the public;
Whether the judge believes you have been sufficiently punished;
Whether you have completed any substance abuse treatment or
rehabilitation programs;
How your sentence compares to the federal sentencing guidelines
recommended sentence;
1046
U.S. Sentencing Commission policy statements;
1047
Whether you’ve paid restitution to the victims.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

In 2011, the Sentencing Commission issued a policy statement informing judges that they may let former
narcotics abusers from supervised release early, if that person has successfully completed a treatment program. See
United States Sentencing Commission, 2013 Guidelines Manual, http://www.ussc.gov/guidelinesmanual/2013/2013-5d12. See also 18 U.S.C. § 3583(e)(1)-(2).
1047
See 18 U.S.C. § 3553(a)(1)-(7).
1046

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APPENDIX FF
Federal Crime Classes
Per 18 U.S. Code § 3559:
An offense that is not specifically classified by a letter grade in the section
defining it, is classified if the maximum term of imprisonment authorized is:
(1) Life imprisonment, or if the maximum penalty is death, as a Class A felony;
(2) Twenty-five years or more, as a Class B felony;
(3) Less than twenty-five years but ten or more years, as a Class C felony;
(4) Less than ten years but five or more years, as a Class D felony;
(5) Less than five years but more than one year, as a Class E felony;
(6) One year or less but more than six months, as a Class A misdemeanor;
(7) Six months or less but more than thirty days, as a Class B misdemeanor;
(8) Thirty days or less but more than five days, as a Class C misdemeanor; or
(9) Five days or less, or if no imprisonment is authorized, as an infraction.

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APPENDIX GG
Sample Certificate Of Supervised
Release
1048

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1048

Courtesy of the Public Defender Service for the District of Columbia.

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APPENDIX HH
Federal Supervised Release Term Length
Chart
Class of Offense (Sentence length)

Length of Time on Supervised Release

Class A Felony (life imprisonment or death)

2 (minimum)—5 (maximum) years

Class B Felony (25 years or more)

2 (minimum)—5 (maximum) years

Class C Felony (10 up to 25 years)

1 (minimum)—3 (maximum) years

Class D Felony (5 up to 10 years)

1 (minimum)—3 (maximum) years

Class E Felony (1 year up to 5 years)

1 year maximum

Class A Misdemeanor (6 months up to 1 year)

1 year maximum

Class B Misdemeanor (30 days—6 months)

1 year maximum

Class C Misdemeanor (6—29 days)

1 year maximum

Infraction (5 days or less, or no prison time
authorized)

(S/R cannot be imposed; Probation can be
imposed for up to one year)

You have the best shot of being let of supervised release early if:
• You have completed 2/3 of your supervised release term (or at the very least
½ way through),
• You have had no violations,
• You have complied with all the terms of your supervised release,
• You have paid all restitution and fines, and
1049
• Your probation officer agrees that you should be let off early

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Federal Defenders of New York, Supervised Release, http://federaldefendersny.org/information-for-clientand-families/supervised-release.html.
1049

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APPENDIX II
Federal Supervised Release Plans
Release plan, creating a plan for payment of restitution and fines, investigation
of your plan and release.
STEP 1:

Release Plan

Once you have a release date from the Parole Commission (USPC), you must
complete a satisfactory plan for parole supervision to actually get released. The
Regional Commissioner may change your date of release (earlier or later) onto
parole to allow more time for release planning. At most, the Regional
Commissioner can delay your release onto parole for 120 days; otherwise, you
have the right to a hearing if the Regional Commissioner wants to push back
1050
your release date more than 120 days.
Generally, you are required to have included in your release plan:
1. Availability of legitimate employment;
2. An approved residence for the prospective parolee; and
1051
3. Availability of necessary aftercare if you are ill or will require special care.
STEP 2: Unpaid Fines & Restitution
Your release onto parole might also be delayed if you still owe court-ordered
1052
fines or restitution.
When you still have fines or restitution to pay, a
reasonable plan for payment, or a performance of services if ordered by the
1053
court, will be included in your parole release plan, where feasible.
STEP 3: Investigation Phase
Your U.S. Probation Officer will do an investigation to make sure that the
person’s release plan is appropriate. This investigation will start with the
probation officer asking you questions about your release plan. The probation
officer will then follow up and verify your answers. For example, if you told the
probation officer that your approved residence did not have any persons with a
felony record, the probation officer will follow-up to make sure this is true.
STEP 4: Release
After the Parole Commission approves your release plan, and a U.S. Probation
Officer completes an investigation, you will be released on the date set by the
Parole Commission (unless there is misconduct or some other reason leading to
a change in the date).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1050
1051
1052
1053

28 C.F.R. § 2.28.
28 C.F.R. § 2.33(a).
28 C.F.R. § 2.7.
28 C.F.R. § 2.33.

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APPENDIX JJ
Appeals To The National Appeal Board
STEP 1: You may send a written appeal to the National Appeals Board
challenging any decision to grant (other than a decision to grant parole on the
date of parole eligibility), rescind, deny, or revoke parole.
NOTE: If you want to appeal a decision denying your parole on the date of
parole eligibility, you instead need to submit a “petition of reconsideration” to
1054
the USPC.
1055

STEP 2: Use the proper form (Parole Form I-22)
and file your written appeal
within 30 days from the date of entry of the decision that you are appealing. If
you don’t file within 30 days of the decision, you lose your right to
challenge/appeal it.

OTHER REQUIREMENTS OF YOUR APPEAL:
1.

The appeal must include an opening paragraph that briefly summarizes the
legal grounds for the appeal.
2. You should then list each ground separately and clearly explain the reasons
or facts that support each ground.
If you’re appeal doesn’t meet these requirements, the USPC may return it to you,
in which case have 30 additional days from the date the appeal is returned to
submit an appeal that meets the above requirements.

LEGAL GROUNDS FOR YOUR APPEAL CAN INCLUDE:
1)

2)
3)
4)
5)
6)
7)
8)

That the guidelines were wrongly applied in your:
a) Severity rating;
b) Salient factor score;
c) Time in custody;
That a decision outside the guidelines was not supported by the reasons or
facts as stated;
That especially mitigating circumstances (for example, facts relating to the
severity of the offense or your probability of success on parole) justify a
different decision;
That a decision was based on wrong information, and the correct facts
justify a different decision;
That the USPC did not follow correct procedure in deciding the case, and a
different decision would have resulted if it would have followed the right
procedure;
There was important information that you did not know at the time of the
hearing;
There are compelling reasons why a more lenient decision should be given
on grounds of compassion
INCLUDE NOTE ABOUT THIS PROCESS AS INITIATED BY ATTORNEY
1056
GENERAL WHEN PERSON IS STILL INCARCERATED

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1054
1055
1056

See 28 C.F.R. §§ 2.17; 2.27
Parole Form I-22, available at http://www.justice.gov/sites/default/files/uspc/legacy/2013/02/26/formi22.pdf.
28 C.F.R. § 2.26.

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APPENDIX KK
Federal Parole Revocation Hearings
YOUR RIGHTS DURING A FEDERAL PAROLE REVOCATION
HEARING
The purpose is to determine whether you have violated the conditions of your
release and, if so, whether your parole or mandatory release should be (1)
revoked (taken away) or (2) reinstated (where you continue on parole as you
1057
were).
Know Your Rights!
1)

Present Evidence: You may present evidence at the hearing. However, the
presiding hearing officer or examiner panel may limit or exclude any
irrelevant or repetitive statements or evidence.
a)

The hearing officer or examiner must disclose all evidence being used to
make the revocation decision before or during the revocation hearing.
The Hearing Officer will let you examine the document during the
hearing, or where appropriate, read and summarize the document for
you.

2) Present Witnesses: You may present witnesses at the revocation hearing. At
a local revocation hearing only, the USPC may upon your request or on its
own motion, ask people to attend who can give statements that will help
1058
inform the decision of whether or not to revoke your federal parole.
a)

You have the right to question and cross-examine those witnesses, and
be present for this, unless the presiding hearing officer or examiner
panel finds good cause for you to not be there.

3) Ask for an attorney: You have the right to an attorney. You do not have a
constitutional right to have an attorney at your parole revocation hearing,
1059
but you will most likely qualify for an attorney if you cannot afford one.
4) Appeals: You may appeal a revocation decision.

1060

If you agree to the decision, the Commission may make a revocation decision
without a hearing if:
1)

The alleged violation would be graded no higher than Category Two under
the guidelines at § 2.20;

2) The alleged violation is in any category under the guidelines at § 2.20 and
the decision imposes the maximum sanction authorized by law; OR
3) You have already served sufficient time in custody for the violation, but that
forfeiture of time on parole is necessary to provide an adequate period of
1061
supervision.

!
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

28 C.F.R. § 2.55.
28 C.F.R. § 2.51.
1059
18 U.S.C. § 3006(a)(1)(E).
1060
28 C.F.R. § 2.50; see also 28 C.F.R. §§ 2.26; 2.27.
1061
28 C.F.R. § 2.66.
1057
1058

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APPENDIX LL
Transferring To Another State As A Sex
Offender On Federal
Probation/Supervised Release
I AM CLASSIFIED AS A SEX OFFENDER, AND I WANT TO
TRANSFER TO ANOTHER STATE. HOW CAN I DO THAT?
You must meet the above 5 criteria, AND you must be able to meet additional
specific requirements for transferring the supervision of people classified as sex
1062
offenders.
NOTE: You cannot leave the sending state until the receiving state has approved
the transfer request or issued reporting instructions.
Follow these steps:
STEP 1: Discuss your desire to transfer with your U.S. Probation Officer.
STEP 2: Satisfy all of the eligibility criteria. At the discretion of the sending state,
you are eligible and can be approved for transfer if you meet the following
criteria and all 5 of the criteria above.
STEP 3: Complete an Application for Transfer (See Rule 3.107)
STEP 4: The sending state must send the receiving state:
(1) Assessment information, including sex offender specific assessments;
(2) Social history;
(3) Information relevant to the sex offender’s criminal sexual behavior
(4) Law enforcement report that provides specific details of sex offense;
(5) Victim information: including the name, sex, age and relationship to the
offender and the statement of the victim or victim’s representative;
(6) The sending state’s current or recommended supervision and treatment
1063
plan.
STEP 5: The receiving state has 5 business days to review the proposed
residence. If the proposed residence is not acceptable due to existing state law
or policy, the receiving state may deny the application. No travel permit can be
1064
granted by the sending state until the receiving state says it can.
STEP 6: A travel permit will be given to you by your Probation Officer if the
receiving state has approved the new residence. Travel permits are issued by
the local parole office, so each office uses a different form. Your Probation
Officer will give you this form once you have been approved by the Interstate
1065
Commission for Adult Offender Supervision.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

For additional rules see ICAOS Rule 3.101-3.
ICAOS Rule 3.101-3(b).
ICAOS Rule 3.101-3(c).
1065
Email conversation with Harry Hageman, Executive Director, Interstate Commission for Adult Supervision on Feb.
26, 2015.
1062
1063
1064

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APPENDIX MM
Interstate Compact Process Flowchart

* Chart comes from the Interstate Commission for Adult Offender Supervision,
http://www.interstatecompact.org/Portals/0/library/legal/ICAOS_ProcessOverview.pdf

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HOUSING
Housing is one of the most important parts of a
strong reentry. In the HOUSING CHAPTER, you will
learn more about your housing options and legal
rights; what kind of housing you can and cannot get
into because your criminal record; and things you can
do if your legal rights are violated.

DISCLAIMER – YOUR RESPONSIBILITY WHEN USING THIS GUIDE: When putting together the
Roadmap to Reentry: A California Legal Guide, we did our best to give you useful and accurate
information because we know that people who are currently or formerly incarcerated often have
difficulty getting legal information, and we cannot provide specific advice to every person who
requests it. The laws change frequently and are subject to differing interpretations. We do not
always have the resources to make changes to this informational material every time the law
changes. If you use information from the Roadmap to Reentry legal guide, it is your responsibility to
make sure that the law has not changed and applies to your particular situation. If you are
incarcerated, most of the materials you need should be available in your institution’s law library. The
Roadmap to Reentry guide is not intending to give legal advice, but rather legal information. No
attorney-client relationship is created by using any information in this guide. You should always
consult your own attorney if you need legal advice specific to your situation.

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TABLE OF CONTENTS
I.! INTRODUCTION ................................................................................................. 376!
Key Terms in the Housing Chapter ............................................................... 376!
II.! LOOKING FOR & IDENTIFYING GOOD HOUSING OPTIONS ...................... 377!
What are the first steps I should take in my housing search? ....... 377!
Can I find housing while I am still incarcerated? ............................... 379!
What are some steps I can take if I am worried about becoming
homeless? ................................................................................................... 379!
Will my parole or probation officer help me find somewhere to live? .380!
What are my housing options after release? .....................................380!
Short-term housing overview ......................................................................... 381!
Staying with family or friends: ............................................................... 381!
Shelters: .................................................................................................... 381!
Transitional housing programs: ............................................................ 382!
Can I get into a transitional housing program if I am still
incarcerated? .............................................................................................. 382!
What may I need to get to be accepted into transitional housing? ... 382!
Special needs housing—short- or long-term ....................................... 383!
Long-term housing overview ......................................................................... 383!
Permanent housing: ............................................................................... 383!
Special needs housing—short- or long-term ....................................... 383!
Housing for Special Needs & Populations ................................................... 384!
Women & Children .................................................................................. 384!
Domestic Violence Survivors ................................................................ 386!
Seniors/Elders ......................................................................................... 388!
Veterans ................................................................................................... 389!
Substance Abuse Treatment & Recovery Housing (also called “Sober
Living Environments” or SLE) ................................................................. 391!
290 Sex Offender Registrants & Residency Restrictions .................. 392!
Private vs. Government-Assisted Housing: An overview .......................... 393!
Private Housing....................................................................................... 393!
Government-Assisted Housing ............................................................. 393!
Why would I be interested in living in government-assisted
housing? ...................................................................................................... 394!
How can I find government-assisted housing? ................................. 394!
Who is my landlord if I live in some type of government-assisted
housing? ......................................................................................................395!

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III.! APPLYING FOR & GETTING INTO HOUSING ............................................... 396!
Understanding Housing Eligibility ................................................................ 396!
What does it mean to be “eligible” for housing? .............................. 396!
Why is it important to understand the eligibility rules of different
types of housing?...................................................................................... 396!
What are some of the reasons I could be eligible or ineligible for a
housing program?..................................................................................... 396!
How will my criminal record affect my eligibility and application to
different types of housing? .................................................................... 397!
Criminal Record Bans To Be Aware Of Before You Apply to Housing ... 398!
1. Criminal Record Bans in Private Housing........................................ 398!
How can my criminal record affect my chances of getting private
housing? ...................................................................................................... 398!
Can a private landlord refuse to rent to me just because of my
criminal record? ......................................................................................... 398!
When might I be legally protected from a private landlord
discriminating against me due to my criminal record? ................... 399!
2. Criminal Record Bans in Government-Assisted Housing .............. 401!
How can my criminal record affect my chances of getting accepted
into government-assisted housing? ...................................................... 401!
Can a Public Housing Authority (PHA) refuse to rent to me just
because of my criminal record? ............................................................. 401!
Where do I find a PHA’s rules & policies about criminal records? .... 402!
Chart Summarizing Criminal Record Bans in Government-Assisted
Housing .................................................................................................... 403!
Detailed Questions & Answers About Criminal Record Bans in
Government-Assisted Housing ............................................................. 406!
What bans are required in government-assisted housing—for
specific types of convictions and specific housing programs? .... 406!
What bans are allowed, but not legally required in governmentassisted housing—the “catch-all” category of bans that apply to *all
people with criminal records*? ............................................................... 412!
How can I find out the criminal record policies of my local Public
Housing Authority (PHA) or of the owner of government-assisted
housing? ....................................................................................................... 412!
Under the “catch-all” ban, can a Public Housing Authority (PHA) or
owner of government-assisted housing deny me for a conviction
that I had “expunged”?............................................................................. 413!
Under the “catch-all” ban, can a Public Housing Authority (PHA) or
owner deny me from government-assisted housing for arrests that
did not result in a conviction? ................................................................. 413!
Under the “catch-all” ban, will my participation in a pre-trial
intervention or diversion program matter? ......................................... 414!
Under the “catch-all” ban, can a Public Housing Authority (PHA) or
owner of government-assisted housing deny my application because
of the convictions of family members who live with me? .................. 415!
Your Rights Against Illegal Denials from Government-Assisted Housing
Because of Your Criminal Record.................................................................. 416!
How does the law protect me from being denied governmentassisted housing because of my criminal record? ............................ 416!

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Improving Your Chances Of Getting Into Government-Assisted Housing—
Offering Proof Of Rehabilitation & Mitigating Factors ............................... 417!
What is “proof of mitigating factors?” ................................................... 417!
What is “proof of rehabilitation?” ........................................................... 418!
Do government-assisted housing programs have to consider
mitigating circumstances & evidence of rehabilitation?................... 418!
When could i show proof of mitigating circumstances and
rehabilitation to the PHA or owner of government-assisted
housing? ....................................................................................................... 419!
Specific Types of Evidence that Show proof of Mitigating
Circumstances & Rehabilitation to Strengthen Your Application to
Government-Assisted Housing ............................................................. 420!
What specific types of evidence will strengthen my housing
application to government-assisted housing? .................................. 420!
If I can show the Public Housing Authority (PHA) that I really need
the housing, will that help my application?......................................... 423!
IV.! ACCESS TO YOUR CRIMINAL RECORDS AS YOU APPLY FOR HOUSING .. 424!
An Overview of the Types of Criminal Records that Could Show Up as you
Apply For Housing .......................................................................................... 424!
What criminal records could show up as I apply for any type of
housing? ...................................................................................................... 424!
Does this Chapter cover what can and Cannot show up in my credit
report? ..........................................................................................................425!
Can a private landlord, Public Housing Authority (PHA), or owner of
government-assisted housing charge me a fee for running a
background check/ tenant report on me? ..........................................425!
Access to Your Criminal Records as You Apply for Private Housing ...... 426!
How Private Landlords Learn About Your Criminal Record ............. 426!
How do private landlords learn about my criminal record? ...........426!
Your Rights When a Private Landlord Runs a Criminal Background
Check........................................................................................................ 426!
What must a private landlord do if they want to get a background
check/tenant report on me? ...................................................................426!
What information cannot be included in a private background
check/tenant report in California? ......................................................... 427!
Do private background check companies have to make sure the
information they report to a landlord in a tenant report is true and
accurate? ..................................................................................................... 427!
Does a private landlord have to tell me that the criminal record
information that showed up in a private background check/tenant
report is the reason I am not getting the apartment? ...................... 427!
Your Rights When a Private Landlord Directly Asks You About Your
Criminal Record ...................................................................................... 428!
Can a private landlord ask me about convictions or arrests older
than 7 years? .............................................................................................. 428!
Your Rights to Confidentiality When a Private Landlord gathers
criminal record information on you ...................................................... 428!
Does the landlord have to protect and keep confidential my
criminal record and other personal information? .............................. 428!

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Access to Your Criminal Records As You Apply For Government-Assisted
Housing: ........................................................................................................... 429!
Your Rights When a Government-assisted Housing Provider Runs a
Criminal Background Check ................................................................. 429!
What criminal records can a Public Housing Authority (PHA) access,
and who gives the PHA my conviction records? .............................. 429!
Can a Public Housing Authority (PHA) require me to sign a release
to get my criminal history information? ............................................... 430!
If I am moving into government-assisted housing in a different city or
county, can my current Public Housing Authority (PHA) share my
criminal history records with the new PHA where I am applying? . 430!
Can a Public Housing Authority (PHA) access my drug treatment
records, and if so, under what circumstances?................................. 430!
What can I do if a Public Housing Authority (PHA) violates my rights
in accessing and using my drug treatment information? ................ 431!
What can owners of federal government-assisted housing see?
How do they get my criminal records? ................................................ 431!
Can a Public Housing Authority (PHA) or owner of governmentassisted housing get records of my arrests that didn't lead to
convictions?................................................................................................ 432!
Can a Public housing Authority (PHA) or owner of governmentassisted housing get my juvenile records? ........................................ 433!
Your Rights When a Government-assisted Housing Provider Runs a
Criminal Background Check—The Rules they must follow ................433!
What are tenant screening reports? .................................................... 433!
Who conducts tenant screening checks & provides tenant reports
to Public Housing Authorities (PHAs) & owners of governmentassisted housing? ..................................................................................... 433!
Do you have to pay for a screening report? If so, how much does a
report cost? ................................................................................................ 433!
What must a Public Housing Authority (PHA) or owner of
government-assisted housing provide me with if it orders a
background check/tenant report from a private background check
company?.................................................................................................... 434!
Do I have any rights if a Public Housing Authority (PHA) or owner of
government-assisted housing rejects my rental application because
of a background check/ tenant report? .............................................. 434!
What are my legal rights if a Public Housing Authority (PHA) or
owner of government-assisted housing illegally accesses or uses
my criminal record information? ........................................................... 435!
Errors in Your Background Check Report & How to Correct Them—An
overview ........................................................................................................... 436!
Could there be errors in the background check/ tenant report that a
housing provider runs on me? .............................................................. 436!
How can I correct errors in my background check/ tenant report? 436!
V.! JOINING FAMILY & FRIENDS IN HOUSING ................................................... 437!
Joining Family or Friends in Private Housing .............................................. 437!
Joining Family or Friends in Government-Assisted Housing .................... 438!
I have a criminal record and want to join a household living in
federal government-assisted housing. Can I? ................................... 438!
I want to join a household living in government-assisted housing.
can I? ............................................................................................................ 438!
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Does the family in that household have to report the addition to the
home? ........................................................................................................... 439!
I want to return back to my government-assisted housing unit after
a brief period of incarceration. can I do that? ................................... 439!
If I am joining a household, will the PHA or owner of the
government-assisted housing run a criminal background check on
me?................................................................................................................ 440!
If I am being incarcerated for a new offense, does my family have
to report that I moved out? ...................................................................... 441!
Guest Policies in Government-Assisted Housing: ............................... 441!
I have a record and want to temporarily visit or stay overnight as a
guest with my family in their government-assisted housing unit. Will
my visit in any way risk my family’s government assistance?......... 441!
I have a record and want to temporarily visit or stay overnight as a
guest with my family in their government-assisted housing unit.
What are some suggested steps I can take to avoid putting my
family or friend’s housing assistance at risk? ..................................... 442!
If I am planning to stay as a guest with family or friends until I am
added to their housing lease, what are some suggested steps I can
take to make sure we are following all the guest policies? ........... 443!
If a Public Housing Authority (PHA) or owner of governmentassisted housing denies my request to be added to my family or
friend’s lease, who can challenge the denial And how? ................. 444!
Live-in Aide Policies in Government-Assisted Housing..................... 444!
What is a “live-in aide?” ........................................................................... 444!
Can I be someone’s live-in aide in government-assisted housing if I
have criminal record? ............................................................................... 444!
Will the PHA or owner screen me for my criminal background if I am
someone’s live-in aide? ........................................................................... 444!
Will the PHA or owner screen me for my credit history if I am
someone’s live-in aide? ........................................................................... 445!
I was excluded from being someone’s live-in aide based on my
criminal record. What can I do? ............................................................. 445!
What makes a request for a reasonable accommodation
successful? .................................................................................................. 445!
I am a live-in aide in a government-assisted unit, but the person
who I was caring for has left the unit. Do I have a right to stay? .. 445!
VI.! CHALLENGING DENIALS FROM HOUSING .................................................. 446!
Challenging Denials to Private Housing: ..................................................... 446!
What are my main options for challenging a denial to private
housing? ...................................................................................................... 446!
How do I figure out which option to choose if I want to challenge a
denial from private housing? .................................................................. 447!
Challenging Denials to Government-Assisted Housing ............................. 447!
When would I challenge a denial from a Public Housing Authority
(PHA) or owner of government-assisted housing? ........................... 447!
If I was denied government-assisted housing, how will I know the
reason why? ................................................................................................ 448!
What is the timeline for challenging a denial to governmentassisted housing? ...................................................................................... 448!
Will I definitely get into government-assisted housing if I am
successful in challenging the initial denial? ....................................... 448!

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How can I figure out the specific procedures for challenging a
denial to government-assisted housing? ........................................... 449!
Review Hearings: The Way to Challenge a Denial to GovernmentAssisted Housing .................................................................................... 450!
What can I expect at the review hearing? And how can I prepare? . 450!
What can I expect from the review hearing? What is it like? .......... 451!
What rights do I have in a review hearing? ........................................ 452!
What can I do if I am unhappy with the written decision by the
review hearing? ......................................................................................... 453!
VII.! MAINTAINING MY HOUSING ......................................................................... 454!
General Tips for Renters ................................................................................ 454!
I am planning to rent an apartment (private or governmentassisted). What are some general tips for renters? ......................... 454!
What are some of my general rights as a renter in California?..... 455!
Evictions ........................................................................................................... 458!
What is an eviction? ................................................................................. 458!
I am facing an eviction. What are my options?.................................. 458!
I received a 3-day notice to do something from my lawdlord. Can I
be evicted because of this notice? ...................................................... 458!
What must a “3-day notice to pay rent or quit” say? ....................... 459!
What are my options if I get a “3-day notice to pay rent or quit”? 459!
What could happen if I do not pay my rent or do not move within
the 3 days? ................................................................................................. 459!
What could happen if my landlord takes me to court to evict me?.... 461!
What could happen if I ignore the summons and complaint and do
nothing?........................................................................................................ 461!
What could happen if I lose in court or after a judgment against
me? ............................................................................................................... 462!
How long does the eviction process take?........................................ 462!
I live in transitional housing, and the housing provider (or parole) IS
trying to evict me with very little notice & without going to court. Is
this legal & what are my options? ......................................................... 462!
VIII.!CONCLUSION ................................................................................................... 464!
HOUSING APPENDIX .............................................................................................. 465!

WHAT WILL I LEARN IN THE
HOUSING CHAPTER?
•
•
•
•
!

Your housing options in reentry
What kind of housing you are or are not eligible for because of
your criminal record
How to put your best foot forward in applying for housing
What you can do if you believe you were illegally denied housing

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I.

INTRODUCTION

This Chapter explains common housing issues and questions for people with
criminal records and the friends and family who live with them. This section will
give you information about:
1) Your housing options in reentry;
2) What kind of housing you can and cannot live in based on your criminal
record;
3) How to put your best foot forward in applying for housing; and
4) What you can do if you believe you were illegally denied housing.

KEY TERMS IN THE HOUSING CHAPTER
Public Housing Authority (PHA)—a government organization that assists with
the development and/or operation of housing for low-income individuals and
families. There is a PHA in most counties across California.
Private Owner/Landlord—is the owner of a house or apartment that is rented or
leased.
Owner of Government-Assisted Housing—is a private owner/landlord who
receives some form of government assistance to make housing more affordable
for certain categories of people.
Lease/Rental Agreement—is a legal document that explains the terms under
which you are renting your housing.
Background Checks (“Tenant Reports”)— is the process of looking up and
compiling criminal, commercial, and financial records of an individual.
Credit Report—is a detailed report of your credit history prepared by a credit
bureau and used by a lender or homeowner to determine your creditworthiness;
it includes your personal data (current and previous addresses, social security
number, employment history), detailed account information (current balances,
payment amounts, payment history), inquiries into your credit history, etc.
Eviction (“Unlawful Detainer”)—action by a landlord that forces you to leave the
premises through a legal process, as for non-payment of rent.

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II.

!

LOOKING FOR &
IDENTIFYING GOOD
HOUSING OPTIONS
WHAT WILL I LEARN?

•
•
•
•
•

•
•
•
•

Some short-term options for housing
Some long-term options for housing
The difference between privately run & government-assisted housing
Recommendations for finding government-assisted housing
Recommendations for finding housing for people with special needs,
such as women and children, domestic violence survivors, seniors,
veterans, people recovering from addiction, and 290 sex offender
registrants
Your rights—and how they are different—if you are applying to
privately run vs. government-assisted housing
Your rights if you want to move in with friends and family
How conditions of parole, probation, or other forms of supervision
can affect where you can live and who you can live with after release
How to challenge denials from housing—whether it’s private or
government-assisted—based on your criminal record

!

WHAT ARE THE FIRST STEPS I SHOULD TAKE IN MY HOUSING
SEARCH?
Here are the main types of housing you may consider after getting out of prison
or jail:
1)

Short-term housing (staying short-term with a family member or friend,
staying in transitional housing, staying in a shelter or other emergency
housing)
2) Long-term permanent housing (finding an apartment, moving in with family
or friends permanently)
3) Special needs housing (which could be short- or long-term)
4) Government-assisted housing
Below we walk through some steps to help you figure out your housing plans.
STEP 1:

SHORT-TERM HOUSING PLANS:

First, you should figure out what type of housing is right for you in the short
term, and where you will be allowed to live by probation or parole (or which ever
type of supervision you are on) when you first get out. See the PAROLE &
PROBATION CHAPTER, beginning on PG. 130 to learn about how your rules
(called “conditions”) of supervision affect where you can live after release. There
is more information about different types of short-term housing beginning on
PG. 381.
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STEP 2: GET YOUR ID.
Most housing programs will require proof of who you are, your age, and any
income you receive. (Go to the BUILDING BLOCKS OF REENTRY: ID & VOTING
CHAPTER, beginning on PG. 13, to learn how to get various forms of
identification documents.)
STEP 3: LONG-TERM HOUSING PLANS
Later on, you can figure out what type of housing is right for you permanently—
we call this “long-term housing.” You need to find housing that you can afford,
that you are eligible for (meaning you meet the requirements to be accepted),
and that meets your personal needs.
Long-term, permanent housing might mean living with family or friends; living in
an affordable apartment or housing unit run by a Public Housing Authority (PHA)
or a private landlord; or living in an assisted-living facility for people with special
needs (like seniors, veterans, women and children, people with disabilities, or
people escaping domestic violence, 290 sex offender registrants). There is more
information about different types of short-term housing beginning on PG. 381.
For more information For more information on housing for special needs, see
PG. 384.

HELPFUL TIPS
AS YOU LOOK FOR HOUSING
•

•

•
•

PAGE 378 OF 1210

KNOW YOUR RIGHTS as a person with a criminal record before you apply for
housing! Depending on who owns and runs the housing (private vs.
government-assisted—see PG. 393), you will have different rights in the process.
IT’S ALWAYS A GOOD IDEA TO FIND HELP, if you can. Find an attorney,
advocate, case manager, friend or family member, or probation/parole officer
who can help you find housing. It is very important to have support in this
process and throughout reentry. There is a list of helpful community resources
in the back of this guide on PG. 1201 if you want ideas about where to look for
help.
FINDING HOUSING IS TOUGH BUT NOT IMPOSSIBLE—be patient and keep
looking!
SOME OF YOUR OPTIONS. Depending on whether you are currently
incarcerated or already out, affordability, eligibility, and whether you are looking
for short-term or long-term housing, you will have different types of housing
options available to you. As you move further into your reentry, these options
are likely to change over time.

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!

CAN I FIND HOUSING WHILE I AM STILL INCARCERATED?
Yes, it is possible. First, you may want to think about (1) what you need in the
short-term vs. long-term; (2) how your parole or probation (or other
type of supervision) affects where you can live; and (3) whether you
want to look for private housing, government-assisted housing, or
both. To help with this process, read about your housing options,
starting on PG. 377.
There are additional considerations if you plan to move in with family
or friends. You will want to ask them to find out everything possible
about the guest policies where they live, and/or about adding
someone to their apartment lease. If the housing your family or friend
lives in receives any form of government assistance, they may also
need to contact their local Public Housing Authority (PHA) to let them
know they would like to add you to the household. A list of PHAs in
California and their contact information can be found here:
APPENDIX A, PG. 466 or online here:
http://www.hud.gov/offices/pih/pha/contacts/states/ca.cfm. Learn more
about moving in with family and friends beginning on PG. 437.
If you want to find transitional or emergency housing, generally you or
a family member, friend or advocate will have to directly write or call
the housing facility to ask about what the requirements are. For a list of
transitional housing programs that may accept you while you are still
incarcerated, see APPENDIX B, PG. 472.

STAY POSITIVE!
Finding housing can
be an exhausting
process, but don’t
give up. Reach out
for help. There are
resources listed
throughout this
chapter, and also a
list of legal services
providers on
PG. 1190.
Call us at Root &
Rebound (510-2794662) if you have an
emergency, and we
may be able to refer
you someone to
help.

WHAT ARE SOME STEPS I CAN TAKE IF I AM WORRIED ABOUT
BECOMING HOMELESS?
An important step to avoid becoming homeless is to begin planning and
identifying housing options while you’re still incarcerated (see question above
addressing this topic, PG. 379).
There are also agencies and nonprofits in the community working to help people
find permanent housing and avoid/get out of homelessness. Here are some
organizations that may be able to help:
•

•

•

•

The Public Housing Authority (PHA) in your area: PHAs sometimes give
preference to admitting homeless individuals into the Public Housing
program or “Section 8” Housing Choice Vouchers. Visit the U.S. Department
of Housing and Urban Development (HUD) website to find public housing
authorities in your area:
http://www.hud.gov/offices/pih/pha/contacts/index.cfm
Emergency shelters and assistance: HUD maintains a list of organizations
throughout the country that provide emergency shelter and assistance to
homeless individuals (visit the following website:
http://nhl.gov/homeless/hmlsagen.cfm) .
The National Coalition for Homeless Veterans has an online list of
organizations throughout the country that will assist homeless veterans on a
variety of issues including housing (visit the following website:
http://www.nchv.org/network.cfm).
The National Coalition for the Homeless has links to databases related to for
local service organizations, educating homeless children, transitional
housing, drug and alcohol rehabilitation centers, and day shelters (visit the
following website: http://www.nationalhomeless.org/resources/index.html).
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WILL MY PAROLE OR PROBATION OFFICER HELP ME FIND
SOMEWHERE TO LIVE?
It depends, but usually not. But it’s always worth asking your supervising officer
if they know of any housing resources!
IF YOU ARE ON CALIFORNIA STATE PAROLE:
There is very little help for housing. In some counties, some parole officers may
work with local boarding houses, hotels, or motels to find you a temporary place
1066
to stay.
Additionally, there could be funding from the California Department
of Corrections & Rehabilitation (CDCR) for you to stay a short amount of time in
transitional housing (most of those programs are run by the CDCR’s Division of
Rehabilitative Programs, which you can read more online at:
http://www.cdcr.ca.gov/rehabilitation/what-we-do.html).
You can also ask your correctional counselor (if you’re incarcerated) or your
parole officer (if you are living in the community) about what types of funding
exists for transitional housing while you are on state parole. If your parole officer
is unable to help you find short-term, transitional or emergency housing, you
may try going to an emergency shelter (see PG. 379.)
As a last resort, you may have to use your Gate Money (read more about Gate
Money in the PAROLE & PROBATION CHAPTER on PG. 151) to pay for a hotel or
motel, until you find a more permanent living situation.
IF YOU ARE ON CALIFORNIA COUNTY-LEVEL SUPERVISION LIKE PROBATION,
PRCS, OR MANDATORY SUPERVISION:
Ask your probation/supervising officer about what local programs are available.
Ask if they can make referrals to affordable housing agencies or nonprofits that
advocate for low-income people to find housing.
IF YOU ARE ON FEDERAL PROBATION, SUPERVISED RELEASE, OR FEDERAL
PAROLE:
Ask your federal Probation Officer for a list of affordable housing options in the
area. Federal probation officers will not normally release you from a transitional
(“halfway”) house unless you have a plan for permanent housing. Also, read
about some of your options for long-term housing on PG. 383 of this chapter.

WHAT ARE MY HOUSING OPTIONS AFTER RELEASE?
Again, there are many different housing options out there—transitional housing
programs, emergency shelters, special needs housing, assisted-living housing,
living with family or friends, private apartments and houses, and apartments and
houses that get government money to make them more affordable for their
residents. To make it easier to plan and prepare, we suggest thinking about your
housing options in two categories: (1) short-term housing and (2) long-term/
permanent housing. Also, consider whether government-assisted housing
makes sense in your situation.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1066

See CAL. DEP’T OF CORR. & REHAB., Parolee Information Handbook at 6.

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SHORT-TERM HOUSING OVERVIEW
When you are preparing for release or first get out of prison or jail,
most of your housing options will be focused on short-term and
transitional housing. Examples of short-term housing include:
staying with a family member; staying with a friend; staying in a
shelter (shelters usually offer a bed and shower for one or more
nights, and sometimes offer other free services); and living in a
transitional housing program.

STAYING WITH FAMILY OR FRIENDS:

WHAT IS
GOVERNMENTASSISTED HOUSING?
WHY WOULD I BE
INTERESTED IN IT?
See PG. 393 to learn
more about government
assisted housing and the
different rules that apply
for them.

Here are some pros and cons to consider if you want to move in with
family or friends.

PROS
• If you have friends or family in the •
area, staying short-term with them
can be an option for immediate
housing.
• Friends and family can be supportive•
and useful in helping you
successfully reenter the community.
• A few days or weeks on someone’s
couch or in their spare bedroom can
give you enough time to go to get
social services, start looking for jobs, •
and arrange for longer term housing.
• You will likely have greater
independence in your life.
• It will be free or at a lower cost
because you are splitting the rent.

CONS
If you are under supervision after your
release, your housing will need to be
approved by your probation/parole officer
or supervising agency.
Home visits by parole/probation officers,
search conditions, and other restrictions
don’t just affect you; they also affect your
host and other household members. (SEE
CHAPTER ON PAROLE & PROBATION,
PG. 165)
If you are a guest in someone’s home or
apartment, your stay could cause the family
living there to violate the property’s guest
policy if you stay beyond the time limit
allowed for guests and/or you violate some
other rule in the property’s guest policy
(see more on PG. 441).

SHELTERS:
Most shelters are free, and usually offer a bed and shower for one night or
multiple nights, and sometimes services such as counseling and job-search
assistance. While transitional and permanent housing options can take time to
arrange, you can usually access a shelter immediately. Here are some of the
main types of shelters that exist:
•

24-hour Shelters—24-hour shelters let you to stay at night and during the day
and participate in the services the shelter offers (for example: meals,
counseling, and job training, just to name a few). Don’t let the name mislead
you—a 24-hour shelter doesn’t necessarily mean you have to leave after 24
hours: in the Bay Area, for example, many 24-hour shelters have beds
available for up to 30-90 days; and other shelters reserve beds for people
who are participating in special programs, like a required work-program. The
key is that 24-hour shelters are open day and night. Ask the specific shelter
you’re interested in about any other requirements or restrictions it has.

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•
•

•
•

12-hour Shelters—12-hour shelters let you stay for a 12-hour period overnight
(usually 7:00 p.m. to 7:00 a.m.), but require you to leave in the morning.
Day Shelters let you come and take advantage of their services during the
day, but you can’t stay overnight. Services at day shelters may include
showers, meals, computer access, and optional programs like case
management/support services and counseling sessions.
Family Shelters have places to stay for you and the rest of your family. They
tend to be 24-hour shelters (see the first type of shelter listed above).
Domestic Violence Shelters take women (usually not men) who are trying to
find safety from someone who is abusive. They usually have confidential
addresses for the safety of the residents. Many domestic violence shelters
also allow women to bring their children with them.

TRANSITIONAL HOUSING PROGRAMS:
Transitional housing programs are temporary programs that offer housing and
services. Keep in mind they usually have requirements you have to meet before
you can move in, and there are usually waitlists.
Examples of transitional housing programs include: shared or private
apartments, residential programs that allow for temporary stays (from 3 months
to 2 years) at no cost or at a low cost, and sober living environments (SLE) (read
more about SLEs on PG. 391). Some transitional housing programs
also have services like job training, counseling, general education
HOW CAN I
development (“GED”) programs, and computer classes. Some
SHOW PROOF
transitional housing programs are for people with specific needs such
OF
as mental health support, addiction treatment and recovery (see
HOMELESSNESS
PG. 391), or safety from domestic violence (see PG. 386).

CAN I GET INTO A TRANSITIONAL HOUSING PROGRAM
IF I AM STILL INCARCERATED?
It depends on the program. Unfortunately, most transitional housing
programs will not let you fill out an application or get on the waitlist
before your release. A few let you apply from inside prison or jail, but
may have other requirements or restrictions. Go to APPENDIX B on
PG. 472 for a partial list of transitional housing options in California
that may accept residents who write to them from inside prison or jail.

WHAT MAY I NEED TO GET TO BE ACCEPTED INTO
TRANSITIONAL HOUSING?
It depends—each program has different requirements. You might
need: identification (learn how to get different types of identification
in the BUILDING BLOCKS OF REENTRY: ID & VOTING, beginning on
PG. 13); proof of homelessness; proof of any income; proof of your
sobriety; police clearance; to get through the waitlist; to have an
interview; etc. It’s best to CALL (or if you’re currently incarcerated, ask
a family member or friend to call, or WRITE the program a letter with
your request) to find out well in advance of when you want to move
exactly what you need to do and what the requirements are!

PAGE 382 OF 1210

For proof of
homelessness, most
housing providers
will just need a
signed statement. If
the housing
provider asks for
further
documentation, you
may need to show
eviction papers, a
letter from a social
worker, etc. Some
organizations will
also issue
certificates of
homelessness, for
example:
Coalition on
Homelessness
488 Turk Street
San Francisco, CA
94102
Phone: (415) 3463740
Certificates of
Homelessness are
issued Mondays
and Wednesdays
10 a.m.–12 p.m.

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SPECIAL NEEDS HOUSING—SHORT- OR LONG-TERM
There are also housing programs for people with specific needs such as sober
living environments that offer addiction treatment and recovery, safety from
domestic violence, assisted living for people with disabilities or mental health
needs, housing programs for women with children, veterans, and 290 sex
offender registrants. These are often transitional housing programs that are for a
short term only; others are intended to be long-term/permanent housing for
people with special needs. For more information on special needs housing, see
PG. 384.

LONG-TERM HOUSING OVERVIEW
Later in your reentry, often after your stay at a short-term or transitional housing
program is coming to a close, you will need to figure out what type of housing is
right for you permanently. As you consider long-term and permanent housing
options, you need to find housing that you can afford, that you are eligible for,
and that meets your needs.

PERMANENT HOUSING:
Permanent housing is a place that you can live in for multiple years. Examples of
permanent housing include: apartments and homes that get money/assistance
the federal government—though these often have long waitlists and require you
to have somewhere else to live first; single-room occupancy (SRO) units where
you usually have a private bedroom and bathroom, but a shared kitchen and
living space; affordable apartments; and living permanently with family, friends,
or other people who support you. For general tips for renters, see PG. 454 of this
chapter.

SPECIAL NEEDS HOUSING—SHORT- OR LONG-TERM
Again, as mentioned under short-term housing options, there are special
housing programs and units for people with specific needs such as addiction
treatment and recovery, safety from domestic violence, assisted living for people
with disabilities or mental health needs, housing programs for women with
children, veterans, and 290 sex offender registrants These are often transitional
housing programs that are for a short term only; but others are intended to be a
long-term, permanent housing solution for people with special needs. See
PG. 384 for more details.

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HOUSING FOR SPECIAL NEEDS &
POPULATIONS
This section provides a brief overview of housing resources for people in reentry
with special needs and who might qualify for special programs, including:
1)
2)
3)
4)
5)
6)

Women & Children (PG. 384)
Domestic Violence Survivors (PG. 386)
Seniors/ Elders (PG. 388)
Veterans (PG. 389)
People Recovering from Substance Abuse/ Addiction (PG. 391)
290 Sex Offender Registrants (PG. 392)

WOMEN & CHILDREN
There are some special housing programs available only for women and
their children. These programs may have other requirements (for
example, that you are currently on supervision, participating in a
substance abuse recovery program, etc.), and they may require a
referral from CDCR or another agency.
Since there aren’t many of these programs and they have limited in
space, you should contact the program and/or talk to your correctional
counselor as soon as possible about contacting the housing program,
finding out if you meet the eligibility requirements to participate, and
how to get added to the waitlist if there is one.
Below are a few programs in different areas of California for reentering
women and children. Please Note: This is not a complete list.
•

DID YOU KNOW?
70-80% of women
incarcerated in
California prisons
are mothers, and
the majority were
the primary
caretakers of their
children before
going to prison. See
Barbara Bloom, The
Impact of
California’s Parole
Policies on Women,
Testimony Before
the Little Hoover
Commission (April
22, 2004).

Centerforce MOMS Program at Santa Rita Jail (in Alameda County, CA):
http://www.centerforce.org/programs/moms-maximizing-opportunitiesfor-mothers-to-succeed/
PO Box 415
San Quentin, CA 94964
(415) 456-9980

The MOMS program is located inside Alameda County’s Santa Rita County Jail.
It includes an 8-week, in-custody parenting program AND a post-release case
management for up to one year, including services, alumni groups, and some
limited transitional housing.
The program supports mothers in Santa Rita Jail during and after their
incarceration. Mothers incarcerated in Santa Rita Jail who have not been
convicted of violent offenses or sex offense may participate in the MOMS
program.
•

CAMEO House (San Francisco, CA):
http://www.cjcj.org/Direct-services/Cameo-House.html
424 Guerro St.
San Francisco, CA 94110
(415) 703-0600

CAMEO House provides transitional housing in San Francisco for formerly
incarcerated mothers with children.

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In addition to housing, the program provides supportive services to address a
range of issues, including substance abuse, unemployment, mental health as
well as help with family reunification. CJCJ’s staff help residents obtain stable
housing and gainful employment within six months of their placement, although
residents may remain for up to two years.
The transitional housing unit includes access to communal living areas, fully
equipped kitchens, bathroom facilities, and an enclosed yard area. CJCJ staffs
the residence 24 hours a day, 7 days a week. CJCJ provides help to women with
substance abuse issues, women with histories of domestic violence, women who
have been clean for at least 6 months, women with children up to age 6, women
who are pregnant at least 6 months, women who have been previously
incarcerated in jail or prison, women who are homeless with some criminal
justice involvement, women on parole, women on probation, women referred by
Child Protective Services and women referred by the court.
•

Providence Place (San Diego, CA):
http://www.mhsinc.org/files/file/Program%20Brochures/
Providence%20Place%20Brochure_2012_web.pdf
4890 67th St.,
San Diego, CA 92115
(619) 667-5287

Providence Place is a residential substance abuse treatment program that
serves women on parole or community supervision and their dependent
children.
In addition to housing, Providence Place provides substance abuse treatment;
comprehensive case management and family reunification services; a parenting
center focused on child development, parenting skills and family therapy;
specialized support groups to address grief and loss, self esteem, trauma, and
other needs; and employment development services. The program is available
to women on active parole/post release community supervision and their minor
children (typically up to the age of 12). All participants receive referrals,
authorization and funding through CDCR.
•

Free At Last (East Palo Alto, CA):
http://www.freeatlast.org/services.html
1796 Bay Road
East Palo Alto, CA 94303
(650) 462-6999
Free At Last offers several housing options for women with children,
including:
!

!

The Residential Treatment Program for Women and Women with
Children provides 7–9 months of residential treatment for women
and women with children. To graduate, clients must complete
treatment goals, secure housing and have a job or be enrolled in
job training.
The Transitional Clean and Sober Living program provides shared
supportive housing for men, women, and women with children.

!

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DOMESTIC VIOLENCE SURVIVORS
If your conviction was related to the domestic violence that you
experienced, this is mitigating evidence that helps to explain your
criminal record. IF YOU FEEL SAFE DOING SO, you may want to
explain the violent situation you were in at the time of your criminal
conduct to a housing provider who is considering your criminal
1067
record, so that you are not penalized in your application.
Below are a few resources that may help you to find housing:

" DOMESTIC VIOLENCE SHELTERS & TRANSITIONAL
HOUSING:
There are more than 100 shelter-based domestic violence programs
throughout California. Many of these programs operate both:
1) Emergency shelters (typical stay = 30–60 days), AND
2) Transitional housing programs (typical stay = 6–18 months)
In addition to providing shelter to survivors, both these programs
often provide services such as 24-hour hotlines, legal assistance
with restraining orders and child-custody disputes, advocates who
can go to court appearances to support you, counseling for you and
your children, and referrals to other social services.

HELPFUL HINT:
STARTING IN A
SHELTER
BEFORE MOVING
INTO OTHER
HOUSING
Starting off in an
emergency shelter
may help you to find
transitional or
permanent housing
and/or access other
services afterward.
Although many
transitional housing
programs and social
service providers
will run background
checks and have
record-related
restrictions, if you
are living at a
domestic violence
shelter, the staff
may be able to write
a letter or provide a
referral to a
transitional housing
program, which can
help explain your
situation and get
around their
restrictions.

Most emergency and homeless shelters for survivors do not conduct
criminal background checks (although they are permitted to do so,
as long as they follow all of the background check rules on PG. 426).
In addition, most shelters are aware that survivors often face criminal
charges and/or arrest warrants in connection with the violence that
they’ve experienced. Many shelters have relationships with local law
enforcement, and are able to accommodate survivors who are under supervision
(like probation, parole, etc.).

!

HELPFUL HINTS & RESOURCES

You should keep in mind that each shelter is different, so the rules and
opportunities may not be the same everywhere. There may also be some
1068
variation from county to county.
To find a domestic violence shelter or transitional housing program in your area,
contact the National Domestic Violence Hotline at 1-800-799-SAFE (7233) or
call 211. You will have to contact each shelter or program separately to find out if
you met their specific criteria.
A list of resources by county in CA for people experiencing DV is also available
online at:
California Dept. of Public Health:
http://www.cdph.ca.gov/HealthInfo/injviosaf/Documents/_California.pdf
California Partnership to End Domestic Violence:
http://www.cpedv.org/Resources%20A%20K

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Nat’l Housing Law Project, Housing Access for Domestic Violence Survivors with Criminal Records, Sept. 7, 2011,
http://nhlp.org/files/DV%20and%20Criminal%20Records%20Materials.pdf.
1068
Helping Families Save Their Homes Act of 2009, Pub. L. No.: 111-22, tit. VII, § 1003.
1067

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" GOVERNMENT-ASSISTED HOUSING FOR DOMESTIC
VIOLENCE SURVIVORS
Read an overview of government-assisted housing and why it
could be right for you on PG. 393; read details about bans on
people with certain convictions and criminal histories on PG. 401.
First, the following federal government-assisted housing programs
do not have any mandatory criminal record restrictions, and may
be available to survivors of domestic violence.
•
•
•
•

Supportive Housing Program for the Homeless
Shelter Plus Care (for homeless people with disabilities)
Housing Opportunities for Persons with AIDS (HOPWA)
1069
Low-Income Housing Tax Credit (LIHTC)

Second, for other government-assisted housing programs that do
have restrictions based on criminal records, domestic violence
survivors are entitled to certain additional protections. The
Violence Against Women Act (VAWA) states that Public Housing
Authorities (PHAs) cannot deny or end your housing because of
the domestic violence that you experienced or because of a
criminal conviction that is directly related to the domestic violence
1070
you experienced.
This means if a PHA denies your housing
application based on conduct or a past conviction related to the
domestic violence you’ve experienced, you should immediately
challenge the denial and ask the PHA for an informal review
hearing. At that hearing, you can explain how the conduct or
1071
conviction is related to your experience of domestic violence.
Go to PG. 407 to learn about the procedure for challenging denials
to government-assisted housing.

WHO DOES THE
GOVERNMENT
CONSIDER TO BE
“HOMELESS”?
The federal
government’s
definition of
“homeless” includes
people who are
escaping situations
of domestic
violence and do not
have other housing
or resources
available. This
means that if you
are escaping
domestic violence,
you may be eligible
for a governmentassisted housing
program that is for
people who are
“homeless,”
including the
programs listed
here.

" CALWORKS:
If you are eligible for CalWORKS and you are homeless, you can apply to the
Homeless Assistance Program (HAP) through your local county social service
1072
agency.
Your family can receive temporary shelter in a hotel or motel for up to 16
consecutive days, financial help to move into permanent housing (such as last
month’s rent, security and utility deposits, etc.), and 2 months of back-owed rent
to prevent an eviction. Additional services such as counseling referrals are
available for domestic violence survivors. For more information on CalWORKS
eligibility, go to the PUBLIC BENEFITS CHAPTER, PG. 514.

" CA’S VICTIM COMPENSATION PROGRAM RELOCATION
ASSISTANCE:
The California Victim Compensation Program (VCP) can provide victims of
violent crime—including domestic violence survivors—up to $2,000 per

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Helping Families Save Their Homes Act of 2009, Pub. L. No. 111-22, tit. VII, § 1003.
Violence Against Women Act of 2013, 42 U.S.C. § 41411(b) (2013); 24 C.F.R §§ 982.553(e), 5.2005(c), 5.2001 et seq.
Under VAWA, a public or subsidized housing provider can only evict you based on the domestic violence you’ve
experienced if it proves that your tenancy creates an “actual and imminent threat” to other residents or staff.
VAWA’s protections apply to public housing, Section 8 vouchers and project-based assistance, Section 202, and
Section 811 housing.
1071
NHLP, Housing Access for Domestic Violence Survivors with Criminal Records.
1072
Homeless Assistance Program Fact Sheet, CNTY. OF LA DEP’T OF PUB. SOC. SERVS.,
http://www.ladpss.org/dpss/hcm/pdfs/factsheets/HA_Fact_Sheet.pdf.
1069
1070

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household for relocation expenses, such as first and last month’s rent, security
and utility deposits, temporary housing, moving vans, and emergency food and
1073
clothing.
Please note that the expenses must be considered necessary for your personal
safety or emotional wellbeing, as determined by a law enforcement officer or
licensed mental health provider. You will also need to provide verification (a
signed letter or other documentation) from a law enforcement agent or mental
health provider. You may also have to agree to other restrictions, such as not
telling the person who committed the violence about your new location, not
allowing him/her on the property, and seeking a restraining order against
him/her.
VERY IMPORTANT: The VCP also has certain restrictions on people
with criminal records. You may not be eligible if any of the
1074
following apply to you:
• You committed the crime;
• You knowingly and willingly participated in or were involved in
the events leading to the crime, though some exceptions may
be considered.
• You did not cooperate reasonably with law enforcement in
apprehending and convicting the person who committed the
crime, though some exceptions may be considered.
• ALSO: If you have been convicted of a felony, you cannot get
compensation until you have been released from custody,
discharged from probation or parole, and 3 years have passed
since the crime occurred. However, you may be able to get your
felony reduced to a misdemeanor, which could lessen these
restrictions. For more information, see the UNDERSTANDING &
CLEANING UP YOUR CRIMINAL RECORD CHAPTER, beginning
on PG. 1020.

SENIORS/ELDERS
Although there are very few housing programs created just for
senior citizens in reentry, you may be eligible for housing based on
you disability (see PG. 477), your low income (see PG. 393), or
qualify for different types of transitional housing (see PG. 382).
One program for seniors in reentry is the Senior Ex-Offender
Program (SEOP) at the Bayview-Hunters Point Senior Center in San
Francisco, CA. It currently provides temporary and transitional
housing and is developing a permanent housing facility for the
1075
future.
Other transitional housing programs for seniors—
particularly low-income housing, homelessness prevention, and
sober or residential treatment programs for seniors—may be more
likely to admit seniors with criminal records because the conviction
was long ago or you have physical or health needs that give you
priority for the housing (it may help to mention these factors if the
housing provider raises your record as an issue).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

A NOTE ABOUT
REQUESTING
REASONABLE
ACCOMMODATIONS
IF YOU HAVE A
DISABILITY:
If you have a mental,
physical, or
developmental
disability, and you
must follow parole,
probation, or
community
supervision conditions
that restrict where you
can live, you have the
right to receive
reasonable
accommodations for
your disability at your
residence. To learn
how to request an
accommodation for
your disability from
your supervision, go
to the PAROLE &
PROBATION
CHAPTER of this
guide, PG. 130. For
help, you may also
want to contact a
legal aid provider for
people with
disabilities, listed on
PG. 1190, or call Root
& Rebound (510-2794662) for a referral or
further assistance.

The California Victim Compensation Program, http://vcgcb.ca.gov/victims/
The California Victim Compensation Program, FAQ—Eligibility,
http://www.vcgcb.ca.gov/victims/faq/eligibility.aspx#Not. The exceptions (for participation or involvement in the
events leading to the crime, and cooperation with law enforcement) are especially important for survivors of
domestic violence, since many survivors may have criminal records related to the violence they’ve experienced, or
may be afraid to cooperate with law enforcement out of fear of further violence or to protect an abusive partner
from conviction, incarceration, deportation, etc.
1075
BAY VIEW HUNTER POINT MULTIPURPOSE SENIOR SERVICES INC., http://bhpmss.org/senior_ex-offender_program.
1073
1074

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VETERANS
The U.S. Department of Veteran Affairs (VA) offers a variety of housing programs
for veterans.
If you are currently incarcerated—whether in a state or federal facility—a “VA
Reentry Specialist” is supposed to arrange a meeting with you about your goals
to determine the resources available to best meet your needs after release.

What is VA Reentry Specialist and how can I contact one to help
me find housing?
Every region of the U.S. has a VA Reentry Specialist who can help
determine your eligibility for VA benefits, help you enroll in the VA, and
1076
connect you with local housing and services.
VA Reentry Specialists
have relationships with both state and federal correctional facilities to
1077
help incarcerated veterans plan and prepare for release.
If you already met with the VA Reentry Specialist and received
instructions for housing, you should continue with those arrangements.
If you are starting from scratch, the VA’s Health Care for Homeless
Veteran program can help you find housing in your area. You should
visit your local VA, if possible, or call the National Call Center for
Homeless Veterans hotline available 24/7 at 1-877-4-AID-VET (4243838). There you will find a VA counselor available to help you.

HELPFUL RE SOURCES
To learn more about preparing for release as a veteran, go to the VA website:
http://www.va.gov/HOMELESS/docs/Reentry/09_ca.pdf.
AFTER YOU ARE RELEASE, you can visit this website to find your local VA:
http://www.cacvso.org/county-contacts/.

" YOUR VA HOUSING OPTIONS INCLUDE THE FOLLOWING
PROGRAMS:
HEALTH CARE FOR HOMELESS VETERANS CONTRACTS (HCHV) –
The HCHV program provides emergency housing, shelters, and treatment to
veterans enrolled in VA Healthcare, through local community organizations and
service providers. These local community organizations and service providers
may offer outreach, exams, treatment, referrals, and case management to
1078
veterans who are homeless and dealing with mental health issues.
•
•

For information about the HCHV program, please visit:
http://www.va.gov/homeless/hchv.asp
For list of HCHV coordinators in California, please visit:
http://www.va.gov/HOMELESS/docs/HCHV_Sites_ByState.pdf

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

DEP’T OF VETERANS AFFAIRS, Guidebook for California Incarcerated at 2,
http://www.va.gov/HOMELESS/docs/Reentry/09_ca.pdf.
1077
See DEP’T OF VETERANS AFFAIRS, Guidebook for California Incarcerated, http://www.va.gov/HOMELESS/docs/
Reentry/09_ca.pdf.
1078
See Department of Veterans Affairs, Health Care for Homeless Veterans (HCHV) Program,
http://www.va.gov/vhapublications/ViewPublication.asp?pub_ID=3006.
1076

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SUPPORTIVE SERVICES FOR VETERAN FAMILIES GRANTS (SSVF) –
Local non-profit organizations receive funding from the VA to assist low-income
veterans (and their families) who are homeless or at risk of homelessness. SSVF
programs can help you transition to permanent housing, along with case
1079
management and assistance with getting other benefits and services.
For a list of current SSVF providers, please visit the following website:
http://www.va.gov/homeless/ssvf.asp

HELPFUL HINT
Connecting with legal services providers through an SSVF program:
Participating SSVF programs may provide or may contract with local legal aid
organizations to provide Veterans with legal services. (Veterans ineligible for VA
Enrollment may be eligible to receive SSVF assistance if available. Inquire at
your VA if this option is an option for you).

VA SUPPORTIVE HOUSING (HUD-VASH) PROGRAM –
HUD-VASH is a joint effort between HUD (US Department of Housing and Urban
Development) and VA to move veterans and their families out of homelessness
and into permanent housing. HUD provides Section 8 vouchers to eligible
veterans, and the VA offers eligible homeless veterans clinical and supportive
services through its health care system.
Veterans applying for Section 8 Housing Vouchers through the HUD-VASH
program are subject to most Section 8 Housing eligibility rules (for example,
1080
your income).

!

THERE IS AN IMPORTANT EXCEPTION TO CRIMINAL RECORD BANS IN
GOVERNMENT-ASSISTED HOUSING FOR VETERANS:
HUD-VASH applicants are not subject to most Section 8 regulations
regarding criminal and/or drug-related history. This means that Public
Housing Authorities (PHAs) cannot deny Section 8 housing to HUDVASH applicants based off the applicant’s prior drug activity or criminal
record (unless you or someone in your household is subject to a lifetime
sex offender registration—know as “290 registration” in California—in
which case the PHA can still deny you and your household from Section
8 housing programs).1081
MENTAL HEALTH RESIDENTIAL REHABILITATION AND TREATMENT (MH RRTP)
PROGRAMS—
MH RRTP provide residential rehabilitation and treatment services for veterans
with multiple and severe medical conditions, mental illness, addiction, or
1082
psychosocial deficits.
MH RRTP programs promote rehabilitation, recovery,

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Supportive Services for Veteran Families Program, U.S. DEP’T OF VETERANS AFFAIRS,
http://www.va.gov/homeless/ssvf.asp.
1080
For information about the HUD-VASH program, see Section 8 Housing Choice Vouchers: Implementation of the
HUD–VA Supportive Housing Program, 73 Fed. Reg. 25026 (May 6, 2008).
1081
DEP’T OF VETERANS AFFAIRS, Guidebook for California Incarcerated Veterans (4th ed. 2009).
1082
DEP’T OF VETERANS AFFAIRS, Guidebook for California Incarcerated Veterans (4th ed. 2009),
1079

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health maintenance, improved quality of life, and community integration, in
addition to treatment of medical conditions, mental illnesses, addictive
disorders, and homelessness. The residential program helps veterans to develop
1083
a lifestyle self-care, personal responsibility, and medical health.
•
•

For more information about MH RRTP and other residential VA programs,
please visit the following website: https://www.calvet.ca.gov/VetHomes
Please note: VA Housing providers are required to verify you are free of
Tuberculosis (Tb). If you have had a Tb test within the past year, you should
request a copy of the results before your release from incarceration. If you do
not have a recent Tb clearance, request the test so you can have this
document available.

SUBSTANCE ABUSE TREATMENT & RECOVERY
HOUSING (ALSO CALLED “SOBER LIVING
ENVIRONMENTS” OR SLE)
If you suffer from past addiction or alcoholism, you may be eligible for special
housing and/or funding programs that provide residential treatment for
substance abuse. These are also called “Sober Living Environments” (SLEs).
More information about funding and these residential facilities can be found on
CDCR’s website here: http://www.cdcr.ca.gov/rehabilitation/substance-abuseservices-coordination-agencies.html.
•

•

FUNDING: If you are on state parole, you may be eligible for temporary
funding through CDCR’s Substance Abuse Service Coordination Agencies
1084
(SASCA) funding or another source.
SASCA funding is generally limited to
6 months of assistance. Ask your state parole officer for more information.
SPECIAL HOUSING: There are transitional housing programs that focus on
substance abuse treatment and/or sober living conditions for people with
former addictions. They may also take SASCA funding. Be aware that many
of these programs are only available for short- or medium-term stays.

My conviction was for past drug or alcohol use. Is past addiction
considered a legally protected disability?
Yes. Past (BUT NOT CURRENT) drug addiction and alcoholism are
considered disabilities under state and federal law. This means you may
have the right to request reasonable accommodations for your
1085
disability.
Reasonable accommodations might include an extended
curfew so that you can attend treatment or AA/NA programs, permission
to take methadone if prescribed by your doctor, or access to special
rehabilitative services. Moreover, a landlord may not deny you housing
or discriminate against you based on your past addiction or alcoholism.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
http://www1.va.govHOMELESS/docs/Reentry/09_ca.pdf.
1083
DEP’T OF VETERANS AFFAIRS, Guidebook for California Incarcerated Veterans (4th ed. 2009),
http://www1.va.gov/HOMELESS/docs/Reentry/09_ca.pdf.
1084
OFFICE OF OFFENDERS SERVICES—COMMUNITY AND REENTRY SERVICES, FACT SHEET (Feb. 2014),
http://www.cdcr.ca.gov/rehabilitation/docs/Factsheets/OS-CRS-Factsheet-SASCA-Feb2014.pdf; SUBSTANCE ABUSE
SERVICES COORDINATION AGENCY (SASCA), CAL. DEP’T OF CORR. & REHAB.,
http://www.cdcr.ca.gov/rehabilitation/substance-abuse-services-coordination-agencies.html.
1085
Americans with Disabilities Act, 42 U.S.C. §§ 126; 12112(b)(5)(A); 29 C.F.R. §§ 1630.9, 1630.10, 1630.15(b), (c).
However, current illegal drug use is not considered a disability and does not provide any legal protection against
discrimination. A landlord may deny or terminate your housing based on current drug use, even if you are also
previously or currently addicted.

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For more information on housing protections for people with addictionbased disabilities, including what information a landlord CAN and
CANNOT ask or consider, the following guide may be helpful: Fair
Housing for People with Disabilities, by Mental Health Advocacy
Services, Inc., pages 18-20, available online at: http://www.mhasla.org/FH%20Manual%20rev.4-07.pdf.
For more information on asking for reasonable
accommodations—where you could ask a landlord to
make an exception to their policy banning former addicts
from housing (since past addiction is a protected
disability), go to Appendix D, PG. 477.

290 SEX OFFENDER REGISTRANTS &
RESIDENCY RESTRICTIONS
Recently, there have been some important changes in the law
governing residency restriction for 290 sex offender registrants.
Up until March 2015, as a result of Proposition 83 (“Jessica’s
Law”), there were strict residency restrictions on people who were
required to register as sex offenders under California Penal Code
Section 290. If this law applied to you, you could not reside within
2,000 feet of any school or park where children regularly
1086
gather.
In March 2015, the California Supreme Court declared that the
blanket residency restriction for all sex offenders required to
register under California Penal Code Section 290 is illegal. Now
CDCR can place special restrictions on registered sex offenders in
the form of discretionary (decided specifically for you) parole
conditions. These conditions can require more or less than
Jessica’s law, but they must be based on facts surrounding each
1087
individual parolee’s case.
The CDCR may also be able to
impose other residency restrictions as special conditions of parole
1088
in individual cases based on specific case factors.
There is more information about 290 registrants in the PAROLE &
PROBATION CHAPTER of this guide. Go to PG. 172 to learn more.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

IMPORTANT
DEFINITIONS TO
KNOW FOR
PEOPLE
CONVICTED OF
SEX OFFENSES:
“DISTANCE” is
measured by a
straight line between
the main entrance of
the residence and the
boundary of the
nearest park or
school, not the driving
or walking distance.
15 CAL. CODE REGS.
§ 3571(e)(4).
“RESIDENCE” is any
place where:
• You spend 1 day or
night at the same
address every week
for multiple
consecutive weeks;
• You spend 2 or
more days or nights
in a row living at the
same address;
• You have a key to
the address “and
there is a pattern of
residency”; or
• The parole agent
finds evidence of
your residency such
your clothes or
toiletries.
15 CAL. CODE REGS.
§ 3590(a).

CAL. PENAL CODE § 3003.5(b). This rule applied to any sex offender released on parole on or after November 8,
2006, even if the most recent term was for a non-sex offense or the parolee was initially released before November
8, 2006, and later re-released after a parole revocation. In re E.J., 47 Cal.4th 1258 (2010). However, the residency
restrictions could not be applied to people who were both convicted and released from custody prior to November
8, 2006. Doe v. Schwarzenegger, 476 F. Supp. 2d 1178 (E.D. Cal. 2007).
1087
In reTaylor, 60 Cal.4th 1019, 1042 (2015).
1088
For example, parolees convicted of violating Penal Code Sections 288 or 288.5 cannot live within one half-mile
(2,640 feet) of a K-12 school if they are deemed “high risk” by CDCR. CAL. PENAL CODE § 3003(g). Also, a sex
offender parolee cannot live in a single family house with another person who is also a sex offender, unless they are
related by blood, marriage, or adoption. CAL. PENAL CODE § 3003.5(a).
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PRIVATE VS. GOVERNMENT-ASSISTED
HOUSING: AN OVERVIEW
It is very important that you understand the difference between private and
government-assisted housing, because depending on what type of housing you
live in will affect your rights. There are very specific legal requirements for how a
government-assisted housing provider can access, look at, and consider your
criminal record, and different requirements for what a private landlord can acess,
look at, and consider.

!

IMPORTANT NOTE ABOUT THE TERMS USED IN THE HOUSING
CHAPTER: We use the term “government-assisted” housing throughout
this Chapter to refer to housing programs and owners of housing that
receive money from the federal government. We do not use “public
housing” to talk about any and all housing that gets government money
because there is actually a specific program run by the government
called the “Public Housing” program. So when we use the term “Public
Housing,” we are referring to the specific Public Housing program, NOT
all housing that receives government support.

HOW CAN I FIGURE OUT IF I AM APPLYING TO/LIVING IN PRIVATE OR
GOVERNMENT-ASSISTED HOUSING?
•

•

•

Did you apply for the housing through a PHA?
o If yes, the rules and criminal record exclusions that apply to federal
government-assisted housing apply to you.
Do you have a “Section 8” Housing Choice Voucher?
o If yes, the rules and criminal record exclusions that apply to federal
government-assisted housing apply to you.
Look up the property online at: http://www.hud.gov/apps/section8/index.cfm
o If you still don’t know, ask the OWNER of the property.

Sometimes it’s clear that you live in government-assisted housing because you
had to apply for the housing unit or program through a local Public Housing
Authority (PHA) or your landlord is the PHA itself. Other times, it’s unclear that
you live in government-assisted housing because the owner gets a special
benefit directly from the government, and you didn’t know it. The hints above
will help you figure out if you are living in government-assisted housing, but you
can also ask the owner (the landlord) of the property.

PRIVATE HOUSING
This is a large category of housing that is owned and run by private landlords
(NOT the government). Private housing could be an apartment, house, shelter,
month-to-month lease, or year-to-year lease. It could be owned by a single
owner or by a large property management company where you only interact
with the housing managers and not the owner(s) themselves. …VERSUS…

GOVERNMENT-ASSISTED HOUSING
If you are a low-income person or household and you are looking for affordable
rental housing in your area, you may want to apply for government-assisted
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housing. The federal government funds most government-assisted housing
programs. They have many rules about who can and can’t live there, including a
lot of rules about how a criminal record affects your ability to live there (read
about those rules and exclusions on PG. 397). Government-assisted housing is
designed for low-income people.
For some government-assisted housing programs, the government runs the
housing facilities and EVERYTHING about the housing application process. For
other federally assisted housing programs, the government works with private
companies or private owners/landlords who run their own facilities and have
their own separate application process from the government.
Government-assisted housing could be short-term, long-term, an apartment, a
house, a shelter, or a transitional housing program with services.

WHY WOULD I BE INTERESTED IN LIVING IN GOVERNMENTASSISTED HOUSING?
Government-assisted housing is a great option for many low-income people and
households. While they have many rules about who can and cannot live there, it
provides you with an opportunity to have affordable rental housing in your area.
See PG. 394 below for the resources that can help you find government-assisted
housing in your area.

HOW CAN I FIND GOVERNMENT-ASSISTED HOUSING?
Try the following resources to find government-assisted housing:
1)

YOUR LOCAL PUBLIC HOUSING AUTHORITY (PHA), which runs some of the
biggest government-assisted housing programs, including the Public
Housing program and the Housing Choice Voucher program (commonly
known as “Section 8” or the voucher program).
2) SEARCH ONLINE: To find your local PHA on the web, visit the U.S.
Department of Housing and Urban Development’s (HUD) website at:
http://www.hud.gov/offices/pih/pha/contacts/index.cfm. Once at the website,
select your state, then, look for your local PHA by the name of your city or
county.
3) SEARCH IN THE PHONE BOOK: If you don’t have a regular access to a
computer, look in your phone book in the government or business sections
for your local Public Housing Authority (PHA). Some areas have both city
and county PHAs; others just have a city PHA. In the government section of
the phone book, first look for the city, then look for “housing authority” or
“housing department” (for example, the San Francisco Housing Authority, or
the Oakland Housing Authority). Sometimes, the local PHA will be listed
under the city’s housing department.
4) OTHER GOVERNMENT-ASSISTED HOUSING, NOT THROUGH YOUR LOCAL
PUBLIC HOUSING AUTHORITY (PHA):
a. PRIVATE AND NONPROFIT LANDLORDS operate other forms of
government-assisted rental housing programs. The U.S. Department
of Housing and Urban Development (HUD) maintains a searchable
list of these programs online here:
http://www.hud.gov/apps/section8/index.cfm
b. LOW INCOME TAX CREDIT HOUSING is an affordable rental
housing developed through the Internal Revenue Services’ (IRS) Low
Income Housing Tax Credit program (LIHTC). Typically, this housing
does not serve extremely low-income households, but it is less
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c.

expensive than similar private housing in the community. LIHTC
housing is owned and operated by private owners and nonprofit
agencies and is monitored in each state by a state agency.
Frequently, but not always, that agency is the state housing finance
agency. Some of these agencies may have lists of persons and
organizations that operate LIHTC housing in your state. In CA, it’s
the California Tax Credit Allocation Committee that oversees LIHTC.
Read more about these types of property at:
http://www.treasurer.ca.gov/ctcac/tax.asp
RURAL HOUSING: The U.S. Department of Agriculture (USDA) also
funds government-assisted rental housing in rural areas throughout
the United States and maintains a website that allows you to search
for rural government-assisted rental housing here:
http://rdmfhrentals.sc.egov.usda.gov/RDMFHRentals/select_state.jsp

WHO IS MY LANDLORD IF I LIVE IN SOME TYPE OF
GOVERNMENT-ASSISTED HOUSING?
It depends. If you live in PUBLIC HOUSING, the local Public Housing Authority
(PHA)—run by your city or county—owns your entire building and is your
landlord. In rare cases, a private company may manage the building for the PHA
or may be part of the ownership, but the building is still controlled by the PHA.
PHAs operate in almost every city and county in California.
If you live in OTHER TYPES OF FEDERAL GOVERNMENT-ASSISTED HOUSING,
the PHA is not your landlord. This includes all of the other types of governmentassisted housing discussed on PG. 393 above. Even if you applied through the
PHA, it will not be your landlord. Instead, your landlord will be a private owner
who receives financial assistance from the federal government in exchange for
renting to low-income people, or a private owner that accepts vouchers from
low-income people who went through a PHA to get a reduction on their rent.
Owners of government-assisted housing could be individual landlords, for-profit
companies, or nonprofit organizations. You can get this type of governmentassisted housing through VOUCHERS, where you get the assistance from a PHA
and then have to find rental housing on the private market that will accept your
voucher. OR you can get this type of government-assisted housing through
“multifamily” properties where the owner gets the assistance and it stays with
the property to keep it affordable for low-income tenants.

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III.

APPLYING FOR &
GETTING INTO HOUSING
WHAT WILL I LEARN?

•
•
•
•
•

What it means to be eligible or ineligible for housing
How your record might ban you from private housing
How your record might ban you from government-assisted
housing
What types of bans are illegal and when
When a landlord is allowed to deny you housing but does not
have to

UNDERSTANDING HOUSING ELIGIBILITY
WHAT DOES IT MEAN TO BE “ELIGIBLE” FOR HOUSING?
To be eligible for housing means you meet specific criteria so that it is possible
for you to be accepted into that housing if you apply. On the other hand, being
ineligible for certain types of housing means there is something about you or
your situation that automatically disqualifies you and prevents you from being
accepted because of housing agency’s rules.

WHY IS IT IMPORTANT TO UNDERSTAND THE ELIGIBILITY RULES
OF DIFFERENT TYPES OF HOUSING?
Knowing the rules and policies that different types of housing have for who can
and cannot live there is important for you to understand whether or not you will
want to apply, and what your chances are of being accepted. If you are eligible,
that means you could be accepted into the housing; but if you are ineligible,
something about you or your situation automatically disqualifies you from being
accepted because of the rules of that housing agency or because of some law
that bans you from living there. Keep in mind: it’s possible for your situation to
change in a way that could also change your eligibility. Continue reading to learn
more.

WHAT ARE SOME OF THE REASONS I COULD BE ELIGIBLE OR
INELIGIBLE FOR A HOUSING PROGRAM?
You could be eligible or ineligible because of (1) your income, (2) your criminal
record, and/or (3) some other specific factor.
(1) INCOME: How much money you make will be an important factor for certain
types of housing. If you are low-income, it will help you in certain contexts. For
example, housing that is subsidized (paid for partially or fully) by the
government, you must be low-income—earning less than a certain amount of
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money per month—to be eligible. The income cutoff is different for different
programs (read more below). But for most private housing, you must be earning
more than a certain amount of money per month to be eligible. Landlords want
proof of your income being a certain amount so they know you are able to pay
rent.
(2) CRIMINAL RECORD: For almost all kinds of housing, specific kinds of criminal
convictions may disqualify you from applying, or at least make it harder for you
to get accepted as a tenant.
(3) OTHER SPECIFIC FACTORS: Some housing programs—especially those fully
or partially funded by the government—are designed for certain specific groups
of people. Your age, income level, disability status, veteran status, homeless
status, gender, and whether you have children are just some of the factors that
could make you eligible for certain specific housing programs.

HOW WILL MY CRIMINAL RECORD AFFECT MY ELIGIBILITY AND
APPLICATION TO DIFFERENT TYPES OF HOUSING?
Whether you are looking at short-term/transitional or long-term housing, the
impact of your criminal record on your application depends on whether that
housing is PRIVATE or GOVERNMENT-ASSISTED. In this Chapter, when we
talking about government-assisted housing, we are talking about housing that
gets money from the federal government to make it more affordable for lowincome people. The federal government has created many laws that control
government-assisted housing, including who is allowed to live there.
In this Chapter, we will explain how your CRIMINAL RECORD affects your
application to both private housing and government-assisted housing; whether
or not a Public Housing Authority (PHA) or owner can refuse to rent to you, what
you can do to strengthen your application, and how you can challenge a denial
that you believe is illegal.

!

HOW CAN I FIGURE OUT IF I AM APPLYING TO/LIVING IN PRIVATE OR
GOVERNMENT-ASSISTED HOUSING?
• Did you apply for the housing through a PHA?
• If yes, the rules and criminal record exclusions that apply to federal
government-assisted housing apply to you.
• Do you have a “Section 8” Housing Choice Voucher?
• If yes, the rules and criminal record exclusions that apply to federal
government-assisted housing apply to you.
• Look up the property online at:
http://www.hud.gov/apps/section8/index.cfm
• If you still don’t know, ask the OWNER of the property.
Sometimes it’s clear that you live in government-assisted housing because you
had to apply for the housing unit or program through a local Public Housing
Authority (PHA) or your landlord is the PHA itself. Other times, it’s unclear that
you live in government-assisted housing because the owner gets a special
benefit directly from the government, and you didn’t know it. The hints above
will help you figure out if you are living in government-assisted housing, but you
can also ask the owner (the landlord) of the property.

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CRIMINAL RECORD BANS TO BE AWARE OF
BEFORE YOU APPLY TO HOUSING
1. CRIMINAL RECORD BANS IN PRIVATE HOUSING
HOW CAN MY CRIMINAL RECORD AFFECT MY CHANCES OF
GETTING PRIVATE HOUSING?
Most private landlords will run a background check on you, and have a broad
discretion to deny you based on past criminal involvement. However, the
landlord cannot have a blanket ban on ALL people with criminal records and
must treat your criminal record the same as it treats other applicants’. Keep
reading this section to learn what landlords can and can’t do when getting and
considering your criminal history information.

CAN A PRIVATE LANDLORD REFUSE TO RENT TO ME JUST
BECAUSE OF MY CRIMINAL RECORD?
Most of the time, yes. Unfortunately, the law does not protect you from housing
discrimination based on your criminal record alone. Although federal and state
laws make it illegal for private landlords to discriminate against you because of
your race, color, national origin, ancestry, sex, gender, gender identity, gender
expression, sexual orientation, religion, disability, marital status, family status,
genetic information, and source of income in California, they do not provide any
1089
specific or direct protection based on having a criminal record.
Landlords
have the power to choose their tenants, and judges often side with landlords
who claim that banning people with criminal records is necessary to protect
1090
other residents and property.
However, there are some cases where you might be protected if a private
landlord rejects you because of your criminal record.
1)

Currently, the issue of whether private landlords who own buildings with 4
or more apartments can have a policy of refusing to rent to ALL PEOPLE with
criminal convictions (these are called “blanket bans”) is being argued in
courts. Read more about this on PG. 399.
2) Additionally, if your CONVICTION is for substance/drug abuse, your past
substance abuse is considered a disability under state and federal law.
People with disabilities enjoy greater protection against discrimination (read
more about asking for a reasonable accommodation for a disability in
Appendix D, PG. 477).
3) Finally, you are protected by state and federal law that limits what a private
landlord can learn about you from a BACKGROUND CHECK (often called a
“tenant report” when it’s for a landlord who is screening you for their
housing). A landlord has to tell you about the background check, give you a

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Fair Housing Act, 42 U.S.C. § 3601 et seq.; Fair Employment & Housing Act, CAL. GOV’T CODE § 12955 et
seq.; Unruh Civil Rights Act, CAL. CIV. CODE § 51. The Unruh Act is incorporated into FEHA for purposes of housing
discrimination (Gov’t Code § 12955(d)), but it is best to bring separate claims under each law because the remedies
are different.
1090
42 U.S.C. § 3604(f)(9) (Fair Housing Act does not protect “individual whose tenancy would constitute a direct
threat to the health or safety of other individuals or whose tenancy would result in substantial physical damage to
the property of others”); Evans v. UDR, Inc., 644 F. Supp. 2d 675 (E.D.N.C. 2009) (holding that the Fair Housing Act
(FHA) does not prohibit landlords from denying a disabled tenant’s rental application based on her criminal record;
relaxation of landlord's “no criminal history” policy was not required as a reasonable accommodation for mentally
disabled tenant, even where tenant’s disability was an underlying cause of her conviction).
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chance to fix mistakes, and certain information isn’t legally supposed to
come up in the background check (read more on PG. 426).
Continue reading for more information!

WHEN MIGHT I BE LEGALLY PROTECTED FROM A PRIVATE
LANDLORD DISCRIMINATING AGAINST ME DUE TO MY CRIMINAL
RECORD?
Below are some situations where you might be legally protected if a
private landlord is discriminating on the basis of your criminal record:

1)

WHAT IS A
“BLANKET BAN”
IN HOUSING?

Blanket Bans:

While there is no clear current law that the “blanket bans” when
private landlords refuse to rent to all people with criminal convictions
are unlawful, it is currently being challenged in courts because it
creates a larger impact on particular races and ethnicities. Thus, it
1091
may be a good idea to consult an attorney. There are multiple
arguments for why a blanket ban could violate the law. These are
covered in #2-4 below.
If you come across a blanket ban, you should contact an attorney.
See the list of legal aid providers on PG. 1190 of this guide.

Here, a “blanket
ban” means there is
a policy that
COMPLETELY bans
or disqualifies
someone—with no
exceptions for any
reason—from
housing.

2) Arbitrary Discrimination:
California state law also prohibits “arbitrary discrimination,” (meaning
unreasonable discrimination), so if a landlord has a blanket ban against anyone
with criminal records—without consideration of your individual situation and
ability to be a good tenant—it may be considered unreasonable, arbitrary
1092
discrimination, which is illegal.
If you come across a blanket ban, or discrimination that seems completely
arbitrary, you should contact a lawyer. See the list of legal aid providers on
PG. 1190 of this guide.

3) Unfair Treatment (also called “discriminatory treatment”):
Even though a private landlord is legally allowed to consider your criminal
record, the landlord must apply the same standards for screening applicants
equally. For example, a landlord can’t reject an African-American applicant
based on his/her criminal record, but then accept a white applicant with a similar
criminal record.
Another example is that if a private landlord conducts a background check on
you, the landlord must also conduct the same background check on all other
applicants.
If you come across a private landlord who you believe is treating your criminal
record differently from other similar applicants, this may violate your right to

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Fair Housing Act, 42 U.S.C. § 3601 et seq.; Fair Employment & Housing Act, CAL. GOV’T CODE § 12955 et
seq.; Unruh Civil Rights Act, CAL. CIV. CODE § 51; Fortune Soc’y, Inc. v. Sandcastle Towers Housing Devel. Fund
Corp., No. 1:14-cv-6410 (filed Oct. 30, 2014, E.D.N.Y.). The Unruh Act is incorporated into FEHA for purposes of
housing discrimination. CAL. GOV’T CODE § 12955(d), but it is best to bring separate claims under each law because
the remedies are different.
1092
Marina Point, Ltd. v. Wolfson, 30 Cal.3d 721 (1982) (holding that Unruh Civil Rights Act prohibits all “arbitrary”
discrimination, regardless of protected class status; landlord’s blanket exclusion of an entire class of people
(children) based on a generalized prediction that the class, “as a whole,” is more likely to commit misconduct than
some other classes of public” violates the Act.); see also Regional Human Rights/Fair Housing Commission, Fair
Housing Handbook, 18 (11th ed., 2012).
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equal treatment under federal and state law. You should contact a lawyer. See
the list of legal aid providers on PG. 1190 of this guide.

4) Unfair Impact (also called “disparate impact” or “discriminatory
effect”) & Blanket Bans:
There is a strong argument that banning tenants with criminal records from
private housing has a discriminatory effect on African-Americans, Latinos, and
other people of color, who are overrepresented in our criminal justice system.
However, this argument has not been fully tested in court, so it is too early to tell
whether it will be successful.
Lawyers in New York recently filed a lawsuit against a private landlord, arguing
that the company’s blanket ban on all tenants with criminal records violates
federal and state law due to its discriminatory effect on people of color, and that
the company should instead give special consideration to each applicant’s
1093
situation.
There is also a case that is currently being heard by the United
States Supreme Court that will decide if this discriminatory effect should be also
1094
prohibited.
In addition, California’s fair housing laws may give you slightly stronger
protection in this situation, because a blanket ban against all tenants with any
criminal records—regardless of the type of conviction, when it occurred, whether
it affects your ability to be a good tenant (like pay rent; respect your neighbors
and property; etc.), and evidence of your rehabilitation & mitigating
circumstances (see PG. 417 for details on evidence of rehabilitation and
mitigating circumstances)—has a discriminatory effect and may not be
1095
“necessary” to protect other tenants and property.

5) Past Drug or Alcohol Addiction (A Protected Disability)
It is illegal for a landlord to deny you housing based on a past drug or alcohol
addiction, as this is a protected disability status. Past addiction, as well as
1096
current alcoholism,
are considered disabilities under both federal and state
law, so landlords cannot deny you housing for this reason or even ask about
past drug or alcohol abuse. Landlords must also provide you with reasonable
1097
accommodations if necessary.
However, a landlord may deny you housing if you are currently using or selling
illegal drugs (this is the same rule that applies to current drug use in
government-assisted housing properties.
If a landlord denies you housing due to past drug or alcohol abuse, you should
request reasonable accommodations and/or challenge the denial. It is suggested
that you try and contact an attorney to help, since every individual’s
circumstances and case are different. See the list of legal aid providers on
PG. 1190 of this guide for places that may be able to assist you.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Fortune Soc’y, Inc. v. Sandcastle Towers Housing Devel. Fund Corp., No. 1:14-cv-6410 (filed Oct. 30, 2014,
E.D.N.Y.).
1094
Inclusive Cmtys. Project, Inc. v. Tex. Dep’t of Hous. and Cmty. Affairs, 747 F.3d 275 (5th Cir. 2014) (cert. granted).
1095
CAL. GOV’T CODE § 12955.8(b) (violation of FEHA for practices having discriminatory effect; business necessity as
defense); see also Cal. Apt. Assoc., Question & Answer Sheet: Criminal Background Checks at 3 (Jan. 2005),
http://www.hiresafe.com/CA_TENNANT_background_screening_law.pdf; Jayne Thompson, Can You Deny a Tenant
for a Criminal Record in California?, SFGATE.COM, http://homeguides.sfgate.com/can-deny-tenant-criminal-recordcalifornia-93578.html; cf. Regional Human Rights/Fair Housing Commission, Fair Housing Handbook at 18 (11th ed.,
2012).
1096
Americans with Disabiltities Act, Questions and Answers, U.S. DEP’T OF JUSTICE,
http://www.ada.gov/employmt.htm.
1097
Fair Housing Act, 42 U.S.C. 3604; see also Mental Health Advocacy Svcs., Inc., Fair Housing for People with
Disabilities at 18-20 (Feb. 2007).
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2. CRIMINAL RECORD BANS IN GOVERNMENTASSISTED HOUSING
HOW CAN MY CRIMINAL RECORD AFFECT MY CHANCES OF
GETTING ACCEPTED INTO GOVERNMENT-ASSISTED HOUSING?
When you apply to government-assisted housing through a Public Housing
Authority (PHA) (see definition on PG. 376), the PHA runs a criminal background
check on:
• You;
• Everyone currently living with you;
• Everyone 16 or older who might live with you;
• Any biological parent of any children who will be living in the household,
even parents who do not plan to live with you and are not part of the
application to the PHA.
The rules governing who may be denied are very broad. The PHA tries to
exclude people it believes will “risk the health and safety of other tenants.” On
the other hand, the PHA may choose to overlook your criminal convictions and
accept your application, especially if they see evidence that you have changed
1098
since the time of your conviction.

!

IMPORTANT! There are a lot of rules about who can and cannot live in
government-assisted housing. Every program has its own set of rules
that you should be aware of BEFORE you apply. You want to know what
laws or program policies might prevent you from living there because of
a criminal conviction or other criminal history information, even if your
family already lives there. Some bans are required by law, while others
are allowed, but not required. These types of bans are up to the
discretion and policies of the PHA and/or the owner of the governmentassisted housing. You should look at the policies BEFORE YOU APPLY.

CAN A PUBLIC HOUSING AUTHORITY (PHA) REFUSE TO RENT TO
ME JUST BECAUSE OF MY CRIMINAL RECORD?
Yes, it’s possible. Rules for government-assisted housing can be VERY STRICT.
Your local Public Housing Authority (PHA), which runs a lot of the governmentassisted housing programs like Section 8 Housing Choice Vouchers and the
Public Housing program, and works with private owners that accept government
assistance to keep their buildings more affordable, may reject you and your
household because of certain criminal convictions.
There are two reasons that a PHA or owner of government-assisted housing will
reject you—the first is when it’s legally required (meaning the PHA and/or the
owner of government-assisted housing don’t have a choice and must deny you),
and the second is when it’s allowed but not required (meaning the PHA and/or
the owner of government-assisted housing has a choice to deny you, but doesn’t
have to). It is important for you to understand both situations, and your options
to challenge the bans that are allowed, but not required, or spot situations
where a PHA or owner of government-assisted housing tells you that the ban is
legally required, but there is a legal loophold. Keep reading to learn more.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Know Your Rights: Housing and Arrests or Criminal Convictions, THE BRONX DEFENDERS (Oct. 2, 2010),
http://www.bronxdefenders.org/housing-and-arrests-or-criminal-convictions/.
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OVERVIEW
REQUIRED VS. ALLOWED BANS IN
GOVERNMENT-ASSISTED HOUSING
(1) BANS THAT ARE REQUIRED: Sometimes, a government-assisted housing
provider MUST deny certain applicants because they have a specific type of
conviction on their record. Because the law says that the rejection is required
(“mandatory”), PHAs and owners of government-assisted housing do not have a
choice in the matter. They must deny you if you have one of the convictions
listed in the law. For all conviction-based bans that are legally required, see the
chart PG. 403, and the questions on PG. 406.
(2) BANS THAT ARE ALLOWED, BUT NOT REQUIRED (“CATCH-ALL” BANS):
!
More
commonly, you will likely fall into a “catch-all” ban on people with any
criminal activity (which includes both arrests and convictions, even if they have
been dismissed) that threaten the health, safety, or right of peaceful enjoyment
to the government-assisted property by the other residents, the property owner,
or the PHA’s staff or agents/contractors. This includes drug-related criminal
activity and violent criminal activity (again, both arrests and convictions, even if
dismissed, can be considered). Here, the law doesn’t require that you get denied
from the housing program, but it allows PHAs and owners of governmentassisted housing to deny you on this basis.
•
•

See the chart summarizing these bans on PG. 403, and the questions on
PG. 406.
See Appendix D, PG. 477, for an even more detailed chart explaining which
specific criminal convictions make denial mandatory (required by law) and
which make denial permissive (allowed, but not required by law), including
1099
citations to the specific laws.

WHERE DO I FIND A PHA’S RULES & POLICIES ABOUT CRIMINAL
RECORDS?
The rules for criminal records are different for every government-assisted
housing program and are determined locally. Even an owner of governmentassisted housing CAN HAVE DIFFERENT RULES than the Public Housing
Authority (PHA) that oversees the government-assisted housing programs. You
should be able to find these rules FOR YOUR PROGRAM. You can look in the
following places:
• The PHA’s Annual Plan
• The PHA’s Admission and Occupancy Plan (ACOP)
• The lease for public housing
• The Administrative Plan for the Section 8 Voucher program
1100
• The lease and/or house rules for all other government-assisted programs
• The PHA’s website for these plans
• By Asking PHA and/or owner for a copy as well.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

An Affordable Home on Re-entry: Federally Assisted Housing and Previously Incarcerated Individuals, NHLP
(2008).
1100
This includes HUD-assisted housing, Rural Development (RD) project-based programs, and Low Income Housing
Tax Credit (LIHTC) properties.
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CHART SUMMARIZING CRIMINAL RECORD BANS IN
GOVERNMENT-ASSISTED HOUSING
BELOW IS A CHART THAT SUMMARIZED THE CRIMINAL RECORD-RELATED BANS IN GOVERNMENT-ASSISTED
HOUSING. The chart includes information on how long the ban lasts; whther they are required or simply allowed
to reject you (refer back to overview on PG. 402 and detailed information on PG. 406); who it will affect in the
household; and how you can challenge mistakes or denials that abuse discretion.

SUMMARY OF REQUIRED VS. ALLOWED CRIMINAL RECORD BANS
IN GOVERNMENT-ASSISTED HOUSING
TYPE OF
BAN

CONVICTION
OFFENSE

LENGTH OF
BAN

(Required
vs. Allowed)

WHICH
GOVERNMENTASSISTED
HOUSING
PROGRAMS THIS
BAN APPLIES TO

WHO IT WILL
AFFECT

HOW TO
CHALLENGE
THE BAN
(if it’s
appropriate –
get legal advice)

REQUIRED
(“mandatory”)

Methamphetamine
Production on
Federally-Assisted
Property

BANNED FOR
LIFE

Federal
governmentassisted housing
programs run by
PHAs (public
housing, voucher
program, Section 8
moderate
rehabilitation
program)

Anyone living
in the
governmentassisted
household

If it’s a mistake,
bring it to the
PHA/owner’s
attention and
explain why the
information is
wrong.
If it’s not a mistake,
ask for a review
hearing and
contact a housing
attorney for help
ASAP.*
Show mitigating
circumstances &
rehabilitation.

REQUIRED
(“mandatory”)

Sex Offense
Convictions requiring
LIFETIME Registration

BANNED FOR
LIFE

Most federal
governmentassisted housing
programs (doesn’t
apply to LIHTC and
RD)

Anyone living
in the
governmentassisted
household

If you’re not
required to
register, tell the
PHA/owner and
explain that their
information is
wrong.
If you are required
to register: Ask for
a review hearing
and contact a
housing attorney
for help ASAP.*
Show:
1. You’re not
required to register
for life, just a
limited period of
time, so ban does
not apply.
2. Ban does not
apply to LIHTC or
RD housing.

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!

REQUIRED
(“mandatory”)

Past eviction from
federally-assisted
property due to drugrelated criminal
activity

BANNED FOR 3
OR MORE YEARS
(from date of
eviction) unless
person engaged
in drug-related
criminal activity
successfully
completes a
supervised drug
rehabilitation
program OR
circumstances
leading to the
eviction no longer
exist.

Federal
governmentassisted housing
programs run by
PHAs (public
housing, voucher
program, Section 8
moderate
rehabilitation
program)

Anyone living
in the
governmentassisted
household
(unless person
who was
engaged in
drug-related
activity
completes a
supervised
drug
rehabilitation
program)

If it’s a mistake,
bring it to the
PHA/owner’s
attention and
explain why the
information is
wrong.
If it’s not a mistake,
ask for a review
hearing and
contact a housing
attorney for help
ASAP.*
1. If the ban is more
than 3 years, show
it is unreasonably
long b/c of
mitigating
circumstances &
rehabilitation.
2. Ban does not
apply to LIHTC or
RD housing. Show
mitigating
circumstances &
rehabilitation.

REQUIRED
(“mandatory”)

Current illegal drug
use

While it’s current
* BUT if the
person stops
using drugs, the
PHA/owner could
still reject you for
a reasonable time
after the illegal
drug use—see
permissive bans
below.

ALL federal
governmentassisted housing

Anyone living
in the
governmentassisted
household

If it’s a mistake,
bring it to the
PHA/owner’s
attention and
explain why the
information is
wrong.
If it’s not a mistake,
ask for a review
hearing and
contact a housing
attorney for help
ASAP.*
If person illegally
using drugs is
kicked
out/incarcerated/
getting treatment,
show mitigating
circumstances &
rehabilitation.

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ALLOWED,
BUT NOT
REQUIRED
(“permissive”)

Criminal activity that
would harm the
health, safety, or right
of peaceful enjoyment
to the governmentassisted property by
other residents, the
property owner, or
PHA staff or
agents/contractors.
This applies to both:
Convictions AND
Arrests that did not
result in a conviction

The criminal
activity must be
“reasonably
recent”

ALL federal
governmentassisted housing

If it’s a mistake,
bring it to the
PHA/owner’s
attention and
explain why the
information is
wrong.
If it’s not a mistake,
ask for a review
hearing and
contact a housing
attorney for help
ASAP.* Show:
1. Significant time
has passed (not
reasonably recent).
2. Does not pose a
risk to other
residents; doesn’t
fall within the ban.

ALLOWED,
BUT NOT
REQUIRED
(“permissive”)

Other drug-related
criminal activity

The criminal
activity must be
“reasonably
recent”

ALL federal
governmentassisted housing

If it’s a mistake,
bring it to the
PHA/owner’s
attention and
explain why the
information is
wrong.
If it’s not a mistake,
ask for a review
hearing and
contact a housing
attorney for help
ASAP.* Show:
1. Significant time
has passed (not
reasonably recent).
If the past drug
crime is related to
a past addiction, it
may qualify for a
disability and you
should ask for a
reasonable
accommodation
(see Appendix D,
PG. 477.

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ALLOWED,
BUT NOT
REQUIRED
(“permissive”)

Violent criminal
activity

The criminal
activity must be
“reasonably
recent”

ALL federal
governmentassisted housing

If it’s a mistake,
bring it to the
PHA/owner’s
attention and
explain why the
information is
wrong.
If it’s not a mistake,
ask for a review
hearing and
contact a housing
attorney for help
ASAP.* Show:
1. Significant time
has passed (not
reasonably recent).
2. Mitigating
circumstances &
rehabilitation.

WARNING: READ CAREFULLY
In the chart above, we summarize 4 situations where a Public Housing Authority (PHA)
and the owners of federal government-assisted housing MUST reject you under law
based on particular types of convictions.
PLEASE NOTE:
• These required (“mandatory”) bans apply only to SOME types of federal
government-assisted housing, but not ALL types. There are government-assisted
housing programs where these bans do not apply.
• Also, some of these required bans will last for the rest of your life, but others are
only temporary bans.
• Refer back to PG. 402 for an overview of required vs. allowed bans.
SO READ CAREFULLY! Don’t assume the ban applies to you. Try to match your exact
situation and conviction/criminal record with this chart to see how your criminal record
will impact your ability to get into federal government-assisted housing.

DETAILED QUESTIONS & ANSWERS ABOUT CRIMINAL
RECORD BANS IN GOVERNMENT-ASSISTED HOUSING
Here we explain the information from the chart above in a question &
answer format in much more detail. You will learn about the specifics of
each of these criminal record bans in government-assisted housing. Later
we explain how to challenge denials due to your criminal record,
beginning on PG. 446.

WHAT BANS ARE REQUIRED IN GOVERNMENT-ASSISTED
HOUSING—FOR SPECIFIC TYPES OF CONVICTIONS AND
SPECIFIC HOUSING PROGRAMS?
Here we explain the four bans that are required (“mandatory”) for SOME
types of federal government-assisted housing programs, but not ALL.
There might be government-assisted programs where these bans DO
NOT APPLY. So please read carefully!
PAGE 406 OF 1210

DO YOU NEED
LEGAL HELP?
If you have legal
questions, we
suggest calling a
housing legal aid
provider from the
list of legal aid
providers on
PG. 1190, or
contact Root &
Rebound at 510279-4662 for
further guidance
or a referral.

ROADMAP TO REENTRY

" BAN 1: Methamphetamine production on federal
government-assisted property # Lifetime ban from 3 federal
government-assisted housing programs
Under federal law, PHAs and owners of government-assisted housing MUST
PERMANENTLY DENY admission to an entire household to three of the federal
government-assisted housing programs—(1) Public Housing, (2) the “Section 8”
Housing Choice Voucher program, and (3) the Section 8 Moderate
Rehabilitation program—if ANY MEMBER of the household has ever been
convicted for the manufacture or production of methamphetamine ON THE
1101
PREMISES of any type of federal government-assisted housing. Because this
rule is so specific, the lifetime ban applies to only a very small number of
housing applicants.
Let’s break it down further. As you apply to a PHA for government-assisted
housing, this lifetime ban only applies to you if someone in your household was:
1) Convicted (meaning found guilty in a court of law),
2) Of the manufacture or production of Methamphetamine, AND
3) The criminal activity took place on the premises (on the property) of any type
of federal government-assisted housing.
4) Lastly, if you are applying to a government-assisted housing program that
isn’t one of the 3 programs that PHAs run (again, those are Public Housing,
the “Section 8” Housing Choice Voucher program, and the Section 8
Moderate Rehabilitation program), then this mandatory lifetime ban does
1102
NOT apply to you or your household. Instead, you should look at the
catch-all ban on PG. 401 that is allowed, but not required.
I was denied by the PHA or the owner of government-assisted housing, but based on
the information in this legal guide, I think it was a mistake or the required ban doesn’t
apply to me. How do I challenge the denial?
If another assisted housing program—not one of the three listed above—tries to impose a
lifetime ban on you due to your conviction for the manufacture of production of
methamphetamine on the premises of federal government-assisted property, you can
challenge the lifetime ban and present mitigating information (meaning facts that are specific
to your case and circumstances showing you should not be denied the housing—see PG. 399).
•
Go to PG. 450 to learn how to challenge a denial by asking the PHA for an informal review
hearing.
•
Go to PG. 417 to learn about what kinds of mitigating information you should include with
! your application, and as proof of mitigating circumstances & rehabilitation with any
challenges you bring.
•
If there was a mistake in the information the PHA or owner of the government-assisted
property relied upon, you should immediately bring it to their attention.
Mistakes could include:
• Errors in your criminal records (see UNDERSTANDING & CLEANING UP YOUR CRIMINAL
RECORD CHAPTER, beginning on PG. 1020)
• Even though you were on the premises of the federal government-assisted housing, you
did not actually manufacture the drugs, but you were automatically denied housing
anyway; OR

•

Even though you were involved in the manufacturing of the methamphetamines, you were
a victim of domestic violence that led to your involvement, and you shouldn’t be punished
by the PHA.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

42 U.S.C. § 1437n(f)(1); 24 C.F.R. §§ 882.518(a)(1)(ii) (Section 8 moderate rehabilitation), 960.204(a)(3) (public
housing), 982.553(a)(1)(ii)(c) (Section 8 voucher).
1102
When applying for admission. If an owner, who is not required by statute to impose a lifetime ban, seeks to
impose one, an applicant may object to the policy as contrary to congressional intent as it goes beyond the
statutory limits. C.F.R. § 3560.154(j). If an owner rejects such an applicant, the applicant should challenge the lifetime
ban and present information regarding mitigating circumstances or rehabilitation. Mitigating circumstances might
include the fact that the applicant was on the premises but did not manufacture the drugs, or was involved in the
manufacturing but was a victim of domestic violence. It may also include the fact that there has been a significant
lapse of time between the offense and the application for admission with no other intervening criminal activity.
1101

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" BAN 2: Sex offense convictions requiring lifetime registration
! Lifetime ban for almost all federal government-assisted
housing programs
Under federal law, PHAs and owners of government-assisted housing MUST
PERMANENTLY DENY admission to an entire household—to almost all federal
government-assisted housing programs—if ANY MEMBER of the applicant
household is required to be lifetime registered under any state’s sex offender
1103
registration program.
THIS REQUIRED BAN DOES NOT APPLY TO YOU if you are required to register
as a sex offender for a temporary or limited amount of time. Again, the ban only
applies if you are required to register as a sex offender in any state for the rest
of your life. Unfortunately, PHAs and owners of government-assisted property
will often mistakenly apply the ban to anyone registered as a sex offender.
EXCEPTION FOR CERTAIN TYPES OF GOVERNMENT-ASSISTED HOUSING
PROGRAMS (NO REQUIRED BAN): The other exception is that owners of two
government-assisted housing programs—Low-Income Housing Tax Credit
(LIHTC) properties and Rural Development (RD) housing—are NOT REQUIRED to
1104
deny admission to a lifetime registered sex offender; they have discretion.
I was denied by the PHA or the owner of government-assisted housing because I am a
registered sex offender, but based on the information in this legal guide, I think it was a
mistake or the required ban doesn’t apply to me. How do I challenge the denial?
Some PHAs or owners misinterpret the rules that apply to sex offender registrants, and
some apply their own criteria—which in the real world means that the PHA or owner will
end up automatically banning a person who shouldn’t be automatically banned (an
example of this would be if a PHA had a policy that permanently bans all people required
to register on a state’s Sex Offender Registry list, even people who don’t have to register
for their entire lifetime). If this is your situation, you can challenge the denial by asking the
PHA for an informal review hearing (see PG. 450).

!

Only if you meet the legal definition of a lifetime registered sex offender can you
be permanently denied federal government-assisted housing without any other
consideration of your individual circumstances. Thus, if you do not have a
lifetime sex offender registration requirement, the PHA should analyze the time,
nature and circumstances of the offense, as appropriate for any other criminal
1105
activity (see PG. 392). As an applicant, you should also be allowed to show
mitigating information and/or proof of your rehabilitation (see PG. 417 for
explanations of what counts as mitigating information and proof of
rehabilitation). For example, if you do not have to register as a sex offender for
the rest of your lifetime, you should be able to establish that the criminal
conduct was not violent, did not involve children, happened a long time ago, and
1106
that there have been no problems since the conviction.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

42 U.S.C. § 13663(a); 24 C.F.R. §§ 5.100 (definition of federally assisted housing), 5.856 (federally assisted housing
in general), 882.518(a)(2) (Section 8 moderate rehabilitation), 960.204(a)(4) (public housing), 982.553(a)(2)(I) (voucher)
(2007); Screening and Eviction for Drug Abuse and Other Criminal Activity–Final Rule, H 2002-22 (Oct. 29, 2002),
¶ VI.
1104
See 7 C.F.R. § 3560.154(j) (2007) (RD housing). There are no regulations for LIHTC properties requiring the denial
of admission of a registered sex offender.
1105
One could argue that the federal statute barring lifetime registered sex offenders preempts an expansion of that
bar to other sex offenders. There are three general types of situations in which preemption may be established.
One of the situations is that preemption may be in inferred where the scheme of the federal legislation is so
comprehensive that it creates the inference that Congress “left no room” for local regulation in that area. Cal. Fed.
Sav. & Loan Ass’n v. Guerra, 479 U.S. 272, 281 (1987). Applying that standard, the area in question is eligibility for
federally assisted housing and Congress has fully defined eligibility for federally assisted housing. Imposing an
absolute lifetime bar when none is required is determining eligibility in an area that Congress has not left any room
for local regulation. Success on such a claim may be complicated as the party seeking preemption has the burden
of proof and the presumption is against preemption. Cipollone v. Ligget Group, 505 U.S. 504, 518 (1992).
1106
Corinne A. Carey, No Second Chance: People with Criminal Records Denied Access to Public Housing, 36 U.
TOL. REV. 545, 579 (2005) (article also lists reasons why an individual might be on a lifetime registration list, including
consensual relationship with partners who are a few years younger, indecent exposure or lewd displays often related
to substance abuse, mental health diagnosis, homelessness, and women who are convicted of conspiracy to commit
1103

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•
•

•

!

Go to PG. 450 to learn how to challenge a denial by asking the PHA for a
review hearing.
Go to PG. 417 to learn about what kinds of mitigating information and proof of
rehabilitation you should include with your application, and/or with any
challenges you bring.
If there was a MISTAKE in the information the PHA or owner of the
government-assisted hsousing relied upon, you should immediately bring it
to their attention. Mistakes could include errors in your criminal records (see
the UNDERSTANDING & CLEANING UP YOUR CRIMINAL RECORD
CHAPTER, beginning on PG. 1020, which discusses how to fix errors in your
record).

IMPORTANT: There are other restrictions on where people who must

register as sex offenders can live under California state law. It is VERY
IMPORTANT to check your state and local laws regarding these
requirements to know if they apply to you, and how it will affect where
you can live. See PG. 392 of this HOUSING CHAPTER and PG. 172 of the
PAROLE & PROBATION CHAPTER to understand additional restrictions
on where 290 registrants can live in California.

" BAN 3: PAST EVICTION FOR DRUG-RELATED ACTIVITY ON
FEDERAL GOVERNMENT-ASSISTED PROPERTY # MINIMUM
3-YEAR BAN FOR THREE FEDERAL GOVERNMENT-ASSISTED
HOUSING PROGRAMS
Under federal law, PHAs and owners of government-assisted housing MUST
DENY admission to an entire household to three of the government-assisted
housing programs—(1) Public Housing, (2) the “Section 8” Housing Choice
Voucher program, and (3) the Section 8 Moderate Rehabilitation program—if
ANY MEMBER of the household has ever been EVICTED from any federal
government-assisted housing program or property because of drug-related
1107
criminal activity. This ban must last for a minimum of 3 years, starting from the
1108
date of eviction, but PHAs and owners can choose to extend it.
PLEASE NOTE: This ban only applies to the three types of federal governmentassisted housing mentioned above. It does NOT apply to the following types of
government-assisted housing programs:
• Low-Income Housing Tax Credit (LIHTC) properties and Rural Development
1109
(RD) housing;
• Housing applicants who were evicted for drug-related activity from any other
type of housing or program that does not receive federal government
1110
money.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
sexual abuse for failing to protect a child from such abuse); see also Housing Rights Watch, No Easy Answers: Sex
Offender Laws In The US (2007).
1107
42 U.S.C. § 13661(a).
1108
4 C.F.R. §§ 5.852(d) (federally assisted housing), 960.203(c)(3)(ii), 966.4(1)(5)(vii)(E) (public housing). HUD
apparently believes that the statute sets a floor of three years, and that PHAs and owners are not violating the
statute if they expand the time period. The HUD explanation in the regulations is that “[s]ince the intent of the
statute was to strengthen protections against admitting persons whose presence in assisted housing might be
deleterious, HUD does not interpret this new provision as a constraint on the screening authority that owners and
PHAs already had.” Screening and Eviction for Drug Abuse and Other Criminal Activity; Final Rule, 66 Fed. Reg.
28,776, 28,779 (May 24, 2001).
1109
4 C.F.R. §§ 5.850(a) (excludes rural development housing), 5.854(a) (federally assisted housing in general),
882.518(a)(1)(I) (Section 8 moderate rehabilitation), 960.204(a)(1) (public housing), 982.553(a)(1)(I) (voucher); Screening
and Eviction for Drug Abuse and Other Criminal Activity–Final Rule, H 2002-22 (Oct. 29, 2002) ¶ VI (HUD Notice
applicable to HUD-assisted project-based housing, excluding Section 8 moderate rehabilitation housing and
project-based vouchers or certificates). The rule is also not applicable to housing assisted with S+C, SHP or HOPWA
funding.

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!

IMPORTANT EXCEPTION TO THE RULE: PHA or owner may admit your
household if the person whose drug-related criminal activity led to the eviction
later goes on to complete an approved, supervised drug rehabilitation program,
1111
OR if your circumstances have changed. This is an important exception,
because it gives you the power to change your situation!
By taking and completing an approved drug rehabilitation program, you could
become eligible for housing again, or if your circumstances have changed.
“Changed circumstances” could mean:
• The household member with the drug-related conviction has died or is in
prison, and won’t return to the household.
• The applicant household has had no contact for a period of time and does
not know the whereabouts of the former household member who was
evicted for the drug-related activity.
• There could be other reasons the family should be allowed back into the
housing if the person with the conviction is no longer in the picture or has
1112
been rehabilitated.
My application was denied by the PHA or the owner of government-assisted housing
because of a past eviction from federal government-assisted property for drug-related
criminal activity, but I think it was a mistake or that the ban is unreasonably long (more
than 3 years). How do I challenge the denial?
•

•

•

!

You can challenge a denial because the ban is unreasonably long or because there
was a mistake in the information the PHA or owner of the government-assisted
property relied on. Go to PG. 450 to learn how to challenge a denial by asking the
PHA for an informal review hearing.
Go to PG. 417 to learn about what kinds of mitigating information you should include
with your application, and as proof of mitigating circumstances & rehabilitation with
any challenges you bring.
If there was a mistake in the information the PHA or owner of the governmentassisted property relied upon, you should immediately bring it to their attention.
Mistakes could include errors in your criminal records (see CLEANING UP YOUR
CRIMINAL RECORD CHAPTER, PG. 1020).

A NOTE ABOUT CHALLENGING UNREASONABLY LONG BANS FOR PAST DRUGRELATED ACTIVITY ON FEDERAL GOVERNMENT-ASSISTED PROPERTY:
If you were convicted of a less serious drug-related crime, such as mere possession, OR
you have been rehabilitated (and can show you have changed, done classes, or improved
yourself), these are all good reasons to challenge a ban that is significantly longer than 3
1113
years. If you can, talk to a lawyer or advocate! See General APPENDIX X on PG. of this
guide for a list of legal aid providers in California. A lawyer can explain how to gather
proof that shows the housing ban shouldn’t apply to you for more than 3 years. Again, go
to PG. 407 to learn about the procedure for challenging a denial, and asking the PHA for
an informal review hearing.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
4 C.F.R. §§ 5.850(a) (excludes rural development housing), 5.854(a) (federally assisted housing in general),
882.518(a)(1)(I) (Section 8 moderate rehabilitation), 960.204(a)(1) (public housing), 982.553(a)(1)(I) (voucher); Screening
and Eviction for Drug Abuse and Other Criminal Activity–Final Rule, H 2002-22 (Oct. 29, 2002) ¶ VI (HUD Notice
applicable to HUD-assisted project-based housing, excluding Section 8 moderate rehabilitation housing and
project-based vouchers or certificates). The rule is also not applicable to housing assisted with S+C, SHP, or
HOPWA funding.
1111
2 U.S.C. § 13661(a); 24 C.F.R. § 5.854(a)(2). The rehabilitation should not be limited to supervised rehabilitation
programs but also ought to recognize self-help programs such as Alcoholics Anonymous. See, e.g., Rules &
Regulations, Dep’t of Hous. & Urban Dev., 66 Fed. Reg. 28,776, 28,785 (May 24, 2001) (codified at 24 C.F.R.
§ 5.852(c)(1)).
1112
1842 U.S.C. § 13661(a); 24 C.F.R. § 5.854(a)(2). The rehabilitation should not be limited to supervised
rehabilitation programs but also ought to recognize self-help programs such as Alcoholics Anonymous. See, e.g.,
Rules & Regulations, Dep’t of Hous. & Urban Dev., 66 Fed. Reg. 28,776, 28,785 (May 24, 2001) (codified at 24 C.F.R.
§ 5.852(c)(1)).
1113
Preemption may be in inferred where the scheme of the federal legislation is so comprehensive that it creates
the inference that Congress “left no room” for local regulation in that area. Cal. Fed. Sav. & Loan Ass’n v. Guerra,
479 U.S. 272, 281 (1987). Applying that standard, Congress has fully defined eligibility for federally assisted housing.
Imposing an absolute lifetime bar when none is required is determining eligibility in an area that Congress has not
left any room for local regulation. Cipollone v. Ligget Group, 505 U.S. 504, 518 (1992).
1110

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" BAN 4: CURRENT ILLEGAL DRUG USE # REQUIRED BAN
WHILE ILLEGAL DRUG USE IS “CURRENT”
PHAs and owners of government-assisted housing MUST DENY admission to an
entire household if ANY MEMBER of the household is currently using illegal
1114
drugs.
QUESTIONS RELATED TO CURRENT DRUG USE:
When does drug use or alcohol abuse disqualify me from getting into federal
government-assisted housing?
Current drug use on or near the property by any tenant, household member, person
1115
under the tenant’s control, or guest will disqualify you. “Current” means you used
illegal drugs “recently enough to justify a reasonable belief” that you’re still using. In their
written policies, PHAs and owners should spell out what they define as “recent,” and
must abide by that policy. Read more about “recentness” requirements on PG. 479. To
learn about how your past addiction could be a protected disability which allows you to
ask for a “reasonable accommodation”—which means you can ask the PHA or owner of
government-assisted housing to lift or relax this ban (see Appendix D, PG. 477).
How would PHA or owner find out about my alcohol or drug use?
A PHA or owner could learn about your drug or alcohol use directly from you (in your
application) or from access to records about your criminal history or drug treatment. To
learn more about how a PHA or owner accesses records related to your alcohol or drug
use, read Access to Your Drug/ Alcohol Records for Government-Assisted Housing on
PG. 429.
Should I try to hide my current illegal drug use from the PHA or owner of the
!
government-assisted housing?
No, you should be honest on the application. You can be denied the government-assisted
housing—or later evicted (kicked out/terminated from the program)—for intentionally
lying during the application process.
Do PHAs or owners of government-assisted housing consider whether I have
participated in or completed a drug or alcohol rehabilitation program to let me into a
housing program?
Generally, they don’t have to, but PHAs and owners may consider that you have
participated in or have completed a drug rehabilitation program, and may ask you for
1116
documentation that you are not currently using illegal drugs. Specifically, you may have
to provide documentation of your drug rehabilitation with your application if you want to
avoid or reduce the 3+ year ban on admitting people who were previously evicted from
1117
federally-assisted housing due to a drug-related crime.
Can PHAs or owners of government-assisted housing screen me by using or requiring a
medical exam or drug test?
No. PHAs and owners may not require you to undergo any type of physical exam or
medical testing in order to admit you to a housing program. This includes testing for
1118
HIV/AIDS, Tuberculosis (Tb), pregnancy, and, presumably, drug/alcohol screening.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

24 C.F.R. § 960.204.
24 C.F.R. § 960.204.
1116
24 C.F.R. § 982.553
1117
See PG. 47 for information about federally-assisted housing programs that have a 3-year ban on someone who
was evicted from housing for a drug-related offense. In sum: For certain federally-assisted housing programs,
including (1) public housing, (2) the voucher program, and (3) project-based Section 8 housing, there is a mandatory
3-year ban on admission for families, if any member of the applicant’s household has ever been evicted from
“federally assisted housing” for drug-related criminal activity. 42 U.S.C. § 13661(a). However, this ban does not
apply to LIHTC and RD housing. See PG. 48. This rule also does not apply to applicants who were evicted for drugrelated activity from non-federally assisted housing. See PG. 48.
1118
See HUD, Occupancy Requirements Of Subsidized Multifamily Housing Programs ¶ 4-8(B)(1) (rev. November
2013) (Prohibited Screening Criteria). Typically this provision is used to prohibit owners from inquiring into an
applicant’s medical/physical condition, such as pregnancy, AIDS or TB. But it also could be used to argue that an
owner may not request drug testing.
1114
1115

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*** IF APPLYING TO GOVERNMENT-ASSISTED HOUSING,
IT IS VERY IMPORTANT FOR ANYONE WITH A CRIMINAL
RECORD TO READ THE FOLLOWING SECTION ***
WHAT BANS ARE ALLOWED, BUT NOT LEGALLY REQUIRED IN
GOVERNMENT-ASSISTED HOUSING—THE “CATCH-ALL”
CATEGORY OF BANS THAT APPLY TO *ALL PEOPLE WITH
CRIMINAL RECORDS*?
For the many of you who do not fall into one of the required (“mandatory”) bans
discussed above, it’s more likely you could get denied government-assisted
housing because the Public Housing Authority (PHA) or the owner of the
government-assisted housing has decided based on your criminal record that
you currently “pose a risk to the health, safety, or right to peaceful enjoyment of
the property by other residents, the owner, or the PHA staff or
1119
agents/contractors.”
This is a “catch-all” category and allows the PHA or owner of governmentassisted property to deny applicants with criminal histories more generally. They
are allowed to consider a lot of information, including past convictions (even
convictions you had expunged); arrests (even those that never led to a
conviction); and in some cases your drug treatment records. See PG. 429 for
detailed information about what criminal records a Public Housing Authority
(PHA) or owner of government-assisted property can access about you.
REMEMBER THAT THESE “CATCH-ALL” BANS ARE NOT REQUIRED:
This “catch-all” category is NOT a required ban. The PHA or owner is allowed to
exclude you only if they can show that your criminal history poses a current
threat to the health, safety, or peace of other residents, the owner, or PHA staff
or agents/contractors. It’s recommended that they consider mitigating
information and proof of your rehabilitation—and in the case of the Public
Housing program, the PHA MUST consider such additional information!

HOW CAN I FIND OUT THE CRIMINAL RECORD POLICIES OF MY
LOCAL PUBLIC HOUSING AUTHORITY (PHA) OR OF THE OWNER
OF GOVERNMENT-ASSISTED HOUSING?
Each local PHA and owner of government-assisted housing will have different
rules about what criminal history information they will ignore and what they will
consider. By law, the PHAs and owners of government-assisted housing MUST
1120
put their policies in writing and make them available to applicants.
The rules and policies of each local PHA and owner of government-assisted
housing MUST not violate the legal protections discussed on PG. 429.
Furthermore, the PHA must follow its own rules and policies.
You may want to consider talking to an advocate/lawyer about whether or not a
particular PHA’s policies to exclude people with certain criminal records could
be violating the law. (See PG. 1190 for a list of legal aid providers across
California).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1119
1120

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24 C.F.R. § 982.553
24 C.F.R. § 960.202.

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!

!

IMPORTANT: Want to learn how to challenge a denial from a PHA or
owner of government-assisted housing? Go to PG. 407 to learn more!

UNDER THE “CATCH-ALL” BAN, CAN A PUBLIC HOUSING
AUTHORITY (PHA) OR OWNER OF GOVERNMENT-ASSISTED
HOUSING DENY ME FOR A CONVICTION THAT I HAD
“EXPUNGED”?
1121

Yes. A PHA or owner of government-assisted housing may consider expunged
convictions in deciding whether to admit you into a government-assisted
1122
housing program or unit.
This also means that, for this application, when you are asked about any past
1123
convictions, you should list even those that have been expunged. If you lie or
don’t include them, the PHA or owner can reject you during the housing
application process just for lying OR the PHA or owner could evict you later if it
1124
finds out that you intentionally lied during the application.
Remember, The PHA’s or owner’s right to reject you based on your criminal
1125
1126
record (including expunged convictions) is limited by federal and state law.
Go to PG. 406 to learn more about these protections and limitations on the kinds
of denials that PHAs and owners can make.
For more information on getting a conviction expunged, see the CLEANING UP
YOUR CRIMINAL RECORD CHAPTER, PG. 1020.

UNDER THE “CATCH-ALL” BAN, CAN A PUBLIC HOUSING
AUTHORITY (PHA) OR OWNER DENY ME FROM GOVERNMENTASSISTED HOUSING FOR ARRESTS THAT DID NOT RESULT IN A
CONVICTION?
Yes, but they will likely need prove more than just a past arrest. A PHA or owner
may consider arrests that never led to a conviction in deciding whether to admit
1127
you into a government-assisted housing program or unit —but should NOT
1128
make its decision based on an arrest alone. Some PHAs or owners of
government-assisted housing might ask about arrests, and some might not. But
whatever the policy, the PHA or owner MUST be able to show that the conduct

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

24 C.F.R. § 982.553. This statute is section 8 specific, says generally, can deny admission for other criminal activity
that “may threaten the health, safety, or peaceful enjoyment.”
1122
24 C.F.R. § 960.203; 42 U.S.C. § 13661; 24 C.F.R. 5.903 (authorizing PHA to obtain law enforcement criminal
records for use in applicant screening, lease enforcement, and evictions. Owners are not authorized to review
records, but can request a determination by PHA as to whether record can be basis for applicant screening, lease
enforcement, or eviction.)
1123
“Expungement” is a way to clean up your record so that your convictions have less of a negative impact on your
life. When a conviction is expunged, the judge reopens your case and changes your “guilty” plea or verdict to “not
guilty,” and then dismisses the case. The case does not disappear from your record, but it shows up as a dismissal
instead of a conviction. Only certain convictions qualify for expungement. CAL. PENAL CODE §§ 1203.4, 1203.4a,
1203.41.
1124
National Housing Law Project, How Does a Criminal Record Affect Your Housing Rights?
http://www.nhlp.org/files/Fact sheet for potential tenants - AC%28final%29.pdf.
1125
42 U.S.C. § 13661(a).
1126
Fair Employment & Housing Act, CAL. GOV’T CODE § 12955 et seq.; Unruh Civil Rights Act, CAL. CIV. CODE § 51.
Marina Point, Ltd. v. Wolfson, 30 Cal.3d 721 (1982) (Unruh Civil Rights Act prohibits all “arbitrary” discrimination,
regardless of protected class status; landlord’s blanket exclusion of an entire class of people (children) based on a
generalized prediction that the class, “as a whole,” is more likely to commit misconduct than some other classes of
public” violates the Act.)
1127
42 U.S.C. § 13661(c); Fair Employment & Housing Act, CAL. GOV’T CODE § 12955 et seq.; Unruh Civil Rights Act,
CAL. CIV. CODE § 51; Marina Point, Ltd. v. Wolfson, 30 Cal.3d 721 (1982) (Unruh Civil Rights Act prohibits all
“arbitrary” discrimination, regardless of protected class status; landlord’s blanket exclusion of an entire class of
people (children) based on a generalized prediction that the class, “as a whole,” is more likely to commit
misconduct than some other classes of public” violates the Act.)
1128
See Landers v. Chicago Hous. Auth., 404 Ill. App. 3d 568 (2010).
1121

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underlying the arrest is sufficient reason to deny your housing application
(because such conduct could threaten the health, safety, or right to peaceful
enjoyment of the building by other residents, the owner, or PHA staff or its
agents/contractors). Generally, this means the PHA or owner of governmentassisted housing will need other forms of proof (beyond just the arrest record)
that you pose such a risk—because, of course, an arrest is NOT legal proof that
1129
you actually committed a crime (unlike a conviction, which does show guilt).
If you were denied government-assisted housing based on arrests alone
(without more proof), you can challenge the denial. There is some indication
from the courts that this practice may violate fair housing and anti-discrimination
1130
laws and/or violate your right to due process. We suggest that you contact a
housing attorney or legal aid organization that can help you—see the list of legal
aid providers on PG. 1190. Whether or not you can find a lawyer to help you, you
should try to get familiar with the procedure for challenging a PHA’s or
government-assisted owner’s decision to deny you. For details on this process,
see PG. 407.

UNDER THE “CATCH-ALL” BAN, WILL MY PARTICIPATION IN A
PRE-TRIAL INTERVENTION OR DIVERSION PROGRAM MATTER?
If the program shows up on your background check as a conviction, then the
PHA or owner of the government-assisted housing can consider it, and possibly
1131
deny you. SO it depends on how it comes up on your background check.
•

•

If you are placed into a pre-trial intervention program and you do NOT have
to plead guilty in order to participate, then a background check report will
probably show the filing of a case, but no conviction while you are
1132
participating in the program. If you successfully complete the program,
then your case will be dismissed without a conviction ever having been
recorded. Therefore, it CANNOT show up as a conviction in a background
1133
check, because it never was one. If there are errors in your background
1134
check, the PHA or owner must give you an opportunity to correct them.
If instead you are placed in a pre-trial intervention program that requires you
to plead guilty, then this guilty plea will probably appear as a conviction on a
background check report while you are still participating in the program. If
you successfully complete the program, your guilty plea should be
automatically withdrawn and those records sealed, after which a private
1135
background check company CANNOT report this as a conviction. If there
are errors in your background check, the PHA or owner must give you an
1136
opportunity to correct them.

To learn more about how private background checks work, see PG. 426.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Landers v. Chicago Hous. Auth., 404 Ill. App. 3d 568 (2010)
See Landers v. Chicago Hous. Auth., 404 Ill. App. 3d 568 (2010).
42 U.C.S. § 13661(c); 24 C.F.R. § 5.903.
1132
CAL. PENAL CODE § 1000.5.
1133
CAL. PENAL CODE § 1000.4.
1134
24 C.F.R. §§ 5.903, 960.204.
1135
CAL. CIV. CODE § 1786.18.
1136
24 C.F.R. §§ 5.903, 960.204.
1129

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UNDER THE “CATCH-ALL” BAN, CAN A PUBLIC HOUSING
AUTHORITY (PHA) OR OWNER OF GOVERNMENT-ASSISTED
HOUSING DENY MY APPLICATION BECAUSE OF THE
CONVICTIONS OF FAMILY MEMBERS WHO LIVE WITH ME?
Yes. You can be excluded from federal government-assisted housing for the
1137
convictions of family members who are part of the current household.
If the person no longer lives with you, you should NOT be denied because of
their convictions, but you may have to prove that he or she is not part of the
1138
household anymore.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1137
1138

24 C.F.R. § 960.203.
24 C.F.R. §§ 982.553, § 5.854.

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YOUR RIGHTS AGAINST ILLEGAL DENIALS
FROM GOVERNMENT-ASSISTED HOUSING
BECAUSE OF YOUR CRIMINAL RECORD
HOW DOES THE LAW PROTECT ME FROM BEING
DENIED GOVERNMENT-ASSISTED HOUSING BECAUSE
OF MY CRIMINAL RECORD?
The Public Housing Authority (PHA) or owner of governmentassisted housing must follow certain laws and rules when
considering your past convictions and criminal history information.
They may only reject you for criminal activity that threatens the
health, safety, or peace of other residents or staff AND the criminal
activity must be “reasonably recent.”

1.

PHAs and owners of government-assisted housing may
only reject you for certain kinds of criminal activity—not
everything.

A PHA or owner may only reject you for criminal activity that is:
•
•
•
•

1139

Currently posing a threat to the health, safety or peace of other
residents;
Currently posing a threat to the health, safety or peace of the
owner or local PHA staff or agents/contractors;
1140
Drug-related; OR
1141
Violent.

2. PHAs and owners of government-assisted housing may

only reject you for criminal activity that is reasonably
recent.

A PHA or owner of federal government-assisted housing can only
reject you due to criminal activity that is CURRENT or is
1142
“REASONABLY RECENT.”
The length of any ban based on criminal records cannot be
“unconscionable”—meaning unreasonable and excessive, drastic
1143
beyond what’s really needed, or extremely unfair.

WHAT DOES
“CURRENTLY
POSING A
THREAT” MEAN?
If you are denied
governmentassisted housing by
a PHA or owner
because of criminal
activity that DOES
NOT threaten
anyone’s health,
safety, peace, or
property, then you
have a strong
argument to
challenge the
denial. Go to
PG. 407 of this
chapter to learn
how. Many
advocates argue
that certain crimes—
like prostitution,
DUIs, & shoplifting—
should not
disqualify you
because they do not
pose any threat to
others. The PHA or
owner must base
his/her decision to
deny you on a
“reasonable belief”
that the criminal
activity would
threaten the health,
safety, or right to
peaceful enjoyment
of others.

What is considered a “reasonably recent period”?
The U.S. Department of Housing and Urban Development (HUD), which
oversees most federally-funded housing programs (such as Public
Housing, the “Section 8” Housing Choice Voucher program, and others),

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

42 U.S.C § 13661(c); 24 C.F.R. §§ 5.855(a), 882.518(b), 982.553(a)(2)(ii).
See 42 U.S.C. § 1437a(b)(9) (definition of drug-related criminal activity); 24 C.F.R. § 5.100.
1141
The regulations define “violent criminal activity” as “any criminal activity that has as one of its elements the use,
attempted use, or threatened use of physical force substantial enough to cause, or be reasonably likely to cause,
serious bodily injury or property damage.” 24 C.F.R. § 5.100.
1142
See Madison, Wis. Code Of Ordinances Ch. 39.03(1) and (4) (Renumbered by Ord. 12,039, Adopted 2-17-98)
(ordinance prohibiting discrimination against individuals with a criminal record is applicable for most offenses two
years after the individual has completed or complied with the penalty).
1143
Thomas v. Hous. Auth. of Little Rock, 282 F. Supp. 575, 580 (E.D. Ark 1967) (unwed mother admission policy is
drastic beyond reasonable necessity); see also United States v. Robinson, 721 F. Supp. 1541, 1544-45 (forfeiture of
tenant’s apartment and her federal housing assistance payments, which were the only means by which the
defendant could provide shelter for her children, was disproportionately severe to the offense of knowingly and
intentionally distributing a mixture containing cocaine base); In the Matter of Elaine Sicardo v. Peter Smith, etc. No.
2007-03609, Index No. 219067/06 (N.Y. App. Div. Second Jud. Dept., March 18, 2008) (penalty in termination case so
disproportionate to the offense as to be shocking to one’s sense of fairness).
1139
1140

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suggests that “5 years may be reasonable for serious offenses” (like
1144
making or dealing drugs) and suggests that PHAs and owners should
set reasonable time periods for different types of criminal activity in their
1145
WRITTEN POLICIES.
HUD has also suggested that a conviction for illegal drug use that
1146
happened 1 year ago could still be considered “recent.”

3. If your criminal conviction was the result of a disability (like past
substance abuse or mental illness), you can ask for an expection to
the criminal record policy (called a “reasonable accommodation”).
If you can prove that your conviction was the result of a disability (which
includes past drug addiction and mental illness), then you can ask the PHA or
owner of government-assisted housing for an exception from their ban as a
“reasonable accommodation” to accommodate your disability and give you
1147
equal opportunity to access the housing. Read more about how to do this in
Appendix D, PG. 477.

IMPROVING YOUR CHANCES OF
GETTING INTO GOVERNMENTASSISTED HOUSING—OFFERING
PROOF OF REHABILITATION &
MITIGATING FACTORS
This section explains the types of information and evidence that you
can show to strengthen your application to a PHA or governmentassisted housing. You can also provide this type of information and
evidence to challenge a denial from government-assisted housing.
(Learn more about challenging denials from government-assisted
housing beginning on PG. 446.)

WHAT IS “PROOF OF MITIGATING FACTORS?”
“Proof of mitigating factors” is extra information and evidence that
explains that the PHA or landlord should not view the offense or
conduct as negatively as it might otherwise. You can submit things
like:
• A period of time has passed since your conviction or criminal
activity (the crime was not very recent);
• You were convicted at a young age;
• The nature and extent of your conduct are lessinvolved (like
showing you were not as involved in the offense/ conduct as one
might think);

WARNING
ABOUT WHAT
INFORMATION
YOU SHARE
WITH
LANDLORDS:
If you are applying
to private housing,
be careful not to
share any more
information than
necessary—see
PG. 426 to
understand what
criminal record
information a
private landlord can
access, and see
PG. 407 to learn
ways you can
identify illegal
discrimination by
private landlords
(which has a
different legal
standard than
discrimination by
governmentassisted housing
providers and Public
Housing Authorities
(PHA).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

HUD, Public Housing Occupancy Guidebook, ¶ 4.6, (June 2003); see also 24 C.F.R. § 982.552(c)(1)(ii) (five-year
ban on admission to voucher program for eviction from federally assisted housing).
1145
Screening and Eviction for Drug Abuse and Other Criminal Activity; Final Rule, 66 Fed. Reg. 28,776, 28,779 (May
24, 2001).
1146
HUD, Voucher Program Guidebook, Housing Choice, 7420.10G, ¶ 5.7, p. 5–37 (Apr. 2001). But see Screening and
Eviction for Drug Abuse and Other Criminal Activity; Final Rule, 60 Fed. Reg. 34,660, 34,688 (July 3, 1995) (codified at
24 C.F.R. § 982.553(b)) (HUD regulations formerly stated that to deny admission, drug use or possession should have
occurred within prior year).
1147
42 U.S.C. § 3604(f)(3)(B); JOINT STATEMENT OF THE DEP’T OF HOUS. & URBAN DEV. AND THE DEPARTMENT OF JUSTICE,
REASONABLE ACCOMMODATIONS UNDER THE FAIR HOUSING ACT, 6 (May 17, 2004).
1144

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•

•
•

Physical or emotional abuse, coercion, or untreated abuse or mental illness
that led to the conviction (and any of these factors might have led to the
crime/offense);
Disabilities that you or a family member has that might have led to the
conviction; and
Any additional context for the conviction (other factors that would help
explain the circumstances you were in when the offense occurred and why it
should be viewed with more leniency).

WHAT IS “PROOF OF REHABILITATION?”
Proof of rehabilitation is information and evidence that you have changed and
improved since the time of your criminal offense or conduct. You can submit
things like:
• Certificates or letters from supervising officers, or court documents showing
completion of parole, probation, or other supervision;
• Letters of support/ recommendations from employers or others (see a list of
suggestions for letters of support on PG. 420);
• Certificates or diplomas for education or training you’ve received;
• Letters or certificates for completing alcohol/drug treatment programs; and
• Letters or certificates for completion of rehabilitation programs.

DO GOVERNMENT-ASSISTED HOUSING PROGRAMS HAVE TO
CONSIDER MITIGATING CIRCUMSTANCES & EVIDENCE OF
REHABILITATION?
Generally, programs are not required to consider mitigating circumstances and
1148
1149
evidence of rehabilitation, but they are encouraged to do so. Only the
Public Housing program—run by your local Public Housing Authority (PHA)—
MUST consider mitigating circumstances (that is in cases where the PHA has a
criminal record ban in place that is not required by law—see PG. 401 for more
1150
information on such bans that are allowed, but not required).
Good news! THIS GIVES YOU AN OPPORTUNITY TO EXPLAIN THE SITUATION
AND PRESENT FACTS IN A WAY THAT WILL PUT YOUR RECORD IN THE BEST
POSSIBLE LIGHT—WHICH WILL IMPROVE YOUR CHANCES OF GETTING
ACCEPTED.
All PHAs and owners of government-assisted housing are ENCOURAGED to
look at the following (and for the Public Housing program, PHAs must look at the
1151
following):

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

24 C.F.R. § 960.203(d); HUD, Public Housing Occupancy Guidebook, ¶¶ 4.6, 4.8, 4.10 (rev. November 2013); see
also Lancaster v. Scranton Hous. Auth., 479 F. Supp. 134, 138 (M.D. Pa. 1979), aff’d mem., 620 F.2d 288 (3d Cir. 1980)
(applicant has burden of putting forth such evidence).In court cases involving eviction or termination of benefits
through the government-assisted housing program, courts have sent cases back for review because of the PHA or
landlord’s failure to consider mitigating circumstances. See Hicks v. Dakota Cnty. Comm. Dev. Agency, No. A061302, 2007 WL2416872 (Minn. App., Aug. 28, 2007) (“The permissive nature of the [voucher] regulation does not
preclude a determination that mitigating circumstances are an important factor that must be considered in a
particular case.”); Oakwood Plaza Apartments v. Smith, 352 N.J. Super. 467 (2002) (remanding project-based Section
8 eviction case to trial court for a determination of whether landlord properly exercised discretion and considered
relevant factors prior to deciding to evict).
1149
24 C.F.R. § 982.553.
1150
24 C.F.R. § 960.203(d); HUD, Public Housing Occupancy Guidebook, ¶¶ 4.6, 4.8, 4.10 (June 2003); see also
Lancaster v. Scranton Hous. Auth., 479 F. Supp. 134, 138 (M.D. Pa. 1979), aff’d mem., 620 F.2d 288 (3d Cir. 1980)
(applicant has burden of putting forth such evidence).
1151
24 C.F.R. §§ 982.552(c)(2), 5.852; HUD, Occupancy Requirements Of Subsidized Multifamily Housing Programs
¶ 4-7(C)(4) (Rev. November 2013); HUD, Public Housing Occupancy Guidebook, ¶¶ 4.6, 4.8, 4.10 (June 2003); see
also One Strike and You’re Out” Screening and Eviction Guidelines for Public Housing Authorities (HAs), PIH 96-16
(HA) (Apr. 12, 1996) 5-6; see also Letter from Mel Martinez, Secretary of HUD, to Public Housing Directors (Apr. 16,
1148

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1)
2)
3)
4)
5)
6)

Every application for housing on a case-by-case basis;
The seriousness of the offense;
The time that has passed since the offense;
The effect that denial of admission would have on the rest of your family;
The effect that denial of admission would have on the community;
The extent to which you have taken responsibility for your actions and taken
steps to prevent or mitigate bad conduct in the future;
7) Evidence of rehabilitation;
8) Mitigating circumstances relating to your disability or the disability of any
family member; and
9) Evidence of your family’s participation or willingness to participate in social
1152
services, reentry support, or counseling programs.

WHEN COULD I SHOW PROOF OF MITIGATING CIRCUMSTANCES
AND REHABILITATION TO THE PHA OR OWNER OF
GOVERNMENT-ASSISTED HOUSING?
IF YOU PROVIDE THIS INFORMATION UPFRONT, you will likely have a better
shot of getting into the government-assisted housing program. Many
government-assisted housing programs that are not legally required to ask you
for mitigating or rehabilitative evidence won’t… so be proactive!
Similarly, if you are TRYING TO REJOIN a government-assisted housing unit, be
prepared to explain why you should be accepted, despite your record. Because
the PHA or owner of the government-assisted housing is likely to run a
background check on you, you should be prepared—if asked—to honestly
disclose your criminal record AND to demonstrate mitigating circumstances and
evidence of your rehabilitation (see PG. 417).
Consider giving the PHA or owner additional information about all the benefits
of having you join your family and how your joining may positively affect the
stability of the entire housing development. These benefits depend on the facts
of your specific situation. For example, you might include information about your
relationship with the family members currently living in the household, especially
a positive relationship with any children or a supportive relationship between
you and your spouse. Another example is your potential to increase the income
of the family unit already living there, so that you will stabilize the rent paid to
the PHA or owner of the government-assisted housing. To learn more about
joining family and friends—in either private or government-assisted housing—
see PG. 437.
Continue reading to learn about specific types of evidence that show proof of
mitigating circumstances and rehabilitation that strengthen your application to
government-assisted housing!

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2002), and letter from Michael Liu, Assistant Secretary of HUD to Public Housing Directors (June 9, 2002), both
letters are available at: http://www.nhlp.org/html/ new/index.htm (in the eviction context HUD has urged PHAs to
be guided by “compassion and common sense”).
1152
24 C.F.R. § 960.203(d)(ii). This last factor is listed in the context of public housing but could be considered with
respect to applications for other federally assisted housing.

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SPECIFIC TYPES OF EVIDENCE THAT SHOW PROOF
OF MITIGATING CIRCUMSTANCES & REHABILITATION
TO STRENGTHEN YOUR APPLICATION TO
GOVERNMENT-ASSISTED HOUSING

!

IMPORTANT TIP AS YOU GATHER HELPFUL EVIDENCE OF YOUR
REHABILITATION & MITIGATING CIRCUMSTANCES: Try to get at least
one item from the following list, and as many of these forms of proof as
you are able. If you cannot do so, you will have to work very hard—and
creatively—at getting other evidence to overcome a criminal record ban
or challenge a denial to government-assisted housing.

WHAT SPECIFIC TYPES OF EVIDENCE WILL STRENGTHEN MY
HOUSING APPLICATION TO GOVERNMENT-ASSISTED HOUSING?
Provide proof of your rehabilitation and mitigating factors as explained above!
Letters of support and certificates of successful completion of programs that
improved your life are one of the key ways can help strengthen your application
to government-assisted housing!
Make sure that the letters you get are detailed and really, really positive about
you! A weak, impersonal letter is almost as useless as no letter at all.
Below are some places you should consider getting letters of support or other
documents proving your participation:

" EVIDENCE FROM SCHOOL:
Show that you stayed in school for at least 6 months and have a positive school
record.
• Proof could be in a transcript with good grades, or a letter from a teacher or
school administrator.
• Our suggestion: If school administrators or teachers can say the following
things truthfully, these letters should say that you:
o Were in school for at least six months;
o Had great attendance and punctuality;
o Had excellent grades; and
o Are motivated to learn and get ahead in life.

" EVIDENCE FROM JOB TRAINING PROGRAMS:
Show that you stayed in a job-training program for at least 6 months and have a
positive record.
• Proof could be through a letter from a program supervisor or administrator.
• Our suggestion: If true, ask your teacher or the program administrator to say
that you:
o Participated for at least six months;
o Had great attendance and punctuality;
o Are motivated to learn and get ahead in life;
o Have learned useful skills to apply to a job; and
o Get along well with others.
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" EVIDENCE OF EMPLOYMENT:
Show that you kept a job for at least 6 months and had a positive work record:
• Proof could be a letter from a supervisor or other person at the job.
• Our suggestion: These letters should not just state how long you have
worked. If possible, they should also say:
o How well you have performed your job;
o Whether you have been promoted;
o That you have an excellent attendance record and come to work on
time; and
o That you are motivated, responsible, and get along well with others.
• If you worked while you were incarcerated and can get a good letter from a
supervisor, do it! This can be useful, especially if you went above and beyond
what was required by the job.

" EVIDENCE OF YOUR PARTICIPATION IN COUNSELING OR
SOCIAL SERVICE PROGRAMS:
Show that you spent at least 6 months in counseling or another social service
program to deal with the problem that led you into criminal behavior. If you were
in drug treatment or had a drug problem, you might be required to provide a
clean drug test. You also have to show that you have done well in the program.
• Proof could be a letter from your counselor, therapist, or doctor.
• Our suggestion: These letters should do a lot more than simply state the
dates you were in treatment and the fact that you completed treatment. If
your counselors in social service, mental health, and/or alcohol and drug
programs can say the following things truthfully, then they should also say
that you:
o Had great attendance;
o Had positive drug tests for at least 12 months (and provide the test
results);
o Showed excellent motivation and desire to change;
o Participated fully in programs;
o Got along well with others;
o Understand the causes of your past behaviors and are committed to
positive growth;
o Are not a risk to the safety of others; and
o No longer hang out with the same peers that got you into trouble.

" PROOF OF A DISABILITY:
If you have any type of disability that prevents you from going to school or
working, then it can help to show any programs you have participated in to get
support for your disability. If the disability is a past drug or alcohol addiction
(NOT a current one), or a mental health issue, it could be helpful to show at least
six months of counseling, such as mental health treatment or drug or alcohol
treatment.
Proof of this can be your counselor’s letter explaining that you are unable to
work (see above). You can also try to get any other proof of your disability, such
as a letter from your doctor, saying that you cannot work or go to school
because of your disability. If you are on SSI or SSDI public benefits, you can also
provide proof (learn more about SSI on PG. 567, and more aboue SSDI on
PG. 561 in the PUBLIC BENEFITS CHAPTER). If you cannot show at least six
months of counseling, work, school, or job training, then you will have a much
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harder time convincing the PHA to find you eligible. However, if your disability is
so severe that you cannot participate in ANY of these activities (for example, you
are homebound), a letter explaining this can be helpful.

" PROOF OF EXPUNGEMENT, DISMISSAL, PARDON, OR
CERTIFICATE OF REHABILITATION FOR A PAST
CONVICTION:
For more information about whether you qualify for some form of expungement
(like a dismissal, pardon, or Certificate of Rehabilitation), and how to get these,
go to the UNDERSTANDING & CLEANING UP YOUR CRIMINAL RECORD
CHAPTER, beginning on PG. 1020.

" OTHER HELPFUL EVIDENCE:
While PHAs and owners of government-assisted housing are not as persuaded
by the following types of evidence, they can still be helpful if the support letters
are very detailed, very positive, and make you look like you are doing ALL YOU
CAN DO to move your life in a positive direction and be a productive member of
society. Consider the following other forms of helpful evidence to include in your
application to government-assisted housing (OR at a hearing challenging a
denial):
• Certificates from programs in or after prison, like anger management and
drug or alcohol treatment. Remember that any programs in prison count!
• Letter from your Parole or Probation Officer: Our suggestion—If your
Probation or Parole Officer can say the following things truthfully, ask
him/her to comment on your:
o Positive drug tests for at least 12 months;
o Positive outlook;
o Compliance with all the requirements of parole or probation; and
o Exceptional motivation.
• Letters from clergy: Our suggestion—These letters are most helpful if they
show that you volunteer and play a leadership role in your community.
• Letters from landlords or building superintendents. Our suggestion—Ask
them to say that you:
o Always paid your rent on time;
o Respected your neighbors; and
o Treated the property well.
• Letters from neighbors: Our suggestion—They should discuss what a good
neighbor you are—for example, that you are quiet, respectful, and/or helpful
to the building or community.
• Letters from your volunteer work: Our suggestion—Have you helped out at
your children’s school? At their daycare center? Have you been a mentor to a
child? Helped a senior citizen? Volunteered in any other way? Get a letter
saying that you:
o Are responsible;
o Have made a major contribution; and/or
o Are dedicated to your volunteer work.
o Also get a letter from anyone you have helped. Have them say what an
important role you played for them. Ask the person to be specific!
• Letters from people you have helped: Our suggestion—It can be very moving
to read a letter from someone whose life you have touched in a positive way.
Have you helped someone through your church? In your neighborhood?
Through work?
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•

Proof about your children’s successes: Our suggestion—If your children have
done impressive things, highlight that your parenting had something to do
with it. Examples of what you might give are:
o Letter from your child’s teacher about his/her great work or good
grades, emphasizing your role in encouraging your child to do his/her
best, making sure your child does his/her homework, etc.
o Letter from your child’s coach in sports—similar to the letter from a
teacher.

What about getting support letters from family?
While it is always nice to have support from your family, these letters are
not as helpful because the PHA and/or owner of government-assisted
housing assumes that your family members would write anything to help
you get the housing. You can certainly include such letters if you like,
but letters from people outside your family will have a bigger impact.

IF I CAN SHOW THE PUBLIC HOUSING AUTHORITY (PHA) THAT I
REALLY NEED THE HOUSING, WILL THAT HELP MY
APPLICATION?
If you need the housing badly due to a disability or because you are homeless,
you should let the PHA know, as those needs might help your application to be
processed faster.
Beyond these situations, however, information about how you really need the
housing or the fact that you can’t afford other housing in the area won’t hurt or
help you because it’s usually not enough of a reason to overcome your criminal
record. If you’re not sure, you can go ahead and mention the need in the
application.

SPECIAL NOTE FOR PEOPLE WITH DISABILITIES & SPECIAL NEEDS:
If the housing unit has unique characteristics that you need, you should request
that the unit be kept open while your application is being reviewed, especially if
you are challenging a denial of your application. This means that the PHA or
owner agrees not to rent the unit to someone else until your application is
decided. You wouldn’t want to win the right to live in the unit, just to have it lost
to another renter while you challenge the unlawful denial. A PHA or owner will
balance such a request with the need to rent vacant units. Go to PG. 391 to learn
more about getting into housing if the crime you committed was caused by a
disability (like mental illness or past addiction).

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IV. ACCESS TO YOUR
CRIMINAL RECORDS AS
YOU APPLY FOR HOUSING
WHAT WILL I LEARN?
•
•
•

What could show up on a background check (also called a
“tenant report”) for housing
What private landlords can and cannot see and consider from a
background check/ tenant report
What Public Housing Authorities (PHAs) and owners of
government-assisted housing can and cannot see and consider
from a background check/ tenant report

AN OVERVIEW OF THE TYPES OF CRIMINAL
RECORDS THAT COULD SHOW UP AS YOU
APPLY FOR HOUSING
WHAT CRIMINAL RECORDS COULD SHOW UP AS I APPLY FOR
ANY TYPE OF HOUSING?
Here are three major categories of records that might tell a private
landlord, Public Housing Authority (PHA), or owner of governmentassisted housing something about your criminal history:
(1) CRIMINAL HISTORY RECORDS:
These include: government-produced criminal records; publicly
available court records of cases involving you; police and law
enforcement records including arrest records; reports produced by
private background check and tenant-screening companies (see #2:
“BACKGROUND CHECKS/TENANT REPORTS” below); Internet
research; the newspaper; and/or information received directly from
you—through an application form or by asking you. Learn more about
where your criminal records come from in the UNDERSTANDING &
CLEANING UP YOUR CRIMINAL RECORD CHAPTER, beginning on
PG. 1020.

LEARN ABOUT
WHEN YOUR
CRIMINAL
RECORDS CAN
BE ACCESSED
We go into the
rules about when
these records can
be accessed, and
what can be
considered,
beginning on
PG. 426.

(2) BACKGROUND CHECKS/ “TENANT REPORTS”:
A private landlord, PHA, or government-assisted owner will MOST LIKELY get a
copy of your background check from a private company—and when it’s for a
housing provider, the background check report is often called a “tenant report.”
Tenant reports show credit information, employment history, certain criminal
history information, entries in sex offender registries or other public databases,
driving records, interviews with people who know you, and more. These reports
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are created and provided by private background check companies and/or credit
bureaus. (See PG. 426 to better understand the rules about getting background
checks, and what information can be considered for housing.)
(3) DRUG OR ALCOHOL TREATMENT RECORDS:
These are documents that show your enrollment in, participation in, and
completion of any drug or alcohol treatment programs. In some cases, a PHA or
owner of government-assisted housing, may be able to get records about your
past drug or alcohol treatment, BUT A REGULAR PRIVATE LANDLORD CANNOT
1153
GET THESE RECORDS.

DOES THIS CHAPTER COVER WHAT CAN AND CANNOT SHOW
UP IN MY CREDIT REPORT?
No, not really. As a general note, whenever you apply to ANY type of housing—
whether you’re applying to private housing (run by a private landlord) OR to
government-assisted housing (through a Public Housing Authority (PHA) or
directly to an owner of government-assisted housing)—all of these people and
agencies CAN access your credit report, which is different from your criminal
records, but might be combined in a “tenant report” (which is just a background
for housing).
Credit reports include information about your past finances and credit history,
such as whether you have a history of paying bills on time. Credit reports also
show whether past credit problems have ended in a bankruptcy or a court
proceeding for failing to pay your rent on time (called an “eviction” or an
“unlawful detainer” under law). A credit report shows ONLY credit information,
NOT criminal history information. We included some very general rules about
credit reports in Appendix F, PG. 486 of this chapter, but these rules are only a
summary. This Chapter is focused on how criminal records come up as you
apply for housing, not past credit issues.

CAN A PRIVATE LANDLORD, PUBLIC HOUSING AUTHORITY
(PHA), OR OWNER OF GOVERNMENT-ASSISTED HOUSING
CHARGE ME A FEE FOR RUNNING A BACKGROUND CHECK/
TENANT REPORT ON ME?
It depends on who is running the background check. Neither PHAs nor owners
of federal government-assisted housing can charge you any fees for criminal
1154
background checks. The rule is different if you are applying for private
housing from a private landlord—private landlords can charge you a fee. See
1155
more on PG. 456.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

For more reading on this topic, see Sharon M Dietrich, When “Your Permanent Record” is a Permanent Barrier:
Helping Legal Aid Clients Reduce the Stigma of Criminal Records, 41 CLEARINGHOUSE REV. 139, 141 (July-Aug. 2007),
discussing what applicants can do to improve or challenge the criminal record.
1154
24 C.F.R. §§ 5.903(d)(4); 5.905(b)(5); HUD Occupancy Requirements Of Subsidized Multifamily Housing Programs
¶ 4-7(E)(2) (rev. November 2013); Screening and Eviction for Drug Abuse and Other Criminal Activity—Final Rule, H
2002-22 (HUD) (Oct. 29, 2002) ¶ X, p. 9, ¶ XIII, p. 11; see also 24 C.F.R. § 5.100 (definition of federally assisted
housing).
1155
CAL. CIV. CODE § 1950.6.
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ACCESS TO YOUR CRIMINAL RECORDS AS
YOU APPLY FOR PRIVATE HOUSING
HOW PRIVATE LANDLORDS LEARN ABOUT YOUR
CRIMINAL RECORD
HOW DO PRIVATE LANDLORDS LEARN ABOUT MY CRIMINAL
RECORD?
A private landlord can learn about your criminal record from any of the following
sources:
• Private background checks (also called “tenant reports”) (see the next
question for more information);
• Publicly available court records of cases involving you;
• Internet research;
• The newspaper; and/or
• Information received directly from you—through an application form or by
asking you.
See also the UNDERSTANDING & CLEANING UP YOUR CRIMINAL RECORD
CHAPTER, PG. 1020, for a detailed explanation of the many public places that
your criminal history information is stored, and how to correct mistakes.

YOUR RIGHTS WHEN A PRIVATE LANDLORD RUNS A
CRIMINAL BACKGROUND CHECK
As an applicant to private housing, you have legal rights related to the
information that comes up in a private background check, and how a private
landlord may use it. The law protects you by making it illegal for certain types of
information to be included in a criminal background check (also called a “tenant
report,” or in California, a “consumer report”) on you. But there are a lot of laws
that limit what a private background check company creating a tenant report for
a landlord can share with them.

WHAT MUST A PRIVATE LANDLORD DO IF THEY WANT TO GET A
BACKGROUND CHECK/TENANT REPORT ON ME?
Under state and federal law, you have the right to the following protections if a
private landlord runs a background check on you:
1)

The Landlord Must Give You “Notice” & Get Written Permission to Run a
Background Check: This means that you must receive a written document
(“notice”) from the landlord saying that s/he wishes to conduct a
background check on you. The landlord must get your written permission
1156
before getting the background check.
2) Give the Applicant a Copy of the Background Check: Within 3 days of
receiving the background check report, the landlord must provide you with a
1157
copy. In California, you also have the right to request a copy of your report

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1156
1157

15 U.S.C. § 1681b(b)(2)(A); CAL. CIV. CODE § 1786.16(a)(2).
CAL. CIV. CODE § 1786.16.

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for at least 2 years after the background check company provides your
1158
report to the landlord (or anyone else who requests the report).

WHAT INFORMATION CANNOT BE INCLUDED IN A PRIVATE
BACKGROUND CHECK/TENANT REPORT IN CALIFORNIA?
The following information cannot show up in a private background check report
in California:
1159
• Lawsuits or judgments from more than 7 years ago;
• Criminal convictions from more than 7 years ago;
• Any information about arrests or formal charges from more than 7 years ago;
• Criminal convictions that have been fully pardoned, dismissed, expunged,
eradicated, or sealed under law;
• Any information about arrests or formal charges that did not result in
1160
conviction, no matter how recent (unless your judgment is still pending);
• Any information about referrals to, or participation in, any pre-trial or posttrial diversion programs (court-mandated programs which function as a form
of alternative sentencing);
1161
• Paid tax liens from more than 7 years ago;
• Accounts placed in collections from more than 7 years ago;
• Bankruptcies from more than 10 years ago;
• Evictions actions (“unlawful detainers’) that you won or resolved with a
settlement agreement;
• Any other negative information like repossessions, foreclosures, check
1162
verification reports, motor vehicle reports, or drug test results from more
1163
than 7 years ago.

DO PRIVATE BACKGROUND CHECK COMPANIES HAVE TO MAKE
SURE THE INFORMATION THEY REPORT TO A LANDLORD IN A
TENANT REPORT IS TRUE AND ACCURATE?
Yes. Private background check companies (called “Credit Reporting Agencies”
in California) CANNOT include “public record” information unless it has been
double-checked for accuracy in the past 30 days. Public record information
includes arrests, convictions, civil actions, tax liens, and outstanding judgments.

DOES A PRIVATE LANDLORD HAVE TO TELL ME THAT THE
CRIMINAL RECORD INFORMATION THAT SHOWED UP IN A
PRIVATE BACKGROUND CHECK/TENANT REPORT IS THE
REASON I AM NOT GETTING THE APARTMENT?
Yes! The landlord has to tell you if your criminal history is the reason you are not
getting the apartment. If there is a negative action taken—like not renting you
the apartment—because of a background report, the landlord must follow this 2step procedure:

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. CIV. CODE § 1786.11.
Unless governed by a longer statute of limitations, which extends the time in which a suit, judgment, or arrest
remains effective.
1160
EXCEPTIONS: An agency can report these kinds of arrests or charges if judgment is still pending.
1161
When a tax debt is not timely paid, the government’s legal claim against your property is considered a “tax
lien.” http://www.irs.gov/Businesses/Small-Businesses-&-Self-Employed/Understanding-a-Federal-Tax-Lien.
1162
Consumer Data Industry Association, http://www.cdiaonline.org/HTC/htc.cfm?ItemNumber=1080
1163
CAL. CIV. CODE § 1786.18.
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STEP 1: The landlord must provide you with a copy of the report and a copy of
the Federal Trade Commission Summary of Rights before the negative action is
taken—giving you an opportunity to clear up any inaccuracies in the report.
STEP 2: If the landlord goes forward with the negative action, it must provide
you notice about the adverse decision, the contact information of the reporting
agency, a statement that the landlord (and not the screening company) made
the adverse decision; and your right to dispute the accuracy or completeness of
1164
the report.

YOUR RIGHTS WHEN A PRIVATE LANDLORD
DIRECTLY ASKS YOU ABOUT YOUR CRIMINAL
RECORD
CAN A PRIVATE LANDLORD ASK ME ABOUT CONVICTIONS OR
ARRESTS OLDER THAN 7 YEARS?
Generally, yes.* A private landlord can ask you—in writing in an apartment
application OR directly in conversation—about past criminal convictions, arrests,
and other criminal activity, and you should answer honestly. BUT if the landlord
is asking you about past convictions, criminal conduct or activity, he or she must
1165
be asking everyone equally.
* SPECIAL “BAN THE BOX” PROTECTION IN SAN FRANCISCO, CA:
In San Francisco, CA, there are special protections if you apply to city-funded
affordable housing in San Francisco—which includes private “Below Market
Rate” (BMR) apartments that are often in new buildings. See APPENDIX G,
PG. 487 to learn more about this new law called the “San Francisco Fair Chance
Ordinance,” which prevents some housing providers from asking you about your
criminal record on the initial application.

YOUR RIGHTS TO CONFIDENTIALITY WHEN A
PRIVATE LANDLORD GATHERS CRIMINAL RECORD
INFORMATION ON YOU
DOES THE LANDLORD HAVE TO PROTECT AND KEEP
CONFIDENTIAL MY CRIMINAL RECORD AND OTHER PERSONAL
INFORMATION?
Yes. When a landlord collects information in the background check process—like
credit reports and criminal background checks/ tenant screening reports, the
landlord CANNOT use those reports for any other purpose than the one they
originally asked for. Also, when a landlord is done using the information, federal
1166
law requires that he/she get rid of it (whether in paper or electronic form).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

15 U.S.C. §§ 1681b(b)(3), 1681m(a); CAL. CIV. CODE § 1786.40.
See also Fair Housing Act, 42 U.S.C. § 3601 et seq.; Fair Employment & Housing Act, CAL. GOV’T CODE § 12955 et
seq.; Unruh Civil Rights Act, CAL. CIV. CODE § 51.
1166
15 U.S.C. § 1681w (a)(1).
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ACCESS TO YOUR CRIMINAL RECORDS AS
YOU APPLY FOR GOVERNMENT-ASSISTED
HOUSING:
When you apply to PHAs and/or owners of government-assisted housing, they
can research you to decide whether you should be accepted or rejected. To do
this research, they are allowed to access different kinds of records. There are
rules for how they can access and use these records, described below, so keep
reading!
PLEASE NOTE: There are different rules for how PHAs and owners of federal
government-assisted housing can access and use your criminal history records.
In sum, the PHA can get more information about your criminal history than an
owner of government-assisted housing. We will explain how each gets access to
your criminal history information below.

YOUR RIGHTS WHEN A GOVERNMENT-ASSISTED
HOUSING PROVIDER RUNS A CRIMINAL
BACKGROUND CHECK
" (1) PUBLIC HOUSING AUTHORITIES’ (PHAS) ACCESS TO
YOUR CRIMINAL & DRUG TREATMENT RECORDS:
WHAT CRIMINAL RECORDS CAN A PUBLIC HOUSING
AUTHORITY (PHA) ACCESS, AND WHO GIVES THE PHA MY
CONVICTION RECORDS?
Most PHAs get criminal history information about you from private background
check companies that gather lots of criminal history information from different
public sources and put them in one report to the PHA (see more on PG. 426).
PHAs can also get your criminal history information directly from ALL OF THE
PUBLIC SOURCES listed on PG. 426, such as Internet searches and adult
criminal court records!
If you apply to a PHA for one of the three major federal government-assisted
housing programs (Public Housing, “Section 8” Housing Choice Vouchers, and
project-based Section 8 Housing), PHAs can ask for criminal records on you
from the National Crime Information Center, state and local police departments,
and other law enforcement agencies—and they are required to hand them over
1167
to the PHA.

!

REMEMBER: There is a DIFFERENT RULE FOR OWNERS OF
GOVERNMENT-ASSISTED HOUSING. Owners of federal governmentassisted housing CANNOT get your conviction records directly from the
National Crime Information Center or law enforcement agencies—but the
PHA might share some of this information with them. See the next
question below.
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1167

42 U.S.C. § 1437d.

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CAN A PUBLIC HOUSING AUTHORITY (PHA) REQUIRE ME TO
SIGN A RELEASE TO GET MY CRIMINAL HISTORY INFORMATION?
Yes. PHAs can legally require you to SIGN A RELEASE FORM so that they can
1168
get this criminal history information for these housing programs.

IF I AM MOVING INTO GOVERNMENT-ASSISTED HOUSING IN A
DIFFERENT CITY OR COUNTY, CAN MY CURRENT PUBLIC
HOUSING AUTHORITY (PHA) SHARE MY CRIMINAL HISTORY
RECORDS WITH THE NEW PHA WHERE I AM APPLYING?
Most likely, yes. Your current PHA is encouraged (but not required) to send
1169
criminal background check information about you to the new PHA.

CAN A PUBLIC HOUSING AUTHORITY (PHA) ACCESS MY DRUG
TREATMENT RECORDS, AND IF SO, UNDER WHAT
CIRCUMSTANCES?
The law is still unclear for most government-assisted housing programs. The
short answer is that a PHA can get limited access to your drug/alcohol treatment
records if you are applying to or currently living as a tenant in the Public Housing
program (which is a specific type of government-assisted housing program ).
There are no similar rules for the other government-assisted housing programs
(like “Section 8” Housing Choice Vouchers or the Section 8 Moderate
1170
Rehabilitation Program). Therefore, unless you are applying to the Public
Housing program, it is still unclear if PHAs can legally request or obtain
information about you from drug/alcohol treatment facilities. This rule is further
explained below.

I am an applicant or tenant for the Public Housing program. What
information can a Public Housing Authority (PHA) get about me
from a drug/alcohol treatment facility?
If you are applying to the Public Housing program, the local PHA is
allowed to request and get information about you from drug treatment
1171
facilities, but the PHA is limited to asking only one question relating to
your eligibility for the housing, which is:
“Does the drug abuse treatment facility have reasonable cause to
believe that the household member is currently engaging in illegal drug
1172
use?”

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

42 U.S.C. § 1437d(q)(1)(A).
HUD, Voucher Program Guidebook, Housing Choice, HUD Handbook 7420.10G, ¶ 13.4 (Apr. 2001).
The argument against such adoption of those rules (for other federally-assisted housing programs, not including
public housing, which already has these rules in place) is that Congress intentionally limited the applicability of the
statutory provision to public housing and did not extend it to the other programs. However, if a PHA, for the
voucher program, or an owner, for other programs, adopts a policy that seeks to obtain records from drug
treatment facilities, it should also be argued that the public housing statutory protections or their equivalent must
be incorporated, as the statute is designed to avoid a violation of fair housing laws and claims of discrimination
based upon disability.
1171
42 U.S.C. § 1437d(t); 24 C.F.R. § 960.205.
1172
42 U.S.C. § 1437d(t); 24 C.F.R. § 960.205; cf. Campbell v. Minneapolis Pub. Hous. Auth., 175 F.R.D. 531 (D. Minn.
1997), vacated and remanded, 168 F.3d 1069 (8th Cir. 1999). Campbell involved an interpretation of 42 U.S.C.
§§ 1437n(e)(1), (2), which have been repealed. The court allowed the PHA to seek information regarding drug use
and rehabilitation efforts from drug treatment facility, but remanded the case to the PHA to determine eligibility
because the administrative record was incomplete. The PHA conceded that it would have to change its policy based
upon the repeal and amendments to the statute.
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That is the only question that can be asked and the PHA cannot seek
any additional information from the drug treatment facility!

What is the process that a Public Housing Authority (PHA) must
follow when requesting information about me from a drug
treatment facility?
When requesting information from a drug treatment facility about an
applicant or tenant for the public housing program, The PHA must:
!

Get your signature on a release form (also called a written consent
1173
form) before asking the drug treatment facility about you. The
release automatically expires right after the PHA makes a final
decision to approve or deny your application to the government1174
assisted housing program.
• Have a system to protect your confidentiality (your
1175
privacy). When a PHA or landlord collects information in
credit and tenant screening reports, it cannot use the
information it collects for any purpose other than to decide
whether or not to admit you into the housing unit. The PHA
and owner must keep this information confidential, even
1176
when throwing it out.
• Have and follow a nondiscriminatory policy (a document
that outlines a policy in regards to discrimination and
management practices) that applies equally to anyone
1177
applying to public housing. This policy must be written
down in the PHA’s official plans and policies.

WHAT CAN I DO IF A PUBLIC HOUSING AUTHORITY (PHA)
VIOLATES MY RIGHTS IN ACCESSING AND USING MY DRUG
TREATMENT INFORMATION?
If you believe you were denied housing because of illegal access to your
records, or because of incorrect or illegal information, you should IMMEDIATELY
ask for a review hearing! A review hearing is an informal procedure in which you
can present corrections to your record, evidence of rehabilitation, and other
mitigating information (see PG. 417) to challenge a denial to governmentassisted housing. Go to PG. 407 of this HOUSING CHAPTER to learn about the
procedure for challenging denials and how to request an informal review
hearing.

" (2) GOVERNMENT-ASSISTED OWNERS’ ACCESS TO
RECORDS:
WHAT CAN OWNERS OF FEDERAL GOVERNMENT-ASSISTED
HOUSING SEE? HOW DO THEY GET MY CRIMINAL RECORDS?
Most owners of government-assisted housing—just like most private landlords—
get your criminal records from background check reports (a.k.a. “tenant reports”)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

42 U.S.C. § 1437d(t)(2); 24 C.F.R. § 960.205(c)(1); cf. Campbell v. Minneapolis Pub. Hous. Auth., 175 F.R.D. 531 (D.
Minn. 1997), vacated and remanded, 168 F.3d 1069 (8th Cir. 1999).
1174
42 U.S.C. § 1437d(t)(2)(C); 24 C.F.R. § 960.205(c)(2).
1175
42 U.S.C. § 1437d(t)(2)(B); 24 C.F.R. § 960.205(f).
1176
15 U.S.C. § 1681 et seq.
1177
24 C.F.R. § 960.205(e).
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run by private background check companies (a.k.a. “tenant screening”
companies), public records and Internet searches, or by asking you directly in
your application or interview.
•

•

Unlike PHAs, owners of government-assisted housing CANNOT get records
about you directly from the National Crime Information Center, state and
local police departments, or other law enforcement agencies.
Also, owners of government-assisted housing CANNOT get your criminal
records directly from the PHA. In fact, PHAs are not allowed to disclose
information about your criminal conviction history to owners of governmentassisted housing. If an owner wants details about your record, s/he must do
1178
his/her own research to get them (with one exception, see side box).

* THERE IS ONE EXCEPTION TO THIS RULE: Owners of Project-Based Section 8 housing
(which is a government-assisted program where the financial subsidy for the housing
stays with the unit, as opposed to the traditional Section 8 voucher that moves around
with the person) can ask the PHA about your criminal history information BUT cannot get
1179
copies of the actual records from the PHA. The PHA may disclose information to the
owner only to the extent necessary to help him/her decide whether you can be denied or
1180
evicted from the assisted housing unit. Lastly, if the PHA is screening your criminal
history information for an owner of Project-Based Section 8 housing, the PHA must apply
1181
the property owner’s own policy, not the PHA’s policy, in making that determination. So
if the owner doesn’t or can’t consider something, the PHA cannot either. In practice, Most
owners of project-based Section 8 housing units are not using PHAs to obtain criminal
history information; instead, these owners are using private background check
companies to get information on applicants (see PG. 426 for more info on the rules
1182
governing tenant reports in California).

" (3) LIMITS ON BOTH PUBLIC HOUSING AUTHORITIES (PHAS)
AND OWNERS OF GOVERNMENT-ASSISTED HOUSING:
CAN A PUBLIC HOUSING AUTHORITY (PHA) OR OWNER OF
GOVERNMENT-ASSISTED HOUSING GET RECORDS OF MY
ARRESTS THAT DIDN'T LEAD TO CONVICTIONS?
No. Under California state law, police and law enforcement agencies, and
private background check companies cannot share information about arrests
that did not lead to a conviction—unless the charges are still pending. They CAN
1183
ONLY report arrests that are pending AND/OR led to a conviction.
Unfortunately, private companies hired to do background checks often report
arrests anyway—which is against the law. Because this is such a big problem,
there are lawyers working to sue reporting agencies that are illegally reporting
1184
arrest records. When you get a copy of your report, check to make sure there

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

24 C.F.R. § 5.903(d); 42 U.S.C. § 1437d(q).
42 U.S.C. § 1437d(q)(1)(B); 24 C.F.R. § 5.903(d); HUD Occupancy Requirements Of Subsidized Multifamily Housing
Programs ¶ 4-27(E)(4)(a); see also 42 U.S.C. § 13,663(b); 24 C.F.R. § 5.905 (2007) (sex offender registration
information).
1180
24 C.F.R. §§ 5.903(e)(2)(i)(b), 5.905(b)(5).
1181
42 U.S.C. § 1437d(q)(1)(B); 24 C.F.R. § 5.903(d), (e), 5.905(b)(2)(ii); see also Screening and Eviction for Drug Abuse
and Other Criminal Activity—Final Rule, H 2002-22 (HUD) (Oct. 29, 2002).
1182
See HUD Occupancy Requirements Of Subsidized Multifamily Housing Programs ¶ 4- 27(E)(4)(b) (rev. Nov. 2013)
(referencing other types of screening services or sources of information that an owner may use); Screening and
Eviction for Drug Abuse and Other Criminal Activity—Final Rule, H 2002-22 (HUD) (Oct. 29, 2002) (same).
1183
CAL. PENAL CODE § 11105.03(b)(2); CAL. CIV. CODE § 1786.18(a)(7).
1184
See CAL. CIV. CODE § 1786.20(a), 1786.50. The California anti-SLAPP statute could pose a barrier to enforcement
of these restrictions. In Mendoza v. ADP Screening and Selection Services, Inc., 107 Cal. Rptr. 3d 294 (Cal. Ct. App.
2010), the defendant credit reporting agency (CRA) disclosed information from the state’s sex offender website to a
prospective employer. The plaintiff filed suit under a section of the penal code that prohibits the use of information
from the website for purposes of employment, and the CRA filed a motion to strike under the anti-SLAPP statute,
claiming a constitutional right to provide information from the website to its clients. The court granted the motion,
1178
1179

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are no arrests on it that did not lead to a conviction. If you see any, you can
contact the company and demand that it remove that information immediately!
See the UNDERSTANDING & CLEANING UP YOUR CRIMINAL RECORD
CHAPTER, beginning on PG. 1020, for more information about clearing up errors
in your record and taking legal action with private companies that break the law.

CAN A PUBLIC HOUSING AUTHORITY (PHA) OR OWNER OF
GOVERNMENT-ASSISTED HOUSING GET MY JUVENILE
RECORDS?
1185

No. It’s against the law for police and law enforcement agencies and private
background check companies to share your juvenile record with PHAs.

YOUR RIGHTS WHEN A GOVERNMENT-ASSISTED
HOUSING PROVIDER RUNS A CRIMINAL
BACKGROUND CHECK—THE RULES THEY MUST
FOLLOW

!

IMPORTANT: The most common way that most PHAs AND owners of
government-assisted housing (as well as private owners) access your
criminal history information is by ordering private background check
companies to run “tenant screening reports”.

WHAT ARE TENANT SCREENING REPORTS?
As discussed on PG. 426, a tenant screening report is a background check done
by a private company or credit bureau on a housing applicant. It reports credit
information, employment history, certain criminal history information, entries on
sex offender registers and/or other public databases, driving records, and more.
A tenant report may also include information gathered from personal interviews
with your neighbors, former landlords, or coworkers.

WHO CONDUCTS TENANT SCREENING CHECKS & PROVIDES
TENANT REPORTS TO PUBLIC HOUSING AUTHORITIES (PHAS) &
OWNERS OF GOVERNMENT-ASSISTED HOUSING?
Many private background check companies provide tenant screening reports,
including the 3 national credit bureaus, Experian, TransUnion, and Equifax.

DO YOU HAVE TO PAY FOR A SCREENING REPORT? IF SO, HOW
MUCH DOES A REPORT COST?
No, not if you are applying to government-assisted housing—neither a PHA nor
an owner can charge you to run a criminal background check or “tenant report.”

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
calling the CRA’s conduct protected speech under the First Amendment. The court noted that to fall outside of the
anti-SLAPP statute, the defendant’s conduct must be criminal in nature. See also NHLP, California Law Limits
Housing Authority Access to Arrest Records, http://nhlp.org/files/California%20Law%20Limits%20Housing%
20Authority%20Access%20to%20Arrest%20Records-2.pdf.
1185
42 U.S.C. 1437d(q)(1)(c); CAL. WELF. & INST. CODE § 827; see also Rivers v. Housing Auth. of Contra Costa Cnty.,
No. CO5-04291 PJH (N.D. Cal., complaint filed Oct. 21, 2005) (illegal release of juvenile record);

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WHAT MUST A PUBLIC HOUSING AUTHORITY (PHA) OR OWNER
OF GOVERNMENT-ASSISTED HOUSING PROVIDE ME WITH IF IT
ORDERS A BACKGROUND CHECK/TENANT REPORT FROM A
PRIVATE BACKGROUND CHECK COMPANY?
California statte law requires that you receive information about the background
1186
check company within 3 days of when the landlord orders your report.
You also have the right to request a copy of the report from the PHA or landlord
1187
for at least 2 years after the report is done.

DO I HAVE ANY RIGHTS IF A PUBLIC HOUSING AUTHORITY
(PHA) OR OWNER OF GOVERNMENT-ASSISTED HOUSING
REJECTS MY RENTAL APPLICATION BECAUSE OF A
BACKGROUND CHECK/ TENANT REPORT?
Yes. The PHA or landlord must give you an “adverse action” notice letting you
know it plans to take an action that could harm you based on information that
1188
showed up in your tenant report/background check. The notice must include
the following information:
•
•
•

The name and contact for the company that supplied the report;
A statement that the landlord, not the screening company, made the adverse
decision; and
Notice of your right to dispute the accuracy of the report and to receive a free
1189
copy of your report within 60 days.

EXTRA PROTECTIONS for the Public Housing program and the “Section 8”
Housing Choice Voucher program ONLY:
ONLY for these two government-assisted programs, PHAs must follow certain
extra rules (set forth below).
•

The PHA must make sure the criminal records are true and accurate.

After the PHA has you sign a release of criminal records information and submits
that release to the law enforcement agency that holds the criminal records, it
may receive a response that there is a match based on your name, date of birth,
and social security number. The PHA cannot deny admission based on this
information alone; the PHA must verify the match with a positive fingerprint
1190
comparison.
•

The PHA must give you notice of any proposed action that could harm you.

A PHA must notify the household of any proposed action that could harm you
(called an “adverse action” notice). The PHA must also provide a copy of the
criminal record information to the person who was the subject of the record—as
1191
well as to the applicant, if that’s a different person.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. CIV. CODE § 1786.16.
CAL. CIV. CODE § 1786.11.
CAL. CIV. CODE § 1786.40; 42 U.S.C. § 1437d(q)(2).
1189
42 U.S.C. § 1437d(q)(2).
1190
Instructions for Obtaining Federal Bureau of Investigation Criminal History Information, PIH 2003-11(HA) (Apr. 11,
2003) ¶ 7.
1191
42 U.S.C. § 1437d(q)(2). There are conflicting interests involved in providing the criminal record to both the
applicant and the member of the family subject to the criminal record. The FBI “commented that dissemination of
criminal records is limited to those with authorization (such as the PHA) and the person who is the ‘subject’ of the
record, not to other persons in the household.” 66 Fed. Reg. 28,776, 28,789 (May 24, 2001). HUD disagreed,
1186
1187
1188

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•

!

The PHA must give you an opportunity to challenge the criminal record
information.

The person whose information was relied on must be given an opportunity to
1192
dispute the proposed negative action. NOTE: Even if you don’t have an
automatic legal right to a review hearing, you can always ask for one! To learn
more about challenging a denial to government-assisted housing, please go to
PG. 407.
•

The PHA Must Protect the Confidentiality of Your Records:

1193

Under federal law, PHAs must have a system to: (1) Protect the confidentiality of
applicants’ criminal records; (2) Guard against improper sharing of those
1194
records; AND (3) Destroy the records once their purpose has been achieved.

" YOUR RIGHTS AGAINST ILLEGAL ACCESS OF YOUR
CRIMINAL RECORDS AS YOU APPLY FOR GOVERNMENTASSISTED HOUSING:
WHAT ARE MY LEGAL RIGHTS IF A PUBLIC HOUSING
AUTHORITY (PHA) OR OWNER OF GOVERNMENT-ASSISTED
HOUSING ILLEGALLY ACCESSES OR USES MY CRIMINAL
RECORD INFORMATION?
THE GENERAL RULE:
In general, if you believe you were denied housing because of illegal access to
your records, or because of incorrect or illegal information, you should
IMMEDIATELY ask for a review hearing! A review hearing is an informal
procedure in which you can present corrections to your record, evidence of
rehabilitation, and other mitigating information (see PG. 417) to challenge a
denial to government-assisted housing. Go to PG. 407 of this Chapter to learn
about the procedure for challenging denials and how to request an informal
review hearing.
SPECIAL RULE for Public Housing & “Section 8” Housing Choice Voucher
programs:
If you applied through a PHA for Public Housing or “Section 8” Housing Choice
Vouchers, there is a special rule that says PHAs and owners of the governmentassisted housing cannot take any “negligent or knowing action that is
inconsistent with” the laws and regulations governing access to your criminal

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
contending that under its statutory authority, it is required to provide the information to the applicant or tenant so
that the applicant or tenant may dispute the determination.
1192
42 U.S.C. § 1437d(q)(2); 24 C.F.R. § 5.903(f); see also 42 U.S.C. §§ 960.204(c), 966.4(l)(5)(iv) (public housing) and
982.553(d) (voucher). The notice and opportunity to contest must also be provided in the case of an eviction or lease
enforcement action.
1193
Special Note for Advocates: The statutory language shows a policy concern that PHAs maintain the
confidentiality of criminal records obtained through the federally authorized process. However, the regulation states
that it is not applicable to public information or to criminal records information obtained from law enforcement
agencies if the information was not sought pursuant to the regulations. 24 C.F.R. §§ 5.901(c), 5.905(c)(2). This
exemption may be too broad. The meaning and full effect of the exclusion and its consistency with the statute has
not been tested. The concern is that this may mean that if a PHA obtains information from a private consumer
reports agency, it may not have to abide by the confidentiality provisions of the statute. 15 U.S.C. §§ 1681-1681u.
Additionally, the confidentiality provisions of the statute most likely do not cover information the PHA or owner
obtains from other sources, such as police blotters and newspaper reports. Nevertheless, advocates should argue
that any information obtained from law enforcement agencies that is not otherwise publicly available should be
subject to the statutory protections. 24 C.F.R. § 5.901(c). With respect to the management of the records, the statute
references “any criminal records received,” whereas other provisions of the statute are limited to information
received under the subsection. 42 U.S.C. § 1437d(q), § 13,663(f); see also 24 C.F.R. § 982.307(b)(2) (PHA may provide
voucher landlords information in PHA files).
1194
42 U.S.C. § 1437d(q)(4), (6); 24 C.F.R. § 5.903(h).

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1195

records. A negligent action is one where the PHA or owner of the
government-assisted housing knew or should have known that their access to
your records violated the law. A knowing action is one where the PHA or owner
of the government-assisted housing actually knew that its access to your
records violated the law.
A PHA or owner MAY BE LIABLE for negligence if they do any of the
1196
following:
•
•
•
•
•

Improperly disclose a criminal record;
Improperly use a consent form (a.k.a. a “release” form);
Fail to notify you of the criminal history information collected;
Fail to provide you with a copy of the information collected (whether you are
an applicant or a current tenant); and/or
Fail to allow you the right to dispute the information.

In this situation, it’s best to talk to a lawyer! You could recover attorney’s fees
1197
and other litigation costs as part of the relief you get in court. See the list of
legal aid providers on PG. 1190 to contact an organization that may be able to
provide you legal assistance.

ERRORS IN YOUR BACKGROUND CHECK
REPORT & HOW TO CORRECT THEM—AN
OVERVIEW
COULD THERE BE ERRORS IN THE BACKGROUND CHECK/
TENANT REPORT THAT A HOUSING PROVIDER RUNS ON ME?
Likely, yes. Unfortunately errors in background check reports are an incredibly
common problem.

HOW CAN I CORRECT ERRORS IN MY BACKGROUND CHECK/
TENANT REPORT?
The law that covers background checks and background check companies is
very specific about how you can challenge mistaken, incomplete, or missing
information in your background check report/tenant report. If you think there is
something wrong, you can tell the landlord, call the background check company
that ran the report, and try to get it fixed. For more details on how to correct
mistakes in your background check report, see the UNDERSTANDING &
CLEANING UP YOUR CRIMINAL RECORD CHAPTER, beginning on PG. 1020.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

42 U.S.C. § 1437d(q)(7).
The broad scope of the PHA’s or owner’s liability may provide leverage for an applicant harmed by the
negligence. The threat of litigation costs and attorney’s fees may encourage settlement and the admission of the
applicant.
1197
42 U.S.C. § 1437d(q)(7); see also Rivers v. Housing Auth. of Contra Costa Cnty., No. CO5-04291 PJH (N.D. Cal.,
complaint filed Oct. 21, 2005) (illegal release of juvenile record); There is no equivalent language regarding fees and
costs regarding negligent actions with respect to registered sex offenders.
1195
1196

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V.

!

JOINING FAMILY &
FRIENDS IN HOUSING
WHAT WILL I LEARN?

•
•
•
•
•

Important tips if you are looking to move in with family or
friends in their housing
Suggestions and considerations if you want to move in with
family or friends into their private housing
Suggestions and considerations if you want to move in with
family or friends into the government-assisted housing
Rules and policies if you are a guest in a family member or
friend’s government-assisted housing
Rules and policies if you are a live-in aide to someone with
special needs or disabilities in government-assisted housing

This section will discuss tips and important steps you should take if you want to
join a family or friend’s household after your release. In addition to these
considerations, you always need to think about any restrictions based on your
supervision status (probation, parole, etc.)—learn more about the rules and
conditions you must follow for your type of community supervision in the
PAROLE & PROBATION CHAPTER, beginning on PG. 130.

JOINING FAMILY OR FRIENDS IN PRIVATE
HOUSING
Here are some general tips if you want to join someone in private housing
(meaning neither the family or friends living there nor the landlord who owns the
housing receive any government money):
1)

You can look at the lease/rental agreement and see what it says about the
maximum number of occupants/residents and any guest policies (these will
usually be in the written lease);
2) You can ask the landlord about guest policies and for permission to add a
new person to the lease if that is what you would like to do (sometimes a
1198
landlord will say it’s allowed but may be able to increase the rent );
3) If the person you are living with OWNS their housing, you don’t have to
worry about landlord policies, but you may still want to consider the pros &
cons of living with family and friends on PG. 381 above.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Rent Increases: Basic Information for Tenants, CAL. DEP’T OF CONSUMER AFFAIRS (May 2012),
http://www.dca.ca.gov/publications/legal_guides/lt-2.shtml.
1198

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JOINING FAMILY OR FRIENDS IN
GOVERNMENT-ASSISTED HOUSING
I HAVE A CRIMINAL RECORD AND WANT TO JOIN A
HOUSEHOLD LIVING IN FEDERAL GOVERNMENT-ASSISTED
HOUSING. CAN I?
It depends on your conviction and the requirements of the government-assisted
housing program.
There is a good chance you will want to join or rejoin a family living in a
1199
government-assisted housing unit. Unfortunately, the laws and policies for
adding an individual with a criminal record to an existing household can be
complex, and sometimes the interests of other family members who are living in
the government-assisted housing unit will conflict with your interests in joining
them.
Here are some COMMON QUESTIONS that often come up, which we will
address in this section.
(1) May I join my family members in their government-assisted housing unit?
(PG. 437)
(2) Does my family have to tell the PHA or owner that I am joining their assisted
household? How do they do that? (PG. 439)
(3) Can we challenge a denial if the PHA or owner rejects my application to join
the household? How do we do that? (PG. 407)
(4) Do I have any rights if I am rejoining my household in government-assisted
housing? (PG. 439)
(5) What are the rules if I just want to be a guest of someone living in
FIRST, LEARN
government-assisted housing and I have a record? (PG. 441)
ABOUT THE
(6) What are the rules if I am a live-in aide for someone living in
CRIMINAL BANS
government-assisted housing and I have a record? (PG. 444)
IN
GOVERNMENTASSISTED
I WANT TO JOIN A HOUSEHOLD LIVING IN
HOUSING.

GOVERNMENT-ASSISTED HOUSING. CAN I?

It depends on your background and on the policies of the PHA or
owner. The same eligibility and exclusion rules apply if you want to
join a family living in government-assisted housing as those that
would apply if you were applying on your own—see PG. 397. As with
new applicants there are a few limited situations in which a PHA or
1200
owner must reject the new family member
(see PG. 403 for bans
based on your criminal record). But in the vast majority of situations,
the PHA or owner has BROAD DISCRETION to accept or reject you as
an additional household member, just like for new applicants.
The rules for adding family members to an assisted household are
different for every assisted housing program and are determined
locally. You should be able to find these rules FOR YOUR PROGRAM.
You can look in the following places:

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Return to the
section above about
bans to understand
when there are
required bans vs.
when the PHA or
owner of
governmentassisted housing
has discretion
(meaning is allowed,
but not required) to
ban you from a
governmentassisted household.
You can also learn
how to challenge a
denial on PG. 407 of
this Chapter.

Studies have shown that a substantial number of public housing residents have family members or significant
others with recent criminal history. See CATRINA GOUVIS ROMAN, TAKING STOCK: HOUSING, HOMELESSNESS, AND PRISON
REENTRY 24 (2004). It’s likely that members of other federally assisted housing programs are similar.
1200
See PG. 59 for a discussion of the screening criteria relating to individuals with criminal histories.
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•
•
•
•
•
•
•

!

The PHA’s Annual Plan
The PHA’s Admission and Occupancy Plan (ACOP)
The lease for public housing
The Administrative Plan for the Section 8 Voucher program
1201
The lease and/or house rules for all other government-assisted programs
The PHA’s website for these plans
By asking the PHA and/or owner for a copy.

IMPORTANT: Depending on the type of criminal activity and whether or
not if happened on the government-assisted property, it could disqualify
not just you, but your entire family from meeting the eligibility
requirements of the assisted housing program! (Again, read PG. 396 to
better understand eligibility requirements.)

DOES THE FAMILY IN THAT HOUSEHOLD HAVE TO REPORT THE
ADDITION TO THE HOME?
Yes. In general, if a family is adding an adult member to the
household, they (1) must notify the PHA and government-assisted
owner AND (2) in most cases, receive the PHA’s and government1202
assisted owner’s approval for the new addition to the household.
Ask the PHA and owner of the government-assisted housing what
the rules are for reporting a new member, and what the timeframe
is for when you have to report a change to who is living in your
household. It is very important to follow all of their rules!

I WANT TO RETURN BACK TO MY GOVERNMENTASSISTED HOUSING UNIT AFTER A BRIEF PERIOD OF
INCARCERATION. CAN I DO THAT?
It depends on the program. And it depends on the criminal activity.
As always, anyone joining or returning to government-assisted
housing MUST meet ALL of the eligibility requirements for that
housing program, for that PHA, and for the owner (if there is one).
For exclusions (bans) based on your criminal record, read PG. 403 of
this chapter to understand when there are required bans vs. when
the PHA or owner of government-assisted housing has discretion
(meaning is allowed, but not required) to ban you from a
government-assisted household. You can also learn how to
challenge a denial on PG. 407 of this Chapter.
For most federal government-assisted housing programs, the local
PHA and owner of the government-assisted housing may develop
rules and policies regarding temporary absences, and many do have

SPECIAL RULE FOR
SECTION 8
VOUCHERS:
The PHA is actually
required to have a
written policy in its
“Administrative Plan”
about temporary
absences for anyone
in the “Section 8”
Housing Choice
Voucher program, so
if you are in that
program, there will
definitely be a local
policy!
24 C.F.R.
§ 982.54(d)(10). The
Voucher program’s
temporary absence
policy must state
whether or when the
family may be
absent—including for
imprisonment; the
amount of time you
are allowed to be
absent for; and how to
resume your housing
assistance.
24 C.F.R. § 982.312(e).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

This includes HUD-assisted housing, Rural Development (RD) project-based programs, and Low Income Housing
Tax Credit (LIHTC) properties.
1202
24 C.F.R. §§ 966.4(a)(1)(v), 982.516(c), 982.551(h)(2). Because tenants generally are not aware of the rules set forth
in HUD Handbooks, and the lease does not require interim reporting, tenants without notice of the obligation to
report should not be penalized for failing to report interim changes in family composition. Compare HUD,
Occupancy Requirements Of Subsidized Multifamily Housing Programs ¶ 7-10(A)(2) (rev. November 2013) (requiring
that all tenants notify the owner when a family member proposes to move a new member into the unit), with HUD,
Occupancy Requirements Of Subsidized Multifamily Housing Programs, App. 4-A the model lease, ¶ 16a (does not
require interim reporting of changes in family composition).
1201

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such policies. You need to check with the PHA and owner that oversee the
1203
housing unit you want to join about their policies.

!

IMPORTANT: Since your return could harm the entire family’s ability to
stay in government-assisted housing, it’s a good idea for the family to
discuss these issues with the PHA and/or owner of the governmentassisted housing BEFORE you return from your brief absence. If that is
not possible, there are legal defenses to an eviction action if it is brought
against the entire family in court. This HOUSING CHAPTER does not
cover eviction law and all of its defenses, so if this is your issue, you will
need to contact a legal aid organization that specializes in eviction
defense. Go to PG. 1190 for a list of legal aid organizations that may be
able to help.

FDV WHY DO
THESE RULES
ABOUT JOINGING
HOUSEHOLDS
EXIST?

IF I AM JOINING A HOUSEHOLD, WILL THE PHA OR
OWNER OF THE GOVERNMENT-ASSISTED HOUSING RUN
A CRIMINAL BACKGROUND CHECK ON ME?
Most likely, yes. Most government-assisted housing programs, will
check the members of a family every year, and some programs will
require mid-year reporting as well. This process is called
recertification. When the recertification process is happening, the PHA
or owner will be checking all new household members to make sure
they meet all of the eligibility criteria for move-in! Most PHAs and
owners will check the criminal background of any NEW family
members at this time. They could re-check the criminal background of
1204
current tenants at this time, but it’s unlikely.
The criminal
background check on any tenant could lead to the PHA or owner
1205
threatening to evict or end the assistance to an entire household.
Again, this HOUSING CHAPTER does not go into eviction defense, but
see PG. 1190 for a list of legal aid organizations that may be able to
help you if you are facing an eviction.
BE PREPARED TO EXPLAIN WHY YOU SHOULD BE ACCEPTED INTO
HOUSING, DESPITE YOUR RECORD.
Because the PHA or owner is likely to run a criminal background check
on you, you should be prepared—if asked—to honestly disclose your
criminal record and to demonstrate mitigating circumstances and
evidence of your rehabilitation (see PG. 417). Consider giving the PHA
or owner additional information about all the benefits of having you
join the family and how your joining may positively affect the stability of the

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

These policies exist
because PHAs and
owners have an
interest in knowing
who is living in their
units. They may want
to review current
information to assess
how you may act as a
tenant, whether you
will obey the lease,
and whether you pose
a threat to other
residents, the housing
development, or their
staff. The PHA or
owner may also need
to know who is
residing in the unit to
calculate the amount
of rent owed and/or to
determine the correct
family size for the
specific unit.

In the RD programs, the owner must include a number of policies in the lease with the tenant, which must be
approved by the agency. RD regulations require that the lease include information regarding the tenant’s duty to
notify the owner of an extended absence. 7 C.F.R. § 3560.156(c)(18)(xiii).
1204
HUD, Public Housing Occupancy Guidebook, ¶ 12.2 (June 2003) (PHA may conduct criminal background check
of current residents at the annual review “although this is not a HUD requirement”); cf. HUD, Occupancy
Requirements Of Subsidized Multifamily Housing Programs, ¶¶ 7-4 (A)(7) (rev. November 2013) (owners may
conduct criminal background checks at annual recertification). If the owner does require a background check on
current tenants at recertification, the HUD rules for project-based HUD-assisted housing state that the owner must
conduct the background check on all tenants. See HUD, Occupancy Requirements Of Subsidized Multifamily
Housing Programs ¶ 7-4(A)(7); cf. HUD, Public Housing Occupancy Guidebook, ¶ 12.2 (June 2003) (PHA may
conduct criminal background check at the annual review “although this is not a HUD requirement”).
1205
Defending a family from eviction is beyond the scope of this Guide. For more information regarding defending
such evictions, see NHLP, HUD Housing Programs Tenants’ Rights, Chapter 14 (3d ed., 2004 and 2006-2007 Supp.);
Lawrence R. McDonough & Mac McCreight, Wait a Minute: Slowing Down Criminal-Activity Eviction Cases to Find
the Truth, 41 CLEARINGHOUSE REV. 55 (May-June 2007).
1203

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entire housing development. These benefits depend on the facts of your specific
situation. For example, you might include information about your relationship
with the family members currently living in the household, especially a positive
relationship with any children or a supportive relationship between you and your
spouse. Another example is your potential for increasing the income of the
family members that are already living in the assisted housing unit, and
therefore stabilizing the rent paid to the PHA or owner.

IF I AM BEING INCARCERATED FOR A NEW OFFENSE, DOES MY
FAMILY HAVE TO REPORT THAT I MOVED OUT?
Generally, yes. PHAs and owners of government-assisted housing usually have
policies that require family members to report when a family member moves
1206
out.
The family’s duty to report an absence generally depends on whether
your absence is temporary, and whether you intend to continue to reside in the
unit after your return. Whether or not you have to re-apply will depend on how
long you are gone. Many PHAs consider you to have permanently moved out if
1207
you’re absent from the rental unit for 30 or more consecutive days.
Keep in
mind that depending on the terms of your lease/rental agreement, the PHA may
be able to evict your family for failing to report any changes in the number of
people living there (called “occupants”).
Therefore, even if your absence is temporary (for example, less than 30 days),
your family should still report that you’ve temporarily moved out to the PHA and
owner of the government-assisted housing unit, to avoid breaking any rules in
the lease. There is a chance that if it’s just a short, temporary absence, it won’t
change your family’s ability to stay in the government-assisted housing unit. BUT
if know you are going to be absent from the unit for 30 or more days, then your
family should declare you permanently absent, meaning that you have
1208
permanently moved out.
If, after your incarceration, you intend to return to
the unit, you will have to re-apply and meet ALL of the eligibility requirements
(see PG. 397 to understand how your criminal record could affect your being readmitted to federal government-assisted housing).

GUEST POLICIES IN GOVERNMENT-ASSISTED
HOUSING:
I HAVE A RECORD AND WANT TO TEMPORARILY VISIT OR STAY
OVERNIGHT AS A GUEST WITH MY FAMILY IN THEIR
GOVERNMENT-ASSISTED HOUSING UNIT. WILL MY VISIT IN ANY
WAY RISK MY FAMILY’S GOVERNMENT ASSISTANCE?
Unfortunately, it could—depending on the policies of the PHA or owner. Below
we explain the general rules for staying with family or friends as a guest in their
government-assisted housing, and suggested steps to avoid putting their
housing assistance at risk.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

24 C.F.R. §§ 966.4(c)(2), 982.516(c), 982.551(h)(3); see also HUD form 50075, PHA Plans (exp. 08/31/2009), ¶ 4A1f
(PHA Annual Plan requires, for public housing, PHAs to state how frequently a tenant must report changes in family
composition).
1207
See Sacramento Housing and Redevelopment Agency, 2014 Admissions and continued Occupancy Policy 11-5.
1208
See Sacramento Housing and Redevelopment Agency, 2014 Admissions and continued Occupancy Policy 11-6.
1206

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I HAVE A RECORD AND WANT TO TEMPORARILY VISIT OR STAY
OVERNIGHT AS A GUEST WITH MY FAMILY IN THEIR
GOVERNMENT-ASSISTED HOUSING UNIT. WHAT ARE SOME
SUGGESTED STEPS I CAN TAKE TO AVOID PUTTING MY FAMILY
OR FRIEND’S HOUSING ASSISTANCE AT RISK?
(1) If you are planning to stay for only 1 night as a guest:
As a general rule, people living in government-assisted housing are allowed to
have overnight guests. For federal government-assisted housing, federal
regulations define the term “guest” as “a person temporarily staying in the unit
1209
with the consent of a tenant.”
The person living in the government-assisted housing unit should not be
required to register and seek prior approval for an overnight guest. The owner of
the government-assisted housing should allow the tenant to host guests for a
1210
“reasonable” amount of time, which is usually 14 to 30 days, depending on
1211
the landlord’s policy.

!

WARNING: There might be circumstances where an individual CANNOT
stay as a guest or visit the assisted property AT ALL. For example, if
someone committed a criminal offense on the property, the PHA and
owner of the government-assisted housing may be legally allowed to ban
that person from ever returning to the property. There could also be a
restriction on a person’s parole or probation that forbids them from being
on the property. For this reason, you want to be careful to know the rules
of that PHA or owner AND know your rules of probation or parole.
(2) If you are planning to stay for longer than 1 night as a guest:
You want to be careful to know the rules of that PHA or owner about
“Unauthorized Occupants.” There are situations where, instead of being seen as
a “guest”—even if that’s what you and your family consider you to truly be—the
PHA or owner might classify you as an “unauthorized occupant,” a resident
living in that housing unit without permission of the PHA or owner and against
the rules. Being seen as an unauthorized occupant is a big problem for many
reasons:
• Your income and/or assets (for example, any savings or major property you
own) could affect the amount of rental assistance that your family receives.
The total income might be too high for the family to qualify for any assistance
at all. This could lead to your family being evicted from the unit or losing its
financial assistance for the housing unit.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

24 Hous. & Urban Dev. § 5.100.
See, e.g., McKenna v. Peekskill Hous. Auth., 647 F.2d 332 (2d Cir. 1981) (a PHA’s two-week visitation rule was
reasonable); Lancor v. Lebanon Hous. Auth., 760 F.2d 361 (1st Cir. 1985); see also 42 U.S.C. § 1437d(l)(2) (PHAs “must
utilize leases that do not contain unreasonable terms and conditions”); Ritter v. Cecil County Office of Hous. &
Comm. Dev., 33 F.3d 323 (4th Cir. 1994) (upholding, against First Amendment association and privacy claims, PHA’s
two-week visitation rule for Section 8 tenant-based recipients as reasonable under HUD regulations prohibiting
residency by nonfamily members); 42 U.S.C. § 1715z—1b(b)(3). Some state courts have also invalidated
unreasonable guest policies imposed by subsidized owners. See Messiah Baptist Hous. Dev. Fund Co. v. Rosser, 92
Misc. 2d 383 (1977) (occasional overnight visitor does not violate subsidized housing lease provisions requiring
reporting of changes in income and family composition and prohibiting accommodations for boarders); Ashley Ct.
Enters. v. Whittaker, 249 N.J. Super. 552 (App. Div. 1991) (refusing eviction of tenant-based Section 8 recipient
because lease provision barring recurring visits was unreasonable and so vague as to be unenforceable); cf. New
Boston Kiwanis Hous. Dev. Corp. v. Sparks, No. 1957, 1992 WL 79561 (Ohio Ct. App. Apr. 14, 1992) (lease provision
requiring tenant to report changes in family composition does not constitute unlawful attempt to legislate morality;
if guest stays long enough to become household member, tenant can be evicted for failing to report).
1211
See, e.g., Ritter v. Cecil County Office of Hous. & Cmty. Dev., 33 F.3d 323 (4th Cir. 1994) (Section 8 tenant-based
recipient violated two-week guest rule and had notice that violation could result in termination); Zajac v. Altoona
Hous. Auth., 156 Pa. Commw. 209 (1993), appeal denied, 537 Pa. 627 (PHA policy provided that no one other than a
resident could reside in the unit other than on a temporary basis not to exceed 30 days).
1209
1210

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•

!

Just by being in the apartment, you might be violating the lease or the
owner’s or PHA’s guest policies and subject your family to eviction.

If you want to stay as a guest for a longer period, you need to know the PHA or
owner’s time limit on the number of back-to-back days OR number of total days
in a year that a guest may stay in the government-assisted housing unit and still
be considered a “guest.”

!

IMPORTANT! Again, find out the PHA’s and owner’s rules and do not
break them. Check the lease and the PHA’s and owner’s policies. There
is usually a period of time stated in the lease and/or in the PHA’s or
owner’s policies that defines when a guest becomes an “unauthorized
occupant.”
* Special Guest Policy Rules for Specific Government-Assisted
Housing Programs:
Section 8 Vouchers and Rural Development Housing
Section 8 Vouchers programs: Some PHAs have established guest policies for Section 8
voucher participants, limiting the time period that persons not listed as household
1212
members can stay with a tenant. PHAs should inform participants of these policies and
give them an opportunity to request that anyone living there for a longer period be added
to the household.
Rural Development (RD) programs: Federal regulations require that all RD leases “include
provisions that establish when a guest will be considered a member of the household and
1213
be required to be added to the tenant certification.” Also, the owner of the property
1214
must post this same information in its occupancy rules. That means that although there
is no standard amount of time required by law, the owner still must include its guest
policies in the agency-approved lease used with tenants. As with the other programs,
preapproval and registration of guests should not be required and the amount of time
that a tenant may have a guest should be a reasonable period. However, if the guest was
a former tenant who committed a drug violation and was evicted, then the owner may
1215
require that the tenant obtain approval before the guest may visit.

IF I AM PLANNING TO STAY AS A GUEST WITH FAMILY OR
FRIENDS UNTIL I AM ADDED TO THEIR HOUSING LEASE, WHAT
ARE SOME SUGGESTED STEPS I CAN TAKE TO MAKE SURE WE
ARE FOLLOWING ALL THE GUEST POLICIES?
Yes, you can try to negotiate with the PHA or owner of the government-assisted
property.
For example, if your family is seeking to add you to the lease—but the screening
process to add you to the lease TAKES LONGER than the amount of time the
family is allowed to have you as a guest—your family, or an advocate working on
your behalf, may be able to negotiate with the housing provider at the start to
extend the period of time that you are allowed to stay as a guest in that
1216
government-assisted household. If your family can negotiate a policy that
allows you to stay longer as their guest, this helps avoid problems later on if the

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See, e.g., Ritter v. Cecil County Office of Hous. & Cmty. Dev., 33 F.3d 323 (4th Cir. 1994) (Section 8 tenant-based
recipient violated two-week guest rule and had notice that violation could result in termination); Zajac v. Altoona
Hous. Auth., 156 Pa. Commw. 209 (1993), appeal denied, 537 Pa. 627 (PHA policy provided that no one other than a
resident could reside in the unit other than on a temporary basis not to exceed 30 days).
1213
7 C.F.R. § 3560.156(c)(8).
1214
7 C.F.R. § 3560.157(b)(10).
1215
7 C.F.R. § 3560.156(c)(15).
1216
The Somerville (Massachusetts) Housing Authority, Policies and Procedures, http://sha-web.org/policies.aspx..
1212

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PHA or owner of the government-assisted housing accuses your family of
exceeding the time limits for guests, in violation of their lease agreement.

IF A PUBLIC HOUSING AUTHORITY (PHA) OR OWNER OF
GOVERNMENT-ASSISTED HOUSING DENIES MY REQUEST TO BE
ADDED TO MY FAMILY OR FRIEND’S LEASE, WHO CAN
CHALLENGE THE DENIAL AND HOW?
Your family member (whomever is listed on the lease) can request a REVIEW
HEARING (sometimes call a grievance hearing, informal review, informal hearing,
or conference)! Go to PG. 407 to learn about how to challenge a denial to
government-assisted housing and request a review hearing.

LIVE-IN AIDE POLICIES IN GOVERNMENT-ASSISTED
HOUSING
WHAT IS A “LIVE-IN AIDE?”
A live-in aide is a person who resides with one or more elderly, near elderly, or
disabled persons, and who is essential to the care and well-being of that
individual. The live-in aide is not obligated to support the person and would not
1217
be living in the unit except to provide the required services.
A live-in aide is NOT a household member. If you are a live-in aide, your income
will be excluded from calculating the rent for the assisted unit. However, the
family that lives in the unit could request an extra bedroom for the live-in aide
and then be required to pay the standard amount for the larger bedroom size.

CAN I BE SOMEONE’S LIVE-IN AIDE IN GOVERNMENT-ASSISTED
HOUSING IF I HAVE CRIMINAL RECORD?
Maybe. If you have a criminal record, you may be able to reside in a governmentassisted housing unit as a live-in aide, but you will need to be screened (see
next question).
Depending on the policies of the PHA or owner, the criminal background check
conducted for a live-in aide may be less strict than the one used for admitting a
new tenant because a live-in aide is not considered a true household member.

WILL THE PHA OR OWNER SCREEN ME FOR MY CRIMINAL
BACKGROUND IF I AM SOMEONE’S LIVE-IN AIDE?
Yes. The PHA and owner can screen you for issues related to your being present
in the assisted unit. Most PHAs and owners will screen live-in aides for their
criminal background using the same or similar criteria as they use for
admissions (read PG. 403 for the criminal record-related bans in federal

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1217

24 C.F.R. § 5.403.

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government-housing, including which ones are required versus which ones are
1218
allowed).

WILL THE PHA OR OWNER SCREEN ME FOR MY CREDIT HISTORY
IF I AM SOMEONE’S LIVE-IN AIDE?
No. The PHA or owner should not screen you for your credit history if you are a
live-in aide. Your credit history has nothing to do with the family’s ability to pay
1219
for the unit—so you should not be screened for credit.

I WAS EXCLUDED FROM BEING SOMEONE’S LIVE-IN AIDE BASED
ON MY CRIMINAL RECORD. WHAT CAN I DO?
THE PERSON REQUIRING AID SHOULD ASK FOR A REVIEW HEARING. Go to
PG. 407 to learn how (s)he can challenge this denial of you as his/her live-in
aide.
There may be situations in which the disabled/elderly resident needing the care
has great difficulty finding a live-in aide, or that you meet some unique need of
that individual requiring care. In such situations, the disabled/elderly individual
needing the live-in aide may request a reasonable accommodation by asking
the PHA or owner to waive its strict screening criteria, and allow the person with
the criminal record to reside in the unit as a live-in aide due to the special
function he or she plays in the tenant’s life.

WHAT MAKES A REQUEST FOR A REASONABLE
ACCOMMODATION SUCCESSFUL?
Whether the request for reasonable accommodation is successful will depend
upon the facts and an interpretation of reasonable accommodation rules,
discussed in Appendix D, PG. 477.

I AM A LIVE-IN AIDE IN A GOVERNMENT-ASSISTED UNIT, BUT
THE PERSON WHO I WAS CARING FOR HAS LEFT THE UNIT. DO I
HAVE A RIGHT TO STAY?
No. If you are a live-in aide, you have NO RIGHT to continue living in the assisted
1220
unit if the tenant needing the assistance leaves.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

HUD, Occupancy Requirements Of Subsidized Multifamily Housing Programs ¶¶ 4-7(B)(6); 7-10 (rev. November
2013) (stating that owner must apply screening criteria for criminal activity to persons added to the lease, including a
live-in aide).
1219
Cal. Fair Credit Reporting Act, CAL. CIV. CODE §§ 1785.1-1785.6.
1220
Cal. Fair Credit Reporting Act, CAL. CIV. CODE §§ 1785.1-1785.6.
1218

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VI. CHALLENGING DENIALS
FROM HOUSING
WHAT WILL I LEARN?
•
•

Tips and guidance for challenging an illegal denial to private
housing
Tips and guidance for challenging an illegal or unfair denial to
government-assisted housing (either through a Public Housing
Authority (PHA) or an owner of government-assisted housing
units)

CHALLENGING DENIALS TO PRIVATE
HOUSING:
If you believe you have been illegally discriminated against in applying for
private housing from a private landlord, you can challenge that discriminatory
denial. Read about the bases that you can challenge an illegal discriminatory
denial below, and which government agencies you should contact.

WHAT ARE MY MAIN OPTIONS FOR CHALLENGING A DENIAL TO
PRIVATE HOUSING?
•
•
•

Blanket bans against all people with criminal records
Treating your criminal record differently than others (arbitrary discrimination)
Landlord violated your right to notice of a background check, and your right
to fix errors (go to PG. 426)

Go to Appendix H, PG. 491 to learn about how to file a discrimination complaint
with a government agency. Try to get an lawyer to help if you can. See PG. 1190
of this guide for a list of legal aid providers across California.
As a summar, your main options for challenging an illegal denial from private
housing are the following:
1)

You could file an administrative complaint with California’s DFEH (the state
housing protection agency);
2) You could file an administrative complaint with HUD (the federal housing
protection agency);
3) You could file a civil lawsuit in state or federal court; OR
4) You could allow HUD (the federal housing agency) or California’s DFEH (the
state housing agency) to file a lawsuit on your behalf.

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HOW DO I FIGURE OUT WHICH OPTION TO CHOOSE IF I WANT
TO CHALLENGE A DENIAL FROM PRIVATE HOUSING?
Talk to a lawyer or an advocate at a nonprofit legal services organization if
possible—they can help advise you! Also, you can always file a complaint with
both HUD & DFEH, but talking to a lawyer is important. More on each of these 3
options below.
For general instructions on how to file a complaint against a private landlord, go
to Appendix H, PG. 491.

CHALLENGING DENIALS TO GOVERNMENTASSISTED HOUSING
This section will help you understand how to challenge a denial from a federal
government-assisted housing program, and what to expect in the process.
If you are denied government-assisted housing, you have the right to receive
notice of the denial with the SPECIFIC REASONS for the denial—including
anything that came up in your criminal records (see PG. 56 for what PHAs and
government-assisted owners can access). You also have the right to a review of
the denial—which could be a very informal meeting or hearing (see PG. 78 about
what those look like) and the right to receive information on how to prepare for
that informal hearing/review. You also have rights during the review hearing
process AND the right to challenge the decision if you still disagree. Continue
reading to learn mre.

WHEN WOULD I CHALLENGE A DENIAL FROM A PUBLIC
HOUSING AUTHORITY (PHA) OR OWNER OF GOVERNMENTASSISTED HOUSING?
If the PHA or owner of the government-assisted housing discriminated against
you in a way that was illegal, or abused their discretion in denying you the
housing—either for something in your criminal record, a disability, OR because
they relied on mistaken information—then you will want to challenge that denial
by asking for a review of the decision. YOU WILL ALSO WANT TO GATHER AS
MUCH INFORMATION AS POSSIBLE (see PG. 417 about mitigating
circumstances and proof of your rehabilitation) to prove that you should not
have been denied.

RECALL—Important Information about the “Catch-All” Ban: Under the
“CATCH-ALL” ban (described in detail on PG. 403), there are many situations in
which a PHA and/or owner of government-assisted housing is allowed BUT NOT
REQUIRED to deny you. In fact, the law limits the ways that PHAs and owners of
government-assisted housing can exclude you passed on your past criminal
history.
The PHA or owner of government-assisted housing must follow certain laws and
rules when considering your past convictions and criminal history information.
They may only reject you for criminal activity that threatens the health, safety, or
peace of other residents or staff AND the criminal activity must be “reasonably
recent.” For more information on these protections, go to PG. 397.
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IF I WAS DENIED GOVERNMENT-ASSISTED HOUSING, HOW WILL
I KNOW THE REASON WHY?
If you were denied housing due to information that showed up in your
criminal record, then the PHA also MUST give you a copy of the criminal
1221
record it used. This will help you to understand why you were denied.
Furthermore, if you are denied admission to federal government-assisted
housing, you have the right to WRITTEN detailed notice of the denial—
THIS SHOULD EXPLAIN THE SPECIFIC REASON(S) YOU WERE
1222
DENIED!
Sometimes, PHAs and owners will give you a general notice
just telling you that you were denied, but not the specific conduct or
offense that was the basis for the decision. If you get a general notice
without the important details, you should ask for the detailed notice—which
you have the right to! The PHA or owner of government-assisted housing
1223
MUST provide you with a detailed notice under law.

WHAT IS THE TIMELINE FOR CHALLENGING A DENIAL TO
GOVERNMENT-ASSISTED HOUSING?
In terms of timing, if you want to challenge a denial, you should request a
“review hearing” in writing as soon as you receive notice of the denial.
There are strict time deadlines for requesting a review hearing, and they
are different for every housing program. You must stick to the deadline, so
READ THE NOTICE of denial! You may have as little as 1 week (7 days) to
request a review hearing! If you miss the deadline, you will not only lose
the housing unit, but will also be taken off the waitlist and have to
reapply . If you request a review hearing on time, the housing unit will be
held for you until there is a final decision!

WILL I DEFINITELY GET INTO GOVERNMENT-ASSISTED
HOUSING IF I AM SUCCESSFUL IN CHALLENGING THE
INITIAL DENIAL?
No, not necessarily. If you are successful, you could get admitted into
housing, but you might just get another review of the facts or another
1224
hearing—which could help you get in, or could still result in denial.
What
you will get, if successful, is a fairer hearing.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

HELPFUL HINT:
Language of
Notice: If there are
a lot of nonEnglish speakers
served by the
PHA or owner, the
notice may have
to be written in
the language
used by the
applicant. If you
need the notice to
be translated, ask
the PHA or owner
for a copy in your
native language.

HELPFUL HINT:
Challenging the
rejection may give
you the necessary
time to improve or
gather information
to clarify your
criminal history. If
you haven’t
already done so,
you should
request a copy of
your criminal
record and try to
correct any
mistakes.
[CROSSREFERENCE TO
RECORDCLEANING
SECTION] You
should also gather
evidence of
rehabilitation and
mitigating
evidence.

Fair Credit Reporting Act, 15 U.S.C. § 1681 et seq.
42 U.S.C. § 1437d(c)(4) (public housing); 24 C.F.R. §§ 880.603(b)(2) (Section 8 new construction), 882.514(f) (Section
8 moderate rehabilitation), 960.208(a) (public housing), 982.201(f)(1) and 982.554(a) (voucher); HUD, Occupancy
Requirements Of Subsidized Multifamily Housing Programs ¶ 4-9(C)(1) (rev. November 2013); HUD, Public Housing
Occupancy Guidebook, ¶ 4.9 and App. III (June 2003) (sample ACOP) (the ACOP and Notices are models;
nevertheless, they should be persuasive); HUD, Voucher Program Guidebook, Housing Choice, 7420.10G, ¶ 5.7
(Apr. 2001) (voucher); Holmes v. N.Y. City Hous. Auth., 398 F.2d 262 (2d Cir. 1968) (PHA’s failure to inform applicants
of denial or reasons violated due process); 7 C.F.R. §§ 3560.160(e), 3560.154(h) (RD Section 515 Rental Housing)
(applied to Section 514 and 516 farmworker housing through §§ 3560.551, 3560.601), 3560.255(b) (comparable notice
requirements in the USDA Rural Development housing program).
1223
See, e.g., 7 C.F.R. § 3560.154(h) (requiring that the credit report relied upon to deny admission to an applicant
under the USDA Rural Development housing programs be attached to Notices of Ineligibility or Rejection in
accordance with the Fair Reporting Credit Act); HUD, Public Housing Occupancy Guidebook, ¶ 4.9 (June 2003); see
also Edgecomb v. Hous. Auth. of Vernon, 824 F. Supp. 312 (D. Conn. 1993) (termination of subsidy); Driver v. Hous.
Auth. of Racine, 713 N.W.2d 670 (Wis. Ct. App. 2006) (sustaining tenants’ § 1983 claim challenging adequacy of
notice and hearing decision in a termination case as a matter of both due process, per Goldberg v. Kelly, 397 U.S.
254 (1970) and Edgecomb, and public policy.
1221
1222

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HOW CAN I FIGURE OUT THE SPECIFIC PROCEDURES FOR
CHALLENGING A DENIAL TO GOVERNMENT-ASSISTED
HOUSING?
The notice will tell you the specific procedure for challenging the denial for that
particular housing program. The first step in challenging any denial, however, is
always to submit a WRITTEN request for a review hearing, where you can fight
the denial. Under law, you almost always have the right to a review
1225
of denial from government-assisted housing.
Although not
The notice of denial will tell you who to send the written request for a
review hearing to AND when you need to do it (the timing deadline
1226
by which you have to challenge the denial).
The time frames must
1227
be “reasonable”—which usually means within 10-30 days.
Follow the
deadlines that you are given!

required, the denial
letter (rejection
notice) should also
state the legal
services offices
nearest to you. If its
does, call that office
for extra help!

In sum, if you were denied from housing because of your record and
you want to fight it, your first step will be to request a review hearing in
writing, and you always should. ALWAYS ASK FOR A HEARING WITHIN THE
DEADLINE LISTED ON YOUR DENIAL NOTICE—and follow all of the procedures
the notice gives you!

!

IMPORTANT! ASK YOUR SUPPORTERS TO COME TO THE HEARING
WITH YOU! If there are individuals who are willing to accompany you to
your hearing and testify (talk about how your circumstances have
changed and to support your housing application), their attendance can
help!
!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
Special Note for Advocates: This section cites cases involving denial or termination from federally assisted
housing. Note: There may be cases from other social welfare programs that also may be used to build an applicant’s
case. Such cases are not included in this discussion, as they are beyond the scope of this manual.
1225
See, e.g., 42 U.S.C. § 1437d(c)(4) (public housing); 24 C.F.R. §§ 882.514(f) (Section 8 moderate rehabilitation),
960.208(a) (public housing), 982.554 (voucher) 880.603(b)(2) (Section 8 new construction); 7 C.F.R. § 3560.160(f)-(g)
(rural development pro- gram); HUD, Public Housing Occupancy Guidebook, ¶ 4-9) (June 2003) (informal hearing is
distinct from a public housing grievance hearing); see also Ressler v. Pierce, 692 F.2d 1212, 1215 (9th Cir. 1982)
(applicants for project–based Section 8 had a sufficient property interest to give rise to due process procedural
safeguards); Holmes, 398 F.2d at 265 (due process requires ascertainable standards for admission); Eidson v. Pierce,
745 F.2d 453 (7th Cir. 1984) (applicants for Section 8 new construction projects lack sufficient property interest for
due process protections).
1226
Holmes v. N.Y. City Hous. Auth., 398 F.2d 262, 264 (2nd Cir. 1968); Billington v. Underwood, 613 F.2d 91 (5th Cir.
1980), and subsequent opinion, Billington v. Underwood, No. 81-7978, 707 F.2d 522 (11th Cir. May 23, 1983); see
also Vance v. Hous. Opportunities Comm’n, 332 F. Supp. 2d 832 (D. Md. 2004) (mentally disabled tenant challenged
a termination from Supportive Housing program and denial of reinstatement based on various procedural
deficiencies; court preliminarily ordered reconsideration of reinstatement request and new hearing on termination
with other procedural protections).
1227
See, e.g., 24 C.F.R. § 5.514(e)(1) (applicants for federally assisted housing rejected because of rules regarding
immigration statutes have 30 days from notice to request grievance hearing); 7 C.F.R. § 3560.154(e) (Rural
Development housing notice must be delivered by certified mail return receipt requested or hand-delivered letter
with signed receipt by applicant and inform denied applicant of the right to respond within 10 calendar days after
date of notice and right to hearing available upon request), whereas, 7 C.F.R. 3560.160(h) states notice must be
given of the right to respond within 10 days after receipt of notice (emphasis added); HUD, Occupancy
Requirements Of Subsidized Multifamily Housing Programs ¶ 4-9(C)(2)(b) (rev. November 2013) (notice must inform
applicant of right to respond in writing or to request a meeting within 14 days of rejection); HUD, Public Housing
Occupancy Guidebook, App. VIII (Applicant Notice of Rejection) (June 2003) (request informal hearing within 10
days); see also Samuels v. District of Columbia, 669 F. Supp. 1133, 1140 (D.D.C. 1987) (10-day period for a tenant to
seek grievance hearing is unreasonably short).
1224

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REVIEW HEARINGS: THE WAY TO CHALLENGE A
DENIAL TO GOVERNMENT-ASSISTED HOUSING
Requesting a review hearing is one of the most important avenues for
challenging a denial to most types of government-assisted housing (whether it
was a denial by the Public Housing Authority (PHA) or an owner of governmentassisted housing).
Of course, if you can, it’s best to find a lawyer or advocate who can help you
through this process. It’s tough to find lawyers who do this, but it’s worth a try.
See PG 1190 for a list of legal aid organizations that may be able to help advise
you as you challenge your denial from government-assisted housing. If you
cannot find a lawyer to help you, do not despair! It’s possible to do this on your
own!

WHAT CAN I EXPECT AT THE REVIEW HEARING? AND HOW CAN I
PREPARE?
THE HEARING:
Once I have sent in a written request for a review hearing, how can I prepare for
the review hearing?
At the informal hearing or review, you are going to want to show the PHA or
owner of the government-assisted housing that you should not have been
denied the housing because of mitigating circumstances/ proof of rehabilitation
(see PG. 417), a disability that requires a reasonable accommodation (see
Appendix D, PG. 477), or a mistake in the criminal records that the PHA or owner
used (see CLEANING UP YOUR CRIMINAL RECORD CHAPTER, PG. 1029).
Before the informal hearing/review, you should:
1)

Ask the PHA or owner for all documents and information regarding the
denial of your housing application, including a copy of the criminal records it
1228
relied upon to deny you.
2) Get a copy of your criminal record yourself to make sure it is correct. (For
information on how to do this, see CLEANING UP YOUR CRIMINAL RECORD
CHAPTER, PG. 1041).
a. Compare your criminal record with the information the PHA or owner
used to deny you.
b. At the same time, you will want to work on fixing any mistakes in the
records used by the PHA or owner—or showing documentation of the
errors. Records often have mistakes and you shouldn’t be denied
1229
housing for an error.
(See CLEANING UP YOUR CRIMINAL RECORD
CHAPTER, PG. 1036.) This can take time, so you should act fast, and ask
the PHA and/or owner of the government-assisted housing to hold the
unit while you collect the documents you need.
3) Review your application & be prepared to talk about important differences.
a. Make sure you know what you wrote on your application about your
criminal record, illegal drug use, or whatever it was that made you get

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

For the USDA rural housing programs, applicants who have been denied housing and choose to file grievances
are entitled to examine the records that a borrower plans to rely upon to defend the admission decision. 7 C.F.R.
§ 3560.160(g)(4) (Rural Development housing); see also, HUD, Public Housing Occupancy Guidebook, App. VIII
(sample Applicant Notice of Rejection) (June 2003) (offers applicant the opportunity to review applicant file); See
Chapter 3 for a discussion of special federal rules regarding access to criminal records by PHAs and owners. In the
event that the denial is based upon criminal record information obtained by a PHA (including lifetime sex offender
registration) in accordance with the federal statute, the PHA has an obligation to provide the applicant a copy of
that record.
1229
Sharon M. Dietrich, When “Your Permanent Record” Is a Permanent Barrier: Helping Legal Aid Clients Reduce
the Stigma of Criminal Records, 41 CLEARINGHOUSE REV. 139 (July-Aug 2007).
1228

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denied for the housing. For example, what did you say in response to
the question about your convictions? What did you say about your illegal
drug use? Whom did you say would live in your household? If the answer
you gave on your application is not exactly the same as the answer you
would give today, you must be able to explain why. If you didn’t include
certain information about your criminal record in your application to the
PHA or owner, you will have to explain why it was left out. Or if you said
that a certain relative would be living with you who is not, you need to
explain what has changed.
IMPORANT: If you were denied under a ban that is allowed but not required,
then you will want to prove to the PHA or owner of the government-assisted
housing that there are mitigating circumstances or evidence that you have
changed and rehabilitated since the time of your offense.
If you were denied because of your criminal history, you should present
evidence of rehabilitation. This includes all the letters and documents you can
think of that will show how you have changed and grown since your negative
1230
conduct. You should get any of the following: letters of support.
Ask people
who have supported you through reentry—like your current employer, a
teacher, probation officer, social worker, neighbors, current or prior
landlords, community leaders-- to write a letter of support on your
IMPORTANT!
behalf. The letters should emphasize:
You have the
opportunity to tell
• How your circumstances have changed since the negative conduct/
the hearing officer
offense,
why the decision
• That you are a good person who gets along well with others,
he/she made is
wrong
• That you are motivated to improve your life, and
• Your good performance or attendance record if you are in school or
TIPS:
working.

WHAT CAN I EXPECT FROM THE REVIEW HEARING?1231
WHAT IS IT LIKE?
Every hearing is different, but generally, the hearing is likely to be very
informal (more details about these informal hearings below). It is very
different from a court proceeding, and formal evidence rules do NOT
apply. For example, the PHA or owner may introduce newspaper
reports, police blotters, declarations or criminal records, with no one to
1232
authenticate or testify about the records.
You are also allowed to

• Try to explain
clearly what
they missed,
made mistake
on, or why their
decision was
wrong.
• Be as
composed and
clear as
possible.
• Bring a friend,
witness, and/or
lawyer or
advocate if you
can.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Legal Action Center, How to Get Section 8 or Public Housing Even with a Criminal Record: A Guide for New
York City Housing Authority Applicants and their Advocates, App. H (no date), http://lac.org/index.php/lac/130
(provides examples of letters of recommendation); New York City Housing Authority, Division of Applicant Appeals,
Public Housing Hearing, Report of Informal Hearing, August 7, 2007, No. 113-52-7732.
1231
See Jaimes v. Toledo Metro. Hous. Auth., 758 F.2d 1086 (6th Cir. 1985); Billington v. Underwood, 613 F.2d 91, 93
(5th Cir. 1980); Neddo v. Hous. Auth. of Milwaukee, 335 F. Supp. 1397 (E.D. Wis. 1971); cf. Spady v. Mount Vernon
Hous. Auth., 341 N.Y.S.2d 552 (N.Y. App. Div. 1973), aff’d mem., 310 N.E.2d 542 (N.Y. 1974), cert. denied, 419 U.S.
983 (1974) (Douglas, J., dissenting); Sumpter v. White Plains Hous. Auth., 278 N.E.2d 892 (N.Y. 1972), cert. denied,
406 U.S. 928 (1972) (distinguishing evidentiary hearing required before termination of benefits from procedures
required before denials of eligibility). See also S. K. Morris, Note, The New Leased Housing Program: How
Tenantable a Proposition? 26 HASTINGS L.J. 1145, 1201 (1975).
1232
See Billington v. Underwood, No. 81-7978, 1983 WL 855694 (11th Cir. May 23, 1983) (discussion of the burden of
proof and use of hearsay in hearing for denial of admission). The following cases set aside hearing decisions based
solely on hearsay in the context of subsidy terminations or proposed evictions: Basco v. Machin, 2008 WL 182249
(11th Cir.); Edgecomb v. Hous. Auth. of Vernon, 824 F. Supp. 312 (D. Conn. 1993) (in decision involving termination
of tenant- based assistance, court held that conclusory statement was insufficient); Kurdi v. Du Page County Hous.
Auth., 161 Ill. App. 3d 988 (1987); Carter v. Olmsted County Hous. & Redev. Auth., 574 N.W.2d 725 (Minn. Ct. App.
1998); Chase v. Binghamton Hous. Auth., 91 A.D.2d 1147, 1147-48 (N.Y. App. Div. 1983). Hearsay rules, if used, will
likely apply to all parties. Therefore, an applicant should be prepared to have whatever hearsay rules are adopted
apply to the evidence that he or she presents. Broughton v. Hous. Auth. of Pittsburgh, 755 A.2d 105 (Pa. Commw.
Ct. 2000) (tenant’s hearsay evidence excluded in judicial setting).
1230

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bring in any evidence showing why your criminal record should not bar you from
getting into the housing program.
You are allowed, and it’s recommended, that you bring a friend or family
member who can be supportive and can also be a witness to what is happening
and what is said at the hearing.

WHAT RIGHTS DO I HAVE IN A REVIEW HEARING?
1)

2)
3)
4)
5)
6)

You have the right to a hearing before an impartial, unbiased hearing
1233
officer.
That means that hearing officer should be independent, with no
stake in the outcome of the hearing, and ready to hear both sides. He/she
should not be the same person who made the original decision to deny you,
or anyone who works for the person who made the original decision to deny
.1234
you
You have the right to an opportunity to make an argument (called a
“rebuttal”) to challenge the information the PHA or owner relied upon in
1235
denying you.
You should be allowed to explain why you pled guilty to a past
1236
conviction.
The hearing’s decision maker may find your explanation
important and relevant.
You should ask for a written transcript and an audio recording of the review
hearing. If the hearing officer won’t provide you this, you can ask to bring in
your own recording device (many cell phones have this function).
1237
Ask for witnesses to testify under oath.
The right to a written decision after the review hearing (for most
1238
government-assisted housing programs).
The written decision must be
given to you within a reasonable period of time (usually 10-30 days), state
the reasons for the decision, and state the evidence the hearing officer
1239
relied upon in making a decision.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Billington v. Underwood, 613 F.2d 91, 95 (5th Cir. 1980); see also Piretti v. Hyman, No. 79-622-K, slip op. (D. Mass.
July 23, 1979), vacated as moot without opinion, 618 F.2d 94 (1st Cir. 1980) (in a case regarding termination of
tenant-based assistance, decision-maker not impartial when the attorney presenting the PHA’s case also advised
the hearing officer).
1234
See 24 C.F.R. § 982.554(b)(1); HUD, Public Housing Occupancy Guidebook, § 4.9 and App. VIII (Applicant Notice
of Rejection) (June 2003); HUD, Voucher Program Guidebook, Housing Choice, 7420.10G, ¶ 16.5 (Apr. 2001)
(voucher program); HUD, Occupancy Requirements Of Subsidized Multifamily Housing Programs ¶ 4-9(D)(1)
(requiring that any meeting with the applicant to discuss the applicant’s rejection must be conducted by a member
of the owner’s staff who was not involved in the initial decision to deny admission or assistance); see also Davis v.
Mansfield Metro. Hous. Auth., 751 F.2d 180, 185 (6th Cir. 1984); Billington v. Underwood, 613 F.2d 91, 95 (5th Cir.
1980).
1235
Billington v. Underwood, 613 F.2d 91, 95 (5th Cir. 1980); see also Edgecomb v. Hous. Auth. of Town of Vernon,
824 F. Supp 312, 314-16 (D. Conn. 1993) (in a termination of benefits case, the hearing decision could not be based
wholly on hearsay; hearing decision inadequate because no reasons given; participant was entitled to crossexamine witness); Kurdi v. Du Page County Hous. Auth., 514 N.E.2d 802, 806 (Ill. App. Ct. 1987) (setting aside a
termination decision based wholly on hearsay); see also 7 C.F.R. § 3560.160(h) (2007) (rural development housing).
1236
Gibson v. Gibson, 15 Cal. App. 3d 945 (1971); see also Costa v. Fall River Hous. Auth., 71 Mass. App. Ct. 269, 283
(2008).
1237
Neddo v. Hous. Auth. of City of Milwaukee, 335 F. Supp. 1397, 1400 (E.D. Wisc. 1971); see also 7 C.F.R.
§ 3560.160(h) (2007) (RD housing).
1238
See, e.g., New York City Housing Authority, Division of Applicant Appeals, Public Housing Hearings, Report of
Informal Hearing, August 6, 2007, No. 113-52-7732 copy available as Exhibit 3 of this Chapter (applicant with felony
convictions found to have made significant positive changes and improved since the offenses).
1239
4 C.F.R. §§ 882.514(f) (Section 8 Moderate Rehabilitation) and 982.552(b)(3) (voucher program) (2007); HUD,
Public Housing Occupancy Guidebook, ¶ 4.9 (public housing); HUD Handbook 4350.3, REV-1, CHG-2, ch. 4-9D
(June 2007) (final decision must be given to applicant within five business days of meeting); Neddo v. Hous. Auth. of
City of Milwaukee, 335 F. Supp. 1397 (E.D. Wisc. 1971); see also Edgecomb v. Hous. Auth. of Town of Vernon, 824 F.
Supp. 312 (D. Conn. 1993) (in a termination of benefits case, hearing decision could not be based wholly on hearsay;
hearing officer decision inadequate because no reasons given; participant entitled to cross-examine witness); Powell
v. D.C. Hous. Auth., 818 A.2d 188 (D.C. 2003) (reversing PHA’s termination decision for alleged fraudulent
underreporting of income because hearing officer failed to make findings with respect to each contested material
allegation of fact as required by due process and applicable local Administrative Procedure Act (APA); see also
Hicks v. Dakota County Cmty Dev. Agency, No. A06-1302, 2007 WL2416872 (Minn. App., Aug. 28, 2007) (the record
must be sufficient to facilitate meaningful review and where there are no findings or credibility determinations, the
court could not conduct a meaningful review); see, e.g., New York City Housing Authority, Division of Applicant
Appeals, Public Housing Hearing, Report of Informal Hearing, August 6, 2007, No. 113-52-7732 (copy available as
Exhibit 3 to this Chapter). For Rural Development housing, the notice must be served within ten days of the hearing.
7 C.F.R. § 3560.160(i)((2) (2007). As noted above, the decision also should not be based wholly upon uncorroborated
hearsay.
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Extra Rights for Public Housing & Voucher housing programs: In addition to
the requirements above, for public housing and the voucher program ONLY,
there is the additional protection that the hearing can only go into the issues
1240
that were presented in the rejection notice.
At the hearing, no information
should be presented if it was not the basis for the rejection because
otherwise you don’t have an opportunity to investigate ahead of time and
challenge that new information at the hearing.
8) The Rules for Rural Development (RD) housing hearings are different. To
learn about that process, see APPENDIX I, PG. 498.
7)

WHAT CAN I DO IF I AM UNHAPPY WITH THE WRITTEN DECISION
BY THE REVIEW HEARING?
If you are unhappy with the decision made at the review hearing, and want to
challenge it further, ask the hearing officer or an attorney on how to challenge
that decision. Usually, if you lose your informal hearing, you cannot continue to
challenge the denial of government housing at the Public Housing Authority
(PHA) level. Most likely, the only way for you to continue to challenge the denial
after losing your informal review hearing is to sue the Public Housing Authority
1241
in court. This is a big decision and a lawyer can help you figure out your
options, since ever individual case is different. Please contact Root & Rebound’s
office for a referral or futher guidance (Phone: 510-279-4662, Address: 1730
Franklin Street, Suite 300, Oakland, CA 94612).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Wolff v. McDonnell, 418 U.S. 539, 564 (1974); Billington v. Underwood, 613 F.2d 91, 93-95 (5th Cir. 1980);
Singleton v. Drew, 485 F. Supp. 1020, 1024 (E.D. Wisc. 1980); McNair v. N.Y. City Hous. Auth., 613 F. Supp. 910, 91415 (1985).
1241
You could bring an action for federal civil rights violations under 42 U.S.C. § 1983, which has a three-year statute
of limitations, to challenge a decision on fair housing or due process grounds, and also sometimes on the grounds
that the decision is contrary to applicable federal law. This is a field of law that is very complicated. It is unclear
whether you can use § 1983 to make a challenge that a decision lacks substantial evidence, or that the officer did
not exercise discretion properly. The state certiorari statute is necessary, especially if your challenge focuses on the
failure of the housing program to comply with agency procedures and policies.
1240

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VII. MAINTAINING MY
HOUSING
WHAT WILL I LEARN?
•
•
•

General tips for renters
Your rights and responsibilities as a renter
Tips and guidance about your options if you are facing an
eviction

GENERAL TIPS FOR RENTERS
I AM PLANNING TO RENT AN APARTMENT (PRIVATE OR
GOVERNMENT-ASSISTED). WHAT ARE SOME GENERAL TIPS FOR
RENTERS?
These tips can help you prepare for the process of renting an apartment, and
avoid problems related to background checks!
ORDER YOUR FREE CREDIT REPORT BEFORE YOU APPLY FOR AN
APARTMENT.
The landlord will almost certainly order your credit report before letting you live
as a tenant in his/her unit. Even though this Chapter does not go into all of the
ruels and laws that govern credit check, it’s still important to understand that this
is part of what most landlords will be looking at. Before you apply to ANY type of
housing, you can order your own credit report to make sure that all the
information is accurate and up-to-date. You can order your credit reports free
once every 12 months from each of the three national credit bureaus:
(1) Experian, (2) TransUnion, and (3) Equifax. To learn more, see the Federal
Trade Commission’s information on Free Annual Credit Reports on its website:
http://www.ftc.gov/bcp/edu/microsites/freereports/index.shtml (Note: this is a
trusted government website about credit reports).
LEARN ABOUT BACKGROUND CHECKS/ TENANT REPORTS.
Most landlords use ”tenant reports” (these are background checks specifically
for the purposes of housing and renting apartments) to screen housing
applicants. As discussed on PG. 426, these reports can include both credit
history and non-credit information such as your criminal record; court cases
related to past evictions; references from former landlords; information from
local, state and national databases (such as Sex Offender registries); and more. If
you learn you that the landlord is going to order a background check/tenant
report on you, you could save yourself a lot of time and trouble by simply asking
the landlord the name and contact information for the screening company, so
that you find the tenant report yourself and make sure the information is
accurate and up-to-date.

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UNDERSTAND YOUR RIGHTS & RESPONSIBILITIES AS A RENTER.
If you live in government-assisted housing, a good place to start is the U.S.
Department of Housing and Urban Development’s (HUD website about renting
in California: http://portal.hud.gov/hudportal/HUD?src=/states/california/renting.
Carefully review any lease or rental agreement before you sign it. Be sure that
any WRITTEN agreements include VERBAL conversations you had with the
landlord or property management company—so that those agreements will be
legally enforceable later on. As well as general rules about rent payments,
utilities, and the time period covered, a lease or rental agreement should cover
anything you have discussed together: things like pets, visitors, roommates, or
1242
subletting.
If you know there is something in the lease or agreement that
limits your basic legal rights, bring that up with the landlord. In California, the
Department of Consumer Affairs has published a great guidebook on tenants’
rights available online at:
http://www.dca.ca.gov/publications/landlordbook/catenant.pdf.

WHAT ARE SOME OF MY GENERAL RIGHTS AS A RENTER IN
CALIFORNIA?
GENERALLY, YOUR BASIC RIGHTS AS A TENANT IN CALIFORNIA (NO MATTER
WHAT THE LEASE OR RENTAL AGREEMENTS SAYS) INCLUDE THE
FOLLOWING:
•
•
•
•
•
•
•
•
•

Limits on the amount of the security deposit that the landlord can require you
to pay.
Limits on the landlord’s right to enter the rental unit.
The right to a refund of the security deposit, or a written accounting of how it
was used, after you move.
The right to sue the landlord for violations of the law or your rental
agreement or lease.
The right to repair serious defects in the rental unit and to deduct certain
repair costs from the rent, under appropriate circumstances.
The right to withhold rent under appropriate circumstances.
Rights under the warranty of habitability.
Protection against retaliatory eviction.
These and other rights will be discussed throughout the rest of this booklet.

KEEP RECORDS OF YOUR LEASE & OTHER DOCUMENTS RELATED TO YOUR
APARTMENT.
Keep a file with your signed lease or rental agreement and any other important
documents. The file should include notes of any conversations you have with
your landlord or apartment manager regarding repairs, disturbances, disputes,
or any other event or incident that may affect your rights as a tenant. It should
also include any mail, emails, repair orders, and even notes left on your door.
Keep and maintain a separate file for each rental unit you live in.
AVOID SCAMS.
Avoid rental scams by recognizing warning signs. Online resources such as
Craigslist (www.craigslist.com) are a popular way to search for available rental
units. However, scammers also use these sites to place phony rental listings or
to hijack a valid listing to attempt to steal your money or identity. If you are

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1242

See, e.g., CAL. CIV. CODE § 1961 ̵ 2.

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asked to wire money—it’s probably a scam! If you are asked to pay a security
deposit or an advance on your rent before signing a rental agreement, that is a
red flag too. You should also be aware of foreclosure scams targeting
unsuspecting renters and upset homeowners. To learn how to spot and avoid
foreclosure scams, check out the following website:
http://www.freddiemac.com/news/blog/joan_ferenczy/20121008_fraudsters_fals
ely_advertising_reo_as_rentals.html.
REVIEW ALL NOTICES YOU RECEIVE FROM YOUR LANDLORD OR RENTAL
AGENCY.
Small problems can become big problems if you ignore them. A landlord’s notice
to evict you may give you only a certain number of days to respond. If you do
not respond within the given time, the landlord may seek a court order to evict
you. Notice of court actions give only a certain number of days to respond! If you
have questions about what a notice means, see the list of housing legal aid
providers on PG. 1190 to try and speak to a lawyer who may be able to help you.
KNOW WHERE TO COMPLAIN OR SEEK HELP IF PROBLEMS COME UP.
Understand that no single law covers all rental situations. And no single federal,
state, or local government agency has the ability or authority to investigate
every type of problem you might encounter. This guide suggests ways you might
make a complaint or challenge a discriminatory act based on your criminal
record. But also know that sometimes, private landlords are allowed to make
decisions on the basis of your criminal conviction history. Learn more on
PG. 399.
PREPARE THE INFORMATION YOU WILL NEED FOR A RENTAL
APPLICATION:
A rental application may require you to provide any of the
following information:
Current and past addresses of where you have lived, your
employers, your personal references, and your
previous/current landlords.
Your Social Security Number (SSN) and Driver’s License or
State ID number. [Go to the BUILDING BLOCKS OF REENTRY:
ID & VOTING CHAPTER for more information: getting a SSN
covered on PG. 32; getting a Driver’s License or California
State ID covered beginning on PG. 39.]
The number of people expected to live in the unit.
Bank account and credit account numbers. Questions about
how much you earn and where your income comes from will
almost certainly be on the rental application.

•

•

•
•

BE PREPARED TO PAY MOVE-IN COSTS.
You will likely have to pay for a screening fee when you apply for
a place to live from a private landlord. California law allows a
landlord to charge you out-of-pocket expenses, and the cost
1243
changes yearly.
It costs approximately $50 for a landlord’s
screening of you. You will also likely have to pay a security deposit
and 1-2 months worth of rent after you sign the lease agreement.
This can be expensive—be prepared!!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1243

CAL. CIV. CODE § 1950.6

PAGE 456 OF 1210

SPECIAL NOTE
ABOUT ILLEGAL
DISCRIMINATION
BECAUSE OF
THE SOURCE OF
YOUR INCOME:
You may be asked
about your source
of income. In
California, all
legitimate and
lawful sources of
income must be
considered the
same by a housing
provider—they can’t
discriminate. CAL.
GOV’T CODE
§ 12955(p)(2).
For example, your
Social Security
disability income
(SSI/SSDI) should
have the same
weight in evaluating
your income than
wages from an
office job—a
landlord must treat
these the same.

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PROTECTIONS FOR ACTIVE MILITARY MEMBERS:
If you are in the military, the Service Members Civil Relief Act gives active duty
members the right to terminate a lease when they are ordered to a new
permanent location or any change of location that amounts to more than 90
1244
days.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1244

Servicemembers Civil Relief Act, 50 U.S.C. App. § 517.

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EVICTIONS
The HOUSING CHAPTER does NOT go into the specifics of eviction law—but we
realize it is an issue you may come across and need help with. Below we include
some very basic know-your-rights information if you are facing an eviction or
received what is called a “3-Day Notice” from your landlord to do something
(like pay rent).
It’s also important ti know that if you engage in any “new criminal activity,” like
1245
committing a new crime, you and your entire household could face eviction.
If you need a lawyer to help with defending against an eviction, please see the
list of housing legal aid providers on PG. 1190, who may be able to assist you.
If you are facing eviction, it’s important to ACT FAST to respond to the notice of
eviction, so get in touch with a housing lawyer as soon as possible.

WHAT IS AN EVICTION?
Eviction is a process that a landlord can use to remove a tenant from a rental
unit. The fancy legal term for an eviction lawsuit is an “unlawful detainer” action.
It is called “unlawful detainer” because the landlord is accusing the tenant of
staying in a rental unit when he or she does not have a legal right to do so,
therefore, the rental unit is unlawfully detained. To “be evicted” means (1) you
were the defendant (the renter who is being accused of unlawfully staying in the
rental unit) in this type of lawsuit, (2) you lost the lawsuit, and (3) the court then
ordered you to move out of the apartment or rental unit. If you leave a rental unit
because the landlord asks you to do so, but you are never served with “unlawful
detainer” eviction court papers, then you have not been evicted in the legal
1246
sense of the word.

I AM FACING AN EVICTION. WHAT ARE MY OPTIONS?
Since responding to an eviction notice can be VERY time-sensitive, it’s important
to respond and act fast! Keep reading this section to learn more. It can also be
VERY HELPFUL to have a lawyer assist you. If you need a lawyer to help with
defending against an eviction, see the list of housing legal aid providers on
PG. 1190 for organizations that may be able to assist you.

I RECEIVED A 3-DAY NOTICE TO DO SOMETHING FROM MY
LAWDLORD. CAN I BE EVICTED BECAUSE OF THIS NOTICE?1247
There are different kinds of “3-Day” notices. Most 3-Day notices can be
corrected without having to actually move out of your apartment or home. The
most common is the 3-Day notice “to pay rent or quit.” A landlord can give other
kinds of 3-Day notices, as well. Another common one is the notice that says the
tenant (the person living in the apartment who is on the lease) has created a
nuisance or has done something which is not allowed under the rules of the
lease agreement. All of these notices must be in writing.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

24 C.F.R. § 982.310.
LSNC, Self-Advocacy Fact Sheet: Eviction at 1, http://www.lsnc.net/dera_files/eviction_factsheet.pdf.
1247
The information in this section has been substantially adopted from Legal Services of Northern Cal., 3-Day
Notices—Frequently Asked Questions & Answers (rev’d Apr. 2015), courtesy of Sarah Steinheimer and Amy Williams.
1245
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THE 3-DAY NOTICE TO “PAY RENT OR QUIT”:
If your rent is late or not paid in full, the landlord may give you a notice called a
“Three-Day Notice to Pay Rent or Quit.” The landlord cannot give you this notice
until the rent is late. This notice must be in writing.

WHAT MUST A “3-DAY NOTICE TO PAY RENT OR QUIT” SAY?
Under law, the notice must state:
1) The exact amount of rent you owe (generally, this may NOT include late
charges or other fees, although some courts have allowed late charges to be
included);
2) That you have a choice of paying the rent or MOVING OUT (“Quit” is the
legal term for moving out);
3) Your correct address;
4) The name, address and telephone number of the person you are supposed
to pay the rent to; AND
5) If you are allowed to pay rent in person, the usual days and hours the person
receiving the rent will be available. Note: If there is some other way you are
supposed to pay rent, the landlord may have to explain that to you.

WHAT ARE MY OPTIONS IF I GET A “3-DAY NOTICE TO PAY RENT
OR QUIT”?
To figure out when the third day is, start counting with the day after you
received the notice. If the third day falls on a Saturday, Sunday or a holiday, you
then have until the next business day to pay or move.
(1) One choice is that you can move out during the 3 days. If you move out at this
time, technically, the landlord CANNOT file a court eviction against you.
However, some landlords try to do so anyway. If this happens, you should call a
legal aid office immediately; see a list of legal aid providers across California on
PG. 1190 that may be able to assist you.
Also, even if you move out within the 3 days, the landlord can later sue you for
past rent due. Most landlords will not bother with this.
(2) Another choice is to pay the rent. If you decide to pay, you should pay the
ENTIRE AMOUNT that the notice asks for, before the three days are up. Make
sure that you get a receipt. If you cannot pay the full amount, you may be better
off not paying anything —unless you can agree on a payment schedule with the
landlord. If you reach such an agreement, make sure it is in writing and keep a
copy of the agreement.
If you offer the full amount asked for within the 3 days, the landlord MUST
ACCEPT the money from you. If you think the landlord might refuse your money,
take along a friend to be a witness just in case. After the 3 days, the landlord
does not have to accept any money from you. If you decide to try to pay the
landlord even though the 3 days are up, you should get a RECEIPT and ask the
landlord to agree IN WRITING not to evict you. If the landlord refuses to agree to
that, the landlord may still try to evict you.

WHAT COULD HAPPEN IF I DO NOT PAY MY RENT OR DO NOT
MOVE WITHIN THE 3 DAYS?
The landlord must go to court to evict you.
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After the 3 days are over, the landlord cannot simply put you out in the street,
change the locks, or have the police or sheriff evict you without going to court
first. The 3-Day notice is only the first step in the eviction process. The landlord
must go to court and get a judge’s order to get the rent and the house or
apartment back. For a short explanation of the eviction process, see PG. 458.
THE 3-DAY NOTICE TO PERFORM COVENANT(S) OR QUIT
Sometimes this kind of notice is called “3-Day Notice to Perform or Quit.”
The landlord will give you this notice if s/he believes that you did something OR
failed to do something that violated your lease or rental agreement. Some
examples include, if you did not pick up trash around your place, if you took in
pets when they are not allowed, or if you left a junk car in the parking lot. This
notice must be IN WRITING.
After you get this notice, you have 3 days to fix the problem or move out.
To figure out when the last day to fix the problem or move out is, start counting
with the day after you received the notice. If the third day falls on a Saturday,
Sunday or a holiday, you then have until the next business day to correct the
problem. If you do not fix the problem and if you do not move out by the third
day, your landlord may start the court process to evict you. However, after the
three days are over, the landlord cannot simply put you out in the street, change
the locks, or have the police or sheriff evict you without going to court first. The
landlord must file court papers and get a judge’s order to get the rent and the
house or apartment back. For a short explanation of the eviction process, see
PG. 458.
If you feel that you are being wrongly accused of breaking the lease, you should
write to your landlord explaining your side of the story. Make sure to date and
sign the letter and get it to the landlord as soon as possible. Make a copy of it to
keep for your records.
If you already have broken the lease or rental agreement but now you agree to
obey it, you should write a letter to the landlord. Tell him or her that you have
done what the notice requested and that you will obey the lease agreement
from now on. Sign and date the letter and get it to the landlord as soon as
possible. Keep a copy for your records.
THE 3-DAY NOTICE TO QUIT
This kind of notice orders you to move because you have done something that
the landlord believes cannot be corrected. This is the most serious notice your
landlord can give you. For example, you may get this kind of notice if you have
done illegal things (such as using or dealing drugs) on the property. This notice
does not give you the chance to correct what was done. This notice means your
landlord just wants you to move out. This notice must be in writing.
If you feel that you are being wrongly accused of doing something that you did
not do, you should write to your landlord immediately and state that you did not
do what you are accused of doing. Make sure you date and sign the letter and
get it to the landlord as soon as possible. You must also keep a copy of the letter
for your records.
If you do not move out by the third day, your landlord may start the court
process to evict you. However, as with other eviction notices, after the 3 days
are over, the landlord cannot simply kick you out without a court order.

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SERVICE OF THE 3-DAY NOTICE
The law states that you must be given a 3-Day Notice in writing. The courts are
not always strict about how the landlord gives the 3-Day Notice to you.
However, the law says that the landlord must give the notice to in one of the
following ways:
1) Personal Service — by handing you a copy.
2) Substituted Service — if you are not home or at your usual workplace, a
copy can be left at either place with a person who is old enough to
understand the importance of the 3-Day Notice. A copy of the notice must
also be mailed to you. Keep the envelope in which the notice was mailed.
3) “Nail and Mail” — if the landlord cannot do either of the above, a copy of the
3-Day Notice can be posted on your property in a place that you will find it.
A copy of the notice must also be mailed to you.

WHAT COULD HAPPEN IF MY LANDLORD TAKES ME TO COURT TO
EVICT ME?
If the landlord takes you to court to evict you, you will get legal papers called a
“Summons” and a “Complaint.” Make a note of what day you receive these
papers. You have 5 days from the day you receive the Summons and Complaint
to respond to the court. To count the 5 days: start counting with the day after
you received the papers. You must count Saturdays and Sundays, but do not
th
count court holidays. If the 5 day falls on a Saturday, Sunday or holiday, you
will have until the end of the next court business day to “answer” these papers.
Example: Jane gets the Summons and Complaint papers on a Monday. Tuesday
is the first day of the 5 days. The 5th day would be a Saturday. Jane has until
the next business day, Monday, to file her papers. If Monday is a holiday, Jane
has until Tuesday.
If you want to fight the eviction, you should contact a legal aid lawyer
immediately. Do NOT wait until the fifth day to call!! If you wait until the last
minute, they may not be able to help you.
Within those 5 days, you can file a written response to the landlord’s summons
and complaint. You must use the right legal form and file it in the same court
where the “Complaint” was filed. This form is called an “Answer.” If you are lowincome and file a separate form called an “Application for Waiver of Court Fees
and Costs,” you will probably not need to pay the court filing fees. You can get
both the Answer and the Fee Waiver forms at the court clerk’s office.
When you fill out the Answer, you will need to list any legal defenses to the
eviction. After you file the Answer, you will receive a “Memorandum to Set Case
for Trial” and a notice of the trial date by mail. Generally, the trial must be within
20 days of when the landlord files the “Memorandum to Set Case for Trial.” The
court clerk must mail you the notice telling you when the trial will be at least ten
days before the trial. When your court date comes up, plan to arrive early at the
courthouse so that you can find parking, get through the security check, and find
the courtroom. If you are late and the judge has already called your case, you
will lose your case.

WHAT COULD HAPPEN IF I IGNORE THE SUMMONS AND
COMPLAINT AND DO NOTHING?
After the five days are up, if you have not filed an Answer to challenge the
eviction, the landlord can ask the court clerk for a “default judgment.” If this
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happens, you will NOT go before a judge. This means that the landlord
automatically wins the case and gets the property back from you.
Sometimes the court will allow you to “re-open” the case after entering a
“default judgment” if you have a good reason for not filing the Answer on time. If
this happens to you, contact a legal aid organization and ask for assistance with
a default eviction.
NOTE: You should not assume that the court will allow you to “re-open” your
case. In many cases, the tenant’s request is denied. Therefore, you must try to
file your Answer within the 5 days so that you do not lose your case by missing a
legal deadline.

WHAT COULD HAPPEN IF I LOSE IN COURT OR AFTER A
JUDGMENT AGAINST ME?
If the landlord wins or gets a default judgment against you, the landlord will get
a form called a “Writ of Possession.” The landlord takes this writ to the Sheriff’s
Department who will then bring you (or post on your door) a “Notice to Vacate.”
The notice will give you at least 5 days before the officer will come back to evict
you. The Notice to Vacate will tell you exactly by what date and time you must
be out of the house or apartment. Even if you are not completely moved out, the
sheriff can prevent you from re-entering the house to get your stuff after the
time and date listed on the notice. If you cannot get all of your belongings out in
time, at least remove your important papers, medications, valuables, and
clothing. If you leave things behind, you can claim them within 15 days of the
eviction, but you will have to pay the storage and removal costs. However, the
landlord cannot require you to pay back rent, attorney’s fees or court costs in
order to get your belongings back.

HOW LONG DOES THE EVICTION PROCESS TAKE?
If you do not file an “Answer” to the eviction notice, the sheriff may be out to
evict you as soon as 11 days after you receive the Summons and Complaint. If
you file an Answer to the lawsuit, the process will take a little longer. Do not
expect the entire process to take more than 1 month—it could take even less
than 1 month. Contrary to some popular belief, you can be evicted if even if you
are pregnant, have small children, have an unexpected financial hardship (like
losing your job), if you’ve never been late with the rent before or if you have
nowhere else to move.

I LIVE IN TRANSITIONAL HOUSING, AND THE HOUSING
PROVIDER (OR PAROLE) IS TRYING TO EVICT ME WITH VERY
LITTLE NOTICE & WITHOUT GOING TO COURT. IS THIS LEGAL &
WHAT ARE MY OPTIONS?
In most cases, a transitional housing provider MUST follow all of the normal
rules and laws to evict you. That means they must follow all of the rules for
1248
giving you proper notice and taking you to court if they want to evict you.
** There is one VERY SMALL EXCEPTION that could allow a transitional housing
provider to evict you more quickly than the standard court process. However, for
this exception to apply, it must be explicitly written in the contract you signed

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1248

Transitional Housing Participant Misconduct Act, CAL. HEALTH & SAFETY CODE §§ 50580-50582.

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with the transitional housing provider. There are other requirements beyond
that, but at a minimum, if it’s not in your contract with the transitional housing
provider, then the transitional housing provider can’t evict you overnight, with
little notice, or without first going to court.
If this issue is a condition of your supervision (a requirement of parole or
probation), see the PAROLE & PROBATION CHAPTER, beginning on PG. 130, to
learn more about rules (called “conditions”) of different types of supervision in
California, and how to challenge them.

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VIII. CONCLUSION
Where you live is critical to your well-being. Unfortunately, it can also be one of
the most challenging aspects of reentry. Hopefully, this Chapter has helped you
understand your housing options, and given you the tools to help you to find
appropriate housing and recognize illegal discrimination when it occurs.

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HOUSING APPENDIX
APPENDIX A.

A List of PHAs in California and their Contact Information –
PG. 466

APPENDIX B.

A list of transitional housing that may accept your
application while you are still incarcerated – PG. 472

APPENDIX C.

NHLP chart—federally assisted housing programs:
admissions for applicants with certain criminal backgrounds
– PG. 474

APPENDIX D.

Disabilities & Requesting Reasonable Accommodations on
Any Housing Application – PG. 477

APPENDIX E.

Sample Consent Form that Your Drug or Alcohol Treatment
Program Could Use to Disclose Information About Your
Treatment – PG. 484

APPENDIX F.

Housing Owners’/ Landlords’ Access to Credit Reports –
PG. 486

APPENDIX G.

San Francisco Fair Chance Ordinance – PG. 487

APPENDIX H.

Filing a Complaint for Illegal Discrimination in Private
Housing – PG. 491

APPENDIX I.

Rural development (RD) grievance procedures – PG. 498

APPENDIX J.

Transitional Housing Participant Misconduct Act (THPMA) –
PG. 499

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APPENDIX A
A List of PHAs in California and their
Contact Information

PHA Name, Phone & Fax Number

Address

Alameda City
Phone: (510) 747-4300
Fax: (510) 522-7848
Los Angeles County (HACOLA)
Phone: (323) 890-7400
Fax: (323) 890-8582
Anaheim Housing Authority
Phone: (714) 765-4320
Fax: (714) 765-4654
Placer County Housing Authority
Phone: (530) 889-7692
Fax: (530) 889-6826
Kern County
Phone: (661) 631-8500
Fax: (661) 631-9500
Baldwin Park
Phone: (626) 960-4011
Fax: (626) 337-2965
San Mateo County
Phone: (650) 802-3300
Fax: (650) 802-3373
Benicia
Phone: (707) 745-2071
Fax: (707) 745-8076
Berkeley
Phone: (510) 981-5470
Fax: (510) 981-5480
Imperial Valley Housing Authority
Phone: (760) 351-7000
Fax: (760) 344-9712
Burbank
Phone: (818) 238-5160
Fax: (818) 238-5159
Calexico City
Phone: (760) 357-3013
Fax: (760) 357-3084
Carlsbad Housing Agency
Phone: (760) 434-2810
Fax: (760) 720-2037
Butte
Phone: (530) 895-4474
Fax: (530) 895-4459
Compton
Phone: (310) 605-3080
Fax: (310) 605-3096

701 Atlantic Ave.
Alameda
CA 94501
700 W Main St.
Alhambra
CA 91801
201 S Anaheim Blvd #200
Anaheim
CA 92805
11552 B Ave.
Auburn
CA 95603
601 - 24th St.
Bakersfield
CA 93301
14403 Pacific Ave.
Baldwin Park
CA 91706
264 Harbor Boulevard Bldn. A
Belmont
CA 94002
28 Riverhill Drive
Benicia
CA 94510
1901 Fairview St.
Berkeley
CA 94703
1401 D St.
Brawley
CA 92227
150 N. Third St 2nd Floor
Burbank
CA 91502
1006 E 5th St.
Calexico
CA 92231
2965 Roosevelt St Ste B
Carlsbad
CA 92008
2039 Forest Ave S. #10
Chico
CA 95928
600 North Alameda Room 163
Compton
CA 90220

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Type
(Section
8, lowrent, or
both)
Both

Both

Section 8

Section 8

Both

Both

Both

Both

Both

Both

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Crescent City
Phone: (707) 464-9216
Fax: (707) 464-2692
Culver City
Phone: (310) 202-5764
Fax: (310) 253-5785
Dublin
Phone: (925) 828-3132
Fax: (925) 828-5450
Encinitas
Phone: (760) 633-2723
Fax: (760) 633-2818
Humboldt
Phone: (707) 443-4583
Fax: (707) 443-2150
Eureka
Phone: (707) 443-4583
Fax: (707) 443-2150
Fairfield
Phone: (707) 428-7392
Fax: (707) 425-0512
Fresno County Housing Authority
Phone: (559) 443-8400
Fax: (559) 445-8922
Garden Grove
Phone: (714) 741-5150
Fax: (714) 741-5197
Glendale
Phone: (818) 548-3936
Fax: (818) 548-3724
Kings County Housing Auth
Phone: (559) 582-2806
Fax: (559)583-6964
Hawaiian Gardens
Phone: (562) 420-2641
Fax: (562) 496-3708
Hawthorne Housing
Phone: (310) 349-1603
Fax: (310) 978-9864
Alameda County Housing Authority
Phone: (510) 538-8876
Fax: (510) 727-8554
Inglewood
Phone: (310) 412-5221
Fax: (310) 412-5188
Livermore
Phone: (925) 447-3600
Fax: (925) 447-0942
Santa Barbara County
Phone: (805) 736-3423
Fax: (805) 735-7672
Long Beach
Phone: (562) 570-6985
Fax: (562) 499-1022
Los Angeles City (HACLA)
Phone: (213) 252-2500
Fax: (213) 234-8946
Lake County Housing Commission
Phone: (707) 995-4200
Fax: (707) 995-4253
Madera
Phone: (559) 674-5695
Fax: (559) 674-5701

235 H St.
Crescent City
CA 95531
9770 Culver Boulevard
Culver City
CA 90232
6700 Dougherty Road apt. 151
Dublin
CA 94568
505 South Vulcan Ave.
Encinitas
CA 92024
735 West Everding St.
Eureka
CA 95503
735 W Everding St.
Eureka
CA 95503
823b Jefferson St
Fairfield
CA 94533
1331 Fulton Mall
Fresno
CA 93721
11277 Garden Grove Blvd S. 101-C
Garden Grove
CA 92843
141 North Glendale Ave. #202
Glendale
CA 91206
680 N Douty St.
Hanford
CA 93230
21815 Pioneer Boulevard
Hawaiian Gardens
CA 90716
4455 West 126th St.
Hawthorne
CA 90250
22941 Atherton St.
Hayward
CA 94541
1 Manchester Blvd. S. 750
Inglewood
CA 90301
3203 Leahy Way
Livermore
CA 94550
815 W Ocean Ave.
Lompoc
CA 93436
521 East 4th St.
Long Beach
CA 90802
2600 Wilshire Blvd
Los Angeles
CA 90057
15975 Anderson Ranch Pkwy
Lower Lake
CA 95457
205 N. G St.
Madera
CA 93637

Section 8

Section 8

Low-Rent

Section 8

Section 8

Both

Section 8

Both

Section 8

Section 8

Both

Section 8

Section 8

Both

Section 8

Both

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Mariposa County Housing Authority
Phone: (209) 966-3609
Fax: (209) 966-3519
Contra Costa County
Phone: (925) 957-8045
Fax: (925) 372-0236
Yuba County Housing Authority
Phone: (530) 749-5460
Fax: (530) 749-5464
Merced
Phone: (209) 386-4139
Fax: (209) 722-0106
Stanislaus
Phone: (209) 557-2000
Fax: (209) 557-2011
Napa Housing Authority
Phone: (707) 257-9543
Fax: (707) 257-9239
National City
Phone: (619) 336-4254
Fax: (619) 477-3747
Needles
Phone: (760) 326-3222
Fax: (760) 326-2741
Nevada County Housing Authority
Phone: (530) 265-1340
Fax: (530) 265-9860
Ventura County
Phone: (805) 480-9991
Fax: (805) 480-1021
Norwalk
Phone: (562) 929-5588
Fax: (562) 929-5537
Oakland HA
Public Housing: (510) 874-1500
Section 8: (510) 587-2100
Fax: (510) 587-2132
Oceanside
Phone: (760) 435-3360
Fax: (760) 757-9076
Oxnard Housing Authority
Phone: (805) 385-8096
Fax: (805) 385-7969
Pasadena
Phone: (626) 744-8300
Fax: (626) 744-8330
Paso Robles
Phone: (805) 238-4015
Fax: (805) 238-4036
Pico Rivera
Phone: (562) 801-4347
Fax: (562) 949-7506
Pittsburg
Phone: (925) 252-4113
Fax: (925) 427-2715
El Dorado County PHA
Phone: (530) 621-6300
Fax: (530) 295-2598

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5174 Highway 49 North
Mariposa
CA 95338
3133 Estudillo St.
Martinez
CA 94553
915 8th St., S. 130
Marysville
CA 95901
405 U St.
Merced
CA 95341
1701 Robertson Rd
Modesto
CA 95351
1115 Seminary St.
PO Box 660
Napa
CA 94559
140 E 12th St., Ste. B
National City
CA 91950
908 Sycamore Drive
Needles
CA 92363
950 Maidu Ave
PO Box 1210
Nevada City
CA 95959
1400 W Hillcrest Drive
Newbury Park
CA 91320
12035 Firestone Bl.
Norwalk
CA 90650
1619 Harrison St.
Oakland
CA 94612

Section 8

321 North Nevada St.
Oceanside
CA 92054
435 South D St.
Oxnard
CA 93030
649 N.Fair Oaks Ave, S.202
Pasadena
CA 91103
3201 Pine St.
Paso Robles
CA 93446
6615 Passons Boulevard
Pico Rivera
CA 90660
916 Cumberland St.
Pittsburg
CA 94565
937 Spring St.
Placerville
CA 95667

Section 8

Both

Section 8

Both

Both

Section 8

Section 8

Both

Section 8

Both

Section 8

Both

Both

Section 8

Low-Rent

Section 8

Section 8

Section 8

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Pleasanton
Phone: (925) 484-8008
Fax: (925) 484-8234
Pomona Housing Authority
Phone: (909) 620-2368
Fax: (909) 620-4567
Port Hueneme Housing Authority
Phone: (805) 986-6522
Fax: (805) 986-6562
Plumas
Phone: (530) 283-2466
Fax: (530) 283-2478
Tehama
Phone: (530) 527-6159
Fax: (530) 527-4365
Redding Housing Authority
Phone: (530) 225-4048
Fax: (530) 225-4126
Shasta County Housing Authority
Phone: (530) 225-5160
Fax: (530) 225-5178
Redondo Beach
Phone: (310) 318-0635
Richmond Housing Authority
Phone: (510) 621-1310
Fax: (510) 237-5230
Riverbank
Phone: (209) 869-4501
Fax: (209) 869-6814
Riverside County
Phone: (951) 351-0700
Fax: (951) 688-6873
Roseville Housing Authority
Phone: (916) 774-5270
Fax: (916) 746-1295
Sacramento City & County
Phone: (916) 440-1319
Fax: (916) 442-3718
California Dept of Housing & Community
Development
Phone: (916) 324-7696
Fax: (916) 323-6016
Monterey
Phone: (831) 775-5000
Fax: (831) 424-9153
San Bernardino County
Phone: (909) 890-0644
Fax: (909) 890-4618
San Diego Housing Commission
Phone: (619) 231-9400
Fax: (619) 578-7375
San Diego County
Phone: (858) 694-4801
Fax: (858) 694-4871
San Francisco Housing Authority
Phone: (415) 554-1200
Fax: (415) 241-1024
San Jose City Housing Authority
Phone: (408) 275-8770
Fax: (408) 280-0358

123 Main St.
Pleasanton
CA 94566
505 S. Garey Ave., Box 660
Pomona
CA 91769
250 N Ventura Road
Port Hueneme
CA 93041
183 W Main St.
Quincy
CA 95971
310 So. Main St.
Red Bluff
CA 96080
777 Cypress Ave.
Redding
CA 96001
1450 Court St., S. 108
Redding
CA 96001
1922 Artesia Blvd
Redondo Beach
CA 90278
330 24th St.
Richmond
CA 94804
Stanislaus
Riverbank
CA 95367
5555 Arlington Ave.
Riverside
CA 92504
311 Vernon St.
Roseville
CA 95678
801 12th St.
Sacramento
CA 95814
PO Box 952054
1800 3rd St.. 390-4
Sacramento
CA 94252
123 Rico St.
Salinas
CA 93907
715 E. Brier Dr
San Bernardino
CA 92408
1122 Broadway S. 300
San Diego
CA 92101
3989 Ruffin Road
San Diego
CA 92123
1815 Egbert Ave.
San Francisco
CA 94124
505 West Julian St.
San Jose
CA 95110

Low-Rent

Section 8

Both

Both

Section 8

Section 8

Section 8

Section 8

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Low-Rent

Both

Section 8

Both

Section 8

Both

Both

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Santa Clara
Phone: (408) 275-8770
Fax: (408) 280-0358
San Luis Obispo
Phone: (805) 543-4478
Fax: (805) 543-4992
Marin Housing
Phone: (415) 491-2525
Fax: (415) 479-3305
Orange County
Phone: (714) 480-2700
Fax: (714) 480-2945
Santa Ana Housing Authority
Phone: (714) 667-2200
Fax: (714) 547-5411
Santa Barbara City
Phone: (805) 965-1071
Fax: (805) 564-7041
Santa Cruz County Housing Authority
Phone: (831) 454-9455
Fax: (831) 469-3712
San Juan Bautista
Phone: (831) 454-9455
Fax: (831) 469-3712
Hollister
Phone: (831) 454-9455
Fax: (831) 469-3712
Lakewood
Phone: (562) 347-4830
Fax: (562) 944-2732
Paramount
Phone: (562) 347-4830
Fax: (562) 944-2732
Lawndale
Phone: (562) 347-4830
Fax: (562) 944-2732
Santa Fe Springs
Phone: (562) 347-4830
Fax: (562) 944-2732
Lomita
Phone: (562) 347-4830
Fax: (562) 944-2732
Santa Monica Housing Authority
Phone: (310) 458-8743
Fax: (310) 264-7757
Santa Paula
Phone: (805) 535-3339
Fax: (805) 525-3887
Sonoma
Phone: (707) 565-7500
Fax: (707) 565-7583
Santa Rosa Housing Authority
Phone: (707) 543-3300
Fax: (707) 543-3317
Soledad
Phone: (831) 678-3686
Fax: (408) 678-2471
South Gate
Phone: (323) 563-9585
Fax: (323) 567-0725

PAGE 470 OF 1210

505 W Julian St.
San Jose
CA 95110
487 Leff St.
San Luis Obispo
CA 93401
4020 Civic Center Drive
San Rafael
CA 94903
1770 North Broadway
Santa Ana
CA 92706
20 Civic Center Plaza 2nd Fl, M-27
Santa Ana
CA 92701
808 Laguna St.
Santa Barbara
CA 93101
2931 Mission St.
Santa Cruz
CA 95060
2931 Mission St.
Santa Cruz
CA 95060
2931 Mission St.
Santa Cruz
CA 95060
12131 Telegraph Road
Santa Fe Springs
CA 90670
12131 Telegraph Road
Santa Fe Springs
CA 90670
12131 Telegraph Road
Santa Fe Springs
CA 90670
12131 Telegraph Road
Santa Fe Springs
CA 90670
12131 Telegraph Road
Santa Fe Springs
CA 90670
1901 Main St., Ste. A
Santa Monica
CA 90405
15500 W. Telegraph Rd, B-11
Santa Paula
CA 93060
1440 Guerneville Road
Santa Rosa
CA 95403
90 Santa Rosa Ave.
Santa Rosa
CA 95402
121 Alder St.
Soledad
CA 93960
8650 California Ave.
South Gate
CA 90280

Both

Both

Both

Section 8

Section 8

Both

Both

Section 8

Section 8

Section 8

Section 8

Section 8

Section 8

Both

Section 8

Section 8

Section 8

Section 8

Low-Rent

Section 8

ROADMAP TO REENTRY
!

S. San Francisco
Phone: (650) 583-7631
Fax: (650) 583-5932
San Joaquin
Phone: (209) 460-5069
Fax: (209) 460-5165
Suisun City Housing Authority
Phone: (707) 421-7330
Fax: (707) 429-3758
Lassen County
Phone: (530)251-8346

350 C St.
South San Francisco
CA 94080
448 S Center St.
Stockton
CA 95203
701 Civic Center Blvd.
Suisun City
CA 94585
2545 Main St.
Susanville
CA 96130
3031 Torrance Boulevard
Torrance
CA 90503
1076 N State St.
Ukiah
CA 95482
1200 North Campus Ave.
Upland
CA 91786
40 Eldridge Ave. #2
Vacaville
CA 95688
40 Eldridge Ave. S. 2
Vacaville
CA 95688
200 Georgia St.
Vallejo
CA 94590
995 Riverside St.
Ventura
CA 93001
5140 W Cypress Ave.
Visalia
CA 93277
750 H St.
Wasco
CA 93280
8300 W. Santa Monica Blvd
West Hollywood
CA 90069
147 West Main St.
Woodland
CA 95695
1455 Butte House Rd
Yuba City
CA 95993

Torrance
Phone: (310) 618-5840
Fax: (310) 618-2429
Mendocino County
Phone: (707) 463-5462
Fax: (707) 463-4188
Upland Housing Authority
Phone: (909) 982-2649
Fax: (909) 982-0237
Vacaville
Phone: (707) 449-5675
Fax: (707) 449-6242
Solano
Phone: (707) 449-5675
Fax: (707) 449-6242
Vallejo
Phone: (707) 648-4507
Fax: (707) 648-5249
San Buenaventura City
Phone: (805) 648-5008
Fax: (805) 643-7984
Tulare County Housing Authority
Phone: (559) 627-3700
Fax: (559) 733-0169
Wasco Apts.
Phone: (661) 758-6406
Fax: (661) 758-0765
West Hollywood
Phone: (562) 347-4830
Fax: (562) 944-2732
Yolo County Housing
Phone: (530) 662-5428
Fax: (530) 662-5429
Regional Hsg Authority of Sutter & Nevada
Phone: (530) 671-0220
Fax: (530) 673-0775

!

Low-Rent

Both

Section 8

Section 8

Section 8

Both

Both

Section 8

Section 8

Section 8

Both

Both

Low-Rent

Section 8

Both

Both

!

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!

APPENDIX B
A list of transitional housing that may
accept your application while you are still
incarcerated
The following chart is a list of transitional housing options for individuals who
are currently incarcerated and are being proactive about lining up housing for
post release or are looking to provide documentation to the parole board that
they have transitional housing that will accept them if they receive a parole
1249
date.
For more information on the different programs, you can write the address listed
or call the phone number.
Please note that this chart is not comprehensive – there may be places that
accept applications from people currently incarcerated who are not on this list.
**(Adapted from information shared by Uncommon Law,
http://uncommonlaw.org/.)**

Name

Address

City

Phone

Other/Notes

Re-Entry Inc.

P.O. Box 6804

Auburn, CA 95604

(530) 885-4509

Hope Help
Healing

11960 Heritage
Oak Place

Auburn, CA 95603

(530) 885-4249

Isaiah’s
Recovery
Services

1904 Clarendon St.

Bakersfield, CA
93307

(661) 633-9702

Human
Potential
Consultants,
LLC

550 E. Carson
Plaza Dr., Suit 127

Carson, CA 90746

(310) 756-1560

Crossroads,
Inc.

P.O. Box 15

Claremont, CA 91711

(909) 626-7847

For Women Only
http://www.crossroadswomen.org

PrepPartnership for
Re-Entry
Program

1224 W. 40 Place

Los Angeles, CA
90037

(213) 438-4820
ext. 23

Contact: Sister Mary Hodges

Victory
Outreach

4160 Eagle Rock
Blvd.

Los Angeles, CA
90065

(323) 258-7878

Holy Spirit
Investments

6111 S. Verdun Ave.

Los Angeles, CA
90043

(323) 292-9971

Union Rescue
Mission

545 S. San Pedro
St.

Los Angeles, CA
90013

(213) 347-6300

A New Way of
Life Re-Entry
Project

P.O. Box 875288

Los Angeles, CA
90087

(323) 563-3575

th

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1249

Adapted from information shared by Uncommon Law, http://uncommonlaw.org/.

PAGE 472 OF 1210

www.re-entryprogram.com

www.anewwayoflife.org

ROADMAP TO REENTRY

th

healthRIGHT36
0

2307 West 6 St.

The Francisco
Homes

!

Los Angeles, CA
90057

(415) 762-3700

Also has services in San Francisco

P.O. Box 7190

Los Angeles, CA
90007

(323) 293-1111

Multiple housing locations in LA

Women in
Transition Reentry Project
Inc.

P.O Box 59621

Los Angeles CA
90059

(310) 706-5580

Women only.

Love Lifted Me
Recovery

P.O. Box 10966

Marina Del Ray, CA
90295

(310) 821-8677

Homeless
Veteran’s
Emergency
Housing
Facility

795 Willow Rd.,
Bldg. 323 B

Menlo Park, CA
94025

(650) 324-2881

Men of Valor
Academy

6118 International
Blvd.

Oakland, CA 94621

(510) 567-1308

Shirley
Lamarr/The
Centre

1447 El Camino
Real

Redwood City, CA
94063

(650) 366-7225
(main line)

Restoration
House

4141 Soledad Ave.

Sacramento, CA
95820

(916) 454-2068

Men’s
Overcomers
Discipleship
Ministry

2733 Branch St., S.
1

Sacramento, CA
95815

(916) 920-3082

Delancey St.

600 Embarcadero

San Francisco, CA
94107

(415) 957-9800

Catholic
Rainbow
Outreach

11419 Carmeneta
Rd.

Whittier, CA 90605

(562) 944-2283

Recovery Zone

8035 Oakdale Ave.

Winnetka, CA 91306

NA

http://www.healthright360.org/service
s-offered/substance-use-disordertreatment

(650) 218-8256
(cell)

For ex-veterans only

Housing available for people who are
currently incarcerated; Provides job
training; Provides GED help.

2-year commitment
(Also has L.A. location)

PAGE 473 OF 1210

ROADMAP TO REENTRY
!

APPENDIX C
NHLP chart—federally assisted housing
programs: admissions for applicants with
certain criminal backgrounds

PAGE 474 OF 1210

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!

Federally Assisted Housing Programs:
Admissions for Applicants with Certain Criminal Backgrounds*
Convicted of
producing meth at
federally-assisted
housing^

Lifetime
registered sex
offender

Prior eviction
from federallyassisted
housing^ for
drug-related
activity
3-year ban on
admission unless
applicant is
rehabilitated. 42
U.S.C.
§§ 13661(a) and
13664;
24 C.F.R.
§ 960.204(a)(1).

History of drugrelated criminal
activity

History of violent
criminal activity

Current user of
illegal
substances

PHA has
discretion to
admit applicant.
42 U.S.C.
§ 13661(c);
24 C.F.R.
§ 960.203(d).

History of
crimes that
threaten
health, safety,
or peaceful
enjoyment
PHA has
discretion to
admit applicant.
42 U.S.C.
§ 13661(c);
24 C.F.R.
§ 960.203(d).

Public
Housing

Permanent ban on
admission.
42 U.S.C.
§ 1437n(f);
24 C.F.R.
§ 960.204(a)(3).

Permanent ban
on admission.
42 U.S.C.
§§ 13663 and
13664; 24 C.F.R.
§ 960.204(a)(4).

PHA has
discretion to
admit applicant.
42 U.S.C.
§ 13661(c);
24 C.F.R.
§ 960.203(d).

Voucher
Program

Permanent ban on
admission.
42 U.S.C.
§ 1437n(f);
24 C.F.R.
§ 982.553.

Permanent ban
on admission.
42 U.S.C.
§§ 13663 and
13664; 24 C.F.R.
§ 982.553.

3-year ban on
admission unless
applicant is
rehabilitated.
42 U.S.C.
§§ 13661 and
13664;
24 C.F.R.
§ 982.553.

PHA has
discretion to
admit applicant.
42 U.S.C.
§ 13661(c);
24 C.F.R.
§ 982.553.

PHA has
discretion to
admit applicant.
42 U.S.C.
§ 13661(c);
24 C.F.R.
§ 982.553.

PHA has
discretion to
admit applicant.
42 U.S.C.A.
§ 13661(c);
24 C.F.R.
§ 982.553.

PHA must deny
admission.
42 U.S.C.
§ 13661(b);
24 C.F.R.
§ 982.553.

Section 8
Mod Rehab

Permanent ban on
admission.
42 U.S.C.
§ 1437n(f);
24 C.F.R.
§ 882.518.

Permanent ban
on admission.
42 U.S.C.
§§ 13663 and
13664; 24 C.F.R.
§ 882.518.

3-year ban on
admission unless
applicant is
rehabilitated.
42 U.S.C.
§§ 13661 and
13664;
24 C.F.R.
§ 882.518.

PHA has
discretion to
admit applicant.
42 U.S.C.
§ 13661(c);
24 C.F.R.
§ 882.518.

PHA has
discretion to
admit applicant.
42 U.S.C.
§ 13661(c);
24 C.F.R.
§ 882.518.

PHA has
discretion to
admit applicant.
42 U.S.C.
§ 13661(c);
24 C.F.R.
§ 882.518.

PHA must deny
admission.
42 U.S.C.
§ 13661(b);
24 C.F.R.
§ 882.518.

Section 8
SRO Mod.
Rehab. for
homeless

Current funds are
appropriated for
homeless
individuals.
42 U.S.C. § 11401.
Regulations may
require a ban.
24 C.F.R.
§§ 882.805(c) and
882.808(b)(2); see
also provisions
cited above under
Section 8 Mod.
Rehab.

Current funds are
appropriated for
homeless
individuals.
42 U.S.C. § 11401.
Regulations may
require a ban.
24 C.F.R.
§§ 882.805 (c)
and 882.808(b)(2);
see also
provisions cited
above under
Section 8 Mod.
Rehab.

Current funds are
appropriated for
homeless
individuals.
42 U.S.C. § 11401.
Regulations may
require a ban.
24 C.F.R.
§§ 882.805 (c);
see also
provisions cited
above under
Section 8 Mod.
Rehab.

PHA or owner
has discretion
to admit
applicant.
24 C.F.R.
§§ 882.805 (c)
and
882.808(b)(2),
see also
provisions cited
above under
Section 8 Mod.
Rehab.

PHA or owner has
discretion to
admit applicant.
24 C.F.R.
§§ 882.805 (c)
and 882.808(b)(2),
see also
provisions cited
above under
Section 8 Mod.
Rehab.

PHA or owner
has discretion
to admit
applicant.
24 C.F.R.
§§ 882.805 (c)
and
882.808(b)(2),
see also
provisions cited
above under
Section 8 Mod.
Rehab.

Permanent ban
on admission.
42 U.S.C.
§§ 13663 and
13664; 24 C.F.R
§ 5.856.

3-year ban on
admission unless
applicant is
rehabilitated.
42 U.S.C.
§§ 13661 and
13664;
24 C.F.R. § 5.854.

Owner has
discretion to
admit applicant.
42 U.S.C.
§ 13661(c);
24 C.F.R.
§ 5.855.

Owner has
discretion to
admit applicant.
42 U.S.C.
§ 13661(c);
24 C.F.R. § 5.855.

Owner has
discretion to
admit applicant.
42 U.S.C.
§ 13661(c);
24 C.F.R.
§ 5.855.

Current funds
are
appropriated for
homeless
individuals.
42 U.S.C.
§ 11401.
Regulations
may deny
admission.
24 C.F.R.
§§ 882.805 (c)
and
882.808(b)(2);
see also
provisions cited
above under
Section 8 Mod.
Rehab.
Owner must
deny admission.
42 U.S.C.
§ 13661(b);
24 C.F.R
§ 5.854

Project-based
Section 8

No requirement
imposed by federal
law. Owner has
discretion to admit
applicant.
42 U.S.C.
§ 1437n(f);
24 C.F.R. § 5.855.

PHA must deny
admission.
42 U.S.C.
§ 13661(b);
24 C.F.R.
§ 960.204(a)(2).

* There are no federal requirements regarding admission of individuals with criminal
background to Low-Income Housing Tax Credit (LIHTC) housing, Shelter Plus Care (S+C)
(see generally 24 C.F.R. §§ 582.325 and 582.330), Supportive Housing Program (SHP)
(see generally 24 C.F.R. § 583.325) or Housing Opportunities for Persons with AIDS
(HOPWA) (see generally 24 C.F.R. § 574.603).

^ Federally-assisted housing is defined, in this context, to include, public housing, Section
8, Section 202, Section 811, Section 221(d)(3), Section 236, Section 515 and Section 514.

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!

CHART CONTINUED…

Federally Assisted Housing Programs:
Admissions for Applicants with Certain Criminal Backgrounds*
Convicted of
producing meth at
federally-assisted
housing^

Lifetime
registered sex
offender

Sections 202,
811, 221(d)(3),
236

No requirement
imposed by federal
law. Owner has
discretion to admit
applicant.
42 U.S.C.
§ 1437n(f);
24 C.F.R.
§ 5.855.

Permanent ban
on admission.
42 U.S.C.
§§ 13663 and
13664; 24 C.F.R
§ 5.856.

USDA Housing

Owner has
discretion to admit
applicant. 7 C.F.R.
§ 3560.154.

HOME

No requirements
imposed by federal
law; Owner has
discretion to admit
applicant.
24 C.F.R.
§ 92.253(d).

Owner has
discretion to
admit applicant. 7
C.F.R.
§ 3560.154; but
see 42 U.S.C.
§§ 13663 and
13664, which
extend to
Section 515 and
514 housing.
No requirements
imposed by
federal law;
Owner has
discretion to
admit applicant.
24 C.F.R.
§ 92.253(d).

Prior eviction
from federallyassisted
housing^ for
drug-related
activity
3-year ban on
admission unless
applicant is
rehabilitated.
42 U.S.C.
§§ 13661 and
13664;
24 C.F.R. § 5.854.

History of drugrelated criminal
activity

History of
violent criminal
activity

History of crimes
that threaten
health, safety, or
peaceful
enjoyment

Current user of
illegal
substances

Owner has
discretion to
admit applicant.
42 U.S.C.
§ 13661(c);
24 C.F.R.
§ 5.855.

Owner has
discretion to
admit applicant.
42 U.S.C.
§ 13661(c);
24 C.F.R.
§ 5.855.

Owner has
discretion to
admit applicant.
42 U.S.C.
§ 13661(c);
24 C.F.R.
§ 5.855.

Owner must
deny
admission.
42 U.S.C.
§ 13661(b);
24 C.F.R
§ 5.854.

Owner has
discretion to
admit applicant. 7
C.F.R.
§ 3560.154;
but see 42 U.S.C.
§§ 13661 and
13664, which
extend to
Section 515 and
514 housing.
No requirements
imposed by
federal law;
Owner has
discretion to
admit applicant.
24 C.F.R.
§ 92.253(d).

Owner has
discretion to
admit applicant.
7 C.F.R.
§ 3560.154.

Owner has
discretion to
admit applicant.
7 C.F.R.
§ 3560.154.

Owner has
discretion to
admit applicant.
7 C.F.R.
§ 3560.154.

No requirements
imposed by
federal law;
Owner has
discretion to
admit applicant.
24 C.F.R.
§ 92.253(d).

No requirements
imposed by
federal law;
Owner has
discretion to
admit applicant.
24 C.F.R.
§ 92.253(d).

No requirements
imposed by
federal law;
Owner has
discretion to
admit applicant.
24 C.F.R.
§ 92.253(d).

Owner has
discretion to
admit
applicant.
7 C.F.R.
§ 3560.154;
see also 42
U.S.C.
§ 13661(b) and
24 C.F.R.
§ 5.850(c).
No
requirements
imposed by
federal law;
Owner has
discretion to
admit
applicant.
24 C.F.R.
§ 92.253(d).

* There are no federal requirements regarding admission of individuals with criminal
background to Low-Income Housing Tax Credit (LIHTC) housing, Shelter Plus Care (S+C)
(see generally 24 C.F.R. §§ 582.325 and 582.330), Supportive Housing Program (SHP)
(see generally 24 C.F.R. § 583.325) or Housing Opportunities for Persons with AIDS
(HOPWA) (see generally 24 C.F.R. § 574.603).

^ Federally-assisted housing is defined, in this context, to include, public housing, Section
8, Section 202, Section 811, Section 221(d)(3), Section 236, Section 515 and Section 514.

!

PAGE 476 OF 1210

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!

APPENDIX D
Disabilities & Requesting Reasonable
Accommodations on Any Housing
Application
AS SOMEONE APPLYING FOR HOUSING (PRIVATE OR
GOVERNMENT-ASSISTED), WHAT DO MY DISABILITIES HAVE TO
DO WITH MY CRIMINAL RECORD?
If your can prove that your criminal conviction was the result of a disability—for
example, due to mental illness and/or past drug addiction you may be able to
get a “reasonable accommodation” when applying for ANY type of housing.
However, a PHA, owner, or other housing provider is not required to grant a
reasonable accommodation to an individual with a disability if that person would
be a “direct threat” to the health, safety or property of others, unless the
requested reasonable accommodations can actually eliminate or significantly
reduce such a threat.
Under the law, housing providers cannot treat persons with disabilities exactly
the same as other housing applicants or residents if doing so denies people with
1250
disabilities an equal opportunity to use and enjoy a dwelling.
Therefore, by
law, a PHA or owner must make reasonable accommodations to its rules,
policies, practices, or services when it may be necessary to provide applicants
1251
with disabilities an equal opportunity to use and enjoy a living space —even if
that accommodation results in a preference for disabled individuals over similar,
1252
non-disabled individuals.
This rule applies to ALL types of housing—public and private.

!

WARNING: Just because you committed a criminal offense as a result of
a disability does not mean you automatically have the right to a
reasonable accommodation for housing. It can be very difficult to prove
that your disability CAUSED your criminal offense, AND that the disability
is the type that qualifies you for a reasonable accommodation

IF MY CRIMINAL CONVICTION WAS THE RESULT OF A
DISABILITY, WHAT IS A REASONABLE ACCOMMODATION THAT I
CAN ASK FOR?
A “reasonable accommodation” is a change, exception, or adjustment to a rule,
policy, practice, or service that may be necessary to give an applicant with a
1253
disability an equal opportunity to use and enjoy a living space.
There is no
limit or restriction to the type of accommodation that you can request, as long as
the accommodation is reasonable.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. CIV. CODE §§ 54-55.32; 42 U.S.C. § 3604(f)(3)(B); see also JOINT STATEMENT OF HUD AND U.S. DOJ, REASONABLE
ACCOMMODATIONS UNDER THE FAIR HOUSING ACT, 6 (May 17, 2004).
1251
42 U.S.C. § 3604(f)(3)(B).
1252
See U.S. Airways v. Barnett, 535 U.S. 391, 397 (2002).
1253
42 U.S.C. § 3604(f)(3)(B).
1250

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As a general rule, an accommodation will be considered reasonable so long as it
does NOT:
1) Pose an undue financial burden on the PHA or owner, and/or
1254
2) Require the PHA or owner to fundamentally change its housing program
OUR ADVICE:
You could ask a Public Housing Authority (PHA), owner, or housing provider to
look at your criminal record using a different standard, or to make an exception
to its criminal history policy altogether. For information on how to ask for a
reasonable accommodation from a PHA, owner, or housing provider, see this .

WHAT IS CONSIDERED A DISABILITY IN CALIFORNIA?
California law defines a disability as any physical or mental impairment that
1255
limits one or more of your major life activities.

> What is a physical disability in California?
A physical impairment is any disease, physical disorder, physical condition, or
disfigurement that:
• Affects one or more of your body systems (i.e. your heart, your eyes) or
functions (i.e. breathing, speaking), and
1256
• Limits a major life activity.

> What counts as a mental impairment?
A mental impairment is any mental or psychological condition that limits a major
life activity. Common exmaples of mental impairments are:
• Intellectual disabilities
• Brain disease
• Emotional or mental illnesses
• Learning disabilities
• Any other mental or psychological condition that requires special attention or
1257
services

WHAT IS NOT CONSIDERED A DISABILITY IN CALIFORNIA?
It is not a protected disability if you are:
•
•
•

Currently engaged in illegal drug use;
Currently abusing alcohol in a way that interferes with others’ health, safety,
or peaceful enjoyment of the property;
People who pose a substantial threat to others, that cannot be controlled by
a reasonable accommodation (see below for more information on reasonable
1258
accommodations)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. GOV’T CODE §§ 12925-12928; see also JOINT STATEMENT OF THE DEP’T OF HOUS. & URBAN DEV. AND THE
DEPARTMENT OF JUSTICE, REASONABLE ACCOMMODATIONS UNDER THE FAIR HOUSING ACT, question 7 (May 17, 2004); 24
C.F.R. § 8.33 (2007); See Southeastern Cmty. Coll. v. Davis, 442 U.S. 397, 410, 412 (1979).
1255
CAL. GOV’T CODE §§ 12925-12928.
1256
CAL. GOV’T CODE §§ 12925-12928.
1257
CAL. GOV’T CODE §§ 12925-12928.
1258
CAL. GOV’T CODE §§ 12925-12928; see also, San Francisco Housing Authority, Housing Choice Voucher Program
Administrative Plan, http://www.sfha.org/SFHA_Proposed_Admin_Plan-FINAL_12172014.pdf.
1254

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DOES DRUG ADDICTION QUALIFY AS A DISABILITY?
Technically, yes, if it is PAST drug use and you have permanently stopped using
illegal drugs, it does qualify as a disability under both federal and state law. BUT
1259
If you are currently using illegal drugs, then you are not considered disabled.
See the next question for what is considered a disability in California.

!

IMPORTANT! There are no reported California cases where a
rehabilitated applicant with a history of substance abuse, or an applicant
with mental impairment, and a history of criminal acts arising from the
substance abuse or mental illness has been granted a reasonable
accommodation from a PHA’s criminal activity restrictions. Courts have
generally been unreceptive to these arguments.
Specifically, courts have been hesitant to accept arguments that a
housing applicant’s criminal convictions were the result of mental illness
and/or past substance abuse. Again, since it may be difficult to prove that
your criminal conviction was the result of your mental illness and/or drug
addiction, it is important that you offer as much evidence as possible.

HOW CAN I PROVE MY PAST DRUG USE QUALIFIES AS A
DISABILITY?
Under this rule, it can be tricky to prove that you are not a current illegal drug
user, especially if there was drug use or convictions for drug use in your recent
past. The law doesn’t clearly define what counts as “current” illegal drug use,
and there are no reported California court decisions defining “current” illegal
1260
drug use.
Some courts outside of California have said a person is NOT a
current illegal drug user if that person has permanently stopped using illegal
1261
drugs for periods of time ranging from a few months to a year. Outside of
California, courts have said that someone is still a “current” user if they have
1262
stopped using for only a few weeks.
Based on the different ways courts are treating this issue, we recommend that
you provide evidence that you are not a current user by showing any proof that:
•
•

You have successfully completed a supervised substance abuse/drug
rehabilitation program;
You are not currently using illegal drugs (meaning any proof that you have
permanently stopped using illegal drugs); and/or

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

42 U.S.C. § 3602(h); 24 C.F.R. § 9.103. Federal HUD regulations define “handicap” to include drug addiction.
Similarly, the ADA states that a person with a disability includes “someone who has successfully completed a drug
rehabilitation program, is currently in such a program, or is mistakenly regarded as engaging in illegal drug use.”
1260
42 U.S.C. § 3602(h); CAL. GOV’T CODE §§ 12925-12928.
1261
United States v. S. Mgmt. Corp., 955 F.2d 914 (4th Cir. 1992) (holding that one-year period of abstinence could
not constitute current use); Herman v. City of Allentown, 985 F. Supp. 569, 578-79 (E.D. Pa. 1997) (holding that ninemonth period of abstinence could not constitute current use); Baustian v. Louisiana, 910 F. Supp. 274, 276; McDaniel
v. Miss. Baptist Med. Ctr., 877 F. Supp. 321, 327–28 (finding that “seven weeks simply does not satisfy the [ADA’s]
requirement of long term abstinence from illegal drug use”).
1262
See Zenor v. El Paso Healthcare Sys., 176 F.3d 847, 857 (5th Cir. 1999) (finding five-week period of abstinence
insufficient); Shafer v. Preston Memorial Hosp. Corp., 107 F.3d 274, 278 (4th Cir.1997) (finding periodic use of drugs
during weeks and months prior to termination from employment as current use); Collings v. Longview Fibre Co., 63
F.3d 828, 833 (9th Cir. 1995) (same); Baustian v. Louisiana, 910 F. Supp. 274, 277 (E.D. La. 1996) (finding seven-week
period of abstinence insufficient); McDaniel v. Mississippi Baptist Med. Ctr, 877 F. Supp. 321, 328 (S.D. Miss. 1995)
(finding six-week period of abstinence insufficient).
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•

You are currently participating in a supervised substance
1263
abuse/drug rehabilitation, treatment, or self-help program

IF I CAN SHOW THAT I’M DISABLED, HOW CAN I
REQUEST A REASONABLE ACCOMMODATION AS I
APPLY FOR HOUSING?
Send a letter to the PHA/housing provider/owner/landlord
(whomever is making the decision) requesting a reasonable
accommodation. You should SEND A WRITTEN LETTER with a
request that clearly explains ALL of the following:
1) That you have a disability, and what that disability is.
2) That the disability caused the offense. Attach any
documentation you have, like:
a. Letters from service providers showing that you
experienced a mental illness and/or a drug addiction at
the time of the offense;
b. It’s even better if you can have a doctor submit a letter
1264
confirming the existence of your disability
c. If it is addiction, explain that you no longer suffer from
addiction. Attach any documentation you have, like:
i. Letters from service providers showing
successful completion of a rehabilitation
program or effective or ongoing treatment for
your addiction;
ii. Letters from service providers that show you
are no longer using substances.
3) What your requested accommodation is, clearly stated:
a. Ask for what you want directly!! You could ask a PHA,
owner, or housing provider to look at your criminal
record using a different standard, or to make an
exception to its criminal history policy altogether.
4) Why the accommodation you are requesting is NECESSARY
and REASONABLE.
a. Here, you should say that an exception from criminal
history policy is NECESSARY to give you an equal
opportunity to access the housing.
i. Explain how your criminal conduct was the
result of the disability —showing the
relationship (also called a “nexus”) between
your disability and your requested
1265
accommodation.
ii. It is helpful and more persuasive if you have a
doctor or service provider submit a letter
explaining why your disability requires a
reasonable accommodation.
b. You must also show that the requested accommodation
is REASONABLE. A requested accommodation may be
found reasonable if:
i. It’s necessary for you to have an equal
opportunity to enjoy the living space.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

REMEMBER:
It may be difficult to
prove that your
criminal conviction
was the result of your
mental illness and/or
drug addiction. It is
important that you
submit as much
evidence as possible!

EXAMPLES OF
REASONABLE
ACCOMMODATIO
NS INCLUDE:
• An exception (“a
waiver”) to a PHA,
owner, or housing
provider’s policy
that bars housing to
applicants with
criminal records, if
your criminal
conviction was
caused by your
disability;
• An owner or
housing provider
agreeing to admit a
tenant with a mental
illness that causes
the tenant to
sometimes become
loud or
confrontational, so
long as the tenant
agrees to seek
treatment for his or
her mental illness;
• An owner or
housing provider
allowing a tenant
suffering from
mental illness to
have a live-in aid; or
• A PHA, owner, or
housing provider
accepting a
reference from an
applicant’s social
worker or service
provider if an
applicant has no
recent rental
history.

29 U.S.C § 705.
The Housing Center, Obtaining and Maintaining House: Fair Housing for People with Mental Health Disabilities.
For more information about obtaining a reasonable accommodation, visit: http://www.fhrc.org/HRAC_Brochure.pdf.
1265
JOINT STATEMENT OF THE DEP’T OF HOUS. & URBAN DEV. AND THE DEPARTMENT OF JUSTICE, REASONABLE
ACCOMMODATIONS UNDER THE FAIR HOUSING ACT, 6 (May 17, 2004).
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ii. It’s not too expensive for the landlord.
iii. The administrative burden is not too great.
iv. It doesn’t fundamentally change the PHA’s, housing
provider’s, or owner/landlord’s operations.
v. A landlord or PHA accommodation that gives you
“preference” over similar non-disabled people may be
1266
reasonable under the circumstances.

THE DIRECT THREAT EXCEPTION:
Remember that the law does not require that reasonable accommodations be
granted to an individual with a disability if that person would be a “direct threat”
to the health or safety of other individuals or if that person’s residency would
result in substantial physical damage to the property of others UNLESS the
reasonable accommodations requested can actually eliminate or significantly
1267
reduce such a threat.
This is known as the “direct threat” exception.
There are some protections for you if a PHA, housing provider, or
landlord/owner is arguing that you would be a direct threat to other tenants or
property:
•
•

•

•

First, a PHA or owner MUST PERFORM an individualized assessment of you.
Second, if a reasonable accommodation can significantly reduce the “direct
threat” posed by a recognized disability, then the PHA, housing provider, or
landlord/owner must make it.
Third, if the PHA, housing provider, or landlord/owner finds that you pose a
direct threat to other tenants or property, this should be based only on actual
examples of you causing harm or other factual, objective evidence—not their
own fears or assumptions about what could happen.
Fourth, a finding of a direct threat cannot be based on assumptions,
stereotypes, or fears about mental illness, drug addiction, or other
1268
disabilities.

ONCE I HAVE SENT MY REQUEST FOR A REASONABLE
ACCOMMODATION, WHAT HAPPENS?
There are several phases of a reasonable accommodation request:

1269

Initial request (see PG. 480). This is when you first send your letter informing
the PHA, owner, or housing provider that you have a disability and are
1270
requesting a reasonable accommodation
2) Verification: Once you make your initial request for a reasonable
accommodation, the PHA, owner, or housing provider will want to verify that
you are indeed disabled.
a. If your disability is obvious or known, and the need for a reasonable
accommodation is known, then the housing provider should not ask
you for any more information
1)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See U.S. Airways v. Barnett, 535 U.S. 391, 397.
JOINT STATEMENT OF THE DEP’T OF HOUS. & URBAN DEV. AND THE DEPARTMENT OF JUSTICE, REASONABLE
ACCOMMODATIONS UNDER THE FAIR HOUSING ACT (May 17, 2004).
1268
See National Housing Law Project, Reasonable Accommodation in Federally Assisted Housing,
http://nhlp.org/files/Reasonable%20Accommodation%20Outline%20Current%2010-2012.pdf; see also Jennifer L.
Dolak, Note, The FHAA’s Reasonable Accommodation & Direct Threat Provisions as Applied to Disabled Individuals
Who Become Disruptive, Abusive, or Destructive in Their Housing Environment, 36 Ind. L. Rev. 759, 762–67 (2003).
1269
See National Housing Law Project, Reasonable Accommodation in Federally Assisted Housing,
http://nhlp.org/files/Reasonable%20Accommodation%20Outline%20Current%2010-2012.pdf.
1270
DEP’T OF HOUS. & URBAN DEV., Handbook 4350.3: Occupancy Requirements Of Subsidized Multifamily Housing
Programs, REV-1, CHG-3, 2-39; see also National Housing Law Project, Reasonable Accommodation in Federally
Assisted Housing, http://nhlp.org/files/Reasonable%20Accommodation%20Outline%20Current%2010-2012.pdf.
1266
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b. If your disability is known and obvious, but your need for the
accommodation is not well-known or obvious, then the housing
provider should ask only for information necessary to verify the
need for a reasonable accommodation—for example, notes
explaining your need from a doctor or clinician.
c. If neither your disability nor the need for your accommodation is
known nor obvious, the housing provider may ask for verification of
both your disability and your need for a reasonable
1271
accommodation.
3) The Decision. After reviewing your request, the PHA, owner, or housing
provider will decide whether or not to grant your reasonable
accommodation request.
4) The “Interactive” process:
a. If the PHA, owner, or housing provider refuses to grant you a
reasonable accommodation, you should try to engage them in an
informal “interactive process” in which you discuss alternative
solutions that might meet both of your needs. HUD guidelines
encourage you to try this informal route first, before starting the
formal grievance procedure, because it is more flexible and often
1272
leads to quicker resolutions.
b. If, after engaging in the “interactive process,” the PHA, owner, or
housing provider still refuses to grant you a reasonable
accommodation, you may have to file a formal Fair Housing
1273
complaint with HUD or the DFEH.

HOW CAN I CHALLENGE MY DENIAL FOR A REASONABLE
ACCOMMODATION?
OPTION 1: YOU CAN FILE A COMPLAINT.
If you believe that a PHA, owner, or housing provider denied your request for a
reasonable accommodation due to your disability and/or your past drug use, you
may file a complaint with HUD (federal housing protection agency) or with
1274
California’s DFEH (the state housing protection agency).
After you file a complaint, if HUD or DFEH determines that you were
discriminated against (meaning it finds that your complaint has “merit”) then
HUD or DFEH will file a civil lawsuit against the PHA, owner, or housing provider
on your behalf. Go to Appendix H on PG. 491 to learn how to file a complaint
with HUD or DFEH.
OPTION 2: YOU CAN TRY TO SUE IN COURT.
To sue a housing provider under the federal Fair Housing Act (FHA), California’s
Fair Housing and Employment Act (FEHA), or other state anti-discrimination laws
1275
(such as California’s Unruh Civil Rights Act),
you must show that your status
as an individual with a disability or drug history was a motivating factor in the

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

DEP’T OF HOUS. & URBAN DEV., Handbook 4350.3: Occupancy Requirements Of Subsidized Multifamily Housing
Programs, REV-1, CHG-3, 2-39; see also National Housing Law Project, Reasonable Accommodation in Federally
Assisted Housing, http://nhlp.org/files/Reasonable%20Accommodation%20Outline%20Current%2010-2012.pdf.
1272
DEP’T OF HOUS. & URBAN DEV., Handbook 4350.3: Occupancy Requirements Of Subsidized Multifamily Housing
Programs, REV-1, CHG-3, 2-39; see also National Housing Law Project, Reasonable Accommodation in Federally
Assisted Housing, http://nhlp.org/files/Reasonable%20Accommodation%20Outline%20Current%2010-2012.pdf.
1273
Reasonable Accommodations under the Fair Housing Act, U.S. Dep’t of Just.,
http://www.justice.gov/crt/about/hce/jointstatement_ra.php.
1274
CAL. GOV’T CODE § 12981(a); 2 CAL. CODE REGS. § 10063. In general, DFEH must file the lawsuit within 100 days
after receiving your formal complaint. Before filing the lawsuit, DFEH will first require you and the landlord to
attempt mediation.
1275
Unruh Civil Rights Act, CAL. CIV. CODE § 51 et seq.
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1276

owner’s or PHA’s decision to deny your reasonable accommodation request.
You must also provide sufficient evidence that the requested accommodation is
reasonable, and that you are a former/ recovering substance user (and not a
current substance user), or that you are receiving treatment for your mental
1277
illness.

WHAT IS THE PHA, OWNER, OR LANDLORD LIKELY TO ARGUE TO
DEFEND ITS DECISION TO DENY MY REASONABLE
ACCOMDATION?
The PHA or owner will likely argue that you do not have a protected disability.
They might argue that, you are a “current user” of illegal drugs or substances,
and therefore, you are not disabled under law, OR that you have not sought
adequate treatment for your mental illness, and therefore are not disabled under
1278
law.
If you go to court, you can attempt to disprove these arguments by providing
treatment records establishing that you have not used illegal substances for the
1279
relevant period of time, or that you receive treatment for your mental illness.
Your argument will be even stronger if you can provide evidence of your
participation in or completion of a drug/substance abuse treatment program, or
proof that you receive treatment for your mental illness. Go to PG. 407 to learn
more about challenging a denial from federal government-assisted housing, or
go to PG. 447 to learn more about challenging a denial from private housing.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Head v. Glacier Northwest Inc., 413 F.3d 1053 (2005) (holding that the ADA outlaws adverse employment
decisions motivated, even in part, by animus based on a plaintiff’s disability or request for an accommodation);
Village of Arlington Heights v. Metro. Hous. Dev. Corp., 429 U.S. 252, 265 (1977); see also United States v. S. Mgmt.
Corp., 955 F.2d 914, 916 (4th Cir. 1992) (finding a private apartment complex to have violated the FHA by refusing to
rent units to a community drug and alcohol rehabilitation board for its participants who had remained drug-free for
one year); Campbell v. Minneapolis Pub. Hous. Auth., 168 F.3d 1069 (8th Cir. 1999) (remanding a matter in which the
local PHA had rejected a former substance abuser’s application to public housing because of insufficient evidence).
Campbell demonstrates the importance of housing applicants providing documentation that he or she is a
recovering substance user, not a current substance user.
1277
42 U.S.C. § 3602(h)(3).
1278
See Campbell v. Minneapolis Pub. Hous. Auth., 168 F.3d 1069 (8th Cir. 1999) (“The MPHA indicated it was
denying [Campbell’s] application for the following reasons: . . . you have recently used illicit drugs and have a
problem with alcohol.”).
1279
See United States v. S. Mgmt. Corp., 955 F.2d 914, 916 (4th Cir. 1992) (finding a private apartment complex to
have violated the FHA by refusing to rent units to a community drug and alcohol rehabilitation board for its
participants who had remained drug-free for one year).
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APPENDIX E
Sample Consent Form that Your Drug or
Alcohol Treatment Program Could Use to
Disclose Information About Your
Treatment
See next page.

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State of California — Health and Human Services Agency

Department of Health Care Services
Licensing and Certification Division
MS 2600
PO Box 997413
Sacramento, CA 95899-7413

CONSENT FOR THE RELEASE
OF CONFIDENTIAL INFORMATION
I, _____________________________________, authorize
(Name of client, complainant, patient)
________________________________________________________________
(Name or general designation of alcohol/drug program permitted to make the disclosure)
to disclose to _________________________________________________the
(Name of person or organization to which the disclosure is to be made)
following information:_______________________________________________
(Nature and amount of information to be disclosed, as limited as possible)
________________________________________________________________
The purpose of the disclosure authorized in this consent is to:
________________________________________________________________
(Purpose of disclosure, as specific as possible)
________________________________________________________________
I understand that my alcohol and/or drug treatment records are protected under the Federal
regulations governing Confidentiality of Alcohol and Drug Abuse Patient Records, 42 C.F.R. Part 2, and
the Health Insurance Portability and Accountability Act of 1996 (“HIPAA”), 45 C.F.R. Pts. 160 & 164, and
cannot be disclosed without my written consent unless otherwise provided for by the regulations. I also
understand that I may revoke this consent, in writing, at any time except to the extent that action has
been taken in reliance on it, and that in any event this consent expires automatically as follows:
________________________________________________________________
(Specification of the date, event, or condition upon which the consent expires)
________________________________________________________________
I understand that I might be denied services if I refuse to consent to a disclosure for purposes of
treatment, payment, or health care operations, if permitted by State law. I will not be denied services if I
refuse to consent to a disclosure for other purposes.
I have been provided a copy of this form.
Date: _____________

__________________________
Signature of client, complainant, patient (or if
minor, of individual authorized to give consent)

Describe authority to sign on behalf of client, complainant, patient ________________
_____________________________________________________________________

DHCS 5024 (06/13)

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APPENDIX F
Housing Owners’/ Landlords’ Access to
Credit Reports
WHAT IS A CREDIT REPORT?
Your credit report includes information about creditworthiness, such as your
record of paying bills on time. A credit report will show information dating back 7
years (or 10 years in the case of a bankruptcy), including the following
•
•
•
•
•

history of paying bills and loans on time or record of late payments;
open accounts and level of indebtedness;
collection actions;
bankruptcies or tax liens; and
civil court judgments, including housing-related court actions filed by a
previous landlord that may or may not have led to a past eviction.

HOWEVER, a credit report does NOT include criminal history
information like a tenant report would.

WHO CAN ACCESS MY CREDIT REPORT?
Anyone who is evaluating your ability to pay for housing can order
your credit report in California. That means that private owners,
PHAs, AND owners of government-assisted housing can order a
credit report to see if you have good credit and will be a reliable
tenant.

DOES MY CONSISTENTLY PAYING RENT ON TIME IN
THE PAST HELP MY CREDIT STANDING?
Maybe, but most likely not. The companies that collect information
about your credit standing are only just beginning to collect this
information in a systematized way.
A credit report will show whether or not you’ve ever been evicted,
your ability to pay credit card bills, utility bills, and other bills on time,
1280
and any success you’ve had paying back loans.

HELPFUL HINT:
If you are looking
for a rental, it is
best to check your
credit reports
before the PHA or
owner does—so
you know what
they will find. You
can go online and
order FREE credit
reports from the
three national
credit bureaus:
Experian,
TransUnion, and
Equifax. If there’s
an error, it’s a
good idea to file
a dispute with the
bureau rather than
try to explain it at
the last minute.

CAN SOMEONE FIND OUT ABOUT PAST LATE
PAYMENTS ON RENT FROM A CREDIT REPORT?
Maybe. Generally, late rent payments are not a part of your credit history unless
the landlord or management company is reporting them. If the matter was
referred to a collection agency or a civil court (like eviction case started against
you), it is possible it would show up on your credit report.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Consumer Financial Protection Bureau, What is a Credit Report?,
http://www.consumerfinance.gov/askcfpb/309/what-is-a-credit-report.html.
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APPENDIX G
San Francisco Fair Chance Ordinance
WHAT IS THE SAN FRANCISCO FAIR CHANCE
ORDINANCE?
The San Francisco Fair Chance Ordinance is a new law that offers
special protections for people with criminal records who apply to
1281
certain types of affordable housing in San Francisco. (If you are
interested in the parts of this new law that apply to employment, go the
EMPLOYMENT CHAPTER, Appendix G, on PG. 724.)
LOOKING FOR MORE INFORMATION ONLINE?
Check
out the San Francisco Human Rights Commission’s website
!
about how the San Francisco Fair Chance Ordinance applies to
affordable housing providers: http://sf-hrc.org/sites/sfhrc.org/files/Fair%20Chance%20Housing%20Notice%20FINAL.pdf.

WHAT KINDS OF HOUSING DOES THE SAN FRANCISCO
FAIR CHANCE ORDINANCE PROTECT?
It protects applicants and tenants in city-funded affordable housing in
San Francisco, CA. It does NOT apply to federally subsidized housing
(unless the property is receiving multiple subsidies including cityfunded subsidies to keep it affordable).

DOES THE SAN FRANCISCO FAIR CHANCE ORDINANCE
APPLY TO FEDERAL GOVERNMENT-ASSISTED HOUSING?
No. These new legal protections apply only to city government-funded
affordable housing in San Francisco, CA.

WHAT KIND OF PROTECTIONS DOES THIS LAW GIVE ME
IF I’M APPLYING TO CITY-FUNDED AFFORDABLE
HOUSING IN SAN FRANCISCO AND HAVE A CRIMINAL
RECORD?
We break down all the rights it gives you in each step in your affordable
housing application process:
STEP 1: YOUR RIGHTS WHEN APPLYING FOR AFFORDABLE HOUSING
IN SAN FRANCISCO
When you are APPLYING, Affordable housing providers in San
Francisco:
• MUST NOT have a question about past convictions on the initial
application. Before an affordable housing provider asks about your

IMPORTANT
DEFINITION:
Under the San
Francisco Fair
Chance
ordinance,
“affordable
housing” is
defined as “any
residential
building in the
City that has
received funding
from the City,
connected in
whole or in part to
restricting rents,
the funding being
provided either
directly or
indirectly through
funding to
another entity that
owns, master
leases, or
develops the
building.
Affordable
Housing also
includes
‘affordable units’
in the City as that
term is defined in
Article 4 of the
Planning Code.”
The term
“housing
provider” is
broad, and
includes any
entity that owns,
master leases, or
develops
affordable
housing, and any
agent, such as a
property
management
company, that
makes tenancy
decisions on
behalf if these
entities.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
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S.F. POLICE CODE, Art. 49, San Francisco’s Fair Chance Ordinance.

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•
•
•

convictions or looks at a background check report on you, it must:
o Determine that you are (1) legally eligible to rent the housing unit and (2)
qualified to rent the housing unit under the affordable housing
provider’s criteria for evaluating rental history and credit history;
1283
o Provide notice about the San Francisco Fair Chance Ordinance;
and
o Provide notice about state and federal laws about background
1284
checks.
MUST NOT have blanket bans like “No Felons Apply.”
In ads, they MUST state that they will consider qualified applicants with
criminal histories.
They MUST have a notice posted about the San Francisco Fair Chance
1285
Ordinance.
Here is an electronic copy of the notice that affordable
housing providers must post: http://sf-hrc.org/sites/sfhrc.org/files/Fair%20Chance%20Housing%20Notice%20FINAL.pdfn. You can
also see a copy on APPENDIX G, PG. 487.

STEP 2: YOUR RIGHTS WHEN ASKED ABOUT YOUR BACKGROUND
What can city-funded affordable housing providers in San Francisco ask me
about my criminal record after they find I am qualified for the housing in every
other way?
After you’re found qualified, an affordable housing provider in San Francisco can
ask about:
•
•

Pending (open) arrests, and
1286
Convictions that are 0–7 years old (based on the date of sentencing).

BUT even though they can ask about this information, there are limits on how
the affordable housing provider can use it—see Step 3 below.

What can city-funded affordable housing providers in San Francisco NEVER ask
me about my criminal record?
City-funded housing providers in San Francisco can never ask about:
•
•
•
•
•
•
•

Arrests that didn’t lead to a conviction;
Diversion or deferral programs;
Dismissed convictions (which means any conviction that has been dismissed,
expunged, voided, invalidated, or made inoperative by the Court);
Juvenile convictions;
Convictions older than 7 years (based on the date of sentencing);
Infractions (meaning anything that is not a misdemeanor or felony under law).
Affordable housing providers cannot ask about these 6 types of cases and
can never use them against you at any stage!

STEP 3: YOUR RIGHTS WHEN BEING CONSIDERED
An affordable housing provider in San Francisco that is considering your
conviction history must:

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

A housing provider may run a criminal history/background check report at the same time as it runs a rental or
credit history check, BUT it may not look at the report before determining if the applicant is qualified to live in the
housing unit.
1283
S.F. POLICE CODE, Art. 49, § 4907(b).
1284
S.F. POLICE CODE, Art. 49, § 4907(c).
1285
S.F. POLICE CODE, Art. 49, §§ 4906, 4907.
1286
S.F. POLICE CODE, Art. 49, § 4903.
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•

•

•
•

Conduct an individualized assessment—meaning look at all of the
circumstances of the person applying to housing and information available
about their criminal record, including mitigating circumstances;
Consider only “directly-related” convictions — which means that the
underlying conduct “has a direct and specific negative bearing on the safety
1287
of persons or property, given the nature of the housing;”
Consider the time that has passed since your conviction(s); and
Consider any evidence of rehabilitation or mitigating information you share,
such as:
o Completion of parole or probation;
o Letters of recommendation from employers or others;
o Education or training you’ve received;
o Participation in an alcohol/drug treatment program;
o Completion of rehabilitation programs; and
IF YOU ARE
o Any additional context for the conviction—including your age
DENIED, YOU
when you were convicted, or mitigating factors like physical
HAVE THE RIGHT
or emotional abuse, coercion, untreated abuse/mental
TO RESPOND!!
illness that led to the conviction.

STEP 4: YOUR RIGHTS IF YOU ARE DENIED SF AFFORDABLE
HOUSING BECAUSE OF YOUR CRIMINAL RECORD
If an affordable housing provider in SF wants to deny you because of
your record, THEY MUST abide by the following rules:
•
•
•
•
•

They cannot deny you because of a conviction more than 7 years
old (based on the date of sentencing)
They cannot deny you because of arrests that never led to
convictions;
They must provide you a copy of your background report;
They must tell you why you were denied—what the issue was in
your conviction history; and
Give you 14 days to provide information about your rehabilitation
or any errors in the background check report.

You have only 14 days
to respond. SO ACT
FAST! You can
respond IN WRITING
or VERBALLY by:

• Pointing out any
inaccuracies in the
background check
report, AND
• Providing evidence
of your
rehabilitation or
mitigating
information. See the
list of examples of
evidence of your
rehabilitation or
mitigating
information under
Step 3 above.

STEP 5: YOUR RIGHT TO A FINAL DECISION AFTER YOU RESPOND
& ANOTHER LEVEL OF APPEAL
Must I get notice of the housing provider’s final decision?
Yes. An affordable housing provider in SF who makes a final decision
to deny you must give you a final notice.. If a final negative decision
is made based on your criminal record, you should consider
challenging the decision to the San Francisco Human Rights
Commission. HOW? See STEP 6 below.
STEP 6: REPORT CLEAR VIOLATIONS* TO THE SAN FRANCISCO
HUMAN RIGHTS COMMISSION WITHIN 60 DAYS
If you believe that there has been a violation of the rules above, you
should report it to the SF Human Rights Commission. This must be
done within 60 days of the violation (when you get your final
1288
decision).

This could be when...
An Clear violations
include when an
affordable housing
provider in SF:
• Asks about your
criminal record on
an initial housing
application;
• Has a blanket ban
like “We don’t
accept felons,” or
didn’t consider your
criminal record on a
case-by-case basis;
• Didn’t give you
notice of your rights;
• Denied you because
of a conviction that
was older than 7
years.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1287
1288

S.F. POLICE CODE, Art. 49, § 4903.
S.F., Cal., Police Code, Art. 49, § 4911(a).

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You can begin the process of reporting a violation by following these 3 steps:
•

•

•

STEP 1: Fill out a complaint form online here:
http://hrc.sfintranet.firmstep.com/achieveforms-node/discrimination-publicform, and submit. Give as many details about the discrimination as possible!
You can submit the complaint form online, by mail, or in person.
STEP 2: Call (415) 252-2500 to schedule an intake interview. If you submitted
the intake questionnaire online, HRC will contact you to set up an intake
interview appointment.
STEP 3: After intake, the HRC will try to mediate between you and the
housing provide; investigate the alleged violation; and make a finding about
whether or not the housing provider broke the law. The HRC’s process for
responding to these complaints looks like this:

NOTE: HRC's Discrimination Complaints Investigation and Mediation Division
investigates and mediates complaints of discrimination and non-compliance
1289
in employment, housing, and public accommodation.
REMEMBER—YOU ARE AN AGENT OF CHANGE! !
WHY IS IT IMPORTANT TO REPORT VIOLATIONS OF THE SAN FRANCISCO
FAIR CHANCE ORDINANCE TO THE SAN FRANCISCO HRC?
It’s important to report violations because:
•
•
•
•
•

You are helping to enforce this important law that adds protection for people
with criminal records applying for affordable housing in San Francisco;
Helping others in your community;
The Human Rights Commission (HRC) can find out more information than you
can;
You could get relief—for example, be admitted into the affordable housing.
The affordable housing provider could be penalized by the city—and
1290
hopefully wont do it again!

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

How to File a Discrimination Complaint in Employment, Housing or Public Accommodation, CITY AND CNTY. OF
SAN FRANCISCO, HUMAN RIGHTS COMMISSION, http://sf-hrc.org/how-file-discrimination-complaint-employmenthousing-or-public-accommodation.
1290
S.F., Cal., Police Code, Art. 49, § 4909(a).
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APPENDIX H
Filing a Complaint for Illegal
Discrimination in Private Housing
If you believe you have been illegally discriminated against in applying for
private housing from a private landlord (meaning neither the owner, you nor the
property receive federal government money to assist in making the housing
more affordable), you can challenge that discriminatory denial. Read about how
to challenge an illegal discriminatory denial below, and which government
agencies you should contact.

WHAT GOVERNMENT AGENCIES ARE IN CHARGE OF
INVESTIGATING HOUSING DISCRIMINATION COMPLAINTS?
FEDERAL HOUSING AGENCY:
The U.S. Department of Housing and Urban Development (HUD) is a federal
1291
agency that enforces the federal Fair Housing Act (FHA). HUD has to refer the
complaints of housing discrimination it receives to the fair housing enforcement
agency in the state where the discrimination occurred if that state’s fair housing
agency is certified by HUD as having mostly the same laws, procedures,
1292
remedies, and judicial review.
AND
STATE HOUSING AGENCY:
In California, our state fair housing enforcement agency is the Department of
Fair Employment and Housing (DFEH), and it is certified by HUD to enforce,
investigate, conciliate, and litigate discriminatory housing practices in California.

I BELIEVE A PRIVATE LANDLORD ILLEGALLY DISCRIMINATED
AGAINST ME DUE TO MY CRIMINAL RECORD. WHAT ARE MY
OPTIONS?
Your 3 main options are:
You could file an administrative complaint with California’s DFEH (the state
housing protection agency);
1)

You could file an administrative complaint with HUD (the federal housing
protection agency);
2) You could file a civil lawsuit in state or federal court;
OR
3) You could allow HUD (the federal housing agency) or California’s DFEH (the
state housing agency) to file a lawsuit on your behalf.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1291
1292

42 U.S.C. § 3601-3619.
42 U.S.C. § 3610(f).

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> HOW CAN I FIGURE OUT WHICH OPTION TO CHOOSE?
Talk to a lawyer or an advocate at a nonprofit legal services organization if
possible—they can help advise you! Also, you can always file a complaint with
both HUD & DFEH. More on each of these 3 options below.
You can file an administrative complaint with California’s DFEH or the federal
agency HUD, or both. This may lead to a lawsuit in civil court (possible with both
DFEH or HUD) or an administrative hearing (HUD only). Read about how to file a
state administrative complaint and a federal administrative complaint below.

OPTION 1:
FILING A STATE ADMINISTRATIVE COMPLAINT WITH
CALIFORNIA’S DFEH.1293
You can file an administrative complaint with California’s DFEH within 1 year of
1294
the discriminatory act.
To begin the process, you must contact DFEH in
writing, online, or by phone, with basic information about the discrimination
1295
(what happened to you, when, where, etc.).
The DFEH will conduct an intake
interview to learn more about your situation, and to determine whether you can
1296
file a formal (“verified”) complaint.
See PG. 492 for a step-by-step explanation
of the DFEH’s state complaint process.

Under what circumstances will California’s DFEH accept my
complaint?
DFEH is supposed to be very generous in accepting your complaint.
However, in some cases, the DFEH may decide that you cannot file a
complaint—for example, if the landlord’s conduct is legal, happened
more than a year ago, or is outside of DFEH’s legal control, or if you
already filed a complaint with DFEH or HUD regarding the same
1297
discrimination.

How much time does the DFEH have to respond and investigate?
Once the DFEH accepts your complaint, it must follow certain time limits.
The DFEH has
10 days to inform you of your procedural rights and
1298
obligations.
The landlord then has 20 days to respond to the
1299
complaint.
Within 30 days, DFEH must begin to investigate your
1300
complaint, and it must finish the investigation within 100 days.

Will I have to do anything else while I wait for a response from the
DFEH?
Maybe. At some point (before, during, or after the investigation), the
DFEH may also require you and the landlord to go through mediation
(meaning an alternative dispute resolution or a settlement negotiation)
1301
to see whether you can resolve the problem cooperatively.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Please note that the DFEH complaint process was changed starting in 2013. Previously, the Department would
issue an accusation after determining that the landlord discriminated against you. You then had the right to choose
between an administrative hearing before an administrative law judge, or a civil lawsuit in court. Starting in 2013, the
accusation and administrative hearing option were eliminated, so DFEH must automatically file a civil lawsuit if it
finds that you were discriminated against. Cal. Gov’t. Code § 12981 (effective Jan. 1, 2004–Dec. 31, 2012), repealed
by 2012 Cal. Legis. Ch. 46 § 56 (S.B. 1038) (effective Jan. 1, 2013). For more information on these changes, see Phyllis
W. Cheng, Transformative Year for Civil Rights in CA, LOS ANGELES DAILY JOURNAL, Aug. 2, 2012.
1294
CAL. GOV’T CODE § 12980(a).
1295
2 CAL. CODE REGS. §§ 10035, 10037.
1296
2 CAL. CODE REGS. §§ 10038.
1297
2 CAL. CODE REGS. §§ 10036; 10038(f), (g), (i). If the Department decides not to accept your complaint, you can still
file a lawsuit on your own in court.
1298
2 CAL. CODE REGS. § 10053.
1299
2 CAL. CODE REGS. § 10055. The landlord can wait to respond if you begin mediation to resolve the complaint.
1300
CAL. GOV’T CODE § 12980(e), (f).
1301
2 CAL. CODE REGS. § 10056-57.
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HERE IS A STEP-BY-STEP OVERVIEW OF THE FEHA HOUSING COMPLAINT
1302
PROCESS IN CALIFORNIA:
STEP 4: File a Pre-Complaint Questionnaire.
First, you need to file a Pre-Complaint Questionnaire, Form DFEH-700-01
(English) or Form DFEH-700-01S (Spanish). A Pre-Complaint Questionnaire can
be filed by you, the Director of DFEH, or a community organization. You can do
this online, by phone, or by mail.
NOTE: It’s important that you provide an up-to-date phone number where you
can be reached!
•

•

•

Online: Go to http://esq5.houdiniesq.com/dfeh/intake/, create an account, log
in, and fill out the Pre-Complaint Questionnaire. Alternatively, you can email
your Pre-Complaint Questionnaire to contact.center@dfeh.ca.gov.
By Phone: Call the DFEH’s Communication Center at (800) 884-1684. If you
have a hearing impairment, please call 800-884-1684 or TTY at (800) 7002320 for service.
By mail: Request a printed copy of the form through the DFEH website
(http://www.dfeh.ca.gov/contact.htm). After you carefully fill out the
questionnaire, you can send it to the DFEH office nearest you (see the list
below for office locations):
DFEH—Elk Grove Office
2218 Kausen Drive, S. 100
Elk Grove, CA 95758
DFEH—Bay Area Regional Office
39141 Civic Center Drive, S. 250
Fremont, CA 94538
DFEH—Fresno Office
1277 E. Alluvial Avenue, S. 101
Fresno, CA 93720
DFEH—Bakersfield Office
4800 Stockdale Highway, S. 215
Bakersfield, CA 93309
DFEH—Los Angeles Office
320 West 4th St., 10th Floor
Los Angeles, CA 90013

STEP 5: Intake.
Within 10 days of receiving your Pre-Complaint Questionnaire, an investigator
from the DFEH will contact you by telephone to conduct an intake interview. The
investigator will ask you questions to collect facts about the possible
discrimination.
STEP 6: File the Formal Complaint.
If your complaint is accepted for investigation, the DFEH investigator will draft
the complaint and ask for you or your representative to sign the complaint. This
formal complaint is then served on the “Respondent” (the person or entity that
who you have made the allegation against). The Respondent is required to
answer the complaint and is given the opportunity to voluntarily resolve it. A nofault resolution can be negotiated at any time during the complaint process.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Housing Complaint Process, CAL. DEP’T OF FAIR EMPL. & HOUS.,
http://www.dfeh.ca.gov/Complaints_hCompProc.htm.
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If there is also federal law that would protect you, then the formal complaint is
also filed with the United States Department of Housing and Urban
Development (HUD). Note: HUD usually accepts DFEH’s findings with respect to
the alleged discrimination.
STEP 7: Investigation Period.
DFEH must investigate every case in a standard, timely manner.
DFEH has the authority to take depositions, issue subpoenas and interrogatories
and seek Temporary Restraining Orders when appropriate.
If the investigative findings do not show a violation of the law, the DFEH will
close the case. If the DFEH finds a violation, continue to STEP 5.
STEP 8: Mediation (a.k.a. “Conciliation”)
If the DFEH’s investigation shows that there was a violation of fair housing law,
then it will schedule formal mediation/ conciliation conferences between the
DFEH’s representatives, you, and the responding landlord.
During the mediation/conciliation conference, the DFEH presents information
supporting its belief that there has been a violation and explores options to
resolve the complaint.
If formal mediation/conciliation fails, the DFEH will then have to decide whether
or not to file a civil lawsuit.
•

•

Possible Outcome #1: If the DFEH determines that you have been
discriminated against (that your complaint has “merit”), and that the
discrimination cannot be resolved through mediation, the DEFEH will file a
civil lawsuit against the landlord on your behalf. (Continue to STEP 6 below).
Possible Outcome #2: If the DFEH decides not to file a lawsuit (or takes
longer than 100 days to file the lawsuit), the DFEH must give you a written
notice with the following information: (1) DFEH’s decision regarding your
complaint, (2) the reasons for the DFEH’s decision; (3) your right to sue the
landlord directly in court (see PG. 496 below on how to file a civil lawsuit in
1303
court); and (3) a list resources for filing a civil lawsuit.

STEP 9: Litigation
If the DFEH decides to litigate the case, it will be heard in civil court.
STEP 10: Court Remedies & Possible Outcomes.
If the lawsuit is successful (meaning the court finds that the landlord
discriminated against you), you may be awarded some or all of the following
remedies:
1) actual money damages (to compensate you for your losses);
2) punitive damages (to punish the landlord for committing illegal
discrimination);
3) injunctive relief (ordering the landlord to stop discriminating or take some
other action, such as changing its screening procedures or providing you
with housing); AND/OR

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. GOV’T CODE § 12980(h); 2 CAL. CODE REGS. § 10064. DFEH must give you this notice within 30 days after (1)
deciding not to file a lawsuit, or (2) 100 days passes, whichever comes first. When deciding whether to file a civil
lawsuit, the Department will consider the following factors: (1) whether there is strong evidence of discrimination; (2)
whether a lawsuit is likely to be successful; (3) whether the discrimination involves an important legal issue for
establishing new caselaw; (4) whether the lawsuit and its impact on civil rights are consistent with DFEH’s mission;
and/or (5) whether landlord offered to resolve the issue directly and you refused. 2 CAL. CODE REGS. § 10063(c).
1303

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4) attorneys fees and costs (to reimburse the DFEH or a private attorney for the
1304
costs of the lawsuit).
1305

Below is a flowchart showing what happens when you file a DFEH complaint.
Remember: if HUD (the federal fair housing agency, see PG. 495) also has
jurisdiction (legal authority) over your housing complaint, then the DFEH will also
file your complaint with HUD at the same time.

OPTION 2:
FILING A FEDERAL ADMINISTRATIVE COMPLAINT WITH HUD.
The procedures and potential relief of filing an administrative complaint with
HUD are basically the same as filing an administrative complaint with California’s
DFEH (see PG. 492 on how to file state housing discrimination complaint with
the DFEH).

How much time do I have to file a complaint after the
discriminatory act occurs?
You have 1 year after the discriminatory practice occurs to file your
1306
complaint with HUD.

How long does HUD have to respond and investigate?
HUD has 100 days to determine if there is “reasonable cause” to believe
1307
the discrimination occurred.
Within these 100 days, HUD must try to

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Cal. Gov’t. Code § 12989.2.
Cal. Dept. of Fair Employment & Housing, Housing, Public Accommodations & Hate Violence Flowchart (Dec. 1,
2014), http://www.dfeh.ca.gov/Complaints_HousFlowChart.htm.
1306
42 U.S.C. § 3610(a)(1)(A)(i).
1307
42 U.S.C. § 3610(a)(1)(B)(iv), (g)(1).
1304
1305

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facilitate a conciliation agreement (meaning an agreement that solves
1308
the problem) between you and the landlord who discriminated.

Will HUD ever give special treatment to my housing
discrimination complaint over other ones?
* HUD gives special treatment in 2 types of cases:
Special Case #1: If HUD decides that a court must act quickly, it can
refer your case to the U.S. Department of Justice (U.S. DOJ) which must
then file a civil enforcement action for temporary or permanent
1309
injunctive relief pending a final disposition on the case.
This civil
action doesn’t stop the administrative proceedings; it just tries to create
a solution more quickly when it’s deemed necessary.
Special Case #2: If your complaint has to do with the legality or illegality
of any zoning or other land use law, then HUD must refer it to the U.S.
1310
DOJ for civil prosecution. HUD must then file either a charge against
1311
the respondent, or dismiss the complaint.

OPTION 3: YOU CAN FILE A CIVIL LAWSUIT DIRECTLY IN STATE
OR FEDERAL COURT—DEPENDING ON WHAT KINDS OF LEGAL
VIOLATIONS YOU ARE ALLEGING.
You may file a civil state or federal lawsuit under either or both federal law (e.g.,
the FHA) and state law (e.g., the FEHA, the Unruh Act, or other laws).
1)

Under federal Law: FHA and FEHA, you must file your lawsuit within 2 years
of the discriminatory act itself OR within 2 years of the landlord violating a
mediation/conciliation agreement that HUD or DFEH had facilitated for you
1312
(refer back to STEP 5 on PG. 494 above).
2) Under state law: California’s Unruh Act, there is not a clear deadline by
when you must file the lawsuit, but it could be as short of a timeline as 1
1313
year! If you are able to do so, talk to an attorney about your options and
timelines as soon as possible after the discrimination occurs (see a list of
housing legal aid providers across California on PG. 1190).

What remedies are available to me in a state or federal lawsuit?
If the lawsuit is successful (meaning the judge finds that the landlord
discriminated against you), you may be awarded some or all of the
following remedies:
3) actual money damages (to compensate you for your losses);
a. punitive damages (to punish the landlord for committing illegal
discrimination);
b. injunctive relief (ordering the landlord to stop discriminating or take
some other action, such as changing its screening procedures or
providing you with housing); AND/OR
c. attorneys fees and costs (to reimburse the DFEH or a private
1314
attorney for the costs of the lawsuit).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

42 U.S.C. § 3610(b).
42 U.S.C. § 3610(e).
42 U.S.C. § 3610(g)(2)(C).
1311
42 U.S.C. § 3610(g)(3).
1312
42 U.S.C § 3613(a); CAL. GOV’T CODE § 1289.1.
1313
See CAL. CIV. PROC. CODE § 338(a). DFEH states that the Unruh Act has a three-year limitation period if filed as a
private lawsuit (“Highlights of Differences Between State and Federal Housing Laws,” May 20, 1993), but see
Mitchell v. Yu Sung, 816 F. Supp. 597 (1993) (court applied a one-year limitation period).
1314
42 U.S.C. § 3613(c); CAL. GOV’T CODE § 12989.2.
1308
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OPTION #4:
The U.S. Department of Justice (U.S. DOJ) or the California
Department of Justice (CA DOJ) may also file a complaint—on the
behalf of their government agencies OR on your behalf.
The U.S. DOJ may file a civil lawsuit in federal court if there is reasonable cause
to believe that:
1) any person or group is engaged in a pattern or practice of unlawful acts,
2) or (2) the denial of federal or state housing rights is an issue of “general
1315
public importance.”
The California Attorney General, who leads the CA DOJ, may also file a civil
1316
lawsuit in state court under the same standard. In such a case, the California
Attorney General and the DFEH (California Department of Fair Employment and
Housing) must comply with the California State Bar’s Rules of Professional
Conduct in representing your interests, establish an attorney-client relationship,
1317
and zealously represent your interests.
This type of lawsuit is called a “state enforcement action,” and the U.S. DOJ or
CA DOJ must file the lawsuit within 18 months (1.5 years) after the discriminatory
1318
act.

DOES MY CITY HAVE ADDITIONAL LOCAL PROTECTIONS?
It may! If your city or county has special protections against housing
discrimination of people with records, or has local agencies in charge of
enforcing fair housing laws, then you may also want to bring your housing
discrimination complaint to the city agency responsible for fair housing where
you live. If you aren’t sure, you can always ask someone at the DFEH, or ask a
local nonprofit housing attorney (see a list of legal aid organizations that may be
able to assist you on PG. 1190). For example, the city of San Francisco, CA has a
new law called the “Fair Chance Ordinance” that adds additional protections for
people with criminal records who apply to live in city-funded affordable housing
(which includes Below Market Rate or “BMR” units in private buildings in SF). Go
to Appendix H, PG. 491 for information on the San Francisco law and the process
of filing a complaint against a landlord or housing provider who has violated the
law in San Francisco.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

42 U.S.C. § 3614(a).
CAL. GOV’T CODE § 12989.3.
CAL. GOV’T CODE § 12989(c). California Government Code Section 12981.1 permits DFEH to dismiss a complaint
only if “no reasonable cause exists to believe that an unlawful housing practice” has occurred. California
Government Code Sections 12980(d) and 12981(g) ensure that complainants are notified of the limited availability of
damages in administrative proceedings.
1318
CAL. GOV’T CODE § 12989.3.
1315
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APPENDIX I
Rural development (RD) grievance
procedures
The grievance procedures for Rural Development (RD) housing are different
from most other government-assisted housing programs. Here is an overview of
how it works if you live in RD housing:
•

•
•
•
•
•

•

•

PAGE 498 OF 1210

When a grievance is filed, regulations require the owner of the multifamily
property (or owner’s representative) to offer to meet informally with the
denied applicant within 10 calendar days to resolve the grievance.
If the informal meeting fails to resolve the issue, the owner must file a report
summarizing the problem to USDA (DEFINE THIS) and the applicant.
The applicant (you) may submit a summary of the problem to USDA.
After you get a summary of the problem, you must file a written request for
an informal review hearing within 10 calendar days.
After you request the informal review hearing, a hearing panel will be
selected.
You and the owner of the multifamily property may agree on a hearing
officer, or you may each appoint one member of a 3-person panel, and those
two hearing officers choose the third officer. If you and the owner cannot
agree within 30 days on the two hearing officers, USDA will give you notice
and appoint a person to act as the sole hearing officer.
A USDA-approved ‘Standing Hearing Panel’ can also hear all grievances
related to a particular development, where at least one member of the
standing hearing panel must be selected by the residents at a formal resident
meeting called to select hearing panel members.
After the hearing panel is selected, the hearing will be scheduled within 15
days.

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APPENDIX J
Transitional Housing Participant
Misconduct Act (THPMA)
It is very common to live in a transitional housing program after release from
prison or jail. As described on PG. 382, transitional housing programs are
temporary programs that offer temporary housing and services. They usually
have requirements you have to meet before you can move in, and there are
usually waitlists. Some transitional housing programs offer services like job
training, counseling, GED programs, and computer classes. Some transitional
housing programs are intended for people with specific needs such as mental
illness, addiction treatment and recovery (see PG. 391), disabilities (PG. 477), or
domestic violence support (see PG. 386).
In this section, we explain a special law called the Transitional Housing
Participant Misconduct Act (THPMA). Just because you live in transitional
housing does NOT mean that the THPMA applies to you, so read carefully!

HOW CAN A TRANSITIONAL HOUSING PROVIDER REMOVE ME
FROM MY HOUSING?
AS A GENERAL RULE:
If a resident and a transitional housing provider have an agreement for that
person to live in the housing unit, the transitional housing provider MUST follow
California’s formal eviction process in civil court (these cases are called
“unlawful detainer” actions under the law). If a transitional housing provider
removes you without going through the formal court process, that housing
provider could be subject to legal liability. If possible, talk to an lawyer or
advocate at a legal aid organization about your rights (see a list of legal aid
organizations across California, beginning on PG. 1190).

EXCEPTION TO THE GENERAL RULE—THE THPMA:
The THPMA is a California state law and says owners of transitional housing can
evict you more quickly than a normal eviction procedure ONLY IF the following 3
requirements are met:
•
•
•

You committed “participant misconduct or abuse”;
You have lived in the transitional housing program for less than 6 months;
AND
You signed a WRITTEN CONTRACT with the transitional housing
provider when entering the program that explicitly stated that the
THPMA applied, with information about your rights and the procedure
for using the THPMA to kick someone out more quickly.

ALL of these factors need to be true, and most of the time, they are not,
so REMEMBER—generally you have the same rights as a tenant facing
eviction, which means usually a transitional housing provider has to go
through the court process to evict (remove) you.

WHAT IS A
“TENANT”?

A tenant is a
person who
lives on land or
in a property
that is rented
from a landlord.

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WHAT IS CONSIDERED A “TRANSITIONAL HOUSING PROGRAM”
UNDER THE THPMA?
Under the THPMA, a transitional housing program is any program designed to
assist homeless persons to live independently in permanent housing with all the
following components:
1) Residency requirements from 30 days to 24 months.
2) Provides comprehensive social service programs incl. individualized case
mgt. and may include other services such as alcohol/substance abuse
counseling, self-improvement training, employment and training, and living
skills.
3) Provides temporary housing with structured setting and rules participants
need to comply with to remain in program.

KEY DEFINITION: “Homeless person” = This law defines a homeless person as
an individual or family who lacks a fixed, regular, and adequate place to sleep at
night, or lived in any temporary housing, shelter, or institution, which includes
sites not ordinarily used or designed for regular sleeping. This definition also
covers any person living with the transitional housing program participant.

WHEN MAY A TRANSITIONAL HOUSING PROGRAM OPERATOR
USE THE THPMA PROCESS AND EVICT ME MORE QUICKLY THAN
THE NORMAL EVICTION PROCESS?
An operator may use the faster, expedited THPMA restraining order/injunction
process only for (1) program misconduct, or (2) abuse, defined below.
1)

Program misconduct—is an intentional violation of the transitional housing
program’s rules and regulations. The intentional violation must “substantially
interfere with the orderly operation of the program,” and involve one of the
following acts:
Drunkenness on site;
Unlawful use or sale of drugs;
Theft;
Arson;
Destruction of property (against the operator, other program
participants, employees, or people living within 100 feet of the program
site); or
o Violence or threat of violence and harassment (against the operator,
other program participants, employees, or people living within 100 feet
of the program site).
o
o
o
o
o

OR
2) Abuse—is intentionally or recklessly causing, or attempting to cause, bodily
injury or sexual assault; or placing someone else in reasonable fear of
“imminent serious bodily injury” (against yourself, the operator, other
program participants, employees, or people living within 100 feet of the
program site).
Even in these situations, the transitional housing provider may NOT use the
expedited THPMA removal process against a participant in the program for
6 months or more, UNLESS a restraining order (permanent injunction) or
temporary restraining order (TRO) is already pending or in force against you.
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If the operator hasn’t started a THPMA action within 6 months of your
participation in the program, then the operator must either (1) go through the
form eviction (“unlawful detainer”) court process, and/or (2) use a traditional
1319
civil harassment restraining order process to remove you.

HOW COULD A TRANSITIONAL HOUSING PROGRAM OPERATOR
USE THE THPMA PROCESS?
If the above requirements are all met, a transitional housing program operator
may:
1)

Use the formal eviction/”unlawful detainer” court process (see the GENERAL
RULE on PG. 499—the THPMA gives the transitional housing owner two
options for evicting someone); OR
2) If program misconduct or abuse: Use the Temporary Restraining Order
(TRO)/injunction process under the THPMA.

WHAT IS THE TRO PROCESS?
The TRO process is a 2-step process:
STEP 1: The transitional housing program operator must file an application for an
immediate temporary restraining order (TRO) until a hearing can take place. This
immediate TRO may include orders that you (the program participant) refrain
from misconduct, or it may exclude you from participating and living at the
transitional housing program site, and stay at least 200 feet away from the site
of abuse (defined above, PG. 500) was alleged.
STEP 2: There is a hearing on permanent injunction—usually within in 5 days of
the program operator filing the TRO. For the judge to issue a permanent
injunction (permanent restraining order) at the hearing, there must be clear and
convincing evidence of program misconduct or abuse by the participant.

WHAT ARE “STAY AWAY” AND “EXCLUSION” ORDERS, AND
WHEN CAN A PROGRAM OPERATOR GET ONE AGAINST ME?
These types of orders are defined below:
•
•

Exclusion Order: An exclusion order says that you are not allowed to
participate or live at the program site.
Stay Away Order: A stay away order says that you cannot be within 200
feet of the transitional housing program site or other program sites that it
runs.

A transitional housing program operator may only ask for exclusion and stay
away orders for “abuse,” NOT for “program misconduct” (defined above on
PG. 500). These orders can last for up to 1 year after the hearing, and the
operator can ask the court to renew the restraining order after that (NOTE: the
operator must ask for an extension of the exclusion or stay away order at least 3
months before the original one expires).
The program operator may also be able to get an immediate exclusion or stay
away order from the court in a temporary restraining order (TRO) hearing—but
only if it’s an emergency. It can only be considered an emergency if it’s

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1319

See CAL. CIV. PROC. CODE § 527.6.

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necessary to protect another participant, employee, or person living within 100
feet of the program site from “imminent serious bodily injury.”

WHAT COULD HAPPEN IF THE TRANSITIONAL HOUSING
PROGRAM OPERATOR GETS AN EXCLUSION OR “STAY AWAY”
ORDER?
Before the hearing, through a TRO, the transitional housing program operator
may have you immediately removed from the unit.
After the hearing, the transitional housing program operator may take
immediate possession of the unit and consider it “abandoned.” If there are other
people living in the unit (for example, your family members), but those other
people were not named in the restraining order petition, then the program
operator may only remove you, and anyone actually named in the petition. A
copy of the order will also be given to the local police.

WHAT COULD HAPPEN IF THE TRANSITIONAL HOUSING
PROGRAM OPERATOR DOESN’T GET AN EXCLUSION OR STAY
AWAY ORDER?
If you violate the conditions of the restraining order (also called a permanent
injunction), the transitional housing program operator may:
1)

Serve you with a 3-day “notice to quit”—meaning you have 3 days to get you
and your belongings out of the transitional housing program; and after the 3
days are up, the operator can start a formal eviction process in court (an
“unlawful detainer’ action – learn more about these eviction lawsuits on
PG. 458 above).
2) File a “contempt” action in court along with a request (called a “petition”) to
modify the exiting restraining order to include an exclusion order (EVEN IF
the original action was based only on “program misconduct”),
3) Finally, if you “willfully disobey” the court’s restraining order, you could be
charged and possibly convicted of a criminal misdemeanor.
4) Below, we have copied the instructions from the California Courts for
someone who is participating in a transitional housing program covered by
the THPMA and who receives restraining order papers.
You can download all forms related to the THPMA on the California Superior
Court’s website at http://www.courts.ca.gov/forms.htm?filter=TH.

WHAT STEPS DOES THE CALIFORNIA COURT SUGGEST I TAKE IF
YOU I’M BEING KICKED OUT OF TRANSITIONAL HOUSING
UNDER THE TRANSITIONAL HOUSING PARTICIPANT
MISCONDUCT ACT (THPMA)?
The California Courts have published instructions for people who are facing
removal from transitional housing under the THMPA. Those instructions are
available on court form TH-210, available online at
http://www.courts.ca.gov/documents/th210.pdf, and also copied below for your
reference.
1. Legal advice. If you are served with an Order to Show Cause and Temporary
Restraining Order ["OSC/TRO"] and a Petition, you should seek legal advice right
away. The OSC/TRO should list the name, address, and phone number of the
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Legal Services Office in the county where the petition is filed. You may be able
to get legal services by contact- ing this office. If you do not have an attorney,
you can also call the attorney's referral service of your local bar associa- tion for
help.
2. Read the Instructions. Whether or not you choose to talk to an attorney, you
should read all of these instructions and the other papers you have received.
3. Obey the Order. Read the papers served on you very carefully. The Petition
tells you what orders the program opera- tor is asking the court to make. The
OSC/TRO tells you when to appear in court and may contain a temporary order
telling you that you cannot do certain things. YOU HAVE TO OBEY THE ORDER.
IF YOU DO NOT OBEY THE COURT'S ORDERS, CRIMINAL CHARGES MAY BE
FILED AGAINST YOU. IF YOU ARE FOUND IN CONTEMPT OF COURT FOR NOT
FOLLOWING THE COURT'S ORDERS, THE COURT CAN CHANGE THE ORDERS
TO FORCE YOU TO MOVE OUT OF THE PROGRAM'S HOUSING.
4. Review the facts. Read the description of the facts on the Petition very
carefully. This is where the program operator tells the judge what he or she
thinks happened. If you do not agree with the facts on the petition or you think it
would not be fair for the court to grant orders against you, GO TO THE
HEARING. The place and time of the hear- ing are on the first page of the form
named "Order to Show Cause and Temporary Restraining Order."
5. Respond to the court. If you want to fight the petition you should file a
Participant's Response. YOU DO NOT HAVE TO PAY A FEE TO FILE THIS FORM.
A blank copy of the Response should have been given to you with the OSC/TRO.
You can also file and serve statements signed by people who have personal
knowledge of the facts. These are called "declarations." You can type these
declarations on form MC-031 and attach them to your Response. If you do not
know how to prepare a declaration, you should see an attorney.
6. Serve a copy on program operator. After you have filed the Participant's
Response with the superior court clerk, a copy must be delivered personally or
by mail to the program operator or the program operator's attorney.
You cannot serve the program operator yourself. Service may be made by a
licensed process server, the sheriff's department, or any person 18 years of age
or older, other than you. The person should complete and sign a Proof of
Personal Service form. (A blank copy should have been given to you with the
OSC/TRO.) You should take the completed form back to the court clerk or bring
it with you to the hearing.
7. Extensions. If you need more time to find an attorney or to prepare your
Response, you must ask the judge for a continuance (extension) by the hearing
date shown on the OSC/TRO.
8. Opposing the Petition. If you wish to fight the lawsuit, you should file a
Participant's Response and also go to the hearing. If you have any witnesses,
they also must be present. If you do not attend the hearing, the court may make
"permanent" orders against you that will last up to one year. If you can't file and
serve a Response (or find an attor- ney who will), SHOW UP AT THE HEARING
ANYWAY. At the hearing, explain your difficulties to the judge, and ask to be
allowed to tell your side of the case.

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Basic Overview:

PUBLIC
BENEFITS

This PUBLIC BENEFITS CHAPTER will give you an overview of the
public benefits (government assistance) available to you in reentry,
including how a criminal record affects your application. This
chapter explains the most common public benefits programs that
can help provide things like: case assistance, health care, or food
in your transition.

DISCLAIMER – YOUR RESPONSIBILITY WHEN USING THIS GUIDE: When putting together the
Roadmap to Reentry: A California Legal Guide, we did our best to give you useful and accurate
information because we know that people who are currently or formerly incarcerated often have
difficulty getting legal information, and we cannot provide specific advice to every person who
requests it. The laws change frequently and are subject to differing interpretations. We do not
always have the resources to make changes to this informational material every time the law
changes. If you use information from the Roadmap to Reentry legal guide, it is your responsibility to
make sure that the law has not changed and applies to your particular situation. If you are
incarcerated, most of the materials you need should be available in your institution’s law library. The
Roadmap to Reentry guide is not intending to give legal advice, but rather legal information. No
attorney-client relationship is created by using any information in this guide. You should always
consult your own attorney if you need legal advice specific to your situation.

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TABLE OF CONTENTS
I.! INTRODUCTION ................................................................................................ 509!
What should I know about federal, state, and county benefits? .. 509!
Can my criminal history limit my ability to get public benefits? ..... 510!
Can I apply for public benefits while I’m incarcerated? ................... 510!
II.! BASIC NEEDS CASH BENEFITS ....................................................................... 511!
General Assistance/General Relief (GA/GR) ................................................. 511!
Am I eligible for GA/GR? .......................................................................... 512!
Can my criminal history limit my ability to get GA/GR? .................... 512!
What benefits and services can I get through GA/GR? ................... 512!
How do I apply for GA/GR? ..................................................................... 513!
Can I apply for GA/GR while incarcerated? ........................................ 513!
Once I’m enrolled in GA/GR, what rules must I follow to stay
eligible? ........................................................................................................ 513!
I believe my application for General Assistance/General Relief
benefits was wrongly denied or stopped. How can I appeal? ....... 514!
CalWORKs ......................................................................................................... 514!
Am I eligible for CalWORKs?................................................................... 515!
Can my criminal history limit my ability to get CalWORKs? ............ 516!
What benefits and services can I get through CalWORKs? ............ 517!
How do I apply for CalWORKs?.............................................................. 518!
Can I apply for CalWORKs while incarcerated? ................................. 518!
How do I receive my CalWORKs benefits? ......................................... 519!
Once I’m enrolled in CalWORKs, what rules must I follow to stay
eligible? ......................................................................................................... 519!
I believe my CalWORKs was wrongly denied or stopped. How do I
appeal? ........................................................................................................ 520!
III.! FOOD BENEFITS ............................................................................................... 522!
CalFresh (Food Stamps)................................................................................. 522!
Am I eligible for CalFresh? ..................................................................... 522!
Can my criminal history limit my ability to get CalFresh? ............... 524!
How do I apply for CalFresh? ................................................................ 524!
Can I apply for CalFresh while incarcerated?.................................... 525!
How do I receive my CalFresh benefits? ............................................ 525!
Once I’m enrolled in CalFresh, what rules must I follow to stay
eligible? ....................................................................................................... 526!
I believe my CalFresh was wrongly denied or stopped. How do I
appeal?......................................................................................................... 527!
Food Banks ...................................................................................................... 528!
What is a food bank? ............................................................................... 528!
Where can I find food? ............................................................................ 528!
What is the Emergency Food Assistance Program (EFAP)? .......... 528!
Where can I find a food bank to get EFAP benefits? ...................... 528!
What documents might I need to get EFAP benefits? .................... 529!
Can my criminal history limit my ability to get EFAP? ...................... 529!
Can I apply for EFAP benefits while incarcerated? .......................... 529!
Women, Infants & Children Program (WIC) ................................................. 530!
Am I eligible for WIC? .............................................................................. 530!

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Can my criminal history limit my ability to get WIC? ........................ 530!
How do I apply for WIC? ......................................................................... 530!
Can I apply for WIC while incarcerated? ............................................ 530!
IV.! HEALTH CARE BENEFITS ................................................................................. 531!
Why should I get health care coverage (insurance)? ........................ 531!
Covered California .......................................................................................... 532!
Am I eligible to enroll in health care coverage through Covered
California?....................................................................................................532!
What benefits and services can I get through Covered California? .. 533!
Can my criminal history limit my ability to get health care using
Covered California? .................................................................................. 533!
Am I legally required to enroll in health care coverage? ................ 533!
When can I apply for health care through Covered California? .........535!
How do I enroll in health care through Covered California? .........536!
Can I get health care through Covered California while I’m
incarcerated? ............................................................................................... 537!
Medi-Cal ........................................................................................................... 539!
Am I eligible for Medi-Cal? ......................................................................539!
What benefits and services can I get through Medi-Cal? .............. 540!
Can my criminal history limit my ability to get Medi-Cal benefits?
...................................................................................................................... 540!
How do I apply for Medi-Cal? .................................................................. 541!
Can I apply for Medi-Cal while incarcerated? ....................................542!
I had Medi-Cal when I entered prison or jail. What happens to it
while I’m incarcerated? ............................................................................542!
My Medi-Cal stopped while I was incarcerated. How do I restart it? 543!
I believe my Medi-Cal was wrongly denied or stopped. How do I
appeal? ......................................................................................................... 544!
Medicare........................................................................................................... 544!
Can my criminal history limit my ability to get Medicare? ............... 544!
Am I eligible for Medicare? ..................................................................... 544!
What benefits and services can I get through Medicare? ..............545!
How do I apply for Medicare? ................................................................546!
Can I apply for Medicare while incarcerated? ................................... 547!
I had Medicare when I entered prison or jail. What happens to it
while I’m incarcerated? ............................................................................ 547!
My Medicare stopped while I was incarcerated. How do I restart it? 548!
I believe my Medicare was wrongly denied or stopped. How do I
appeal?.........................................................................................................549!
V.! WORK SERVICES BENEFITS ............................................................................ 551!
CalFresh Employment & Training (E&T) Program ....................................... 551!
Am I eligible for CalFresh E&T? ..............................................................551!
Can my criminal history limit my ability to get CalFresh E&T? ........551!
What benefits and services can I get through CalFresh E&T? ..... 552!
How do I enroll in CalFresh E&T? ........................................................ 552!
CalWORKs Welfare-To-Work ......................................................................... 552!
Once i’m enrolled in Calworks Welfare-To-Work, what rules must i
follow to stay eligible? ............................................................................. 552!
Can my criminal history limit my ability to participate in CalWORKs
Welfare-To-Work? .....................................................................................553!

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What benefits and services can I get through CalWORKs WelfareTo-Work? ..................................................................................................... 553!

!

VI.! SOCIAL SECURITY BENEFITS ........................................................................ 555!
Retirement Benefits ........................................................................................ 555!
Am I eligible for Social Security retirement benefits? ..................... 556!
Can my criminal history limit my ability to get retirement benefits? .. 556!
How do I apply for retirement benefits? ............................................. 557!
Can I apply for retirement benefits while incarcerated? ................ 558!
I was receiving retirement benefits when I entered prison or jail.
What happens to them while I’m incarcerated? ............................... 558!
My retirement benefits stopped while I was incarcerated. How do I
restart them? .............................................................................................. 559!
Social Security Disability Insurance (SSDI) .................................................. 561!
Am I eligible for SSDI? .............................................................................. 561!
Can my criminal history limit my ability to get SSDI? ........................ 561!
How do I apply for SSDI? ........................................................................ 563!
Can I apply for SSDI while incarcerated? ........................................... 564!
I was receiving SSDI when I got arrested. What happens to it while
I’m incarcerated?....................................................................................... 565!
My SSDI stopped while I was incarcerated. How do I restart it? .. 565!
I believe my SSDI was wrongly denied or stopped. How do I
appeal? ........................................................................................................ 566!
Supplemental Security Income (SSI) .............................................................567!
Am I eligible for SSI? ................................................................................ 567!
How SSI affects your ability to get other public benefits: .............. 568!
Can my criminal history limit my ability to get SSI? .......................... 568!
How do I apply for SSI? ........................................................................... 569!
Can I apply for SSI while incarcerated? .............................................. 570!
I was receiving SSI when I entered prison or jail. What happens to it
while I’m incarcerated? ........................................................................... 570!
My SSI benefits stopped while I was incarcerated. How do I restart
them? ........................................................................................................... 573!
I believe my SSI was wrongly denied or stopped. How do I appeal? . 574!
VII.! VETERANS’ BENEFITS ......................................................................................575!
Am I eligible for veterans’ (VA) benefits? ........................................... 575!
Can my criminal history limit my ability to get VA benefits? ........... 577!
How do I apply for VA benefits? ............................................................ 577!
Can I apply for VA benefits while incarcerated? .............................. 578!
I was receiving VA benefits before I got arrested. What happens to
them while I’m incarcerated? ................................................................. 579!
My VA benefits were reduced or stopped while I was incarcerated.
How do I restore or restart my VA benefits? ...................................... 581!
I’m disqualified from VA benefits because of my negative discharge
status. How can I have my discharge status reviewed for an
uPGrade? .................................................................................................... 583!
PUBLIC BENEFITS APPENDIX ............................................................................... 585!

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WHAT WILL I LEARN IN THE
PUBLIC BENEFITS CHAPTER?
•
•
•
•
•
•
•
!

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Who is eligible for each type of public benefits
What you get if you are eligible for public benefits
How your criminal record could affect your ability to get public
benefits
Which public benefits you can apply for while incarcerated
How and where to apply for public benefits
What happens once you’re enrolled in public benefits
What to do if your public benefits are denied or ended

ROADMAP TO REENTRY

I.

!

INTRODUCTION

“Public benefits” are government programs that ensure people can get basic life
necessities. Public benefits are also sometimes referred to as “welfare,” or
“welfare benefits.” There are public benefits programs to help people get food,
shelter, healthcare, childcare, cash for day-to-day expenses, and support in
emergencies. To qualify for any public benefits program, you have to meet
certain requirements. Each benefits program works a little differently and has
different rules and requirements in place. Depending on your situation, you may
qualify for several kinds of public benefits, just one, or none. This section
explains what the main public benefits programs offer, which ones you may
1320
qualify for, and how to get them.

WHAT SHOULD I KNOW ABOUT FEDERAL, STATE, AND COUNTY
BENEFITS?
The federal (national) government is in charge of certain public benefits
programs that operate across the country; and the state and county
governments are in charge of others that are specific to their own residents:
•

•

•

For some benefits programs, such as Supplemental Security Income (SSI) and
Social Security Disability Insurance (SSDI), the federal government sets all
the rules about who can receive benefits and how they get issued, requiring
agencies in every state and county to follow those rules when distributing
those benefits. For example: If you are a person with a disability and no
income, and you want to apply for SSI benefits, you have to follow the same
rules and meet the same requirements no matter what state or county you
live in.
For other benefits programs, such as cash assistance, the federal
government sets only very general rules, allowing state and county
governments to set up their own systems for distributing those benefits to
their residents. For example, if you’re a California resident struggling to cover
your living costs and want to apply for cash aid through the General
Assistance or General Relief (GA/GR) programs, the rules are set by California
1321
and your specific county.
For other benefits programs, such as healthcare, the federal government sets
up a general system for low-income people (Medicaid) and requires agencies
in every state and county to follow those national rules—but also allows
states and counties to set more specific rules for their residents and run their
own benefits programs for residents who don’t qualify under the federal
1322
rules.

It is important to know what government agency runs your public benefits—who
sets the program rules, as well as which agency you apply and report to.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Online Resource for California Benefits, http://www.benefitscal.org/.
See CAL. DEP’T OF SOC. SERVS., http://www.cdss.ca.gov/cdssweb/PG132.htm.
1322
See Cal. Medicaid-Marketplace Overview, MEDICAID.GOV, http://www.medicaid.gov/Medicaid-CHIP-ProgramInformation/By-State/california.html.
1320
1321

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This chart describes the most common types of public benefits programs, and
what they can provide to people who qualify. Whether you qualify depends on
many individual circumstances—including your criminal history.

TYPES OF PUBLIC BENEFITS
Type of
Public
Benefit
Basic
Needs
Cash
Benefits!
Food
Benefits!
Health
Care
Benefits!
Work
Services
Benefits!
Social
Security
Benefits!
Veterans
Benefits!

Description:
Basic Needs Cash Benefits programs called General Assistance/General
Relief (GA/GR) and CalWORKS provide temporary and/or long-term financial
(cash) aid to low income people and families!
California provides food benefits through a program called CalFresh (food
stamps). CalFresh provides money to low-income people and families to
purchase food. Pregnant women, infants and children may potentially be
eligible for WIC, a program that provides food for pregnant women or
mothers of young children. There are also hundreds of free food banks
throughout California.!
California provides free health insurance and coverage to low income
people and families through a program called Medi-Cal. People who do not
qualify for Medi-Cal may sign up for health care through the State’s
healthcare marketplace, Covered California.!
People enrolled in CalWORKS are eligible for Welfare-To-Work, a program
helps people to train for and find employment.!
Social Security Benefits are for retired people, disabled people, and their
families. Through Retirement Benefits, Disability Benefits (SSDI), and
Supplemental Security Income (SSI/SSP), qualifying people may receive
monthly cash assistance. !
The federal Department of Veterans Affairs (VA) provides benefits to former
U.S. military service members, such as health care, transitional assistance,
and employment-related services. !

CAN MY CRIMINAL HISTORY LIMIT MY ABILITY TO GET PUBLIC
BENEFITS?
It depends. With some benefits programs, there are no rules or requirements
related to criminal histories, so you can and should apply to these programs.
You can even apply for certain benefits while you are still in prison or jail. But
with other benefits programs, there are rules that may disqualify you based on
your criminal history. Some programs may limit or deny your access to benefits if
you have a certain kind of criminal conviction (a criminal offense you were found
guilty of); a parole/probation violation; certain kinds of unpaid fines, fees or
debts; or an outstanding warrant. Different programs will have different rules
and requirements about these issues. Some programs also impose different
restrictions based on what your conviction or violation was, how long ago it was,
and how many other convictions or violations you have had.

CAN I APPLY FOR PUBLIC BENEFITS WHILE I’M INCARCERATED?
It depends. For some benefits, yes, you can and should! Depending on where
you’re incarcerated, there may be special staff or programs in your facility to
help you apply for health care, disability support, and other benefits. Often, you
can’t start receiving the benefits while you’re still incarcerated—but by signing
up before your release, you can ensure you’ll have access to those benefits soon
after you get out. This manual will provide information about the programs
where this is possible.
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II.

!

BASIC NEEDS CASH
BENEFITS
FIND MORE
BENEFITS!

WHAT WILL I LEARN?
•
•
•
•
•
•

More
information
about what
benefits are
available to you
and how to
apply can best
be found by
looking up your
county welfare
agency. This
can be found by
visiting:
http://www.cwd
a.org/links/chsa.
php.

What “basic needs cash benefits” are (GA/GR and
CalWORKS)
How your criminal record could affect your ability to
apply for & get cash benefits (GA/GR and CalWORKS)
How to apply for cash benefits
Whether you can apply for cash benefits while
incarcerated
How cash benefits are distributed and how to stay in the
program after you’re enrolled
What to do if you think your application for cash benefits
was wrongly denied

!

GENERAL ASSISTANCE/GENERAL RELIEF
(GA/GR)
General Assistance and General Relief (GA/GR) provide cash assistance to
adults who have little money, no sources of support, and who are not currently
receiving any other public benefits. Every county in California runs its own GA or
GR program, referred to in some counties (mostly in Northern California) as
General Assistance (GA) and in other counties (mostly in Southern California) as
General Relief (GR).

HELPFUL HINT
What’s the difference between
General Assistance (GA)/General Relief (GR) & CalWORKS?
General Assistance/General Relief is designed to assist needy single adults. The
typical General Assistance/General Relief recipient is a low-income single
person who has limited resources and does not receive any other Public
Benefits. The typical CalWORKS recipients are low-income families with minor
children who may also receive other Public Benefits.

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AM I ELIGIBLE FOR GA/GR?
In general, to be able to get General Assistance/General Relief, you must:
• Be at least age 18 (unless you are an emancipated foster child denied aid
through CalWORKs);
• Be a resident of the county where you’re applying;
• Be a U.S. citizen, a legal permanent resident, or an immigrant with
satisfactory status;
• Have a Social Security Number (a card is not necessary); and
• Have limited income and property.
Every county has its own rules, including specific limits on the income and
property you can have. Contact your county welfare agency for more details. For
1323
a list of county welfare agencies, see Appendix A on PG. 586.
When applying for GA/GR, you should bring whatever form of identification you
have. If you do not have any ID, the social worker at the county welfare agency
should be able to help you in proving your identity. Some counties also require a
fingerprint be taken before benefits can be distributed. For information about
applying for a California State ID card for free or reduced price, see the
BUILDING BLOCKS IN REENTRY: ID & VOTING CHAPTER, on PG. 39. If you have
more questions about applying for GA/GR, you may call the following nonprofit
organizations: Public Interest Law Project (PILP) at (510) 891-9794 or the
Western Center on Law and Poverty (WCLP) at (213) 487-7211, for advice.

CAN MY CRIMINAL HISTORY LIMIT MY ABILITY TO GET GA/GR?
Maybe. Some counties have special rules and restrictions for people with drugrelated criminal convictions or other violations, or for people who are suspected
of having a warrant, being in violation of parole or probation, or fleeing to avoid
prosecution for a crime. Contact your county welfare agency to ask about its
local policy. For a directory of county welfare agencies, see Appendix A,
1324
PG. 586.
If you believe that your county welfare agency is wrongly or
unlawfully denying GA/GR benefits to you, you may call the following nonprofit
organizations: Public Interest Law Project (PILP) at (510) 891-9794 or the
Western Center on Law and Poverty (WCLP) at (213) 487-7211, for advice.

WHAT BENEFITS AND SERVICES CAN I GET THROUGH GA/GR?
It depends on your county. Every county offers different benefits and services
through GA/GR, and every county sets its own specific rules. Generally, every
county’s GA/GR program provides a monthly cash amount. But remember that
the rules vary by county:
• Each county has its own rules for calculating a person’s monthly GA/GR
amount—typically based on factors like whether you’re married, your housing
situation, disabilities, ability to work, and ability to apply for other public
benefits programs.
• Some counties’ GA/GR programs provide help with:
o Transportation costs;
o Health care and nutrition needs;
o Substance abuse treatment referrals;
o Emergency food and housing;

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1323
1324

See County Human Services Agencies, CNTY. WELFARE DIR’S. ASS’N OF CAL., http://www.cwda.org/links/chsa.php.
See County Human Services Agencies, CNTY. WELFARE DIR’S. ASS’N OF CAL., http://www.cwda.org/links/chsa.php.

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o Housing repairs; and/or
o Personal hygiene products.
IMPORTANT: GA or GR – a GRANT versus a LOAN

!

Some counties provide GA/GR cash as a “grant” (a gift), with no strings attached;
other counties provide GA/GR as a “loan.” If your county treats GA/GR as a loan, you
will have to pay it back if you have enough income to do so. Several counties require
anyone who receives GA/GR, but is then later approved for Social Security Benefits,
to repay GA/GR benefits. For more information on Social Security Benefits, see
PG. 555. Also, many counties have rules that limit the number of months that you can
get General Assistance/General Relief cash throughout the year.

HOW DO I APPLY FOR GA/GR?
You must apply for General Assistance/General Relief in person. If
you have a disability that stops you from going into the county
welfare office, you can request help. Contact your county welfare
agency for details about the application process in your county. For
a directory of county welfare agencies, see Appendix A, PG. 586.
Note that some counties accept GA/GR applications only at specific
offices, so if you are unsure about which office to go to, you should
call the main county welfare office and ask.
Note that you can apply for General Assistance/General Relief at
the same time you apply for CalFresh (“food stamps”) and/or MediCal (health insurance for low-income Californians), and it is usually a
good idea to do so. Some counties may allow you to apply for
General Assistance/General Relief upon release or at a community
re-entry center. See PG. 522 for information on CalFresh and
PG. 539 for information on Medi-Cal.

CAN I APPLY FOR GA/GR WHILE INCARCERATED?

SPECIAL RULES &
RESTRICTIONS
Some counties may
have special rules and
restrictions for people
with drug-related
convictions or other
violations, or people
who are suspected of
having a warrant,
being in violation of
parole or probation, or
fleeing to avoid
prosecution.
For example, in Los
Angeles County, you
are ineligible for
GA/GR if you are on
house arrest. Other
counties, such as San
Francisco, make
eligibility
determinations on a
case-by-case basis.

No. You are not eligible to apply for GA/GR while in jail or prison. But
1325
remember that you may be eligible to apply once you are released.
If you are
on house arrest, contact your county welfare agency to ask if you are eligible for
1326
GA/GR.

ONCE I’M ENROLLED IN GA/GR, WHAT RULES MUST I FOLLOW
TO STAY ELIGIBLE?
It depends on your county. Every county sets its own General Assistance/
General Relief rules. Here are some of the rules to know about:
•
•

Generally, you must fall under the income and property limits to be eligible.
All counties require you to immediately report any changes to your address,
income, or property. Failure to report such changes can result in your losing
the GA/GR benefits, even if the change would not otherwise disqualify you.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1325
1326

See County Human Services Agencies, CNTY. WELFARE DIRS. ASS’N OF CAL., http://www.cwda.org/links/chsa.php.
See General Relief Policy, CNTY. OF LOS ANGELES, http://dpss.lacounty.gov/dpss/gr/pdf/general_relief_policy.pdf.

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•

•

•

Some counties may limit how long you can receive GA/GR if you
able to work, or require that you apply for Social Security and/ or
Supplemental Security Income (SSI) if you are not able to work.
Some counties treat GA/GR as a “loan,” and will make you pay
back the GA/GR money you received if you have enough income,
get a job, or get approved for SSDI or SSI disability benefits.
Some counties also provide you and/or require you to use
employment services to help you find, get, and keep a job. But
you can’t be required to join and use employment services if you
are “unemployable.” You may be considered unemployable if you
are: older than 70 years old; responsible for the substantial and
continuous care of a family member; or you are disabled. If you
have not been screened by the county welfare agency to
determine if you are employable, or you believe the county has
made a mistake in determining that you are “employable,” and you
have been required to participate in an employment program or
denied GA/GR assistance, you should consider appealing. It’s best
to contact your local legal aid provider to help with filing your
appeal (you can visit the website http://lawhelpca.org/find-legalhelp to browse legal aid providers, and see list of legal aid providers
1327
at the back of this guide on PG. 1190).

I BELIEVE MY APPLICATION FOR GENERAL
ASSISTANCE/GENERAL RELIEF BENEFITS WAS WRONGLY
DENIED OR STOPPED. HOW CAN I APPEAL?
If you are denied or lose General Assistance/General Relief benefits,
you can request a hearing at any time. The back of any county notice
about General Assistance/General Relief eligibility should contain a
form that explains how to request a hearing. You may also request a
hearing by calling your county welfare agency. We recommend
requesting a hearing in writing, so that there is a record of your compliant.
•

•

MORE
INFORMATION ON
“UNEMPLOYABLE
APPLICANTS”
You may be
considered
unemployable if you
are: older than 70
years old;
responsible for the
substantial and
continuous care of a
family member; or
you are disabled.
• Unemployable
GA/GR recipients
who are applying
for Social Security
or SSI can also
receive
representation or
assistance in their
applications.
• Contact your
county welfare
agency if you
need to find out
exactly what
benefits and
services it offers
and which rules
apply for General
Assistance/Gener
al Relief.

General Assistance/General Relief is a county program, so hearings are held
by the county, and can only be requested by contacting the county social
services agency. Each county has its own specific procedures regarding
appeals hearings.
For help filing an appeal, it’s best to dind a local legal aid provider. You can
search for one by visiting the website http://lawhelpca.org/find-legal-help,
and see the list of legal aid providers on PG. 1190.

CALWORKS
CalWORKs provides monthly cash aid, access to food and health care benefits,
1328
and other services for families with children.
The State of California runs
CalWORKs as part of the federal government’s Temporary Assistance for Needy
1329
Families (TANF) program.
Both the federal and California governments set
the major rules for this program, but each county runs their own program, and

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Find a Lawyer or Court Program, LAWHELPCA.ORG, http://lawhelpca.org/find-legal-help.
See California Work Opportunity and Responsibility to Kids (CalWORKs), CAL. DEP’T OF SOC. SERVS.,
http://www.cdss.ca.gov/calworks/.
1329
See Office of Family Assistance. Temporary Assistance for Needy Families (TANF) program,
http://www.acf.hhs.gov/programs/ofa/programs/tanf/about.
1327
1328

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each county may have slightly different rules for how to apply and available
1330
services.

AM I ELIGIBLE FOR CALWORKS?
CalWORKs is for families with children who need support because at least one
parent is unemployed (defined as working less than 100 hours per
month), disabled, absent, in jail or prison, or dead, and for needy
A CHILD OVER 18?
1331
caretakers of foster child(ren).
There is an exception
If you’re a parent or caretaker with at least one child in your home,
you may be able to get CalWORKs if all of the following
requirements are met:
•

•

•

•

for age limit of a child.
If there is a child over
18 that is living at
home but is expected
to complete high
school before his/her
th
19 birthday, you may
be eligible for
CalWORKs.

You, the parent or caretaker, must (1) be a California resident and
(2) be legally present in the U.S. (either a citizen or legal
1332
permanent resident).
1333
At least one child in your home must (1) be under age 18,
and
(2) need support because at least one parent is unemployed, disabled,
1334
absent, in jail or prison, or dead.
Your family’s resources must be no greater than the CalWORKs resource
limit.
o For CalWORKs, resources include cash or property that you own, can
convert to cash, or can use to support yourself. Some examples are
savings accounts, stocks, and bonds. The resource limit is slightly higher
for families that include a senior citizen (age 60 or over).
o For CalWORKs, certain things that do NOT count as resources are: your
home, household goods (like furniture or appliances), some types of
trusts, and your car if it’s worth $4,650 or less. For more information,
please visit CalWORKs resource income glossary at
http://ca.db101.org/glossary_item.aspx?item-id=1388.
1335
Your family’s income must be no greater than the CalWORKs income limit.
o For CalWORKs eligibility, your family’s income includes (1) earned
income, or money you earn by working, plus (2) unearned income, or
1336
money you receive from sources other than work.
For example,
unearned income includes: public benefits, interest from a trust or
investment, or spousal support. For CalWORKs eligibility, income does
not include SSI, loans and grants, Earned Income Tax Credit (EITC),
Federal Relocation/Disaster benefits, and certain other items, family
size, and where you live.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See CAL. WELF. & INST. CODE § 11000. The California Departement of Social Services interprets these laws
through All County Letters and its Manual of Policy and Procedures, Divisions 40-45, and 80-82.
1331
See California Work Opportunity and Responsibility to Kids (CalWORKs), CAL. DEP’T OF SOC. SERVS.,
http://www.cdss.ca.gov/calworks/; see also CAL. WELF. & INST. CODE § 112201.
1332
See CAL. WELF. & INST. CODE § 11104; see also SHD Paraphrased Regulations: Citizenship-Aliens-Residency,
http://www.dss.cahwnet.gov/shd/res/pdf/ParaRegs-CalWORKs-Citizenship-Aliens-Residency.pdf.
1333
CAL. WELF. & INST. CODE § 11250.
1334
CalWORKs: FAQs, DISABILITY BENEFITS 101: WORKING WITH A DISABILITY IN CALIFORNIA,
http://101.org/ca/programs/income_support/calworks/program2.htm.
1335
See Glossary: Minimum Basic Standards of Adequate Care, DISABILITY BENEFITS 101: WORKING WITH A DISABILITY IN
CALIFORNIA, http://ca.db101.org/glossary_item.aspx?item-id=1372 (This limit is also called a “needs standard” or
“Minimum Basic Standard of Adequate Care”).
1336
See CalWORKs: FAQs, DISABILITY BENEFITS 101: WORKING WITH A DISABILITY IN CALIFORNIA,
http://ca.db101.org/glossary_item.aspx?item-id=763.
1330

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IMPORTANT: Counting your income to see if you’re eligible for
CalWORKs works differently than counting
your income to calculate your
!
benefit amount. To calculate your income for CalWORKs, please visit:
http://ca.db101.org/ca/programs/income_support/calworks/program2.htm
CALWORKS COMBINED WITH OTHER BENEFITS PROGRAMS:
•

•

•

If you receive SSI disability benefits, you do not qualify for CalWORKs.
However, other people in your family may still qualify, and you can apply for
1337
them. Your income will not be counted.
This means when CalWORKs staff
determines your family’s eligibility and cash aid amount, they won’t count
you as a family member, and they won’t count your SSI benefits as part of
your family’s income. For more information about SSI benefits see PG. 567.
If you receive SSDI benefits, you may still qualify for CalWORKs. However,
part of your SSDI benefits will count as income when CalWORKs determines
1338
your eligibility and calculates your monthly cash aid.
For more information
about SSDI benefits, see PG. 561.
If you’re approved to get CalWORKs, you may be automatically eligible for
1339
CalFresh (“food stamps”) and Medi-Cal.
If your household is receiving cash
aid through CalWORKs, you are “categorically eligible” for CalFresh. This
means the CalFresh Program accepts the CalWORKs worker’s
determination of your eligibility based on information you gave when
applying for CalWORKs. For more information on CalFresh, see PG. 522. For
more information on Med-Cal, see PG. 539.

Learn how to apply for CalWORKs on PG. 518. You may also visit the following
website for tips on applying to CalWORKs: http://lsnc.net/calworks-tips-and-factsheets/.

!

IMPORTANT: In calculating your benefits, CalWORKs may not count
some people in your home as part of your family. Ask your county
CalWORKs office for details on which family members are counted.
Examples of people who may not count, even if they live with you, are:
anyone getting SSI benefits; anyone who does not have citizenship or
permanent legal presence in the U.S.; foster children receiving foster
care payments; sponsored non-citizens who receive support from
sponsors; anyone who was sanctioned by the CalWORKs program.

CAN MY CRIMINAL HISTORY LIMIT MY ABILITY TO GET
CALWORKS?
Maybe. If any of the following statements apply to you, you might not be eligible
for CalWORKs:
•
•

You are in violation of a condition of probation or parole, as found by a court
1340
or administrative judge.
You have been found guilty of an Intentional Program Violation (IPV)
1341
involving fraud or misuse of public benefits. Depending on how many IPVs

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CalWORKs: FAQs, DISABILITY BENEFITS 101: WORKING WITH A DISABILITY IN CALIFORNIA,
http://ca.db101.org/ca/programs/income_support/calworks/faqs.htm#_q1404.
1338
CalWORKs: FAQs, DISABILITY BENEFITS 101: WORKING WITH A DISABILITY IN CALIFORNIA,
http://ca.db101.org/ca/programs/income_support/calworks/faqs.htm#_q1404.
1339
How to Apply for CalFresh Benefits, Formerly Known as Food Stamps, CAL. DEP’T OF SOC. SERVS.,
http://www.dss.cahwnet.gov/foodstamps/PG847.htm.
1340
42 U.S.C. § 608(a)(9)(A).
1341
See CalWORKS Handbook: Intentional Program Violations, CNTY. OF SANTA CLARA,
http://www.sccgov.org/ssa/afdc/afchap53.pdf.
1337

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•

you have, and what they were for, you may be disqualified from CalWORKS
(and CalFresh) for varying periods of time—anywhere between 12 months to
1342
life.
You are a “fleeing felon.” In other words, if you are hiding or running away to
avoid felony charges, and/or to avoid being incarcerated for a felony
1343
conviction you will not be eligible for CalWorks.
But other people in your
household may be and you will be required to be listed on the application
and/or report forms and your income will be counted when anyone in your
1344
family applies for or gets CalWORKs.

!

Am I ineligible for CalWORKs because of a past felony drug
conviction?
Not anymore. California’s law changed! Read the important update box
below.

IMPORTANT UPDATE!
New CalWORKs Rules for People with Prior Drug Felony Convictions
GREAT NEWS! California eliminated the ban on aid for people with past drug-related felony convictions. Starting on April
1, 2015, you won’t be disqualified from CalWORKs or CalFresh because of a prior drug-related felony conviction and you
will no longer be required to report a prior drug-felony conviction on any application or report (see more on CalFresh
“food stamps” beginning on PG. 522). If you applied for CalWORKs or CalFresh before April 1, 2015, and were denied
due to a past drug-related felony conviction, it’s recommended that you REAPPLY NOW under the newer rules.
To remain eligible, it’s important to follow the conditions of your parole, probation, or other form of community
supervision, or be off supervision. If you violate the terms of your parole, probation, or other form of community
supervision, you will lose your CalFresh and CalWORKs. (See Cal. Welf. & Inst. Code §§ 11251.3, 17012.50.)
If anyone in your family was already receiving CalWORKs aid, your benefits should have been automatically added to
your family’s April 2015 Grant. Once you are added to CalWORKs, you are also required to participate in the Welfare-toWork program requirement (see PG. 552). If you were already meeting Welfare-to-Work requirements, you became
newly eligible for transportation costs, subsidized child care, and other work supports. Contact your family’s CalWORKs
caseworker if you do not receive a letter from the county about these new benefits and rules by March 1, 2015.

WHAT BENEFITS AND SERVICES CAN I GET THROUGH
CALWORKS?
You can get cash assistance, employment services, and other benefits.
Cash assistance: CalWORKs provides monthly cash aid to help pay for basic
needs such as housing, food, utilities, clothing, and medical care. Your monthly
aid (“grant level”) is based on two factors:
1. Your family size: Generally, if you have a larger family, you’ll qualify for
more cash aid; and if you have a smaller family, you’ll qualify for less.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See CalWORKS Handbook: Intentional Program Violations, CNTY. OF SANTA CLARA,
http://www.sccgov.org/ssa/afdc/afchap53.pdf.
1343
See Cal. DSS ACL No. 13-70, available at http://www.dss.cahwnet.gov/lettersnotices/EntRes/getinfo/acl/2013/1370.pdf; California Work Opportunity and Responsibility to Kids (CalWORKs), CAL. DEP’T OF SOC. SERVS., California
DHSS ACL No. 14-78, http://www.cdss.ca.gov/lettersnotices/entres/getinfo/acl/2014/14-78.pdf; see also The
Consequences of Criminal Proceedings, BRONX DEFENDERS, http://www.reentry.net/ny/library/attachment.256160.
1344
California Work Opportunity and Responsibility to Kids (CalWORKs), CAL. DEP’T OF SOC. SERVS.,
http://www.cdss.ca.gov/lettersnotices/entres/getinfo/acl/2014/14-78.pdf (“Fleeing felon” is a legal term for
someone “fleeing to avoid prosecution, or custody or confinement after conviction” for a felony offense); see also
42 U.S.C.§ 1382(e)(4); 42 U.S.C. § 402(x)(I)(A); The Consequences of Criminal Proceedings, BRONX DEFENDERS,
http://www.reentry.net/ny/library/attachment.256160.
1342

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2. Where you live: Generally, if you live in an urban county
(“Region I”) where living costs are higher, you’ll qualify for
more cash aid; and if you live in a rural county (“Region II”),
1345
you’ll qualify for less.
Generally, parents or caretakers can get CalWORKs cash aid for up
to 48 months. But in many cases, a child in the family can keep
1346
getting cash aid after the 48 months are up.
Employment services: CalWORKs provides job training and job
counseling services through a program called Welfare-to-Work
1347
(WTW).
For more information about Welfare-to-Work, see PG. 552.

ABOUT THE 48MONTH LIMIT
This 48-month limit
is a lifetime limit. In
special situations,
you can keep
getting cash aid for
longer. Contact your
county CalWORKs
office for details.

Other benefits: Depending on your situation and what your county provides, you
may qualify for other benefits through CalWORKs, such as:
• CalFresh (also called “food stamps,” see PG. 522 for more information)
• Medi-Cal (see PG. 539 for more information)
• Child care services
• Family planning services
• Child health and disability prevention (CHDP) services
• Homeless and housing assistance
• Emergency cash aid
1348
• Child support enforcement.

HOW DO I APPLY FOR CALWORKS?
Contact your local county welfare agency to get an application form and start
the application process. For a directory of county welfare agencies in California,
see Appendix A, PG. 586 or visit the website: www.cwda.org/links/chsa.php.
If you have Internet access, you can also visit MyBenefits CalWIN at
https://www.mybenefitscalwin.org/ to learn more about CalWORKs, check if you
are eligible, and apply online.

CAN I APPLY FOR CALWORKS WHILE INCARCERATED?
No. You can only apply for CalWORKs once you have been released from prison
1349
or jail, and you have active custody of a child as a parent or caretaker.
But if
you’re currently incarcerated, you can and should look at the eligibility
requirements so you are more aware of your options upon release.
You need to regain custody before you can apply for CalWORKs; and you can
only have physical custody after you have been released. (To learn about how
you can seek custody after release, go to the FAMILY LAW CHAPTER, PG. 823).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CalWORKs: FAQs, DISABILITY BENEFITS 101: WORKING WITH A DISABILITY IN CALIFORNIA,
http://ca.db101.org/glossary_item.aspx?item-id=6521.
1346
CalWORKs: FAQs, DISABILITY BENEFITS 101: WORKING WITH A DISABILITY IN CALIFORNIA,
http://ca.db101.org/ca/programs/income_support/calworks/faqs.htm#_q1395.
1347
California Work Opportunity and Responsibility to Kids (CalWORKs), CAL. DEP’T OF SOC. SERVS.,
http://www.cdss.ca.gov/cdssweb/PG141.htm; see also CAL. WELF. & INST. CODE § 11320.1.
1348
California Work Opportunity and Responsibility to Kids (CalWORKs), CAL. DEP’T OF SOC. SERVS.,
http://www.cdss.ca.gov/cdssweb/PG78.htm, http://www.dss.cahwnet.gov/shd/res/pdf/paraRegs-CalWORKsSpecial-Programs.pdf; CalWORKs: FAQs, DISABILITY BENEFITS 101: WORKING WITH A DISABILITY IN CALIFORNIA,
http://ca.db101.org/ca/programs/income_support/calworks/program2b.htm; CalWORKs, ALAMEDA SOC. SERVS.,
http://www.alamedasocialservices.org/public/services/financial_assistance/calWorks_eligibility.cfm.
1349
42 U.S.C. § 608(a)(1).
1345

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HOW DO I RECEIVE MY CALWORKS BENEFITS?
If you are eligible for CalWORKs benefits, you will be issued your
benefits on an Electronic Benefits Transfer (EBT) card unless you
request that your benefits are directly deposited into your personal
bank account. You will need to set up a PIN number for the card to
use it, and can then use the card at most grocery stores and
1350
ATMs.
To avoid unnecessary fees and surcharges when withdrawing your
CalWORKs cash, you should only use the card at ATMs with the

EBT CARD LOST
OR STOLEN?
If your EBT card is
lost or stolen, or if
you need to change
your PIN, call (877)
328-9677

“MoneyPass” symbol, or the same “Quest Mark” symbol that
appears on the card-sleeve. To find free ATM locations, look for the
appropriate symbol, ask your county worker, or visit the following
website: http://www.ebtproject.ca.gov/Library/Cash_Access.pdf.
The “Quest Mark” symbol is on storefronts, checkout lanes, ATMs,
and credit card machines to tell you that your EBT card can be used
there.

This “MoneyPass”
symbol means it’s
FREE to use your
EBT card at that
ATM location.

•

If the “Quest Mark” looks like this:
benefits.

. . . it’s only for cash

•

If the “Quest Mark” looks like this:
(food stamps) benefits.

. . . it’s only for CalFresh

•

If the “Quest Mark” looks like this:
CalFresh and cash benefits.

. . . it can be used for BOTH

ONCE I’M ENROLLED IN CALWORKS, WHAT RULES MUST I FOLLOW
TO STAY ELIGIBLE?
To keep getting CalWORKs benefits, you and your family must stay within
1351
income and resource limits. In addition, you and all of the adults in your family
must follow requirements related to Welfare-to-Work activities, reporting
changes, and maintaining children’s access to health care and school.
• Welfare-to-Work: Generally, you and any other adults in your family must
participate in welfare-to-work activities for a certain number of hours per
week. The hours and activities required of you will depend partly on your
family situation, and partly on what county you live in (see PG. 552). In
special cases, adults may be “exempt” (excused) from welfare-to-work
requirements. You may be exempt if you are: disabled for 30+ days; under
age 19 and attending school full-time; over age 60; caring for a relative’s child
who is at risk of being put in foster care; OR caring for a sick or disabled
1352
person.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

California Electronic Benefit (EBT) Card, STATE OF CAL. HEALTH AND HUMAN SERVS. AGENCY,
http://www.cdss.ca.gov/cdssweb/entres/forms/English/Pub387.pdf.
1351
CalWORKs: FAQs, DISABILITY BENEFITS 101: WORKING WITH A DISABILITY IN CALIFORNIA,
http://ca.db101.org/ca/programs/income_support/calworks/program2.htm.
1352
CalWORKs: The Details, DISABILITY BENEFITS 101: WORKING WITH A DISABILITY IN CALIFORNIA,
http://ca.db101.org/ca/programs/income_support/calworks/program2c.htm; see also CalWORKs: FAQs, DISABILITY
BENEFITS 101: WORKING WITH A DISABILITY IN CALIFORNIA,
http://ca.db101.org/ca/programs/income_support/calworks/faqs.htm#_q1404.
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•

•

Reporting: You must regularly report changes to your income and
1353
living situation.
If both you and your child are on CalWORKs, you
must report once every 6 months via a Semi-Annual Income
Eligibility Report known as “SAR 7.” If only your child gets
CalWORKs, you must report once a year. In addition, you must
immediately report certain changes within 10 days.
Children: If your child is under age 6, he or she must have all
standard immunizations. If your child is of school age and under age
1354
16, he or she must be attending school regularly.

I BELIEVE MY CALWORKS WAS WRONGLY DENIED OR
STOPPED. HOW DO I APPEAL?
If the county decides to deny your application, it must mail you a “Notice
of Action” explaining why you were denied. It must do so within 30 days
of receiving your application. If you disagree, you have the right to ask
for a State Hearing to appeal (challenge) the denial. You must request a
1355
hearing within 90 days of the county’s decision.

TYPES OF
CHANGES TO
REPORT
WITHIN 10
DAYS
These kinds of
changes include:
moving to a new
address; having
someone join or
leave your
household;
adding to your
household a new
member who has
a drug-related
felony, is in
violation of a
probation or
parole condition,
or is running from
the law.

WAYS YOU CAN REQUEST A STATE HEARING:
• By phone. Call the California Department of Social Services (CDSS) at
1-800-952-5253 (TDD: 1-800-952-8349).
• By mail. Write your request on the back of the Notice of Action, or write a
letter. Then mail your request to the county welfare agency’s address, which
is on your Notice, or mail it to: CDSS Office of Hearings and Appeals; 744 P
Street, M.S. 19-36; Sacramento, CA 95814.
1356
• By fax. Fax request to the CDSS State Hearings Division at 916-651-5210.
TIPS TO REMEMBER WHEN REQUESTING A STATE HEARING:
• It’s recommended that you request a hearing in writing, so that there is a
record of it. Keep a copy of your written request.
• In your request, clearly state that you want a hearing, and briefly state your
reason.
• If you have a disability, note this in your request and specify any
accommodations you will need. For example, if you need a large print of any
official documents or a wheelchair-accessible room, write this in your
1357
request.

RIGHTS YOU HAVE WHEN REQUESTING A STATE HEARING:
• You have a right to have the county welfare agency’s help, if you ask for it,
with understanding how to appeal a decision about your case and what your
next steps should be.
• You have a right to a free interpreter who will explain all procedures and also
interpret for you at the hearing in your preferred language. If you want an
interpreter, state this in your request, and specify your language.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Reporting Changes for CalWORKs and CALFRESH, STATE OF CAL. HEALTH & HUMAN SERVS.,
http://www.cdss.ca.gov/cdssweb/entres/forms/English/AR2.pdf; To view a copy of the SAR 7 form, please visit:
http://www.ladpss.org/dpss/forms_library/form.cfm?id=2265&file=CWCF SAR Flyer ENG (ag 051513).pdf.
1354
CalWORKs: The Details, DISABILITY BENEFITS 101: WORKING WITH A DISABILITY IN CALIFORNIA,
http://ca.db101.org/ca/programs/income_support/calworks/program2.htm.
1355
Application for CALFRESH BENEFITS, STATE OF CAL. HEALTH AND HUMAN SERS. AGENCY,
http://www.cdss.ca.gov/cdssweb/entres/forms/English/CF285.pdf; 7 C.F.R. § 273.15(h); M.P.P. § 22-004.1, 63-804.3.
1356
Application for CALFRESH BENEFITS, STATE OF CAL. HEALTH AND HUMAN SERVS. AGENCY,
http://www.cdss.ca.gov/cdssweb/entres/forms/English/CF285.pdf; see also Appeals/Fair Hearings, ALAMEDA SOC.
SERVS., http://www.alamedasocialservices.org/public/services/appeals/index.cfm.
1357
Requesting a Fair Hearing, CAL. GUIDE TO FOOD BENEFITS, http://foodstamPGuide.org/requesting-a-fair-hearing/.
1353

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•

You have a right to choose a representative (such as a friend, family member,
lawyer, or advocate) who will ask for a hearing on your behalf. You also have
1358
a right to bring anyone to your hearing if you do not want to go alone.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

7 C.F.R. § 273.15(i)(1); M.P.P. § 22-004.211; Requesting a Fair Hearing, CAL. GUIDE TO FOOD BENEFITS,
http://www.cdss.ca.gov/cdssweb/entres/forms/English/CF285.pdf.
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III.

FOOD BENEFITS
WHAT WILL I LEARN?

•
•
•
•
•
•
•
•
!

About the different types of food benefits that you may qualify
for—CalFresh (food stamps), EFAP, and WIC
Who is eligible to receive food benefits
How to receive food benefits
How your criminal record could affect your ability to get food
benefits
If you can apply for food benefits while incarcerated
How and where to apply for food benefits
What to do if you were wrongly denied food benefits
Where to find food (contact information for local food banks)

CALFRESH (FOOD STAMPS)
CalFresh is California’s “food stamps” program, providing money for
low-income adults and their families to buy food. This program is part
of the federal program called Supplemental Nutrition Assistance
1359
Program (SNAP).
Each county runs its own CalFresh program and
issues food benefits (food stamps) in the form of a plastic Electronic
Benefit Transfer (EBT) card, which looks and feels like a credit card.
CalFresh includes the California Food Assistance Program (CFAP),
which provides the same benefits as CalFresh but to noncitizen legal
permanent residents (see PG. 522 for CFAP’s requirements).

AM I ELIGIBLE FOR CALFRESH?

CALFRESH
SIGNING!
One adult
household member
(or authorized
representative)
must sign your
CalFresh application
under penalty of
perjury. This means
that if you
knowingly told a lie
(for example, lying
about how many
people live in your
household), a
criminal charge can
be brought against
you.

There are many factors that are considered to determine whether you
are eligible for CalFresh. Most are related to residency,
citizenship/immigration status, and income. In some cases, certain
people in a household may qualify for CalFresh while others do not, even though
they live in the same house (see PG. 522 for more details).

HELPFUL HINT
CalFresh “Households”
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
For CalFresh, a “household” can be one person,
or it can be any group of people who live
together, buy food, and make meals together. This means if you live with other people,
but you buy and prepare food separately from them, you can apply for food benefits as
1360
part of a separate household.
Spouses and parents and their children under age 22
1361
who live together must apply as a single “household.”
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Supplemental Nutrition Assistance Program (SNAP), U.S. DEP’T OF AGRIC. FOOD & NUTRITION SERV.,
http://www.fns.usda.gov/snap/supplemental-nutrition-assistance-program-snap.
1360
See Food Stamps Regulation Eligibility Standards, CAL. DEP’T OF SOC. SERVS.,
http://www.calfresh.ca.gov/entres/getinfo/pdf/fsman4a.pdf.
1361
M.P.P. § 63-402.1; 7 C.F.R. § 273.1(a)(3).
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To be eligible for CalFresh (food stamps), you must:
1362
• Be a resident of the county where you are applying.
• Be a U.S. citizen or a “qualifying noncitizen.” You’re a “qualifying
noncitizen” if you: (1) Are a lawful permanent resident (“LPR” or “Green
Card Holder”) and (2) you meet all other CalFresh eligibility
1363
requirements
• Have a monthly total income that is no greater than the CalFresh
1364
income limit.
The maximum total income you can have will depend
on your household size, and the maximum limits change every year.
Contact your local CalFresh office or call the toll free number below to
learn what the limit is for your household when you’re ready to apply.
You can also use this online tool to calculate how much CalFresh
money you can get per month:
http://lsnc.net/calculator/FFY2014_Food_Stamp_Calculator_Final_
PlusNovemberCut.xls.
• Call toll-free English: 1-877-847-3663 Spanish: 1-888-926-6432
• You can also look online at
http://www.cdss.ca.gov/foodstamps/PG3628.htm
• Keep in mind that the maximum gross income limits do not always
apply to households with mixed immigration status and/or people who
are seniors or disabled.
• If you have less than $200 in liquid resources, you may be entitled to
expedited benefits, and receive your benefits within three working
days. For CalFresh purposes, “liquid resources” include all funds
readily available to your household, such as; cash on hand, money in
bank accounts, trust deeds, stocks, bonds, or individual retirement
account (IRA) funds.
• You can still qualify for CalFresh if you own the home you live in, own a
car, have a job, and/or do not have children.

CALIFORNIA
FOOD
ASSISTANCE
PROGRAM
(CFAP)
LPRs (Green Card
holders) who have
not lived in the
U.S. for 5 years
technically
receive CalFresh
benefits through
CFAP, which is a
program within
CalFresh.1
Counties treat and
administer CFAP
benefits the same
as CalFresh
benefits. CFAP
beneficiaries are
treated the same
and use their
benefits the exact
same way that
CalFresh
beneficiaries do.1
When you apply
for CalFresh, the
county
automatically
determines your
CFAP eligibility
too.
For more
information,
please visit the
CalFresh
handbook at
http://www.sccgo
v.org/ssa/foods/fs
chap31.pdf.

How Other Public Benefits Programs Combine With CalFresh
•

•

Individuals who receive SSI/SSP benefits are currently not eligible for
CalFresh, but other people in the household may still qualify. SSI
benefits, for example, already include the value of CalFresh benefits,
through a process known as “cash out.” For more information, please
visit http://cfpa.net/CalFresh/CFPAPublications/CalFresh-Cashout1012013.pdf.
If you or your household is receiving cash aid—such as CalWORKs or
GA/GR, you are “categorically eligible” for CalFresh (food stamps).
However, you can still qualify CalFresh without receiving cash aid like
CalWORKs or GA/GR, and in fact, most CalFresh recipients do not
1365
receive cash assistance.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Eligibility and Issuance Requirements, CAL. DEP’T OF SOC. SERVS., http://www.cdss.ca.gov/foodstamps/PG841.
See Eligibility and Issuance Requirements, CAL. DEP’T OF SOC. SERVS., http://www.cdss.ca.gov/foodstamps/PG841.
See Supplemental Nutrition Assistance Program (SNAP), U.S. DEP’T OF AGRIC. FOOD & NUTRITION SERV.,
http://www.fns.usda.gov/snap/fact-sheet-resources-income-and-benefits.
1365
Overview of the Application Process: CalFresh Handbook, CAL. DEP’T OF SOC. SERVS.,
http://www.cdss.ca.gov/calfreshoutreach/res/Toolkit/HandbookGeneralMarket/GeneralMarketHandbook_CH5_OverviewoftheApplicationProcess.pdf.
1362
1363
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CAN MY CRIMINAL HISTORY LIMIT MY ABILITY TO GET
CALFRESH?
Maybe. But remember, even if you are not eligible, others in your household may
be. You might be disqualified if:
1)

You are a “fleeing felon”—meaning you are hiding or running away to avoid
1366
felony charges or to avoid being incarcerated for a felony conviction.
2) You are in violation of a condition of your probation or parole, as found by a
1367
court or administrative judge.
3) You have been found guilty of an Intentional Program Violation (IPV)
1368
involving fraud or misuse of public benefits.
Depending on how many
IPVs you have, and what they were for, you may be disqualified from
CalFresh and CalWORKs for varying periods of time—anywhere between 12
1369
months to life.

What does it mean to be “found guilty of an IPV”?
If a county welfare agency thinks you violated its rules when applying for
or getting benefits, it may investigate and hold an administrative hearing
to determine if you are guilty. It may also ask you to admit guilt by
signing a Disqualification Consent Agreement (DCA). When you apply
for CalWORKs, any prior IPV counts against you if you were found guilty
at a hearing, or you admitted guilt by signing a DCA (even if you did not
have a hearing).

IMPORTANT UPDATE!

New CalFresh Rules for People with Prior Drug Felony Convictions
GREAT NEWS: California eliminated the ban on aid for people with past drugrelated felony convictions. Starting on April 1, 2015, you won’t be disqualified
from CalFresh (food stamps) or CalWORKs because of a prior drug-related
felony conviction and you will no longer be required to report a prior drugfelony conviction on any application or report (read more about the CalWORKs
program beginning on PG. 514). If you applied for CalFresh (or CalWORKs)
before April 1, 2015, and were denied due to a past drug-related felony
conviction, you should REAPPLY NOW under the newer, more favorable rules.
To remain eligible, you must follow the conditions of your parole, probation, or
other form of community supervision, or be off supervision. If you violate the
terms of your parole, probation, or other form of community supervision, you
will lose your CalFresh and CalWORKs (See CalFresh Regulation 63-163.1).

HOW DO I APPLY FOR CALFRESH?
The process may vary by county. Generally, it involves filling out a form,
providing documents, and having an interview. For details about how to apply in
your county, contact the CalFresh office in your area. For a directory of county
1370
CalFresh offices, see Appendix A, on PG. 586.
For information on how to
apply for CalFresh benefits in your county, please call 1-877-847-3663. You can
also apply online at http://benefitscal.org.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

“Fleeing felon” is a legal term for someone “fleeing to avoid prosecution, or custody or confinement after
conviction” for a felony offense. See 42 U.S.C. §§ 1382(e)(4), 402(x)(I)(A); see also Bronx Defenders, The
Consequences of Criminal Proceedings, http://www.reentry.net/ny/library/attachment.256160.
1367
42 U.S.C. § 608(a)(9)(A).
1368
7 C.F.R. § 273.16(b)
1369
Application for CalFresh Benefits, STATE OF CAL., HEALTH AND HUMAN SERVS. AGENCY,
http://www.cdss.ca.gov/cdssweb/entres/forms/English/CF285.pdf.
1370
County Welfare Department List, CAL. DEP’T OF SOC. SERVS., http://www.calfresh.ca.gov/PG839.htm.
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CAN I APPLY FOR CALFRESH WHILE INCARCERATED?
Yes! You can’t receive CalFresh benefits until you’re out, but, under
1371
some circumstances, you can apply while in prison or jail. Although
you may apply for CalFresh while incarcerated, you should not do so
unless you are less than 30 days from your release date. (If you apply
for CalFresh more than 30 days before your release date, the county
social services agency will probably deny your application because
they will find that you are not eligible for the program yet – but you can
re-apply again once you’re within 30 days of release or after you get
1372
out. ) If you apply for CalFresh benefits while incarcerated, you will
generally need to provide proof of your release date and a local
1373
address within the county.
You must also complete and sign the
application and designate an Authorized Representative (see Helpful
1374
Hint Box for more information.)
If you are approved for CalFresh
benefits, you will not begin receiving these benefits until after you
1375
get out.

HOW DO I RECEIVE MY CALFRESH BENEFITS?

HELPFUL HINT:
WHAT IS AN
“AUTHORIZED
REPRESENTATIVE
(AR)”?
You can select and
authorize any adult
person as an
Authorized
Representative (AR)
to apply and have
the interview on
your behalf. To find
out how, contact the
CalFresh office or
Social Services
Agency in the
county where you’ll
be living.

If you are approved for CalFresh benefits, they will be issued on an Electronic
Benefits Transfer Card (EBT). You will need to set up a PIN number for the card
to use it, and can then use the card at most grocery stores.
In some counties, people who are homeless, elderly or disabled can also use
their benefits at certain restaurants through the CalFresh Restaurant Meal
Program. Visit http://www.ebtproject.ca.gov/clientinformation/calfreshrmp.shtml
to see which counties participate in the CalFresh Restaurant Meal Program and
to locate participating restaurants.

HELPFUL HINT

CalFresh for People Living in Drug/Alcohol Treatment Centers and
Other Licensed Residential Facilities:
If you are required to live in a residential facility (for example, a drug/alcohol treatment
center) after getting out of prison or jail, then special CalFresh rules apply to you:
•
If you live in a treatment/residential facility that does NOT provide a majority of your
meals, then you may apply as a one-person CalFresh “household.”
•
However, if you live in a treatment/residential facility that provides the majority of
your meals, then you are only eligible for benefits that the facility applies for, and you
MUST be certified for CalFresh through an Authorized Representative (AR). Either
you or your AR may sign the application forms. The AR is designated in writing by the
head of the household. The AR must sign the form “Electronic Benefit Transfer (EBT)
Request for Designated Alternate Cardholder/Authorized Representative” (CSF 64
form) and the benefits will be assigned to the facility, not to the resident (see sample
1376
CSF 64 form in Appendix B, PG. 588).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Food Stamps (now called Supplemental Nutrition Assistance Program), JUDGE DAVID L. BAZELON CENTER FOR
MENTAL HEALTH LAW, http://www.bazelon.org.
1372
When the county social services department receives your application, ut must make a decision about your
eligibility within 30 days of receiving your application. 7 C.F.R. § 273.2. If your release date is more than 30 days
away, the social services department will not be able to verify your eligibility in time, so it will deny your application.
Telephone call with Danielle Llewellyn, CalFresh Specialist, Alameda County Social Services Agency, Apr. 20, 2015.
1373
Telephone call with Danielle Llewellyn, CalFresh Specialist, Alameda County Social Services Agency, Apr. 20,
2015.
1374
Application for CalFRESH, Cash Aid, and/or Medi-Cal/Health Programs, STATE OF CAL. HEALTH & HUMAN SERVS.,
CAL. DEP’T OF SOC. SERVS., http://www.cdss.ca.gov/cdssweb/entres/forms/English/SAWS2PLUS.pdf.
1375
See Eligibility and Issuance Requirements, CAL. DEP’T OF SOC. SERVS.,
http://www.cdss.ca.gov/foodstamps/PG841.htm. As always, contact your county CalFresh office or an advocate
should you have any questions regarding CalFresh benefits. Many thanks to Liz Gomez, CalFresh Outreach Manager
at the Alameda County Community Food Bank, for her advice and feedback regarding the CalFresh application
process.
1376
Common-Place Handbook, CAL. DEP’T OF SOC. SERVS., http://www.sccgov.org/ssa/cp/cpchap16.pdf.
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ONCE I’M ENROLLED IN CALFRESH, WHAT RULES MUST I
FOLLOW TO STAY ELIGIBLE?
Purchase requirements: You can only use CalFresh benefits to buy food.
You can’t use CalFresh benefits to buy any non-food items such as
alcoholic beverages, tobacco, household cleaning supplies, toiletries, or
cosmetics, and you can’t exchange CalFresh benefits for money. If you
sell your CalFresh benefits or use them for non-food items, you can be
charged with fraud and you could be banned from receiving CalFresh
and other food benefits for life.
Time Limits: Typically, every able-bodied adult (ages 18-49) without
dependents in your household is limited to 3 months of aid in a 36month period unless you are working at least 20 hours per week;
1377
participating in an approved work activity; OR doing workfare. But
California HAS WAIVED this requirement through September 30, 2015,
1378
due to California’s high unemployment rate.
Work Requirements: As a CalFresh recipient, your county may require
you to participate in an Employment and Training program, unless you
county is listed as a “Labor Surplus Area” (LSA). An LSA is a county
that, during the last two years, has had an unemployment rate of 20%
or more above the national average. Right now, all counties are expected
to be listed as LSAs until December 2016. Additionally, if you are
employed, but choose to leave your job, and apply for or receive
CalFresh benefits, you can’t get CalFresh for 3 months.
Report Requirements: Most CalFresh households must submit a report,
called a Semi-Annual Income Eligibility Report (SAR 7) every six
1379
months.
Additionally, they must immediately report a change in
address, any changes in employment, changes in people who live with
the family, and anytime their income goes over the Interim Report
Threshold. Failure to report within the time limits could result in an
Intentional Program Violation (IPV) (IPVs explained on PG. 524).

EXCEPTIONS TO
WORK
REQUIREMENT
Certain people are
exempt (excused)
from these work
requirements.
You may be exempt
if you are:
• physically or
mentally unfit to
be working
• already engaged
in the CalWORKs
work program
• receiving
unemployment
insurance benefits
• participating in a
drug or alcohol
addiction
treatment
program
• enrolled in school
on at least a halftime basis
• an honorably
discharged
veteran of the
U.S. military.
Contact your county
CalFresh office for
details.

Recertification requirements: When you first enroll in CalFresh, your
enrollment will only last for a limited time called a “certification period.” This is
usually one year, but in some cases it’s only a few months. If you want to get
CalFresh for longer than that, then before this period ends, you must apply for
recertification—that is, prove that you’re still eligible for CalFresh. Before the first
day of the last month of your certification period, the county should send you a
“Notice of Expiration” (NOE) that says when, where, and how to apply for
recertification. If your certification period is 1-2 months, the county must give you
1380
a NOE at the start of your certification period.

!

IMPORTANT: To keep getting CalFresh without interruption, apply for
recertification on or before the 15th day of the last month of your certification
period; For example, if your 1-year certification period runs April 1, 2014 to March
31, 2015, you must recertify BEFORE March 15, 2015. Please note: If your
certification period has expired and your recertification application has been
delayed, and your household has very little income, check to see if you qualify
for “expedited services” (ES) CalFresh (read more on PG. 522). If so, you may be
able to get recertified for CalFresh benefits in just 3 days.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Exceptions: M.P.P. § 63-407.21(b)-(f); 63-406.1; see Eligibility and Issuance Requirements, CAL. DEP’T OF SOC.
SERVS., http://www.calfresh.ca.gov/PG841.htm, http://foodstamPGuide.org/work-requirements-overview/.
1378
Eligibility and Issuance Requirements, CAL. DEP’T OF SOC. SERVS., http://www.calfresh.ca.gov/PG841.htm.
1379
To view a copy of the SAR 7 form, please visit:
http://www.dss.cahwnet.gov/cdssweb/entres/forms/English/SAR7.pdf.
1380
7 C.F.R. 273.14(b); M.P.P. § 63-504.61(a); Overview of the Application Process: CalFresh Handbook, CAL. DEP’T OF
SOC. SERVS., http://www.cdss.ca.gov/calfreshoutreach/res/Toolkit/HandbookGeneralMarket/GeneralMarketHandbook_CH5_OverviewoftheApplicationProcess.pdf.
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I BELIEVE MY CALFRESH WAS WRONGLY DENIED OR STOPPED.
HOW DO I APPEAL?
If the county denies your CalFresh application, it must mail you a Notice of
Action explaining why. It must do so within 30 days of getting your application. If
you disagree, you have a right to ask for a State hearing to appeal (challenge)
the denial. You must request a hearing within 90 days of the county’s
1381
decision. In order to continue receiving benefits during your appeal, with
assistance being paid while your appeal is pending, you must request a hearing
within 10 days.
WAYS YOU CAN REQUEST A STATE HEARING:
•
•

•

By phone. Call California Department of Social Services (CDSS) at 1-800-9521382
5253 (TDD 1-800-952-8349).
By mail. Write your request on the back of your Notice, or write a letter. Then
mail your request to the county welfare agency’s address, which is on your
Notice—OR mail it to: CDSS Office of Hearings and Appeals; 744 P Street,
M.S. 19-36; Sacramento, CA 95814.
1383
By fax. Fax your request to: CDSS State Hearings Division at 916-651-5210.

TIPS TO REMEMBER WHEN REQUESTING A STATE HEARING:
•
•
•

It is best to request a hearing in writing, so that there is a record of it. Keep a
copy of your request.
In your request, clearly state that you want a hearing, and briefly state your
reason for wanting one.
If you have a disability, note this in your request and specify any
accommodations you will need—such as a need for documents to be in a
1384
larger font, or in a room with wheelchair accommodations.

RIGHTS YOU HAVE WHEN REQUESTING A STATE HEARING:
•

•

•

You have a right to have the county welfare agency’s help, if you ask for it,
with understanding how to appeal a decision about your case and what your
next steps should be.
You have a right to a free interpreter who will explain all procedures and also
interpret for you at the hearing in your preferred language. If you want an
interpreter, state this in your request, and specify your language.
You have a right to choose a representative (such as a friend, family member,
or advocate) who will ask for a hearing on your behalf. You also have a right
to bring someone to your hearing (such as a friend, family member, or
1385
advocate) if you do not want to go alone.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

7 C.F.R. § 273.15(h); MPP §§ 22-004.1, 63-804.3.Overview of the Application Process: CalFresh Handbook, CAL.
DEP’T OF SOC. SERVS., http://www.cdss.ca.gov/calfreshoutreach/res/Toolkit/HandbookGeneralMarket/GeneralMarketHandbook_CH5_OverviewoftheApplicationProcess.pdf.
1382
Overview of the Application Process: CalFresh Handbook, CAL. DEP’T OF SOC. SERVS.,
http://www.cdss.ca.gov/calfreshoutreach/res/Toolkit/HandbookGeneralMarket/GeneralMarketHandbook_CH5_OverviewoftheApplicationProcess.pdf.
1383
Requesting a Fair Hearing, CAL. GUIDE TO FOOD BENEFITS, http://foodstamPGuide.org/requesting-a-fair-hearing/.
1384
Requesting a Fair Hearing, CAL. GUIDE TO FOOD BENEFITS, http://foodstamPGuide.org/requesting-a-fair-hearing/.
1385
7 C.F.R. § 273.15(i)(1); MPP § 22-004.211; Requesting a Fair Hearing, CAL. GUIDE TO FOOD BENEFITS,
http://foodstamPGuide.org/requesting-a-fair-hearing.
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FOOD BANKS
WHAT IS A FOOD BANK?
A food bank is a nonprofit organization that asks for, stores, and gives out food.
They sometimes give the food to a variety of smaller organizations (churches,
non-profits, community centers, libraries) that also serve people in need.

WHERE CAN I FIND FOOD?
To find a food bank or other partner organization that gives out donated food
near you, visit http://www.cafoodbanks.org/Hunger-in-CA or call the Association
of California Food Banks at 1-866-321-4435.
You do NOT need to enroll in any public benefits programs to visit a food bank
or partner organization for food.
But, you may wish to consider enrolling in the Emergency Food Assistance
Program (see PG. 528 below), if you are eligible, as it is a government-assisted
program for low-income people and their families.

WHAT IS THE EMERGENCY FOOD ASSISTANCE PROGRAM
(EFAP)?
The Emergency Food Assistance Program (EFAP) is a federal government
program that sends food to county food banks. The food banks then distribute
1386
this free food to eligible individuals and households.
See the next question to
learn how to find an EFAP-supported food bank.
To be eligible for EFAP benefits at a county food bank, your household must
(1) live within the region that the food bank serves, and (2) self-certify that they
meet the income requirements. To see if your household meets income
requirements, call the California Department of Social Services’ Emergency Food
1387
Assistance Program office at 916-229-3344.
If you do not have a place to prepare food, you should ask the food bank to give
you a list of soup kitchens, which also receive food through the state’s
Emergency Food Assistance Program.

WHERE CAN I FIND A FOOD BANK TO GET EFAP BENEFITS?
Steps to finding food banks/partner agencies:
1)

You should try to go to an Emergency Food Assistance Program food bank
near your house. Try looking online at http://www.cafoodbanks.org/Hungerin-CA or call the Association of California Food Banks at 1-866-321-4435.
2) If there are no Emergency Food Assistance Program food banks near your
house, then you should try to go to an Emergency Food Assistance Program

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Emergency Food Assistance Program (EFAP), CAL. DEP’T OF SOC. SERVS. HEALTH & HUMAN SERVS. AGENCY,
http://www.dss.cahwnet.gov/efap/, http://www.fns.usda.gov/tefap/emergency-food-assistance-program-tefap. The
laws governing EFAP in California are: 7 C.F.R. 250, 7 C.F.R. 251. You can find links to these laws and to the EFAP
Policy & Procedures at: http://www.dss.cahwnet.gov/efap/PG1905.htm.
1387
Emergency Food Assistance Program (EFAP) 2014 Income Guidelines, CAL. DEP’T OF SOC. SERVS. HEALTH & HUMAN
SERVS. AGENCY, http://www.cdss.ca.gov/cdssweb/entres/forms/English/EFA14.pdf; See also Emergency Food
Assistance Program (EFAP) Procedure Manual, CAL. DEP’T OF SOC. SERVS. HEALTH & HUMAN SERVS. AGENCY,
http://www.dss.cahwnet.gov/efap/res/pdf/ProcedureManual.pdf
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food bank nearby. You might still be able to get food there if you show that
you live in an area that’s within the same county. But be aware that—you
might be turned away and told to try and find a food bank that serves the
area you live in.
3) If you are turned away, remember you can always try and find a nonEmergency Food Assistance Program food bank or partner agency that does
not use Emergency Food Assistance Program restrictions.

!

Here are some numbers you can call to find food banks in your local area:
•
•

California hotline for food aid information: 1-877-847-FOOD
Local information and referral hotline: 2-1-1 (not available in every county)

If you have Internet access, here are some websites you can visit:
•
•

List of food banks across California:
http://www.dss.cahwnet.gov/efap/PG1910.htm
Tool to find food aid near your ZIP code:
http://www.cafoodbanks.org/?q=find-food-assistance

WHAT DOCUMENTS MIGHT I NEED TO GET EFAP BENEFITS?
When you go to a county food bank seeking Emergency Food Assistance
Program benefits, you may be asked to show proof that you live in the service
area, such as a government-issued I.D. card with your address (for example, a
Driver License, library card, or voter registration card). But even if you don’t have
proof of residency, you should not be denied food as long as you agree to sign
an “Emergency Food Assistance Program Certification of Eligibility Form”
(Form EFA-7) (see example form in Appendix C, PG. 590).

CAN MY CRIMINAL HISTORY LIMIT MY ABILITY TO GET EFAP?
No. You will be able to get EFAP food benefits no matter your criminal history.
Only two factors matter—where you live and how much income you have. Even if
your address falls outside of an EFAP food bank’s service area, you might still be
able to get food there, if you can prove that you live in the same county. But
there is also the possibility that the food bank turns you away and asks that you
go to the food bank that serves the area where you live.

CAN I APPLY FOR EFAP BENEFITS WHILE INCARCERATED?
No. You can only get EFAP food benefits by showing up at a county food bank
that serves the area where you live. But remember, once you are released you
can find donated food at a local food bank or partner agency!

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WOMEN, INFANTS & CHILDREN PROGRAM
(WIC)
WIC is a program for low-income women, women who are pregnant,
postpartum, or breastfeeding, infants, and children under age 5. WIC
provides nutritious food, nutrition education, breastfeeding support,
and health service referrals. With WIC benefits you get coupons for
things like milk, cheese and eggs, bread, cereal, juice, peanut butter,
1388
fruits and vegetables, infant food, and much more.

AM I ELIGIBLE FOR WIC?
To receive WIC benefits, you must: (1) be a resident of California; (2) be
a woman who is pregnant, postpartum, breastfeeding and/or the
parent/guardian of a child up to age 5; and (3) have less than the
maximum yearly income allowed for your household size. Please note:
If you or your children receive CalFresh (food stamps), Medi-Cal, or
CalWORKs, you automatically meet the income requirement for WIC. If
you have Internet access, you can use these online tools to see if
1389
you’re likely to qualify for WIC:
•
•

MORE INFO ON
THE WIC INTAKE
PROESS
During the WIC
intake process, a
county health
professional will
determine if you or
your child are “at
nutritional risk”
(meaning your child
is over/underweight
or not eating
enough fruits or
vegetables), and
may make a referral
to a doctor if any
health conditions
(for example,
anemia) are
suspected.

USDA’s Prescreening Tool:
http://wic.fns.usda.gov/wps/pages/start.jsf
California’s Eligibility Assessment: www.cdph.ca.gov/programs/wicworks/
Pages/WICEligibilityAssessment01.aspx

CAN MY CRIMINAL HISTORY LIMIT MY ABILITY TO GET WIC?
No! Your criminal history does not affect your ability to get WIC benefits.

HOW DO I APPLY FOR WIC?
Contact your local WIC office and make an appointment. To find a WIC office
near you, call 1-800-852-5770 or 1-888-WIC-WORKS (1-888-942-9675). Both
numbers are toll-free. If you have Internet access, you can also use this online
search tool: http://www.apps.cdph.ca.gov/wic/resources/laSearch/search.asp.

CAN I APPLY FOR WIC WHILE INCARCERATED?
No. You can only apply for WIC after you are released because eligibility can
only be determined after an in-person appointment with a county health
professional who will assess you and your child for nutritional risk. Additionally,
WIC benefits can only be used in-person at certain locations (such as grocery
stores) certified to participate in the program. But remember: you can call the
WIC office to help you review your eligibility before your release. To find contact
information for your county WIC office, call the following toll free number: 1-800852-5770.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Women, Infants, and Children, CAL. DEP’T OF PUBLIC HEALTH,
http://www.cdph.ca.gov/programs/wicworks/Pages/AboutWICandHowtoApply.aspx.
1389
Women, Infants, and Children, CAL. DEP’T OF PUBLIC HEALTH,
http://www.cdph.ca.gov/programs/wicworks/Pages/AboutWICandHowtoApply.aspx.
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IV. HEALTH CARE BENEFITS
WHAT WILL I LEARN?
•
•
•
•
•
•
•
!

An overview of different types of health care coverage in
California (including Covered California, Medi-Cal, & Medicare)
How to figure out which health care plan is best for you
What benefits you get from the different health care plans
How to apply for health care
Whether you can receive or apply for health care while
incarcerated
How your criminal history could affect your ability to get health
care coverage
What to do if you are wrongly denied health care

WHY SHOULD I GET HEALTH CARE COVERAGE (INSURANCE)?
First, everyone needs health care at some point in life. If you have health care
coverage, you can access hospitals and medical services when you need them.
Most health insurance will cover mental health and substance abuse treatment
1390
too.
Second, for almost everyone living in the U.S., it’s now required by law
that you have adequate health care coverage. (There are exceptions, explained
1391
on PG. 533).
While you’re incarcerated, the jail or prison is responsible for providing you with
essential health care, including mental health services. You have a constitutional
1392
right to treatment while in jail or prison.
Once you have a release date, you
should ensure that you have health care coverage in place for when you get out.
OVERVIEW OF THE DIFFERENT TYPES OF HEALTH CARE DISCUSSED IN THIS SECTION:
BRIEF BREAKDOWN OF PLAN:

HEALTH
CARE
PLAN:

WHO QUALIFIES:

Covered
California

Covered California is the state’s marketplace
to sign up for affordable health care

CA residents or LPRs who are 18 or older, and are not
currently incarcerated (see more on PG. 532)

Medi-Cal

Medi-Cal offers free or low-cost health care for
people who have limited income

CA residents or LPRs who have limited income (at or below
138% of FPL (see more on PG. 539)

Medicare

Medicare provides health care for elderly or
disabled people. Medicare has 4 parts (A-D).

U.S. citizens or LPRs who are 65 or older, or have a disability,
or have permanent kidney failure (see more on PG. 544)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Mental Health & Substance Abuse Coverage, HEALTHCARE.GOV, https://www.healthcare.gov/coverage/mentalhealth-substance-abuse-coverage/.
1391
Affordable Care Act, http://www.hhs.gov/healthcare/rights/law/index.html. Read information about the ACA:
http://files.medi-cal.ca.gov/pubsdoco/aca/aca_home.asp. See also
https://www.blueshieldca.com/bsca/documents/about-blue-shield/health-reform/COVEREDCA_FAQs_092413.pdf.
1392
Estelle v. Gamble, 429 U.S. 97, 103 (1976); Brown v. Plata, 131 S. Ct. 1910, 1928 (2011) (“Prisoners retain the
essence of human dignity inherent in all persons. Respect for that dignity animates the Eighth Amendment
prohibition against cruel and unusual punishment . . . A prison that deprives prisoners basic sustenance, including
adequate medical care, is incompatible with the concept of human dignity and has no place in civilized society.”);
see also Know Your Rights: Medical, Dental, and Mental Healthcare, ACLU NATIONAL PRISON PROJECT,
https://www.aclu.org/files/assets/know_your_rights_--_medical_mental_health_and_dental_july_2012.pdf.
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COVERED CALIFORNIA
Covered California is an online health care marketplace where you can sign up
for health care coverage online, by phone, by mail, or in person. This online
marketplace is a website where you can “shop” by choosing a health care plan
and compare various plans’ prices and benefits. Each health care plan must
cover essential health benefits, such as doctor visits, hospitalization, emergency
care, maternity leave, pediatric care for children, and prescriptions. Through the
Covered California application process, you can find out if you’re eligible to get
federal tax credits to reduce your health care costs, or if you’re eligible for free
or low-cost health care coverage through Medi-Cal (see PG. 539 for more
1393
information on Medi-Cal).

AM I ELIGIBLE TO ENROLL IN HEALTH CARE COVERAGE
THROUGH COVERED CALIFORNIA?
To get health care through Covered California, you must be:
1)
2)
3)
4)

A California resident;
1394
Lawfully present in the United States;
Age 18 or older, and
1395
Not currently incarcerated.

Based on your household size and income, your family may qualify for financial
assistance to help you afford health care. By submitting a Covered California
application, you’ll find out exactly what kinds of assistance you can get, and how
much.

!

IMPORTANT NOTE ABOUT IMMIGRATION STATUS: If you have one of
these statuses, you may qualify for health coverage through Covered
California: lawful permanent resident (“Green Card holder”); lawful
temporary resident (“LTR”); asylee or applicant for asylum; refugee;
Cuban/Haitian entrant; paroled into the U.S.; conditional entrant granted
before 1980; battered spouse, child or parent; victim of trafficking or that
person’s spouse, child, sibling, or parent; individual with non-immigrant
status (including worker or student visa holders); Temporary Protected
Status (“TPS”) or applicant for TPS; Deferred Enforced Departure
(“DED”); deferred action status; individual granted withholding of
deportation/removal; applicant for withholding of deportation/removal;
applicant for special immigrant juvenile status; applicant for adjustment
to LPR status, with approved visa petition; registry applicant with
Employment Authorization Document (EAD); applicant for cancellation of
removal or suspension of deportation. Even if your immigration status is
not listed above, you may still qualify for health insurance and should still
apply!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Frequently Asked Questions, COVERED CALIFORNIA, https://www.coveredca.com/faqs/Medi-Cal/.
How to Apply, COVERED CALIFORNIA, http://www.coveredca.com/apply/; see also How the Affordable Care Act
Impacts Immigrant and Migrant Populations in California, AMERICAN CIVIL LIBERTIES UNION,
https://www.aclusandiego.org/wp-content/uploads/2014/05/ACAs-Impact-on-Immigrants-CA-final-5-12-14.pdf.
1395
At the time of production of this Manual, California Centers for Medicare & Medicaid Services (CMS), was
engaged in the process of drafting new rules that would allow for applications prior to some “qualifying life events,”
including release from incarceration. But this proposed rule is not currently in effect.
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WHAT BENEFITS AND SERVICES CAN I GET THROUGH COVERED
CALIFORNIA?
As required by law, all Covered California plans must cover a set of essential
health benefits, including:
•
•
•
•
•
•
•
•

Hospital care and emergency services;
Medical services;
Prescription drugs;
Mental health and substance abuse treatment (potentially including
treatment that is a condition of probation or parole);
Maternity and pediatric care;
Rehabilitation services;
Preventative care and chronic disease management; and
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Some dental care.

CAN MY CRIMINAL HISTORY LIMIT MY ABILITY TO GET HEALTH
CARE USING COVERED CALIFORNIA?
No. There is no law or policy that limits your access to Covered California based
on your criminal history. You have the right to apply for health care coverage,
and you should.

AM I LEGALLY REQUIRED TO ENROLL IN HEALTH CARE
COVERAGE?
If you live in the U.S., and you’re not currently incarcerated, the
answer is probably yes.
Certain people in special situations (explained below) are excused
from this requirement. Unless you have one of these situations, you
MUST enroll in health care coverage, or else you must pay a
1397
penalty fee when you file taxes.
This legal requirement is called
the “individual mandate,” and the tax penalty is called the “shared
1398
responsibility fee.”
Exemptions to the Individual Mandate: If you qualify for an
exemption, you don’t have to pay a penalty even if you don’t have
health care coverage. You may qualify for an exemption if one of the
1399
following situations applies to you:
•

SHARED
RESPONSIBILITY
FEES
For 2015, the “shared
responsibility fee” is
the higher of one of
the following two
amounts:
2% of your yearly
household income or
$325 per person for
the year.

Currently incarcerated: You’re currently in jail or prison serving a

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Check Medical Eligibility, CALQUALITY.ORG, http://www.calqualitycare.org/learn/nursing-homes/pay/medical.
The fee is either a flat dollar amount or a percent of your household income—whichever is greater. The fee is set
to increase each year from 2014 to 2016. The fee amount you must pay is based on how many months you go
without health care during the year. For every month you aren’t enrolled in health care, you owe 1/12th of the
annual penalty fee. But note: As explained below, the law gives you a free pass for periods that are shorter than 3
months back-to-back. COVERED CALIFORNIA, https://www.coveredca.com/faqs/Tax-Penalty/#102.
1398
Frequently Asked Questions, COVERED CALIFORNIA, https://www.coveredca.com/faqs/Tax-Penalty/#102. Only the
amount of income above the tax filing threshold—about $10,000 for an individual—is used to calculate this penalty.
For more information, please visit: https://www.healthcare.gov/fees-exemptions/fee-for-not-being-covered/. The
amount for child under 18 is $4,750. The maximum penalty per family is $285. For more information, please visit:
https://www.healthcare.gov/fees-exemptions/fee-for-not-being-covered/. The amount per child under 18 is $162.50.
The maximum penalty per family is $975. After 2015, the shared responsibility fee will increase to 2.5% of income of
$695 per person in 2016. Only the amount of income above the tax-filing threshold, about $10,000 for an individual,
is used to calculate this penalty. For more information please visit: https://www.healthcare.gov/feesexemptions/fee-for-not-being-covered/.
1399
Frequently Asked Questions, COVERED CALIFORNIA, https://www.coveredca.com/faqs/Tax-Penalty/#102,
www.healthcare.gov/fees-exemptions/exemptions-from-the-fee/.
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•
•
•
•
•
•
•
•

sentence for a conviction. This doesn’t include being held for a case that’s
still pending—for example, you’ve been charged but not yet convicted.
Short coverage gap: Your uninsured period is shorter than 3 months (backto-back) during the year.
Not lawfully present: You don’t have citizenship or lawful immigrant status in
1400
the U.S.
Not required to file taxes: You’re not legally required to file a tax return
1401
because your income is too low.
Unable to afford coverage: You can’t afford the cheapest coverage available
to you, because it would cost more than 8% of your household income.
Indian tribe: You belong to a federally recognized Indian tribe, or you’re
1402
eligible for services through an Indian Health Services provider.
Sharing ministry: You’re a member of a recognized health care sharing
ministry.
Religious conscience: You’re a member of a recognized religious sect with
religious objections to insurance, including Social Security and Medicare.
Hardship: You’ve had financial or domestic difficulties that kept you from
enrolling in health care, such as homelessness, a death in the family,
bankruptcy, a medical emergency, or a natural disaster. Filing for a hardship
requires you to fill out special forms.

For most of these situations, you must apply to get an exemption.
The process varies by situation.
If you have questions about the forms you need, or if you aren’t sure
how to get an exemption for your situation, call Covered California at
1-800-300-1506 (TTY 1-888-889-4500) or the federal government’s
Health Insurance Marketplace at 1-800-318-2596 (TTY 1-855-8894325). Or you may try calling Health Consumer Alliance (HCA), a
non-profit organization dedicated to providing information about and
helping Californians to get health care. For a list of local HCA call
centers, please visit:
http://healthconsumer.org/index.php?id=partners.
NOTE: YOU DON’T APPLY FOR AN EXEMPTION IF:
•
•
•
•

You have a short coverage gap;
If you are not required to file taxes because your income is too
low;
If you are not lawfully present;
You are currently incarcerated (But note: Once you’re released,
the individual mandate will apply to you, so you’ll need to get
health coverage at that time. See PG. 533 for more information.)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

A Note About
Individual
Mandate
Exemptions
Even if you qualify for
an exemption, you still
can apply and get
health care coverage
to help pay for
medical expenses. An
exemption just means
that you don’t have to
pay the penalty fee—
called the “shared
responsibility fee”—if
you one of the
exemption situations
applies to you, and
you don’t get health
care coverage.

COVERED CALIFORNIA, https://www.coveredca.com/faqs/Tax-Penalty/#102, www.healthcare.gov/feesexemptions/exemptions-from-the-fee/. For detailed lists of non-citizen categories who are “qualified” to get health
care through Covered California, see:
http://www.bia.gov/WhoWeAre/BIA/OIS/TribalGovernmentServices/TribalDirectory/. If you are not a citizen and
you are not on these lists, you qualify for an exemption.
1401
For details about the filing requirement, see: http://www.irs.gov/pub/irs-pdf/p501.pdf.
1402
Tax Penalty, Covered California, https://www.coveredca.com/faqs/Tax-Penalty/#102, www.healthcare.gov/feesexemptions/exemptions-from-the-fee/. A federally recognized tribe is “any Indian or Alaska Native tribe, band,
nation, pueblo, village or community that the Department of the Interior acknowledges to exist as an Indian tribe.”
https://www.healthcare.gov/glossary/federally-recognized-tribe. For a current list of recognized tribes, see:
http://www.bia.gov/WhoWeAre/BIA/OIS/TribalGovernmentServices/TribalDirectory/.
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WHEN CAN I APPLY FOR HEALTH CARE THROUGH COVERED
CALIFORNIA?
It depends. If you’re planning to buy a private health care plan from the Covered
California marketplace, you must enroll during the “Open Enrollment period” to
get coverage for the following year (unless you qualify for a Special Enrollment
period, see PG. 535). The Open Enrollment period typically runs from fall to
spring. If you don’t enroll during this period, you may not be able to find a
private plan that can cover you (and you may have to pay the Shared
1403
Responsibility Fee, discussed above on PG. 533).
To get the specific start and
end dates for the next Open Enrollment period, call Covered California at 1-800300-1506 (TTY 1-888-889-4500) or the federal government’s Health Insurance
Marketplace at 1-800-318-2596 (TTY 1-855-889-4325). You can also check
1404
online at www.CoveredCA.com and www.healthcare.gov.
But, if you’re eligible for Medi-Cal based off your income—your income must be
1405
at or below 138% of the federal poverty level —you can apply to Medi-Cal at
any time, even if it’s not currently Open Enrollment period. If you qualify for
1406
Medi-Cal, you can enroll right away.
To learn more, go to PG. 539.

!

IMPORTANT: Remember, if you qualify, for Medi-Cal, then you are
ineligible for private health care plans through Covered California.1407
Exceptions to the Open Enrollment requirement: Certain people with special
situations may enroll in private health care through Covered California during a
1408
Special Enrollment Period (“SEP”).
This is a 60-day period outside of the
Open Enrollment period , typically starting from the day that the special situation
1409
started for a person.
Two types of situations may allow you to enroll in private health insurance
1410
through Covered California during a Special Enrollment Period:
1)

A “qualifying” life event suddenly creates a greater need for health
coverage. For example: getting married or divorced, having a baby, losing a
1411
job, moving, losing your health coverage, or getting released from
1412
incarceration.
Go to PG. 538. to learn more about Special Enrollment
Periods.
2) A complex problem that prevented you from enrolling successfully. For
example: a major accident, a natural disaster, misconduct by someone who
helped with your health care application, or an error by Covered California
1413
or an insurance company in processing your application.
If one of these situations comes up for you, you have 60 days to notify Covered
California, get approved for a SEP, submit (or re-submit) an application, and

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

If you don’t enroll during this period, you may not be able to find a private plan that can cover you (and you may
have to pay the shared responsibility fee).
1404
To get coverage in 2015, Open Enrollment begins November 15, 2014 and ends February 15, 2015. COVERED
CALIFORNIA, https://www.coveredca.com/about/.
1405
For more information and a chart detailing Medi-Cal income guidelines, please visit: COVERED CALIFORNIA,
https://www.coveredca.com/ShopAndCompare/2015/—incomeGuidelines.
1406
COVERED CALIFORNIA, https://www.coveredca.com/faqs/special-enrollment/,
https://www.healthcare.gov/coverage-outside-open-enrollment/your-options/.
1407
Medi-Cal, COVERED CALIFORNIA, http://www.coveredca.com/medi-cal/.
1408
About Us, COVERED CALIFORNIA, https://www.coveredca.com/about/.
1409
BLUE SHIELD CALIFORNIA, https://www.blueshieldca.com/bsca/documents/about-blue-shield/healthreform/COVEREDCA_FAQs_092413.pdf, https://www.healthcare.gov/glossary/special-enrollment-period/
1410
Special Enrollment Period, HEALTHCARE.GOV, https://www.healthcare.gov/sep-list/
1411
COVERED CALIFORNIA, http://www.coveredca.com/individuals-and-families/getting-covered/specialenrollment/qualifying-life-events/.
1412
For more information on qualifying life events for special enrollment available at, Special Enrollment Period,
HEALTHCARE.GOV, https://www.healthcare.gov/coverage-outside-open-enrollment/special-enrollment-period/.
1413
Special Enrollment Period, HEALTHCARE.GOV, https://www.healthcare.gov/sep-list/.
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enroll in a health care plan. If you don’t complete this process in 60 days, you
may have to pay the Shared Responsibility Fee (a tax penalty, discussed above
on PG. 533) for not having health care coverage.

!

IMPORTANT: You will not qualify for a Special Enrollment Period (SEP) if
you voluntarily ended health care or lost health care coverage that didn’t
provide the minimum essential benefits now required to avoid paying the
Shared Responsibility Fee. For more information on SEPs and how to
appeal if you were denied a SEP, please visit:
https://www.healthcare.gov/coverage-outside-open-enrollment/specialenrollment-period/, or call Covered California at 1-800-300-1506 (TTY 1888-889-4500) or the federal government’s Health Insurance
Marketplace at 1-800-318-2596 (TTY 1-855-889-4325).

HOW DO I ENROLL IN HEALTH CARE THROUGH COVERED
CALIFORNIA?
You can apply for Covered California through several methods: online, by
phone, in person, by mail, or by fax. You can get the paper application at your
local county social services office, or online at
https://www.coveredca.com/PDFs/paper_application/CASingleStreamApp_92MAX.pdf. The introductory pages of the application (but
not the full application) can be found here in Appendix D, PG. 592.
•

•
•

•
•

Online: Go to www.CoveredCA.com. Set up an account with a username and
password. Once you log in, you can browse different health plans and start
the application process.
By phone: Call Covered California at 1-800-300-1506 (TTY: 1-888-889-4500).
A staff person will walk you through the application process.
In person: Visit your county social services office. (For a statewide directory,
1414
see Appendix A, on PG. 586) At the office, you can pick up the application
form, get help filling it out, and submit it.
By mail: Send your completed application form to: Covered California; P.O.
1415
Box 989725; West Sacramento, CA 95798-9725. .
By fax: Fax your completed application form to: 1-888-329-3700.

IF YOU WANT FREE HELP WITH YOUR COVERED CALIFORNIA APPLICATION:
•
•

•

•

Call Covered California at 1-800-300-1506 (TTY: 1-888-889-4500). The line is
1416
open Monday to Friday, 8 a.m. to 8 p.m.; and Saturday, 8 a.m. to 6 p.m.
Get in-person help at a local county social services office (for a statewide list
of offices, see Appendix A, PG. 586, or visit
1417
http://www.coveredca.com/faqs/).
Local community-based organizations and community clinics provide free
assistance. You can identify which organizations help with enrollment by
calling Covered California or using the “Find Local Help” tool on the Covered
California website at http://www.coveredca.com/get-help/local/.
If you use the online application at www.CoveredCA.com, you can get help
1418
through the “online chat” feature.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1414
1415
1416
1417
1418

A list of county offices is available here: http://www.dhcs.ca.gov/services/medi-cal/Pages/CountyOffices.aspx.
How to Apply, COVERED CALIFORNIA, http://www.coveredca.com/apply/.
Frequently Asked Questions, COVERED CALIFORNIA, https://www.coveredca.com/faqs/about/.
Frequently Asked Questions, COVERED CALIFORNIA https://www.coveredca.com/faqs/about/.
Applying for Coverage, AFFORDABLE HEALTH CARE, http://affordablehealthca.com/applying-for-coverage/.

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•

If you have difficulty working with Covered California or your health
insurance company, call the Health Consumer Alliance (HCA) at 1-888-8041419
3536. The HCA provides free local assistance.

HELPFUL HINT
Tax Credits to Reduce Cost of Private Health Care
If you’re planning to buy a private health care plan, and you want tax credits to
1420
help reduce your costs, have the following information ready when you apply:
•

•

•

•

Birthdates and Social Security Numbers (SSNs) of all household members.
For Covered California, a “family” is defined as the person who files taxes as
head of household, plus all dependents claimed on those taxes.
If you are NOT a citizen, you must have your immigrant status information.
Proof of citizenship or immigration status is required only for individuals in
your family who are applying for health
`! care coverage. You are allowed to
apply for your child even if you aren’t eligible for coverage because of your
immigration status. Applying for your eligible child won’t affect your
immigration status, or your chances of getting immigrant or citizenship
1421
status. Also, U.S. Immigration and Customs Enforcement (ICE) has stated
that they will not use information obtained through health care applications
1422
for immigration enforcement purposes.
Current income and latest tax return information for your household. You
may be asked to follow up with documents proving your income. If you earn
wages, acceptable proof may include: your most recent W-2, a recent pay
stub, a letter from your employer on official office letterhead, or a copy of a
1423
check paid to you as wages.
Information about any health insurance that you or any household member
1424
receives through a job.

CAN I GET HEALTH CARE THROUGH COVERED CALIFORNIA WHILE
I’M INCARCERATED?
No. You cannot get health care through Covered California while you are
incarcerated, but you may apply for Medi-Cal once you are nearing your release
date (more information on Medi-Cal starting on PG. 539). Or if you prefer to have
private health care through Covered California, you may apply once you are
released (see below for more details).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Frequently Asked Questions, COVERED CALIFORNIA, http://www.coveredca.com/faqs/special-enrollment/,
www.healthconsumer.org.
1420
How to Apply, COVERED CALIFORNIA, http://www.coveredca.com/apply/. If you want to buy a health plan without
trying to get tax credits, you just need to provide SSNs for all family member. Enrollment and Eligibility, COVERED
CALIFORNIA, https://www.coveredca.com/faqs/Enrollment-and-Eligibility/.
1421
How to Apply, COVERED CALIFORNIA, http://www.coveredca.com/apply/.
1422
http://www.ice.gov/doclib/ero-outreach/pdf/ice-aca-memo.pdf.
1423
For a full list of documents you can use to verify your income, See Accepted Income Documents, COVERED
CALIFORNIA http://www.coveredca.com/PDFs/Accepted-Income-Documents.pdf Note: Even if you don’t file taxes,
you can still qualify for free or low-cost health insurance through Medi-Cal. To learn about signing up for Medi-Cal,
go to PG. 38. http://www.coveredca.com/apply/.
1424
How to Apply, COVERED CALIFORNIA, http://www.coveredca.com/apply/.
1419

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HELPFUL HINT
If you’re currently serving a sentence in jail or prison, special rules
apply to you for applying for health insurance:1425
While you’re incarcerated:
•

•

You are eligible to enroll in Medi-Cal while incarcerated. You may apply on
1426
your own, or through any enrollment program available at your facility.
You can’t start using a Medi-Cal health care plan while you’re incarcerated;
but if you enroll before your release, you may be able to get health care
1427
more quickly once you’re out.
To learn more about Medi-Cal and how to
enroll while incarcerated, go to PG. 539.
You are not eligible to buy a private health care plan through Covered
California, and the Individual Mandate (see PG. 533) doesn’t apply to you as
long as you’re incarcerated following a criminal conviction. This means you
don’t have to worry about paying a penalty, or applying for an exemption
1428
from the penalty, during your incarceration.

Once you’re released:
You may be eligible to enroll in health care through Covered California; and the
Individual Mandate (see PG. 533) may now apply to you. This means you may
now be legally required to have health care, or pay a tax penalty—unless you get
an exemption (read more about exemptions on PG. 533).
•

•

If you want to enroll in Medi-Cal, and you didn’t already enroll while
incarcerated, you can apply at any time after your release. For details about
Medi-Cal, go to PG. 539.
If you want to buy a private health care plan (and also get tax credits to help
pay for it), you have 60 days after your release to notify Covered California,
get approved for a Special Enrollment Period (see PG. 535), submit a
Covered California application, and enroll in a health care plan. If you don’t
complete this process in 60 days, you must wait for the next Open
1429
Enrollment period (see PG. 535), and you may have to pay a penalty.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Note: These special rules do not apply to you if you are on probation, parole, or home confinement; or if you are
being “detained pre-trial”—in other words, being held in jail or prison but have not yet been convicted of a crime.
Incarcerated People, HEALTHCARE.GOV, https://www.healthcare.gov/incarcerated-people/,
http://www.safeandjust.org/resources/HealthEnrollmentToolkit. Also, please note that at the time of production of
the “Roadmap to Reentry: A California Legal Guide,” the California Centers for Medicare & Medicaid Services
(CMS) was drafting new rules that would allow for applications prior to some “qualifying life events,” including
release from incarceration. But this proposed rule is not currently in effect.
1426
Incarcerated People, HEALTHCARE.GOV, https://www.healthcare.gov/incarcerated-people/.
1427
Exception: You may use health care while incarcerated for the purpose of paying for medical expenses occurred
during an inpatient stay in a non-correctional health facility (such as a hospital), if that stay lasts longer than 24 hours.
For more information, please visit: http://www.dhcs.ca.gov/services/medi-cal/eligibility/Documents/MC Inmate
Eligibility Program.pdf.
1428
Note: You are not considered “incarcerated,” if you are on probation, parole, on home confinement; or if you
are being detained while you await trial.1428 See Incarcerated People, HEALTHCARE.GOV,
https://www.healthcare.gov/incarcerated-people/.
1429
Incarcerated People, HEALTHCARE.GOV, https://www.healthcare.gov/incarcerated-people/.
1425

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MEDI-CAL
Medi-Cal is California’s Medicaid program, offering free or low-cost
1430
health care coverage for low-income California residents.
You can
apply as an individual or as a family. Due to recent changes in the
law, California has expanded the Medi-Cal program. Thus, if you
applied for Medi-Cal prior to January 1, 2014 and were denied, you
1431
may still be eligible under the new rules.

AM I ELIGIBLE FOR MEDI-CAL?
If you live in California, you can qualify for full Medi-Cal coverage in a
few different ways:
First: You may be eligible for Medi-Cal if:
1)

You’re a California resident or you’re lawfully present in the
1432
U.S.,
and
1433
2) You have limited income.
Second: You may be automatically eligible for Medi-Cal if you (1)
meet the income requirements, and (2) fall into one of these
special categories:
•
•
•
•
•
•
•
•

INFO ON INCOME
LIMITS
The limit is defined as
138% of the Federal
Poverty Level (FPL).
The FPL varies based
on family size, and it
changes from year to
year. Because the
income limit changes,
each year, ask your
county welfare agency
for exact numbers
when you’re ready to
apply.
To determine whether
you qualify for Medi-Cal
benefits, based on your
income, visit:
http://www.dhcs.ca.gov
/services/medical/Pages/DoYouQualif
yForMedi-Cal.aspx.

To download and print
Adults age 65 and older
the income limit, visit:
Blind or disabled individuals
https://www.coveredca.
com/PDFs/paper_appli
Children under age 21
cation/CAPregnant women
SingleStreamApp_92M
AX.pdf.
Women diagnosed with breast and/or cervical cancer
Parents or caretakers of disadvantaged children under 21
Residents in skilled nursing or intermediate care homes
Individuals enrolled in certain other public benefits programs, including
CalWORKs, SSI/SSP, Refugee Assistance Program, In-Home Supportive
1434
Services (IHSS), Foster Care or Adoption Assistance Program.

To find out if you’re eligible for full or partial health care coverage through MediCal, contact your county welfare agency. For a statewide directory of county
welfare agencies, see Appendix A, on PG. 586. You may also seek to apply
1435
using a paper application.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

What is Medi-Cal, CAL. DEP’T OF HEALTH SERVS., http://www.dhcs.ca.gov/Services/medi-cal/pages/whatismedical.aspx.
1431
Many thanks to Kellen Russoniello of the ACLU of San Diego and Imperial Counties, California for his feedback
and contributions do this manual.
1432
If you’re a legally present non-citizen (“lawful permanent resident,” “green card holder”) with limited income,
you may qualify for partial or full Medi-Cal coverage—depending on the details of your status and your exact
income. If you’re not lawfully present (i.e. undocumented), you may be able to get Medi-Cal coverage for
emergencies or pregnancies, but not full Medi-Cal coverage. Medi-Cal: The Details, DISABILITY BENEFITS 101,
http://ca.db101.org/ca/programs/health_coverage/medi_cal/program2.htm.
1433
Do You Qualify for Medi-Cal, STATE OF CAL. HEALTH & HUMAN SERVS. DEP’T OF HEALTHCARE SERVS.
http://www.dhcs.ca.gov/services/medi-cal/Pages/DoYouQualifyForMedi-Cal.aspx.
1434
Check Medi-Cal Eligibility, CALQUALITYCARE.ORG, http://www.calqualitycare.org/learn/nursinghomes/pay/medical.
1435
Or, if you have Internet access and a printer, download and print it at How to Apply, COVERED CALIFORNIA,
http://www.coveredca.com/apply/.
1430

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WHAT BENEFITS AND SERVICES CAN I GET THROUGH
MEDI-CAL?
As required by law, Medi-Cal covers a set of “essential health benefits,”
including:
•
•
•
•
•
•
•
•

Hospital care and emergency services;
Medical services;
Prescription drugs;
Mental health and substance abuse treatment (potentially including
treatment that is a condition of probation or parole);
Maternity and pediatric care;
Rehabilitation services;
Preventive care and chronic disease management; and
1436
Some dental care.

HELPFUL HINT
Qualifying for Medi-Cal Because of a Disability:
If you think you qualify for Medi-Cal based on a disability, contact your county
Medi-Cal office before you apply. Also, if you are homebound or living in an
assisted care facility, you can ask to have a Medi-Cal representative visit you and
help complete your application in person. For a statewide directory of county
1437
social services offices, see Appendix A, PG. 586.

HELPFUL HINT
Retroactive Medi-Cal Coverage
When applying for Medi-Cal benefits, you may request retroactive Medi-Cal
coverage for medical services you received during any of the three calendar
months immediately before the month that you applied to Medi-Cal, so long as
the services would have qualified for coverage had you been enrolled in MediCal at the time. If you do apply for retroactive benefits, you must complete a
supplemental request form. You may request retroactive coverage when you
apply for Medi-Cal or within one year of the last month for which retroactive
1438
coverage is sought.

CAN MY CRIMINAL HISTORY LIMIT MY ABILITY TO GET MEDI-CAL
BENEFITS?
No! There are no restrictions on Medi-Cal eligibility based on past convictions or
violations. You are eligible to receive Medi-Cal benefits while on probation or

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Check Medi-Cal Eligibility, CALQUALITYCARE.ORG, http://www.calqualitycare.org/learn/nursinghomes/pay/medical.
1437
Check Medi-Cal Eligibility, CALQUALITYCARE.ORG, http://www.calqualitycare.org/learn/nursinghomes/pay/medical. Online listing available here: http://www.dhcs.ca.gov/services/medical/Pages/CountyOffices.aspx.
1438
CAL. CODE REGS. tit. 22, § 50148(b).
1436

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parole. You have the right to apply for health care using Medi-Cal, and you
should!

HOW DO I APPLY FOR MEDI-CAL?
You can apply for Medi-Cal by submitting a Covered California application
1439
through several methods: online, by phone, in person, by mail, or by fax.
You
can get the paper application at your local county social services office, or online
at https://www.coveredca.com/PDFs/paper_application/CASingleStreamApp_92MAX.pdf. The introductory pages of the application (but
not the full application) can be found here in Appendix D, PG. 592.
•

Online: Go to www.CoveredCA.com. Set up an account with a username and
1440
password. Once you log in, you can apply for Medi-Cal.
Or you may use
BenefitsCal by visiting http://www.benefitscal.org, where you can apply for
several California benefits programs in addition to Medi-Cal all at once. We
suggest contacting your county Medi-Cal office prior to applying online,
because some counties prefer that you apply in person.

• By phone: Call your county social services office to apply by phone. You can

•

•
•

contact Covered California to ask for the number of your county social
services office by calling Covered California at 1-800-300-1506 (TTY: 1-888889-4500), or by visiting its website: http://www.coveredca.com/contact/.
In person: Visit your county social services office. (For a statewide directory,
1441
see Appendix A, PG. 586,.) At the office, you can pick up the application
form, get help filling it out, and submit it.
By mail: Send your completed application form to: Covered California; P.O.
1442
Box 989725; West Sacramento, CA 95798-9725.
By fax: Fax your completed form to: 1-888-329-3700.

IF YOU WANT FREE HELP WITH YOUR APPLICATION:
•

•

•

•
•

Call Covered California at 1-800-300-1506 (TTY: 1-888-889-4500) to speak
with a Certified Enrollment Counselor. The line is open Monday to Friday, 8
1443
AM to 8 PM; and Saturday, 8 AM to 6 PM.
Get in-person help at a local county social services office (for a statewide list
of offices, see Appendix A, PG. 586, or visit
1444
http://www.dhcs.ca.gov/services/medi-cal/Pages/CountyOffices.aspx.
Local community-based organizations and community clinics provide free
assistance. You can identify which organizations help with enrollment by
calling Covered California or using the “Find Local Help” tool on the Covered
California website at http://www.coveredca.com/get-help/local/.
If you use the online application at www.CoveredCA.com, you can get help
1445
through the “online chat” feature.
You can find a listing of Medi-Cal approved certified enrollers at:
http://www.coveredca.com/get-help/local/#null. Certified enrollers are

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

You can get the paper application at your local county social services office, or online at How to Apply, COVERED
CALIFORNIA, http://www.coveredca.com/apply/.
1440
The online application requires moving through about 70 web pages. Covered California has said that applying
online takes about 30 minutes, but the total time will depend on how many household members you’re applying for.
Applying for ObamaCare, AFFORDABLE HEALTH CALIFORNIA, http://affordablehealthca.com/applying-for-coverage/.
1441
A list of county offices is available here: http://www.dhcs.ca.gov/services/medi-cal/Pages/CountyOffices.aspx.
1442
How to Apply, COVERED CALIFORNIA, http://www.coveredca.com/apply/.
1443
Frequently Asked Questions, COVERED CALIFORNIA, https://www.coveredca.com/faqs/about/; How to Apply,
COVERED CALIFORNIA, http://www.coveredca.com/apply/.
1444
Frequently Asked Questions, COVERED CALIFORNIA, https://www.coveredca.com/faqs/about/; How to Apply,
COVERED CALIFORNIA, http://www.coveredca.com/apply/.
1445
Applying for ObamaCare, AFFORDABLE HEALTH CALIFORNIA, http://affordablehealthca.com/applying-for-coverage/
1439

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community-based organizations that have Covered California and Medi-Cal
1446
approval to help applicants apply for health care.

CAN I APPLY FOR MEDI-CAL WHILE INCARCERATED?
1447

Yes!
If you were on Medi-Cal before you were incarcerated, there’s a good
chance you’re eligible to reapply as your release date approaches. If you were
also on SSI disability benefits before your incarceration, you may need to
contact the Social Security Administration to restart your SSI checks before
Medi-Cal accepts you (see PG. 570 for details on what happens to your SSI while
incarcerated).
For people in state prisons: If you’re approaching your release date and likely to
qualify for Medi-cal, pre-release staff at your correctional facility should offer to
1448
help you apply about two months before your release.
If you agree to
authorize correctional staff as your “Authorized Representative” using form MC
306 (see sample form in Appendix E, PG. 595), that staff person must ensure
that your application is complete 60-90 days before your release, and send it to
the Medi-Cal office in the county where you’ll be living Ideally, the office will
establish your eligibility before your release and send you a Benefits
Identification Card so that you can access health care when you get out. In some
cases, there may be a delay if the Medi-Cal office needs more information from
1449
you.
Speak to the prison’s pre-release staff to find out about Medi-Cal
enrollment pre-release.
For people in county jails: The kind of help you can get with applying for MediCal will depend on what county you’re in. Most jails in California now provide
some form of information and help with Medi-Cal enrollment for people nearing
release. And in some jails you can even get help connecting with community
1450
health services covered by Medi-Cal.
Speak to the jail’s pre-release staff to
find out about Medi-Cal enrollment pre-release.

I HAD MEDI-CAL WHEN I ENTERED PRISON OR JAIL. WHAT
HAPPENS TO IT WHILE I’M INCARCERATED?
It depends on how long your incarceration lasts. In California, as soon as you go
to prison or jail, your Medi-Cal gets suspended, meaning paused.
•

If you’re incarcerated for less than 1 year: you can reactivate your enrollment
by working with staff at your correctional facility before you get out, or by
notifying the Medi-Cal office as soon as you’re out.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

For more information, please visit: http://www.coveredca.com/get-help/local/—null.
ACWDL 13-18: Medi-Cal & Related Programs for State & County Inmates, CAL. HEALTH & HUMAN SERVS. AGENCY
DEP’T OF HEALTH CARE SERVS., http://www.dhcs.ca.gov/services/medi-cal/eligibility/Documents/13-18.pdf; ACWDL 1424: State Inmate Pre-Release Medi-Cal Application Process, http://www.dhcs.ca.gov/services/medical/eligibility/Documents/ACWDL2014/14-24.pdf; ACWDL 14-26: Implementation of AB 720—Suspension of MediCal Benefits for all Inmates & Other Requirements, STATE OF CAL. HEALTH & HUMAN SERVS. DEP’T OF HEALTHCARE SERVS.,
http://www.dhcs.ca.gov/services/medi-cal/eligibility/Documents/ACWDL2014/14-26.pdf.
1448
Medi-Cal Eligibility, STATE OF CAL. HEALTH & HUMAN SERVS. DEP’T OF HEALTHCARE SERVS.,
http://www.dhcs.ca.gov/services/medi-cal/eligibility/Documents/c09-16.pdf.
1449
State Inmate Pre-Release Medi-Cal Application Process, STATE OF CAL. HEALTH & HUMAN SERVS. DEP’T OF
HEALTHCARE SERS., http://www.dhcs.ca.gov/services/medi-cal/eligibility/Documents/ACWDL2014/14-24.pdf.
1450
Health Coverage Enrollment of California’s Local Criminal Justice Population, SAFEANDJUST.ORG,
http://libcloud.s3.amazonaws.com/211/ac/6/484/CountyEnrollmentSurvey_singles.pdf, Medi-Cal Enrollment of
County Jail and Probation Populations, Dep’t of Health Care Servs., Sept. 10, 2014,
http://www.counties.org/sites/main/files/file-attachments/0910_medical_enrollment_webinar_slides_0.pdf.
1446
1447

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•

If you’re incarcerated for 1 year or more: your Medi-Cal gets ended, and you
1451
need to file a new application. See the next question for more details.

HELPFUL HINT
The Medi-Cal Inmate Eligibility Program (MCIEP)
If you are pregnant, disabled, blind, or aged, MCIEP allows Medi-Cal to cover
expenses for inpatient (over 24 hours) medical care in non-correctional
healthcare facilities (such as hospitals) to individuals who are otherwise eligible
for Medi-Cal. Individuals can obtain MCIEP benefits as long as they are remain
1452
eligible for Medi-Cal due to pregnancy, disability, blindness, or old age.
If you
were receiving MCIEP benefits while incarcerated, upon your release from jail or
prison, you will be able to switch back to receiving regular Medi-Cal.

MY MEDI-CAL STOPPED WHILE I WAS INCARCERATED. HOW DO I
RESTART IT?
It depends on when you first became incarcerated, and when your release date
is/was. California law on this has recently changed, and different rules started to
1453
apply on January 1, 2014.
The old rule. If you were incarcerated before January 1, 2014: If you were on
Medi-Cal prior to your incarceration, then your Medi-Cal was ended on the day
that you entered jail or prison. This means if you wanted to get Medi-Cal again,
you had to reapply, get approved, and wait until your release before you could
receive health care coverage through Medi-Cal.
The new rule. If you were incarcerated anytime after January 1, 2014: If you were
on Medi-Cal prior to your incarceration, then your Medi-Cal got automatically
suspended (paused) on the day that you entered jail or prison. The suspension
period is set to last 1 year. This means that:
•

•

If you’re released before 1 year passes, AND you continue to meet all other
eligibility requirements, your Medi-Cal should automatically restart on the day
1454
of your release (and you don’t need to reapply).
If you’re still incarcerated after 1 year passes, then your Medi-Cal coverage
will end—and if you want to get Medi-Cal again, you’ll need to reapply to
1455
restart your coverage after your release.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

AB 720; ACWDL 13-18: Medi-Cal & Related Programs for State & County Inmates,
http://www.dhcs.ca.gov/services/medi-cal/eligibility/Documents/13-18.pdf; ACWDL 14-26: Implementation of AB
720—Suspension of Medi-Cal Benefits for all Inmates & Other Requirements, STATE OF CAL. HEALTH & HUMAN SERVS.
DEP’T OF HEALTHCARE SERVS., http://www.dhcs.ca.gov/services/medi-cal/eligibility/Documents/ACWDL2014/1426.pdf; Public Policy Institute of California, Health Care for California’s Jail Population (June 2014),
http://www.ppic.org/content/pubs/report/R_614MBR.pdf.
1452
See All Counties Letter 11-27, dated June 24, 2011, STATE OF CAL. HEALTH & HUMAN SERVS.,
http://www.dhcs.ca.gov/services/medi-cal/eligibility/Documents/c11-27.pdf.
1453
AB 720, Statutes of 2013, Chapter 646; Penal Code § 4011.11; CAL. WELF. & INST. CODE § 14011.10; see also
ACWDL 13-18: Medi-Cal and Related Programs for State & County Inmates, CAL. HEALTH & HUMAN SERVS. AGENCY
DEP’T OF HEALTH CARE SERVS., http://www.dhcs.ca.gov/services/medi-cal/eligibility/Documents/13-18.pdf; ACWDL 1424: State Inmate Pre-Release Medi-Cal Application Process, http://www.dhcs.ca.gov/services/medical/eligibility/Documents/ACWDL2014/14-24.pdf; ACWDL 14-26: Implementation of AB 720—Suspension of MediCal Benefits for all Inmates & Other Requirements, CAL. HEALTH & HUMAN SERVS. AGENCY DEP’T OF HEALTH CARE SERVS.
http://www.dhcs.ca.gov/services/medi-cal/eligibility/Documents/ACWDL2014/14-26.pdf.
1454
But if you become ineligible for some reason before 1 year passes (for example: your income increases beyond
the limit allowed for Medi-Cal), your Medi-Cal may be terminated (ended) while you’re incarcerated.
1455
AB 720, Statutes of 2013, Chapter 646; CAL. PENAL CODE § 4011.11; CAL. WELF. & INST. CODE § 14011.10; see also:
ACWDL 13-18: Medi-Cal & Related Programs for State & County Inmates, CAL. HEALTH & HUMAN SERVS. AGENCY DEP’T
OF HEALTH CARE SERVS., http://www.dhcs.ca.gov/services/medi-cal/eligibility/Documents/13-18.pdf; ACWDL 14-24:
1451

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If you qualified for Medi-Cal through SSI, you may need to restart your SSI
1456
benefits (see PG. 570) before you can get your Medi-Cal coverage back.

I BELIEVE MY MEDI-CAL WAS WRONGLY DENIED OR STOPPED.
HOW DO I APPEAL?
If and when the Medi-Cal office decides to suspend or end your Medi-Cal
1457
coverage, it must send you a “Notice of Action” explaining this decision.
If
you disagree with the decision and want to appeal (challenge) it, read the back
of the Notice for instructions about how to request a hearing.
In general, you’ll need to contact the California Department of Social Services
(CDSS) State Hearings Division:
•
•
•
•

By phone: 1-855-795-0634
By fax: 1-916-651-2789
By email: shdacabureau@dss.ca.gov
By mail: P.O. Box 944243, Mail Station 9-17-37; Sacramento, California
94244-2430.

Or you may try calling Health Consumer Alliance (HCA), a non-profit
organization dedicated to providing information about and helping Californians
to get health care. For a list of local HCA call centers, please visit
http://healthconsumer.org/index.php?id=partners.

MEDICARE
Medicare is a federal health care program for people who are elderly and people
who have disabilities. Medicare benefits are grouped into four parts: Part A
covers hospital care; Part B covers outpatient services; Part C covers services
offered by private insurance plans; and Part D covers prescription drugs.
There are two main ways to get your Medicare coverage: (1) Original Medicare
(Part A and Part B) OR (2) a Part C Medicare Advantage Plan. Some people get
additional coverage, such as optional prescription drug coverage through Part D.

CAN MY CRIMINAL HISTORY LIMIT MY ABILITY TO GET
MEDICARE?
No! There are no eligibility restrictions based on past convictions or violations.

AM I ELIGIBLE FOR MEDICARE?
When you apply for Medicare, you have to consider whether you will eligible to
enroll in each part Parts A and B (and possibly D) or Part C (and possibly D). This

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
State Inmate Pre-Release Medi-Cal Application Process, CAL. HEALTH & HUMAN SERVS. AGENCY DEP’T OF HEALTH CARE
SERVS., http://www.dhcs.ca.gov/services/medi-cal/eligibility/Documents/ACWDL2014/14-24.pdf; ACWDL 14-26:
Implementation of AB 720—Suspension of Medi-Cal Benefits for all Inmates & Other Requirements, CAL. HEALTH &
HUMAN SERVS. AGENCY DEP’T OF HEALTH CARE SERVS.
http://www.dhcs.ca.gov/services/medi-cal/eligibility/Documents/ACWDL2014/14-26.pdf.
1456
A Manual on SSI/SSDI for Prisoners & Their Advocates (2004), LEGAL SERVS. FOR PRISONERS WITH CHILDREN,
www.prisonlegalnews.org/media/publications/manual_on_social_security_beneits_for_prisoners.pdf;
1457
CAL. WELF. & INST. CODE §§ 14011.10, 14005.37, 14053.7, 14053.8; CAL. CODE REGS. title 22, § 50179.

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!

is because each Part has difference requirements and rules, and your
1458
incarceration affects each Part differently.
If you’re a citizen of the U.S., or you’ve been a legal resident for 5+
years, you may qualify for Medicare if:
•
•
•

APPLY TO
MEDICARE
BEFORE YOU
TURN 65!

You’re age 65 or older, and you or your spouse has worked and
paid into Medicare for 10+ years; or
You have a disability that qualifies you for Social Security
Disability benefits (no matter how old you are); or
You have permanent kidney failure requiring dialysis or a kidney
1459
transplant.

You can start
getting Medicare
when you turn 65.
However, you can
enroll up to 3
months before you
turn 65. To confirm
whether you qualify
and to learn which
Parts/Plans are right
for you, call the SSA
at 1-800-772-1213.

WHAT BENEFITS AND SERVICES CAN I GET THROUGH
MEDICARE?
Medicare covers services and supplies that are medically necessary to
1460
treat a disease or condition.

1461

ORIGINAL MEDICARE (Part A and Part B): Part A covers hospital insurance,
1462
and Part B covers medical insurance.
•

•

Part A Hospital Insurance covers:
o Hospital care;
o Nursing care;
o Nursing home care;
o Hospice; and
1463
o Home health services.
Part B Medical Insurance covers:
o Medically necessary services (services that are needed to diagnose or
treat a medical condition); and
1464
o Preventative services (heath care to detect or prevent illness).
You have your choice of doctors, hospitals, and other providers that
accept Medicare. You pay a monthly premium for Part B, and you may
pay no or very low premiums for Part A (depending on your employment
1465
history).
Note: Part B is optional. When you enroll in Part A, you can
choose whether to get Part B. If you’re on Social Security benefits, Part
B premiums will get deducted from your Social Security checks;
1466
otherwise, you’ll get billed for Part B premiums.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Medicare, JUDGE DAVID L. BAZELON CENTER FOR MENTAL HEALTH LAW, http://www.bazelon.org/Where-WeStand/Access-to-Services/Medicare.aspx.
1459
Medicare, LEGAL SERVICES OF NORTHERN CALIFORNIA, http://health.lsnc.net/medicare/.
1460
Some services may only be covered in certain places, or for patients with certain conditions. What Medicare
Covers, MEDICARE.GOV, http://www.medicare.gov/what-medicare-covers/.
1461
This includes hospital care, skilled nursing facility care, nursing home care, hospice care, and home health
services. What Part A Covers, MEDICARE.GOV, http://www.medicare.gov/what-medicare-covers/part-a/what-part-acovers.html, Medicare Part A, CAL. HEALTH ADVOCATES http://www.cahealthadvocates.org/basics/partA.html
1462
Part B covers 2 types of services: medically necessary services that are needed to diagnose or treat a medical
condition, and preventive services that help detect and prevent illnesses. This includes doctors’ visits, lab tests,
ambulance services, mental health care, and certain medical supplies. Medicare Part B
http://www.medicare.gov/what-medicare-covers/part-b/what-medicare-part-b-covers.html,
http://www.cahealthadvocates.org/basics/partB.html.
1463
Medicare Part A, MEDICARE.GOV, http://www.medicare.gov/what-medicare-covers/part-a/what-part-a-covers.html
1464
Medicare Part B, MEDICARE.GOV ,http://www.medicare.gov/what-medicare-covers/part-b/what-medicare-part-bcovers.html.
1465
Part A costs vary based on how many years you (or your spouse) have paid into the Social Security system. If you
have 10+ years of Social Security credit, you can get Part A without paying premiums.
http://www.medicare.gov/sign-up-change-plans/decide-how-to-get-medicare/your-medicare-coveragechoices.html#collapse-3135.; Benefits Summary, CAL. HEALTH ADVOCATES,
http://www.cahealthadvocates.org/basics/benefits-summary.html
1466
Medicare Part B, CAL. HEALTH ADVOCATES, http://www.cahealthadvocates.org/basics/partB.html.
1458

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MEDICARE ADVANTAGE PLAN (Part C): Part C plans include hospital and
medical insurance (Parts A and B). Private insurance companies, approved by
Medicare, provide this coverage. You choose a Part C plan, and then you must
use doctors, hospitals or other providers listed in that plan (or else pay higher
costs). You pay an extra premium for getting Part C, in addition to whatever it
1467
would cost you to be enrolled in Parts A and B (through Original Medicare).
MEDICARE PRESCRIPTION DRUG PLAN (Part D): Part D provides prescription
drug insurance for anyone enrolled in Medicare. You choose a Part D plan, and it
works as an addition to your Original Medicare (Parts A and B)—or your
Medicare Advantage Plan (Part C). PLEASE NOTE: Part D is optional. When you
enroll in Medicare, you can choose whether to get Part D. If you have low
1468
income, you can get extra help paying for Part D.
Below are more details about eligibility for specific types of Medicare coverage.

1469

Medicare Part (description):

You’re eligible to enroll if:

Medicare Part A (hospital insurance):
covers inpatient hospital stays, care
in a skilled nursing facility, hospice
care, and some home health care.

•
You’re at least 64 years and 9 months old*; or
•
You have a qualifying disability; or
•
You have permanent kidney failure.
Note: If you’re already getting Social Security
benefits (see PG. 555), then when you turn 65
you’ll automatically get enrolled in Medicare
Part A.
•
You’re at least 64 years and 9 months old*; or
•
You have a qualifying disability; or
•
You have permanent kidney failure.
Note: Part B is optional. When you first enroll in
Part A, you can choose whether to enroll in Part B.
•
You’re enrolled in both Part A and Part B; and
•
You don’t have permanent kidney failure.

Medicare Part B (medical insurance):
covers certain doctors’ services,
outpatient care, medical supplies,
and preventive services
Medicare Part C (Medicare
Advantage plans): are health plan
offered by private companies that
contract with Medicare to provide
Part A and B benefits to you
Medicare Part D (prescription drug
plan): adds prescription drug
coverage to Part A, Part B, and some
Part C plans. Part D plans are offered
by private companies approved by
Medicare.

You’re enrolled in Medicare.
You’re not enrolled in a Part C plan that
already includes prescription drug coverage.
Note: Part D is optional. When you first enroll in
Medicare, you can choose whether to enroll in
Part D.
•
•

HOW DO I APPLY FOR MEDICARE?
If you’re currently incarcerated: Read the next question (PG. 547) to learn how
to apply.
If you are not incarcerated and have never been enrolled in Medicare: Read on
for details related to your situation:
•

If you’re approaching age 65:
o And already getting Social Security benefits: you’ll automatically get Parts
A and B when you turn 65. About 3 months before you turn 65, you’ll get

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

The details of MA plans available to you through Part C depend on where you live. Some cover prescription
drugs; some don’t. http://www.cahealthadvocates.org/advantage/overview.html.
1468
Extra Help with Part D Costs for People with Low Income, CAL. HEALTH ADVOCATES,
http://www.cahealthadvocates.org/drugs/extra-help.html.
1469
Medicare Eligibility: Who is Eligible for Medicare? KAISER PERMANENTE,
https://medicare.kaiserpermanente.org/wps/portal/medicare/plans/learn/eligibility
1467

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•

your Medicare card by mail. If you want Part D as well, you must sign up
1470
for that separately by calling 1-800-MEDICARE.
o And NOT getting Social Security benefits (see PG. 555): you should apply
for Medicare by contacting the Social Security Administration at 1-8001471
772-1213 (TTY 1-800-325-0778).
If you’re under 65 and have a disability:
o And you’re already getting disability benefits from Social Security; you’ll
1472
automatically get Parts A and B after 24 months of disability benefits.
th
In the 25 month, you’ll get your Medicare card by mail. If you want Part
1473
D as well you must sign up separately by calling 1-800-MEDICARE.
o And you’re not getting disability benefits from Social Security, you should
apply for SSDI (see PG. 563 for details).

!

CAN I APPLY FOR MEDICARE WHILE INCARCERATED?
Yes! If you turn 65 and become eligible for Medicare while incarcerated, you
should contact the Social Security Administration (SSA) to enroll in Parts A
and B. Unlike people who are not in custody, you will NOT be automatically
enrolled—so you need to take action. Although Medicare won’t start paying for
your health care until you’re released, it’s important to get enrolled as soon as
you can. This way, you avoid getting charged penalties for late enrollment, and
you also ensure that your Medicare is ready as soon as you’re out.
•

•

When: Contact the SSA to get enrolled during the 7-month period
th
surrounding your 65 birthday—the month of your birthday, plus 3 months
before, and 3 months following. This is called your Initial Enrollment Period
(“IEP”). Supposing that you turn 65 on April 10, 2015, your Initial Enrollment
Period would run from January 1, 2015 through July 31, 2015. If you don’t
enroll during your Initial Enrollment Period, you may not have access to
health care for months after you’re released; and you may get charged
penalties if you try to enroll in Medicare later.
How: Send a signed and dated letter to the Social Security Administration.
The letter should include your full name, Social Security Number, a clear
statement that you want to enroll in Medicare Parts A and B, and the date
that your coverage should be effective. Make sure you sign the letter. Keep a
copy of your letter and a copy of the envelope—and, if possible, send the
1474
letter by certified mail with return receipt.

I HAD MEDICARE WHEN I ENTERED PRISON OR JAIL. WHAT
HAPPENS TO IT WHILE I’M INCARCERATED?
All your Medicare benefits get suspended (paused) while you’re incarcerated.
The rules for staying enrolled and restarting your benefits upon release are
1475
different for each Part of Medicare.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

You can also enroll online using the Medicare Plan Finder: https://www.medicare.gov/find-aplan/questions/home.aspx.
1471
You can also enroll online using the official Social Security website:
http://www.socialsecurity.gov/medicare/apply.html.
1472
If you have permanent kidney failure, you can get Medicare earlier during your first 3 months of dialysis
treatment; and other special rules apply to you. If you have Amyotrophic Lateral Sclerosis (“ALS,” or Lou Gehrig’s
disease), you’ll be automatically enrolled in Medicare when you start getting SSDI. Contact the SOC. SEC. ADMIN. at
1-800-722-1213 or visit www.ssa.gov for details about these special kinds of cases.
1473
You can also enroll online using the Medicare Plan Finder: https://www.medicare.gov/find-aplan/questions/home.aspx.
1474
If You Become Eligible for Medicare While Incarcerated,MEDICAREINTERACTIVE.ORG,
http://www.medicareinteractive.org/page2.php?topic=counselor&page=script&script_id=1783.
1475
If You Already Have Medicare When You are Incarcerated, MEDICAREINTERACTIVE.ORG,
http://www.medicareinteractive.org/page2.php?topic=counselor&page=script&script_id=1782.
1470

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!

> Your Part A (hospital insurance) enrollment stays in place. Although
you won’t get Part A benefits while incarcerated, you don’t have to do
anything to stay enrolled. When you’re released, your access to Part A
1476
benefits should be automatically restored.
> Your Part B (medical insurance) is more complicated, since you can
1477
only stay enrolled by paying premiums.
•
•

If you keep paying premiums, you’ll stay enrolled, although you
won’t get Medicare benefits while incarcerated.
If you stop paying premiums, your coverage will be ended; and for
every 12 months that pass before you re-enroll, your premium
1478
amount will be higher by 10%.
Also, you can re-enroll in Part B
only during the General Enrollment Period (“GEP”), which runs
January through March, and coverage starts July 1 of the year that
you enroll. Depending on your release date, this may cause a gap
1479
in your medical coverage.

These rules create a dilemma if you’re someone who can’t afford to
keep paying Part B premiums while incarcerated, and won’t be able to
afford higher premiums upon release. If you were on Medicare and
SSDI before incarceration, you may be able to address this dilemma by
applying for SSDI while incarcerated (see PG. 573).

MUST ENROLL
FOR PART B
PREMIMUMS
AFTER
INCARCERATION!
If you’ve been getting
Social Security or
SSDI, these benefits
have been paying for
your Part B
premiums. Once
you’ve been
incarcerated for 30
days, these benefits
get suspended; so
you must call 1-800MEDICARE within
that 30-day window
and set up direct
payment if you want
to keep Part B.

> Your Part C (Medicare Advantage plan) and Part D (prescription drug plan) will
end when you’re incarcerated. You’re no longer eligible to be enrolled in these
plans while the prison or jail is providing your health care. If you want Part C
1480
and/or Part D after release, you’ll have to re-enroll (for details, see PG. 548).

MY MEDICARE STOPPED WHILE I WAS INCARCERATED. HOW DO I
RESTART IT?
If you had Part A (hospital insurance) before you were incarcerated, you don’t
have to do anything to restart it. Your enrollment should still be in place, and you
1481
should have access to Part A coverage as soon as you’re released.
If you had Part B (medical insurance) before you were incarcerated, your next
steps depend on your situation:
•

If you kept paying premiums and stayed enrolled in Part B while incarcerated:
you don’t have to do anything to restart it. Your enrollment is in place, and
1482
you should have access to Part B coverage once you’re released.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

If You Become Eligible for Medicare While Incarcerated, MEDICAREINTERACTIVE.ORG,
http://www.medicareinteractive.org/page2.php?topic=counselor&page=script&script_id=1783.
1477
If You Already Have Medicare When You are Incarcerated, MEDICAREINTERACTIVE.ORG,
http://www.medicareinteractive.org/page2.php?topic=counselor&page=script&script_id=1782.
1478
Medicare Part B Late Enrollment Penalty, MEDICAREINTERACTIVE.ORG,
http://www.medicareinteractive.org/page2.php?topic=counselor&page=script&script_id=316,
http://www.bazelon.org/LinkClick.aspx?fileticket=1OxXzw1kOBc%3d&tabid=353.
1479
If You Become Eligible for Medicare While Incarcerated,
MEDICAREINTERACTIVE.ORG,
http://www.medicareinteractive.org/page2.php?topic=counselor&page=script&script_id=1783,
http://www.bazelon.org/LinkClick.aspx?fileticket=1OxXzw1kOBc%3d&tabid=353.
1480
http://www.medicareinteractive.org/page2.php?topic=counselor&page=script&script_id=1784.
1481
If You Become Eligible for Medicare While Incarcerated, MEDICAREINTERACTIVE.ORG,
http://www.medicareinteractive.org/page2.php?topic=counselor&page=script&script_id=1783
http://www.bazelon.org/LinkClick.aspx?fileticket=1OxXzw1kOBc%3d&tabid=353
1482
If You Already Have Medicare When You are Incarcerated, MEDICAREINTERACTIVE.ORG,
http://www.medicareinteractive.org/page2.php?topic=counselor&page=script&script_id=1782http://www.medicare
interactive.org/page2.php?topic=counselor&page=script&script_id=1782
1476

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!
•

•

!

If you stopped paying premiums and your Medicare enrollment was ended
while incarcerated: you can re-enroll during General Enrollment Period
(“GEP”), which runs January to March.
o Your Part B coverage will start on July 1 of that year.
o You’ll have a higher premium based on how many months passed since
your Medicare enrollment ended.
o If you’re under 65 and previously qualified for Medicare due to a
disability, you must restart your SSDI before you can get Part B again.
Once you know your release date, contact Social Security to do this (see
1483
PG. 557).
If you had Part C (Medicare Advantage) and Part D (prescription drug plan)
before you were incarcerated, these forms of coverage ended during your
incarceration. If you want Part C and/or D after release, you must enroll again
during your Special Enrollment Period (“SEP”). Your SEP starts the month
before your release date and ends two months after that date. If you miss
1484
your SEP, you’ll be charged a penalty when you try to enroll later.

IMPORTANT: If you qualified for Medicare through SSDI, you need to restart

your SSDI benefits before you can get Medicare coverage back. Even if you
contact Social Security before your release, you won’t start getting SSDI again
until a month after release. One possible! way to avoid a gap in health care
coverage is to apply for SSI before your release, if you qualify. If your SSI
application is approved, you’ll be automatically enrolled in both SSI and MediCal as soon as you’re released. You’ll only be on SSI for 1 month until your SSDI
1485
kicks in, and then your Medi-Cal will be linked to your SSDI again.

I BELIEVE MY MEDICARE WAS WRONGLY DENIED OR STOPPED.
HOW DO I APPEAL?
The steps you take will depend on what Medicare coverage you have, what
decision you want to challenge, and what your situation is.
1486

What can you do? Call 1-800-MEDICARE to learn what to do in your situation.
If you need help filing an appeal, contact the California Department of Aging's
Health Insurance Counseling and Advocacy Program (HICAP) at
1487
1-800-434-0222.

You can also appoint a representative to act on your behalf; this can be a family
member, friend, advocate, attorney, doctor, or anyone else you choose. You can
1488
appoint a representative in 2 ways:
•
•

Fill out and submit an “Appointment of Representative” form (see
1489
PG. 595).
Along with your appeal, submit a written request that includes:
o Your name, address, phone number, and Medicare number;

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

If You Already Have Medicare When You are Incarcerated, MEDICAREINTERACTIVE.ORG,
http://www.medicareinteractive.org/page2.php?topic=counselor&page=script&script_id=1782http://www.medicare
interactive.org/page2.php?topic=counselor&page=script&script_id=1782
1484
If you have a Medicare Advantage plan or a Part D plan before your incarceration, MEDICARE.GOV,
http://www.medicareinteractive.org/page2.php?topic=counselor&page=script&script_id=1784
1485
A Manual on SSI/SSDI for Prisoners & Their Advocates (2004), LEGAL SERVICES FOR PRISONERS WITH CHILDREN,
www.prisonlegalnews.org/media/publications/manual_on_social_security_beneits_for_prisoners.pdf; Your Right to
Representation to the Community (2009) ,BAZELON CENTER,
1486
How Do I File An Appeal? MEDICARE.GOV, http://www.medicare.gov/claims-and-appeals/file-anappeal/appeals.html
1487
https://www.aging.ca.gov/hicap/
1488
http://www.medicare.gov/claims-and-appeals/file-an-appeal/appointing-a-representative/get-help-filing-anappeal.html
1489
Available online: http://www.cms.gov/Medicare/CMS-Forms/CMS-Forms/downloads/cms1696.pdf
1483

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!
o Your representative’s name, address, phone number, professional status,
and relationship to you;
o A statement that clearly (1) appoints your representative, (2) authorizes
release of your personal and health information to your representative,
and (3) explains why you’re being represented; and
o Your signature and the date you signed; your representative’s signature
1490
and the date they signed.

HELPFUL HINT
If you are eligible for both, Medicare and Medi-Cal (“Dual Eligibility”)
Those Eligible for Both Medicare and Medi-Cal: People who qualify for both
1491
Medicare and Medi-Cal are known as “dual eligibles” or “Medi-Medis.” People
typically become “dual eligible” by first being enrolled in one program and later
becoming eligible for the other program. For example, someone may already
meet Medi-Cal’s income requirements, and then age into Medicare when he or
she turns 65. Dual eligibles do not necessarily receive the same benefits from
1492
Medicare and Medi-Cal.
The majority of dual eligibles receive full Medi-Cal
1493
benefits and assistance with Medicare premiums and cost-sharing.
For counseling on dual eligibility, go to Health Consumer Alliance’s (HCA)
website and view their list of local HCA call centers at
http://healthconsumer.org/index.php?id=partners, or visit Cal MediConnect’s
website at www.calduals.org.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Can Someone File an Appeal for Me? MEDICARE.GOV, http://www.medicare.gov/claims-and-appeals/file-anappeal/appointing-a-representative/get-help-filing-an-appeal.html
1491
Check Medi-Cal Eligibility, CALQUALITY.ORG, http://www.calqualitycare.org/learn/nursing-homes/pay/medical
1492
Dual Eligibles Fast Facts, CALDUALS, http://www.calduals.org/background/fast_facts/
1493
Fore more information about dual eligibility, please visit:
https://kaiserfamilyfoundation.files.wordpress.com/2013/01/4091-08.pdf
1490

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V.

!

WORK SERVICES
BENEFITS
WHAT WILL I LEARN?

•
•
•
•

An overview of work services offered through public benefits
programs
What benefits you get work services programs
How your criminal history could affect your ability to participate
in work services offered through public benefits programs
How to enroll in work services programs through public
benefits if you are eligible

!

CALFRESH EMPLOYMENT & TRAINING (E&T)
PROGRAM
This program offers employment and job training support for people who are
1494
getting CalFresh benefits and are NOT getting CalWORKs cash aid.
Currently,
only 21 counties have an E&T and, in all counties that have an E&T program,
1495
participation is voluntary.

AM I ELIGIBLE FOR CALFRESH E&T?
It depends. This program is available in some California counties but not others,
and it operates differently in each county. These programs are usually only
offered to recipients of General Assistance/General Relief (GA/GR). If your
county has an E&T program, you may be able to participate if:
•
•

You are currently getting food stamps through CalFresh; and
You are not currently getting cash aid through CalWORKs.

In some counties, you may be able to enroll in this program even if you aren’t
getting GA/GR. Contact your local county welfare office to find out if it has an
E&T program, what services it offers through this program, and if you qualify. For
a statewide list of county welfare agencies, see Appendix A, on PG. 586.

CAN MY CRIMINAL HISTORY LIMIT MY ABILITY TO GET
CALFRESH E&T?
Maybe. As explained in the section on CalFresh food stamps, you may be
disqualified from CalFresh depending on the details of your history and when
you apply. For details, see PG. 522.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

For federal law governing this program, see Food and Nutrition Act of 2008, § 6(d); C.F.R. § 273.7. For state
regulations governing this program, see the Manual of Policies and Procedures (MPP), CAL. DEP’T OF SOC. SERVS.,
http://www.cdss.ca.gov/cdssweb/PG128.htm
1495
http://www.leginfo.ca.gov/pub/11-12/bill/sen/sb_0001-0050/sb_43_bill_20111006_chaptered.html
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WHAT BENEFITS AND SERVICES CAN I GET THROUGH
CALFRESH E&T?
It depends. E&T programs work differently in each county, so it’s best to contact
your county welfare office for all the details. Services may include:
•
•
•
•
•
•
•

Workfare
Job search activities
Job club activities (i.e., job readiness training and counseling)
Educational programs (such as adult basic education, basic literacy, ESL, and
GED preparation)
Referrals to vocational training
Case management and supportive services to ensure job retention
1496
Mental health and/or addiction recovery counseling.

HOW DO I ENROLL IN CALFRESH E&T?
CalFresh E&T operates differently in each county. Call your local county welfare
office to find out if your county has a CalFresh E&T program, and if so, how
enrollment works. For a list of county welfare agencies, see Appendix A, on
PG. 586.

CALWORKS WELFARE-TO-WORK
CalWORKs Welfare-To-Work (WTW) is a mandatory CalWORKs program
1497
designed to help adults find or get ready for employment.
All 58 counties in
California have Welfare-To-Work programs, and is operated locally by each
1498
county welfare department or its contractors.
If you receive CalWORKs, you
must participate in Welfare-To-Work, unless you have an exemption.

ONCE I’M ENROLLED IN CALWORKS WELFARE-TO-WORK, WHAT
RULES MUST I FOLLOW TO STAY ELIGIBLE?
Unless you have an exemption, all adult CalWORKs recipients are required to
participate in Welfare-To-Work (see the Helpful Hint Box on PG. 553 below for
more information about exemptions). You have 24 months to complete your
1499
Welfare-To-Work requirements.
The CalWORKs Welfare-to-Work requirements include the following:
•
•

You must complete the Welfare-To-Work program within 24 months (unless
you have an exemption).
After receiving aid for up to a maximum of 24 months, you must work in
1500
unsubsidized employment
or participate in community services activities
1501
for the minimum number of hours listed below :

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

LOS ANGELES DEP’T OF SOC.
SERVS.,http://www.ladpss.org/dpss/WAC/pdf/factsheets/CalFresh%20Fact%20Sheet.pdf.
1497
Welfare-To-Work, CAL. DEP’T OF SOC. SERVS., http://www.cdss.ca.gov/cdssweb/PG141.htm,
http://www.hud.gov/offices/pih/programs/hcv/wtw/ta/sfCalWORKSFactSheet.pdf
1498
Welfare-To-Work, CAL. DEP’T OF SOC. SERVS., http://www.cdss.ca.gov/cdssweb/PG141.htm
1499
See ACL 12-67 available at http://www.dss.cahwnet.gov/lettersnotices/entres/getinfo/acl/2012/12-67.pdf.
1500
Unsubsidized employers do not receive government subsidies (funding) to create an employment position.
1496

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!
o Adults in one-parent families with a child under the age of six must spend
1502
at least 20 hours per week in Welfare-To-Work activities.
o Adults in one-parent families with a child over the age of six must spend at
1503
least 30 hours per week in Welfare-To-Work activities.
o The minimum participation requirement for two-parent families is 35 hours
1504
per week.

HELPFUL HINT
Exemptions from CalWORKs Welfare-to-Work Requirement

All adults who apply get CalWORKs must participate in the Welfare-to-Work (WTW)
program, unless they have an exemption from the WTW requirement. Adults are exempt
from WTW if you are:
•
Age 60 or older;
•
Disabled;
•
Caring for an ill or incapacitated member of your household;
•
The parent of a child age 0-23 months;
•
Having a pregnancy that impairs your ability to be regularly employed;
•
A fulltime member in VISTA (Volunteers in Service to America); OR
•
A past or present victim of domestic abuse (or have a family member that is a past or
present victim of domestic abuse) and the county determines that your condition or
situation prevents or impairs your ability to be employed.
If you believe that any of these exemptions apply to you, contact your CalWORKs worker.
You may request an exemption verbally or in writing using the “CalWORKs Exemption
Request Form” (Form CW 2186 A). To view a copy of the form, visit:
http://www.cdss.ca.gov/cdssweb/entres/forms/English/CW2186A.pdf.

CAN MY CRIMINAL HISTORY LIMIT MY ABILITY TO PARTICIPATE
IN CALWORKS WELFARE-TO-WORK?
Maybe. As explained in the section on CalWORKs, you may be disqualified
depending on your conviction history and when you applied (see PG. 514).

WHAT BENEFITS AND SERVICES CAN I GET THROUGH
CALWORKS WELFARE-TO-WORK?
You can get help with childcare, transportation, and work- or training-related
expenses. Even when you’re no longer eligible for CalWORKs cash aid, you may
1505
continue to receive help with child care expenses.
All WTW participants will:
•
•

1506

Attend a group orientation that explains the cash benefit and WTW rules.
Meet with a county welfare worker who will look at your work history and
1507
skills, and connect you to other services you may need in order to work.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
http://leginfo.legislature.ca.gov/faces/billNavClient.xhtml?bill_id=201120120SB1041, see also
http://www.sccgov.org/ssa/cwes/cwchap01.pdf
1502
Work-To-Work 24 Month Time Limit, CALWORK EMPLOYEE SERVICES HANDBOOK,
http://www.sccgov.org/ssa/cwes/cwchap01.pdf
1503
Welfare-To-Work, CAL. DEP’T OF SOC. SERVS. http://www.cdss.ca.gov/cdssweb/PG141.htm
1504
Welfare-To-Work, CAL. DEP’T OF SOC. SERVS. http://www.cdss.ca.gov/cdssweb/PG141.htm
1505
Welfare-To-Work, CAL. DEP’T OF SOC. SERVS. http://www.cdss.ca.gov/cdssweb/PG141.htm
1506
Welfare-To-Work, CAL. DEP’T OF SOC. SERVS., http://www.cdss.ca.gov/cdssweb/PG141.htm
1507
CalWORKs: The Details, Disability Benefits 101,
http://ca.db101.org/ca/programs/income_support/calworks/program2c.htm
1501

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!
•

Participate in a 4-week job search program. If you haven’t found a job after
the 4 weeks, you will meet with an employment counselor who will help you
1508
plan steps toward employment.
You may be assigned to:
o
o
o

Unpaid work experience/preparation.
Vocational training placements.
1509
Adult education or community college programs.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CalWORKs: The Details, Disability Benefits 101,
http://ca.db101.org/ca/programs/income_support/calworks/program2c.htm
1509
Welfare-To-Work, CAL. DEP’T OF SOC. SERVS., http://www.cdss.ca.gov/cdssweb/PG141.htm
1508

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!

VI. SOCIAL SECURITY
BENEFITS
WHAT WILL I LEARN?
•
•
•
•
•
•
•
•

What Social Security is and how it works
Who is eligible to receive Social Security benefits
About the different types of Social Security benefits
(retirement benefits, SSDI, SSI/SSP)
How to apply for Social Security benefits
How your criminal record affects your ability to get Social
Security benefits
What happens to Social Security benefits when you are
incarcerated
How to restart your Social Security benefits if they’ve been
suspended (paused)
What to do if your Social Security benefits have been
wrongly ended or suspended

Social Security is a federal benefits program that provides cash benefits to
retired people, disabled people, and their dependents. Social security is a “payas-you-go” program, meaning that workers pay Social Security taxes, and these
taxes are used to provide benefits to Social Security beneficiaries (retired
people, disabled people, and their dependents).
For starters, there are four ways to qualify for federal Social Security benefits:
1)
2)
3)
4)

As a retired individual;
As a disabled individual;
As the spouse or dependent of an eligible individual; or
As the survivor of an eligible individual.

RETIREMENT BENEFITS
Social Security retirement benefits are paid out of money collected from Social
1510
Security taxes on individual paychecks to working taxpayers. For each year
you work and pay Social Security taxes to the government, you earn “credits”—
up to 4 per year. Generally, you need 40 credits (10 years of working and paying
1511
Social Security taxes) to qualify for retirement benefits.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Also called “FICA” taxes. https://faq.ssa.gov/link/portal/34011/34019/Article/3815/What-are-FICA-and-SECAtaxes.
1511
Your Right to Representation (2011) PRISON LAW OFFICE,
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf; What Prisoners Need to Know, SOC. SEC. ADMIN.,
http://www.ssa.gov/pubs/EN-05-10133.pdf.
1510

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!

AM I ELIGIBLE FOR SOCIAL SECURITY RETIREMENT BENEFITS?
To get Social Security retirement benefits, you must
1) Be at least 62 years old; and
2) Have earned 40 Social Security credits (by working and paying
Social Security taxes to the U.S. government for 10 full years).
You can start getting retirement benefits as early as age 62. But
depending on your situation, you may want to wait so you can get
1512
a higher monthly benefit. This age may be 65, 66, or 67,
1513
depending on what year you were born.

CAN MY CRIMINAL HISTORY LIMIT MY ABILITY TO GET
RETIREMENT BENEFITS?
Possibly—but it might be just temporary.
You can’t receive Social Security benefits for any month that you:
1)

HOW TO CHECK
FOR SOCIAL
SECURITY
CREDITS
If you’re not sure how
many Social Security
credits you have, you
can call the SSA (1800-772-1213), have a
Form SSA-7004,
“Request for Social
Security Statement”
sent to you, and
submit the form. If
you have Internet
access, you can also
use the Online
Retirement Estimator
on the SSA’s website
by visiting
www.ssa.gov.

Are confined in a correctional facility for a period of 30+ days in a
1514
row due to a conviction;
2) Are confined to an institution by court order because you’ve
been found “guilty” but insane, “not guilty” due to insanity or
1515
mental illness, or “incompetent to stand trial”;
3) Have an outstanding arrest warrant because you’re avoiding prosecution or
1516
confinement for a felony; or
4) Have been determined by a judge to be violating a condition of probation or
1517
parole.
•

Here is an example of how this works: If you were convicted and confined on
March 29, 2014 and you stayed in jail until May 2, 2014, you weren’t entitled
to any benefits for the months of March, April, or May since you were being
1518
confined for 35 days in a row. This means you cannot collect back
payments for any benefits you otherwise would have received if you never
had a conviction, warrant, or violation as described in the four situations
1519
above. Additionally, if you were in prison or jail over 30 days, you may

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

When to Start Receiving Retirement Benefits, SOC. SEC. ADMIN., http://www.socialsecurity.gov/pubs/EN-0510147.pdf.
1513
To find out the full retirement age for your birth year, call the SSA at 1-800-772-1213 or visit the SSA website to
See a chart: http://www.socialsecurity.gov/retire2/retirechart.htm. If you decide to start getting retirement benefits
earlier, Social Security will reduce the benefit amount you get per month. If you delay getting retirement benefits
until age 70 or later, you get a special credit for each month after age 70 that you’re not getting retirement benefits.
Your Right to Representation (2011), PRISON LAW OFFICE, http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf.
1514
42 U.S.C. § 402(x)(1)(A)(i), as amended by Public Law 106-170; ,Benefits After Incarceration, SOC. SEC. ADMIN.
http://www.ssa.gov/reentry/; Your Right to Representation to the Community (2009), BAZELON CENTER,
http://www.bazelon.org/News-Publications/Publications/List/1/CategoryID/7/Level/a/ProductID/17.aspx?SortField=
ProductNumber%2CProductNumber; Your Right to Representation (2011), PRISON LAW OFFICE,
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf. ”Correctional facility” would include a prison, a jail, or
a halfway house controlled by your state’s Department of Corrections. http://www.ssa.gov/reentry/.
1515
42 U.S.C. § 402(x)(1)(A)(ii), as amended by Public Law 106-170; Benefits After Incarceration, SOC. SEC. ADMIN.,
“http://www.ssa.gov/reentry/; Your Right to Representation to the Community (2009), BAZELON CENTER,
http://www.bazelon.org/News-Publications/Publications/List/1/CategoryID/7/Level/a/ProductID/17.aspx?SortField
=ProductNumber%2CProductNumber.
1516
42 U.S.C. § 1382; Your Right to Representation (2011), PRISON LAW OFFICE,
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf.
1517
42 U.S.C. § 1382. See Your Right to Representation (2011), PRISON LAW OFFICE,
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf; What Prisoners Need to Know, SOC. SEC. ADMIN.
http://www.ssa.gov/pubs/EN-05-10133.pdf.
1518
Benefits After Incarceration: What You Need to Know, SOC. SEC. ADMIN. http://www.ssa.gov/reentry/.
1519
42 U.S.C. § 1382. Your Right to Representation (2011), PRISON LAW OFFICE
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf.
1512

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have accrued an overpayment, which may be withheld from future Social
1520
Security benefits once you are released and your benefits are reinstated.

!

Once you qualify for Social Security retirement benefits, you stay enrolled in the
program as long as you’re eligible. Although your benefits get suspended
(paused) during incarceration, they don’t get terminated (permanently ended)
1521
due to your incarceration, no matter how long your incarceration lasts.
If you’re currently being incarcerated for 30 or more days, and you were already
getting retirement benefits when you were arrested, those benefits were paused
st
1522
on your 31 day of incarceration.
But you can apply to restart them once you
have documents showing your release date (see PG. 559). If you weren’t already
getting retirement benefits when you were arrested, and being incarcerated is
the only factor disqualifying you now, you can start a new Social Security
1523
application before your release (see PG. 556).

HOW DO I APPLY FOR RETIREMENT BENEFITS?
You can apply online, by phone, or in person:
•
•

•

1524

Online: Visit SSA’s website (www.ssa.gov) and start a new application at
1525
https://secure.ssa.gov/iClaim/rib.
By phone: Call the SSA at 1-800-772-1213 (TTY: 1-800-325-0778). A
representative will set an appointment for you to do your application by
phone. This toll-free line is open Monday through Friday, 7 AM to 7 PM. For
each time you call, record the date of your call and the name of the person
1526
who assists you.
In person: First, call the SSA to find a local office near you; or, if you have
Internet access, use the office locator at
https://secure.ssa.gov/ICON/main.jsp. Then call the local office to make an
appointment.

TIPS:
•

•

Before you start, you may want to look over the Social Security’s application
1527
checklist (see Appendix G, on PG. 600).
to gather the information you
need.
If you need help with the application, call the Social Security Administration
or visit a local Social Security office. You have a right to assistance from
1528
Social Security representatives if you need help due to a disability.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

For example, if you were convicted and incarcerated starting on the fifth of the month, the following month’s
check, if cashed would be an overpayment. The best way to handle an overpayment is to return the check to SSA.
http://www.socialsecurity.gov/pubs/EN-05-10098.pdf. See also, Your Right to Representation to the Community
(2009), BAZELON CENTER, http://www.bazelon.org/NewsPublications/Publications/List/1/CategoryID/7/Level/a/ProductID/17.aspx?SortField=ProductNumber%2CProductN
umber.
1521
Your Right to Representation to the Community (2009), BAZELON CENTER, http://www.bazelon.org/NewsPublications/Publications/List/1/CategoryID/7/Level/a/ProductID/17.aspx?SortField=ProductNumber%2CProductN
umber.
1522
Arrested? What Happens to Your Benefits?, BAZELON CENTER,
http://www.kitsaPGov.com/pubdef/Forms/LinkClick.Benefits.pdf.
1523
Benefits After Incarceration: What You Need to Know, SOC. SEC. ADMIN., http://www.ssa.gov/reentry/; What
Prisoners Need to Know, SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10133.pdf.
1524
Other Ways to Apply for Benefits, SOC. SEC. ADMIN., http://www.socialsecurity.gov/info/isba/otherways.htm
1525
See How to Apply Online for Retirement Benefits, SOC. SEC. ADMIN., http://www.socialsecurity.gov/pubs/EN-0510523.pdf.
1526
If you complete your application within 60 days of your first call to request materials, the SSA will treat that call as
the date of your application. Your Right to Representation (2011), PRISON LAW OFFICE,
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf.
1527
Your Right to Representation, SOC. SEC. ADMIN., http://www.socialsecurity.gov/hlp/isba/10/isba-checklist.pdf
1528
Section 504 of the Rehabilitation Act; Your Right to Representation (2011), PRISON LAW OFFICE,
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf.
1520

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!
•

•

You have a right to appoint any individual—such as a friend, family member,
attorney, social worker, or other trusted advocate—to act as your
representative in the application process. To do so, use the form in
1529
Appendix F, PG. 600.
If you need benefits right away due to a financial emergency, ask if you can
1530
get “expedited” benefits.

CAN I APPLY FOR RETIREMENT BENEFITS WHILE
INCARCERATED?
1531

Yes! You can’t receive Social Security benefits while incarcerated —but if you
haven’t applied before, and you think you may qualify, you can start the
application process as early as several months before your release date.
Some prisons and jails have a prerelease agreement with local Social Security
offices. Ask the pre-release staff if your facility has a pre-lease agreement with a
local Social Security Office.
•

•

If your facility has a pre-release agreement:
o Speak to the pre-release staff. They should be available to help you
complete and submit your application before your release.
o Pre-release staff should also notify the Social Security office about
your release date.
o Ideally, if a prerelease agreement is in place, staff should start
working with you several months before your release, and Social
Security should then process your application promptly so that your
1532
benefits will start shortly after you get out.
If your facility doesn’t offer prerelease assistance—and/or you have
trouble working with correctional staff:
o Call Social Security to have application materials mailed to you and
get help with them. Be prepared to give your Social Security
number and release date. If Social Security’s automated phone
system doesn’t accept your call, you should ask a non-incarcerated
family member to call as an Authorized Representative (“AR”) on
your behalf (use the form in Appendix F, PG. 600to appoint a family
member as an AR).
o An SSA representative will set a post-release appointment for you
at a local Social Security office, ask you to bring your official
1533
release documents, and tell you what else you need to do.

I WAS RECEIVING RETIREMENT BENEFITS WHEN I ENTERED
PRISON OR JAIL. WHAT HAPPENS TO THEM WHILE I’M
INCARCERATED?
If you were convicted and incarcerated for 30 or more days in a row, your
1534
Social Security benefits got suspended on the 31st day.
You can’t get

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Your Right to Representation, SOC. SEC. ADMIN., http://www.socialsecurity.gov/pubs/EN-05-10075.pdf.
Your Right to Representation (2011), PRISON LAW OFFICE,
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf.
1531
20 C.F.R. § 404.468(a)
1532
Entering the Community After Incarceration—How We Can Help, SOC. SEC. ADMIN.,
http://www.ssa.gov/pubs/EN-05-10504.pdf; What Prisoners Need to Know, SOC. SEC. ADMIN.,
http://www.ssa.gov/pubs/EN-05-10133.pdf.
1533
Your Right to Representation (2011), PRISON LAW OFFICE,
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf. What Prisoners Need to Know, SOC. SEC. ADMIN.,
http://www.ssa.gov/pubs/EN-05-10133.pdf; Entering the Community After Incarceration—How We Can Help, SOC.
SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10504.pdf.
1529

1530

PAGE 558 OF 1210!

WHAT TO DO IF
YOU KNOW
YOU WILL BE
INCARCERATED
30 DAYS OR
MORE:
As soon as you
know that you will
be incarcerated
for 30 or more
days, you should
report this fact to
Social Security so
that your benefits
get suspended in
a timely way. If
you get any Social
Security checks
for any months
during which
you’re
incarcerated,
these will be
treated as
overpayments and
you’ll have to
repay them later.
The amounts
might get
deducted from
your future Social
Security benefits,
when you’re later
released from
incarceration.

ROADMAP TO REENTRY

these benefits while incarcerated, but you’ll stay enrolled in the program. This
means if your spouse or children have been getting benefits based on your
Social Security eligibility, they’ll keep getting them while you’re incarcerated
1535
(even if your benefits were suspended), so long as they’re eligible.
This also
means that once you have official documents proving your release date, you can
1536
apply to restart your retirement benefits (see PG. 559).

!

Please note that BEFORE you are actually convicted—even if you are
incarcerated while awaiting trial—you will continue to receive Social Security
benefits until you are convicted AND incarcerated for 30 days or more in a
1537
row.

IMPORTANT EXCEPTIONS
Exceptions for People Incarcerated Before April 1, 2000—What
happened to your Social Security Benefits during incarceration:
•
•

•

If you were incarcerated before February 1, 1995: Your benefits get suspended after
st
your 31 day of incarceration only if you were convicted of a felony.
If you were incarcerated between February 1, 1995 and March 31, 2000: You’re not
entitled to benefits for any month in which you were incarcerated following
conviction for a crime that can be given a one-year or longer sentence under law
(regardless of the actual sentence the court imposed).
If you were incarcerated before April 1, 2000: Your benefits don’t get suspended if
you’re confined by court order because you’re found “not guilty” due to insanity,
1538
“guilty” but insane, or “incompetent to stand trial.”

MY RETIREMENT BENEFITS STOPPED WHILE I WAS
INCARCERATED. HOW DO I RESTART THEM?
Before release:
•

Once you know your release date, notify your correctional counselor (or
another staff member at your facility) that you want to restart your Social
Security benefits. It’s best to start this process at least 3 months before your
1539
release date.
o If your facility has a pre-release agreement:
! should be available to help you complete and submit the necessary
1540
paperwork in a timely way.
o If your facility doesn’t offer prerelease assistance—and or you have
trouble working with staff:
! Call 1-800-772-1213 (TTY: 1-800-325-0778) to notify Social Security
that you were getting retirement benefits before you got
incarcerated, and you want your benefits to restart as soon as
possible after your release. The toll-free line is open Monday to

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
So, for example, if you were convicted and went to prison or jail on March 3, your benefits would stop on April 2.
Arrested? What Happens to Your Benefits?, BAZELON CENTER,
http://www.kitsaPGov.com/pubdef/Forms/LinkClick.Benefits.pdf.
1535
20 C.F.R. § 404.468(a); Benefits After Incarceration: What You Need to Know, SOC. SEC. ADMIN.,
http://www.ssa.gov/reentry/; Your Right to Representation to the Community (2009), BAZELON CENTER,
http://www.bazelon.org/News-Publications/Publications/List/1/CategoryID/7/Level/a/ProductID/17.aspx?SortField
=ProductNumber%2CProductNumber.
1536
What Prisoners Need to Know, SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10133.pdf.
1537
What Prisoners Need to Know, BAZELON CENTER, http://www.ssa.gov/pubs/EN-05-10133.pdf. See also Arrested?
What Happens to Your Benefits?, BAZELON CENTER, http://www.kitsaPGov.com/pubdef/Forms/LinkClick.Benefits.pdf.
1538
42 U.S.C. § 402(x)(1)(A)(i); Your Right to Representation to the Community (2009), BAZELON CENTER,
http://www.bazelon.org/News-Publications/Publications/List/1/CategoryID/7/Level/a/ProductID/17.aspx?SortField
=ProductNumber%2CProductNumber.
1539
See Benefits After Incarceration, SOC. SEC. ADMIN., http://www.ssa.gov/reentry/; Entering the Community After
Incarceration—How We Can Help, SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10504.pdf.
1540
What Prisoners Need to Know, SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10133.pdf; Entering the
Community After Incarceration—How We Can Help, SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10504.pdf.
1534

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!

Friday, 7 a.m. to 7 p.m. Be prepared to provide your Social Security
number and release date. A representative will set a post-release
appointment for you at a local Social Security office, ask you to
provide official release documents, and tell you what else you need
1541
to do.
! If Social Security’s automated phone system doesn’t accept your call,
you should ask a non-incarcerated family member to call as an
Authorized Representative (“AR”) on your behalf (use the form in
Appendix E, PG. 595 to appoint a family member as an AR).
! You can also ask a friend, family member, or trusted advocate to
communicate with Social Security about your benefits on your behalf.
Remember that you have a right to appoint any individual—such as a
friend, family member, attorney, or social worker—to act as your
representative in the application process. To do so, use the form on
1542
Appendix E., PG. 595
After release:
•

!

Call 1-800-772-1213 (TTY: 1-800-325-0778) to notify Social Security that you
were released from prison and want to restart your retirement benefits. Be
prepared to provide your Social Security number. A representative will set an
appointment for you at a local Social Security office, ask you to bring your
1543
official release documents, and tell you what else you need to do.

IMPORTANT: You can’t get back-payments of Social Security for the
months you spent in prison or jail.1544 In other words, you can never
collect retirement checks you otherwise would have gotten if you weren’t
incarcerated. However, you should be able to collect back-payments of
benefits dating back to the month following the month of your release.
So, for example, if you were released on October 10, 2014, you became
entitled to start receiving retirement benefits again starting November
2014. Since monthly Social Security benefits are paid 1 month after
they’re due, you can collect your November retirement check in
December 2014.1545

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Your Right to Representation (2011), PRISON LAW OFFICE,
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf. What Prisoners Need to Know, SOC. SEC. ADMIN.,
http://www.ssa.gov/pubs/EN-05-10133.pdf; Entering the Community After Incarceration—How We Can Help, SOC.
SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10504.pdf
1542
Your Right to Representation, SOC. SEC. ADMIN., http://www.socialsecurity.gov/pubs/EN-05-10075.pdf
1543
Benefits After Incarceration, SOC. SEC. ADMIN. http://www.ssa.gov/reentry/; What Prisoners Need to Know, SOC.
SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10133.pdf
1544
42 U.S.C. § 1382
1545
What Prisoners Need to Know, SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10133.pdf
1541

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!

SOCIAL SECURITY DISABILITY INSURANCE
(SSDI)
Social Security Disability Insurance (SSDI) benefits are paid out of money
1546
collected from Social Security taxes on individual worker’s paychecks.
SSDI is
for U.S. citizens and lawfully present non-citizens (legal permanent residents or
LPRs) who have earned a certain amount of Social Security credits by working
and paying Social Security taxes, but who can no longer work due to
1547
a disability.
NOTES RELATED
TO ELIGIBILITY
FOR OTHER
AM I ELIGIBLE FOR SSDI?
BENEFITS:
To get SSDI, you must:
1)

Have a disability.
a. A disability is a severe medical condition that prevents
1548
you from being able to work.
b. Once you apply for SSDI, California Department of
Social Services (CDSS) will collect medical records to
1549
decide if you have a disability.
c. Note: Being unemployed, incarcerated, on parole, or
currently addicted to substances do not qualify as
1550
disabilities for SSDI.
AND
2) Have a recent and long enough work history to meet SSDI
1551
requirements.
a. What counts as recent and lengthy enough work for
SSDI depends on the age when you became disabled.
Generally, the older you were when you became
disabled, the more recent and lengthy your work must
1552
be.

If you get SSDI, after
th
your 24 month of
benefits you’ll be
automatically
enrolled in Medicare
(see PG. 544).
If you get SSDI,
benefits may also be
available to certain
family members,
including: (1) your
spouse, if he/she is
age 62 or older, or
caring for your child
who is under 16 and
has a disability; and
(2) your unmarried
child, if he/she is
under age 18, or age
18 or older and has a
disability that started
before age 22 (see
PG. 561).

CAN MY CRIMINAL HISTORY LIMIT MY ABILITY TO GET SSDI?
Possibly—but this could be just temporary. You can’t get Social Security benefits
1553
for any month that you:
1)

Are confined in a correctional facility for a period of 30+ days in a row due to
1554
a conviction;

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Also called “FICA” taxes. What are FICA and SECA taxes? SOC. SEC. ADMIN.,
https://faq.ssa.gov/link/portal/34011/34019/Article/3815/What-are-FICA-and-SECA-taxes
1547
Your Right to Representation (2011), PRISON LAW OFFICE
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf; What Prisoners Need to Know, SOC. SEC. ADMIN.,
http://www.ssa.gov/pubs/EN-05-10133.pdf; Disability Benefits, SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-0510029.pdf.
1548
The law defines “disability” as the inability to do any “substantial gainful activity” due to a “medically
determinable physical or mental impairment” that can be expected to result in death or that has lasted (or can be
expected to last) for at least 12 months in a row. 20 C.F.R. § 416.905(a); Your Right to Representation (2011), PRISON
LAW OFFICE http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf
1549
Disability Benefits, SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10029.pdf. If you’re blind or have low vision,
special rules govern your eligibility and benefits. 20 C.F.R. § 416.905(b); see 20 C.F.R. §§ 416.981-416.985; Disability
Planner, SOC. SEC. ADMIN., http://www.ssa.gov/dibplan/dqualify8.htm; Your Right to Representation (2011), PRISON
LAW OFFICE http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf
1550
20 C.F.R. § 416.905(a). What Prisoners Need to Know, SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-0510133.pdf; Your Right to Representation (2011), PRISON LAW OFFICE
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf
1551
Disability Planner, SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10029.pdf
1552
To see detailed work requirements for people who became disabled at different ages, see Disability Planner,
SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10029.pdf;
1553
What Prisoners Need to Know, SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10133.pdf;
1546

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2) Are confined to an institution by court order because you’ve been found
“guilty” but insane, “not guilty” due to insanity or mental illness, or
1555
“incompetent to stand trial”;
3) Have an open arrest warrant because you’re avoiding prosecution or
confinement for a felony; or
1556
4) Are found to be violating a condition of probation or parole.
•

•

Here is an example of how this works: If you were convicted and confined on
March 29, 2014 and stayed in jail until May 2, 2014, you weren’t entitled to
benefits for the months of March, April, or May since you were being
1557
confined for 35 days in a row.
This means you can’t collect back payments
for any SSDI benefits you otherwise would have received if you never had a
conviction, warrant, violation, and/or period of confinement as described
1558
above.
Also, you CAN’T apply for any Social Security benefits based on a disability
that is related to a felony you committed. For example, if you fell while
committing a felony and lost your ability to walk as a result, that disability
1559
won’t qualify you for SSDI.
But you could still apply for SSDI based on a
disability that has no connection to your felony.

Once you qualify for SSDI, you stay enrolled as long as you still have a qualifying
disability. Although your benefits get suspended (paused) during incarceration,
1560
they won’t get terminated (permanently ended) due to your incarceration.
This means that if your spouse or children have been getting benefits as your
dependents based on your SSDI eligibility, they’ll keep getting these benefits
1561
while you’re incarcerated, as long as they stay eligible.
If you’re currently incarcerated for 30 or more days, and you were already
getting SSDI when you were arrested, then your SSDI was suspended on your
1562
31st day of incarceration.
But you can apply to restart your SSDI benefits once
you have documents showing your release date (see PG. 565). If you weren’t on
SSDI when you were arrested, and being incarcerated is the only factor
disqualifying you now, you can start a new application for SSDI before your
1563
release (see PG. 563).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
42 U.S.C. § 402(x)(1)(A)(i), as amended by Pub. L. 106-170; see Benefits After Incarceration, SOC. SEC. ADMIN.,
http://www.ssa.gov/reentry/; Your Right to Representation to the Community (2009), BAZELON CENTER,
http://www.bazelon.org/NewsPublications/Publications/List/1/CategoryID/7/Level/a/ProductID/17.aspx?SortField=ProductNumber%2CProductN
umber; Your Right to Representation (2011), PRISON LAW OFFICE
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf “Correctional facility” would include a prison, a jail, or a
halfway house controlled by your state’s Department of Corrections. Benefits After Incarceration, SOC. SEC. ADMIN.,
http://www.ssa.gov/reentry/.
1555
42 U.S.C. § 402(x)(1)(A)(ii), as amended by Pub. L. 106-170; see Benefits After Incarceration, SOC. SEC. ADMIN.,
http://www.ssa.gov/reentry/; Your Right to Representation to the Community (2009), BAZELON CENTER,
http://www.bazelon.org/NewsPublications/Publications/List/1/CategoryID/7/Level/a/ProductID/17.aspx?SortField=ProductNumber%2CProductN
umber
1556
42 U.S.C. § 1382; Your Right to Representation (2011), PRISON LAW OFFICE
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf
1557
Benefits After Incarceration: What You Need to Know SOC. SEC. ADMIN., http://www.ssa.gov/reentry/
1558
42 U.S.C. § 1382; Your Right to Representation (2011), PRISON LAW OFFICE
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf.
1559
42 U.S.C. § 423(d)(6)(A).
1560
Your Right to Representation to the Community (2009), BAZELON CENTER, http://www.bazelon.org/NewsPublications/Publications/List/1/CategoryID/7/Level/a/ProductID/17.aspx?SortField=ProductNumber%2CProductN
umber
1561
20 C.F.R. § 404.468(a); Benefits After Incarceration: What You Need to Know, SOC. SEC. ADMIN.,
http://www.ssa.gov/reentry/; Your Right to Representation to the Community (2009), BAZELON CENTER,
http://www.bazelon.org/News-Publications/Publications/List/1/CategoryID/7/Level/a/ProductID/17.aspx?Sort
Field=ProductNumber%2CProductNumber
1562
Arrested? What Happens to Your Benefits?, BAZELON CENTER,
http://www.kitsaPGov.com/pubdef/Forms/LinkClick.Benefits.pdf
1563
Benefits After Incarceration: What You Need to Know SOC. SEC. ADMIN., http://www.ssa.gov/reentry/; What
Prisoners Need to Know, SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10133.pdf;
1554

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IMPORTANT EXCEPTIONS
Exceptions for People Incarcerated Before April 1, 2000—What
happened to your SSDI during incarceration:
•

•
•

If you were incarcerated between February 1, 1995 and March 31, 2000: You’re not
entitled to SSDI benefits for any month in which you were incarcerated following
conviction of a crime punishable by more than a one-year statutory sentence,
regardless of the actual sentence imposed by the court.
If you were incarcerated before February 1, 1995: Your SSDI benefits get suspended
st
after your 31 day of incarceration only if you were convicted of a felony.
If you were incarcerated before April 1, 2000: Your SSDI benefits didn’t get
suspended if you were confined by court order because you were found to be “not
1564
guilty” due to insanity, “guilty” but insane, or “incompetent to stand trial.

HOW DO I APPLY FOR SSDI?
You can apply online, by phone, or in person.
•
•

•

1565

Online: Visit SSA’s website (www.ssa.gov) and start a new application at
1566
https://secure.ssa.gov/iClaim/dib.
By phone: Call the SSA at 1-800-772-1213 (TTY: 1-800-325-0778). A
representative will set up an appointment for you to do your application by
phone. This toll-free line is open Monday through Friday, 7 a.m. to 7 p.m. For
each time you call, record the date of your call and the name of the person
1567
who helps you.
In person: First, call the SSA to find the office nearest you; or, if you have
Internet access, use the office locator at
https://secure.ssa.gov/ICON/main.jsp. Then call to make an appointment.

TIPS:
•
•

•

•

Apply as soon as possible when you become disabled. The application
1568
review process can take 3-5 months.
Before you start, you may want to look over the Social Security
Administration’s disability application checklist (see Appendix G, PG. 606) to
1569
gather the information you need.
If you need help with the application, call the Social Security Administration
or visit a local Social Security office. You have a right to assistance from
1570
Social Security representatives if you need help due to a disability.
You have a right to appoint any individual—such as a friend, family member,
attorney, social worker, or other trusted advocate—to act as your
representative in the application process. To do so, use the “Appointment of
1571
Representative” form (a copy of form in Appendix E, PG. 595).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

42 U.S.C. § 402(x)(1)(A)(i); Finding the Key to Successful Transition from Jail or Prison to the Community, BAZELON
CENTER (2009), http://www.bazelon.org/News-Publications/Publications/List/1/CategoryID/7/Level/a/ProductID/17.
aspx?SortField=ProductNumber%2CProductNumber
1565
Other Ways to Apply to Benefits, SOC. SEC. ADMIN., http://www.socialsecurity.gov/info/isba/otherways.htm
1566
See Apply Online for Disability Benefits, SOC. SEC. ADMIN. http://www.ssa.gov/pubs/EN-05-10550.pdf
1567
If you complete your application within 60 days of your first phone call to request information or materials, the
SSA will treat that call as the date of your application. Your Right to Representation, PRISON LAW OFFICE (2011),
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf
1568
Disability Benefits, SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10029.pdf
1569
Disability Planner: How You Apply, SOC. SEC. ADMIN., http://www.ssa.gov/dibplan/dapply.htm; Checklist for
Online Adult Disability Application, SOC. SEC. ADMIN., http://www.ssa.gov/hlp/radr/10/ovw001-checklist.pdf
1570
Section 504 of the Rehabilitation Act; Your Right to Representation (2011), PRISON LAW OFFICE,
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf
1571
Your Right to Representation, SOC. SEC. ADMIN., http://www.socialsecurity.gov/pubs/EN-05-10075.pdf
1564

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•

If you need benefits right away due to a financial emergency, ask if you can
1572
get “expedited” benefits.

CAN I APPLY FOR SSDI WHILE INCARCERATED?
1573

Yes! You can’t receive Social Security benefits while incarcerated —but if you
haven’t applied for SSDI before, and you think you may qualify, you can start the
application process as early as several months before your release date. Keep in
1574
mind that review of an SSDI application can take 3-5 months.
Some prisons and jails have a prerelease agreement with local Social Security
offices to make this process easier.

If this is your
situation:
If your facility has a
pre-release agreement

This is what you should do
•
•
•

If your facility doesn’t
offer prerelease
assistance—and/or you
have trouble working
with correctional staff

•

•

•

Speak to correctional staff. They may be available to
help you complete and submit your SSDI application
before your release.
Correctional staff should also notify the Social
Security office about your release date.
If a prerelease agreement is in place, staff should
start working with you several months before your
release, and Social Security should then process your
application promptly so that your benefits will start
1575
shortly after you get out.
Call Social Security at 1-800-772-1213 (TTY: 1-800325-0778) to have application materials mailed to
you and get help with them. Be prepared to give your
Social Security number and release date.
If Social Security’s automated phone system doesn’t
accept your call, you should ask a non-incarcerated
family member to call as an Authorized
Representative (“AR”) on your behalf (use the form in
Appendix E, PG. 595 to appoint a family member as
an AR).
An SSA representative will set a post-release
appointment for you at a local Social Security office,
ask you to bring your official release
documents, and
1576
tell you what else you need to do.

NOTE: If you become disabled while incarcerated, you can’t start getting
benefits until (1) you’ve been disabled for five full calendar months or (2) one full
1577
calendar month has passed after your release date—whichever is later.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Benefits Available to Paroling & Discharging Inmates (2011), PRISON LAW OFFICE,
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf
1573
20 C.F.R. § 404.468(a)
1574
Finding the Key to Successful Transition from Jail or Prison to the Community (2009), BAZELON CENTER,
http://www.bazelon.org/News-Publications/Publications/List/1/CategoryID/7/Level/a/ProductID/17.aspx?SortField
=ProductNumber%2CProductNumber
1575
Entering the Community After Incarceration—How We Can Help, SOC. SEC. ADMIN.,
http://www.ssa.gov/pubs/EN-05-10504.pdf; What Prisoners Need to Know, SOC. SEC. ADMIN.,
http://www.ssa.gov/pubs/EN-05-10133.pdf;Arrested? What Happens to Your Benefits?, BAZELON CENTER,
http://www.kitsaPGov.com/pubdef/Forms/LinkClick.Benefits.pdf
1576
Benefits Available to Paroling & Discharging Inmates (2011), PRISON LAW OFFICE,
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf; What Prisoners Need to Know, SOC. SEC. ADMIN.,
http://www.ssa.gov/pubs/EN-05-10133.pdf;http://www.ssa.gov/pubs/EN-05-10133.pdf; Entering the Community
After Incarceration—How We Can Help, SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10504.pdf; Arrested?
What Happens to Your Benefits?, BAZELON CENTER, http://www.kitsaPGov.com/pubdef/Forms/LinkClick.Benefits.pdf
1577
Disability Benefits, SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10029.pdf; Jail and Social Security
Disability Payments, DISABILITY ADVISOR, http://www.disabilityadvisor.com/jail-and-social-security-disability-payments/
1572

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I WAS RECEIVING SSDI WHEN I GOT ARRESTED. WHAT HAPPENS

!

TO IT WHILE I’M INCARCERATED?
If you were convicted and incarcerated for 30 or more days
in a row, your SSDI benefits got suspended on the 31st
1578
day.
You can’t receive SSDI benefits while incarcerated,
but you’ll stay enrolled in the program. This means that if
your spouse or children have been getting benefits as your
dependents based on your SSDI eligibility, they’ll keep
getting these benefits while you’re incarcerated, as long as
1579
they stay eligible.
This also means that once you have
official documents proving your release from incarceration,
1580
you can apply to restart your SSDI benefits (see PG. 565).

MY SSDI STOPPED WHILE I WAS INCARCERATED.
HOW DO I RESTART IT?

WHAT TO DO IF YOU KNOW
YOU WILL BE
INCARCERATED 30 DAYS OR
MORE:
As soon as you know that you will
be incarcerated for 30 or more
days, you should report this fact to
Social Security so that your
benefits get suspended in a timely
way. If you get any Social Security
checks for any months during
which you’re incarcerated, these
will be treated as overpayments
and you’ll have to repay them
later. The amounts might get
deducted from your future Social
Security benefits, when you’re
later released from incarceration.

BEFORE RELEASE:
•
•
•

Once you know your release date, notify your correctional counselor (or another
staff member at your facility) that you want to restart your SSDI
benefits. It’s best to
1581
start this process at least 3 months before your release date.
If your facility has a prerelease agreement with Social Security:
o Staff should be available to1582
help you complete and submit the necessary
paperwork in a timely way.
If your facility doesn’t offer prerelease assistance—and/or you have trouble working
with correctional staff:
• Call 1-800-772-1213 (TTY: 1-800-325-0778) to notify Social Security that you
were getting SSDI before incarceration, and you want your benefits to restart as
soon as possible after your release. The toll-free line is open Monday to Friday, 7
a.m. to 7 p.m.
• Be prepared to provide your Social Security number and release date.
• If Social Security’s automated phone system doesn’t accept your call, you
should ask a non-incarcerated family member to call as an Authorized
Representative (“AR”) on your behalf (use the form in Appendix E, PG. 595 to
appoint a family member as an AR).
• A representative will set a post-release appointment for you at a local Social
Security office, ask you to provide official release documents, and tell you what
1583
else you need to do.
• You can also ask a friend, family member, or trusted advocate to communicate
with Social Security about your benefits on your behalf. You have a right to
appoint any individual—such as a friend, family member, attorney, or social
worker—to act as your representative in the application process. To do so, use
1584
the form located in Appendix F, PG. 600.

AFTER RELEASE:
•

•

If you weren’t able to do so
while incarcerated, call
Social Security to report that
you were released from
prison and want to restart
your SSDI benefits. A
representative will set an
appointment for you at a
local Social Security office,
ask you to bring your official
release documents, and tell
you1585
what else you need to
do.
If your SSDI has only been
suspended (paused)—which
is what normally happens—it
may take only a month to
restart it. If you are
incarcerated for 12 months
or more, then your SSDI
benefits would have been
terminated, and you have to
file a new application to
reestablish
your
1586
eligibility.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

So, for example, if you were convicted and went to prison or jail on March 3, your benefits would stop on April 2.
Arrested? What Happens to Your Benefits?, BAZELON CENTER,
http://www.kitsaPGov.com/pubdef/Forms/LinkClick.Benefits.pdf
1579
20 C.F.R. § 404.468(a); Benefits After Incarceration: What You Need to Know, SOC. SEC. ADMIN.,
http://www.ssa.gov/reentry/;, Finding the Key to Successful Transition from Jail or Prison (2009), BAZELON CENTER,
www.bazelon.org/News-Publications/Publications/List/1/CategoryID/7/Level/a/ProductID/17.aspx?SortField=
ProductNumber%2CProductNumber
1580
What Prisoners Need to Know, SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10133.pdf;
1581
See Benefits After Incarceration, SOC. SEC. ADMIN., http://www.ssa.gov/reentry/; Entering the Community After
Incarceration—How We Can Help, SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10504.pdf; Arrested? What
Happens to Your Benefits?, BAZELON CENTER, http://www.kitsaPGov.com/pubdef/Forms/LinkClick.Benefits.pdf
1582
What Prisoners Need to Know, SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10133.pdf; Entering the
Community After Incarceration—How We Can Help, SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10504.pdf;
Arrested? What Happens to Your Benefits?, BAZELON CENTER,
http://www.kitsaPGov.com/pubdef/Forms/LinkClick.Benefits.pdf
1583
Benefits Available to Paroling & Discharging Inmates, PRISON LAW OFFICE (2011),
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf; What Prisoners Need to Know, SOC. SEC. ADMIN.,
http://www.ssa.gov/pubs/EN-05-10133.pdf; Entering the Community After Incarceration—How We Can Help, SOC.
SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10504.pdf
1584
Your Right to Representation, SOC. SEC. ADMIN., http://www.socialsecurity.gov/pubs/EN-05-10075.pdf
1585
Be prepared to provide your Social Security number. See Benefits After Incarceration, SOC. SEC. ADMIN.,
http://www.ssa.gov/reentry/; What Prisoners Need to Know, SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-0510133.pdf;
1578

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HELPFUL HINTS
SSDI Back-payments
You can’t get back-payments of SSDI for the months you spent in prison or
1587
jail.
In other words, you can never collect SSDI checks you otherwise would
have gotten if you weren’t incarcerated. However, you should be able to collect
back-payments of SSDI dating back to the month following the month of your
1588
release.

Getting SSDI on the Day You Apply
In SPECIAL EMERGENCY CASES, you may be able to get benefits on the day
you walk into the local Social Security office to complete your SSDI paperwork.
This may be possible if:
(1) your SSDI was only suspended and not terminated during your incarceration,
or you’ve already filed a new SSDI application before your release;
(2) you can show proof of a financial emergency; and
(3) you haven’t already received benefits for the month.

I BELIEVE MY SSDI WAS WRONGLY DENIED OR STOPPED. HOW
DO I APPEAL?
Many people who apply for SSDI are denied at first, but then get benefits once
they appeal. Considering the small odds of getting approved on the first try, be
1589
prepared to get denied and to go through the appeals process.
If Social Security decides to deny your SSDI application, it must mail you a notice
of this decision.
•

•
•

You have a right to appeal. To do so, you must file a “Request for
1590
Reconsideration” within 60 days after the date you received the notice.
You can send it by mail, but it’s best to file it in person at a local Social
Security office. This way you get a copy with a time-and-date stamp, which
1591
proves that you appealed on time.
You can also appeal online at:
https://secure.ssa.gov/apps6z/iAppeals/ap001.jsp
If you miss the 60-day deadline due to factors beyond your control, like
illness or hospitalization, file a request for a “good cause exception” to the
1592
deadline along with your “Request for Reconsideration.

If Social Security then decides to deny your Request for Reconsideration, it must
mail you a notice of this decision.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
Thanks you to Steve Weiss, Regional Social Security & SSI Advocacy Coordinator at Bay Area Legal Aid, for his
feedback and commentary on this portion of the Manual. See What Prisoners Need to Know, SOC. SEC. ADMIN.,
http://www.ssa.gov/pubs/EN-05-10133.pdf; Entering the Community After Incarceration—How We Can Help, SOC.
SEC. ADMIN., http://www.3ssa.gov/pubs/EN-05-10504.pdf; Arrested? What Happens to Your Benefits?, BAZELON
CENTER, http://www.kitsaPGov.com/pubdef/Forms/LinkClick.Benefits.pdf
1587
42 U.S.C. § 1382
1588
So, for example, if you were released on October 10, 2014, you became entitled to start receiving SSDI benefits
again starting November 2014. Since monthly Social Security benefits are paid 1 month after they’re due, you can
collect your November SSDI check in December 2014. What Prisoners Need to Know, SOC. SEC. ADMIN.
http://www.ssa.gov/pubs/EN-05-10133.pdf
1589
Benefits Available to Paroling & Discharging Inmates, PRISON LAW OFFICE (2011),
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf
1590
20 C.F.R. § 416.1409
1591
Benefits Available to Paroling & Discharging Inmates, PRISON LAW OFFICE (2011),
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf
1592
20 C.F.R. §§ 404.911(a), 416.1411(a)
1586

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•

Again, you have a right to appeal. To do so, you must file a “Request for an
Administrative Law Judge Hearing” within 60 days after the date you got the
1593
notice.

If you can’t afford a lawyer to help with your appeal, you may be able to find free
help by contacting a local legal aid office, a local bar association referral
services, or another local nonprofit organization that helps with Social Security
1594
issues.

SUPPLEMENTAL SECURITY INCOME (SSI)
Supplemental Security Income (SSI) provides financial support for low-income
people who are 65 years old or older and/or have a disability—regardless of
work history. The federal government provides certain amounts of aid for people
who qualify, and California adds to the federal amounts in certain cases. SSI
1595
benefits are meant to cover basic necessities like food, clothing and shelter.

AM I ELIGIBLE FOR SSI?
To be able to get SSI, you must:
1)

Be at least age 65, or blind, or disabled;
a. For SSI purposes, a disability is a severe medical condition that
1596
prevents you from being able to work.
This is the same definition
used for SSDI, and the same process is used to decide whether you
1597
have a qualifying disability.
2) Have very little or no income;
a. The income limit varies by where you live and may change from year
1598
to year.
1599
3) Own limited resources;
a. The resource limit means that the value of things you own (besides
your home and your car) must be below a certain amount, which is
1600
set by law and differs for singled and married people.
4) You must be living in the U.S. as a citizen or a lawfully present non-citizen
1601
(LPR);
a. If you are ineligible for SSI due to residency status, but you are
legally present, you may be eligible for the Cash Assistance Program
1602
for Immigrants (CAPI).
For information about this program, see
the Helpful Hint box below.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

20 C.F.R. § 416.1433
Arrested? What Happens to Your Benefits?, BAZELON CENTER,
http://www.kitsaPGov.com/pubdef/Forms/LinkClick.Benefits.pdf
1595
Benefits Available to Paroling & Discharging Inmates, PRISON LAW OFFICE (2011),
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf.
1596
The law defines “disability” as the inability to do any “substantial gainful activity” due to a “medically
determinable physical or mental impairment” that can be expected to result in death or that has lasted (or can be
expected to last) for at least 12 months in a row. 20 C.F.R. § 416.905(a); Benefits Available to Paroling & Discharging
Inmates, PRISON LAW OFFICE (2011), http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf.
1597
Disability Benefits, SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10029.pdf
1598
You can call Social Security to find out what current income limits apply to you. See Supplemental Security
Income (SSI), SOC. SEC. ADMIN., http://www.socialsecurity.gov/pubs/EN-05-11000.pdf
1599
Supplemental Security Income (SSI), SOC. SEC. ADMIN., http://www.socialsecurity.gov/pubs/EN-05-11000.pdf
1600
42 U.S.C. § 1382b; Benefits Available to Paroling & Discharging Inmates, PRISON LAW OFFICE (2011),
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf.
1601
If you’re a non-citizen, you may be able to get SSI if you meet specific requirements; the rules on this are
complex. Resources are available from California Immigrant Policy Center (www.caimmigrant.org) and National
Immigration Law Center (www.nilc.org). You should also ask your county social services office for information about
benefits programs for non-citizens, such as CAPI (See Helpful Hint box above). Benefits Available to Paroling &
Discharging Inmates, PRISON LAW OFFICE (2011), http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf.
1602
For more information on how to apply, visit http://www.cdss.ca.gov/cdssweb/entres/getinfo/pdf/eas16.PDF
1593
1594

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5) You must apply for any other cash benefits you might be eligible for; and
1604
6) You must not be currently incarcerated (details below).

1603

HELPFUL HINT
Cash Assistance Program for Immigrants (CAPI)
CAPI is a state-funded program that provides monthly cash benefits (similar to SSI) for
aged, blind, and disabled non-citizens who are ineligible for SSI/SSP solely due to
their immigrant status.
CAPI Eligibility: To be eligible for CAPI, you must:
Fill out an application in the county welfare office
o Be a lawfully present noncitizen
o Meet all other SSI/SSP eligibility requirements (except for immigration status)
o Be ineligible for SSI/SSP solely due to immigration status
For more information on CAPI, call your local SSA office (listing of SSA offices
available at: https://secure.ssa.gov/ICON/main.jsp or visit:
http://www.cdss.ca.gov/cdssweb/PG42.htm

•

•
•

•

!

HOW SSI AFFECTS YOUR ABILITY TO GET OTHER PUBLIC
BENEFITS:
•

•
•

•

If you get SSI, you can’t also get CalFresh, since SSI is supposed to cover
1605
food expenses.
However, other people in your household may be eligible
and your income will not count in determining their eligibility.
If you get SSI, you’ll be automatically enrolled in Medi-Cal (see PG. 539) and
may qualify for extra help with paying for Medicare (see PG. 544).
SSI recipients who do not have access to a kitchen or have a kitchen but no
stove or refrigerator are eligible for additional food benefits through SSI. You
are not considered as having access to a kitchen unless you have a working
1606
refrigerator or icebox and a stove with at least two working burners.
Depending on your work history, you may be eligible to get retirement
1607
benefits (see PG. 555) and/or SSDI (see PG. 561) in addition to SSI.

CAN MY CRIMINAL HISTORY LIMIT MY ABILITY TO GET SSI?
Possibly—but this could be just temporary. You can’t get SSI for any month that
1608
you:
1) Are confined in a correctional facility for that full calendar month;
2) Have an outstanding arrest warrant because you’re avoiding prosecution or
confinement for a felony; or
1609
3) Are found to be violating a condition of probation or parole.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

7 C.F.R. § 273.20(a); Benefits Available to Paroling & Discharging Inmates, PRISON LAW OFFICE (2011),
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf.
1604
Supplemental Security Income (SSI), SOC. SEC. ADMIN., http://www.socialsecurity.gov/pubs/EN-05-11000.pdf
1605
7 C.F.R. § 273.20(a); CDSS, MPP § 63-402.226; Benefits Available to Paroling & Discharging Inmates, PRISON LAW
OFFICE (2011), http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf.
1606
Description of Supplements, SOC. SEC. ADMIN., https://secure.ssa.gov/poms.nsf/lnx/0501415044#b
1607
Supplemental Security Income (SSI) Benefits, SOC. SEC. ADMIN., http://www.socialsecurity.gov/pubs/EN-0511000.pdf
1608
What Prisoners Need to Know, SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10133.pdf
1603

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•

•

Here is an example of how this works: If you went to jail on October 30, 2014
until November 2, 2014, you weren’t entitled to SSI benefits for the months of
1610
October or November. This means you can’t collect “back payments” for
SSI benefits that you would have received if you never had a violation,
warrant, and/or period of confinement as described in the three situations
1611
above. Additionally, your benefits will be paused for up to one year. After
that, they will be ended and you will need to re-apply (see PG. 571 below).
Also, you can’t apply for any Social Security benefits based on a disability
that is related to a felony you committed. For example, if you fell while
committing a felony and lost your ability to walk as a result, that disability
1612
won’t qualify you for SSI. But you could still apply for SSI based on a
disability that has no connection to your felony.

HOW DO I APPLY FOR SSI?
1613

You can apply by phone or in person:
• By phone: Call Social Security at 1-800-772-1213 (TTY: 1-800-325-0778). A
representative will set an appointment for you to do your application by
phone. This toll-free line is open Monday through Friday, 7 AM to 7 PM. For
each time you call, record the date of your call and the name of the person
who assists you. If you complete your application within 60 days of your first
call to request information or materials, the SSA will treat that call as the date
1614
of your application.
• In person: First, call Social Security to find a local office near you; or, if you
have Internet access, use the office locator at
https://secure.ssa.gov/ICON/main.jsp. Then call the local office to make an
appointment. Unfortunately, you cannot apply for SSI online.
TIPS:
• If you’re applying based on a disability, apply as soon as possible when you
1615
become disabled. The application review process can take 3-5 months.
• Before you start, you may want to look over the Social Security
Administration’s SSI brochure (available online at
http://www.socialsecurity.gov/pubs/EN-05-11000.pdf) and/or disability
1616
application checklist (see Appendix G, PG. 606) to know what you’ll need.
• If you need help with the application, call the Social Security Administration
or visit a local Social Security office. You have a right to assistance from
1617
Social Security representatives if you need help due to a disability.
• You have a right to appoint any individual—such as a friend, family member,
attorney, social worker, or other trusted advocate—to act as your
representative in the application process. To do so, use the “Appointment of
1618
Representative” form in Appendix F, PG. 600.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
42 U.S.C. § 1382; Benefits Available to Paroling & Discharging Inmates, PRISON LAW OFFICE (2011),
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf; see also What You Need to Know When You Get
Supplemental Security Income (SSI), SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-11011.pdf
1610
Benefits After Incarceration: What You Need to Know, SOC. SEC. ADMIN., http://www.ssa.gov/reentry/
1611
42 U.S.C. § 1382; Benefits Available to Paroling & Discharging Inmates, PRISON LAW OFFICE (2011),
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf.
1612
42 U.S.C. § 423(d)(6)(A).
1613
See Supplemental Security Income (SSI) Benefits, SOC. SEC. ADMIN., http://www.ssa.gov/disabilityssi/ssi.html
1614
Benefits Available to Paroling & Discharging Inmates, PRISON LAW OFFICE (2011),
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf
1615
Disability Benefits, SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10029.pdf
1616
Disability Planner: How You Apply, SOC. SEC. ADMIN., http://www.ssa.gov/dibplan/dapply.htm; Checklist for
Online Adult Disability Application, SOC. SEC. ADMIN., http://www.ssa.gov/hlp/radr/10/ovw001-checklist.pdf
1617
Benefits Available to Paroling & Discharging Inmates, PRISON LAW OFFICE (2011),
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf
1618
Your Right to Representation, SOC. SEC. ADMIN., http://www.socialsecurity.gov/pubs/EN-05-10075.pdf
1609

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•
•

Some counties offer assistance with representation or referral to legal
services programs for representation.
If you need benefits right away due to a financial emergency, ask if you can
1619
get “expedited” benefits.

CAN I APPLY FOR SSI WHILE INCARCERATED?
1620

Yes! You can’t receive SSI benefits while incarcerated —but if you haven’t
applied for SSI before, and you think you may qualify, you can start the
application process as early as 90 days before your release date. Keep in mind
1621
that review of an SSI application can take 3-5 months.
Some prisons and jails have a prerelease agreement with local Social Security
offices.
•

•

If your facility has a pre-release agreement: Speak to correctional staff. They
may be available to help you complete and submit your SSI application
before your release.
o Correctional staff should also notify the Social Security office about your
release date.
o Ideally, if a prerelease agreement is in place, staff should start working
with you several months before your release, and the Social Security
office should then process your application promptly so that your
benefits will start shortly after you get out.
If your facility doesn’t offer prerelease assistance—and/or you have trouble
working with correctional staff: Call Social Security at 1-800-772-1213 (TTY: 1800-325-0778) to have application materials mailed to you and get help with
them. Be prepared to give your release date.
o If Social Security’s automated phone system doesn’t accept your call,
you should ask a non-incarcerated family member to call as an
Authorized Representative (“AR”) on your behalf (use the form inc
Appendix F, PG. 600 to appoint a family member as an AR).
o An SSA representative will set a post-release appointment for you at a
local Social Security office, ask you to bring your official release
1622
documents, and tell you what else you need to do.

I WAS RECEIVING SSI WHEN I ENTERED PRISON OR JAIL. WHAT
HAPPENS TO IT WHILE I’M INCARCERATED?
It depends on how long your incarceration period lasts—and, specifically, how
1623
many full calendar months you spend in prison or jail:

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Benefits Available to Paroling & Discharging Inmates, PRISON LAW OFFICE (2011),
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf
1620
20 C.F.R. § 404.468(a).
1621
Finding the Key to Successful Transition from Jail or Prison to the Community, BAZELON CENTER (2009),
http://www.bazelon.org/News-Publications/Publications/List/1/CategoryID/7/Level/a/ProductID/17.aspx?
SortField=ProductNumber%2CProductNumber
1622
Benefits Available to Paroling & Discharging Inmates, PRISON LAW OFFICE (2011),
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf; What Prisoners Need to Know, SOC. SEC. ADMIN.
http://www.ssa.gov/pubs/EN-05-10133.pdf; Entering the Community After Incarceration—How We Can Help, SOC.
SEC. ADMIN, http://www.ssa.gov/pubs/EN-05-10504.pdf; Arrested? What Happens to Your Benefits?, BAZELON CENTER,
http://www.kitsaPGov.com/pubdef/Forms/LinkClick.Benefits.pdf
1623
See Finding the Key to Successful Transition from Jail or Prison to the Community (2009), BAZELON CENTER,
http://www.bazelon.org/NewsPublications/Publications/List/1/CategoryID/7/Level/a/ProductID/17.aspx?SortField=ProductNumber%2CProductN
umber; Arrested? What Happens to Your Benefits?, BAZELON CENTER,
http://www.kitsaPGov.com/pubdef/Forms/LinkClick.Benefits.pdf; Benefits Available to Paroling & Discharging
Inmates, PRISON LAW OFFICE (2011), www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf; A Manual on SSI/SSDI for
Prisoners & Their Advocates (2004), LEGAL SERVICES FOR PRISONERS WITH CHILDREN,
www.prisonlegalnews.org/media/publications/manual_on_social_security_beneits_for_prisoners.pdf; What You
1619

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•

•

•

If your incarceration doesn’t last a full calendar month: Your SSI benefits
generally continue without interruption. Once you’ve spent a full calendar
month in prison or jail, your SSI benefits get suspended (put on pause).
If your incarceration lasts for less than 12 calendar months in a row: Your SSI
benefits stay suspended, but you remain enrolled in SSI. This means once
you’re released, Social Security can promptly restart your SSI benefits if it has
proof that you’ve been released and proof that you still qualify based on
income and resources. You won’t be required to show new proof of your
disability—although you should promptly report any changes to your disabled
condition. (For details on how to restart your SSI after release from
incarceration, see PG. 573.)
If your incarceration lasts 1 year or more, and your SSI has been suspended
for 12 calendar months in a row: Your SSI gets terminated (officially ended).
This means you’re no longer enrolled in SSI. If you want to get SSI after your
release, you must file a brand new SSI application, including proof of your
income and resources and proof of your disability. Processing your new SSI
application may take 12-18 months. (For general information on how to start a
new SSI application, see PG. 569. For details on how to apply for SSI while
incarcerated, see PG. 573).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
Need to Know When You Get Supplemental Security Income (SSI), SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN05-11011.pdf

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BELOW IS A CHART THAT SUMMARIZES HOW THE TIMING OF YOUR INCARCERATION AND RELEASE WILL
1624
AFFECT YOUR SSI ELIGIBILITY.

If this is
your
situation:
Incarcerated
for less than
one full
calendar
month:
Incarcerated
for one full
calendar
month:

Incarcerated
for at least
one full
calendar
month, then
released
after the 1st
of another
month:

Incarcerated
for 12+ full
calendar
months in a
row, then
released:

This is what will happen to
your eligibility for SSI:
You stay enrolled in SSI. You stay
eligible to receive SSI benefits.
• Your benefits are not
suspended.
• You continue to get full
benefits.
You stay enrolled in SSI. Your
ability to receive SSI benefits is put
on pause.
• After a full calendar month,
benefits are suspended, but not
terminated.
• You lose full benefits for that
full calendar month.
• Your benefits can restart postrelease.
You stay enrolled in SSI. Your
ability to receive SSI benefits is put
on pause.
• After a full calendar month,
benefits are suspended, but not
terminated.
• If you notify SSA of your release
date in advance, your benefits
can restart promptly upon
release.
• You can get partial payment for
the calendar month of your
release date.
• You can get full benefits for the
following calendar month after
release.
You do not stay enrolled in SSI. You
must reapply to get SSI benefits
again.
• After a full calendar month, your
benefits are suspended.
• After 12 calendar months of
being suspended, benefits are
terminated.
• You must file a new SSI
application, including proof of
disability, which can take 12-18
months to process. You can
start your application process
before release.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

For example:
Suppose you went to prison on February 10, 2014 and are got out
March 30, 2014:
• You weren’t in prison for a full calendar month—only part of
February and part of March. So there are no changes to your
eligibility, and you should have received all your benefits as
usual.
Suppose you went to prison on February 10, 2014 and got out on
April 1, 2014:
• You lost your March benefits, since you were in prison for that
full calendar month.
• You can keep your February benefits, since you were in prison
for just part of that month.
• You should get your full April benefit—but it may be delayed
unless you promptly notify Social Security of your release.
Suppose you went to prison on February 10, 2014 and got out on
May 15, 2014:
• After you’ve been incarcerated
• You lost your March and April benefits, since you were in prison
for those full calendar months.
• You lost half your May benefit, since you were in prison for half
that calendar month; but you’re entitled to the other half. You
should also get your full June benefit.
• If you notify SSA in advance, your benefits may be available as
early as your release date.

Suppose you went to prison on January 20, 2012 and got out
February 10, 2013:
• After you’ve been incarcerated for the full calendar month of
February 2012, your benefits are suspended starting March 1,
2012.
• After your benefits have been suspended from March 2012
through February 2013 (12 calendar months), they are terminated
on March 1, 2013.
• If you want to get back on SSI after release, you must file a new
SSI application, which you can start before your release date.
BUT
Suppose you went to prison on January 20, 2012 and got out
January 20, 2013:
• After you’ve been incarcerated for the full month of February
2012, your benefits are suspended starting March 1, 2012.
• You lost benefits for March through December (10 months), since
you were in prison for those full calendar months.
• Your benefits were suspended for 10 calendar months: not long
enough to get terminated. So if you notify SSA in advance, your
benefits may be available as early as your release date.

Your Right to Representation (2009), BAZELON CENTER, www.bazelon.org/NewsPublications/Publications/List/1/CategoryID/7/Level/a/ProductID/17.aspx?SortField=ProductNumber%2CProductN
umber; A Manual on SSI/SSDI for Prisoners & Their Advocates (2004), LEGAL SERVICES FOR PRISONERS WITH CHILDREN,
www.prisonlegalnews.org/media/publications/manual_on_social_security_beneits_for_prisoners.pdf
1624

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MY SSI BENEFITS STOPPED WHILE I WAS INCARCERATED. HOW
DO I RESTART THEM?

!

Follow the instructions in the chart below based on your situation.
BEFORE RELEASE:

AFTER RELEASE:

Once you know your release date, notify your correctional
counselor (or another staff member at your facility) that
you want to restart your SSI benefits. It’s best to start this
1625
process at least 3 months before your release.

If you weren’t able to do this while incarcerated,
call Social Security to report that you were
released from prison and want to restart your SSI
benefits. A representative will set an appointment
for you at a local Social Security office, ask you to
bring your official release documents, and tell you
what else you need to do. You will also need your
1629
social security number.

•

•

If your facility has a prerelease agreement with Social
Security, staff should be available to help you
complete and submit the necessary paperwork in a
1626
timely way.
If your facility doesn’t offer prerelease assistance—
and/or you have trouble working with correctional
staff—call Social Security at 1-800-772-1213 (TTY: 1800-325-0778) to notify Social Security that you were
getting SSI before incarceration, and you want your
benefits to restart as soon as possible after your
release. The toll-free line is open Monday to Friday,
7AM to 7PM. Be prepared to provide your Social
Security number and release date. A representative
will set a post-release appointment for you at a local
Social Security office, ask you to provide official
release documents, and tell you what else you need to
1627
do.

You can also ask a friend, family member, or trusted
advocate to communicate with Social Security about your
benefits on your behalf. See Appendix F, PG. 600 for
1628
paperwork to complete.

•

•

If your SSI has only been suspended and not
terminated, it may take only a month to restart
your benefits. If your SSI has been terminated,
you may have to file
a new application and
1630
wait 12-18 months.
In special cases, you may be able to get
benefits on the day you walk into the local
Social Security office to complete your SSI
paperwork. This is possible if (1) your SSI was
only suspended and not terminated during
incarceration, or you filed a new SSI
application while incarcerated and it was
approved before your release; and (2) you can
show proof of a financial emergency; and (3)
you haven’t already received benefits for the
1631
month.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Benefits After Incarceration, SOC. SEC. ADMIN., http://www.ssa.gov/reentry/; Entering the Community After
Incarceration—How We Can Help, SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10504.pdf; Arrested? What
Happens to Your Benefits?, BAZELON CENTER, http://www.kitsaPGov.com/pubdef/Forms/LinkClick.Benefits.pdf.
1626
What Prisoners Need to Know, SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10133.pdf; Entering the
Community After Incarceration—How We Can Help, SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10504.pdf;
Arrested? What Happens to Your Benefits?, BAZELON CENTER,
http://www.kitsaPGov.com/pubdef/Forms/LinkClick.Benefits.pdf.
1627
Your Right to Representation (2011), PRISON LAW OFFICE,
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf; What Prisoners Need to Know, SOC. SEC. ADMIN.,
http://www.ssa.gov/pubs/EN-05-10133.pdf; Entering the Community After Incarceration—How We Can Help, SOC.
SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10504.pdf.
1628
See Your Right to Representation, SOC. SEC. ADMIN., http://www.socialsecurity.gov/pubs/EN-05-10075.pdf.
1629
Benefits After Incarceration, SOC. SEC. ADMIN., http://www.ssa.gov/reentry/; What Prisoners Need to Know, SOC.
SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10133.pdf.
1630
What Prisoners Need to Know, SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10133.pdf; Entering the
Community After Incarceration—How We Can Help, SOC. SEC. ADMIN., http://www.3ssa.gov/pubs/EN-05-10504.pdf;
Your Right to Representation (2011), PRISON LAW OFFICE,
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf; Arrested? What Happens to Your Benefits?, BAZELON
CENTER, http://www.kitsaPGov.com/pubdef/Forms/LinkClick.Benefits.pdf.
1631
Your Right to Representation (2009), BAZELON CENTER, www.bazelon.org/NewsPublications/Publications/List/1/CategoryID/7/Level/a/ProductID/17.aspx?SortField=ProductNumber%2CProductN
umber.
1625

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HELPFUL HINT
SSI Backpayments
1632

You can’t get back-payments of SSI for any months you spent incarcerated.
In
other words, you can never collect checks you otherwise would have gotten if
you weren’t incarcerated. But you should be able to collect benefits dating back
to your release. So, for example, if you were incarcerated on June 7, 2014 and
released on September 7, 2014, your SSI can be restarted as of September 7.
You’ll be eligible for a partial SSI payment for September and full benefits for
1633
October.
If your SSI application is approved pre-release, SSI benefits should
be paid to you immediately upon release. If your SSI application is approved
post-release, SSI benefits should be paid to you immediately upon approval; and
1634
you should get backpayment to the date of your release.

I BELIEVE MY SSI WAS WRONGLY DENIED OR STOPPED. HOW DO I
APPEAL?
Many people who apply for SSI are denied at first, but then get benefits once
they appeal. Considering the small odds of getting approved on the first try, be
1635
prepared to get denied and to go through the appeals process.
NOTE: The
rules and procedures for appealing SSI decisions are the same as for SSDI
(described on PG. 566).
If Social Security decides to deny your SSI application, it must mail you a notice
of this decision.
•

•

You have a right to appeal. To do so, you must file a Request for
1636
Reconsideration within 60 days after the date you got the notice.
You can
send it by mail, but it’s best to file it in person at a local Social Security office.
This way you get a copy with a time-and-date stamp, which proves that you
1637
appealed on time.
If you miss the 60-day deadline due to factors beyond your control, like
illness or hospitalization, file a request for a “good cause exception” to the
1638
deadline along with your Request for Reconsideration.

If Social Security then decides to deny your Request for Reconsideration, it must
mail you a notice of this decision.
•

Again, you have a right to appeal. To do so, you must file a Request for an
Administrative Law Judge Hearing within 60 days after the date you got the
1639
notice.

If you can’t afford a lawyer to help with your appeal, you may be able to find free
help by contacting a local legal services program, a local bar association referral
1640
services, or a local Protection & Advocacy organization.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

42 U.S.C. § 1382
20 C.F.R. § 416.211; Your Right to Representation (2009), BAZELON CENTER, www.bazelon.org/NewsPublications/Publications/List/1/CategoryID/7/Level/a/ProductID/17.aspx?SortField=ProductNumber%2CProductN
umber. See also What Prisoners Need to Know, SOC. SEC. ADMIN., http://www.ssa.gov/pubs/EN-05-10133.pdf
1634
Your Right to Representation (2009), BAZELON CENTER, www.bazelon.org/NewsPublications/Publications/List/1/CategoryID/7/Level/a/ProductID/17.aspx?SortField=ProductNumber%2CProductN
umber
1635
Your Right to Representation (2011), PRISON LAW OFFICE,
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf
1636
20 C.F.R. § 416.1409
1637
Your Right to Representation (2011), PRISON LAW OFFICE,
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf
1638
20 C.F.R. §§ 404.911(a), 416.1411(a)
1639
20 C.F.R. § 416.1433
1632
1633

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!

VII. VETERANS’ BENEFITS
WHAT WILL I LEARN?
•
•
•
•
•
•
•

What benefits are available to veterans
Who is eligible to receive veterans benefits
What effect your criminal history has on your ability to receive
veterans benefits
Whether you can apply for veterans benefits while incarcerated
The effects of incarceration, if you were already receiving
veterans benefits
What to did if your veterans benefits are reduced or stopped
What to do if you’re disqualified from VA benefits due to your
discharge status

!
The federal Department of Veterans Affairs (VA) provides various
1641
benefits to U.S. military veterans. These include disability
compensation, pensions, education benefits, vocational and employment
services, healthcare benefits, insurance benefits, and survivors’ and
1642
dependents’ benefits.
Here you will learn about how your criminal
history and incarceration may affect your access to these benefits.
For more detailed and comprehensive information, you should read:
1643
1) The California Veterans Resource Book,
an overview of veterans’
resources across the state; and
1644
2) The Guidebook for California Incarcerated Veterans,
a practical
resource for pre- and post-release planning. You can also call the
VA at 1-800-827-1000 (TDD 1-800-829-4833) with questions and to
1645
obtain copies of all these resources.
If you have Internet access,
visit www.benefits.va.gov/benefits for further details and
downloadable forms; and visit www.ebenefits.va.gov to view your
status, access your documents, and apply for VA benefits.

AM I ELIGIBLE FOR VETERANS’ (VA) BENEFITS?

VETERAN
SERVICE
ADVOCATE
In 2014, a new law
requires some
correctional
facilities to refer
veterans to a
veteran service
advocate to help
them with reentrt
community from
certain
correctional
facilities prior to
release and a
referral to the
county Veteran
Services Office
(VSO) with can
assist veterans
after release.

Generally, to be eligible for most VA benefits:
1646
• You must have been discharged from active military service,
and
1647
• You must have served the minimum time in service;
and

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
Arrested? What Happens to Your Benefits?, BAZELON CENTER,
http://www.kitsaPGov.com/pubdef/Forms/LinkClick.Benefits.pdf
1641
See U.S.C. Title 38; Federal Benefits for Veterans Dependents and Survivors (2014), U.S. DEP’T OF VETERANS
AFFAIRS, www.va.gov/opa/publications/benefits_book.asp
1642
Your Right to Representation (2011), PRISON LAW OFFICE,
http://www.prisonlaw.com/pdfs/BenefitsLetter,Aug2011.pdf; Summary of VA Benefits, U.S. DEP’T OF VETERANS
AFFAIRS, www.benefits.va.gov/BENEFITS/benefits-summary/SummaryofVABenefitsFlyer.pdf
1643
California Veterans Resource Book (2014), CALIFORNIA DEP’T OF VETERANS AFFAIRS,
www.calvet.ca.gov/VetServices/Documents/Veteran_%20Resource_%20book_2014.pdf
1644
Guidebook for California Incarcerated Veterans, 4th ed. (2013), U.S. DEP’T OF VETERANS AFFAIRS,
www.va.gov/HOMELESS/docs/Reentry/09_ca.pdf
1645
Federal Benefits for Veterans Dependents & Survivors (2014), U.S. DEP’T OF VETERANS AFFAIRS,
www.va.gov/opa/publications/benefits_book.asp
1646
Active service means full-time service, other than active duty for training, as a member of the Army, Navy, Air
Force, Marine Corps, Coast Guard; or as a commissioned officer of the Public Health Service, Environmental
Science Services Administration or National Oceanic and Atmospheric Administration, or the Coast and Geodetic
Survey. U.S.C. Title 38; Federal Benefits for Veterans Dependents & Survivors (2014), U.S. DEP’T OF VETERANS AFFAIRS,
www.va.gov/opa/publications/benefits_book.asp
1640

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!
•
•
•

Your character of discharge must not be dishonorable or based on
1648
bad conduct;
and
You must not be statutorily barred from all VA benefits because of
your reason for discharge
1649
You must not currently be wanted for an open felony warrant.

Your basic eligibility for different benefits will also depend on the type
of military service you performed, how long you served, and other
1650
specific needs or issues you may have.
For more details about
benefits you may qualify for, visit a VA regional office, call 1-800-8251000, visit www.va.gov/benefits, or create an account at
1651
www.ebenefits.va.gov.

ABOUT DISHONORABLE
DISCHARGES
Certain dishonorable discharges may bar you from all VA benefits (see
1652
PG. 576).
But for some dishonorable discharges, including most situations
involving a felony conviction, you might still qualify for benefits if the VA reviews
your case and decides your discharge wasn’t under dishonorable conditions
1653
(see PG. 577) through a “discharge uPGrade.”
More specifically, if you have a discharge status of honorable or general under
honorable conditions, you are automatically eligible to apply for most VA
1654
Benefits including VA health care, VA Compensation, and VA Pension.
If you
have a discharge status of dishonorable or bad conduct (by general court
1655
martial) you are likely barred from all VA benefits.
If you have a discharge
status of other than honorable (OTH), bad conduct (special court martial), or
uncharacterized, the VA is required to make an individual determination as to
whether you were discharged or released under conditions other than
1656
dishonorable (see PG. 576).
This determination is based solely on your period
1657
of service in the military, not conduct or convictions post-service.

DISHONORABLE
CONDITIONS
Under VA
regulations, your
discharge was
issued “under
dishonorable
conditions” if you
were released
under any of the
following
circumstances:
• “acceptance of
an undesirable
discharge to
escape trial by
general courtmartial”
• “mutiny or
spying”
• “an offense
involving moral
turpitude
(generally
including
conviction of a
felony)”;
• “willful and
persistent
misconduct”; or
• “homosexual
acts involving
aggravated
circumstances or
factors affecting
the performance
of duty.”

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
A person who originally enlists after September 7, 1980 must complete either twenty-four months of continuous
active duty or the full period for which the person was called or ordered to active duty. 38 C.F.R. § 3.12a. Persons
who enlisted prior to September 7, 1980 or persons with a compensable service-connected disability are not subject
to the minimum time in service requirement. 38 C.F.R. § 3.12(a).
1648
U.S.C. Title 38; Federal Benefits for Veterans Dependents & Survivors (2014), U.S. DEP’T OF VETERANS AFFAIRS,
www.va.gov/opa/publications/benefits_book.asp. For education benefits, the requirement is stricter: your character
of discharge or service must be honorable. See Applying for Benefits & Your Character of Discharge, U.S. DEP’T OF
VETERANS AFFAIRS, www.benefits.va.gov/benefits/character_of_discharge.asp
1649
Federal Benefits for Veterans Dependents & Survivors (2014), U.S. DEP’T OF VETERANS AFFAIRS,
www.va.gov/opa/publications/benefits_book.asp
1650
Claims for VA Benefits & Character of Discharge, U.S. DEP’T OF VETERANS AFFAIRS,
www.benefits.va.gov/BENEFITS/docs/COD_Factsheet.pdf
1651
Summary of VA Benefits, U.S. DEP’T OF VETERANS AFFAIRS, www.benefits.va.gov/BENEFITS/benefitssummary/SummaryofVABenefitsFlyer.pdf
1652
Unless it’s determined that you were insane at the time you committed the offense, you’re barred from benefits
if you were released or discharged for any of the following: sentence of a general court-martial; being a
conscientious objector; desertion; resignation by an officer for the good of the service; absence without official
leave (AWOL) for a continuous period of 180+ days, without compelling circumstances warranting the unauthorized
absence; requesting release from service as an alien during a period of hostilities. 38 U.S.C. § 5303; Claims for VA
Benefits & Character of Discharge: General Information, U.S. DEP’T OF VETERANS AFFAIRS,
http://www.benefits.va.gov/BENEFITS/docs/COD_Factsheet.pdf.
1653
38 C.F.R. § 3.12(d); Claims for VA Benefits & Character of Discharge: General Information, U.S. DEP’T OF VETERANS
AFFAIRS, http://www.benefits.va.gov/BENEFITS/docs/COD_Factsheet.pdf.www.benefits.va.gov/BENEFITS/docs/
COD_Factsheet.pdf
1654
A discharge under honorable conditions is binding on the Department of Veterans Affairs as to character of
discharge. 38 C.F.R. § 3.12(a).
1655
38 C.F.R. § 3.12(a).
1656
M21-1manual rewrite (MR), Part III, Subpart v, Chapter 1, Section B; Beyond “T.B.D.” Understanding VA’s
Evaluation of a Former Servicemember’s benefits eligibility following involuntary or punitive discharge from the
armed services, 214 MIL. L. REV. WINTER 2012; the term ‘veteran’ means a person who served in the active military,
naval, or air service, and who was discharged or released therefrom under conditions other than dishonorable.” 38
U.S.C. § 101(2).
1647

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!

CAN MY CRIMINAL HISTORY LIMIT MY ABILITY TO GET VA
BENEFITS?
Yes. You’re not eligible for VA compensation, pension, or death
benefits if:
• You’re currently wanted for an open warrant on a felony
charge;
• You’re violating a probation or parole condition for a felony
1658
sentence;
or
1659
• You have a felony conviction that led to your discharge —
unless and until the VA reviews your case and determines that the
circumstances leading to your discharge may have been “other
1660
than dishonorable.”

!

VA BENEFITS &
FELONY
CONVICTIONS
In addition, for certain
VA benefits, your
benefit amounts will
be restricted or
discontinued if you’ve
been incarcerated for
60 or more days for a
felony conviction.

IMPORTANT: INFORMATION ABOUT MILITARY SERVICE & DISCHARGE
CONDITIONS:
•

•

•

If you served more than one term of active military service, and your
discharge for one of the terms was under dishonorable conditions, you may
not be eligible for VA benefits based on that term—however, if your
discharge for a different term of service ended under honorable conditions,
1661
you can still be eligible for VA benefits based on this separate term.
Also, if you completed a full term of enlistment, and it didn’t end with a formal
discharge because you later reenlisted, you can still be eligible for VA
1662
benefits based on completion of that first term.
If you have disabilities that are service-connected, and your discharge was
under dishonorable conditions, you may not be eligible for VA disability
compensation due to your discharge status. However, as long as your
discharge isn’t related to a situation that would absolutely disqualify you from
VA benefits by law (see PG. 576) you may still be eligible for VA health care
1663
benefits (e.g., treatment at a VA medical facility) for those disabilities. .

HOW DO I APPLY FOR VA BENEFITS?
The required forms and steps vary for different types of VA benefits. For most
VA benefits, you can submit your application online, by mail, or in person at a
Regional Benefit Office.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
M21-1manual rewrite (MR), Part III, Subpart v, Chapter 1, Section B; Beyond “T.B.D.” Understanding VA’s
Evaluation of a Former Servicemember’s benefits eligibility following involuntary or punitive discharge from the
armed services, 214 MIL. L. REV. WINTER 2012.
1658
38 U.S.C. § 5313B; C.F.R. 38 §§ 3.665(n), 3.666(e); Federal Benefits for Veterans Dependents & Survivors (2014),
U.S. DEP’T OF VETERANS AFFAIRS, www.va.gov/opa/publications/benefits_book.asp. If the VA believes that you are in
violation of probation or parole you must be provided notice by the VA and an opportunity to present evidence,
such as evidence that you are not in violation of probation or parole. See VBA Letter 20-14-09 (June 23, 2014). If the
VA determines based upon the warrant and evidence that you submitted that you are fleeing from justice or
violated a condition of your probation or parole, your benefits will be terminated. See VBA Letter 20-14-09 (June 23,
2014).
1659
That is, if you were released because of an “offense involving moral turpitude.” 38 C.F.R. § 3.12(d); Claims for VA
Benefits & Character of Discharge, U.S. DEP’T OF VETERANS AFFAIRS,
www.benefits.va.gov/BENEFITS/docs/COD_Factsheet.pdf.
1660
Claims for VA Benefits & Character of Discharge, U.S. DEP’T OF VETERANS AFFAIRS,
www.benefits.va.gov/BENEFITS/docs/COD_Factsheet.pdf.
1661
Claims for VA Benefits & Character of Discharge, U.S. DEP’T OF VETERANS AFFAIRS,
www.benefits.va.gov/BENEFITS/docs/COD_Factsheet.pdf.
1662
For example, if an individual enlisted for three years, completed the three years and reenlisted for two more
years, then received a discharge under other than honorable conditions during the second enlistment, VA benefits
may be provided based on the first period of service, even if it is determined that the character of discharge of the
second period of service is a bar to benefits. See Claims for VA Benefits & Character of Discharge, U.S. DEP’T OF
VETERANS AFFAIRS, www.benefits.va.gov/BENEFITS/docs/COD_Factsheet.pdf
1663
Claims for VA Benefits & Character of Discharge: General Information, U.S. DEP’T OF VETERANS AFFAIRS,
http://www.benefits.va.gov/BENEFITS/docs/COD_Factsheet.pdf.
1657

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!

You can get more details about different VA benefits online, by phone, by mail,
or in person:
• Online: Visit the Veterans Benefits Administration website for a list of benefit
types, along with links to forms and instructions on how to apply:
www.benefits.va.gov/BENEFITS/Applying.asp.
• By phone: Call 1-800-827-1000 for questions about benefits; 1-877-222-8387
for questions about health care.
• By mail: Send a written request to one of the Regional Benefit Offices listed
below.
o Los Angeles Regional Benefit Office: 11000 Wilshire Blvd., Los Angeles,
CA 90024
o San Diego Regional Benefit Office: 8810 Rio San Diego Drive, San
Diego, CA 92108
o Oakland Regional Benefit Office: 1301 Clay St., North Tower, Oakland,
CA 94612
• In person: Visit a Regional Benefit Office listed above, or visit any Intake Site.
To find an Intake Site near you, ask a Regional Benefit Office or search the
online directory at www.va.gov/directory/guide/home.asp.

CAN I APPLY FOR VA BENEFITS WHILE INCARCERATED?
Yes. Although your eligibility for VA benefits may be limited or cut off during
incarceration, there are various VA benefits you can apply for while
incarcerated. There are certain benefits you can apply for and receive in full
while incarcerated; and there are certain other benefits you should start
applying for while incarcerated so that you can access them immediately upon
your release. Information about some of these benefits is provided below.
Contact the VA at 1-800-827-1000 (TDD 1-800-829-4833) for further details.

Overview of VA benefits You Can (& Can’t) Apply for While Incarcerated:
VA Benefits You CAN Apply for:
•
•

•

Service-related disability compensation, disability pensions, dependency benefits, and death
1664
benefits
Apportionment of benefits if incarcerated for a non-felony. This means you can ask the VA to pay
1665
your dependent(s) some or all of the benefits that you can’t receive while incarcerated.
You or
1666
your dependent(s) must complete VA Form 21-0788 (see Appendix H, on PG. 610)
and submit
1667
it to a VA Regional Office.
You CAN apply for education benefits while incarcerated:
1668
o For a non-felony, you can get full monthly education benefits.
o For a felony, you can get benefits to cover the costs of your tuition, fees, and necessary
1669
books and supplies—if no other government program is covering these costs.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

VA Benefits You
CAN’T Apply For:
•

The law restricts the amounts you receive while incarcerated (see PG. 79). See 38 U.S.C. § 5313(a), 38 C.F.R.
§ 3.665(a), (d); Federal Veterans Benefit: Incarceration Information, WASH. STATE DEP’T OF CORR.,
www.doc.wa.gov/family/docs/VAFederalBenefits.pdf.
1665
If you’re incarcerated for 60+ days, on the 61st day the VA will reduce any disability compensation and pension
payments you were getting (see PG. 79). 38 U.S.C. § 5313(a), 38 C.F.R. § 3.665(a), (d); Federal Veterans Benefit:
Incarceration Information ,WASH. STATE DEP’T OF CORR., www.doc.wa.gov/family/docs/VAFederalBenefits.pdf.
1666
Information Regarding Apportionment Form 21-0788, U.S. DEP’T OF VETERANS AFFAIRS,
www.vba.va.gov/pubs/forms/VBA-21-0788-ARE.pdf.
1667
In deciding whether and how much apportionment to award your family member(s), the VA will consider various
factors including their income, living expenses, and any special needs. 38 U.S.C. § 5313(a), 38 C.F.R. § 3.665(a), (d);
Federal Veterans Benefit: Incarceration Information, WASH. STATE DEP’T OF CORR.,
www.doc.wa.gov/family/docs/VAFederalBenefits.pdf.
1668
Incarcerated Veterans: How Incarceration Affects Eligibility for VA benefits, U.S. DEP’T OF VETERANS AFFAIRS,
www.benefits.va.gov/persona/veteran-incarcerated.asp.
1669
If another government program is covering part of these costs, you can apply for VA benefits to cover the rest.
See Health Care for Re-entry Veterans Services & Resources, U.S. DEP’T OF VETERANS AFFAIRS,
www.va.gov/homeless/reentry.asp; Guidebook for California Incarcerated Veterans, 4th ed. (July 2013), U.S. DEP’T OF
VETERANS AFFAIRS, www.va.gov/HOMELESS/docs/Reentry/09_ca.pdf.
1664

PAGE 578 OF 1210!

You can’t
apply for or
receive any
non-servicerelated
pension
benefits while
incarcerated
for a felony.

ROADMAP TO REENTRY

Pre-release steps for securing VA health care (& other
benefits):
•

•

•

•

Meet with your region’s Re-entry Specialist. Every region of the U.S.
has a VA Re-entry Specialist who can help determine your eligibility
for VA benefits. He/she can also help you enroll, restart disability
benefits, getting your DD-214 (explained below), and connecting
you with services. Your region’s Re-entry Specialist should be
scheduled to visit your facility at least yearly.
Enroll with the VA. Do this by visiting with a Re-entry Specialist, OR
by submitting a VA Form 10-10EZ by mail (see copy of form in
Appendix I, PG. 610). If your release date is within 6 months and you
haven’t seen a Re-entry Specialist, enroll by mail to ensure timely
access to services. To request a form, write to a VA Enrollment
Office near your place of release (directory online at
http://www.va.gov/directory/guide), and mail back your completed
form with “VA Enrollment” written on the envelope.
Get a copy of your “DD-214: Report of Separation.” Have this
ready before release. This is your proof of military service, and it’s
a key to your access to job opportunities, community resources,
and health care. To request your DD-214, write to: National
Personnel Records Center; 1 Archives Drive; St. Louis, MO 63136.
File for service-related disability compensation or disability
1670
pension, if that applies to you.

!
COMPENSATION
AND PENSION
EXAMINATION?

VA programs that can help you plan & navigate reentry:
•

•

•

Even if you are
incarcerated, the
VA is obligated to
provide you with a
compensation and
pension
examination when
one is required
(see VA Fast Letter
11-22,
Examinations for
Incarcerated
Veterans and
Veterans Health
Administration
(Sept. 8, 2011)).
You have the right
to have a medical
professional
perform the
examination at the
facility where you
are incarcerated
(see Bolton v.
Brown, 8 Vet. App.
185 (1995).

Health Care for Re-entry Veterans offers outreach, support, and
information to veterans in state or federal prison who are at risk
NOT
of homelessness upon release. To reach an HCRV Specialist near
INCARCERATED?
you, call VA’s health care line (1-877-222-8387); or check the
1671
If you’re
directory on HCRV’s online page.
participating in a
Veterans Justice Outreach offers outreach, support, and
work-release
information to veterans who are under arrest, under supervision of
program, living in a
halfway house, or
treatment courts, or in county jail and at risk of homelessness upon
under community
release. To reach a VJO Specialist near you, call VA’s health care
supervision as part
line (1-877-222-8387); or check the directory on VJO’s online
of your felony
1672
page.
sentence, the VA
Homeless Veterans Outreach (HVO) offers outreach, support, and
considers you NOT
incarcerated.
information to veterans who are involved in the criminal justice
system. HVO can help you apply for benefits and refer you to
services that meet your needs. To reach an HVO Coordinator near you, call
1673
the VA’s National Call Center for Homeless Veterans at 1-877-424-3838.

I WAS RECEIVING VA BENEFITS BEFORE I GOT ARRESTED. WHAT
HAPPENS TO THEM WHILE I’M INCARCERATED?
It depends. Until you’re convicted, there’s no problem: if you’re in jail awaiting
1674
trial, you’re presumed innocent, and still entitled to VA benefits.
Once

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Guidebook for California Incarcerated Veterans, 4th ed. (July 2013), U.S. DEP’T OF VETERANS AFFAIRS,
www.va.gov/HOMELESS/docs/Reentry/09_ca.pdf
1671
Health Care for Re-entry Veterans Services & Resources, U.S. DEP’T OF VETERANS AFFAIRS,
http://www.va.gov/homeless/reentry.asp
1672
Veterans Justice Outreach, U.S. DEP’T OF VETERANS AFFAIRS, www.va.gov/homeless/vjo.asp
1673
Incarcerated Veterans, U.S. DEP’T OF VETERANS AFFAIRS, www.benefits.va.gov/persona/veteran-incarcerated.asp
1674
Information for Incarcerated Veterans, SWORDS TO PLOWSHARES, www.swords-to-plowshares.org/wpcontent/uploads/Information-For-Incarcerated-Veterans.pdf
1670

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!

convicted, your ability to get VA benefits depends on your conviction and the
1675
length of your incarceration.
FOR NON-SERVICE-RELATED PENSIONS:
•

If you’re incarcerated for a felony or misdemeanor, you should keep getting
regular pension payments for the first 60 days of incarceration. If you’re
th
released on or before the 60 day, your payments should continue without
st
interruption. But starting on the 61 day of incarceration, payments get cut
off. After release, you may be able to restart your payments if you’re eligible
1676
at that time (details on PG. 581).

FOR HEALTH CARE BENEFITS:
•

If you’re incarcerated for any conviction, you don’t lose eligibility for VA
health care; but the VA won’t provide this care while you’re incarcerated,
1677
since the correctional facility has the duty to provide care to you.
After
release, you should be able to apply for and receive VA health care benefits
1678
again (details on PG. 581).

FOR SERVICE-RELATED DISABILITY COMPENSATION:
•
•

If you’re incarcerated for a misdemeanor, you should keep getting your
regular disability payments.
If you’re incarcerated for a felony, you should keep getting regular disability
payments for the first 60 days of incarceration. If you’re released on or before
th
the 60 day, your payments should continue without interruption. But
st
starting on the 61 day of incarceration, payments get reduced: if your
disability rating was 20% or higher before incarceration, it should drop to
10%; if it was 10% before, it should be cut in half. After release, you may be
able to restore your payments based on how severe your disability is at that
1679
time (see details on PG. 581).
Apportionment of benefits while incarcerated:
Even though you only receive a portion of your service-related benefit while
incarcerated, the balance, or full amount, of the benefit may be “apportioned”
1680
to your family member during the period of incarceration.
For example, if
you are 50% service-connected, you would only be entitled to receive 10%
while incarcerated. However, your family may be apportioned the remaining
40% of the benefit.
Either you or your family member may apply for apportionment using VA Form
21-0788. The amount apportioned will be determined based on need. In
determining need, the VA considers factors such as the appointee’s income,
living expenses and any other relevant factors. Apportionment may not be
granted retroactively.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Fact Sheet: Incarcerated Veterans (Aug 2012), U.S. DEP’T OF VETERANS AFFAIRS,
www.benefits.va.gov/BENEFITS/factsheets/misc/incarcerated.pdf; Incarcerated Veterans: How Incarceration Affects
Eligibility for VA benefits, U.S. DEP’T OF VETERANS AFFAIRS, www.benefits.va.gov/persona/veteran-incarcerated.asp.
1676
Fact Sheet: Incarcerated Veterans (Aug 2012), U.S. DEP’T OF VETERANS AFFAIRS,
www.benefits.va.gov/BENEFITS/factsheets/misc/incarcerated.pdf; Incarcerated Veterans: How Incarceration Affects
Eligibility for VA benefits, U.S. DEP’T OF VETERANS AFFAIRS, www.benefits.va.gov/persona/veteran-incarcerated.asp
1677
Fact Sheet: Incarcerated Veterans (Aug 2012), U.S. DEP’T OF VETERANS AFFAIRS,
www.benefits.va.gov/BENEFITS/factsheets/misc/incarcerated.pdf
1678
Guidebook for California Incarcerated Veterans, 4th ed. (July 2013), U.S. DEP’T OF VETERANS AFFAIRS,
www.va.gov/HOMELESS/docs/Reentry/09_ca.pdf.
1679
Fact Sheet: Incarcerated Veterans (Aug 2012), U.S. DEP’T OF VETERANS AFFAIRS,
www.benefits.va.gov/BENEFITS/factsheets/misc/incarcerated.pdf; Incarcerated Veterans: How Incarceration Affects
Eligibility for VA benefits, U.S. DEP’T OF VETERANS AFFAIRS, www.benefits.va.gov/persona/veteran-incarcerated.asp
1680
U.S. DEP’T OF VETERANS AFFAIRS, GUIDEBOOK FOR CALIFORNIA INCARCERATED VETERANS, 4th ed. (July 2013),
http://www.va.gov/HOMELESS/docs/Reentry/09_ca.pdf
1675

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IMPORTANT: Notifying the VA about Your Incarceration and Release:

!

• You are required to notify the VA when you go to jail or prison. The VA
needs to know whether and when to reduce or stop your benefits. If
you receive larger or more VA payments than you’re legally entitled to
receive while incarcerated, the VA will require that you eventually
repay the total amount that you should not have received—your
“overpayment.” Basically, after you’re released from incarceration and
once again eligible for benefits, the VA will withhold all your benefits
until the overpayment is paid off.1681
• You should notify the VA within a year after your release—in advance,
if possible. The VA will assume that you remain incarcerated until you
submit proof of your release date. The VA needs this proof before it
can restore or restart your benefits.1682
• The VA periodically identifies people receiving VA benefits who are
incarcerated or in violation of parole or probation via listings that it
receives from the U. S. Bureau of Prisons (BOP), the Social Security
Administration (SSA), and other sources. However, these listings may
have errors regarding your dates of incarceration, so it is helpful for
you to be in direct contact with the VA to correct any inaccurate
information.
Note, you can use VA Form 21-4193 to notify the VA of your incarceration
and release dates. (See copy of form in Appendix J, PG. 615.) If you’re
incarcerated, you can get this form from a correctional counselor. If you
have Internet access, download the form at
www.reginfo.gov/public/do/DownloadDocument?documentID=203887&v
ersion=1. You can also call the VA at 1-800-827-1000 and ask that the
form be mailed to you. The form must be signed by a correctional official.

MY VA BENEFITS WERE REDUCED OR STOPPED WHILE I WAS
INCARCERATED. HOW DO I RESTORE OR RESTART MY VA
BENEFITS?
FOR DISABILITY COMPENSATION OR PENSION BENEFITS:
•

•

The VA will not automatically resume paying benefits at the full amount once
you are released. Once you have a release date, contact the VA as early as
30 days before that date. Provide official proof of your release date, such as
1683
VA Form 21-4193 (see Appendix J, PG. 615) or your parole papers.
As long
as you notify the VA within one year following your release, you’ll receive
1684
benefits dating back to your release date.
The VA will backdate your benefits to the date of release if you provide the
VA with proof of your release within one year of your release. If you do not

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Information for Incarcerated Veterans, SWORDS TO PLOWSHARES, www.swords-to-plowshares.org/wpcontent/uploads/Information-For-Incarcerated-Veterans.pdf; Can the VA Stop or Lower My Disability Benefits If I Go
to Jail?, NOLO: LAW FOR ALL, www.nolo.com/legal-encyclopedia/can-the-va-stop-lower-my-disability-benefits-if-i-goto-jail.html
1682
Information for Incarcerated Veterans, SWORDS TO PLOWSHARES, www.swords-to-plowshares.org/wpcontent/uploads/Information-For-Incarcerated-Veterans.pdf.
1683
For the VA, being “released from incarceration” includes being on parole, participating in a work release
program, or living in a halfway house. See Fact Sheet: Incarcerated Veterans (Aug 2012), U.S. DEP’T OF VETERANS
AFFAIRS, www.benefits.va.gov/BENEFITS/factsheets/misc/incarcerated.pdf
1684
Depending on the type of disability, the VA may also schedule you for a medical examination to see if your
disability has improved. See Fact Sheet: Incarcerated Veterans (Aug 2012), U.S. DEP’T OF VETERANS AFFAIRS,
www.benefits.va.gov/BENEFITS/factsheets/misc/incarcerated.pdf
1681

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•

provide notification of your release within one year, your benefits will only be
1685
retroactive to the date of the notification.
You can use VA Form 21-4193 to notify the VA of your incarceration and/or
release. (See Appendix J, PG. 615.) If you’re incarcerated, you can get this
form from a correctional counselor. If you have Internet access, download the
form at
www.reginfo.gov/public/do/DownloadDocument?documentID=203887&versi
on=1. You can also call 1-800-827-1000 and ask that the form be mailed to
you. The form must be signed by a correctional official to be valid as proof.

FOR HEALTH CARE BENEFITS:
•

•

If you don’t have your Veteran Identification Card, and/or if you plan to
access services at a VA health care facility you haven’t visited before,
complete VA Form 10-10EZ (see Appendix I, PG. 610) and send it to that
facility. Doing this at least 6 months before your release can help ensure
1686
you’ll have access to health care when you get out.
You can request this
form by calling or writing to any VA health care facility, or by calling 1-8771687
222-8387.
If you have your Veteran Identification Card, and if you plan to access
services at a VA health care facility you’ve visited before, you should be able
1688
to access services there without submitting any forms.

DEBTS OWED TO THE VA CAUSED BY INCARCERATION:
•

•

•

•

st

If you were paid VA benefits after your 61 day of incarceration you may have
an overpayment. An overpayment may prevent you from receiving the full
benefit amount to which you are entitled after you are released.
Whenever an overpayment is established in any program under the
jurisdiction of the Veterans Benefits Administration, the Debt Management
Center (DMC) at the St. Paul, Minnesota, VA Regional Office assumes
1689
responsibility over your debt. The VA DMC may be contacted by mail
or by
1690
calling 1-800-827-0648.
1691
You may request a waiver of your debt. The VA does not require the use of
1692
a specific form to request a waiver.
The time limit for requesting waiver of
an overpayment is 180 days from the date you are first advised of the
existence of the overpayment and the notification specifies the amount of the
debt. A request for waiver should be submitted to the DMC with a completed
financial status report using VA Form 20-5655.
If the VA incorrectly calculated your dates of incarceration, you may
1693
challenge the validity of the debt or the effective date of the debt.
There is
no official form for disputing the validity of the debt.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Veterans Benefits Manual, § 9.2.2 (2014); 76 Fed. Reg. 2,766 (Jan. 14, 2011) (proposed rule).
Guidebook for California Incarcerated Veterans, 4th ed. (July 2013), U.S. DEP’T OF VETERANS AFFAIRS,
www.va.gov/HOMELESS/docs/Reentry/09_ca.pdf
1687
Once you have Internet access, you can find the form at www.va.gov/1010ez.htm or by visiting Appendix I. See
also Arrested? What Happens to Your Federal Benefits?” (2006), BAZELON CENTER,
www.kitsaPGov.com/pubdef/Forms/LinkClick.Benefits.pdf
1688
However, if you aren’t receiving service-related disability benefits, the VA may ask for information about your
income for the prior year. Guidebook for California Incarcerated Veterans, 4th ed. (July 2013), U.S. DEP’T OF VETERANS
AFFAIRS, www.va.gov/HOMELESS/docs/Reentry/09_ca.pdf
1689
The DMC mailing address is P.O. Box 11930 St. Paul, MN 55111-0930
1690
Debt Management Center, U.S. DEP’T OF VETERANS AFFAIRS, http://www.va.gov/debtman/.
1691
38 C.F.R. § 1.911(c)(2) (2014). A waiver will not be granted by the VA unless you request a waiver.
1692
Veterans Benefits Manual, 2014 Edition, sections 9.4-9.4.8.
1693
38 C.F.R. § 1.911(c)(1).
1685
1686

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I’M DISQUALIFIED FROM VA BENEFITS BECAUSE OF MY
NEGATIVE DISCHARGE STATUS. HOW CAN I HAVE MY
DISCHARGE STATUS REVIEWED FOR AN UPGRADE?
These requests are rarely granted, so you may want to get help.
If you left the military less than 15 years ago, apply for a “Review of Discharge or
Dismissal” using Department of Defense’s DD Form 293 (see copy of form in
1694
Appendix K, PG. 617.
You can also have the form mailed to you by calling the
VA at 1-703-607-1600; or by sending a written request to: Army Review Boards
Agency; ATTN: Client Information and Quality Assurance; Arlington, VA 222024508. Alternatively, obtain DD Form 293 from a VA regional office, or online at
1695
http://www.usapa.army.mil.
•

The Review Board will grant your uPGrade request only if your discharge
reason was “inequitable” (not consistent with the policies and traditions of
the service) or “improper” (based on error, or violating a law or regulation).
With your application form, include written statements and records that help
1696
prove this.

If you left the military more than 15 years ago, apply for a Correction of Military
1697
Records using DD Form 149 (see copy of form in Appendix L, PG. 622). You
can also have the form mailed to you by calling the VA at 1-703-607-1600; or by
sending a written request to: Army Review Boards Agency; ATTN: Client
Information and Quality Assurance; Arlington, VA 22202-4508. Alternatively,
obtain DD Form 149 from a VA regional office, or online at
1698
www.usapa.army.mil.
•

•

Generally, you must request a correction within 3 years of discovering an
“error” or “injustice” in your record. However, if the Board for
Correction finds it is “in the interest of justice” to excuse a late
request, it may do so. If your request is late, you must explain why
your application was delayed, and why it’s in the interest of justice
for the Board to consider it despite the delay.
The Board for Correction will grant your request if you show that
something in the record is inaccurate or unjust. With your
application form, include ALL available evidence that helps to
prove this, such as signed witness statements, personnel records,
1699
or a brief of arguments supporting the correction.

Because these applications are rarely granted, you should consider
the following options to get help:
1)

Contact a local veteran service organization to see if any staff can
help you complete the forms and/or represent you.
2) Find a legal aid lawyer who specializes in discharge reviews.
3) Using the contact information provided on the form (see DD 293 or
DD 149, whichever applied to you), contact the Review Board to
1700
discuss your case and ask questions.

INTEREST OF
JUSTICE?
In the majority
cases, former
service members
are simply unaware
of the 3-year filing
deadline. If this is
true in your case,
say so! If not, briefly
explain why you are
filing late, and why
it would unfair for
the Board of
Corrections to not
consider your
application.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

DD Form 293 is available at: www.dtic.mil/whs/directives/infomgt/forms/eforms/dd0293.pdf; National Archives,
VETERANS SERVICE RECORDS, www.archives.gov/veterans/military-service-records/correct-service-records.html.
1695
What You Should Know About How to UPGrade Your Military Discharge, U.S. ARMY TRIAL DEFENSE SERVICE, REGION
V, FORT LEWIS FIELD OFFICE, http://www.monterey.army.mil/legal/trial_defense/how_to_uPGrade_your_discharge.pdf
1696
What You Should Know About How to UPGrade Your Military Discharge, U.S. ARMY TRIAL DEFENSE SERVICE, REGION
V, FORT LEWIS FIELD OFFICE, http://www.monterey.army.mil/legal/trial_defense/how_to_uPGrade_your_discharge.pdf
1697
DD Form 149 is available at: www.dtic.mil/whs/directives/infomgt/forms/eforms/dd0149.pdf; National Archives,
VETERANS SERVICE RECORDS, www.archives.gov/veterans/military-service-records/correct-service-records.html.
1698
What You Should Know About How to UPGrade Your Military Discharge, U.S. ARMY TRIAL DEFENSE SERVICE, REGION
V, FORT LEWIS FIELD OFFICE, http://www.monterey.army.mil/legal/trial_defense/how_to_uPGrade_your_discharge.pdf
1699
Federal Benefits for Veterans, Dependents & Survivors (2014), U.S. DEP’T OF VETERANS AFFAIRS,
www.va.gov/opa/publications/benefits_book/benefits_chap15.asp
1694

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!

IMPORTANT: If you have an undesirable, other than honorable (OTH), or
a bad conduct discharge, you may be eligible for VA benefits if the VA
determines that your service was “other than dishonorable” through the
Character of Discharge administrative process.1701
• You may apply for a Character of Discharge determination by applying
for any VA benefit.
• The VA will only consider your time in service in making the
determination.1702
• You will not be eligible for a favorable determination if you are
statutorily barred from benefits.1703
• The VA may consider any number of factors in deciding whether to
grant a favorable decision, including, your length of service, whether
you deployed to a combat zone, whether you were diagnosed with a
medical condition prior to or shortly after discharge, and any other
relevant factors.1704

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
What You Should Know About How to UPGrade Your Military Discharge, U.S. ARMY TRIAL DEFENSE SERVICE, REGION
V, FORT LEWIS FIELD OFFICE, http://www.monterey.army.mil/legal/trial_defense/how_to_uPGrade_your_discharge.pdf
1701
M21-1manual rewrite (MR), Part III, Subpart v, Chapter 1, Section B
1702
See Beyond “T.B.D.” Understanding VA’s Evaluation of a Former Servicemember’s benefits eligibility following
involuntary or punitive discharge from the armed services, 214 MIL. LAW REV. WINTER 2012.
1703
Unless it’s determined that you were insane at the time you committed the offense, you’re barred from benefits
if you were released or discharged for any of the following: sentence of a general court-martial; being a
conscientious objector; desertion; resignation by an officer for the good of the service; absence without official
leave (AWOL) for a continuous period of 180+ days, without compelling circumstances warranting the unauthorized
absence; requesting release from service as an alien during a period of hostilities. 38 U.S.C. § 5303; Claims for VA
Benefits & Character of Discharge: General Information ,U.S. DEP’T OF VETERANS AFFAIRS,
http://www.benefits.va.gov/BENEFITS/docs/COD_Factsheet.pdf.
1704
See Beyond “T.B.D.” Understanding VA’s Evaluation of a Former Servicemember’s Benefits Eligibility following
Involuntary or Punitive Discharge from the Armed Services, 214 MIL. LAW REV. WINTER 2012.
1700

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PUBLIC BENEFITS
APPENDIX
APPENDIX A.

List of County Welfare Departments in California – PG. 586

APPENDIX B.

Cash Aid/CalFresh (Food Stamp) CSF 64 Form – PG. 588

APPENDIX C.

Emergency Food Assistance Program (EFAP)
Certification Of Eligibility – EFA-7 Form – PG. 590

APPENDIX D.

Covered California – Application for Health Insurance
Instructions – PG. 592

APPENDIX E.

Medicare Form: “Appointment of Representative” –
CMS Form 1696 (English)/ “Nombramiento de un
Representante” – CMS Form 1969 (español) – PG. 595

APPENDIX F.

Social Security Administration “Appointment of Authorized
Representative” – OMB No. 0960-0527 – PG. 600

APPENDIX G.

Social Security Administration’s Checklist For Online Adult
Disability Application – PG. 606

APPENDIX H.

Department Of Veterans Affairs “Information Regarding
Apportionment Of Beneficiary's Award” – VA Form 21-0788
– PG. 607

APPENDIX I.

Department of Veterans Affairs “Application for Health
Benefits – VA Form 10-10EZ – PG. 610

APPENDIX J.

Department of Veterans Affairs “Notice to Department of
Veterans Affairs of Veteran or Beneficiary Incarcerated in
Penal Institution – VA Form 21-4193 – PG. 615

APPENDIX K.

Department of Defense “Review of Discharge or Dismissal”
– DD Form 293 – PG. 617

APPENDIX L.

Department of Defense “Application for Correction of
Military Record” – DD Form 149 – PG. 622

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APPENDIX A
List of County Welfare Departments in
California
This list was adapted from the following CalFresh website:
http://www.calfresh.ca.gov/PG839.htm

Alameda County
Social Services Agency
1-888-999-4772

Alpine County
Health & Human Services
(530) 694-2235

Amador County
Department of Social Services
(209) 223-6550

Butte County
Department of Employment & Social Services
North County: (530) 879-3845
South County: (530) 538-7711

Calaveras County
Calaveras Works & Human Services Agency
(209) 754-6448

Colusa County
Department of Health & Human Services
(530) 458-0250

Contra Costa County
Social Services Department District Offices:
Richmond: (510) 412-3280, (510) 231-8114
Hercules: (510) 262-7709
Antioch: (925) 706-4560
Pleasant Hill: (925) 602-9379
If calling from within Contra Costa County, for general food
information dial 2-1-1

Del Norte County
Department of Health & Social Services
(707) 464-3191

El Dorado County
Health and Human Services Agency
(530) 642-7300

Fresno County
Department of Social Services
1-877-600-1377

Glenn County
Human Resource Agency
(530) 934-6514

Humboldt County
Department of Health & Human Services
1-877-410-8809 (CalFresh)
(707) 476-4700 (All programs)

Imperial County
Department of Social Services
(760) 337-6800

Inyo County
Department of Health & Human Services
(760) 872-1394

Kern County
Department of Human Services
(661) 631-6000, 1-877-410-8812

Kings County
Human Services Agency
(559) 582-3241

Lake County
Department of Social Services
(707) 995-4200

Lassen County
Department of Health & Human Services
(530) 251-8152

Los Angeles County
Department of Public Social Services
626-569-4298, 1-877-597-4777

Madera County
Department of Social Services
(559) 675-2300

Marin County
Department of Health & Human Services
(415) 473-3400

Mariposa County
Department of Human Services
(209) 966-2000

Mendocino County
Department of Social Services
(707) 463-7700

Merced County
Human Services Agency
(209) 385-3000

Modoc County
Department of Social Services
(530) 233-6501

Mono County
Department of Social Services
(760) 924-1770

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Monterey County
Department of Social Services
(831) 755-4400

Napa County
Health & Human Services
(707) 253-4511

Nevada County
Department of Social and
Child Support Services
(530) 265-1340

Orange County
Social Services Agency
(714) 541-4895

Placer County
Health & Human Services
(916) 784-6000, (530) 889-7610

Plumas County
Department of Social Services
(530) 283-6350

Riverside County
Department of Public Social Services
(951) 358-3000

Sacramento County
Department of Human Assistance
(916) 874-3100

San Benito County
Health & Human Services
(831) 636-4180

San Bernardino County
Human Services System
Transitional Assistance Department
(909) 388-0245
1-877-410-8829

San Diego County
Health & Human Services Agency 1-866-262-9881
If calling from within San Diego County,
for general food information dial 2-1-1

San Francisco County
Food Assistance Center
(415) 558-1001
(877) 366-3076

San Joaquin County
Human Services Agency
(209) 468-1000

San Luis Obispo County
Department of Social Services
(805) 781-1600

San Mateo County
Human Services Agency
1-800-223-8383

Santa Barbara County
Department of Social Services, District Offices
Lompoc: (805) 737-7080
Santa Maria: (805) 346-7135
Santa Barbara: (805) 681-4401

Santa Clara County
Social Services Agency
1-877-962-3633

Santa Cruz County
Human Services Department
1-888-421-8080

Shasta County
Health and Human Services Center
(530) 225-5767
(530) 225-5777 recorded message

Sierra County
Human Services Department
(530) 993-6722

Siskiyou County
Welfare Department
1-800-662-7031

Solano County
Health & Social Services Department
1-800-400-6001

Sonoma County
Human Services Department
(707) 565-2715, 1-877-699-6868

Stanislaus County
Community Services Agency
1-877-652-0734

Sutter County
Department of Human Services; Welfare & Social Services
Division: 1-877-652-0735

Tehama County
Department of Social Services
(530) 527-1911

Trinity County
Department of Health & Human Services
(530) 623-1265, 1-800-851-5658

Tulare County
Health and Human Services Agency
1-800-540-6880

Tuolumne County
Department of Social Services
(209) 533-5711

Ventura County
Human Services Agency
805-477-5100
866-904-9362

Yolo County
Department of Employment & Social Services
(530) 661-2750

Yuba County
Health & Human Services Department
(530) 749-6311

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APPENDIX B
Cash Aid/CalFresh (Food Stamp)
CSF 64 Form
See the next page for a copy of form CSF 64.

PAGE 588 OF 1210!

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APPENDIX C
Emergency Food Assistance
Program (EFAP) Certification of Eligibility
– EFA-7 Form
See the next page for a copy of form EFA-7.

PAGE 590 OF 1210!

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STATE OF CALIFORNIA—HEALTH AND HUMAN SERVICES AGENCY

CALIFORNIA DEPARTMENT OF SOCIAL SERVICES

EMERGENCY FOOD ASSISTANCE PROGRAM (EFAP) CERTIFICATION OF ELIGIBILITY

CERTIFICACIÓN DE ELEGIBILIDAD PARA EL PROGRAMA DE ASISTENCIA PARA RECIBIR
ALIMENTOS EN CASO DE EMERGENCIA (EFAP)
FOOD DISTRIBUTION AGENCY NAME/NOMBRE DE LA OFICINA/AGENCIA DE DISTRIBUCIÓN DE ALIMENTOS: DISTRIBUTION DATE & TIME/FECHA Y HORA DE DISTRIBUCIÓN:

Page/Página_____ of/de ______
DISTRIBUTION SITE ADDRESS/DIRECCIÓN DEL LUGAR DE DISTRIBUCIÓN:

CONTACT NAME/NOMBRE DEL CONTACTO:

CONTACT PHONE/TELÉFONO DEL CONTACTO:

(
CERTIFICATION
I certify under penalty of perjury that my household
income for the past 30 days does not exceed the
Emergency Food Assistance Program’s (EFAP) posted
monthly guidelines, or for the past twelve months does not
exceed the annual guidelines and that the number listed
for my household size is true and correct. Commodities
are for my personal home use, not to be sold, traded, or
given away.
SIGNATURE
FIRMA

CERTIFICACIÓN
Certifico bajo pena de perjurio que durante los últimos
30 días, los ingresos de mi hogar no excedieron las
normas mensuales del Programa de EFAP, las cuales
están colocadas en un lugar visible, y tampoco
excedieron las normas anuales durante los últimos 12
meses. También certifico que el número de personas
en mi hogar, como yo lo indico en este formulario, es
verdadero y correcto. Los alimentos/productos que yo
reciba son para uso personal en mi hogar y no se
deben vender, cambiar, ni regalar.
ADDRESS
DIRECCIÓN

ZIP CODE
CÓDIGO
POSTAL

)

Is this
Number of your first
people in visit this
household month?

Número ¿Es ésta
de
su
personas primera
en el
visita del
hogar
mes?

1.

Yes/Sí

No

2.

Yes/Sí

No

3.

Yes/Sí

No

4.

Yes/Sí

No

5.

Yes/Sí

No

6.

Yes/Sí

No

7.

Yes/Sí

No

8.

Yes/Sí

No

9.

Yes/Sí

No

10.

Yes/Sí

No

11.

Yes/Sí

No

12.

Yes/Sí

No

13.

Yes/Sí

No

14.

Yes/Sí

No

15.

Yes/Sí

No

16.

Yes/Sí

No

17.

Yes/Sí

No

18.

Yes/Sí

No

19.

Yes/Sí

No

20.

Yes/Sí

No

21.

Yes/Sí

No

22.

Yes/Sí

No

23.

Yes/Sí

No

24.

Yes/Sí

No

Yes/Sí

No

25.
TOTALS:
TOTALES:
EFA 7A (ENG/SP) (3/11) EMERGENCY FOOD ASSISTANCE PROGRAM

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APPENDIX D
Covered California – Application for
Health Insurance Instructions
NOTE: For the full Covered California/ Medi-Cal application, please go to your
local county social services office, or find the full application online at:
https://www.coveredca.com/PDFs/paper-application/CA-SingleStreamApp_92MAX.pdf
See the next page for Instructions on how to apply to Covered California/MediCal.

PAGE 592 OF 1210!

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Application for
Health Insurance

TM

Your destination for affordable
health insurance, including Medi-Cal
See Inside

You can get this
application in
other languages

Covered California is the place where individuals and families can

The state of California created Covered California™ to help you
and your family get health insurance.

Español

1-800-300-0213
1-800-300-1533
1-800-652-9528

Use this application to see what insurance choices you qualify for:

1-800-738-9116
1-800-983-8816
Heccrbq

1-800-778-7695
1-800-996-1009
1-800-921-8879
1-800-906-8528

Hmoob

1-800-771-2156
1-800-826-6317

Apply faster through Covered California
at CoveredCA.com
Or call: 1-800-300-1506 (TTY: 1-888-889-4500)
You can call Monday to Friday, 8 a.m. to 8 p.m.,
and Saturday, 8 a.m. to 6 p.m.
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APPENDIX E
Medicare Form:
“Appointment of Representative” –
CMS Form 1696 (English)/
“Nombramiento de un Representante” –
CMS Form 1969 (español)
See the next page for a copy of CMS Form 1696 in English and español.

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Appointment of Representative

Section 1: Appointment of Representative

To be completed by the party seeking representation (i.e., the Medicare beneficiary, the provider or the supplier):

Section 2: Acceptance of Appointment
To be completed by the representative:

Section 3: Waiver of Fee for Representation

Instructions: This section must be completed if the representative is required to, or chooses to waive their fee for
representation.
must

Section 4: Waiver of Payment for Items or Services at Issue

Instructions: Providers or suppliers serving as a representative for a beneficiary to whom they provided items or
services must complete this section if the appeal involves a question of liability under section 1879(a)(2) of the Act.

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Charging of Fees for Representing Beneficiaries Before the Secretary of the Department of Health and Human
Services

Authorization of Fee

Conflict of Interest

Where to Send This Form

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Departamento de Salud y Servicios Humanos
Centros de Servicios de Medicare y Medicaid

Formulario Aprobado
No. OMB 0938-0950

Nombramiento de un Representante

Nombre del Participante

Numero de Medicare o identificador Nacional del Proveedor

Sección 1: Nombramiento de un Representante

Para ser completado por el participante que busca representación (por ejemplo, el beneficiario de Medicare, el
proveedor o suplidor):
Yo nombro a
para actuar como representante en relación con mi reclamación o derecho en
virtud del título XVIII de la Ley del Seguro Social (la “Ley”) y sus disposiciones relacionadas al título XI de la Ley. Autorizo a
este individuo a realizar cualquier solicitud; presentar u obtener información sobre apelaciones conseguir pruebas; obtener
información sobre apelaciones y recibir toda notificación sobre mi apelación, en mi representación. Entiendo que podría
divulgarse al representante indicado a continuación, la información médica personal sobre mi apelación.
Firma del que designa a su representante

Fecha

Dirección:

Numero de teléfono (con código de
área)
Código Postal

Ciudad

Estado

Sección 2: Aceptación del Nombramiento

Para ser completado por el representante:
Yo,
, acepto por la presente el nombramiento antes mencionado. Certifico que no se ha
descalificado, suspendido o prohibido mi desempeño profesional ante el Departamento de Salud y Servicios Humanos; que
no estoy en calidad de empleado actual o pasado de los Estados Unidos, descalificado para actuar como representante del
participante; y que reconozco que todo honorario podría estar sujeto a revisión y aprobación de la Secretaría.
Me desempeño como
(Situación profesional o relación con el participante, por ejemplo: abogado, pariente, etc.)
Firma del representante

Fecha

Dirección:

Numero de teléfono (con código de
área)
Código Postal

Ciudad

Estado

Sección 3: Renuncia al Cobro de Honorarios por Representación

Instrucciones: El representante debe completar esta sección si se lo requieren o si renuncia al cobro de honorarios
por representación. (Los proveedores o suplidores que representen a un beneficiario y le hayan brindado artículos o
servicios no pueden cobrar honorarios por representación y deben completar esta sección).
Renuncio a mi derecho de cobrar un honorario por representar a
ante el Secretario(a) del
Departamento de Salud y Servicios Humanos.
Firma

Fecha

Sección 4: Renuncia al Pago por Artículoso Servicios en Cuestión

Instrucciones: Los proveedores o suplidores que actúan como representantes de beneficiarios a los que les
brindaron artículos o servicios deben completar esta sección si la apelación es por un tema de responsabilidad en
virtud de la sección 1879(a)(2) de la Ley. (En la sección 1879(a)(2) en general se aborda si un proveedor, abastecedor o
beneficiario no tenía conocimiento o no se podía esperar que supiera que los artículos o servicios en cuestión no estarían
cubiertos por Medicare).
Renuncio a mi derecho de cobrar al beneficiario un honorario por los artículos o servicios en cuestión en esta apelación si
está pendiente una determinación de responsabilidad bajo la sección 1879(a)(2) de la Ley.
Firma

Fecha

Formulario de CMS-1696 (Rev 06/12) Spanish

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Cobro de Honorarios por Representación de Beneficiarios ante el Secretatio(a) del Departamento de Salud y
Servicios Humanos
Un abogado u otro representante de un beneficiario, que desee cobrar un honorario por los servicios prestados en relación
con una apelación ante el Secretario(a) del Departamento de Salud y Servicios Humanos (DHHS en inglés) (por ejemplo, una
audiencia con un Juez de Derecho Administrativo (ALJ en inglés), una revisión con el Consejo de Apelaciones de Medicare o
un proceso ante un ALJ o el Consejo de Apelaciones de Medicare como resultado de una orden de remisión del la Corte de
Distrito Federal) debe, por ley obtener aprobación para recibir un honorario de acuerdo con 42 CFR §405.910(f).
Mediante este formulario, “Solicitud para obtener un honorario por concepto de representación” se recaba la información
necesaria para solicitar el pago de honorario. Debe ser completado por el representante y presentado con la solicitud para
audiencia con el ALJ o revisión del Consejo de Apelaciones de Medicare.
La aprobación de honorarios para el representante no es necesaria si: (1) el apelante es representado por un proveedor o
suplidor; (2) prestados en calidad oficial como un tutor legal, comité o cargo similar representante designado por el tribunal y
con la aprobación del tribunal del honorario en cuestión; (3) el honorario es por representación del beneficiario ante la corte
de distrito federal; o (4) el honorario es por representación del beneficiario en una redeterminación o reconsideración. Si el
representante desea renunciar al cobro de un honorario, puede hacerlo. La sección 3 en la primera página de este formulario
puede usarse para ese propósito. En algunas instancias, según se indica en el formulario, no se cobrará el honorario por
concepto de representación.
Autorización de Honorarios
El requisito para la aprobación de honorarios garantiza que el representante recibirá una remuneración justa por los servicios
prestados ante DHHS en nombre de un beneficiario y brinda al beneficiario la seguridad de que los honorarios sean
razonables. Para la aprobación de un honorario solicitado, el ALJ o el Consejo de Apelaciones de Medicare considera la
naturaleza y el tipo de servicios prestados, la complejidad del caso, el nivel de pericia y capacidad necesaria para la
prestación de servicios, la cantidad de tiempo dedicado al caso, los resultados alcanzados, el nivel de revisión administrativa
al cual el representante llevó la apelación y el monto del honorario solicitado por el representante.
Conflicto de Interés
Las secciones 203, 205 y 207 del título XVIII del Código de Estados Unidos consideran como un delito penal cuando ciertos
funcionarios, empleados y antiguos funcionarios y empleados de los Estados Unidos prestan ciertos servicios en temas que
afectan al Gobierno, ayudan o asisten en el procesamiento de reclamaciones contra los Estados Unidos. Los individuos con
un conflicto de interés quedarán excluidos de ser representantes de los beneficiarios ante DHHS.
Dónde Enviar este Formulario
Envíe este formulario al mismo lugar que está enviando (o ha enviado) su: (1) apelación si está solicitándola, (2) queja, (3)
determinación o decisión inicial si está solicitando una determinación inicial o decisión. Si necesita ayuda, comuníquese con
su plan de Medicare o llame al 1-800-MEDICARE (1-800-633-4227).

De acuerdo con la Ley de Reducción de Papeleo de 1995, no se le requiere a ninguna persona responder a una recopilación de información a menos de que presente un número de control
válido OMB. El número de OMB para esta recopilación es 0938-0950. El tiempo requerido para completar este formulario es de 15 minutos por notificación, incluyendo el tiempo necesario
para seleccionar el formulario pre-impreso, completar y entregárselo al beneficiario. Si tiene comentarios sobre el tiempo estimado para completarlo o sugerencias para mejorar este
formulario, favor de escribir a: CMS, PRA Clearance Officer, 7500 Security Boulevard, Baltimore, MD 21244-1850.

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APPENDIX F
Social Security Administration
“Appointment of Authorized
Representative” – OMB No. 0960-0527
See the next page for a copy of form OMB No. 0960-0527.

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APPENDIX G
Social Security Administration’s
Checklist for Online Adult
Disability Application
Social Security Administration
Checklist For Online Adult Disability Application

This checklist will help you gather the information you may need to complete the online adult Disability application
process. We recommend you print this page to use while you gather your information. We hope you find our online
application easy and convenient.

Birth and Citizenship Information
If you were born outside the United States or its territories:
Name of your birth country at the time of your birth (it may have a different name now)
Permanent Resident Card number (if you are not a U.S. Citizen)
Marriage and Divorce
Name of current spouse and prior spouse (if the marriage lasted more than 10 years or ended in death)
Spouse(s) date of birth and SSN (optional)
Beginning and ending dates of marriage(s)
Place of marriage(s) (city, state or country, if married outside the U.S.)
Names and Birth Dates of Children Who
Became disabled prior to age 22, or
Are under age 18 and are unmarried, or
Are aged 18 to 19 and still attending secondary school full time
U.S. Military Service
Type of duty and branch
Service period dates
Employer Details for Current Year and Prior 2 Years (not self-employment)
View your Social Security Statement online at: www.ssa.gov/myaccount
Employer name
Employment start and end dates
Total earnings (wages, tips, etc.)
Self-Employment Details for Current Year and Prior 2 Years
View your Social Security Statement online at: www.ssa.gov/myaccount
Business type and total net income
Direct Deposit
International Bank (Non-USA)
Domestic bank (USA)
International Direct Deposit (IDD) bank country
Account type and number
Bank name, bank code, and currency
Bank routing number
Account type and number
Branch/transit number
Name, address and phone number of someone we can contact who knows about your medical
condition(s) and can help you with your claim
List of your medical conditions
Information about Doctors, Healthcare Professionals, Hospitals and Clinics
Names, addresses, phone numbers, patient ID numbers, and dates of examinations and treatments
Names and dates of medical tests you have had and who sent you for them
Names of medications (prescriptions and non-prescriptions), reason for medication and who prescribed
them
Information about other medical records that may be available from vocational rehabilitation services,
workers compensation, public welfare, prison or jail, an attorney or lawyer, or another place
Job History
Date your medical condition began to affect your ability to work
Type of jobs (up to 5) that you had in the 15 years before you became unable to work because of your
medical condition
Dates you worked at those jobs, if available
Type of duties you did on the longest job you had
Education and Training
Highest grade in school completed and date you completed it
Name of special job training, trade school or vocational school and date completed
Special education school name, city and state, and date completed

We may contact you for additional information after you submit your online application.

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APPENDIX H
Department of Veterans Affairs
“Information Regarding Apportionment Of
Beneficiary's Award” – VA Form 21-0788
See the next page for a copy of VA Form 21-0788.
This form is also available at:
http://www.vba.va.gov/pubs/forms/VBA-21-0788-ARE.pdf

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APPENDIX I
Department of Veterans Affairs
“Application for Health Benefits –
VA Form 10-10EZ
See next page.
This form is also available at:
http://www.va.gov/vaforms/medical/pdf/vha-1010EZ-fill.pdf

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APPENDIX J
Department of Veterans Affairs “Notice to
Department of Veterans Affairs of Veteran
or Beneficiary Incarcerated in Penal
Institution – VA Form 21-4193
See the next page for a copy of VA Form 21-4193.
This form is also available at:
http://www.reginfo.gov/public/do/DownloadDocument?documentID=203887&version=1

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APPENDIX K
Department of Defense “Review of
Discharge or Dismissal” – DD Form 293
See next page for a copy of DD Form 293.
This form is also available at:
http://www.dtic.mil/whs/directives/forms/eforms/dd0293.pdf

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APPENDIX L
Department of Defense “Application for
Correction of Military Record” – DD
Form 149
See the next page for a copy of DD Form 149.
This form is also available at:
http://www.public.navy.mil/asnmra/corb/NDRB/Documents/dd0149.pdf

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EMPLOYMENT

The EMPLOYMENT CHAPTER will help you prepare to reenter the
workforce and will guide you throughout the job application process.
You will learn about your rights when an employer runs a background
check on you, how and when an employer may consider your criminal
record, and how to protect your rights in these situations. This Chapter
will also help you if you want to apply for a professional or occupational
license, start your own small business, or consider other alternatives to
traditional employment. Finally, this Chapter will explain your rights in
the workplace if your incarceration was the result of a disability, and
how to protect yourself against illegal discrimination.

DISCLAIMER – YOUR RESPONSIBILITY WHEN USING THIS GUIDE: When putting together the
Roadmap to Reentry: A California Legal Guide, we did our best to give you useful and accurate
information because we know that people who are currently or formerly incarcerated often have
difficulty getting legal information, and we cannot provide specific advice to every person who
requests it. The laws change frequently and are subject to differing interpretations. We do not
always have the resources to make changes to this informational material every time the law
changes. If you use information from the Roadmap to Reentry legal guide, it is your responsibility to
make sure that the law has not changed and applies to your particular situation. If you are
incarcerated, most of the materials you need should be available in your institution’s law library. The
Roadmap to Reentry guide is not intending to give legal advice, but rather legal information. No
attorney-client relationship is created by using any information in this guide. You should always
consult your own attorney if you need legal advice specific to your situation.

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TABLE OF CONTENTS

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I.! INTRODUCTION: LOOKING FOR WORK ....................................................... 630!
Preparing to enter the job market ................................................................ 630!
What can I expect as a job applicant with a criminal record? ....... 630!
How will my criminal record affect my job prospects? ..................... 631!
What documents do I need before I apply for any job? ................... 631!
How can I prepare for employers’ questions about my criminal
record? .........................................................................................................632!
How to present your best self ....................................................................... 634!
How do I present my best self to an employer? ............................... 634!
Beef up your resume .............................................................................. 634!
How can I build up my resume? ............................................................ 634!
Clean up your record .............................................................................. 635!
Can I clean up my record? ......................................................................635!
Target your job search ........................................................................... 636!
How do I target my job search and find the best fit? .......................636!
Are there certain types of jobs I can’t have because of my criminal
record? .........................................................................................................636!
Ace the job application .......................................................................... 638!
How can i have a successful job application? ................................... 638!
Interview well .......................................................................................... 639!
How can I succeed in an interview? .....................................................639!
Bonding Insurance: What is it & how can it encourage employers to
hire me? ...................................................................................................... 640!
Work Opportunity Tax Credits: What are they & how can they
encourage employers to hire me? ......................................................... 641!
Key terms in the employment chapter ......................................................... 642!
II.! KNOW YOUR RIGHTS ON EMPLOYMENT BACKGROUND CHECKS ....... 643!
Your rights against employers ...................................................................... 644!
How can employers learn about my criminal record? ..................... 644!
If the employer asks you directly about your criminal record .......... 645!
What can’t employers ask about my criminal record? .....................645!
What can employers ask me about my criminal record? ................646!
When can (and can’t) employers ask about my criminal record? . 647!
When can a public (government) employer in California ask about
my criminal record?................................................................................... 647!
When can a private employer in California ask about my criminal
record? ......................................................................................................... 647!
If the employer uses a private background check company to run a
background check on you ..................................................................... 648!
Are employers legally allowed to run a background check on me? .648!
Can an employer consider my credit history? ...................................649!
Are employers legally required to conduct criminal background
checks? ........................................................................................................649!
Since employers are allowed to run background checks on me, do I
have any legal rights in the process?.................................................. 650!
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Can an employer decide not to hire me based on my record? .... 652!
What rules must an employer follow if they decide not to hire me
based on my record? ............................................................................... 652!
What can I do if there is inaccurate, incomplete, or illegal
information in my background check report? ................................... 655!
If I am hired, can my employer run background checks on me in the
future without my permission? .............................................................. 656!
What can I do if the employer has already received information
from a background check report that it shouldn’t have received by
law? .............................................................................................................. 656!
If the employer conducts an “in-house” background check .................... 658!
How does an in-house background check work?............................ 658!
What rules govern California employers who run in-house checks? 659!
Errors in employers' in-house background checks: ................................... 662!
How can I find out if an employer relied on incorrect public records
about me? ................................................................................................... 662!
If an employer relied on inaccurate public records, what can I do? . 662!
Can an employer ask me for or consider my RAP sheet?.............. 662!
Which employers can see my RAP sheet? ......................................... 663!
Can I see my own RAP sheet? .............................................................. 664!
What can I do if the employer does not follow any of these rules on
background checks? ................................................................................ 664!
III.! YOUR RIGHTS AGAINST BACKGROUND CHECK COMPANIES................ 666!
Background check companies’ access to your criminal records ............. 666!
How do background check companies get information on me for
their background check reports? ......................................................... 666!
What can a background check company report about me to an
employer? ................................................................................................... 667!
What can a background check company not report about me to an
employer? ................................................................................................... 667!
What can I do if I think my background check report is incomplete or
incorrect? ..................................................................................................... 668!
When has a background check company violated the law? ......... 668!
What can I do if a background check company has broken the law? 669!
IV.! HOW EMPLOYERS CAN (& CAN’T) USE YOUR CRIMINAL HISTORY ........ 671!
Legal and illegal discrimination ..................................................................... 673!
Can employers legally discriminate against me (not hire or fire me)
just because of my criminal record? .................................................... 673!
What laws protect applicants from discrimination based on their
criminal record? ......................................................................................... 675!
What can an employer consider about my criminal history?......... 676!
How can I improve my chances of getting hired if the employer
sees my criminal record? ......................................................................... 677!
What can I do if I believe that an employer has a complete ban on
hiring people with records? ................................................................... 678!
Real life situations—examples of discrimination involving criminal record
plus race (or other protected characteristics) ..............................................678!
Can an employer discriminate against me because of my race,
color, religion, sex, sexual orientation, or national origin?............. 678!

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What can I do if I think an employer has treated my criminal history
more harshly than other job applicants because of my race, color,
religion, sex, sexual orientation, or national origin? ......................... 679!
What can I do if I feel I was illegally discriminated against? ......... 680!
What kinds of remedies might I get if an employer illegally
discriminated against me? ..................................................................... 682!
What is the difference between an Equal Employment Opportunity
Commission (EEOC) complaint and a Department of Fair
Employment and Housing (DFEH) complaint? .................................. 682!
How do I file a discrimination complaint with the EEOC? ............... 684!
What happens after I file a complaint with the EEOC? ................... 685!
How does the investigation process work? ...................................... 685!
How do I file a complaint with the DFEH?.......................................... 686!
What if I want to go straight to court and file a lawsuit on my own? 686!
V.! JOBS & PROFESSIONS YOUR RECORD MIGHT EXCLUDE YOU FROM .. 688!
Legal restrictions on certain jobs.................................................................. 688!
Are there certain types of jobs I can’t have because of my criminal
record? .........................................................................................................688!
Can I ever be eligible again to get these jobs? ................................ 689!
Legal restrictions on certain professional licenses .................................... 690!
What are professional and occupational licenses and what do they
require? ....................................................................................................... 690!
What kinds of jobs require a professional or occupational license? ..691!
Can I get a professional or occupational license with my criminal
history? ..........................................................................................................691!
What information can the licensing board consider about my
criminal history? ..........................................................................................691!
Can the licensing board deny me a license based on my criminal
history? ........................................................................................................ 692!
Can I apply for my license while I’m still incarcerated? ...................693!
What can I do if the board denies my application for a license? ..693!
What can I do if I used to have a license, but lost it due to a criminal
conviction? ..................................................................................................694!
Who can help me if my license has been denied or taken away due
to a criminal conviction? ......................................................................... 695!
Where can I go to learn more about professional licenses? ........ 695!
VI.! ALTERNATIVES TO TRADITIONAL EMPLOYMENT ..................................... 696!
Consider self-employment or start your own business ............................. 696!
Become an independent contractor .............................................................697!
Join a worker-run cooperative business ...................................................... 698!
Apply to work through a temp agency ........................................................ 699!
Take short-term jobs or temporary positions to get your foot in the door ... 700!
VII.! HOW TO PROTECT YOUR RIGHTS IF YOU HAVE A DISABILITY ............... 701!
Disability & reasonable accommodations in employment......................... 701!
What is a disability under law? ............................................................... 703!
If I have a disability, how might this affect my job search?............. 704!
What do I need to know about the relationship between my
disabilities and my criminal record? ..................................................... 704!
What kinds of accommodations can I request? ................................ 704!
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What will I need to show to get a reasonable accommodation? . 705!
What can I do if the employer refuses to make a reasonable
accommodation for me? How can I challenge the decision? ........707!
If I try to sue the employer in court, what must I prove? .................707!
Where can I go to learn more about how my disability affects my
employment rights? .................................................................................. 708!
EMPLOYMENT APPENDIX ......................................................................................709!

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WHAT WILL I LEARN?
In this chapter, you will learn about:
• Your rights throughout the job search process
• How to prepare for the job market
• How to make the best impression on employers
• What to do if an employer or background check company
violates your rights
• How to maximize your opportunities of finding the right job for
you
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I.

INTRODUCTION:
LOOKING FOR WORK
WHAT WILL I LEARN?

•
•
•
•
•
•
•
•
•
•
•
•

What to expect as a job applicant with a criminal record
How your criminal history will affect your job search
The basic documents you need before applying for jobs
How to prepare for questions about your criminal record
Key terms to know and understand when reading this chapter
How to improve your resume
Basic information on cleaning up your record
How to target your job search to find the right job for you, and
what types of jobs may not be available based on your record
Options for work beyond traditional employment
Important information about filling out job applications
How to succeed in job interviews and present your best self to
employers
Special benefits that are available to employers who hire
people with criminal records

People with criminal convictions can and do get jobs—it happens every day!
They are employed in the workforce at all levels, from entry-level jobs to
executive positions. You may (or may not) have to work a little harder to get a
job, but it can and will happen. Remember the 3 “P”s—be Persistent, be
Professional, and keep a Positive attitude.

PREPARING TO ENTER THE JOB MARKET
Before talking about your employment rights, let’s review some
basics. This section goes over what you can realistically expect from
today’s job market, and the things you need to do and get before
you can hold any job.

WHAT CAN I EXPECT AS A JOB APPLICANT WITH A
CRIMINAL RECORD?
The job market is a competitive place for anyone looking for a job.
Although it may be a tough process, finding a job is possible if you give
it time and effort! It is important to get organized and learn about your
options. This section will help you understand the unique rights that
you have as a job applicant with a criminal record and how to exercise those
rights during your job search.

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FIND A
TRUSTED
PERSON
Find a trusted
person and/or other
local resources to
help you prepare for
the job search,
navigate any
record-related
barriers, and find
the right job for you!

ROADMAP TO REENTRY

HOW WILL MY CRIMINAL RECORD AFFECT MY JOB PROSPECTS?
Unfortunately, if you have a criminal record, it is harder to get hired, paid, and
promoted fairly. But you are not alone—one in four adults in the U.S. has a
1705
criminal record,
and having a record does not mean you are unqualified for
the job. If you take steps to understand your rights, responsibilities, and
limitations, you can arm yourself with the knowledge necessary to secure the
right job.
Employers often conduct background checks on job applicants and current
employees. In order to be prepared, you must be highly proactive about:
1) Learning strategies for how to present your skills, credentials, and personal
background (for more information, see PG. 634);
2) Understanding and cleaning up your criminal record (some record-cleaning
can only happen later-on in reentry—for more information, see PG. 643); and
3) Knowing and protecting your rights (for more information, see PG. 701).

WHAT DOCUMENTS DO I NEED BEFORE I APPLY FOR ANY JOB?
You should get: (1) official ID and (2) copies of your criminal records to review.
OFFICIAL FORMS OF IDENTIFICATION:
Before you apply for any job, you should begin the process of applying for basic
government-issued IDs. (To learn more about different forms of official ID, see
the BUILDING BLOCKS OF REENTRY: ID & VOTING CHAPTER, beginning on
PG. 13.) In most cases, you will need at least:
1) A government-issued ID (such as a Driver License/ State ID, PG. 39, or
Passport, PG. 59), AND
2) EITHER your Social Security Number (SSN) (PG. 32) OR your
Birth Certificate (PG. 22).
You will need these ID documents when you apply for a job and complete the
U.S. Citizenship and Immigration Services (USCIS) Form I-9, which all employees
in the United States must fill out. Form I-9 proves you are legally allowed to work
in the country. Your employer should give you this form to fill out. See
Appendix A, PG. 711, for more information about Form I-9.
Please note that the employer cannot keep your documents, but may make a
1706
photocopy of them for your employment file.
COPIES OF YOUR CRIMINAL RECORDS:
You should get copies of your criminal records so that you know what employers
are likely to find out if/when they run a background check. This will help you
prepare to answer questions about your history and to address any concerns an
employer may have. It’s also good to get a copy of your official criminal record
(called a “RAP Sheet”) just for you, to make sure that all the information is
accurate, and to correct errors if you find them. See UNDERSTANDING &
CLEANING UP YOUR CRIMINAL RECORD CHAPTER, PG. 1020, for information
about how to get a copy of your RAP sheet. See PG. 643, below, to learn more
1707
about background checks and what information your employer can see.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See National Employment Law Project, 65 Million Need Not Apply: The Case for Reforming Criminal
Background Checks for Employment (2011).
1706
Adapted from Texas Community Building with Attorney Resources, Locked Out: A Texas Legal Guide to Reentry
(2012).
1707
Adapted from Texas Community Building with Attorney Resources, Locked Out: A Texas Legal Guide to Reentry
(2012).
1705

PAGE 631 OF 1210

!

ROADMAP TO REENTRY
!

HOW CAN I PREPARE FOR EMPLOYERS’ QUESTIONS ABOUT MY
CRIMINAL RECORD?
1.

Know everything about your official criminal record.

Knowing absolutely everything about your criminal record means that you know
not only what is in your record, but also what is NOT in your record. You should
be aware of all arrests, convictions, dismissals, and sentences that are currently
part of your record, but you should also know about any information that has
been dismissed, expunged, sealed, removed, or corrected. When you know what
your record should look like, you will have a better understanding of how it will
affect your job search, and you can make informed decisions about what steps
1708
you should take to improve your chances of getting hired.

2. Know what employers might find out about you.
To know what information an employer might find out about you, you
will need to do research on yourself. Doing research on yourself is how
you will see what information exists out there about you—not just what
is in your official criminal record, but also anything public, especially on
the Internet (for example, on Facebook, Twitter, or Instagram). If you
know what employers are going to see, you can be prepared to
answer their questions about your history and address any of their
concerns. You can also correct any mistakes, and ensure that
agencies aren’t illegally providing information that they shouldn’t be
reporting.
Here are some suggestions for how to conduct research on yourself:
• Look online – The best place to start is online. (If you don’t feel
comfortable using a computer or the Internet, ask a trusted
person—like a case manager, counselor, or friend—to help you.)
Search for your name on www.google.com to see what shows up.
If there is negative or untrue information, you (or a trusted person)
can send an email to the person who posted the information or the
website owner and politely ask them to remove it. Unfortunately,
there is no guarantee that they will do so, and it could require a
lawsuit to get the information down. If the person running the
website won’t remove the information, you may want to get the
advice of a lawyer (see list of legal aid providers on PG. 1190).
• Call your references – When you apply for a job, the new
employer and/or background check company may contact your
past employer(s), people you list as references, and/or other
people who know you (like a landlord, neighbor, or teacher) to find
out about your work history or other information. An important way
to research yourself is to call some of these people (or have a
trusted person call for you) to find out what they will say about you.
This way you know beforehand if someone is likely to say
something negative about you, and you can be sure NOT to list
them as a reference on the job application. For more information on
listing references, see PG. 638.
• Get copies of your criminal records – To learn how to get copies of your
official and unofficial criminal records, see the UNDERSTANDING &
CLEANING UP YOUR RECORD CHAPTER, beginning on PG. 1020.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Adapted from http://www.careerbuilder.com/article/cb-3033-job-search-strategies-how-to-conduct-a-jobsearch-with-a-criminal-record/.
1708

PAGE 632 OF 1210

IMPORTANT
PROTECTIONS
FOR YOU &
YOUR RECORD
Some of the
information you will
find on yourself will
be things that
employers
CANNOT SEE, ASK
ABOUT, or
CONSIDER when
you apply for a job.
But it is good to
know what
information is out
there, just to be
aware of what
employers might
find and to know
how to respond if
illegal information
shows up in a
background check.
For complete
details on what
criminal record
information an
employer can and
cannot see, ask
about, or consider,
see PG. 645. For a
brief summary of
this information,
read the Know Your
Rights Box on
PG. 633!

ROADMAP TO REENTRY
!

3.

Know what employers CAN & CAN’T consider about your criminal
record.

Knowing your employment rights means knowing what employers can and can’t
do when it comes to reviewing and using your criminal history when deciding
whether to hire you. It also means knowing how to prevent employers from
violating your rights by not hiring you, and what actions you can take if your
rights are violated. See PG. 671 to learn more about these rights and how to
protect them. In the meantime, the here is a summary of what employers CAN
1709
and CAN’T consider about your criminal record:

4. Present yourself in the best way possible.
Presenting yourself in the best way possible means doing what you can to
reduce any negative impressions that your criminal record may cause. This
might include addressing your past during job interviews and talking about your
rehabilitation efforts and all the changes you have gone through; obtaining proof
of rehabilitation, where possible (see Appendix C, PG. 717); making thoughtful
decisions about what jobs you apply for (see PG. 636); and cleaning up your
1710
record, where it is possible (see PG. 635).

LET’S REVIEW:
KNOW YOUR RIGHTS
A Summary of What Employers CAN & CAN’T Find Out About Your
Criminal Record
Employers CAN:
•
•

•

Run a background check on you and CAN consider certain criminal history
information when deciding whether to hire you.
See and ask about: convictions and unresolved (pending) arrests, charges, or
cases. But if the employer uses a private company to run a background
check, it CANNOT report convictions older than 7 years.
See public records, which generally includes adult court records; police,
correctional facility, and CDCR records (including mug shots); and DMV
driving records.

Most Employers CANNOT:
•

•
•

See or ask about: arrests that did not lead to conviction; convictions that
have been dismissed/expunged/sealed; participation in court diversion
programs; and certain minor marijuana convictions.
In general, employers CANNOT see or ask for: Your RAP sheet (your
complete, official criminal record); or your credit report.
“Ban the Box” laws give you more rights and protections if you apply for a
job with a state or local government agency, or in certain cities and counties.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Adapted from http://www.careerbuilder.com/article/cb-3033-job-search-strategies-how-to-conduct-a-jobsearch-with-a-criminal-record/.
1710
Adapted from http://www.careerbuilder.com/article/cb-3033-job-search-strategies-how-to-conduct-a-jobsearch-with-a-criminal-record/.
1709

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HOW TO PRESENT YOUR BEST SELF
HOW DO I PRESENT MY BEST SELF TO AN EMPLOYER?
While you can’t control everything about the job search, there are MANY steps
you can and should take to improve your chances of being hired for the job you
want—whether that means cleaning up your record, finishing school, or learning
new skills and getting more experience. This section will explain what you can
do before you begin applying for jobs, throughout your job search, and during
your application process, to help improve your chances of being hired.
•

•

•

BEFORE you begin applying for jobs:
o Beef up your resume before any new job application
o Clean up your record
THROUGHOUT your job search:
o Target your job search for jobs that are an appropriate fit for
you
WHILE APPLYING for jobs:
o Ace the job application
o Interview well
o Understand and explain the benefits to the employer

BEEF UP YOUR RESUME
HOW CAN I BUILD UP MY RESUME?
1. Explore volunteer opportunities. Volunteering is a great way to
learn new skills, gain solid references, find out about local job
opportunities, and show potential employers that you are dedicated
and responsible. Although it is usually unpaid, it strengthens your
application and offers experiences you can talk about in your job
search.
2. Go back to school. Going back to school to get your GED or
advanced college or professional degree shows that you are
responsible, focused and driven—all qualities that employers look for
when hiring. As a practical matter, going back to school can offer you
training to expand your skillset and qualify you for more jobs.
3. Participate in a reentry program. Employers will be impressed if
you are proactive and take steps to grow and learn from challenging
past situations. Reentry programs in your local area may be able to
help you in your job search, and support you in your transition. To find
out about reentry programs or other employment opportunities, we
recommend that you attend local reentry fairs and/or talk to people
(in prison or jail or outside) who might know about these programs.
Ask your counselor or case manager, parole or probation officer,
mentor or sponsor, or others for recommendations.
4. Participate in workforce development (job readiness) programs.
Many organizations have workforce development or job readiness
programs for people with criminal records or other employment
barriers. These programs help you to search for jobs, improve your
PAGE 634 OF 1210

VOLUNTEERING
Consider
volunteering with
local religious or
community
organizations, and
plan to stick around
for at least 6
months. The length
of time you remain
dedicated to the
organization is more
important than the
amount of time you
spend volunteering
during a particular
day or week. Your
volunteer work can
help to calm an
employer’s
concerns about your
past, and strong
references can go a
very long way in
helping to secure a
future paying
position.

TALK TO YOUR
TRUSTED
PERSON
Talk to your trusted
person or someone
at a workforce
development
program to see
what school, work,
and volunteer
opportunities are
available in your
area, and for other
ideas about how to
build your resume
and gain new skills.

ROADMAP TO REENTRY
!

job skills, and prepare for job applications and interviews. They provide services
like job counseling, job training, resume writing, interview coaching, and
sometimes job placement and referrals.
Even if there are no reentry-focused job readiness programs in your area, look
for programs with similar services. Sometimes the only workforce development
program near you will be an America’s Job Center, which is run by the
government. If the America’s Job Center is your only option, then you should
definitely take advantage of the case managers and other programs there.
However, if there are other workforce programs available in your area, we
recommend that you use those first, since they can provide more individual
attention and help. For a list of workforce development programs around the
state, see Appendix B, PG. 715, or call 2-1-1 to ask about programs in your area.

HELPFUL HINT
What are America’s Job Centers of California?
America’s Job Centers of California (once called One-Stop Career Centers) are
job readiness centers run by the state through the California Employment
Development Department (EDD), a state agency that assists workers and
employers. America’s Job Centers provide FREE services and resources to
people looking for work, including: job counseling to figure out what jobs are
right for you; free access to phones, fax machines, computers, and Internet; job
search and résumé writing workshops; community resources and referrals for
training; and job fairs.
To find an America’s Job Center near you, go to
http://www.americasjobcenter.ca.gov/. To find job fairs and workshops, go to
http://www.edd.ca.gov/Jobs_and_Training/Job_Fairs_and_Events.htm and
follow the links to find events in your region.

CLEAN UP YOUR RECORD
CAN I CLEAN UP MY RECORD?
Maybe. Your record is not necessarily permanent for the purpose of getting a
job. You may be able to clear—or more likely lessen the impact of (in other
words, “clean up”)—your criminal record, making you more attractive to potential
employers. For more information about the different ways to clean up your
record, see the UNDERSTANDING & CLEANING UP YOUR CRIMINAL RECORD
CHAPTER, beginning on PG. 1020.
Different organizations may offer “clean slate” services in your area, such as:
•
•
•

Public Defenders Offices
“Clean Slate” or “Second Chance Clinic” programs
Civil Legal Aid Programs

For more information about finding “clean slate” services and programs in your
area, see the list of legal aid providers on PG 1190.
For more information about ways to show employers proof of your rehabilitation,
see Appendix C, PG. 717.

PAGE 635 OF 1210

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TARGET YOUR JOB SEARCH
HOW DO I TARGET MY JOB SEARCH AND FIND THE BEST
FIT?
1. Consider the type of job you’re applying for.
Employers will be more concerned if the job position you are applying
for requires you to do work that directly relates to your past
convictions. For example, if you’ve been convicted of theft, this may
concern an employer who is looking to hire someone to become a
manager or cashier at a store. If you can proactively point out that the
circumstances of your crime—including the seriousness of the offense
and the length of time since it occurred—won’t affect your ability to do
the job, an employer is more likely to feel you will be an honest and
truthful worker. Also, there may be some types of jobs or occupational
licenses that you can’t hold by law, based on your conviction offense.
See PG. 688 for more information about legal restrictions for certain
types of jobs.
2. Consider the type of employer you’re applying to.
Consider the type, size, and management style of the company to
which you are applying. Most applications ask whether or not you have
been convicted of a crime, but some only ask about felonies. Some
experts suggest that applying to a small business could be more
successful than a larger corporation, because this allows you the
opportunity to speak directly with the owner and explain what
happened.

ARE THERE CERTAIN TYPES OF JOBS I CAN’T HAVE
BECAUSE OF MY CRIMINAL RECORD?

WHAT ABOUT
STARTING YOUR
OWN BUSINESS
Some people find it
more fulfilling and
empowering to be
their own boss. Selfemployment can
give you more
control over the type
of work you do,
freedom and
flexibility to make
your own decisions,
and greater
responsibilities at
work.
Think about your
skills, interests, and
previous work
experience or
vocational training. If
you think that selfemployment may be
a good option for
you, read the section
on “Alternatives to
Traditional
Employment,”
starting on PG. 696
for more information
and helpful
resources on
starting your own
business.

It’s possible. Before applying for work, you should know that a few
types of jobs have legal restrictions that disqualify people with certain
past convictions from working in that position. Also, certain types of
jobs require you to have a professional or occupational license from
the state, and such licenses have their own legal restrictions and can
be difficult to get depending on what’s in your record. For more information on
legal restrictions and professional licenses—and how you can become re-eligible
to work in some cases—see “Jobs & Professions Your Record Might Exclude You
From,” starting on PG. 688.
Examples of jobs with legal restrictions for certain types of convictions:
• Airport security screeners;
• Federal law enforcement officers;
• Bank employees;
• Childcare workers in federal facilities or agencies;
• Port workers.
Examples of jobs that require a professional or occupational license:
• Barber;
• Beautician / Cosmetologist;
• Pharmacist;
• Nurse;
• Cemetery / funeral home worker;
• Real estate agent.
PAGE 636 OF 1210

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!

!

IMPORTANT: Most jobs do NOT have legal restrictions. The information
here isn’t intended to discourage you, but to help you understand your
options and find the job that’s right for you. Also, even if an employer
cannot hire you for one type of job based on your record, they may have
other types of jobs available that you ARE eligible for and could do
instead.

HELPFUL HINT
Consider All Your Job Options
As you’re thinking about jobs or looking for work, it can be helpful to think about
other work options—alternatives to traditional employment—like starting your
own business, joining a worker-run cooperative business, or going through a
temp agency. You may decide that one of these alternatives is more exciting,
more convenient for your schedule and needs, or just a good way to get your
foot in the door with an employer.
Here are some other ways of working and earning an income that are different
from traditional employment:
•
•
•
•
•

Consider self-employment or become an independent contractor
Start your own business
Join a worker-run cooperative business
Apply through a temp agency
Take short-term jobs or temporary positions to get your foot in the door.

For more information on each of these options, read section on Alternatives to
Traditional Employment, starting on PG. 696 below.

PAGE 637 OF 1210

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!

ACE THE JOB APPLICATION
HOW CAN I HAVE A SUCCESSFUL JOB
APPLICATION?
In the past, applying for a job meant filling out a paper
application and handing (or mailing) it to the employer. Now, any
information that you give about yourself may become part of
your job application that the employer considers. This includes
information you share with the employer or other employees at
the company, with a temp agency, at a job fair, at a workforce
development center, or with other people or organizations that
are involved in your job search process. It can include
paperwork you fill out or sign, a questionnaire that you
complete, information that you type in online, documents you
hand in, or answers/information that you say in person.

A NOTE ABOUT BAD
REFERENCES
Under state law, former
employers and other
references ARE allowed to
say negative things about
you as part of a job
reference.
So you should always ask
your reference if they are
willing to be listed, and you
can ask what they will say
about you before you list
them.

HELPFUL HINTS
1)

Listing Previous Work Experience

If an application asks about your previous work experience, MAKE SURE you
accurately write the dates of your previous employment and how much you were
paid! The new employer will probably contact your former employers to check your
references and ask about this information.
If you list incorrect information about the dates you were employed or your wages at
your past job (even by mistake!), the new employer may think you’re intentionally
lying and may reject your application for that reason. If you can’t remember the
exact dates you worked or your wages, write down that you are guessing or
estimating this information, and that you are NOT certain. This will show the
employer that you’re trying to be honest and are not intentionally giving wrong
information.
2)

Listing personal and professional references

When you apply for a job, you will probably have to give a list of references—people
who know you and can talk about whether you’re a good worker. Most likely this will
be an old employer, but it could also be a teacher from a vocational training or
certification program, or even someone from your church or other community
organization that you’re involved in. The new employer will contact these people to
ask about your previous work history, personality, whether you were a good
employee, and other information to help decide if they should hire you.
Be careful about whom you list as a reference and what they will say about you!
BEFORE you list someone as a reference, it is best to call the person (or have a
trusted person call for you) to ask what they will say about you. If it turns out they
say something negative, you’ll know not to list them after all.
Keep in mind that even if you don’t list someone as a reference, an employer or
background check company may still contact them as part of their own background
check process.
3)

Ask your trusted person!

If you’re filling out a paper or online application, ask your trusted person, or
someone from a local reentry or workforce development program, to look over your
completed application before you send it to the employer.

PAGE 638 OF 1210

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INTERVIEW WELL
HOW CAN I SUCCEED IN AN INTERVIEW?
Here is a list of the essential steps to prepare for and succeed in an interview
with a potential employer. For more detailed information about each of these
steps, please see the Appendix D, PG. 718.
STEP 1:

Thoughtfully answer each interview question.

STEP 2: Ask your own questions.
STEP 3: Practice beforehand!
If possible, you should try to do a practice (“mock”) interview before the real
thing with your case manager, social worker, counselor, or even family or
friends. Remember, even if you have your answers prepared on paper or in your
head, things will sound different when you try to say them out loud!
STEP 4: Be polite and confident during the interview.
STEP 5: Follow-up after the interview.

ADDITIONAL JOB INTERVIEW
RESOURCES:
Here are some resources that can help you prepare for a job
interview:
•
•
•

•

•

Tips for the Ex-Offender (Wisconsin Job Center)—
http://www.wisconsinjobcenter.org/exo/eo_criminal_background.pdf
Interview Tips (Jobs Not Jails)—http://jailstojobs.org/html/interview_tips.html
10 Job-Search Tips for Reentry (EASTBAY Works)—
https://www.eastbayworks.com/alamedacounty/admin/gsipub/htmlarea/uplo
ads/000311-Reentry_Employment_Resource_Lists_(Complete)_072908.doc
Connect with a workforce development program that can help counsel and
coach you through the job application and interview process. For a list of
these workforce development programs, see Appendix B, PG. 715 on
PG. 715. You can also ask a case manager, local reentry program counselor,
or workforce development staff person for other suggestions in your area, or
call 2-1-1 to ask about other programs in your area.
For more information about how to talk about your conviction record with an
employer, see PG. 645.

!

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!

! UNDERSTAND & EXPLAIN THE BENEFITS OF HIRING
PEOPLE WITH RECORDS TO THE POTENTIAL EMPLOYER
Learn here about two government programs that are meant to encourage
employers to hire people with criminal records: (1) the Federal Bonding Program
and (2) the Work Opportunity Tax Credit (WOTC).

BONDING INSURANCE: WHAT IS IT & HOW CAN IT ENCOURAGE
EMPLOYERS TO HIRE ME?
Some employers require their employees to be covered under fidelity bonding
insurance, which is a special type of insurance that protects the employer from
money or property loss caused by employee dishonesty. If your employer
requires fidelity bonding insurance, there are two options: (1) private fidelity
bonding insurance, and (2) the Federal Bonding Program.
(1) Private Bonding Insurance—Many private insurance companies sell fidelity
bonding insurance that employers can buy. The insurance will reimburse
employers for losses due to things like forgery, theft of money or valuables, or
fraud by a company employee. An employer can buy insurance coverage for ALL
1711
employees, or for only a few, specific employees. However, if you already
have a criminal conviction record, your employer may not be able to get private
1712
bonding insurance for you. In this case, the employer may be able to get
bonding insurance through a special federal government program (see
immediately below).
(2) Federal Bonding Program—If you already have a criminal conviction record,
your employer may not be able to get private bonding insurance for you. If you
are applying for a job with an employer who requires employees to be covered
by fidelity bonding insurance, the federal government has a special program to
provide FREE fidelity bonding insurance for 6 months to cover individuals who
1713
are eligible for the program. In California, the California Employment
Development Department (EDD)—the same state agency that runs America’s
Job Centers of California—runs the Federal Bonding Program. For more
information and instructions on how to apply for the Federal Bonding Program,
see Appendix E, PG. 720.

Am I eligible for the Federal Bonding Program?

If you meet the following requirements, you may be eligible for the
Federal Bonding Program:
• You have a firm job offer (or are already employed) at a job that is
likely to be long-term or permanent.
• The job requires you to be bonded, and you cannot get private
bonding insurance due to your arrest or conviction record, history of
drug or alcohol abuse, poor credit or employment history,
dishonorable discharge from the military, or other “risk” factors.
• The employer is ready to hire you (or keep you on the job) once you
have insurance, so the only thing stopping you from working there is
the lack of insurance.
• You are 18 or older and legally eligible to work in the U.S.
For a complete list of eligibility requirements, see Appendix E, PG. 720.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Here are some insurance companies that offer private fidelity bonding insurance for employers:
•
Cal-Nevada Insurance Agency—http://www.cal-nevada.com/business-insurance/fidelity-bonds/
•
State Farm Insurance—https://www.statefarm.com/small-business-solutions/insurance/surety-fidelitybonds
•
Nationwide Insurance—http://www.nationwide.com/crime-insurance.jsp.
1712
See U.S. DEP’T OF LABOR, The Federal Bonding Program: Program Background,
http://www.bonds4jobs.com/program-background.html.
1713
See U.S. DEP’T OF LABOR, The Federal Bonding Program: Program Background,
http://www.bonds4jobs.com/program-background.html.
1711

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!

IMPORTANT: Your employer can only get free insurance coverage for the
first 6 months that you work there; after that they will have to purchase
insurance directly. If you switch to another job that also requires bonding,
you will have to reapply to the EDD, and they will decide on a case-bycase basis whether you can get new insurance coverage at the new
employer. If you left your previous job on good terms, you will have a
better chance of getting bonding insurance for your next job, but it is not
guaranteed.1714 For this reason, it’s recommended that you only use the
bonding program for jobs that are likely to be long-term or permanent—
NOT for temporary positions.1715

WORK OPPORTUNITY TAX CREDITS: WHAT ARE THEY & HOW
CAN THEY ENCOURAGE EMPLOYERS TO HIRE ME?
Suggest that your employer look into the federal Work Opportunity Tax Credit
(WOTC). The WOTC is a federal tax credit historically available to employers for
hiring job applicants who face significant barriers to employment, including
people with felony convictions who are hired within 1 year after their conviction
1716
or release from prison, veterans, and recipients of certain public benefits. (For
this reason, be sure to answer truthfully if an employer or job application asks
whether you receive public benefits!) The WOTC ranges from $1,200 to $9,600,
depending on your hours and pay during your first year as an employee, and on
1717
the maximum allowed credit.
For more information about the WOTC in
California, contact the WOTC Coordinator at (916) 227-5163, or visit the
Employment Development Department’s (EDD) website about the WOTC at:
http://www.edd.ca.gov/jobs_and_training/Work_Opportunity_Tax_Credit.htm.

!

IMPORTANT: Although the legal authority for the WOTC expired on
December 31, 2013, tell your employer that he/she should continue to
submit WOTC applications to the EDD. In the past, when the WOTC
expired, Congress eventually reauthorized the tax credit and applied it
retroactively; so it’s recommended that employers continue to submit
applications while reauthorization is pending.1718
!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Telephone call with Gil Barkley, State Bonding Coordinator, California Employment Development Department
(Feb. 17, 2015). The EDD will also want to make sure that the employer is not simply exploiting you for free
insurance coverage and then getting rid of you after the first 6 months of free coverage is over.
1715
Telephone call with Maria Alexander and Mary Weaver, Friends Outside in Los Angeles County (Jan. 21, 2015).
1716
26 U.S.C. § 51.
1717
See 26 U.S.C. § 51; see also U.S. DEP’T OF LABOR, WOTC Tax Credit Amounts,
http://Www.Doleta.Gov/Business/Incentives/Opptax/Benefits.Cfm. Employers may use the “WOTC Calculator” tool
available online at: http://www.doleta.gov/business/incentives/opptax/wotcEmployers.cfm.
1718
See 26 U.S.C. § 51(d)(13)(A)(ii)(II); see also U.S. DEP’T OF LABOR, Training and Employment Guidance Letter No. 813. In the past, Congress has waived the 28-day timeliness rule for applications that were eligible during the
program’s lapse period, but there is no guarantee; see IRS, Work Opportunity Tax Credit Extended,
http://www.irs.gov/Businesses/Small-Businesses-&-Self-Employed/Expanded-Work-Opportunity-Tax-CreditAvailable-for-Hiring-Qualified-Veterans. To avoid a denial based on timeliness issues, employers should continue to
follow the 28-day rule. California’s WOTC Authorization Center is continuing to process all applications, and expects
reauthorization. For more information, see CAL. EMP’T DEV’T DEP’T, Employer Guide,
http://www.edd.ca.gov/jobs_and_training/WOTC_Employer_Guide.htm.
1714

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KEY TERMS IN THE EMPLOYMENT CHAPTER
Before we discuss the laws that will affect you as you reenter the job
market, let’s review a few key terms. (For more detailed definitions and
explanations of these terms, see UNDERSTANDING & CLEANING UP
YOUR RECORD CHAPTER, PG. 1020).
Criminal Record: This is the general term we use for all of the
information about your criminal history. Your “criminal record” includes
arrests, charges against you, convictions, pleas, acquittals, dismissals,
sentences, and any other time your contact with law enforcement was
documented.
RAP Sheet: A RAP sheet (Record of Arrest and Prosecution) is the
government’s official version of your criminal record. It lists every
contact you’ve had with the criminal justice system, including arrests,
1719
convictions, acquittals, dismissals, and sentences. If you’ve been
arrested or convicted of a crime in California, you could have 3
different RAP sheets:
• County RAP sheet—all of your criminal justice contact in a single
county (so if you have arrests or convictions in more than one
county, you will have a separate RAP sheet for each county);
• California DOJ RAP sheet—all of your contact with the criminal
1720
justice system across the state of California;
• FBI RAP sheet—all of your contact with the criminal justice system
from anywhere in the U.S. (so if you have arrests or convictions in
more than one state, all of these should show up on your FBI RAP
1721
sheet).
Background Check: This is the process of looking up information about
someone’s past activities—their criminal records, finances and credit, or
other personal information—through public records, Internet searches, or
interviewing people you know. When you apply for a job, the employer
will most likely pay an outside company to run a background check on
you.

!

IMPORTANT: You have legal rights when someone runs a background
check on you! The law limits what information can be included in your
background check and what information employers, landlords, and
others can use, and it allows you to challenge mistakes and violations.
Consumer Report—This is the technical, legal name of the document that
that is produced when an employer (or anyone else) runs a background
check on you (produced by private companies called “Consumer
Reporting Agencies”—see next definition). Since “consumer report” is
the technical term, but not used by most, this Chapter uses the layperson
term “background check reports.”
Reporting Agency—This is a company that investigates and produces
1722
background check reports.
They’re also called Consumer Reporting
Agencies (federal law) and Investigative Consumer Reporting Agencies
(state law), but this Chapter uses the layperson term “background check
companies.”

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1719
1720
1721
1722

U.S. Dep’t Justice v. Reporters Comm., 489 U.S. 749, 749 (1989).
See CAL. PENAL CODE § 11105.
28 C.F.R. § 16.31.
15 U.S.C. § 1681a(p).

PAGE 642 OF 1210

GET A COPY OF
YOUR RAP
SHEET
You can request a
copy of your RAP
sheet from the
California
Department of
Justice (DOJ) by
filling out an
application, getting
fingerprinted, and
sending everything
to the DOJ. It can
take a couple
weeks for the DOJ
to process your
request and send
you an official RAP
sheet. For more
information on
getting a copy of
your RAP sheet,
see the
UNDERSTANDING
& CLEANING UP
YOUR RECORD
CHAPTER,
PG. 1020.
If you don’t want to
wait for your RAP
sheet, you can also
get a copy of your
court records
directly from the
courthouse where
you were
convicted. If you go
to the court in
person, you can
often get a copy of
your records the
very same day.
Some courts will
also let you request
your records online,
without having to
go in person
(although you will
have to wait longer
for the court to mail
you the paper
copies). To get your
court records, you
will need to have
(or look up) your
case number, and
you will probably
have to pay a fee
for photocopying
(usually around 50
cents/page).

ROADMAP TO REENTRY

II.

!

KNOW YOUR RIGHTS ON
EMPLOYMENT
BACKGROUND CHECKS

This section explains the laws and your rights when an employer runs a
background check on you for a job. It will explain what information an employer
CAN and CANNOT see, ask about, and consider about your criminal record; and
what information background check companies CAN and CANNOT report about
you. It also explains how to correct background check errors, and what you can
do if an employer or background check company violates the law.

KNOW YOUR RIGHTS
Your rights against employers
•
•
•

•

•
•
•

•

Employer CAN run a background check on you and CAN consider certain
parts of your criminal history when deciding whether to hire you.
Employers MUST offer you a copy of the background check report or any
public records used.
Employers CAN see and/or ask about: convictions and pending (unresolved)
arrests, charges, or cases; court records; police, correctional facility, and
CDCR records (including mug shots); DMV driving records; other public
records.
In general, employers CANNOT see or ask about: arrests that did not lead to
conviction; convictions that have been dismissed/expunged/sealed;
participation in court diversion programs; and certain minor marijuana
convictions; your RAP sheet; your credit report.
In general, PRIVATE employers can ask about your record at any time.
In general, PUBLIC employers can only ask about your record AFTER they
decide that you meet the basic job qualifications.
If an employer decides not to hire you because of information in your
background check report, the employer MUST give copy of the background
check report or any public records used, and SHOULD give you a chance to
correct any errors in your background check report.
“Ban the Box” laws give you more rights and protections if you apply for a
job with a state or local government agency, and/or in certain local cities and
counties.

Your rights against background check companies
•

•

•

Background check companies CAN report information about convictions;
pending arrests or criminal charges; lawsuits and civil (money) judgments
against you; evictions; DMV driving records; and other personal information
from within the past 7 years.
Background check companies CANNOT report information about
convictions; lawsuits; unpaid judgments; tax liens; or any other negative
information that is more than 7 years old.
Background check companies MUST check that information from public
records is accurate and up-to-date.

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YOUR RIGHTS AGAINST EMPLOYERS
This section will explain your rights when an employer runs a
background check on you or asks you about your criminal record, and
what you can do if the employer violates your rights.
The next section will explain your rights when a background check
company produces a report on you, and what you can do if the
background check company violates your rights (see PG. 666).

WHAT WILL I LEARN?
The 3 ways employers can learn about your past, and
what kinds of information employers CAN and CAN’T
consider about you
What kinds of information employers can directly ask
you about your criminal record
What information employers CAN’T ask you about your
criminal record
When employers can ask about your criminal record,
and the different rules for public and private employers
What your rights are if an employer runs a background
check on you through a private background check
company
What your rights are if an employer decides not to hire
you based on the results of a private background
check
What your rights are if an employer runs an “in-house”
background check on you

•

•
•
•
•

•

•

HOW COMMON
ARE
BACKGROUND
CHECKS?
About 69% of
employers run
criminal history
background
checks on all job
applicants. About
86% of employers
conduct
background
checks on at least
some applicants.
Larger companies
tend to run
routine
background on
everyone as part
of their regular job
application
process, while
smaller
companies might
not.

•

HOW CAN EMPLOYERS LEARN ABOUT MY CRIMINAL RECORD?
There are three main ways an employer can access information about your
criminal history:
1)

The employer can ask you about it. Some employers will ask you directly if
you have a criminal record. For this reason, it is important that you know
your rights about what can be asked and what you have to answer. See
PG. 645 to learn more.
2) The employer can pay a private background check company to run a
background check report on you. Background check companies are private
companies that create background check reports for employers. This is the
most common way for an employer to find out information about your past
because it is easy, fast, and usually done online. See PG. 666 to learn more.
3) The employer can conduct an “in house” background check. Some
employers will do their own background check and look up your public
records, research you online, and call your friends, family members, and
1723
former employers to ask about you.
See PG. 658 to learn more.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1723

See CAL. CIV. CODE §§ 1785 et. al., 1786 et al.

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IF THE EMPLOYER ASKS YOU DIRECTLY ABOUT YOUR
CRIMINAL RECORD
! WHEN CAN AN EMPLOYER ASK ME DIRECTLY ABOUT MY
CRIMINAL RECORD & WHAT CAN THEY ASK ABOUT?
An employer might ask about your criminal record in writing, on a job
application, or in an interview. This section discusses all of these situations. It’s
important to know your rights:
•
•

There are limitations to WHAT an employer can ask about and learn from you
by asking, either on an application or in an in-person interview.
There are also limitations on WHEN an employer can ask you about certain
information—they cannot ask you everything up front!

These laws are meant to protect you from discrimination as you apply for jobs.

WHAT CAN’T EMPLOYERS ASK ABOUT MY CRIMINAL RECORD?

HELPFUL HINT
Public vs. Private Employers
Public (government) employers can ask and get access to more information than
private companies or nonprofit organizations. Read carefully to understand what
laws apply to public vs. private employers.
There are certain parts of your criminal record that employers CANNOT legally
ask you about. Under state law, an employer cannot ask you about:
1)

Convictions that have been sealed, dismissed, expunged, or statutorily
1724
eradicated.
A private employer cannot ask a question like, “Have you
ever been convicted of any crimes that were dismissed?” And if a private
employer asks about these convictions, you don’t have to report ones that
were expunged/dismissed.
a. EXCEPTION: On the other hand, public (government) employers and
law enforcement agencies can request more information about
1725
dismissed records from you than private employers.
2) Convictions for minor marijuana-related offenses, if the conviction is over 2
1726
years old.
Minor marijuana-related convictions over 2 years old that an
employer CANNOT ask about include, but are not limited to:
1727
a. Marijuana possession (other than concentrated cannabis).
b. Carrying or giving away small amounts of marijuana (other than
1728
concentrated cannabis).
c. Having a pipe, bong, or other device for illegally smoking
1729
marijuana.
d. Being in a room, car, or other location with someone who is illegally
1730
using or smoking marijuana, and helping them to do it.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1724
1725
1726
1727
1728
1729
1730

2 CAL. CODE REGS. § 7287.4(d)(1)(B); CAL. LAB. CODE § 432.7(a).
CAL. LAB. CODE § 432.7(b).
CAL. LAB. CODE § 432.8.
CAL. HEALTH & SAFETY CODE § 11357(b), (c).
CAL. HEALTH & SAFETY CODE § 11360.
CAL. HEALTH & SAFETY CODE § 11364.
CAL. HEALTH & SAFETY CODE § 11365.

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e.

!

Unlawfully being under the influence of marijuana (in other words,
1731
being high).
3) Arrests that did not lead to a conviction. Employers (private and most public
employers) CANNOT ask about past arrests where you were not convicted
of the alleged crime. This includes arrests where the charges against you
were never brought, charges were dismissed, and cases where you were
found not guilty. THERE ARE 3 EXCEPTIONS TO THIS RULE YOU SHOULD
1732
KNOW:
a. First, private and public employers can still ask about recent arrests
that are pending or unresolved (for example, if you were arrested,
posted bail money, and are awaiting trial, the arrest is still
considered pending, and employers can learn out about those).
PLEASE NOTE: If you live in a city or county that has “banned the
box,” the rule for when employers can ask about pending arrests is
different. See PG. 645 for more information about when an
employer can ask.
b. Second, law enforcement employers can ask about and consider all
arrests.
c. Third, health care facilities and pharmacy employers can ask about
and consider CERTAIN arrests (for drug and/or sexual offenses) if
you are applying for a job with regular access to drugs or
medications (for drug arrests), or to patients (for sexual offense
arrests).
4) Arrests that led to the completion of a court diversion program. A court
diversion program (such as a drug rehabilitation program) helps a person
charged with certain crimes avoid criminal charges—and
therefore avoid a criminal record. By law, employers are NOT
KNOW YOUR
allowed to ask for any information about your participation in a
1733
RIGHTS:
court diversion program.
CONVICTIONS
MORE THAN 7
REMEMBER: In general, if an employer asks you if you were
YEARS OLD
ever arrested, you SHOULD NOT answer that question, and

you DO NOT have to. Politely remind the employer that if
he/she wants to learn about your criminal record, he/she can
ask ONLY about relevant convictions—NOT arrests—to
protect your rights.

WHAT CAN EMPLOYERS ASK ME ABOUT MY CRIMINAL
RECORD?
Under state law, employers can ask you questions about certain
1734
convictions, but not all.
For example, an employer could ask (on
an application or in person): “Have you ever been convicted of a
crime?”—but if the employer is following the law, he/she should
have a big warning saying that it’s not asking you to report
convictions you don’t legally have to admit (all those listed, starting
1735
on PG. 645).
Employers can also ask you direct questions about pending arrests
and ongoing/ unresolved cases. For example, and employer could

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

There is a weird gap in
the law that you
should know about.
While employers CAN
ask about and
consider convictions
older than 7 years old
(and can ask you
about these as part of
an in-house
background check),
private background
check companies
CANNOT report
information about
convictions more than
7 years old on your
background check
report. This CANNOT
come up in a
background check.

CAL. HEALTH & SAFETY CODE § 11550.
CAL. LAB. CODE § 432.7; see offenses listed under CAL. HEALTH & SAFETY CODE § 11590 (drug offenses); CAL. PENAL
CODE § 290 (sexual offenses).
1733
CAL. LAB. CODE § 432.7(a).
1734
See CAL. LAB. CODE §§ 432.7 and 432.8; see also US EEOC, Consideration of Arrest & Conviction Records in
Employment Decisions Under Title VII of the Civil Rights Act of 1964 (EEOC Guidance Apr. 25, 2012) at 13-14 (herein
“EEOC Guidance”).
1735
CAL. LAB. CODE §§ 432.7, 432.8; see also Starbucks Corp. v. Superior Court, 86 Cal. Rptr. 3d 482 (2008).
1731
1732

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ask (on paper or in-person), “Do you have any pending arrests or unresolved
criminal cases?”
KNOW YOUR
RIGHTS:
PENDING
ARRESTS

WHEN CAN (AND CAN’T) EMPLOYERS ASK ABOUT MY
CRIMINAL RECORD?

An employer can
only ask about
arrests and
charges that are
open or
unresolved, NOT
about arrests or
charges that were
dismissed or
closed in your
favor.

Unfortunately, the answer is complicated because the rules are not the
same for all types of employers in all counties and cities. When a
California employer can ask about your criminal record depends on the
following factors:
1) Whether it’s a public (state or local government) or private employer,
and
2) For private employers, what county and city the employer operates
in.
Because of these differences, this section is divided into rules for public
(government) employers and rules for private employers.

WHEN CAN A PUBLIC (GOVERNMENT) EMPLOYER IN
CALIFORNIA ASK ABOUT MY CRIMINAL RECORD?
Because of the recent state law known as “Ban the Box,” public employers in
California CANNOT ask you—in-person, verbally, or in writing on a job
application—ANY information about your conviction history, until AFTER the
employer has determined that you meet the minimum job requirements. This law
applies statewide to ALL state and local government employers, but does NOT
apply to federal government jobs, jobs with law enforcement, or positions that
1736
require a criminal background check by law.
Some cities and counties in California (such as San Francisco, Richmond, and
Compton) have passed their own local “Ban the Box” laws that sometimes apply
to certain private employers. See Appendix F, PG. 722, for more information
about local “Ban the Box” laws in California (such as the one in San Francisco
called the “Fair Chance Ordinance”).

WHEN CAN A PRIVATE EMPLOYER IN CALIFORNIA ASK ABOUT
MY CRIMINAL RECORD?
It depends on your city and county. For many years, across the entire state, a
private employer could ask certain questions about your criminal record at any
time, and most private employers can still ask these questions AT ANY TIME.
Recently, however, San Francisco passed a “Ban the Box” law that applies to
private employers. This means that in SF, employers must wait to ask about
records until AFTER they have determined the person would be qualified, just
like public employers must around the state. For now, San Francisco is the ONLY
county in which “Ban the Box” legislation applies to private employers, but other
cities and counties are considering similar legislation. See Appendix G, PG. 724,
for a full explanation of the San Francisco law, called the Fair Chance Ordinance.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1736

CAL. LAB. CODE § 432.9.

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In addition, the cities of Richmond and Compton have implemented “Ban the
Box” laws that apply to government contractors—meaning private employers
that have contracts with the local city government. If you are applying to a job
with a private contractor in one of those cities, you should find out if “Ban the
Box” would apply to you. See Appendix H, PG. 728 to learn about Richmond,
CA’s “Ban the Box” law.

SUMMARY
KNOW YOUR RIGHTS: What Employers Can Ask You & When
In general, employers CANNOT ask about: arrests that did not lead to
conviction; convictions that have been dismissed/expunged/sealed;
participation in court diversion programs; and certain minor marijuana
convictions.
Employers CAN ask about: convictions and pending (unresolved) arrests,
charges, or cases.
In general, PUBLIC employers can only ask about your record AFTER they
decide that you meet the basic job qualifications.
In general, PRIVATE employers can ask about your record at any time.
“Ban the Box” laws you more rights and protections if you apply for a job
with a state or local government agency, and/or in certain local cities and
counties.

•

•
•
•
•

IF THE EMPLOYER USES A PRIVATE BACKGROUND
CHECK COMPANY TO RUN A BACKGROUND CHECK
ON YOU
! IF THE EMPLOYER USES A PRIVATE BACKGROUND CHECK
COMPANY, WHAT CAN IT FIND OUT AND CONSIDER? WHAT
ARE THE RULES THAT LIMIT THESE SEARCHES?
ARE EMPLOYERS LEGALLY ALLOWED TO RUN A BACKGROUND
CHECK ON ME?
Yes. In California, employers are allowed to conduct background checks “for
employment purposes”–when deciding whether to hire, promote, reassign, or
keep you on as an employee. Private Background check companies are allowed
to provide background checks (also called consumer reports) to anyone the
agency reasonably believes will use the information “for employment
1737
purposes.”

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1737

See 15 U.S.C. § 1681b; CAL. CIV. CODE § 1786.2(f).

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HELPFUL HINT
If an employer tells me that they will run a background check, should
I still apply for the job?
Yes! Even if the employer does run a background check, this doesn’t mean that
they won’t hire you. 58% of employers allow job applicants to explain the results
of their background check before the employer makes a final decision about
whether or not to hire them. See PG. 634 above for some tips on how to discuss
your background and record in the most favorable way—showing the employer
why he/she should hire you and give you a chance!

CAN AN EMPLOYER CONSIDER MY CREDIT HISTORY?
Generally, no. Employers CANNOT look at your credit report unless you are
applying for certain high level or sensitive job positions, such as a manager or
supervisor within a company, a law enforcement officer, or a position with
1738
access to large amounts of cash and/or sensitive financial information.
If you
have further questions about your credit history, contact a local legal service
organization or call 2-1-1.

ARE EMPLOYERS LEGALLY REQUIRED TO CONDUCT CRIMINAL
BACKGROUND CHECKS?
Generally, no. Most of the time, the employer is not legally required to run a
1739
background check, though many choose to.

KNOW YOUR RIGHTS
Your Rights If An Employer Runs A Background Check
•
•
•

•

•

Employers MUST NOTIFY you and get your PERMISSION BEFORE running a
background check on you through a private background check company.
Employers MUST offer you a copy of the background check report. ALWAYS
request a copy of the background check report.
Employers CAN see: convictions and pending (unresolved) arrests, charges,
or cases; other personal information about you. But they CANNOT see
convictions and other negative information that is more than 7 years old.
In general, employers CANNOT see: arrests that did not lead to conviction;
convictions that have been dismissed/expunged/sealed; participation in
court diversion programs; and certain minor marijuana convictions; your RAP
sheet; your credit report.
If an employer decides not to hire you because of information in your
background check report, the employer MUST NOTIFY you beforehand; give
you a COPY of the background check report; and give you a chance to
CORRECT any errors in your background check report.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. LAB. CODE § 1024.5, et seq.
42 U.S.C. § 2000e-2; see also, NELP, Top Ten Best Practices for Fair Chance Policies, at 1-2,
http://www.nelp.org/page/-/SCLP/2014/Guides/NELP_Best_Practices_and_Model_Policies.pdf?nocdn=1.
1738
1739

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The only exception to this rule is if the job involves unsupervised access to
sensitive populations or the handling of sensitive information (like law
1740
1741
enforcement officers,
airport security screeners, security guard
1742
1743
1744
positions,
bank employees,
port workers,
childcare workers in federal
1745
1746
facilities or agencies,
certain insurance personnel,
any personnel involved
1747
1748
in administration of an employee benefits plan, defense contractors,
and
1749
prisoner transportation personnel).
For these specialized jobs, a background
check is mandatory.

SINCE EMPLOYERS ARE ALLOWED TO RUN BACKGROUND
CHECKS ON ME, DO I HAVE ANY LEGAL RIGHTS IN THE
PROCESS?
Yes—you have a number of important rights under law THROUGHOUT the hiring
process in how the employer can run and use a background check. The
following rules protect your rights when you are applying for a job and the
employer runs a background check on you through a private Background check
company. (Note: There are different rules if the employer runs a background
check on a current employee because it suspects the person of misconduct or
1750
wrongdoing.)
Before an employer runs a background check on you using a private
background check company, the employer must do ALL of the following: give
you notice, get your written permission (consent) to run the check, inform you of
1751
your rights, and offer you a copy of the report, once it is done. Here are the 4
steps below in more detail:
STEP 1:

Give you ADVANCED, WRITTEN NOTICE

An employer must provide you with written notice if it intends to hire a
background check company and use information in your background check to
make decisions related to your employment. This notice must be in a separate
document from other information from the employer—it can’t just be mentioned
on the job application or buried among other papers—SO that it is clear that the
1752
employer is running a background check done on you.
The NOTICE must include the following INFORMATION:
•
•

1753

Explain the purpose of the background check.
Explain that the background check may include information on your
“character, general reputation, personal characteristics, and mode of living”—
1754
meaning certain personal information about you and your past.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

5 U.S.C. § 7371(b).
49 U.S.C § 44935(e)(2)(B).
CAL. BUS. & PROF. CODE § 7583.9; see also CALIF. DEP’T OF CONSUMER AFFAIRS, Security Guard Fact Sheet (July
2012).
1743
12 U.S.C. § 1829.
1744
46 U.S.C. § 70105(c).
1745
42 U.S.C. § 13041(a).
1746
18 U.S.C. § 1033(e).
1747
29 U.S.C. § 1111(a).
1748
10 U.S.C. § 2408(a).
1749
42 U.S.C. § 13726b(b)(1).
1750
CAL. CIV. CODE §§ 1786.16, 1786.16(c).
1751
CAL. CIV. CODE § 1786.16(a)(2)(A). California law is stricter than federal law about what an employer must do when
notifying a job applicant about the requested consumer report. See generally California Investigative Consumer
Background check companies Act (ICRAA) at CAL. CIV. CODE § 1786 et seq.
1752
15 U.S.C. § 1681b(b)(2)(A)(i); CAL. CIV. CODE § 1786.16(a)(2)(B).
1753
CAL. CIV. CODE § 1786.16(a)(2)(b). The Background check company’s website must explain its policy about
transferring personal information transferred to third parties outside the United States, and must give you a way to
contact an agency representative with further questions. If the agency doesn’t have a website, you may request that
a copy of the privacy policy be mailed to you.
1754
There are strict limits on what information can be included in your background check report. For example, the
Background check company generally CANNOT include information about arrests or convictions that are more than
1740
1741
1742

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•

•

Give the name, address, phone number, and website of the private
background check company that will conduct the background check. There
are many background check companies out there, and you are entitled to
know exactly which one is providing a report on you.
Explain your right to review the background check company’s files along with
all the information the agency used when conducting your background check
1755
and preparing your background check report for the employer.
If the
report will include information from interviews with your neighbors, friends,
1756
or associates, you must be given special notice.

STEP 2: Get WRITTEN PERMISSION from YOU before they run the check:
After the employer gives you notice, the employer must ask and get your
1757
permission in writing—before conducting a background check.
Usually, there
will be a box to check on the job application, asking you for your permission for
the employer to do a background check.

!

IMPORTANT: If the employer wants to run another background check
later…
Employers must give you NOTICE and get your PERMISSION EVERY
TIME they run a background check.
If the employer wants to do another background check later, or wants to
get continuous, updated background checks on you during your
employment, they must give you a NEW NOTICE AND get NEW written
PERMISSION from you each and every time they do a background check
(except in cases of suspected misconduct).1758

STEP 3: Inform you of YOUR RIGHT TO SEE THE INFORMATION in your
background check:
The employer must inform you of your right to see the information used by the
1759
Background check company when conducting your background check.
STEP 4: Offer you a COPY of your background check report:
The employer must give you a chance to request a copy of the background
check report they got. There should be a box you can check to request copy of
your report—usually it will be on the same form you sign to give permission for
1760
the background check.
Always check YES to get a copy of the report so you
can see what the employer sees!
If you check the box to request a copy of your background check report, the
employer must send you a copy of the report within 3 business days from the
1761
time when the employer receives it.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
7 years old, bankruptcies that took place more than 10 years ago, or debts that are more than 7 years old. CAL. CIV.
CODE § 1786.18.
1755
CAL. CIV. CODE §§ 1786.16(a)(2)(B)(v), 1786.22, 1786.10.
1756
If interviews are involved, the report is defined as an “investigative consumer report” under the FCRA.
1757
15 U.S.C. § 1681b(b)(2)(A); CAL. CIV. CODE § 1786.16(a)(2)(C).
1758
CAL. CIV. CODE § 1786.16(a)(2) requires employers to provide notice and get permission “at any time” they want
to run a background check.
1759
CAL. CIV. CODE § 1786.16(a)(2)(B)(v); see also CAL. CIV. CODE § 1786.22.
1760
CAL. CIV. CODE § 1786.16(b)(1).
1761
CAL. CIV. CODE § 1786.16(b)(1). You may receive a copy of the report from the employer or from the screening
company. The report’s cover page must (1) include a notice in at least 12-point boldface type saying that the report
does not guarantee the accuracy or truthfulness of the information, but was simply copied from public records; (2)
include a warning that negative information could be the result of identity theft; and (3) give notice in English and
Spanish of your rights. Business days” only include weekdays (Mon-Fri). CAL. CIV. CODE § 1786.29.

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IMPORTANT: ALWAYS request a copy of the background check report

!

You have a legal right to receive a copy of the background check report
used by the employer, and it is recommended that you always request a
copy of the report. Always check the box to request a copy of the
background check report.
• WHAT TO LOOK FOR: The box to request a copy of the background
check report will probably say something like this:
• “Check this box if you would like to receive a free copy of any
consumer report or investigative consumer report obtained on you,”
or
• “I am a California resident and I would like a free copy of my
background check report.”1762
• Make sure you CHECK THIS BOX to request a copy of your
background check report.

CAN AN EMPLOYER DECIDE NOT TO HIRE ME BASED ON MY
RECORD?
Yes, BUT ONLY if they follow the law. The law sets certain rules that the
employer must follow in the hiring process and in deciding whether to hire
someone with a record. The employer must follow additional legal rules both
1763
before AND after taking any adverse action against you.

WHAT RULES MUST AN EMPLOYER FOLLOW IF THEY DECIDE
NOT TO HIRE ME BASED ON MY RECORD?
Under, federal law (FCRA) the employer must notify you both before AND after
taking any adverse (negative) action against you based on the results of your
1764
background check.
BEFORE ADVERSE ACTION:
Before an employer takes any adverse action against you based on the results
of your background check, the employer must give you a “Pre-Adverse Action”
1765
letter to notify you that it is planning to take the adverse action.
Under federal law, the Pre-Adverse Action letter must:
1)

NOTIFY you that the employer plans to take adverse action against you
based on information from your background check report;
2) Include a COPY of your background check report that the employer used to
1766
make its decision,
and
1767
3) Include the DOCUMENT, “A Summary of Your Rights Under FCRA”
(see
Appendix I, PG. 730)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Net Check Investigations (Cal. P.I. License 21529), Americheck—Authorization to Release Information,
http://americhek.com/resources/pdf/Authorization_Release_2011-12.pdf; Mission Network, Disclosure Regarding
Background Investigation,
https://www.missionnetwork.com/sites/missionnetwork.com/files/nodes/1540/Background%20Check%20Authorizati
on%20(New%202014).pdf; William Jessup Univ., Authorization for Background Checks (v1112),
http://www.jessup.edu/wp-content/uploads/2013/09/investigative_report_authorization.pdf.
1763
15 U.S.C. § 1681b(b)(3)(A); CAL. CIV. CODE § 1786.40(a).
1764
15 U.S.C. § 1681b(b)(3)(A).
1765
15 U.S.C. § 1681b(b)(3)(A); see also Russ Dempsey, Adverse Action in Employment,
http://www.backgroundbureau.com/web/Articles/FCRA.shtml.
1766
Note: This means that the employer must give you a copy of your background check report, even if you did not
check the box to request a copy of the report when giving permission to run the background check.
1762

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After you receive this letter, you must be given a reasonable opportunity (about
1768
5 days)
to review your report and correct any errors.

IMPORTANT: If you receive a “Pre-Adverse Action” letter, you should:

!

• Review your background check report immediately to make sure it
does not contain any incomplete, inaccurate or outdated information—
such as convictions that are more than 7 years old; convictions that
were dismissed/expunged/sealed; and/or arrests that did not lead to a
conviction (as long as the charges are not still pending);
• Tell the employer immediately if there is any incomplete, inaccurate,
or outdated information in the report;
• Offer proof of errors in your background check report, such as court
records showing the final disposition (outcome) of the case;
• Offer proof of your rehabilitation efforts, including certifications or
documents that show completion of programs, school transcripts,
letters of support from past employer or other community members
(not family or friends).
If the employer does not give you enough time to review the report and
correct any errors—for example, if the employer gives you the “PreAdverse Action” letter and then rejects your job application on the same
day—you may have a legal claim against the employer for violating your
right to receive notice before the adverse action.1769

!

IMPORTANT: Although the purpose of the Pre-Adverse Action law is to
allow you to correct errors in your background check report, the law is
NOT clear about whether the employer is required to reconsider your
application if you correct the error and provide proof. If this happens to
you, you should talk to an attorney about whether the employer may
have violated your rights.1770
AFTER ADVERSE ACTION
After an employer takes any adverse action against you, such as rejecting your
job application or firing you, the employer must give you an “Adverse Action
Notice” to notify you that an adverse action was taken against you based on
information from your background check. The employer can give you this notice
orally, in writing, or electronically, but it must be within 3 business days of the
employer’s final decision.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
15 U.S.C. § 1681b(b)(3)(A). A copy of “A Summary of Your Rights Under FCRA” can be found in Appendix I,
PG. 128, or online at www.ftc.gov/credit.
1768
Although the law does not provide exactly how much time an employer must wait after sending a “Pre-Adverse
Action” letter to take the adverse action, guidance from Congress suggests that 5 business days is a reasonable
amount of time. See H.R. Rep. No. 103-486, at 30 (1994).
1769
See, e.g., Beverly v. Wal-Mart Stores, Inc., No. CIV. A. 3:07CV469, 2008 WL 149032, at *3 (2008); Williams v.
Telespectrum, Inc., No. 3:05CV853, 2006 WL 7067107, at *4 (2006) (unreported); but see Johnson v. ADP Screening
& Selection Svcs., Inc., 768 F. Supp. 2d 979, 983-84 (2011) (FRCA does not impose waiting period on employer nor
require employer to hold position open for applicant during period between Pre-Adverse Action letter and adverse
action).
1770
Compare, e.g., Beverly v. Wal-Mart Stores, Inc., No. CIV.A. 3:07CV469, 2008 WL 149032, at *3 (2008) (“The
statutory purpose is to enable employee or applicant to correct any of inaccurate information in background report
before any adverse decision or action is taken.”); with Johnson v. ADP Screening & Selection Servs., Inc., 768 F.
Supp. 2d 979, 984 (2011) (“Nothing in the FCRA requires an employer to consider any correction that a Background
check company might make.”)
1767

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Under federal law, the Adverse Action Notice must include:
1)

The name, address, and phone number of the background check company
that supplied the report to the employer;
A statement that the background check company that supplied the report is
not responsible for the adverse action and cannot explain the specific
reasons for the action; and
A statement of your rights to:
Dispute (challenge) the accuracy or completeness of any information the
background check company provided; and
Get an additional free report from the company within 60 days, if you ask for
1771
one.

2)
3)
4)
5)

The Adverse Action Notice is important so that you know why the employer
made the adverse decision against you and what information the employer
considered. This way you can challenge or correct any information that is
incorrect, incomplete, or illegal. And if the employer or background check
company has NOT followed any of the laws described here—or if the employer
does NOT give you an Adverse Action Notice—you may have a legal claim
against them.

!

IMPORTANT: Adverse Action Notices
If an employer takes an adverse action against you (such as not hiring
you) based on information in your background check report, they must
give you BOTH a Pre-Adverse Action AND Adverse Action Notice.
If the employer does not give you these documents, you may have a
legal claim against them for violating your rights under background
check laws. However, you will need to show that they employer’s
decision was actually based on information in your background check
report (such as your criminal record) and NOT for other reasons. See the
text box immediately below on PG. 654 for how to do this.
For more information on what you can do if an employer does NOT give you an
Adverse Action Notice or does NOT follow any of the other laws described here,
see PG. 653.
For more information on how to challenge or correct information in your
background check report, see information below, or see the UNDERSTANDING
& CLEANING UP YOUR RECORD CHAPTER, PG. 1020.
For information on how to get a copy of your background check report, see the
UNDERSTANDING & CLEANING UP YOUR RECORD CHAPTER, PG. 1020.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1771

15 U.S.C. § 1681m(b)(1); CAL. CIV. CODE § 1786.40.

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HELPFUL HINT

!

If I did not receive a Pre-Adverse Action or Adverse Action Notice,
how can I show that the employer rejected me based on my
background check and NOT other reasons?
Here are 2 strategies that have been used for showing that the employer may
have rejected you based on your background check, even if they did NOT give
you a Pre-Adverse Action or Adverse Action Notice:
1.

Did the employer say they would run a background check on you—either in
person, on the job posting, or on the job application? Did the employer give
you a Notice saying they would run a background check, or have you sign a
document giving them permission to run a background check? Did the
employer give you a Pre-Adverse Action Notice but NOT Adverse Action
Notice (or the opposite—an Adverse Action Notice but NOT Pre-Adverse
Action Notice)? Did the employer say anything about your record, or about
(not) hiring people with criminal records? Any of these can help show that
the employer did run a background check on you, and may have rejected
your application based on information in your background check.
2. If you feel comfortable, you can try talking to the employer directly. You can
explain that you are trying to improve your application for the future, and
then ask why the employer did not select your application and what you can
do to improve your chances in the future.
• In some cases, the employer may say something that reveals he/she
made a decision based on your record or other information in your
background check—for example, a negative comment about your being
trustworthy, creating a risk to others, or about people with criminal
records, in general. If this happens, make sure that you write down
afterward exactly what the employer said!
• In other cases, the employer may actually give you a helpful explanation
that really can help you to improve your job applications in the future.
This may show that the employer really did have some other reason for
not hiring you, or at the very least can give you help you to be more
successful for future jobs.
• Finally, the employer may not give you any explanation for their
decision, or may simply say that other people were more qualified or
applied before you. In this case, it may be difficult to show that the
employer actually rejected you based on your background check report.

!

WHAT CAN I DO IF THERE IS INACCURATE, INCOMPLETE, OR
ILLEGAL INFORMATION IN MY BACKGROUND CHECK REPORT?
You have the right to dispute (challenge) any inaccurate, incomplete, or illegally
included information in your background check report.
If there is inaccurate, incomplete, or illegal information in your background
check report, you have the right to dispute (challenge) this information with the
background check company that prepared the report. The background check
company must investigate the error, delete or correct any improper information,
and send a notice and a statement of correction to ANY employer who received
a copy of your background check in the past 2 years (or anyone else who
1772
received a copy of your background check in the past year) if you ask.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1772

15 U.S.C. § 1681i; CAL. CIV. CODE § 1786.24.

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For more information on how to dispute inaccurate, incomplete, or illegally
included information in your background check report, see information below, or
see the UNDERSTANDING & CLEANING UP YOUR RECORD CHAPTER,
PG. 1020.

IF I AM HIRED, CAN MY EMPLOYER RUN BACKGROUND CHECKS
ON ME IN THE FUTURE WITHOUT MY PERMISSION?
No. Under California state law, an employer must follow the legal procedure of
giving you notice, getting permission, etc., every time it wants to run a
1773
background check on you. In addition, an employer CANNOT ask you to
waive (give up) your right to receive notice, give permission, etc., before running
1774
a background check.
EXCEPTION: If an employer suspects you of wrongdoing or misconduct, it can
run a background check without giving you notice or asking for your permission.
This exception applies if the employer is conducting a background check
because they suspect you of misconduct on the job, including violating any
written polices of the employer, or violating any federal, state, or local laws or
1775
regulations.

WHAT CAN I DO IF THE EMPLOYER HAS ALREADY RECEIVED
INFORMATION FROM A BACKGROUND CHECK REPORT THAT IT
SHOULDN’T HAVE RECEIVED BY LAW?
Unfortunately, employers sometimes get information that should NOT have
been included in your background check report. They might ask you about it
during an interview (or on a job application), or consider the information when
deciding whether to hire you. Here are some suggested steps if this happens to
you:
STEP 1: The first recommended step is that you get a copy of the background
check report, so that you know what information the employer is seeing. For this
reason, it’s important to always check the box to request a copy of the report
when you give permission to an employer to run a background check on you.
If you didn’t check the box before, you can still get a copy of the report in 2
ways:
1)

If the employer decides take an adverse (negative) action against you—such
as rejecting your job application—they must give you a copy of the
1776
background check report before taking the action.
2) The background check company is required to give you a copy of the same
1777
report sent to the employer, if you ask for it within (at least) 2 years.
STEP 2: If there are errors or inaccurate information on the background check
report, it’s recommended that you point this out to the employer right away. If
possible, you may also want to show the employer any proof of the correct

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. CIV. CODE § 1786.24(b).
CAL. CIV. CODE § 1786.57.
Both California and federal law have exceptions to the notice and permission requirements if an employer does
a background check because they suspect you of “wrongdoing or misconduct,” and uses a private Background
check company to conduct the background check. CAL. CIV. CODE § 1786.16(a)(2), (c); 15 U.S.C. § 1681a(y)(1). In this
case, the employer is NOT required to notify you or get your permission before conducting the background check.
If the employer later decides to take adverse action based on the results of the background check, they are only
required to give you a summary of the background check report (not the sources of information nor full report itself),
and only after the adverse action is taken (not before the adverse action). 15 U.S.C. § 1681a(y)(2).
1776
15 U.S.C. § 1681b(b)(3)(A)(i).
1777
CAL. CIV. CODE § 1786.11.
1773
1774
1775

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information—for example, court papers showing that your conviction has been
expunged, or that charges against you were dismissed.
You also have the right to make the background check company correct the
information, and send the employer a notice and statement of the correction. For
more information on correcting information with the background check company
and notifying the employer of the correction, see PG. 664 below.
STEP 3: If the employer asks you about things that should NOT have been in
your background check report—such as convictions that are more than 7 years
old—it’s recommended you answer the question directly and honestly, but
briefly:
• You can take responsibility for your actions. State the facts, but express
regret for what happened. Don’t get defensive. Be honest, but don’t go into
details.
• You don’t need to go into details. Keep your answer short. Be honest, but
only talk about necessary information based on the questions you are asked.
• You can the employer how you have changed. Emphasize that the incident
happened long ago and that you are a different person now. Explain what
you learned while you were in prison/jail, and what you are doing differently
now. Paint a picture of the person you are now.
• You can emphasize your qualifications. Describe the things that will make
you a good employee—such as previous work experience, job training
programs, or classes that you’ve done—and any letters of recommendation
that you have. Show the employer why you are qualified for the position and
will be a benefit to the company.
• You can describe your hopes and dreams. Show the employer than you are
in control of your life and have short-term and long-term goals. Highlight any
services that you’re getting to help you move on and achieve your goals.
Emphasize that you would be very appreciative of the opportunity to work for
1778
them, and you will be the hardest worker they will ever have.
STEP 4: If the employer asks you (or makes comments) about incorrect or
improper information in your background check report, you may want to write
down anything the employer says and anything you say to the employer, so that
you have a record to protect your rights later.

KNOW YOUR RIG HTS
Summary of your rights if an employer runs a background check through a
private background check company:
•
•
•

•

•

Employers MUST NOTIFY you and get your PERMISSION BEFORE running a
background check on you through a private background check company.
Employers MUST offer you a copy of the background check report. You can ALWAYS
request a copy of the background check report.
Employers CAN see: convictions and pending (unresolved) arrests, charges, or cases;
other personal information about you. But they CANNOT see convictions and other
negative information that is more than 7 years old.
In general, employers CANNOT see: arrests that did not lead to conviction;
convictions that have been dismissed/expunged/sealed; participation in court
diversion programs; and certain minor marijuana convictions; your RAP sheet; your
credit report.
If an employer decides not to hire you because of information in your background
check report, the employer MUST NOTIFY you beforehand; give you a COPY of the
background check report; and give you a chance to CORRECT any errors in your
background check report.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Electronic communication from Mary Weaver, Executive Director, Friends Outside in Los Angeles County (Jan.
29, 2015); electronic communication from Mario Rodriguez, South Bay Workforce Investment Board (Jan. 29, 2015).
1778

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IF THE EMPLOYER CONDUCTS AN “INHOUSE” BACKGROUND CHECK
! WHAT AN EMPLOYER CAN FIND OUT AND CONSIDER
THROUGH THEIR OWN BACKGROUND CHECK
INVESTIGATION…AND THE RULES THAT LIMIT THESE
SEARCHES.

KNOW YOUR RIGHTS
General Overview of the Law & your Rights
•

•
•
•
•
•

•

Instead of hiring a background check company, employers can also directly
access your criminal record and other public records by conducting their own
“in-house” background check on you.
Employers are NOT required to get your permission before running an inhouse background check.
You have the RIGHT to receive a COPY of any public information an
employer is viewing. It is recommended that you NEVER give up this right!
Your RAP sheet is generally confidential and NOT accessible by employers.
Your RAP sheet is not the only place to find your criminal records, because
most criminal records are public records.
If an employer decides not to hire you based on information in a public
record (including criminal court records), the employer MUST give you a
COPY of the public records.
An employer is NOT required to give you copies of any NON-public
information used (such as information from talking to people who know you).

Most employers hire an outside private background check company to gather
public record information on job applicants and produce a background check
report (this method of running a background check is covered in the previous
section, starting on PG. 633).
However, instead of hiring an outside background check company, an employer
can conduct its own “in-house” (internal) background check on you. The
employer can look at your public records directly, as well as interview your
friends, family members, and former employers or co-workers. This “in-house”
type of background check is a less common practice, but it is important for you
to understand that if an employer chooses this route, there are different legal
protections than when a private company runs the background check.

HOW DOES AN IN-HOUSE BACKGROUND CHECK WORK?
An in-house background check is very similar to a third-party background check
by an outside Background check company, except the employer alone is
responsible for conducting the research, without any outside assistance.

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Any employer may conduct an in-house background search in the following
1779
ways:
•

•

•

•

Looking at public records, such as criminal convictions and civil judgments.
You have a right to see any public records that the employer looked at; see
PG. 658 below for more information.
Talking to friends, neighbors, former employers, or colleagues about your
character, reputation, or living situation. The questions should be related to
job skills, ability to work with others, attendance, attitude, and ability to
follow instructions and receive criticism.
Verifying school records—your attendance and any degrees you earned.
However, employers cannot see your transcripts (courses and grades) or
other school records (e.g., disciplinary records) unless you give written
1780
consent.
Online searches—like searching for your name on Google, looking at your
Facebook page, checking other social networking sites (Twitter, MySpace,
1781
etc.), and checking websites that post mug shots. Note: An employer
cannot ask you for your social networking username or password or make
1782
you show them your online profile.

WHAT RULES GOVERN CALIFORNIA EMPLOYERS WHO RUN INHOUSE CHECKS?
The law is more relaxed about in-house background checks than it is about
outside background check companies’ background checks. This means that you
have fewer rights when it comes to being notified, giving your permission, and
challenging the results of in-house background checks.
However, if an employer is running his/her own in-house background check on
you, they still must follow certain rules. Here is what the employer is and isn’t
legally required to do:
•

•

The employer may request your permission, but it’s not required. Look
carefully at the job application form—the employer might ask to run an inhouse background check right on the application form itself.
The employer must give you a copy of public records used in the report—
unless you check the box to waive (give up) this right. Be careful—the job
application or other forms MAY have a box that you can check to waive (give
1783
up) your right to see the public records,
and it’s recommended that you do
not check that box!

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Law Office of Melissa C. Marsh, How To Perform Employee Background Check In California,
http://www.yourlegalcorner.com/articles.asp?id=51&cat=emp.
1780
20 U.S.C. § 1232g(b)(1).
1781
California law prohibits regular employers from using information taken from Megan’s Law websites (which list
people required to register under Penal Code 290) when deciding whether to hire you or when making any other
employment decisions. CAL. PENAL CODE § 290.46(l). However, employers can use the same information if taken
directly from public records (like court records), rather than from online websites. (In general, the only employers
who can use Megan’s Law website are the same employers who can see your RAP sheet.)
1782
CAL. LAB. CODE § 980.
1783
CAL. CIV. CODE § 1786.53.
1779

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!

KNOW YOUR RIGHTS: You can ALWAYS get a copy of PUBLIC
RECORDS used by the employer. You have a legal right to get a copy of
the public records used by the employer, and it’s recommended that you
never give up (“waive”) that right! It’s recommended that you always
indicate that you DO want to see the public records report, and make
sure you DON’T check a box waiving your right. What to look out for:
• The box to waive your rights will probably say something like this: “I
further understand that the Company may obtain Public Records
about me as part of an internal background investigation and that I
may waive my right to receive a copy of such Public Records by
checking the box to the right.”1784 It’s recommended that you DON’T
CHECK THIS BOX!
• This can be confusing because it is the opposite of what happens
when the employer hires a private background check company to do
the background check (in which case it is recommended that you
check the box to request a copy of the background check report).1785
•

•

If you don’t waive your right to view the public records gathered about you,
the employer must give you a copy of the public records within 7 days after it
1786
receives them.
o EXCEPTION: In California, if your existing or future employer wants to
run an in-house background check because it suspects you of
misconduct or wrongdoing, the employer is not required to reveal its
findings until after the investigation is over. However, upon completion
of the investigation, the employer must give you a copy of the public
records unless you waived (gave up) your rights (so again, its
recommended that you don’t giveu p your right to a copy of those public
1787
records!).
If the employer takes any adverse (negative) action against you—such as
deciding not to hire you—because of information in the public records, the
employer must give you a copy of the public records even if you checked the
1788
box that waived your right to see the records.
The employer is not required to give you information it gets from NONPUBLIC sources, such as checking your references with past employers,
1789
verifying your education records, or talking to people who know you.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See, e.g., TheBestIRS.com, Application for Employment, at 4,
http://www.thebestirs.com/repository/application_2014.pdf; Living Spaces Furniture, Form 10000: Application for
Employment, at 4, https://www.livingspaces.com/_Content/Ads/job_app.pdf.
1785
CAL. CIV. CODE § 1786.16(b)(1).
1786
CAL. CIV. CODE § 1786.53(b)(1).
1787
CAL. CIV. CODE § 1786.53(b)(3).
1788
CAL. CIV. CODE § 1786.53(b)(4).
1789
CAL. CIV. CODE § 1786.53(b).
1784

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HELPFUL HINT
Important things to know about listing references and previous jobs
When you apply for a job, the new employer will often contact your former
employers and other people you list as references, in order to find out if you
were a good employee and to decide if they should hire you. Keep in mind that
a former employer CAN say negative things about you as part of a job reference
even suspected criminal activity, regardless of whether you were convicted of
anything—so long as they reasonably believe the information is true and they
are not simply acting out of meanness towards you.
Also, the new employer is NOT required to tell you what these people said
about you, and they can say positive or negative things. It’s recommended that
you check in with your references BEFORE listing them, so that you know what
they will say about you. (You can also ask someone you trust—a case manager,
social worker, legal aid attorney, or friend—to call for you.)
Finally, the new employer will also check the dates when you worked at your
previous jobs and how much you earned—so make sure you know the EXACT
dates and amount you earned, or it could seem like you are being dishonest in a
new job application. For more information about listing references and previous
jobs on a job application, see PG. 638.

!

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ERRORS IN EMPLOYERS' IN-HOUSE
BACKGROUND CHECKS:
HOW CAN I FIND OUT IF AN EMPLOYER RELIED ON INCORRECT
PUBLIC RECORDS ABOUT ME?
As noted above, if an employer runs its own background check—instead of
hiring an agency to do a consumer report—it must disclose to you any public
records it relies on. Specifically, the employer is required to ask you whether you
want copies of these public records. If you checked “yes” when asked whether
you want a copy (which it is recommended that you do), by law the employer
must send you the public records in the mail and give you the opportunity to
examine them thoroughly. If you find incorrect or misleading information, you
can inform your employer about the false information, so he or she does not rely
on it as accurate. Then you can attempt to get the errors fixed.

IF AN EMPLOYER RELIED ON INACCURATE PUBLIC RECORDS,
WHAT CAN I DO?
If an employer ran his/her own background check and relied on inaccurate
public records, you can:
1) Contact your employer as soon as possible, to prevent any confusion.
2) Send a written letter or e-mail (“written notice”) to the employer, pointing out
the incorrect or incomplete records, and request that the employer reinvestigate the records.
3) Provide the employer with proof, including copies of any official documents
to show why the information is incorrect, outdated, or incomplete. (For
example: you could give the employer court papers showing that your
1790
convictions have been dismissed or “expunged” in some way.)
4) You can fix the errors in your public records by contacting the agency that
produced the incorrect record. For example, if you need to fix incorrect
information about a tax lien, contact the IRS; if you need to fix the record of
a legal matter (civil or criminal case), contact the clerk at the courthouse that
processed your legal case.
It is important to remember that you only have the legal right to know about
public records that an employer uses. If an employer chooses to investigate your
past on its own, they do NOT need to disclose any information learned through
1791
in-person interviews with your former bosses or family and friends.

CAN AN EMPLOYER ASK ME FOR OR CONSIDER MY RAP SHEET?
Usually, no. Most employers are not allowed to see or ask for your RAP sheet.
Your RAP sheet is the government’s official record of all your arrests,
convictions, and other criminal justice contact. (Your RAP sheet is a confidential
document, meaning most people and most employers are not allowed to see it
or ask about it! Still, there are many other ways for employers to see your
criminal record without ever looking at your official government RAP sheet—

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Privacy Rights Clearinghouse, Fact Sheet 16a: Employment Background Checks in California: A Focus on
Accuracy, https://www.privacyrights.org/employment-background-checks-california-focus-accuracy#4.
1791
CAL. CIV. CODE § 1786.10(b)(1).
1790

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such as checking court and public records (see PG. 658) or hiring a private
Background check company to do a background check (see PG. 666).

WHICH EMPLOYERS CAN SEE MY RAP SHEET?
Under California law, only certain people are allowed to see your RAP sheet for
1792
employment purposes:
•

•

•

•

Most public employers can see your RAP sheet. These include all federal,
state and local government agencies—including police and fire departments,
the California Department of Corrections (CDCR), local Boards of Education,
1793
and the U.S. Postal Service.
Certain private employers can see your RAP sheet if you are applying for a
job that involves access to sensitive information (e.g., nuclear power plants,
public utilities, private security companies, and financial institutions like
banks) OR you will be working with children, elderly, disabled, or other
1794
vulnerable people.
1795
State occupational licensing agencies
can see your RAP sheet if you apply
for a professional license. For more information on licensing restrictions
based on a criminal record, see PG. 688.
1796
Law enforcement & criminal justice agencies
have full access to your RAP
sheet, including juvenile cases, expunged/dismissed cases, and sometimes
even sealed records!

In order to get a copy of your RAP sheet, these employers are allowed to ask for
your fingerprints, including making you do Live Scan (electronic)
1797
fingerprinting.
It is illegal for a regular employer (i.e., NOT an employer listed above) to do any
of the following:
•
•
•

Ask you for a copy of your RAP sheet;
Get a copy of your RAP sheet through any other means; or
Make you prove that you do NOT have a record—for example, by requiring
1798
you to get fingerprinted, or asking you for a “notice of no record”.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 11105 et seq. In addition, federal law requires background checks for the following jobs,
which mean that these employers will be able to see your RAP sheet: Airport security screeners; federal law
enforcement officers; defense contractor; prisoner transportation; port workers; childcare workers in federal facilities
or agencies; bank employees; insurance personnel; and any personnel involved in the administration of an
employee benefits plan. See 49 U.S.C § 44935(e)(2)(B); 5 U.S.C. § 7371(b); 10 U.S.C. § 2408(a); 42 U.S.C.
§ 13726b(b)(1); 46 U.S.C. § 70105(c); 42 U.S.C. § 13041(a); 12 U.S.C. § 1829; 18 U.S.C. § 1033(e); 29 U.S.C. § 1111(a).
Note: Other people and agencies (not listed here) may be able see your RAP sheet for non-employment services—
for example, public housing authorities, court investigators if you are applying to be the guardian of a child, and
certain medical officials.
1793
CAL. PENAL CODE § 11105(b).
1794
These employers include: nuclear power plants; public utilities; agencies directly responsible for the care of
children, the elderly, or the mentally or physically disabled; youth organizations; in-home supportive care agencies;
security organizations; financial institutions; private schools. See CAL. PENAL CODE §§ 11105(c)(1); 11105.3, 11105.4;
Cal. Fin. Code § 777.5; CAL. HEALTH & SAFETY CODE § 1596.871; CAL. VEH. CODE § 44237. However, private employers
must still get authorization from the DOJ in order to view RAP sheets.
1795
Occupational licenses are required for: accounting, acupuncture, architects, automotive repairs, barbering and
cosmetology, cemetery and funeral services, contractors, court reporters, dental services, electronic and appliance
repair, occupational therapy, physical therapy, real estate, security and investigative positions, structural pest
control, vocational and registered nursing. For a list of the 200+ occupational licenses available in California, see
http://www.labormarketinfo.edd.ca.gov/occguides/.
1796
This includes police and sheriff departments, courts, district attorney and public defender offices, parole and
probation departments, and corrections agencies.
1797
CAL. PENAL CODE § 11105(i).
1798
CAL. PENAL CODE §§ 11125, 11143.
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CAN I SEE MY OWN RAP SHEET?
Yes. You have the right to get a copy of your own RAP sheet, and to correct any
1799
errors or inaccurate information in it.
To request a copy of your RAP sheet,
you will need to fill out an application from the California Department of Justice
(DOJ) and get fingerprinted, and then send your application and fingerprints to
1800
1801
DOJ.
You will also have to pay a fee of no more than $25. For information
on how to request a copy of your RAP sheet, see the Key Terms section on
PG. 642.
To correct an error in your RAP sheet, you will need to send a written letter to
the DOJ to explain what the error is, and where to find evidence or proof of the
1802
correct information.
For example, if your RAP sheet says that you were
charged with a certain crime, but you actually plead guilty to a lesser offense,
you can tell the DOJ to contact the court clerk to prove the final disposition
(outcome) of your case.
Important: Even though you are allowed to get a copy of your own RAP sheet, it
is illegal for you to give a copy of your RAP sheet to an employer (unless it’s an
employer who is already allowed to see your RAP sheet, as listed on PG. 662
1803
above).

WHAT CAN I DO IF THE EMPLOYER DOES NOT FOLLOW ANY OF
THESE RULES ON BACKGROUND CHECKS?
Employers that do not follow federal and state laws for conducting background
checks on you may be liable to you and to the government for their illegal
actions.

KNOW YOUR RIG HTS

Some ways an employer can violate background check laws:
•
•
•
•

•

•

Ordering a background check without your permission;
Failing to inform you of your rights in a timely way;
Not giving you notice of an adverse action (i.e. deciding not to hire you)
BEFORE taking the action against you
Not providing you with a copy of your background check report:
o if you requested a copy of the report when giving permission to run the
background check, and/or if
o before taking any adverse action against you;
Asking you for a copy of your RAP sheet OR making you get fingerprinted
(including Live Scan)—except in a few limited situations (e.g., public
employers; occupational licensing agencies; and certain private employers if
the job involves working with children, elderly, or disabled, or gives you
access to sensitive information). For more information on which employers
can access your RAP sheet or fingerprints, see PG. 662.
Making YOU prove that you do NOT have a record.

!
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE §§ 11105(b)(12), 11121.
CAL. PENAL CODE §§ 11122-23.
If you cannot afford the fee, you can request a fee waiver (i.e., a request to be excused from paying the fee) with
your application, and provide proof of your financial situation. See CAL. PENAL CODE § 11123.
1802
CAL. PENAL CODE § 11126.
1803
CAL. PENAL CODE § 11142.
1799

1800
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If you believe that an employer has violated the law for any reason, you may
want to take the following steps, if possible:
•

•

Talk to the employer. The first thing you can do is try to talk to the
employer directly. Simply bringing the matter to the employer’s
attention may be all that it takes to solve the problem, especially if the
1804
employer just didn’t know it was violating the law.
Explain the law
and give the employer the chance to change his/her behavior.
Report the employer to the Attorney General. If talking to the employer
directly does not work, you can report the employer to the California
Attorney General. The Attorney General will then investigate your claim
and try to resolve it. You can report your claim by calling the Attorney
General’s Office of Public Inquiry Unit at (916) 322-3360 or toll free at 1800-952-5225. You can also send a written complaint to:

HELPFUL
HINT:
If you want to
sue the
employer—
BEWARE!
(1) It’s expensive.
Suing an
employer will
likely cost a LOT
of time and
money, and your
recovery options
are limited.

Attorney General's Office
California Department of Justice
Attn: Public Inquiry Unit
P.O. Box 944255
Sacramento, CA 94244-2550
•

•

(2) No frivolous
lawsuits are
allowed. The
Federal Credit
Reporting Act
(FCRA) includes
a penalty for
filing a lawsuit or
related court
papers that are
filed in “bad faith
or for purposes
of harassment.”
You may have to
pay the other
side’s attorney’s
fees, along with
your own, if you
file a lawsuit to
harass an
employer and
lose. (15 U.S.C.
§ 1681o(b).)

Report the employer to the FTC. If the employer has violated federal
background check laws, you can report the employer directly to the
Federal Trade Commission (FTC). The FTC has the authority to force
1805
employers to comply with background check laws
by requesting a
court order to stop the employer from violating the law, or by filing a
lawsuit against the employer. To file a complaint with the FTC, call
1806
the agency directly at 1-877-382-4357.
1807
Sue the employer in state or federal court.
You can file a lawsuit
against an employer in either state or federal court for violating
background check laws. You may be able to get a court to order the
employer to stop violating the law and/or pay you money. For more
information about suing the employer, talk to a lawyer first!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See FED. TRADE COMM’N, Employment Background Checks, http://www.consumer.ftc.gov/articles/0269-whatknow-when-you-look-job.
1805
15 U.S.C. § 1681s-2.
1806
See FED. TRADE COMM’N, Employment Background Checks, http://www.consumer.ftc.gov/articles/0269-whatknow-when-you-look-job.
1807
FED. TRADE COMM’N, Employment Background Checks, http://www.consumer.ftc.gov/articles/0157-employmentbackground-checks.
1804

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III.

YOUR RIGHTS AGAINST
BACKGROUND CHECK
COMPANIES
W HAT WILL I LEARN?

•
•
•
•
•

How private background check companies learn information
about you
What information private background check companies CAN
report about you
What information private background check companies CAN’T
report about you
What you can do if your background check report has incorrect
or incomplete information
What you can do if a private background check company
violates your legal rights

This section will explain your rights against private background check
companies that conduct background checks for employers and report
information about you to them. For information on how to get a FREE copy of
your background check report, see the UNDERSTANDING & CLEANING UP
YOUR RECORD CHAPTER, PG. 1020.

BACKGROUND CHECK COMPANIES’ ACCESS
TO YOUR CRIMINAL RECORDS
HOW DO BACKGROUND CHECK COMPANIES GET INFORMATION
ON ME FOR THEIR BACKGROUND CHECK REPORTS?
Background check companies will use any available source to dig up
1808
information on you.
They may look at:
•
•
•
•

Court records (any criminal or civil case you’ve been involved with);
1809
Police, correctional facility, and CDCR records (including mug shots);
DMV driving records;
Other public records (eviction records; tax records; property records; birth
certificates; marriage and divorce records; etc.);

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

There are also rules that Background check companies must follow to verify the information reported to an
employer in a background check report. See 15 U.S.C. §§ 1681d, 1681g.
1809
Police records—such as arrests and logs—are considered public records, subject to certain exemptions. See CAL.
GOV’T CODE §§ 6250 et seq., 6254(f). Law enforcement agencies are permitted to provide copies of mug shots to the
general public. See 86 Cal. Op. Att'y Gen. 132 (2003).
1808

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•

•
•

Internet searches, including on Google and social networking sites
(Facebook, MySpace, Twitter, etc.); other websites (including websites that
1810
post mug shot photos),
Your previous school and work history, AND
Talk with people who know you or have information about you (friends,
1811
neighbors, co-workers, landlords, etc.)

If the background check includes any information from public records (such as
court records), the background check company must state in the background
check report:
1) Where it got the information (including which court), AND
1812
2) When the information was reported (i.e., made public).
See PG. 662 about the rules around accessing RAP sheets, which are
confidential to most (not all) employers.

WHAT CAN A BACKGROUND CHECK COMPANY REPORT ABOUT
ME TO AN EMPLOYER?
Most importantly for the purposes of this manual, under California law, the only
information about your criminal history that background check companies are
allowed to include in a background check is
•
•

Information on convictions that are less than 7 years old, and
1813
Arrests and formal charges filed against you if a judgment is still pending.

For further information on what can be included in your background check, see
the UNDERSTANDING & CLEANING UP YOUR CRIMINAL RECORD CHAPTER,
PG. 1020.

WHAT CAN A BACKGROUND CHECK COMPANY NOT REPORT
ABOUT ME TO AN EMPLOYER?
Although some background check companies brag that they can “find out
anything about anyone,” both federal and California laws impose restrictions on
what information they are allowed to put in your background check, especially
when it relates to your criminal history.
For example, Background check companies are NOT allowed to include
1814
information about criminal convictions that are more than seven years old,
convictions that were pardoned, dismissed or sealed, arrest records, or referrals
to diversion programs.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

California law prohibits most employers from using information taken from Megan’s Law websites (which list
people required to register under Penal Code 290) when deciding whether to hire you or making other employment
decisions. CAL. PENAL CODE § 290.46(l). However, private Background check companies ARE allowed to publish
information from Megan’s Law websites in your background check report. Mendoza v. ADP Screening & Selection
Svcs., Inc., 182 Cal. App. 4th 1644, 1650-59 (2010) (holding that private Background check company did not violate
statute by publishing information from Megan’s Law website, because Background check company did not “use”
information for employment purposes, but rather compiled and republished information for employer to “use” in
employment decisions). In addition, employers can use the same information if taken directly from public records
(like court records), rather than from online websites.
1811
There are special rules that apply to background check information obtained through personal interviews. Both
California and federal laws require Background check companies that get negative background check information
through personal interviews to (1) reasonably verify that the information is accurate, or (2) only interview people who
are “the best possible source of the information.” CAL. CIV. CODE § 1786.18(d); 15 U.S.C. § 1681d(d)(4). Federal law
also has additional notice requirements for background check reports that include information from personal
interviews. 15 U.S.C. § 1681d(a).
1812
CAL. CIV. CODE § 1786.28(a).
1813
CAL. CIV. CODE § 1786.18.
1814
CAL. CIV. CODE § 1786.18.
1810

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!

KNOW YOUR RIGHTS: Background check companies MUST verify
certain information to make sure it is accurate! If a Background check
company includes information that is a matter of public record in your
background check (such as information about your convictions), it must
have verified the information within the previous 30 days before issuing
its report. Additionally, a Background check company cannot include
negative information about you that it got from talking to a person who
knows you (for example, a former employer or a neighbor) UNLESS it has
tried to confirm that information from another source, or has determined
that that person is the best (or only) source of the information.1815

WHAT CAN I DO IF I THINK MY BACKGROUND CHECK REPORT IS
INCOMPLETE OR INCORRECT?
You can challenge it! If you dispute Information in your background check, a
background check company must investigate your claim.
If you notify a background check company in writing that information contained
in your background check is incomplete, incorrect, or illegally included, the
1816
agency must investigate your claim. The agency has 30 days from the day it
receives your challenge to begin its investigation. Once the investigation is
complete, the agency must notify you of the results within 5 days.
If the agency finds that the original information was inaccurate, incomplete, or
illegally included, it MUST delete or correct the information AND notify you of
1817
the correction.

!

IMPORTANT: The background check company MUST send the employer
a NOTICE OF the CORRECTION if you ask. If there was inaccurate,
incomplete, or illegal information in your background check report, you
have the right to make the background check company send a notice
and statement of correction to ANY employer who received a copy of
your background check in the past 2 years (or anyone else who received
a copy of your background check in the past year).
For more information and instructions on how to dispute or correct information
in your background check, go to the UNDERSTANDING & CLEANING UP YOUR
CRIMINAL RECORD CHAPTER, beginning on PG. 1020.

WHEN HAS A BACKGROUND CHECK COMPANY VIOLATED THE
LAW?
If a private background check company does any of the following actions, it has
broken the law and violated your legal rights:
• Reporting information that is not legally allowed to show up in your
1818
background check report;
• Reporting inaccurate or out-of-date information, without first verifying that
1819
the information is correct and up-to-date beforehand;

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. CIV. CODE § 1786.18.
CAL. CIV. CODE § 1786.24. (Unless your claim does not include enough information to allow the agency to
properly identify and investigate the information in dispute); see 50 U.S.C. § 1681i.
1817
CAL. CIV. CODE § 1786.24.
1818
CAL. CIV. CODE §§ 1786.12(f), 1786.18; see also § 1786.20.
1815
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•

•

•
•
•
•

Failing to report the final disposition of arrests or charges that did not result
in a conviction (e.g., you were never charged, or the charges were
dismissed); convictions that have been dismissed under Penal Code
1820
§ 1203.4; or charges where you plead guilty to a lesser offense;
HELPFUL HINT:
Giving a copy of your background check report to someone who is
If you believe that a
not authorized to receive a copy—including an employer who has
background check
not promised to comply with legal requirements of notice and
company violated
1821
permission;
your rights, talk to a
trusted person or
Refusing to investigate or correct mistakes in your background
lawyer who can help
1822
check;
you protect your
Refusing to give you a copy of the report provided to your
rights!
1823
employer;
Here are some good
Refusing to let you see the information that the Background check
people to ask and/or
1824
company used to conduct your background check; report;
good places to start:
1825
Reporting information on someone who has a similar name.

WHAT CAN I DO IF A BACKGROUND CHECK COMPANY
HAS BROKEN THE LAW?
Generally, if you believe that a background check company has
violated the law in conducting a background check on you, you can
take the following actions:
1826

Contact the background check company —First, you can contact
the background check company directly to demand that it complies
with the law. This is especially important because most violations by
background check companies involve the nature of the information
that the agency has provided. Contacting the agency directly is the
quickest and most efficient way to clear harmful information from your
background check.
Report the background check company to the Attorney General—If
contacting the background check company directly does not solve the
problem, you can report the agency to the California Attorney General.
The Attorney General will investigate your claim and try to resolve it.
You can report your claim by calling the Attorney General’s Office of
Public Inquiry Unit at (916) 322-3360 or toll free at 1-800-952-5225.
You can also send a written complaint to: Attorney General's Office,
California Department of Justice, Attn: Public Inquiry Unit, P.O. Box
944255, Sacramento, CA 94244-2550

• A case manager
at a local reentry
program;
• A counselor or
case manager at a
local workforce
development
center;
• A social worker;
• A case manager
or counselor at
your transitional
housing program;
• A legal aid
attorney (to find a
local legal aid
attorney, you can
call 2-1-1, contact
the local bar
association, or
look on the State
Bar website at
http://lawhelpca.o
rg/find-legal-help);
or
• Your probation
officer or parole
agent (if you have
a good
relationship).

Report the background check company to the FTC—If the background
check company has violated federal background check laws, you can report the
background check company directly to the Federal Trade Commission (FTC).
The FTC has the authority to force background check companies to comply with

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
CAL. CIV. CODE §§ 1786.18(c), 1786.28, 1786.30.
CAL. CIV. CODE § 1786.28.
CAL. CIV. CODE §§ 1786.12, 1786.16(a)(4).
1822
CAL. CIV. CODE § 1786.24.
1823
CAL. CIV. CODE § 1786.11.
1824
CAL. CIV. CODE §§ 1786.10, 1786.22.
1825
See, e.g., Jones v. Halstead Mgmt. Co., No. 14-CV-3125 (VEC) (order denying motion to dismiss, Jan. 27, 2015)
(SDNY).
1826
See FED. TRADE COMM’N, Consumer Reports: What Information Furnishers Need To Know (2013),
https://www.ftc.gov/system/files/documents/plain-language/bus33-consumer-reports-what-information-furnishersneed-know_0.pdf
1819
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1827

background check laws
by requesting a court order to stop the agency from
violating the law, or by filing a lawsuit against the agency. To file a complaint
1828
with the FTC, call the agency directly at 1-877-382-4357.
1829

Sue the background check company in state or federal court —You can file a
lawsuit against the background check company in either state or federal court
for violating background check laws. You may be able to get a court to order the
background check company to stop violating the law and/or pay you money.

KNOW YOUR RIGHTS
Summary of your rights against private background check
companies
•

•

•
•
•

Background check companies CAN report information about convictions;
pending arrests or criminal charges; lawsuits and civil (money) judgments
against you; evictions; DMV driving records; and other personal information
from within the past 7 years.
Background check companies CANNOT report information about
convictions; lawsuits; unpaid judgments; tax liens; or any other negative
information that is more than 7 years old.
Background check companies MUST check that information from public
records is accurate and up-to-date.
Background check companies MUST check that information they get from
other people is accurate or from the best possible source.
Background check companies MUST allow you to see the information they
collect about you when conducting your background check.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

15 U.S.C. § 1681s-2.
FED. TRADE COMM’N, Employment Background Checks, http://www.consumer.ftc.gov/articles/0157-employmentbackground-checks
1829
FED. TRADE COMM’N, Employment Background Checks, http://www.consumer.ftc.gov/articles/0157-employmentbackground-checks.
1827
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IV. HOW EMPLOYERS CAN (&
CAN’T) USE YOUR
CRIMINAL HISTORY
WHAT WILL I LEARN?
•
•
•
•
•
•
•
•

How employers CAN and CAN’T discriminate against you
based on your criminal record
What employers CAN, CAN’T, and SHOULD consider about
your criminal record
What laws protect people with criminal records against
discrimination
Different types of illegal discrimination related to your criminal
record
What you can do if an employer illegally discriminates against
you, and how to file a discrimination complaint
The different government civil rights agencies that protect your
rights against illegal discrimination
What kind of remedies you may be able to get if an employer
illegally discriminates against you
How to locate an attorney, government civil agency, or nonprofit organization to help you if you think an employer illegally
discriminated against you

This section will explain the laws on how employers can (and can’t) use your
criminal history to make employment decisions, and what you can do if you think
an employer has illegally discriminated against you.
In general, the law says that employers should only consider your criminal
history if it directly relates to your ability to do the job, and cannot use your
criminal record to discriminate based on your race, color, religion, sex, or
national origin. However, there is often a gap between what the law says on
paper—about your rights as a job applicant or employee, and about the
employer’s duties to treat you fairly—and how employers act in real life. In
addition, it can be difficult to prove that an employer has illegally discriminated
against you, which can make it difficult to enforce your rights. But it is
IMPORTANT for you to know what your rights are on paper, and know how to
spot illegal discrimination and protect yourself from certain violations in practice.

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HELPFUL HINT:
Find an attorney or government civil rights agency to help you
If you think an employer has illegally discriminated against you the law, you may
want to contact an attorney who can help you decide what to do next. There are
3 types of people who may be able help you:

1. Legal aid or employment attorney
Legal aid attorneys provide FREE legal assistance to people who cannot afford
to hire a lawyer (like a public defender, but for lawsuits and other civil legal
cases). Many private employment attorneys only charge fees if you win or settle
a case, so you may not have to pay anything out-of-pocket UNLESS you win
money from the employer. To find a local legal aid attorney or employment
attorney in your area:
•
•
•
•

Call 211;
Contact the local county bar association, or look on the State Bar website at
http://lawhelpca.org/find-legal-help; or
To find a list of employment attorneys in your area, visit the California
Employment Lawyers Association website at http://www.cela.org/?page=4;
For a list of legal aid offices throughout California, see PG. 1190 at the back
of this guide.

2. Government civil rights agencies
There are 2 government agencies responsible for enforcing your rights against
illegal discrimination by employers. Because federal and state law are very
similar, you can generally ask either agency to enforce your rights if you think an
employer has illegally discriminated against you. For more information about
how to report discrimination and file a complaint with the EEOC and DFEH, read
the next section, starting on PG. 672.
•
•

The Equal Employment Opportunity Commission (EEOC) is the federal
agency that enforces federal civil rights laws; and
The Department of Fair Employment & Housing (DFEH) is the California state
agency that enforces your rights under state law.

3. Non-profit organizations
You can also contact a non-profit organization that helps people who have been
discriminated against by employers based on their criminal record:
•

•

•

PAGE 672 OF 1210

National Employment Law Project (NELP)—(510) 409-2427
o http://www.nelp.org/index.php/content/content_issues/category/crimina
l_records_and_employment/
Lawyers’ Committee for Civil Rights (LCCR—San Francisco)—(415) 814-7610
o http://www.lccr.com/programs/racial-justice/direct-services/secondchance-legal-clinic/
Or other local organizations or clinics in your area—see PG. 1190 for more
information on reentry legal aid services available in your area.

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LEGAL AND ILLEGAL DISCRIMINATION

KNOW YOUR RIGHTS:
General overview of the law & your rights
•
•
•

•
•

•
•
•
•
•
•
•
•
•
•

An employer CAN run a background check on you.
An employer CAN consider your criminal history and use it to deny you a job.
An employer CANNOT weigh your conviction history more heavily than
another candidate’s similar conviction history because of your race, color,
religion, sex, or national origin.
An employer CANNOT deny employment to everyone with a criminal history.
An employer, however, CAN justify a hiring policy against people with
criminal histories if it shows the policy is “job related” and “consistent with
1830
business necessity.”
An employer SHOULD evaluate your individual circumstances and consider:
Facts and circumstances surrounding your offense;
The number of convictions in your history;
Your age at the time of conviction / release;
If you have held the same type of job, post-conviction, without incidents;
Your employment history before and after conviction;
Your rehabilitation efforts;
Employment or character references and any other information pointing to
your fitness for the position; and
1831
Whether you are bonded.
An employer SHOULD give you notice that you were denied employment
because of your criminal history, and also give you a chance to show that it
should make an exception for you based on your individual circumstances.

CAN EMPLOYERS LEGALLY DISCRIMINATE AGAINST ME (NOT
HIRE OR FIRE ME) JUST BECAUSE OF MY CRIMINAL RECORD?
In a few situations, yes, but usually, NO. There are some laws that protect
applicants from this discrimination. While employers are permitted under law to
consider convictions that might impact your ability to do the job safely and
adequately, there are laws that prohibit employers from treating you differently
from other applicants or employees based on your race, sex, religion, national
origin, and other protected characteristics.
While it is not always illegal for an employer to disregard applicants or fire
employees because of their records, an employer’s hiring policy is more likely to
be illegal if they have a complete ban on applicants with records. The correct
and legal practice is for the employer to consider the individual circumstances of
1832
the person applying for the job.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Hiring policies excluding people based on criminal history must consider at least three factors in order to be
“job related” and “consistent with business necessity:” (1) the nature and gravity of the offense; (2) how much time
has passed; and (3) the nature of the job sought. See Green v. Missouri Pac. R.R., 549 F.2d 1158 (8th Cir. 1977).
1831
42 U.S.C. § 2000e et seq. See also EEOC, Enforcement Guidance on the Consideration of Arrest and Conviction
Records in Employment Decisions Under Title VII of the Civil Rights Act of 1964 No. 915.002 (Apr. 25, 2012) (herein
EEOC Enforcement Guidance).
1832
EEOC Enforcement Guidance at § V(B)(9). Note: Employers are not necessarily required to give individualized
consideration in all circumstances, but doing so will allow them to consider more complete information about the
applicant, and will help them to show that the hiring policy—including the rejections of specific job applicants—is
“job related and consistent with business necessity.”
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It is almost always illegal for an employer to have a complete ban on applicants
with criminal records because these kinds of bans cause greater harm to Black
and Latino applicants (“protected classes”) under Title VII (explained in detail in
1833
Appendix J, PG. 733)
This is because Blacks and Latinos are incarcerated at
1834
dramatically higher rates than people of other races in the United States,
so
excluding applicants with criminal records is likely to have a greater impact on
Blacks and Latinos. A ban will only be upheld in court if the employer can show
that the ban is “job related” and “consistent with business necessity”—meaning
the conviction affects your ability to do the job, and the ban is necessary for the
1835
good of the business.
If an employer chooses not to hire individuals based solely on their records, the
employer must be able to show that that this is necessary to ensure safe and
1836
efficient job performance for the position in question.
The courts have said
that, in doing so, an employer must show the court that they evaluated an
applicant’s ability to perform the duties of the job and whether an applicant’s
conviction poses an unreasonable risk of harm, based on the particular
1837
requirements and responsibilities of the position.
Of course, these laws still
give the employer a lot of discretion and room to discriminate, but they require
the employer to do some analysis of each applicant.

HELPFUL HINT:
What does a complete ban look like?
Sometimes the employer’s job posting, employment application, written policy,
or some other part of the application process will show that the employer does
not hire or employ people with criminal records. The policy may apply to all
convictions, certain types of convictions (e.g., all felonies, or all theft offenses),
and/or for convictions that occurred during a certain period of time (e.g., within
the past 7 years). Or the policy may not be written down anywhere, but the
employer says that they do not hire people with (certain) criminal records, or the
employer’s hiring practices over time show that they always reject applicants
with (certain) conviction records. These are all examples of complete bans—and
are likely illegal because of their effect on minority, protected groups.

IMPORTANT: If you see something, you can say something!

!

This section explains the civil rights laws that protect people with
criminal records against discrimination by employers. However, there is
often a gap between what the law says employers SHOULD do, and what
employers ACTUALLY do in reality. And courts are still figuring out how
these laws can fully protect people with criminal records in different
situations, because there have not yet been many legal cases to enforce
the rights of people with records under these laws. For this reason, it’s
important that you talk to a lawyer and/or government civil rights agency
if you think an employer has violated any of these laws. You won’t just be
protecting your own rights—you’ll be standing up for the rights of all
people with criminal records to be free from employment discrimination!
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Green v. Missouri Pac. R.R., 523 F.2d 1290, 1298 (8th Cir. 1975).
EEOC Enforcement Guidance at § V(A)(2).
EEOC Enforcement Guidance at § V(B); see, e.g., El v. Se. Penn. Transp. Auth. (SEPTA), 479 F.3d 232, 238 (3d Cir.
2007); Green v. Missouri Pac. R.R., 523 F.2d 1290, 1295-99 (8th Cir. 1975).
1836
Dothard v. Rawlinson, 433 U.S. 321, 331 n.14 (1977).
1837
El v. Se. Penn. Transp. Auth. (SEPTA), 479 F.3d 232, 244-48 (3d Cir. 2007).
1833
1834
1835

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KNOW YOUR RIGHTS:
What is a protected class?
“Protected classes” are groups of people that have historically experienced
discrimination, and therefore are specifically protected by civil rights and antidiscrimination laws—for example, African Americans, women, immigrants,
LGBTQI individuals, and people with disabilities. The specific characteristic that
makes someone part of a protected class—for example, their race, sex, national
origin, sexual orientation or gender identity, and/or disability status.
Under the law, it is illegal to discriminate against someone based on a protected
characteristic. However, it is generally NOT illegal to discriminate against
someone for some other reason that is NOT protected (for example, the color of
their shirt).
IMPORTANT: Having a criminal record is NOT considered a protected class
under the law. However, discriminating against people with criminal records can
still be illegal in many situations because it has a much greater effect on Blacks
and Latinos. Also, it is illegal for an employer to treat people with similar records
in a different manner, based on any protected characteristics. For more
information about different kinds of discrimination based on criminal record, see
PG. 678 below.
What groups are “protected classes” under the law? Under federal law, it is
illegal to discriminate against someone for any of the following reasons:
•
•
•

Race
Color
National origin

•
•
•

Religion
Age (40 and over)
Sex

•
•
•

Pregnancy
Disability
Genetic information

Under California law, it is illegal to discriminate against someone for any of the
following reasons:
Race
• Sex
• Disability or medical
condition*
Color
• Pregnancy
• Genetic information
National origin or
• Family or marital
ancestry*
status*
• Military or veteran
status*
• Religion
• Sexual orientation*
•
• Age (40 and over)
• Gender identity*
In other words, California law protects all of the same characteristics as federal
law, plus additional characteristics (marked with a *star*) that are NOT protected
by federal law.
•
•
•

WHAT LAWS PROTECT APPLICANTS FROM DISCRIMINATION
BASED ON THEIR CRIMINAL RECORD?
The laws that give applicants some protection are the federal civil rights law
called “Title VII,” the federal Equal Employment Opportunity Commission’s
1838
(EEOC) Enforcement Guidance,
and California state laws that are very

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See EEOC Guidance. See also EEOC, Questions and Answers About Race and Color Discrimination in
Employment, (EEOC Guidance May 16, 2006).
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1839

similar.
Learn more about these laws in the Appendix J, PG. 733 and
Appendix K, PG. 734.
Under these laws, an employer cannot have a “blanket ban” policy that
permanently excludes anyone with a criminal record. Instead, the employer’s
hiring policy should only exclude convictions that are “job related for the
position” and “consistent with business necessity.” This means that the
employer should look at a number of factors when considering the convictions,
such as:
1) The nature and seriousness of the conviction, AND
2) How much time has passed since the conviction, conduct, or completion of
the sentence, AND
3) The nature of the job you’re seeking—including the specific duties and
1840
responsibilities of the job.
For a more detailed description of how employers should evaluate these factors,
see the rules below.

Can an employer have a policy that excludes applicants who
committed certain specific crimes?
Maybe. If an employment policy excludes ALL applicants who committed
a certain crime (for example, theft), the employer must show that anyone
who committed that crime can’t do the job properly or creates too much
1841
risk of harm in the position.

WHAT CAN AN EMPLOYER CONSIDER ABOUT MY CRIMINAL
HISTORY?
Under the law, an employer SHOULD evaluate you as an individual, and should
consider the circumstances of your criminal history, as well as any progress that
you have made since the offense.
To conduct an individual assessment of you as a job applicant/ employee, the
1842
employer should abide by these rules:
1)

Never make a permanent exclusion or “blanket ban” of people with criminal
records. See PG. 676 above for more information on blanket bans.
2) Consider the following 3 factors to determine whether a specific conviction
may be relevant to the job:
a. The nature and seriousness of the conviction.
i. The “nature” of the crime includes things like: the harm
caused by the crime, and the legal elements of a crime—
such as violence, theft, or fraud. The “seriousness” of the

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See CAL. GOV’T CODE § 12900 et seq.
EEOC Enforcement Guidance at § V(B)(6)-(8). The employer should develop a targeted screening process that
considers at least the following 3 factors: the nature and seriousness of the crime; time elapsed since the crime; and
the nature of the job sought (nature of the duties and essential functions, circumstances under which the job is
performed such as level of supervision and amount of authority, and the environment in which the job is performed
considering location and context).
1841
The employer should validate the exclusion for the position in light of the Uniform Guidelines on Employee
Selection Procedures. In other words, it should show data or analysis about criminal conduct as related to
subsequent work performance or behaviors that supports the exclusion. EEOC Enforcement Guidance at § V(B)(5);
see also El v. Se. Penn. Transp. Auth. (SEPTA), 479 F.3d 232, 244-48 (3d Cir. 2007) (stating that employer’s hiring
policy for applicants with criminal convictions must “accurately distinguish between applicants that pose an
unacceptable level of risk and those that do not”).
1842
42 U.S.C. § 2000e-2; EEOC Guidance at 15; see also Green v. Missouri Pac. R.R., 549 F.2d 1158 (8th Cir. 1975).!
The employer should develop a targeted screening process that considers at least the following 3 factors: the
nature and seriousness of the crime; time elapsed since the crime; and the nature of the job sought (nature of the
duties and essential functions, circumstances under which the job is performed such as level of supervision and
amount of authority, and the environment in which the job is performed considering location and context).
1839
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crime would include, for example, consideration that
misdemeanors may be less severe than felonies.
b. How much time has passed since the conviction, conduct, or
completion of the sentence.
i. Again, there should be no permanent exclusions of people
with criminal records.
ii. The employer should understand that the risk of recidivism
decreases over time.
c. The nature of the job that you are seeking—including the specific
duties and responsibilities of the job.
i. The job title and nature of duties (e.g., data entry, lifting
boxes);
ii. The job’s essential or most important functions;
iii. The circumstances under which the job is performed (e.g.,
the level of supervision, oversight, and the amount of
agency the employee has);
iv. The environment in which the job’s duties are performed
(e.g., outside, in a warehouse, or in a private home).
3) Look at individual factors like:
•
•
•
•
•
•
•

•

•

The total number of convictions on your record;
Your age at the time of conviction or release from prison;
Evidence that you did the same type of work after your conviction (with the
same or a different employer) with no known incidents of criminal conduct;
The length and consistency of your employment history before and after the
offense or conduct;
Evidence of your rehabilitation and efforts to change—for example,
education/training;
Mistakes in your criminal record;
Mitigating facts or circumstances surrounding the offense or conduct
(mitigating facts are things that show your crime should be considered in a
less harsh light; for example, if you were the victim of abuse or coercion at
the time of the offense);
Personal and professional references who can talk about your employment
record and character, and any other information regarding your fitness for a
particular job; and
1843
Whether you are bonded under a federal, state, or local bonding program.

HOW CAN I IMPROVE MY CHANCES OF GETTING HIRED IF THE
EMPLOYER SEES MY CRIMINAL RECORD?
When applying for jobs, keep these individual factors in mind. Highlight the
positive elements in your application and history so that employers are more
likely to consider and weigh them favorably. Don’t lie about your background,
but you can explain how it has made you a better person and worker. For more
information about how to talk about your record, see Appendix D, PG. 718, “How
to Present your Best Self: Tips for Success in Job Interview.”

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1843

EEOC Enforcement Guidance at § V(B)(9).

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WHAT CAN I DO IF I BELIEVE THAT AN EMPLOYER HAS A
COMPLETE BAN ON HIRING PEOPLE WITH RECORDS?
If you believe that there is an illegal ban in place, it is important for you to gather
all of your job application materials and other (detailed) evidence that supports
your claim. You can also contact an employment attorney or agency that
protects employees from discrimination. See the “Helpful Hint” box on PG. 672
above for how to contact one. The following evidence can help you to show that
the employer has a policy of rejecting applicants with (certain) criminal records:
A job posting that says the employer will not hire people with (certain)
criminal records;
A copy of the job application that says the employer will not hire people with
(certain) criminal records;
A copy of the employer’s written policy, employee handbook, or other
document saying the employer will not hire people with (certain) criminal
records;
Information about other applicants whom the employer has hired or rejected
for having a criminal record;
If the employer has a reputation in the community for not hiring people with
(certain) criminal records; and/or
Comments or statements by the employer about not hiring people with
(certain) criminal records, such as during an interview or when inquiring
about the job—make sure you write it down! Try to write down exactly what
the employer said, when, whom the employer was speaking to, what the
1844
circumstances were, and who else was there.

•
•
•

•
•
•

REAL LIFE SITUATIONS—EXAMPLES OF
DISCRIMINATION INVOLVING CRIMINAL
RECORD PLUS RACE (OR OTHER PROTECTED
CHARACTERISTICS)

!

IMPORTANT: In real life, discrimination based on your criminal record
doesn’t always happen alone—it may also happen in combination with
racial discrimination or other illegal discrimination based on your
protected class. For example, if an employer decides not to hire you due
to your criminal record AND your race, this would be ILLEGAL racial
discrimination.

CAN AN EMPLOYER DISCRIMINATE AGAINST ME BECAUSE OF
MY RACE, COLOR, RELIGION, SEX, SEXUAL ORIENTATION, OR
NATIONAL ORIGIN?
Absolutely not. Sometimes there is racism (or other discrimination against a
protected class) in addition to discrimination based on criminal history. This
happens when an employer weighs your criminal history more heavily or
negatively because of your race, color, religion, sex, sexual orientation, national
origin, or other protected class. This is absolutely illegal, but needs to be proven.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1844

EEOC Enforcement Guidance at § V(A).

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The next question will explain what to do and how you may be able to prove that
an employer used your criminal record to discriminate against you based on
your race, color, religion, sex, sexual orientation, national origin, or other
protected class.
Remember: Race, color, religion, sex, sexual orientation, and national origin are
all protected classes—meaning they are illegal reasons to discriminate against
someone. For more information, and a complete list of all protected classes, see
PG. 675 above.

WHAT CAN I DO IF I THINK AN EMPLOYER HAS TREATED MY
CRIMINAL HISTORY MORE HARSHLY THAN OTHER JOB
APPLICANTS BECAUSE OF MY RACE, COLOR, RELIGION, SEX,
SEXUAL ORIENTATION, OR NATIONAL ORIGIN?
If you believe that your criminal history was treated more harshly than someone
else’s similar criminal history because of your race, color, religion, sex, sexual
orientation, nation origin, etc., it is important for you to gather all the evidence
that supports your claim, especially any information showing that the employer
treated you differently than someone else with a similar record.
You can also contact an employment attorney or organization that specializes in
protecting employees from discrimination. See PG. 672 for how to contact
someone.
The following evidence can help you to show that the employer discriminated
against you by treating your criminal record differently because of your race,
sex, religion, national origin, or other protected characteristic:
•
•
•
•

•

•

•

The employer hired other job applicants or employees with similar criminal
records and similar job qualifications;
The employer did not require background checks for other job applicants for
the same position;
The employer gave other job applicants a chance to explain their criminal
record;
The employer made comments showing bias or stereotypes about you,
based on your race, sex, religion, or national origin, including group
stereotypes about crime; or
The only major difference between you and other applicants or employees
who were treated more favorably than you (such as job applicants chosen
over you, former employees, and employees in positions similar to the
position you applied for), is your race, sex, religion, national origin, or other
protected characteristic;
Information about the employer’s overall workforce (i.e., other employees),
job applicants, application procedures, and background check data, shows
that the employer treated your criminal history more negatively than other
applicants/employees of other races, sex, religions, or national origin; and/or
Any other information showing that the employer treated you differently than
other job applicants with similar qualifications and a similar criminal record,
1845
because of your race, sex, religion, or national origin.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1845

EEOC Enforcement Guidance at § IV.

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KNOW YOUR RIGHTS:
SUMMARY OF YOUR RIGHTS
•
•

•
•

•

•

An employer CANNOT discriminate against you based on your race, color,
religion, sex, national origin, or any other protected characteristic.
An employer CANNOT weigh your criminal history more heavily than another
applicant’s similar criminal history because of your race, color, religion, sex,
national origin, or any other protected characteristic.
An employer CANNOT deny employment to everyone with a criminal history.
An employer, however, CAN justify a hiring policy against people with
criminal histories if it shows the policy is “job related” and “consistent with
1846
business necessity.”
An employer SHOULD evaluate your individual circumstances and consider:
o Facts and circumstances surrounding your offense;
o The number of convictions in your history;
o Your age at the time of conviction / release;
o If you have held the same type of job, post-conviction, without incidents;
o Your employment history before and after conviction;
o Your rehabilitation efforts;
o Employment or character references and any other information pointing
to your fitness for the position; and
o Whether you are bonded.1847
An employer SHOULD give you notice that you were denied employment
because of your criminal history, and give you a chance to show that it
should make an exception for you based on your individual circumstances.

WHAT CAN I DO IF I FEEL I WAS ILLEGALLY DISCRIMINATED
AGAINST?
If you think that an employer has illegally discriminated against you either
because of a complete ban against people with criminal records or by treating
your record negatively because of your race, sex, religion, or national origin, etc.,
you can report the employer to the EEOC or DFEH as soon as possible.
(Remember, the EEOC and DFEH are the government civil rights agencies
responsible for enforcing your rights against discrimination.)
You may want to talk to a legal aid or employment attorney, or non-profit
advocacy organization about your situation. However, you will still have to go
through the EEOC or DFEH first, before you are allowed to file a lawsuit in court
against the employer. For this reason, it is recommended that you contact
theEEOC or DFEH immediately, and then you can talk to a lawyer as well. For
more information about finding a legal aid or employment attorney or non-profit
organization, see PG. 672. For more information about filing a lawsuit, see
PG. 682.
You must contact the EEOC or DFEH immediately because there are strict time
limits for filing an employment discrimination complaint. In California, you only

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Hiring policies excluding people based on criminal history must consider at least three factors in order to be
“job related” and “consistent with business necessity:” (1) the nature and gravity of the offense; (2) how much time
has passed; and (3) the nature of the job sought. Green v. Missouri Pac. R.R., 549 F.2d 1158 (8th Cir. 1977).
1847
42 U.S.C. § 2000e et seq; see also EEOC, Enforcement Guidance on the Consideration of Arrest and Conviction
Records in Employment Decisions Under Title VII of the Civil Rights Act of 1964 No. 915.002) (Apr. 25, 2012) (herein
EEOC Enforcement Guidance).
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have 300 days (10 months) to report discrimination to the EEOC, or 1 year to
1848
report discrimination to the DFEH.

File a Complaint by Contacting the EEOC:
If you decide to file a claim, you can contact the EEOC in person or by mail to
report the employment discrimination and file a complaint.
•

•

In person: The EEOC has local offices in the following California cities: Los
Angeles, Fresno, San Diego, San Francisco, Oakland, and San Jose. Contact
the local EEOC office near you to report discrimination and file a complaint.
(See Appendix L, PG. 736 for local EEOC office addresses and phone
numbers.) You can also call 1-800-669-4000 to give basic information about
your situation, and then a local office will follow up with you about filing a
complaint. (Important: You cannot actually file an EEOC complaint by phone,
but you can get the process started.)
By Mail: You can mail a written complaint to any local EEOC office. For
instructions on how to write a complaint, see PG. 682, below. For a list of
local EEOC offices and addresses, see Appendix L, PG. 736.

File a Complaint by Contacting the DFEH:
You can contact the DFEH by mail, by phone, or online to report the
discrimination and file a “Pre-Complaint Inquiry”:
•

•

•

By Mail: Fill out the Pre-Complaint Inquiry form and mail it to any local DFEH
office. For a list of local DFEH offices and addresses, see Appendix M,
PG. 737. To learn how to obtain the Pre-Complaint Inquiry form, see
1849
Appendix N, PG. 738.
By Phone: Call the DFEH Communication Center at (800) 884-1684. If you
have a hearing impairment, please call 800-884-1684 or TTY at (800) 7002320 for service.
Online: Use the DFEH’s online system, available at
http://esq5.houdiniesq.com/dfeh/intake/, or email the Pre-Complaint Inquiry
form to contact.center@dfeh.ca.gov.

Once you file a complaint with the EEOC and/or the DFEH, you have 2 options:
1)

You can ask the EEOC or DFEH to investigate and resolve the discrimination
claim, including filing a lawsuit in court on your behalf; OR
2) You can file a lawsuit directly in court on your own, but you must ask the
EEOC or DFEH to give you a “Right to Sue” letter. (Note: You cannot go
directly to court—the law requires you to go through the DFEH or EEOC
1850
first.)
For more information on how to file a complaint with the EEOC or the DFEH and
a summary of the complaint process, see PG. 682 below. For a complete

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

The EEOC usually requires discrimination complaints to be filed within 180 days from when the discrimination
occurred. However, in California, you may have up to 300 days to file an EEOC complaint, because California law
also covers the same types of discrimination. 42 U.S.C. § 2000e-5 (general time limits on filing), 2000e-5(e) (time
limits on filing where complainant has initially instituted proceedings with authorized state or local agency); see also
Green v. Los Angeles Cnty. Superintendent of Sch., 883 F.2d 1472, 1473 (9th Cir. 1989); Saulsbury v. Wismer &
Becker, Inc., 644 F.2d 1251 (9th Cir. 1980). You must file a DFEH complaint within 1 year from when the
discrimination occurred. CAL. GOV’T CODE § 12960.
1849
The form is also available online at http://www.dfeh.ca.gov/res/docs/PCI/Pre Complaint Inquiry—
Employment.pdf.
1850
CAL. GOV’T CODE § 12965(b).
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description of the EEOC and DFEH complaint processes, see Appendix O,
PG. 739 (EEOC Complaint Process), and Appendix P, PG. 741 (DFEH Complaint
Process). For more information about the process of filing a lawsuit in court, see
PG. 686.

WHAT KINDS OF REMEDIES MIGHT I GET IF AN EMPLOYER
ILLEGALLY DISCRIMINATED AGAINST ME?
The types of remedies that might be available to you will depend
upon what the employer did (the “discriminatory action”) and how it
affected you. For example, if an employer refused to hire you for an
illegally discriminatory reason, the remedy may include hiring you for
the job or giving you any back pay or benefits that you would have
received if you had been hired. If you filed a lawsuit in court, you
may also get back any money you spent on attorney's fees, expert
1851
witness fees, and court costs.
You also may be awarded “compensatory” or “punitive damages.”
For intentional cases of discrimination based on a person's race,
color, national origin, sex (including pregnancy), religion, disability,
or genetic information, compensatory and punitive damages may
be awarded. Note: punitive and compensatory damages are rare,
and should never be expected.
•

•

Compensatory damages repay victims for out-of-pocket
expenses caused by the discrimination (such as costs of
continuing with a job search) and compensate them for any
emotional harm suffered because of the discrimination.
Punitive damages may be awarded to punish an employer who
has committed an especially hateful or careless act of
discrimination.

In addition, the employer may be required to stop any discriminatory
practices immediately and take steps to make sure not to
discriminate again in the future. For example, if the employer had a
blanket policy of not hiring anyone with a criminal record, they would
have to change this policy and remove any language on the job
application that says people with convictions will not be hired.

LIMITS ON
COMPENSATORY &
PUNITIVE DAMAGES:
There are limits on the
amount of
compensatory and
punitive damages a
person can recover.
These limits depend
on the size of the
employer:
• For employers with
15-100 employees,
the limit is $50,000.
• For employers with
101-200 employees,
the limit is
$100,000.
• For employers with
201-500 employees,
the limit is
$200,000.
• For employers with
more than 500
employees, the limit
is $300,000.
42 U.S.C. § 1981a(b)(3)

WHAT IS THE DIFFERENCE BETWEEN AN EQUAL EMPLOYMENT
OPPORTUNITY COMMISSION (EEOC) COMPLAINT AND A
DEPARTMENT OF FAIR EMPLOYMENT AND HOUSING (DFEH)
COMPLAINT?
The EEOC is the federal civil rights agency that enforces federal civil rights law.
The DFEH is the state civil rights agency that enforces California civil rights law.
Federal and state civil rights laws are very similar. This means that in most
cases, you can file a discrimination complaint with either the EEOC or the DFEH.
Once you file a complaint with one agency, that agency will investigate your
1852
complaint and will ALSO send a copy of your complaint to the other agency.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See EEOC, Remedies for Employment Discrimination, http://www.eeoc.gov/employees/remedies.cfm.
EEOC, Fair Employment Practices Agencies (FEPAs) and Dual Filing, http://www.eeoc.gov/employees/fepa.cfm;
see also DFEH, Employment Complaint Process, http://www.dfeh.ca.gov/Complaints_eCompProc.htm.
1851
1852

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This is called “dual filing,” but it is NOT something that you need to worry or
about. Once you file a complaint with either the EEOC or DFEH, the agencies will
take care of filing it with the other agency on its own, and you will not need to do
anything else.
However, there are certain situations where it is better to file with one agency
than the other.
THIS CHART EXPLAINS SOME OF THE SITUATIONS WHERE IT WOULD BE BETTER TO
1853
FILE WITH ONE AGENCY (USUALLY THE DFEH) OVER THE OTHER AGENCY:

SITUATION

EXPLANATION

BETTER AGENCY

How many
employees
work for the
employer?

EEOC only accepts complaints if
the employer has 15 or more
1854
employees.

If the employer has 15 or more
employees, you can file with
either EEOC or DFEH.

DFEH accepts complaints if the
employer has 5 or more
1855
employees.

If employer has fewer than 15 (but
at least 5) employees, you should
file with the DFEH.

How long ago
did the
discrimination
occur?

You have 300 days (approximately
10 months) to file a complaint with
1856
EEOC.

If it has been less than 300 days
since the discrimination occurred,
you can file with either EEOC or
DFEH.

What type of
discrimination
occurred?

What kinds of
remedies can
I get?

You have 1 year to file a complaint
1857
with DFEH.

If it has been more than 300 days
(but less than 1 year) since the
discrimination occurred, you
should file with the DFEH.

In most cases, EEOC and DFEH
cover the same types of
discrimination.

If the type of discrimination you
suffered is covered by both
agencies, you can file with either.

However, in a few cases, DFEH
covers more types of
discrimination—such as sexual
orientation or gender identity,
marital status, medical condition,
military/veteran status, victims of
domestic violence, political
1858
affiliation, etc.

However, if you were
discriminated against based on a
characteristic only covered by
DFEH, then you should file with
DFEH.

In general, the remedies are similar
1859
between the EEOC and DFEH.

In general, you can get the same
types of remedies whether you
file with EEOC or DFEH.
In some cases, the amount of
damages you can get, or what
you have to prove, may be slightly
different. However, this is very
complicated, so you should talk to
a lawyer or a representative from
the EEOC or DFEH if you are
concerned about these
differences.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1853
1854
1855
1856
1857
1858
1859

Telephone call with EEOC, reference #150204-000301 (Feb. 3, 2015).
42 U.S.C. § 2000e(b).
CAL. GOV’T CODE § 12926(d).
42 U.S.C. 2000e-5(e).
CAL. GOV’T CODE § 12960.
CAL. GOV’T CODE § 12940(a).
42 U.S.C. § 2000e-5; CAL. GOV’T CODE § 12965(c).

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HOW DO I FILE A DISCRIMINATION COMPLAINT WITH THE EEOC?
IN PERSON:
Contact the local EEOC office near you to report the discrimination
and make an appointment. Some EEOC offices may also have walk-in
times when you can file a complaint without an appointment. Check
with the local office to find out if this is available. (For a list of local
EEOC offices and contact information, see Appendix L, PG. 736.)
When you go to the EEOC office, bring any information or papers that
are related to your situation. For example, you might bring a copy of
the job posting or application, any letters or documents you received
from the employer, notes that you took about discriminatory
statements made by the employer, or a list of other people who know
about what happened. You can also bring anyone you want to come
with you, such as a friend, translator, or anyone else to provide
assistance or support.
At the EEOC office, you will meet with an EEOC representative and
complete a questionnaire to provide information about the job
discrimination you experienced. The representative will ask you for
details about your experience, the employer, and when and where the
discrimination occurred, and will decide whether Title VII covers your
situation. If so, the EEOC representative will explain the process for
filing a formal complaint, called a "Charge of Discrimination," and will
help you to write up and file the complaint if you want to go forward. (If
Title VII does not cover your situation, the EEOC will give you
information about where you can go for help, but you will not be able
1860
to file an EEOC complaint.)
BY MAIL:

WHAT IF THE
EEOC DISMISSES
MY COMPLAINT
RIGHT AWAY?
If your complaint
was not filed within
the time limit, or if
the EEOC decides
that your situation is
not covered by Title
VII, the EEOC will
dismiss your
complaint (close
your case) right
away. The EEOC
may also dismiss
your complaint right
away if it decides
that it probably will
not be able to prove
discrimination. If
your charge is
dismissed, you will
be notified.
Important: Even if
the EEOC dismisses
your complaint, you
may still be able to
file a complaint with
the DFEH for the
same discrimination.

You can file a complaint by writing a letter to the EEOC that includes
the following information:
•
•
•
•
•

•
•
•

Your name, address, and telephone number;
The name, address and telephone number of the employer whom you want
to file your charge against;
How many employees work there (if you know this information);
A description of the actions that you believe were discriminatory (for
example, you were fired, demoted, harassed, or not hired);
Why you believe you were discriminated against (for example, the employer
hired other people with a similar criminal history, or did not require
background checks for other applicants, or gave other applicants a chance to
explain their conviction record; or the employer made biased comments);
When the events took place; and
Your signature (Important: The EEOC cannot investigate your complaint
1861
unless you sign the letter!).
You can also include additional information or documents, such as copies of
the job posting or application or names and contact information of other
1862
people who know what happened or have information.
(Important: If you
are sending documents, make sure you make a copy first—keep the original
for yourself and send the copy to the EEOC.)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

EEOC, How to File a Charge of Employment Discrimination, http://www.eeoc.gov/employees/howtofile.cfm; see
also Oakland Local Office of EEOC, Filing a Charge with this Office, http://www.eeoc.gov/field/oakland/charge.cfm.
1861
EEOC, How to File a Charge of Employment Discrimination, http://www.eeoc.gov/employees/howtofile.cfm.
1862
Oakland Local Office, EEOC, Filing a Charge with this Office, http://www.eeoc.gov/field/oakland/charge.cfm/.
1860

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You can mail your letter or deliver it in person to the nearest EEOC office. The
EEOC will contact you if they need more information about your situation and
may send you a questionnaire to fill out and return. Afterward, they will put all
your information into an official EEOC complaint (“charge”) form, and will contact
1863
you so that you can sign the form.
Note: You can also call the EEOC at 1-800-669-4000 to start the process, but
you will still have to go through the steps above to file a formal written
1864
complaint.

WHAT HAPPENS AFTER I FILE A COMPLAINT WITH THE EEOC?
This is a brief summary of what happens after you file a complaint. For a
complete description of each step, see Appendix O, PG. 739.

HOW DOES THE INVESTIGATION PROCESS WORK?
STEP 1:

Filing a Complaint (see above).

STEP 2: Notifying the Employer.
Within 10 days, the EEOC will send a notice and a copy of the charge to the
employer. The EEOC may ask both you and the employer to agree to participate
in mediation, which is an informal way of trying to resolve the problem instead of
filing a lawsuit.
STEP 3: Employer’s Response.
If your case is not sent to mediation, or if mediation doesn’t resolve the problem,
the EEOC will ask the employer to respond (submit a written answer) to the
charges, and answer any questions that the EEOC has about your complaint.
1865
Then your complaint will be given to an EEOC investigator for investigation.
STEP 4: Investigation.
How the EEOC investigates a complaint depends on the specific facts of your
case and the kinds of information that will be helpful. In some cases, an EEOC
representative may visit the employer, interview other employees or witnesses,
and gather documents. The EEOC may also interview you again, or ask you for
more documents or information. It’s very important to cooperate and keep in
touch with the EEOC!
STEP 5: Decision.
After the investigation is completed, the EEOC will issue a decision to let you
and the employer know the results. The decision will say either:
• NO CAUSE—meaning the EEOC did NOT find any evidence that the employer
illegally discriminated against you; or
• REASONABLE CAUSE—meaning the EEOC thinks the employer DID illegally
discriminate against you.
STEP 6: Your Options After the EEOC Decision.
Depending on what the EEOC decision says, these are your options:
• NO CAUSE decision—The EEOC will send you a Right-to-Sue notice, which
allows you to file a lawsuit in court against the employer on your own. You

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1863
1864
1865

EEOC, How to File a Charge of Employment Discrimination, http://www.eeoc.gov/employees/howtofile.cfm.
EEOC, How to File a Charge of Employment Discrimination, http://www.eeoc.gov/employees/howtofile.cfm.
EEOC, The Charge Handling Process, http://www.eeoc.gov/employees/process.cfm.

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must file a lawsuit within 90 days (approximately 3 months) after receiving
the Right-to-Sue Notice; otherwise it will be too late.
REASONABLE CAUSE decision—The EEOC will try to reach a voluntary
settlement (called “conciliation”) with the employer. Conciliation usually
means that the employer agrees to pay you to cover the harm from the
discrimination.
If the EEOC can’t reach a settlement with the employer, the EEOC may
decide to file a lawsuit against the employer on your behalf.
If the EEOC decides not to file a lawsuit, it will give you a Right-to-Sue
HELPFUL HINT:
notice, which allows you to file a lawsuit against the employer on your
Even
though you
own. You must file a lawsuit within 90 days (approximately 3 months)
can’t go straight to
1866
of receiving the Right-to-Sue Notice; otherwise it will be too late.
court, you can still

•

•
•

For more information about each of these steps, see Appendix O,
PG. 739.

HOW DO I FILE A COMPLAINT WITH THE DFEH?
The process for filing a complaint with the DFEH is almost the same as
filing a complaint with the EEOC. For a complete description of how to
file a complaint with the DFEH, and what happens after you do, see
Appendix P, PG. 741.

WHAT IF I WANT TO GO STRAIGHT TO COURT AND FILE A
LAWSUIT ON MY OWN?
Under Title VII (and California law also), you cannot go straight to
court—you must begin by filing a complaint with the EEOC or DFEH
first. This is called “exhausting your administrative remedies.”
However, once you file your complaint, you can choose to file a lawsuit
against the employer instead of asking the EEOC (or DFEH) to
1867
investigate and resolve your complaint.
If you want to file a lawsuit right away, you must ask the EEOC for a
Right-to-Sue notice, which is a legal document that allows you to file a
lawsuit in court on your own. However, you generally have to give the
EEOC 180 days to investigate your complaint first.
If it has been more than 180 days (6 months) since you filed your
complaint, the EEOC is required to give you a Right-to-Sue notice.
If it has been less than 180 days, the EEOC will give you a Right-to1868
Sue notice only if its own investigation will take longer than 6 months.

•
•

talk to a legal aid
or employment
attorney, or nonprofit employment
advocacy
organization to get
advice about your
situation. When
doing so, you
should ALSO
contact the EEOC
or DFEH right
away, so that you
can get your
complaint filed on
time (and then
request a Right-toSue if you still want
to go to court).

For more
information about
finding a legal aid
or employment
attorney, or nonprofit advocacy
organization, see
PG. 672. For more
information about
filing a lawsuit, see
PG. 686.

To request a Right-to-Sue notice, send a written letter to the local EEOC office
that is handling your complaint. Once you get the Right-to-Sue notice, you only
have 90 days to file your lawsuit in court.
IMPORTANT: Once you get the Right-to-Sue notice, the EEOC will dismiss your
complaint and will not do anything more to investigate or resolve your case. So if
you want the EEOC to continue to help with your case, DON’T request a Right1869
to-Sue notice.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1866
1867
1868
1869

EEOC, The Charge Handling Process, http://www.eeoc.gov/employees/process.cfm.
EEOC, Filing a Lawsuit, http://www.eeoc.gov/employees/lawsuit.cfm.
EEOC, Filing a Lawsuit, http://www.eeoc.gov/employees/lawsuit.cfm.
EEOC, Filing a Lawsuit, http://www.eeoc.gov/employees/lawsuit.cfm.

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The process for requesting a DFEH Right-to-Sue notice is very similar. For more
information on how to request a Right-to-Sue from the DFEH, see
http://www.dfeh.ca.gov/res/docs/Complaints/Right%20to%20Sue%20form%20(3
%20pages).pdf.

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V.

JOBS & PROFESSIONS
YOUR RECORD MIGHT
EXCLUDE YOU FROM
WHAT WILL I LEARN?

What types of jobs you may be disqualified from getting, based
on your criminal record
When and how you may become eligible for these jobs in the
future

•
•
!

LEGAL RESTRICTIONS ON CERTAIN JOBS
ARE THERE CERTAIN TYPES OF JOBS I CAN’T HAVE BECAUSE
OF MY CRIMINAL RECORD?
Unfortunately, yes… But this is very rare. Although we don't want to give you
bad news, we also want to give you the information you need to decide which
jobs will be best for you! There are a few situations when having a criminal
record—or having certain types of convictions on your record—will disqualify you
from getting certain types of jobs. It is important that you know about these
situations beforehand, so that you can realistically set your sights on jobs that
you can have.
Although this list is incomplete, below are some examples of jobs that have legal
restrictions for people with certain criminal convictions. In general, these are
jobs where you would have access to private or sensitive information (like
financial records); vulnerable people (like children or the elderly), or highsecurity places, where there might be a greater risk of harm to the public.
Airport security screeners (or anyone with unsupervised access to secure
1870
airport areas);
1871
Federal law enforcement officers;
1872
Defense contractors;
1873
Prisoner transportation personnel;
1874
Port workers;
1875
Bank employees;
1876
Insurance personnel;
1877
Jobs that administer employee benefits plan;
1878
Childcare workers in federal facilities or agencies;

•
•
•
•
•
•
•
•
•

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1870
1871
1872
1873
1874
1875
1876
1877

49 U.S.C § 44935(e)(2)(B).
5 U.S.C. § 7371(b).
10 U.S.C. § 2408(a).
42 U.S.C. § 13726b(b)(1).
46 U.S.C. § 70105(c).
12 U.S.C. § 1829.
18 U.S.C. § 1033(e).
29 U.S.C. § 1111(a).

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•

Working for a school district in a position that requires certification or a
supervisory capacity (if you have been convicted of a felony defined as
1879
serious or violent under law);

NOTE: Most of the time, if an employer cannot hire a person with a record for
certain types of job positions, the employer may still be able to hire that person
for other positions. If an employer says that they cannot hire you for a job based
on your criminal record, you should ask whether there are any other positions
available that you could take instead.

CAN I EVER BE ELIGIBLE AGAIN TO GET THESE JOBS?
It depends. Each of these jobs has very specific rules about what convictions will
disqualify you, and whether and how you can become eligible for them again. It
will depend on the specific laws, regulations, and other rules that apply to that
1880
type of work.
It is recommended that you ask a lawyer to review your RAP
sheet and explain how your convictions will affect your ability to get the job you
want. See PG. 672 for how to contact an attorney.
•
•
•

•

For some jobs, you are only disqualified for a certain period of time, and then
you will become eligible after that time has passed.
For many jobs, you can become eligible if your conviction is expunged, or if
you get a Certificate of Rehabilitation or a pardon for the conviction.
For some jobs, you can request a waiver or exemption for your conviction,
which means asking the government to make an exception to the law based
on your individual circumstances. You may need to present evidence of
rehabilitation and other factors showing that your conviction does not pose a
risk of harm and therefore you should not be disqualified because of it.
If you think you were disqualified based on incorrect information in your
record, you may be able to appeal the disqualification and show that you
should NOT be disqualified according to the law. For example, if you were
not actually convicted of the offense that caused you to be disqualified for
the job (e.g., the charges were dismissed, or you pleaded guilty to a lesser
offense that does NOT disqualify you), you can appeal and present court
records showing that you were not convicted of that offense.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
42 U.S.C. § 13041(a).
CAL. LAB. CODE § 432.9(3).
1880
See TSA, Transportation Worker Identification Credential—Frequently Asked Questions (Disqualifications,
Waivers, and Appeals), http://www.tsa.gov/stakeholders/frequently-asked-questions-0—disqualification.
1878
1879

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LEGAL RESTRICTIONS ON CERTAIN
PROFESSIONAL LICENSES

WHAT WILL I LEARN?
•
•
•
•
•
•
•

What professional and occupational licenses are and what they
require
How your criminal record may affect your ability to get a
professional or occupational license
What kinds of information a licensing board can consider about
your criminal record
When a licensing board can deny you a license based on your
criminal record
What to do if a licensing board denies your application for a
license because of your criminal record
What to do if you used to have a professional or occupational
license, but lost it due to a criminal conviction
Other groups you can contact for assistance or additional
information about professional and occupational licenses

!
Many people with criminal records CAN and DO get professional and
occupational licenses to work in the jobs of their choice. If you want
to work in a job that requires a license, don’t be discouraged!
Although it can be harder to get a license with a criminal record, this
section will help you to understand your rights and how to increase
your chances of getting the license you want!

WHAT ARE PROFESSIONAL AND OCCUPATIONAL
LICENSES AND WHAT DO THEY REQUIRE?
In California, people who work in certain jobs are required to get a
license from the state to do so. There are over 200 professions in
California that require a professional or occupational license—ranging
from barbers and cosmetologists, to security guards, nurses and
nursing assistants, teachers, doctors and lawyers. Professional and
occupational licenses are granted and regulated by different licensing
boards, agencies, and bureaus (over 40 in total, each for a different
industry), all under the control of the California Department of
1881
Consumer Affairs (DCA).

HELPFUL HINT FOR
OCCUPATIONAL
LICENSES:

If you are thinking of
applying for a
professional/occupa
tional license, you
should talk to an
attorney or reentry
program counselor
for advice and
assistance. They
can help you to
better understand
the specific barriers
and opportunities
you may have,
depending on your
record and the type
of license you want.

Applying for a professional or occupational license generally requires submitting
fingerprints, paying various application fees, and proving that you meet certain
educational and/or work experience requirements, which are set by the
1882
particular licensing board that you’re applying to.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

The Reason Foundation, Occupational Licensing in California, http://reason.org/news/show/1013473.html.
CAL. BUS. & PROF. CODE §§ 475-499. See also The Reason Foundation, Occupational Licensing in California,
http://reason.org/news/show/1013473.html.
1881
1882

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WHAT KINDS OF JOBS REQUIRE A PROFESSIONAL OR
OCCUPATIONAL LICENSE?
There are over 200 kinds of jobs in California that require a professional or
occupational license. Here is a list of just a few of the most common ones:
•
•
•
•
•
•
•
•

Barber
Cosmetologist
Security guard
Child care worker or Family child
care provider
Teacher
Contractor
Real estate agent
Pharmacist or Pharmacy technician

•
•
•
•
•

Nurse or Certified Nursing
Assistant (CNA)
Home Health Aide (HHA) or
Personal Care Aide (PCA)
Dentist, Dental assistant, or
Registered dental hygienist
Physical therapist or Physical
therapist assistant
Emergency Medical Technician
(EMT) or Paramedic

To find out whether the specific job you want requires a professional or
occupational license, contact the Department of Consumer Affairs at (800) 9525210. You can also ask the DCA for information on how to contact the specific
licensing board that oversees that profession. To learn more about specific
licensing requirements for the job you want, you will need to contact the
licensing board that oversees that profession.

• For a list of licensing boards and their contact information, go to
http://www.dca.ca.gov/publications/dca_booklet.pdf.

• For links to each of the licensing boards, go to

http://www.dca.ca.gov/about_dca/entities.shtml.

CAN I GET A PROFESSIONAL OR OCCUPATIONAL LICENSE WITH
MY CRIMINAL HISTORY?
It depends on what type of license you are trying to get, what kind of
conviction(s) you have on your record, and what kind of rehabilitation efforts you
have participated in.
Some types of professional/occupational licenses may have extremely strict
rules about criminal records, while other types of licenses may be more lenient.
It is best to check with the licensing board for the profession you want to enter
to find out its most current criteria.

WHAT INFORMATION CAN THE LICENSING BOARD CONSIDER
ABOUT MY CRIMINAL HISTORY?
When you apply for a license, the licensing board can see your entire record—
including convictions that have been “expunged. (Note: Regular employers
generally CANNOT see expunged convictions—but licensing boards are
different.) However, the board cannot deny your licenses based ONLY on the
1883
fact that you have a conviction.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1883

CAL. BUS. & PROF. CODE § 480(a)(1).

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CAN THE LICENSING BOARD DENY ME A LICENSE BASED ON MY
CRIMINAL HISTORY?
The licensing board can deny your application for a license based on a
criminal conviction, but ONLY if your conviction is “substantially
related to the qualifications, functions, or duties of the business or
1884
profession” you are trying to get licensed for.
This means that the
type of conduct you were convicted for—for example, theft, selling
drugs, violence, or fraud—creates a high risk of harm, or otherwise
prevents you from safely completing the specific tasks and
responsibilities of the job that you want a license for. For example, a
conviction for drug distribution might be considered “substantially
related” to a pharmacist license, since pharmacists have access to
lots of drugs and are responsibility for safely providing drugs to other
1885
people.
Even if the board determines that your conviction relates to the
qualifications of your chosen profession, California law requires that
the licensing board also consider any evidence of rehabilitation or
other positive factors that you show. Each licensing board is also must
1886
create its own criteria to evaluate your rehabilitation efforts.
1887
Although they’re all slightly different, most boards focus on:
the
amount of time that has passed since your conviction; whether you
successfully completed parole or probation; whether you have shown
remorse; your change in attitude; alcohol or drug counseling; your
pursuit of education or vocational training; the stability of your family
life; and your community involvement.
If you have gotten a Certificate of Rehabilitation from the state of
California, the law specifically prohibits a board from denying a
professional license based solely on your criminal conviction.

HELPFUL HINT:
Submit a PreApproval
Application When
Possible
The Board of
Barbering &
Cosmetology has a
special early
application process
for people with
criminal convictions
who want to apply
for a license. You
can submit an initial
application and find
out ahead of time
whether you will be
able to get a license,
before you go
through any training
or pay any fees.
Note: You will still
have to complete all
of the training and
examination
requirements, in
order to get your
actual license.

In addition to actual convictions, a licensing board is also allowed to
consider “any act involving dishonesty, fraud, or deceit” that you have
done “with the intent to substantially benefit” yourself or someone
else, or “substantially injure another.” However, as with convictions, the act must
also be substantially related to the qualifications, functions, or duties of the
1888
job.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. BUS. & PROF. CODE § 480; see also Hughes v. Bd. of Architectural Examiners, 17 Cal.4th 763, 788 (1998) (“It is
axiomatic that the right of an individual to engage in any of the common occupations of life is among the several
fundamental liberties protected by the due process and equal protection clauses of the Fourteenth Amendment.
Therefore, for example, a statute constitutionally can prohibit an individual from practicing a lawful profession only
for reasons related to his or her fitness or competence to practice that profession.").
1885
CAL. BUS. & PROF. CODE §§ 4301, 4311.
1886
CAL. BUS. & PROF. CODE § 482.
1887
See 10 CAL. CODE REGS. § 2911.
1888
CAL. BUS. & PROF. CODE § 480(a).
1884

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KNOW YOUR RIGHTS
If you prepared for your license while incarcerated…
Many individuals are able to learn new job skills or complete professional license
requirements while in prison or jail. In the past, licensing boards were allowed to
delay or deny your license application just because you had completed the
licensing requirements while incarcerated.
Now, a new California law makes it illegal for a licensing board to delay your
application or deny your license based solely on the fact that you completed
1889
some or all of the licensure requirements while you were incarcerated.
If you
otherwise qualify for the license, it no longer matters that you were incarcerated
when you prepared for it.
IMPORTANT: The new law does NOT change any other rules about whether you
can get a license. This means that licensing boards CAN still deny your license
based on your conviction, if they determine that the conviction is substantially
related to the qualifications of the job. Also, the law does NOT change any rules
about when you can apply for a licenses or whether you can apply while you’re
still incarcerated.

CAN I APPLY FOR MY LICENSE WHILE I’M
STILL INCARCERATED?
It depends. Each licensing board has different standards
and requirements. Some may require you to wait a
certain amount of time after your conviction or release,
1890
before you can be eligible.
In addition, most licensing
boards will consider the amount of time that has passed
since your conviction, and may give more weight to time
after you were released or once you were off
1891
supervision.
For this reason, even if you’re not specifically
required to wait, you still may be more successful if
you wait to apply until after you’re released.

WHAT CAN I DO IF THE BOARD DENIES MY
APPLICATION FOR A LICENSE?
You can appeal your denial.
If the board denies your license, you generally have the
right to appeal the board’s decision, and to have an

SPECIAL PROGRAM FOR GETTING
YOUR COSMETOLOGY LICENSE
WHILE INCARCERATED
If you are incarcerated at Valley
State Prison, California Women’s
Institute, or Central California
Women’s Facility (Chowchilla), there
is a special program that can help
you to get your cosmetology license
while you’re incarcerated. You can
complete your training school AND
take the licensing examination in
these facilities—meaning it is
possible to already have your
license in hand by the time you’re
released.

IMPORTANT: This program does

NOT stop the licensing board from
considering your criminal conviction,
and does NOT change any of the
other qualifications to get your
license. In other words, the licensing
board can still deny you a license if
the board decides that your
conviction is substantially related to
the duties and responsibilities of a
cosmetologist.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. BUS. & PROF. CODE § 480.5. Important exception: This new law does NOT cover chiropractic licenses, so if
you apply for a chiropractic license and completed some of the requirements while incarcerated, the Board of
Chiropractic Examiners CAN delay or deny your application for this reason.
1890
See, e.g., 10 CAL. CODE REGS. § 2911(a) (Department of Real Estate rehabilitation criteria requires “[t]he passage
of not less than two years since the most recent criminal conviction or act of the applicant that is a basis to deny the
departmental action sought. (A longer period will be required if there is a history of acts or conduct substantially
related to the qualifications, functions or duties of a licensee of the department.).
1891
See Donley v. Davis, 180 Cal. App. 4th 447, 467, 469 (2009) (upholding licensing board determination that there
was “not sufficient evidence of rehabilitation” where the applicant’s conviction was “relatively recent and he [had]
just finished probation”).
1889

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1892

administrative hearing before a neutral administrative law judge.
At the
hearing, you have the right to present evidence of your rehabilitation and argue
1893
your case for why you deserve a license.
For a general overview of what the
appeals process is like, see Appendix Q, PG. 743.

WHAT CAN I DO IF I USED TO HAVE A LICENSE, BUT LOST IT
DUE TO A CRIMINAL CONVICTION?
If you previously had a professional license, your license may have been
revoked (permanently taken away) or suspended (temporarily taken away)
1894
because of your criminal conviction.
In this case, you generally have the right
to ask the licensing board to reinstate (re-issue) your license to you, or to reduce
1895
your penalty and return your license sooner.
To do this, you must first wait at
least 1 year from the date your license was taken away, and then submit special
1896
forms (a petition) and other documents to the licensing board.
Each licensing
board may also have different or additional requirements, such as completing
your term of probation or parole first, before you can ask for your license to be
1897
returned. (Note: Although you can apply to have your license reinstated while
you are still incarcerated, you are unlikely to be successful if you apply while
1898
you’re still inside.)
The licensing board will give you a chance to present your reasons for why your
license should be returned or reissued. This may be during a hearing, or by
sending in a written statement. The Attorney General will also have a chance to
1899
argue for why your license should not be returned.
In order to get your license back, you will generally need to prove that you have
1900
been rehabilitated since your offense —particularly since you were released
1901
from prison or jail. This means showing that you have changed your life for
the better, taken steps to improve yourself and correct previous bad habits, and
successfully completed the requirements of your sentence. The board may also
consider the nature and severity of the offense, how much time has passed
since the conviction, whether the conviction has been dismissed, any other
convictions on your record, and letters of recommendation or good character
1902
from people who know you.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. BUS. & PROF. CODE §§ 485, 487. Important exception: The California Department of Insurance has the power
to deny or revoke an insurance broker license without any hearing, if you have been convicted of a felony or any
Insurance Code misdemeanor, or if you have had any professional license denied, revoked or suspended within the
past 5 years. Cal. Ins. Code § 1669.
1893
CAL. BUS. & PROF. CODE § 482; see also Arneson v. Fox, 28 Cal.3d 440, 449 (1980).
1894
CAL. BUS. & PROF. CODE § 490.
1895
CAL. GOV’T CODE § 11522.
1896
See, e.g., 16 CAL. CODE REGS. § 1445.1 (petition for reinstatement of registered nursing license).
1897
See, e.g., CAL. BUS. & PROF. CODE § 2661.7 (petition for reinstatement of physical therapy license); see also, e.g.,
16 CAL. CODE REGS. § 1399.372.5 (mandatory completion of law and professional ethics course prior to petition for
reinstatement of respiratory care license).
1898
Cf. CAL. BUS. & PROF. CODE § 480.5; In re Gossage, 23 Cal. 4th 1080, 1099 (2000) (in reinstatement proceeding,
relevant time frame for assessing petitioner’s rehabilitation begins upon completion of parole; “little weight” should
be given to petitioner’s good conduct while incarcerated).
1899
CAL. GOV’T CODE § 11522.
1900
See, e.g., 16 CAL. CODE REGS. § 1445.1(b) (petitioner bears burden of proving rehabilitation, according to
specified criteria).
1901
In re Gossage, 23 Cal. 4th 1080, 1099 (2000).
1902
See, e.g., 16 CAL. CODE REGS. §§ 1445 (criteria for rehabilitation for registered nursing license), 1399.372 (criteria
for rehabilitation of respiratory care license).
1892

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WHO CAN HELP ME IF MY LICENSE HAS BEEN DENIED OR TAKEN
AWAY DUE TO A CRIMINAL CONVICTION?
There are some non-profit organizations that may be able to help if your license
has been denied or taken away due to a criminal conviction. These are just a few
examples of organizations that can help, but there may be others in your area:
•

•
•
•

Lawyers’ Committee for Civil Rights (LCCR)—San Francisco (Phone: (415) 8147610; Website: http://www.lccr.com/programs/racial-justice/directservices/second-chance-legal-clinic/)
East Bay Community Law Center (EBCLC)—Alameda County (Phone: (510)
548-4040, Website: http://ebclc.org/documents/Clean_Slate_Flyer.2015.pdf)
A New Way of Life (ANWOL) Reentry Project—Los Angeles (Phone: (323) 5633575; Website: http://www.anewwayoflife.org/clean-slate/)
For more information about finding a legal aid or employment attorney, or a
non-profit advocacy organization, see PG. 672.

WHERE CAN I GO TO LEARN MORE ABOUT PROFESSIONAL
LICENSES?
The California Department of Consumer Affairs oversees all of the different
licensing boards and bureaus in California. For a list of licensing boards and
links to more information about each board—including the specific licensing
requirements and disciplinary rules for each board—visit the Department of
Consumer Affairs website at http://www.dca.ca.gov/about_dca/entities.shtml.
For a list of licensing boards and their contact information, go to
http://www.dca.ca.gov/publications/dca_booklet.pdf. For links to each of the
licensing boards, go to http://www.dca.ca.gov/about_dca/entities.shtml.

!

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VI. ALTERNATIVES TO
TRADITIONAL
EMPLOYMENT
WHAT WILL I LEARN?
•

•

Other ways of working and earning an income that are different
from traditional employment, including:
o Self-employment or starting your own business
o What an independent contractor is and how to become
one
o Joining a worker-run cooperative business
o Applying through a temp agency
o Taking short-term or temporary positions to get your foot
in the door
Where to look for more information about each of these options

Throughout your job search, keep in mind that traditional employment is NOT
your only option. There are many other ways of working and earning legitimate
income—like starting your own business, joining a worker-run cooperative
business, or going through a temp agency—and you may decide that one of
these is better for you.
This section will explain some of the alternatives to traditional
employment that you may want to consider:
•
•
•
•
•
•

Self-employment
Starting your own business
Becoming an independent contractor
Joining a worker-run cooperative
Applying through a temp agency
Taking short-term jobs or temporary positions to get your foot in the
door

HELPFUL HINT:
Talk to a trusted
person, or someone
from a local reentry
or workforce
development
program, for other
ideas about
alternative work
opportunities that
may be available.

CONSIDER SELF-EMPLOYMENT OR START
YOUR OWN BUSINESS
Some people find it more fulfilling and empowering to be their own boss. Selfemployment can give you more control over the type of work you do, freedom
and flexibility to make your own decisions, and greater responsibility within the
workplace. It also gives you more legal and business responsibilities, such as
managing money and product, paying taxes, marketing your business and
supervising employees.
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There are many resources available for people who want to start a business—
good places to start are your local library, the Internet, or classes at a local
community college or adult school. Also, many non-profit organizations and
government agencies now offer assistance to people who want to start their
own business. If you think that self-employment may be a good option for you,
you’ll find a list of organizations and other resources for starting your own
business in Appendix R, PG. 745.

BECOME AN INDEPENDENT CONTRACTOR
Being an independent contractor is a form of self-employment somewhere
between being an employee and running your own business. Employers usually
hire independent contractors to do specific tasks or short-term jobs—like
painting a house, installing plumbing, or doing landscaping work. The job usually
ends automatically once the task is finished, although the employer can always
hire the independent contractor again for another task.
The BIG difference between independent contractors and employees is that,
under the law, independent contractors are considered to be self-employed.
This means that independent contractors have more control over the work they
choose to do. They also have legal responsibilities—like filing self-employment
taxes and reporting certain business information to the government—and fewer
legal rights in the workplace. On the other hand, employees have more legal
rights and protections in the workplace, but the employer gets to control the
work they do.

KNOW YOUR RIGHTS: Am I an independent contractor or employee?

!

Important: In some cases, an employer may call you an independent
contractor, even though you are ACTUALLY an employee. The difference
between an employee and an independent contractor is important,
because you have more rights (and the employer has more
responsibilities) if you are an employee; and you have fewer rights (and
the employer has fewer responsibilities) if you are an independent
contractor.
Sometimes an employer will get this wrong by accident, but other times
an employer may misclassify you on purpose in order to avoid fulfilling
their duties under law. According to the law, whether you are an
employee or an independent contractor depends on the specific details
of your work situation—NOT on what the employer calls you. For this
reason, it’s important that you know the difference so that you don’t get
taken advantage of!
For more information on the difference between independent contractors
and employees, and your rights and responsibilities in each situation, see
the Appendix S, PG. 747.

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KNOW YOUR RIGHTS
What can I do if I think an employer has wrongly classified me as an
independent contractor OR violated my rights as an employee?
The California Division of Labor Standards Enforcement (DLSE) is the state
agency responsible for enforcing your rights in the workplace. If you think an
employer has violated your rights as an employee, wrongly classified you as an
independent contractor, and/or for more information, you can contact your local
DLSE office and speak with Deputy Labor Commissioner. To find a local DLSE
office near you, go to http://www.dir.ca.gov/dlse/DistrictOffices.htm or call 1844-LABOR-DIR (1-844-522-6734) for assistance.
For more information about your rights in the workplace, contact The Legal Aid
Society—Employment Law Center’s Workers Rights Clinic at 415-864-8208 (San
Francisco Bay Area) or 866-864-8208 (toll free in CA). Or contact a local legal
aid attorney in your area.
For additional information on employees and independent contractors, here are
some helpful resources:
•

•
•

Independent Contractor or Employee? How You Should Be Classified (The
Legal Aid Society—Employment Law Center)—
http://www.law.berkeley.edu/files/FAQ-IndepContractorsvsEmployees.pdf
FAQs—Independent Contractor (Cal. Division of Labor Standards
Enforcement)—http://www.dir.ca.gov/dlse/faq_independentcontractor.htm
Employment Determination Guide (Cal. Employment Development
Department) http://www.edd.ca.gov/pdf_pub_ctr/de38.pdf

JOIN A WORKER-RUN COOPERATIVE
BUSINESS
A worker cooperative is a business that is owned and controlled by its workers.
In other words, the workers are both the employees AND the employer. Usually,
workers run the day-to-day operations of the business—such as making
business decisions, assigning tasks to each person, etc., as well as the
business’s finances. Although each person has a different level of responsibility,
all workers are considered to be equal members and have equal power within
the business.
Any business can be a worker-owned and controlled cooperative. Worker co-ops
have been successful in many different industries. Some examples are:
•
•
•
•
•
•
•
PAGE 698 OF 1210

Service—housecleaning, day labor, restaurants, taxis, childcare
Farming and food production—urban or community farms, communitysupported agriculture programs, bakeries, restaurants
Retail—grocery stores, bookstores, bike shops
Health care—nursing, home health care, clinics, bodywork
Skilled trades—printing, plumbing, woodworking, contracting
Manufacturing and engineering—machine parts, fabricating
Technology—web hosting, networking, voice and data systems

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•
•

Education—charter schools, teacher/student/parent-run schools
Media and the arts—designers, galleries, performers, publishers

For more information about worker cooperatives and how to join or start a
cooperative near you, here are some helpful resources:
•
•
•

U.S. Federation of Worker Cooperatives—Democracy at Work Institute:
http://institute.usworker.coop/
Sustainable Economies Law Center: http://www.theselc.org/cooperatives
Examples of existing worker cooperatives:
http://institute.usworker.coop/examples-worker-cooperatives

APPLY TO WORK THROUGH A TEMP AGENCY
Temp agencies (also called staffing agencies) help match people who
are looking for work with employers who want to hire them. Temp
agencies can often help you to find a short-term job or part-time job
quickly, which, in some cases, can get your foot in the door for a
permanent position in the future. In addition, some temp agencies
specifically focus on helping people with criminal records get jobs,
and they work with employers who are open to hiring applicants with
criminal records.

HELPFUL HINT:
Talk to someone
from a local reentry
or workforce
development
program for advice
about finding a
good temp agency
and what to expect.

Another benefit of going through to a temp agency is that once you
apply to the agency, they can place you in jobs with many different
employers who want to hire. Applying to a temp agency is similar to applying for
a job directly with the employer—it will likely include an interview, checking your
references, and possibly even doing a background check. The temp agency may
also have you take an assessment test to evaluate your work strengths and
skills. It still can be easier to apply through a temp agency rather than an
employer, because most agencies always want to increase their pool of
employees to choose from, and employers often prefer to hire temp workers
because it’s cheaper.
If you’re interested in applying to a temp agency, here are some things to keep
in mind:
•

•

•

Not all temp agencies are the same! Just like employers, some temp
agencies are better to work for than others. Ask around to find a temp
agency that treats employees well and has a good record of placing people
in jobs. Some things to ask about are: how long people usually have to wait
before getting placed with an employer; how long most jobs last; what
employers the temp agency works with; whether the agency places many
people with criminal records; and how the agency treats people.
Different temp agencies may focus on different types of jobs or different
industries. Each temp agency is different, so the application requirements
and process may be different from one agency to another. If there are several
different temp agencies available in your area, do your homework to find out
which one is right for you.
When you apply through a temp agency, you will have to sign a contract with
the agency that makes you an employee. Any offers of work that you get,
either temporary or permanent, must go through the agency. The contract
may even prohibit you from looking for work on the side, outside of the
agency. If you want to look for other work on your own, you may need to ask
the agency to release you from your contract. Before you sign up with a temp
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agency, it is recommended that you read all the fine print and ask questions
about anything you don’t fully understand!
The temp agency is responsible for paying the employees who they send to
work for an employer. The employer will pay the temp agency—NOT the
employee—for the work, and then the agency takes a cut of the money and
gives the rest to the employee. For example, if the employer pays the temp
agency $20/hour for each employee, the agency may keep $5/hour of pay
and then pay the employee $15/hour.
Beware of any temp agency that charges you a fee for job placement! Most
agencies collect their fees from the employer—NOT from the job applicant or
employee.

•

•

For more information about applying for jobs through a temp agency, here are
some resources:
How Temp Agencies Work—
http://money.howstuffworks.com/business/getting-a-job/temp-agencies.htm
Working for Temp Agencies—Pros & Cons of Temping—
http://www.moneycrashers.com/working-temp-agencies-temping/
How Do Temp Agencies Work? 9 Tips You Can’t Afford to Miss—
http://www.jobunlocker.com/blog/how-do-temp-agencies-work-9-tips-youcant-afford-to-miss/

•
•
•

TAKE SHORT-TERM JOBS OR TEMPORARY
POSITIONS TO GET YOUR FOOT IN THE DOOR
If an employer seems uncertain about hiring you, ask if they would give you the
opportunity to prove yourself by starting work in a short-term, part-time, or
temporary position, or for a test period. This gives you a chance to show the
employer that you are a hard worker, and that you can work safely and
responsibly. It can also help get your foot in the door for a long-term job
afterward. If you do well during the testing period, you can ask the employer to
consider hiring you for a permanent or full-time job, or at least to keep you in
mind if a permanent job opens up in the future.
If you’re participating in a workforce development program or have enrolled at
an America’s Job Center, you can also ask whether they have any special
programs that let you get paid for doing on-the-job training or getting work
experience with an employer. These programs are great because they help you
to develop your job skills, get training, and practice working for an employer—
and get paid at the same time! In addition, these programs can sometimes turn
into longer-term employment afterward, because an employer may be more
1903
willing to hire you once you prove yourself in training.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1903

Telephone call with Mary Weaver, Executive Director, Friends Outside in LA County (March 23, 2015).

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VII. HOW TO PROTECT YOUR
RIGHTS IF YOU HAVE A
DISABILITY
DISABILITY & REASONABLE
ACCOMMODATIONS IN EMPLOYMENT

WHAT WILL I LEARN?
•
•
•
•
•
•
•

What is considered a disability under the law
How your disability might affect your job search
What a “reasonable accommodation” is, and what kinds of
accommodations you can request
How to request a “reasonable accommodation,” and what you will
need to show
When an employer is NOT required to provide a “reasonable
accommodation” for your disability
What to do if an employer refuses to provide a “reasonable
accommodation”
How to learn more about your employment rights and your disability

This section will explain the laws that protect workers (including job applicants
and employees) with disabilities against employment discrimination. It will
explain what types of disabilities are protected against discrimination, what your
rights are if you have a disability, and what you can do if an employer violates
your rights or discriminates against you based on your disability.

KNOW YOUR RIGHTS
General Overview of the Law & Your Rights
•
•
•
•
•
•

Under state and federal law, past drug addiction, alcoholism, and mental
illness are all considered disabilities
Current drug use OR using drugs or alcohol at work are NOT considered
disabilities
An employer CANNOT discriminate against you based on a disability
An employer MUST provide you with “reasonable accommodations” for your
disability (with 3 exceptions)
If your conviction was CAUSED by your disability, an employer MUST make a
“reasonable accommodation” for your criminal record (with 3 exceptions)
The federal EEOC and state DFEH are the government civil rights agencies
that enforce your rights against discrimination based on your disability

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EMPLOYMENT
DISCRIMINATION RESOURCES
Find an attorney or civil rights agency to help you
If you think an employer has illegally discriminated against you based on your
disability, you may want to contact a lawyer who can help you decide what to do
next. There are 3 types of resources that may be able help you:
(1) Legal aid or employment attorney
Legal aid attorneys provide FREE legal assistance to people who cannot afford
to hire a lawyer (like a public defender, but for lawsuits and other civil legal
cases). Many private employment attorneys only charge fees if you win or settle
a case, so you may not have to pay anything out-of-pocket UNLESS you win
money from the employer. To find a local legal aid attorney or employment
attorney in your area:
• Call 211;
• Contact the local county bar association, or look on the State Bar website at
http://lawhelpca.org/find-legal-help; or
• Visit the California Employment Lawyers Association website at
http://www.cela.org/?page=4;
• For a list of legal aid offices throughout California, see PG. 1190.
(2) Government civil rights agencies
There are 2 government agencies responsible for enforcing your rights against
illegal discrimination by employers. Because federal and state law are very
similar, you can generally ask either agency to enforce your rights if you think an
employer has illegally discriminated against you. For more information about
how to report discrimination and file a complaint with the EEOC and DFEH, see
PG. 707.
1.

The Equal Employment Opportunity Commission (EEOC) is the federal
agency that enforces federal civil rights laws; and
2. The Department of Fair Employment & Housing (DFEH) is the California
state agency that enforces your rights under state law.
3. Non-profit organizations
You can also contact a non-profit organization that helps people who have been
discriminated against by employers based on their disability:
1.

Disability Rights California—http://www.disabilityrightsca.org/
o Offices in Oakland, Fresno, Los Angeles, Sacramento, San Diego—
see PG. 1190 for local office contact information
2. Disability Rights Legal Center—http://www.disabilityrightslegalcenter.org/
o Call (213) 736-1334 or (866) 999-DRLC (3752) for assistance
3. Disability Rights Education & Defense Fund—http://dredf.org/
o Call (510) 644-2555
4. For other local organizations or clinics in your area—see PG. 1190.

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WHAT IS A DISABILITY UNDER LAW?
California law defines a disability as any physical or mental
impairment that limits one or more of your major life activities
(such as walking, talking, working, or taking care of
1904
yourself).

What counts as a physical disability in California?
A physical impairment is any disease, physical disorder,
physical condition, or disfigurement that:
!

!

Affects one or more of your body systems (i.e. your
heart, your eyes) or functions (i.e. breathing,
speaking); AND
1905
Limits a major life activity.

WHAT IS A MAJOR LIFE
ACTIVITY
Under California law, “major
life activity” means those
activities that are of central
importance to daily life.
Under California law, major
life activities include any
physical, mental, and social
activities, and working.
Examples of these activities
include taking care of
yourself, performing manual
tasks, seeing, hearing,
walking, learning, and
working.

What counts as a mental impairment?
A mental impairment is any mental or psychological
condition that limits a major life activity. Examples of
mental impairments are:
!
!
!

!
!

!

Intellectual disabilities
Brain disease
Emotional or mental illnesses (such as
schizophrenia, bipolar disorder, or clinical
depression)
Learning disabilities
Any other mental or psychological condition that
requires special attention or services (such as autism,
1906
obsessive compulsive disorder, or PTSD).

IMPORTANT: Disabilities based on substance abuse
Under state and federal law, the following conditions are
considered disabilities that are protected against
discrimination:
• PAST drug addiction (NOT current drug use)1907
• Alcoholism (past or present)1908

EXAMPLES OF
PHYSICAL
DISABILITIES:
• Deafness, blindness,
missing limbs (leg, arm,
finger, foot, etc.), using a
wheelchair, and any
bodily condition that
limits your ability to see,
hear, walk, talk, move
around, work, or take
care of yourself.
• Diseases like HIV/AIDS,
epilepsy, diabetes, heart
disease, cancer, or other
medical conditions that
limit your ability to see,
hear, walk, talk, move
around, work, or take
care of yourself.

If you were or currently are affected by either of these
conditions, you are protected against discrimination based on
your condition, and employers are required to make
“reasonable accommodations” for your condition.
BUT it will NOT count as a protected disability IF:
• You are currently using illegal drugs; OR
• You use drugs or alcohol at work in violation of the
employer’s rules or policies.1909
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1904
1905
1906
1907
1908
1909

CAL. GOV’T CODE §§ 12925-12928.
CAL. GOV’T CODE §§ 12925-12928.
CAL. GOV’T CODE §§ 12925-12928.
42 U.S.C. §§ 12114(a)-(b), 12210; CAL. GOV’T CODE § 12926; 2 CAL. CODE REGS. § 7293.6.
Crewe v. U.S. Office of Personnel Mgmt, 834 F. 2d 140 (8th Cir. 1987).
42 U.S.C. § 12114(a),(c); 2 CAL. CODE REGS. § 7294.2(d)(2).

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IF I HAVE A DISABILITY, HOW MIGHT THIS AFFECT MY JOB
SEARCH?
State and federal laws provide special protections for job applicants and
employees with disabilities. These laws require employers to make “reasonable
accommodations” that allow someone with a disability to apply for and work in a
job just like anyone else.
Remember, physical disabilities are not the only disabilities that are recognized.
The following conditions are also considered disabilities—meaning employers
are required to make “reasonable accommodations” for you if you have any of
these:
•
•
•

!

PAST drug addiction (NOT current drug use)
1911
Alcoholism (past or present)
Mental illness

1910

IMPORTANT: To be protected by state and federal disability laws, you
must also be qualified for the job you seek.

WHAT DO I NEED TO KNOW ABOUT THE RELATIONSHIP
BETWEEN MY DISABILITIES AND MY CRIMINAL RECORD?
If you can show that your disability caused your conviction, you may be able to
ask an employer to make “reasonable accommodations” for your situation—for
example, by making an exception to a policy against hiring people with your
type of conviction, or by considering your criminal record under an easier
standard. At least 2 federal courts have agreed that employers can be required
to provide reasonably accommodations for employees whose workplace
violations were caused by prior substance abuse, after the employees had later
completed rehab programs. See more examples of reasonable accommodations
during the job search, and when you apply, on PG. 704.
If you have suffered from one of the conditions listed above, it is possible that
your criminal conviction(s) may have been the result of your disability—in other
words, you committed the offense because of your mental illness or past drug or
alcohol addiction.
HELPFUL HINT:

WHAT KINDS OF ACCOMMODATIONS CAN I REQUEST?
You can request any accommodation that is reasonable and
necessary so that you can be considered for the job like any other
applicant or perform the job like any other employee. Each situation
is different, so the type of accommodation you request will depend
on your particular circumstances and the type of work or employer
involved. These are just a few examples of accommodations you may
request:
•
•

Making an exception to a hiring or employment policy that restricts
applicants/employees with certain types of convictions;
Disregarding a conviction caused by your disability;

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

You can also have
someone else talk to
the employer for you,
to ask for the
accommodation you
need. In this case,
you may want to ask
your case manager,
social worker, legal
aid attorney, or
another trusted
person who is
helping you with your
job search, to speak
with the employer on
your behalf.

42 U.S.C. §§ 12114(a)-(b), 12210 (Americans with Disabilities Act); CAL. GOV’T CODE § 12926; 2 CAL. CODE REGS.
§ 7293.6.
1911
Crewe v. U.S. Office of Personnel Mgmt., 834 F. 2d 140 (8th Cir. 1987).
1910

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•
•
•
•

Considering your conviction under an easier standard;
Giving you an opportunity to explain your conviction and provide additional
(medical) evidence of your disability and rehabilitation;
Giving you time off to attend treatment programs;
Disregarding workplace violations caused by your disability.

The employer is not necessarily required to provide the exact accommodation
that you ask for—but MUST provide an accommodation that has the same
1912
effect. For example, the employer might be allowed to rearrange your work
schedule—rather than give you time off—so that you can attend treatment
programs.

!

EXCEPTIONS: There are 3 situations where an employer is NOT required
to provide a reasonable accommodation for your disability: 1) where the
accommodation will cause the employer “Undue Hardship,” 2) where the
reasonable accommodation would present a “Direct Threat” to the safety
of others or property, or 3) where the employer shows that you CANNOT
safely perform essential job functions. For more information about these
exceptions, see Appendix U, PG. 751

After you request a reasonable accommodation, the employer has to genuinely
consider your request, and talk to you about what types of accommodations
could help your situation. The employer can also ask you for more information
about your disability to help with the decision. An employer CANNOT simply
ignore your request OR wait an unreasonable amount of time to respond, hoping
1913
that you give up.
If an employer decides NOT to hire you based on you disability, the employer
MUST give you a chance to get a medical opinion about your condition from an
independent doctor. If the employer refuses to let you get an independent
1914
opinion, it may be violating the law.

WHAT WILL I NEED TO SHOW TO GET A REASONABLE
ACCOMMODATION?
To get a reasonable accommodation for your conviction, you must show two
things:
1)

Your conviction was caused by your disability. This means
a. Explaining to the employer that you have a disability and what the
disability is; AND
b. Providing any documents you have regarding your disability and
treatment, including:
i. Letters from doctors or service providers (a) saying that you
experienced drug or alcohol addiction, mental illness, and/or
some other disability at the time of the offense, and (b)
describing how your disability affected you;
ii. Letters from doctors or service providers showing that you
successful completed a rehabilitation program or are

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

For example, an employer could choose to provide a different type of accommodation that is less expensive or
less burdensome, so long as the different accommodation is effective at removing the particular employment
barriers you face. EEOC, Enforcement Guidance on Reasonable Accommodation and Undue Hardship Under the
Americans with Disabilities Act, No. 915.002 (Oct. 17, 2002).
1913
EEOC, Enforcement Guidance on Reasonable Accommodation and Undue Hardship Under the Americans with
Disabilities Act, No. 915.002 (Oct. 17, 2002).
1914
See Cal. Dep’t of Fair Emp’t & Hous., Fair Employment and Housing Act.
1912

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participating in effective ongoing treatment of your mental
illness or other disability;
iii. Letters from doctors or service providers that show you are
no longer using substances and/or you are receiving
appropriate treatment to control the symptoms of your
mental illness or other disability.
REMEMBER: It may be difficult to prove that your criminal conviction was caused
by your drug or alcohol addiction, mental illness, or other disability. It is
important that you submit as much evidence as possible! It’s best if you can
have a doctor submit a letter confirming that you have a disability and how it
affects you.

2) The accommodation that you’re asking for is “reasonable” and “necessary.”
This means showing that—
a. The change is necessary for you to apply for or work at the job on
an equal basis with other applicants or employees—for example, if
the employer does not make an accommodation, your application
would be rejected due to your conviction history;
b. It’s not too expensive or burdensome for the employer to make the
change;
c. It doesn’t fundamentally change the employer’s business
operations;
d. There is a relationship between your disability and the change you
are requesting—in other words, you are only asking for an exception
for the specific convictions that were caused by your disability, NOT
1915
other, unrelated convictions that you might have.
For more information about requesting a reasonable accommodation, see
Appendix U, PG. 751. To see a sample letter requesting a reasonable
accommodation, see Appendix V, PG. 752.
BUT REMEMBER: Just because you committed a criminal offense when you
were suffering from a mental illness or a past drug addiction does not mean you
automatically have the right to a reasonable accommodation on your job
application today. It can be very difficult to prove that your disability caused your
criminal offense, AND that the disability is the type that qualifies you for a
reasonable accommodation. Although these reasonable accommodation
requests can be difficult, it can be worth asking for them!
Remember, just like with other discrimination complaints, you only have 300
days to file a complaint with the EEOC, or 1 year to file a complaint with the
DFEH! For more information about finding a legal aid or employment attorney
or non-profit organization, see PG. 672 above. For more information about filing
a lawsuit, see PG. 707 below.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1915

See U.S. Airways v. Barnett, 535 U.S. 391, 397 (2002).

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WHAT CAN I DO IF THE EMPLOYER REFUSES TO MAKE A
REASONABLE ACCOMMODATION FOR ME? HOW CAN I
CHALLENGE THE DECISION?

HELPFUL
HINT:
Should I also talk
to a lawyer?

If you believe that an employer denied your request for a reasonable
accommodation due to your disability and/or your past drug use, you can
file a complaint with the Equal Employment Opportunity Commission
(federal employment protection agency) or with California’s Department
of Fair Employment and Housing (the state employment protection
1916
agency).
The complaint process is the SAME for disability discrimination (an
employer’s refusal to provide reasonable accommodations) as for other
types of illegal discrimination based on your criminal record (e.g.,
discrimination based on your race, religion, sex, national origin, etc.).
See PG. 682 for more information on filing a discrimination complaint with
the EEOC or the DFEH and what to expect.
Even if you want to want to file a lawsuit against the employer, you will still
have to file a complaint with the EEOC or DFEH first. (This is just like suing
an employer for discrimination based on your criminal record—see PG. 686
above for more information.)

IF I TRY TO SUE THE EMPLOYER IN COURT, WHAT MUST I
PROVE?
To sue an employer under the federal ADA (FHA), California’s Fair Housing
and Employment Act (FEHA), or other state anti-discrimination laws (such
1917
as California’s Unruh Civil Rights Act), you must show that your status as
an individual with a disability was a motivating factor in the employer’s
1918
decision to deny your reasonable accommodation request. You must also
provide evidence that your disability substantially limited your ability to live a
1919
normal life, that the requested accommodation is reasonable and necessary,
and (for a disability related to substance abuse) that you are not currently using
1920
illegal drugs.

You may also
want to talk to a
legal aid or
employment
attorney, or nonprofit
organization to
get advice about
your situation.
However, you
will still have to
file a complaint
with the EEOC or
DFEH first,
before you are
allowed to file a
lawsuit in court
against the
employer. For
this reason, it’s
important that
you contact the
EEOC or DFEH
immediately, and
then you can
also talk to an
attorney.

Remember, you CANNOT sue an employer in court until AFTER you’ve filed a
complaint with the EEOC or DFEH and received a Right-to-Sue notice.
NOTE: You should be prepared for the employer to argue that you do NOT have
a protected disability because you are a “current user” of illegal drugs, or that
1921
you are not being treated for your mental illness. You can support your
request by providing treatment records showing that you have not used drugs
for a significant period of time, or that you are receiving treatment for your
1922
mental illness.
You should also provide evidence of your participation in or

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. GOV’T CODE § 12981(a); 2 CAL. CODE REGS. § 10063.
Unruh Civil Rights Act, CAL. CIV. CODE § 51 et seq.
See Head v. Glacier Nw. Inc., 413 F.3d 1053 (2005) (holding that the ADA outlaws adverse employment decisions
motivated, even in part, by animus based on a plaintiff’s disability or request for an accommodation).
1919
42 U.S.C. § 12102(2)(A) (defining disability as “a physical or mental impairment that substantially limits one or
more . . . major life activities”). There are many ways to prove that alcohol/drug addiction substantially limited one
or more major life activities. For example, you could testify (speak in court) or write an affidavit (legal letter) about
how your own addiction, at one time, made you unable to care for yourself or your family, or substantially limited
one or more major body functions. You could also provide affidavits or testimony of family members or others. It is
not necessary to provide evidence from a treatment program, though that certainly can be helpful.
1920
CAL. GOV’T CODE § 12926(l)(S)(iii)(6).
1921
See Campbell v. Minneapolis Pub. Housing Auth., 168 F.3d 1069 (8th Cir. 1999) (“The MPHA indicated it was
denying [Campbell’s] application for the following reasons: . . . you have recently used illicit drugs and have a
problem with alcohol.”).
1922
See United States v. S. Mgmt. Corp., 955 F.2d 914, 916 (4th Cir. 1992) (finding a private apartment complex to
have violated the FHA by refusing to rent units to a community drug and alcohol rehabilitation board for its
participants who had remained drug-free for one year).
1916
1917
1918

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completion of a drug abuse treatment program, or proof that you receive
treatment for your mental illness.

WHERE CAN I GO TO LEARN MORE ABOUT HOW MY DISABILITY
AFFECTS MY EMPLOYMENT RIGHTS?
These resource guides provide helpful information about the rights of people
suffering from disabilities caused by past drug abuse, alcoholism, mental illness,
or other reasons:
•

•

•

•

•

!

PAGE 708 OF 1210

Reasonable accommodations in the Workplace Fact Sheet (Disability Rights
California)
o http://www.disabilityrightsca.org/pubs/F06701.html
Know Your Rights: Are You In Recovery From Alcohol or Drug Problems?
(U.S. Dept. of Health & Human Services:
o https://store.samhsa.gov/shin/content/PHD1091/PHD1091.pdf
Know Your Rights: Employment Discrimination Against People with
Alcohol/Drug Histories (Legal Action Center & Partners for Recovery):
o http://lac.org/wp-content/uploads/2014/12/Q_and_AEmployment_Discrimination.pdf
Employment Discrimination Based on Disability (Cal. Dept. of Fair
Employment & Housing):
o http://www.dfeh.ca.gov/res/docs/Publications/Brochures/2015/DFEH184.pdf
Disability Under the Fair Employment & Housing Act: What You Should Know
About the Law (Cal. Dept. of Fair Employment & Housing):
o http://www.dfeh.ca.gov/res/docs/Publications/Brochures/2015/DFEH208DH.pdf

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EMPLOYMENT
APPENDIX
APPENDIX A.

Form I-9
(Employment Eligibility Verification) – PG. 711

APPENDIX B.

List of Workforce Development Programs in California –
PG. 715

APPENDIX C.

How to Present Your Best Self:
Proof of Rehabilitation – PG. 717

APPENDIX D.

How to Present Your Best Self:
Tips for Success in Job Interviews – PG. 718

APPENDIX E.

Benefits for Employers:
Federal Bonding Program – PG. 720

APPENDIX F.

Local “Ban the Box” Laws – PG. 722

APPENDIX G.

San Francisco Fair Chance Ordinance – PG. 724

APPENDIX H.

City of Richmond, CA:
“Ban the Box” Ordinance – PG. 728

APPENDIX I.

A Summary of Your Rights Under the
Fair Credit Reporting Act (FCRA) – PG. 730

APPENDIX J.

Civil Rights Law that
Governs Employers’ Hiring Decisions:
Title VII – PG. 733

APPENDIX K.

Civil Rights Law that Governs Employers’ Hiring Decisions:
EEOC Enforcement Guidance – PG. 734

APPENDIX L.

List of Equal Employment Opportunity Commission (EEOC)
Offices in California – PG. 736

APPENDIX M.

List of Dept. of Fair Employment & Housing (DFEH) Offices
in California – PG. 737

APPENDIX N.

California Department of Fair Employment and Housing
(DFEH):
“Pre-Complaint Inquiry” Form – PG. 738

APPENDIX O.

Equal Employment Opportunity Commission (EEOC)
Complaint Process – PG. 739

APPENDIX P.

California Department of Fair Employment and Housing
(DFEH) Complaint Process – PG. 741

APPENDIX Q.

Professional/Occupational Licensing—Appeals Process –
PG. 743

APPENDIX R.

Alternatives to Traditional Employment: Self-Employment &
Starting Your Own Business – PG. 745

APPENDIX S.

Alternatives to Traditional Employment: Becoming an
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Independent Contractor – PG. 747
APPENDIX T.

Employment Rights for People with Disabilities: Exceptions
Where an Employer Does Not Have to Provide a Reasonable
Accommodation to an Employee – PG. 749

APPENDIX U.

Employment Rights for People with Disabilities: Requesting
a Reasonable Accommodation for Your Disability – PG. 751

APPENDIX V.

Employment Rights for People with Disabilities: Sample
Letter Requesting Reasonable Accommodation – PG. 752

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APPENDIX A
Form I-9
(Employment Eligibility Verification)
See next page.

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Employment Eligibility Verification

!

!

USCIS
Form I-9

Department of Homeland Security
U.S. Citizenship and Immigration Services

OMB No. 1615-0047
Expires 03/31/2016

START HERE. Read instructions carefully before completing this form. The instructions must be available during completion of this form.
ANTI-DISCRIMINATION NOTICE: It is illegal to discriminate against work-authorized individuals. Employers CANNOT specify which
document(s) they will accept from an employee. The refusal to hire an individual because the documentation presented has a future
expiration date may also constitute illegal discrimination.

Section 1. Employee Information and Attestation (Employees must complete and sign Section 1 of Form I-9 no later
than the first day of employment, but not before accepting a job offer.)
Last Name (Family Name)

Apt. Number

Address (Street Number and Name)

Date of Birth (mm/dd/yyyy)

Middle Initial Other Names Used (if any)

First Name (Given Name)

City or Town

State

U.S. Social Security Number E-mail Address

-

Zip Code

Telephone Number

-

I am aware that federal law provides for imprisonment and/or fines for false statements or use of false documents in
connection with the completion of this form.
I attest, under penalty of perjury, that I am (check one of the following):
A citizen of the United States
A noncitizen national of the United States (See instructions)
A lawful permanent resident (Alien Registration Number/USCIS Number):
. Some aliens may write "N/A" in this field.

An alien authorized to work until (expiration date, if applicable, mm/dd/yyyy)
(See instructions)

For aliens authorized to work, provide your Alien Registration Number/USCIS Number OR Form I-94 Admission Number:
1. Alien Registration Number/USCIS Number:

3-D Barcode
Do Not Write in This Space

OR
2. Form I-94 Admission Number:
If you obtained your admission number from CBP in connection with your arrival in the United
States, include the following:
Foreign Passport Number:
Country of Issuance:

Some aliens may write "N/A" on the Foreign Passport Number and Country of Issuance fields. (See instructions)
Signature of Employee:

Date (mm/dd/yyyy):

Preparer and/or Translator Certification (To be completed and signed if Section 1 is prepared by a person other than the
employee.)
I attest, under penalty of perjury, that I have assisted in the completion of this form and that to the best of my knowledge the
information is true and correct.
Signature of Preparer or Translator:

Last Name (Family Name)
Address (Street Number and Name)

Date (mm/dd/yyyy):

First Name (Given Name)
City or Town

State

Zip Code

Employer Completes Next Page
Form I-9 03/08/13 N

Page 7 of 9

!

Section 2. Employer or Authorized Representative Review and Verification
(Employers or their authorized representative must complete and sign Section 2 within 3 business days of the employee's first day of employment. You
must physically examine one document from List A OR examine a combination of one document from List B and one document from List C as listed on
the "Lists of Acceptable Documents" on the next page of this form. For each document you review, record the following information: document title,
issuing authority, document number, and expiration date, if any.)
Employee Last Name, First Name and Middle Initial from Section 1:

List A

OR

AND

List B

List C

Identity and Employment Authorization
Document Title:

Identity
Document Title:

Employment Authorization
Document Title:

Issuing Authority:

Issuing Authority:

Issuing Authority:

Document Number:

Document Number:

Document Number:

Expiration Date (if any)(mm/dd/yyyy):

Expiration Date (if any)(mm/dd/yyyy):

Expiration Date (if any)(mm/dd/yyyy):

Document Title:
Issuing Authority:
Document Number:
Expiration Date (if any)(mm/dd/yyyy):
3-D Barcode
Do Not Write in This Space

Document Title:
Issuing Authority:
Document Number:
Expiration Date (if any)(mm/dd/yyyy):

Certification
I attest, under penalty of perjury, that (1) I have examined the document(s) presented by the above-named employee, (2) the
above-listed document(s) appear to be genuine and to relate to the employee named, and (3) to the best of my knowledge the
employee is authorized to work in the United States.
(See instructions for exemptions.)

The employee's first day of employment (mm/dd/yyyy):
Signature of Employer or Authorized Representative

Last Name (Family Name)

Date (mm/dd/yyyy)

First Name (Given Name)

Title of Employer or Authorized Representative

Employer's Business or Organization Name

Employer's Business or Organization Address (Street Number and Name) City or Town

State

Zip Code

Section 3. Reverification and Rehires (To be completed and signed by employer or authorized representative.)
A. New Name (if applicable) Last Name (Family Name) First Name (Given Name)

Middle Initial B. Date of Rehire (if applicable) (mm/dd/yyyy):

C. If employee's previous grant of employment authorization has expired, provide the information for the document from List A or List C the employee
presented that establishes current employment authorization in the space provided below.
Document Title:

Document Number:

Expiration Date (if any)(mm/dd/yyyy):

I attest, under penalty of perjury, that to the best of my knowledge, this employee is authorized to work in the United States, and if
the employee presented document(s), the document(s) I have examined appear to be genuine and to relate to the individual.
Signature of Employer or Authorized Representative:

Form I-9 03/08/13 N

Date (mm/dd/yyyy):

Print Name of Employer or Authorized Representative:

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LISTS OF ACCEPTABLE DOCUMENTS
All documents must be UNEXPIRED
Employees may present one selection from List A
or a combination of one selection from List B and one selection from List C.
LIST A
Documents that Establish
Both Identity and
Employment Authorization
1. U.S. Passport or U.S. Passport Card
2. Permanent Resident Card or Alien
Registration Receipt Card (Form I-551)
3. Foreign passport that contains a
temporary I-551 stamp or temporary
I-551 printed notation on a machinereadable immigrant visa
4. Employment Authorization Document
that contains a photograph (Form
I-766)
5. For a nonimmigrant alien authorized
to work for a specific employer
because of his or her status:
a. Foreign passport; and
b. Form I-94 or Form I-94A that has
the following:
(1) The same name as the passport;
and
(2) An endorsement of the alien's
nonimmigrant status as long as
that period of endorsement has
not yet expired and the
proposed employment is not in
conflict with any restrictions or
limitations identified on the form.
6. Passport from the Federated States of
Micronesia (FSM) or the Republic of
the Marshall Islands (RMI) with Form
I-94 or Form I-94A indicating
nonimmigrant admission under the
Compact of Free Association Between
the United States and the FSM or RMI

LIST B

LIST C
Documents that Establish
Employment Authorization

Documents that Establish
Identity
OR

AND
1. Driver's license or ID card issued by a
State or outlying possession of the
United States provided it contains a
photograph or information such as
name, date of birth, gender, height, eye
color, and address
2. ID card issued by federal, state or local
government agencies or entities,
provided it contains a photograph or
information such as name, date of birth,
gender, height, eye color, and address
3. School ID card with a photograph
4. Voter's registration card
5. U.S. Military card or draft record

1. A Social Security Account Number
card, unless the card includes one of
the following restrictions:
(1) NOT VALID FOR EMPLOYMENT
(2) VALID FOR WORK ONLY WITH
INS AUTHORIZATION
(3) VALID FOR WORK ONLY WITH
DHS AUTHORIZATION
2. Certification of Birth Abroad issued
by the Department of State (Form
FS-545)
3. Certification of Report of Birth
issued by the Department of State
(Form DS-1350)

7. U.S. Coast Guard Merchant Mariner
Card

4. Original or certified copy of birth
certificate issued by a State,
county, municipal authority, or
territory of the United States
bearing an official seal

8. Native American tribal document

5. Native American tribal document

9. Driver's license issued by a Canadian
government authority

6. U.S. Citizen ID Card (Form I-197)

6. Military dependent's ID card

For persons under age 18 who are
unable to present a document
listed above:
10. School record or report card
11. Clinic, doctor, or hospital record

7. Identification Card for Use of
Resident Citizen in the United
States (Form I-179)
8. Employment authorization
document issued by the
Department of Homeland Security

12. Day-care or nursery school record

Illustrations of many of these documents appear in Part 8 of the Handbook for Employers (M-274).
Refer to Section 2 of the instructions, titled "Employer or Authorized Representative Review
and Verification," for more information about acceptable receipts.

Form I-9 03/08/13 N

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APPENDIX B
List of Workforce Development Programs
in California
There are many workforce development programs around California. These are
just some of the programs available—there may be others in your area!
•

Center for Living & Learning—Apprenticeship and job search preparation
14549 Archwood Street #221, Van Nuys, CA 91405
Telephone: 818-781-1073
Email: rhonda@center4living.org
Online: http://www.center4living.lle.org/apprenticeships.shtml

•

BOSS Partners in Employment Reentry Program (PREP)
1433 Webster St., Ste. 100, Oakland, CA 94612
Telephone: (510) 891-8773
Email: dmccray@self-sufficiency.org
Online: https://self-sufficiency.org/?programs=partners-reentry-programprep

•

Rubicon Programs (multiple locations)
101 Broadway, Richmond, CA 94804
Telephone: (510) 412-1725
1918 Bonita Avenue, Berkeley, CA 94704
Telephone: (510) 549-8820
418 West 4th Street, Antioch, CA 94509
Telephone: (925) 399-8990
Online: http://www.rubiconprograms.org/economicempowerment.html

•

Dress for Success (multiple locations)
1416 17th Street, Bakersfield, CA 93301
Monday—Friday: 12 PM—5 PM
Telephone: (661) 748-1809
Online: https://bakersfield.dressforsuccess.org/
11801 Pierce Street, Suite 200, Riverside, CA 92505
Monday—Friday: 8 AM—5 PM
Online: https://riverside.dressforsuccess.org/
770 L Street, Suite 950, Sacramento, CA 95814
Telephone: (916) 285-0103
Online: https://sacramento.dressforsuccess.org/
1122 Broadway, Suite 200, San Diego, CA 92101
Monday—Friday, 9 AM—5 PM
Telephone: (619) 533-6014
Online: https://sandiego.dressforsuccess.org/
500 Sutter Street, Suite 218, San Francisco, CA 94102
Monday—Friday, 8:30 AM—5 PM
Telephone: (415) 362-0034
Online: https://sanfrancisco.dressforsuccess.org/
560 Valley Way, 2nd Floor—Bldg. 4, Milpitas, CA 95035
Monday—Friday 9 AM—5 PM
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Telephone: (408) 935-8299
Online: https://sanjose.dressforsuccess.org/
2100 S. Hill Street, Los Angeles, CA 90007
Monday—Friday: 9 AM—5 PM
Telephone: (323) 461-1021
Online: https://worldwidewest.dressforsuccess.org/
•

Wardrobe for Opportunity
Oakland for Opportunity Boutique & Training Center
570 14th Street, Suite 5, Oakland, CA 94612
Telephone: (510) 463-4100
Fax: (510) 452-4502

•

Concord Boutique & Training Center
1850 Gateway Blvd, Suite 170, Concord, CA 94520
Telephone: (510) 463-4100
Online: https://www.wardrobe.org/

•

California Employment Development Department (EDD)
America’s Job Centers of California (formerly One-Stop Career Centers) over 200 locations throughout California:
http://www.americasjobcenter.ca.gov/
Job fairs and workshops:
http://www.edd.ca.gov/Jobs_and_Training/Job_Fairs_and_Events.htm
Online:
http://www.edd.ca.gov/Jobs_and_Training/More_Job_Seeker_Informati
on.htm

To find additional workforce development programs and resources, check out
the following links:
• Building Opportunities for Self-Sufficiency: https://self-sufficiency.org/?page_id=944
• Alameda Point Collaborative: http://apcollaborative.org/workforce-development/
• Center for Independent Living, Inc. (Berkeley):
http://www.cilberkeley.org/programs/employment/employment-services/
• Goodwill Industries of the Greater East Bay: http://eastbaygoodwill.org/programs/
• SparkPoint Centers: http://sparkpointcenters.org/financial-services/get-a-job

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APPENDIX C
How to Present Your Best Self:
Proof of Rehabilitation
EXPUNGEMENTS, PARDONS, AND CERTIFICATES OF REHABILITATION*
If you have had your conviction expunged or pardoned, or you received a
Certificate of Rehabilitation, give the employer a copy! Give them to the
employer along with your completed job application or during your interview.
(Important: Make sure you only give the employer a photocopy and keep the
original documents for yourself.)
OTHER REHABILITATION DOCUMENTS
These include any certificates, diplomas, letters of recommendation, or other
documents that show your accomplishments since your conviction, and that you
have turned your life around for the better. Here are just some examples of
things you can bring:
•

•

•
•
•
•

Certificates or diplomas for any programs that you completed while inside or
after your release—e.g., vocational training and job skills, anger
management, substance abuse, GED classes, etc.;
Letters of support from people who know you and can speak to your good
character or work ethic—e.g., a former employer, pastor at your church, case
manager or social worker, volunteer coordinator, or personal friend.
Certificates from any professional training or school courses you’ve
completed;
Proof of other jobs or volunteer work that you’ve done since your conviction;
and/or
Discharge papers from a rehabilitation facility.
For more suggestions about how to get evidence of rehabilitation, this guide
can help you: How to Gather Evidence of Rehabilitation (Legal Action
Center), available online at: http://lac.org/wpcontent/uploads/2014/12/How_to_Gather_Evidence_of_
Rehabilitation_2013.pdf

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APPENDIX D
How to Present Your Best Self:
Tips for Success in Job Interviews
These tips can help you succeed in job interviews, especially if you have to
answer any difficult questions about your criminal record. Here are some
suggested steps and tips:
STEP 1:

Thoughtfully answer each interview question.

Here are some tips for addressing your criminal record and answering other
tough questions during a job interview:
• Own it! Take responsibility for your actions. State the facts, but express
regret for what happened. Don’t get defensive.
• Don’t go into details. Keep your answers short. Be honest, but only talk about
necessary information based on the questions you are asked.
• Tell the employer how you have changed. Emphasize that the incident
happened long ago and that you are a different person now. Explain what
you learned while you were in prison/jail, and what you are doing differently
now. Highlight any services that you’re getting to help you move on. Paint a
picture of the person you are now.
• Emphasize your qualifications. Describe the things that will make you a good
employee—such as previous work experience, job training programs, or
classes that you’ve taken. Show the employer why you are qualified for the
position and will be a benefit to the company.
• Describe your hopes and dreams. Show the employer than you are in control
of your life and have short-term and long-term goals. Highlight any programs
or services that you’re participating in to help you move on and achieve your
goals. Emphasize that you would be very appreciative of the opportunity to
1923
work for them, and you will be the hardest worker they will ever have.
• DON’T LIE! If the employer finds out the truth (though a background check, or
later on after you’ve been hired), they can reject or fire you for lying—
regardless of your record and qualifications for the job!
The most important question of all is “Why Should I Hire You?” Remember, the
most important thing to show is that you are qualified for the position and that
you will benefit the employer’s company if they hire you. You should also be
ready to explain why you are interested in the job. Be sure you have all of these
answers prepared and practice them beforehand.
IMPORTANT: What if the employer asks an illegal question or asks about
something that should not have been included in your background check? See
PG. 645 for more information about what you can do in this situation.
STEP 2: Ask your own questions.
Often, employers will give you a chance to ask them questions at the end of an
interview, so it’s best to have several questions prepared beforehand. Here are
some sample questions you can ask that demonstrate your interest in the
position and the company—the answers will make you look better!
•

What is most important for you (my boss) to be happy with me if I get this
job?

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Electronic communication from Mary Weaver, Executive Director, Friends Outside in Los Angeles County, Jan.
29, 2015; electronic communication from Mario Rodriguez, South Bay Workforce Investment Board, Jan. 29, 2015.
1923

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•
•
•
•

What would you like me to accomplish in the first couple of weeks on the
job?
1924
Why did the person who had this job before leave?
Any other questions showing that you’ve done your homework to research
and learn about the company.
DON’T just ask about wages, hours, or benefits!

STEP 3: Practice beforehand!
If possible, you should try to do a practice (“mock”) interview before the real
thing with your case manager, social worker, counselor, or family or friends.
Have the other person pretend they’re the employer and ask you interview
questions, so that you can practice giving your answers. Remember, even if you
have your answers prepared on paper or in your head, things will sound
different when you try to say them out loud!
STEP 4: Be polite and confident during the interview.
Here are some things to keep in mind when it’s time for the interview:
• Dress up! Show the employer that you take yourself—and the job—seriously
by presenting your most professional self. Dress like you were going to court,
to church, or to some other important event.
• Be polite! Make sure to thank the employer for giving you the chance to
interview for the job, and shake the interviewer’s hand. Do this BEFORE and
AFTER the interview.
• Be positive and confident! Smile, make eye contact with the interviewer, and
show that you are confident in your abilities to be a good employee. Go in
with the mindset that you are the best applicant for the job and you will get
hired.
• Take notes! Bring a pencil and paper so that you can write down any
important information or questions during the interview. Always start by
writing down the interviewer’s name so that you can follow up afterward!
STEP 5: Follow-up after the interview.
After the interview, it’s important to follow up—this will help to make sure the
employer doesn’t forget about you and shows you’re still interested in the job.
•

•

Send a thank you note. A thank-you note will help you stand out from other
job applicants. It shows how professional and polite you are, and it gives you
another opportunity to sell yourself or re-answer a question that you didn’t
handle very well during the interview. Address the note to the person who
interviewed you (this is why it’s important to write down their name during
the interview).
If you don’t get the job, you might consider calling the hiring manager to ask
for feedback. You could say something along the lines of: “I know you
decided to hire someone else, but I just wanted to find out why I didn’t get
the job. I’d appreciate knowing the reason, because your feedback will help
me in my job search.” You may get feedback that could actually influence the
employer to reconsider your application. If not, you’ll at least receive some
1925
useful information that will help with future interviews.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1924
1925

Jails to Jobs, Interview Tips, http://jailstojobs.org/html/interview_tips.html.
Jails to Jobs, After the Interview, http://jailstojobs.org/html/after_interview.html.

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APPENDIX E
Benefits for Employers:
Federal Bonding Program
This section explains all the eligibility requirements of the Federal Bonding
Program and how to apply for the program.

WHO IS ELIGIBLE FOR THE FEDERAL BONDING PROGRAM?
In order to be eligible for the federal bonding program, you must meet the
following requirements:
1.

2.
3.
4.

5.
6.

Have a firm job offer (or be already employed) at a job that is likely to be
long-term or permanent. The EDD staff will need to verify that the employer
is ready to hire you (or keep you on the job) once you have bonding
insurance.
Be qualified for the job position being offered. In other words, the only thing
preventing you from getting the job is the lack of insurance.
The position that you are being hired for requires you to be bonded, or you
are required to be bonded to remain on the job.
You are not commercially bondable, or could be denied commercial bonding
coverage because of an arrest record or imprisonment, history of drug or
alcohol abuse, poor credit history, lack of employment history, dishonorable
discharge from the military, or other “risk” factors.
You are 18 or older and legally eligible to work in the U.S. You will have to
provide proof of your legal status or documentation for authorization to work
in the United States.
1926
Are not self-employed or an owner/operator.

HOW DO I APPLY FOR THE FEDERAL BONDING PROGRAM?
STEP 1: Visit your local EDD Workforce Services location or America’s Job
Center of California (formerly One-Stop Career Center). The only document you
need to bring is proof of legal status or eligibility to work in the U.S. (see list of
1927
employment verification documents, Appendix A, PG. 711) —you do NOT need
to bring any other paperwork. The EDD staff will contact the employer and/or do
other research to make sure that you meet all the other eligibility requirements;
STEP 2: The EDD staff person certifies (approves) the bond; and
STEP 3: Your insurance coverage will begin as soon as you begin work.

1928

Two important things about bonding:
•

Your employer can only get free insurance coverage for the first 6 months
that you work there; after that they will have to purchase insurance directly. If
you lose your job after 6 months and you suspect that your employer
dumped you so that it would not have to pay insurance, you may want to
contact the EDD.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CALIF. EMPLOYER ADVISORY COUNCIL, EDD Fidelity Bonding Program—An Employment Incentive,
http://ceac.org/employers/ask_the_edd_expert/edd_fidelity_bonding_program/.
1927
See Cal. Employment Development Department, Attention All Job Seekers (2013),
http://www.edd.ca.gov/pdf_pub_ctr/de8401.pdf for a complete listing of acceptable documents.
1928
There is an EDD office locator available online. CALIF. EMPLOYMENT DEVELOPMENT DEP’T, Office Locator,
http://www.edd.ca.gov/office_locator/.
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•

If you switch to another job that also requires bonding, there is no guarantee
that you will be able to get insurance with the new employer. The EDD will
decide on a case-by-case basis whether or not to issue you another round of
1929
bonding.
For this reason, we recommend that you only use the bonding
program for jobs that are likely to be long-term or permanent—NOT for
1930
temporary positions.

The EDD is here to help you! The EDD wants to make sure that all bonding
program participants are successful in their work and are treated equally by
employers. If you have any questions or problems about getting bonded, contact
1931
the EDD State Bonding Coordinator at 916-654-9309.
For more information on the government bonding program:
•
•
•

Visit any EDD America’s Job Center of California or Workforce Services
1932
location
Read the EDD’s online brochure at
http://www.edd.ca.gov/pdf_pub_ctr/de8714ff.pdf
Contact the EDD State Bonding Coordinator:
Telephone: 916-654-9309
Mailing Address:
Workforce Services Branch—California EDD,
P.O. Box 826880, MIC 50,
Sacramento, CA 94280-0001.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Telephone call with Gil Barkley, (backup) State Bonding Coordinator, EDD, Feb. 17, 2015. The EDD will also want
to make sure that the employer is not simply exploiting you for free insurance coverage and then getting rid of you
after the first 6 months of free coverage is over.
1930
Telephone call with Maria Alexander and Mary Weaver, Friends Outside in Los Angeles County, Jan. 21, 2015.
1931
Telephone call with Gil Barkley, (backup) State Bonding Coordinator, EDD, Feb. 17, 2015.
1932
To find offices in your area, visit the EDD website at http://www.edd.ca.gov/Office_Locator/ and select
“America’s Job Center of California (formerly known as One-Stop Career Centers).”
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APPENDIX F
Local “Ban the Box” Laws in California
WHAT IS “BAN THE BOX”?
WHAT IS THE CALIFORNIA “BAN THE BOX” LAW ALL ABOUT?
As of July 1, 2014, state and local agencies can’t ask about your criminal history
by any method—verbally (e.g., during an interview), in writing, or on a job
application—until after it has decided that you meet the minimum qualifications
1933
for the job.

WHO DOES THE STATEWIDE “BAN THE BOX” LAW APPLY TO?
The STATEWIDE law applies to public employers (meaning California state and
local governments and agencies), but not private employers and not federal
government agencies. However, LOCAL laws might provide more protection for
applicants. See more below.

WHAT EXTRA PROTECTIONS EXIST IN CERTAIN COUNTIES AND
CITIES?
Certain cities and counties throughout California have passed their own local
“Ban the Box” laws. Some of these local laws give more protection to job
applicants with criminal records than the state law does. These local laws only
protect you if you are applying for a job within that city or county.
The following cities and counties have local “Ban the Box” laws that provide
EXTRA protection for applicants with records:
•
•

San Francisco City and County—(see PG. 724)
Richmond—(see PG. 728)

The following cities and counties have local “Ban the Box” laws but they don't
provide extra protection for applicants with records:
•
•
•
•
•
•
•
•

Alameda County
Berkeley
Carson
Compton
East Palo Alto
Oakland
Pasadena
1934
Santa Clara County.

We will cover two current local laws in this Appendix: (1) the San Francisco Fair
Chance Ordinance (SFFCO) and (2) the Richmond Ordinance. These laws are
changing quickly, though, so you should regularly check the status of “Ban the
Box” laws in your city and county to be sure you are up-to-date on current law.

!
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. LAB. CODE § 432.9(a).
NELP, Ban the Box: U.S. Cities Counties, and States Adopt Fair Hiring Policies to Reduce Unfair Barriers to
Employment of People with Criminal Records, at 1, 62.
1933
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SUMMARY OF CALIFORNIA BAN THE BOX LAWS—STATE AND LOCAL

!

1935

This chart summarizes state and local Ban-the-Box rules, as they apply to both
public and private employers.
Which employers are covered?

When can an employer run a
background check?

Private

Only for some
positions

Gov’t
contracto
rs &
vendors

Public

California
(state law)

X

Alameda
County

X

Berkeley

X

Carson

X
X

Only after
conditional
job offer or
finalist

X

X

East Palo
Alto

X

X

Oakland

X

Pasadena

X

San
Francisco
(city and
county)

X**

Santa
Clara
County

X
X

X

Richmond

What are
my rights if
employer
denies my
application?

X

X

Compton

Does law
require
individualized
consideration
using EEOC
criteria?

X

X

X

X

X

X**

X

X

X

X

X
X

N/C/A*

X
X

N/C/A*

* N/C/A—Notice of intended adverse action before adverse action; Copy of background check report and
opportunity to dispute contents or relevance before adverse action; right to Appeal denial of employment.
**(Note: San Francisco has separate Ban-the-Box laws for public employers (city and county agencies) and
private employers (SF Fair Chance Ordinance). The law for public employers only allows background checks
for job position finalists, and requires individualized consideration using EEOC criteria. The law for private
employers requires individualized consideration using EEOC criteria, requires employers to give you a copy of
the background check report if they intend to take adverse action based on the results, and gives you the
right to appeal any denial of employment.)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1935

NELP, Ban the Box Resource Guide at 18-46, 62.

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APPENDIX G
San Francisco Fair Chance Ordinance
If you are applying for a job with a company located in or doing business in the
City or County of San Francisco, read this Appendix!
WHAT IS SAN FRANCISCO’S LOCAL “BAN THE BOX” LAW CALLED?
It is called San Francisco’s Fair Chance Ordinance (SFFCO). It went into effect on
1936
August 13, 2014.
WHO DOES SFFCO APPLY TO?
1937

SFFCO applies to private employers with 20 or more employees
and city
1938
contractors and subcontractors
located or doing business in the City and
County of San Francisco. It does not matter where the employees are physically
located, as long as the employer is located in or doing business in San
Francisco.
CAN PRIVATE EMPLOYERS IN SAN FRANCISCO HAVE “BLANKET BANS”
AGAINST CRIMINAL RECORDS IN A JOB AD OR SOLICITATION?
No. Employers cannot put “blanket bans” (like “no felons” or “no convictions”) in
any job ad or solicitation. Ads cannot directly or indirectly express that
individuals with a conviction history will not be considered for employment or
cannot apply for a position with that employer. The employer MUST:
State in any job ads or solicitations that it will consider applicants with
criminal histories;
Post in any workplace a notice of your rights as a job applicant or employee
under the SFFCO. (This notice must be in the language(s) that the majority of
the employees speak.)

•
•

WHAT CAN’T A PRIVATE EMPLOYER IN SAN FRANCISCO ASK ME ABOUT MY
CRIMINAL RECORD UNDER SFFCO?
A private employer in San Francisco may never ask about or consider:
1.

An arrest not leading to a conviction (except arrests that are still pending or
unresolved).
Participation in a diversion or deferral of judgment program. A diversion
program (such as a drug rehabilitation program) helps a person charged with
certain crimes avoid criminal charges—and therefore a criminal record.
A conviction that has been sealed, dismissed, expunged, or made
inoperative.
Juvenile records.*
A conviction more than 7 years old (based on the date of sentencing).*
A criminal offense other than a felony/misdemeanor (for example, an
infraction, which is a petty offense that usually comes with a ticket and small
1939
fine).
*

2.
3.
4.
5.
6.

NOTE: All records marked with a * indicate additions to the California state law
protections described on PG. 633.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1936
1937
1938
1939

S.F. POLICE CODE, Art. 49, San Francisco’s Fair Chance Ordinance.
S.F. POLICE CODE, Art. 49, San Francisco’s Fair Chance Ordinance.
S.F. Admin. Code § 12T.
S.F. POLICE CODE, Art. 49, San Francisco’s Fair Chance Ordinance.

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WHAT CAN A PRIVATE EMPLOYER IN SAN FRANCISCO ASK ME ABOUT MY
CRIMINAL RECORD?
AFTER you are found to be qualified for the job, a live interview has been
conducted, or a “conditional offer” of employment has been made, only then can
a private employer in San Francisco ask about and consider information from
your criminal record—it can only consider the following:
1.

Your conviction history from the last 0-7 years (based on date of
sentencing)—so long as it is not one of the 6 things a private employer in
San Francisco can NEVER ask about (listed above) and is directly related to
your ability to do the job.
2. Your pending or unresolved arrests—if directly related to your ability to do
1940
the job.
ADDITIONAL REQUIREMENT: If a private employer in San Francisco decides to
ask about and consider your conviction history from 0-7 years ago or any
pending/unresolved arrests, then the employer must also consider:
1.

Only “directly-related convictions”—those that directly and negatively relate
to your ability to perform duties essential to the job. For example: Will the
job give you an opportunity to commit the same crime? Are the factors that
led to your crime likely to recur at this particular job? If not, then the
employer cannot consider those convictions;
2. The time that has passed since your conviction; AND
3. Any evidence of errors in your record, your rehabilitation efforts, or other
helpful information you offer. This would include things like:
a) Completion of parole or probation;
b) Recommendations from employers;
c) Education or vocational training;
d) Completion or active participation in rehabilitation programs;
e) Letters of recommendation from organizations or individuals who have
interacted with you since your conviction.
WHEN CAN A PRIVATE EMPLOYER IN SAN FRANCISCO ASK ABOUT MY
CRIMINAL RECORD? WHAT DOES THE PROCESS LOOK LIKE?
PHASE 1: At the beginning of the hiring process, a private employer located or
doing business in San Francisco cannot ask about:
1)

Your conviction history — meaning the employer cannot ask about your
criminal convictions on a job application form, during a job screening, in an
informal conversation, or otherwise.
2) Your pending or unresolved arrests, whether in a job application form,
1941
during a job screening, in an informal conversation, or otherwise.
PHASE 2: The employer must decide that you meet the minimum qualifications
for the job, conduct a live interview, or make a conditional offer of employment
before asking about or considering certain information in your criminal record.
PHASE 3: Before a private employer in San Francisco can about your
convictions from 0-7 years ago or any unresolved arrests that directly relate to
your ability to do the job, it must:
1) Give you notice of the Fair Chance Ordinance; and
2) Give you notice that follows the requirements of California state and U.S.
federal laws governing employment background checks.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1940
1941

S.F. POLICE CODE, Art. 49, San Francisco’s Fair Chance Ordinance.
S.F. POLICE CODE, Art. 49, San Francisco’s Fair Chance Ordinance.

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PHASE 4: Only AFTER a private employer in San Francisco has conducted a live
interview or made a conditional offer of employment AND has given you all the
required notice under federal law, state law, and the SFFCO law, can the
employer use information in a background check report, ask about, and
consider:
1)

Your conviction history from the last 0-7 years, if it is outside of the 6 things
you can never ask about (discussed above) AND if it directly relates to your
ability to do the job.
2) Your pending or unresolved arrests, if they directly relate to your ability to
1942
do the job.
PHASE 5: Before a private employer in San Francisco fires, refuses to hire,
chooses not to promote, or takes other action that harms you based on a
conviction history from 0-7 years ago or an unresolved arrest, the employer must
give the you an opportunity to present evidence that:
The information is inaccurate;
You have been rehabilitated, including letters of support and other evidence
that you have:
o Satisfied and completed the terms of parole/probation;
o Received education and/or training;
o Participated in alcohol or drug treatment programs;
o Letters of recommendation;
o Been free of criminal behavior for a sufficient time period to have
changed, based on your age at the time of the conviction; and
All other mitigating factors that led to the conviction and explain or reduce
the severity of your criminal behavior, including evidence of:
o Coercion (you were forced or threatened into doing the illegal act);
o Physical or emotional abuse (you were experiencing physical or
emotional violence that led him/her to do the illegal act); and/or
o Untreated substance abuse/mental illness that contributed to the
conviction (you were addicted to drugs or alcohol, or had a serious
mental health issue, and had not received specialized health care
1943
treatment for one of those issues).

•
•

•

WHAT IF THE EMPLOYER STILL DECIDES TO NOT HIRE OR PROMOTE ME,
FIRES ME, OR TAKES SOME OTHER NEGATIVE EMPLOYMENT ACTION
AGAINST ME?
Before the employer makes a final decision about any negative action against
you, it must:
1)

Give you with a copy of the background check report that it based its
decision on;
2) Notify you that it intends to take negative action against you;
3) Tell you why you were denied (what the exact issue was in your conviction
history); and
4) Give you 7 days to provide information about any errors in you report or
your rehabilitation efforts.
WHAT HAPPENS AFTER THE 7 DAYS?
The employer may take a reasonable amount of time to reconsider your
application in light of any additional information you have offered. It is
recommended that you use that one-week period to be very proactive in
clearing up information in your record, providing evidence of errors or

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1942
1943

S.F. POLICE CODE, Art. 49, San Francisco’s Fair Chance Ordinance.
S.F. POLICE CODE, Art. 49, San Francisco’s Fair Chance Ordinance.

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rehabilitation, etc. If the employer still decides not to hire you based on your
conviction history and all the information you have provided, it must give you
final notice of its decision.

WHAT YOU CAN DO IF AN EMPLOYER VIOLATED THE SAN
FRANCISCO FAIR CHANCE ORDINANCE (SFFCO):
WHAT CAN I DO IF I THINK A SAN FRANCISCO EMPLOYER HAS
VIOLATED THE SFFCO?
You can report the violation to San Francisco’s Office of Labor
Standards Enforcement (OSLE), and you have 60 days to do so. Call
the OSLE office at (415) 554-5192. You can also email the office at
fce@sfgov.org (see the OLSE website at: www.sfgov.org/olse/fco for
more information).
CAN THE EMPLOYER RETALIATE AGAINST ME FOR REPORTING A
VIOLATION TO THE OSLE?
No. An employer may not retaliate against you for exercising your legal
rights or for cooperating with the Office of Labor Standards
Enforcement (OSLE).
WHAT HAPPENS WHEN I REPORT A VIOLATION?

NOTE: GOOD
FAITH MISTAKES
ARE OKAY.
There is no
punishment for
mistakenly accusing
an employer of
violating the SFFCO,
so long as the
mistake was in good
faith (meaning you
weren’t being
malicious or trying
to abuse or harass
the employer).

First, San Francisco’s OLSE will investigate the employer. Second, if the OLSE
finds a violation, it may “order any appropriate relief.” This usually means that
the OLSE will give a warning or fine the employer:
• If it is the employer’s first violation, or if it occurs before August 13, 2015 (any
time in the first year that the SFFCO law is in effect), the OLSE will issue a
warning and give the employer a chance to change its policies.
• If there are additional violations after the first warning, the OLSE will begin
fining the employer for each violation.
• If the employer refuses to comply in a timely manner, OLSE may refer the
case to the City Attorney to file a civil action against the employer for relief.
CAN OLSE FORCE THE EMPLOYER TO GIVE ME THE JOB?
Probably not. In general, OLSE will NOT force an employer to hire someone,
even if the employer violated the law by rejecting you for the job. However,
OLSE has been very successful at resolving violations informally, simply by
talking with the employer and applicant. For example, OLSE might ask the
employer to reconsider your application, give you the opportunity to apply for
1944
another job, or let you submit a new application without prejudice.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Telephone call with Donna Mandel, Compliance Officer, SF Office of Labor Standards (Feb. 20, 2015). In addition,
the law has an unfortunate loophole that allows employers to lawfully reject an applicant if the conviction is
“directly-related” the position, and OLSE has NO authority to judge or enforce what qualifies as a “directly-related
conviction.” S.F. POLICE CODE §§ 4904(f), 4909(a)(1) (San Francisco’s Fair Chance Ordinance, effective Aug. 13, 2014).
1944

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APPENDIX H
City of Richmond, CA:
“Ban the Box” Ordinance
If you are applying to a job with a company located or doing business in the City
of Richmond, read this section!
WHAT IS THE CITY OF RICHMOND’S LOCAL “BAN THE BOX” ORDINANCE?
It is a law (a city ordinance) that prevents certain types of employers—all
contractors and subcontractors getting money from the City of Richmond, with
at 10 or more full-time employees—from asking about criminal convictions in the
1945
initial job application.
WHAT DOES THE ORDINANCE REQUIRE/PROHIBIT?
The Richmond “Ban the Box” law prohibits these types of employers (city-paid
contractors and subcontractors) from asking any questions regarding prior
criminal convictions on any printed or online employment application forms. The
ordinance prohibits employers from making “any inquiry into an applicant’s
1946
conviction history.”
SO AN EMPLOYER IN RICHMOND CAN NEVER ASK ABOUT MY CONVICTION
HISTORY?
Not exactly. There are exceptions:
Exception 1: The Richmond ordinance does not prohibit employers who are
required by state or federal law to conduct background checks from looking into
1947
your conviction history.
Exception 2: The ordinance does not prohibit employers looking to fill “Sensitive
Positions” from considering your conviction history. A “Sensitive” position is a
position that has one or more of the following job characteristics:
Regular unsupervised handling of large amounts of cash;
Regular unsupervised handling of other people’s private, personal, and
confidential information
Regular unsupervised contact with children under 16;
Regular unsupervised contact with the elderly or disabled;
Regular unsupervised responsibility for operating a bus, taxi, or limousine
used to transport the general public;
Any position in a business that requires regular unsupervised entry into
private premises;
Any position in a business that involves unsupervised handling of hazardous
substances.

•
•
•
•
•
•
•

WHEN CAN AN EMPLOYER ASK ABOUT MY CONVICTION HISTORY?
If the employer falls under one of the exceptions, the employer can only conduct
a background check after determining you are otherwise qualified for the
position AND after extending a conditional offer of employment to you.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1945
1946
1947

Municipal Code of the City of Richmond, Article II, Chapter 2.65.010.
Municipal Code of the City of Richmond, Article II, Chapter 2.65.040.
Municipal Code of the City of Richmond, Article II, Chapter 2.65.

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HOW CAN AN EMPLOYER CONSIDER MY CONVICTION HISTORY?
An employer can only consider convictions that are “substantially job-related,”
and must conduct an individualized assessment, considering: the amount of time
that has elapsed since the conviction; and any evidence of rehabilitation or other
mitigating circumstances.
WHAT IF THE EMPLOYER DENIES ME A JOB BECAUSE OF MY CONVICTION
HISTORY?
If an employer denies you a job because of a substantially job-related conviction,
it must: give you a written notice of rejection, including how the conviction is
related to the job; and give you the opportunity to correct any mistakes in your
record and offer evidence of rehabilitation or other mitigating circumstances.
WHAT CAN I DO IF AN EMPLOYER HAS VIOLATED THE RICHMOND
ORDINANCE?
The most obvious violation of the ordinance is failure to remove all questions
regarding criminal history on the initial job application. Although all employers
must file a copy of their standard application with the city as part of the formal
bidding process, mistakes can happen. If you think a covered employer in
Richmond has violated the ordinance, contact the City Manager (Bill Lindsay at
the time of publication):
450 Civic Center Plaza, Suite 300;
Richmond, CA 94804;
Phone: (510) 620-6512;
Fax: (510) 620-6542
WHAT HAPPENS TO AN EMPLOYER WHO VIOLATES THE RICHMOND
ORDINANCE?
Employers have 30 days from receiving the notice of a violation to comply with
the ordinance. The Richmond City Manager also has the legal authority to fine
employers, to suspend or terminate their lease or contract with the city, to deny
future leases or contracts, or to order any other legal remedy available.

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APPENDIX I
A Summary of Your Rights Under the
Fair Credit Reporting Act (FCRA)
Employers must give you this document with the Pre-Adverse Action letter
before taking any adverse action against you based on the results of your
background check.
See next page.

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Para informacion en espanol, visite www.ftc.gov/credit o escribe a la FTC Consumer Response
Center, Room 130-A 600 Pennsylvania Ave. N.W., Washington, D.C. 20580.
A Summary of Your Rights Under the Fair Credit Reporting Act
The federal Fair Credit Reporting Act (FCRA) promotes the accuracy, fairness, and privacy of
information in the files of consumer reporting agencies. There are many types of consumer reporting
agencies, including credit bureaus and specialty agencies (such as agencies that sell information about
check writing histories, medical records, and rental history records). Here is a summary of your major
rights under the FCRA. For more information, including information about additional rights, go
to www.ftc.gov/credit or write to: Consumer Response Center, Room 130-A, Federal Trade
Commission, 600 Pennsylvania Ave. N.W., Washington, D.C. 20580.
You must be told if information in your file has been used against you. Anyone who uses
a credit report or another type of consumer report to deny your application for credit,
insurance, or employment – or to take another adverse action against you – must tell you, and
must give you the name, address, and phone number of the agency that provided the
information.
You have the right to know what is in your file. You may request and obtain all the
information about you in the files of a consumer reporting agency (your “file disclosure”).
You will be required to provide proper identification, which may include your Social Security
number. In many cases, the disclosure will be free. You are entitled to a free file disclosure if:
a person has taken adverse action against you because of information in your credit
report;
you are the victim of identify theft and place a fraud alert in your file;
your file contains inaccurate information as a result of fraud;
you are on public assistance;
you are unemployed but expect to apply for employment within 60 days.
In addition, by September 2005 all consumers will be entitled to one free disclosure every 12
months upon request from each nationwide credit bureau and from nationwide specialty
consumer reporting agencies. See www.ftc.gov/credit for additional information.
You have the right to ask for a credit score. Credit scores are numerical summaries of your
credit-worthiness based on information from credit bureaus. You may request a credit score
from consumer reporting agencies that create scores or distribute scores used in residential real
property loans, but you will have to pay for it. In some mortgage transactions, you will receive
credit score information for free from the mortgage lender.
You have the right to dispute incomplete or inaccurate information. If you identify
information in your file that is incomplete or inaccurate, and report it to the consumer reporting
agency, the agency must investigate unless your dispute is frivolous. See www.ftc.gov/credit
for an explanation of dispute procedures.
Consumer reporting agencies must correct or delete inaccurate, incomplete, or
unverifiable information. Inaccurate, incomplete or unverifiable information must be
removed or corrected, usually within 30 days. However, a consumer reporting agency may
continue to report information it has verified as accurate.

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Consumer reporting agencies may not report outdated negative information. In most
cases, a consumer reporting agency may not report negative information that is more than
seven years old, or bankruptcies that are more than 10 years old.
Access to your file is limited. A consumer reporting agency may provide information about
you only to people with a valid need -- usually to consider an application with a creditor,
insurer, employer, landlord, or other business. The FCRA specifies those with a valid need for
access.
You must give your consent for reports to be provided to employers. A consumer
reporting agency may not give out information about you to your employer, or a potential
employer, without your written consent given to the employer. Written consent generally is
not required in the trucking industry. For more information, go to www.ftc.gov/credit.
You may limit “prescreened” offers of credit and insurance you get based on information
in your credit report. Unsolicited “prescreened” offers for credit and insurance must include
a toll-free phone number you can call if you choose to remove your name and address from the
lists these offers are based on. You may opt-out with the nationwide credit bureaus at
1-888-5-OPTOUT (1-888-567-8688).
You may seek damages from violators. If a consumer reporting agency, or, in some cases, a
user of consumer reports or a furnisher of information to a consumer reporting agency violates
the FCRA, you may be able to sue in state or federal court.
Identity theft victims and active duty military personnel have additional rights. For more
information, visit www.ftc.gov/credit.
States may enforce the FCRA, and many states have their own consumer reporting laws. In
some cases, you may have more rights under state law. For more information, contact your
state or local consumer protection agency or your state Attorney General. Federal enforcers
are:
TYPE OF BUSINESS:

CONTACT:

Consumer reporting agencies, creditors and others not listed below

Federal Trade Commission: Consumer Response Center - FCRA
Washington, DC 20580
1-877-382-4357

National banks, federal branches/agencies of foreign banks (word
"National" or initials "N.A." appear in or after bank's name)

Office of the Comptroller of the Currency
Compliance Management, Mail Stop 6-6
Washington, DC 20219
800-613-6743

Federal Reserve System member banks (except national banks,
and federal branches/agencies of foreign banks)

Federal Reserve Consumer Help (FRCH)
P O Box 1200
Minneapolis, MN 55480
Telephone: 888-851-1920
Website Address: www.federalreserveconsumerhelp.gov
Email Address: ConsumerHelp@FederalReserve.gov

Savings associations and federally chartered savings banks (word
"Federal" or initials "F.S.B." appear in federal institution's name)

Office of Thrift Supervision
Consumer Complaints
Washington, DC 20552

800-842-6929

Federal credit unions (words "Federal Credit Union" appear in
institution's name)

National Credit Union Administration
1775 Duke Street
Alexandria, VA 22314

703-519-4600

State-chartered banks that are not members of the Federal Reserve Federal Deposit Insurance Corporation
System
Consumer Response Center, 2345 Grand Avenue, Suite 100
Kansas City, Missouri 64108-2638
1-877-275-3342
Air, surface, or rail common carriers regulated by former Civil
Aeronautics Board or Interstate Commerce Commission

Department of Transportation , Office of Financial Management
Washington, DC 20590
202-366-1306

Activities subject to the Packers and Stockyards Act, 1921

Department of Agriculture

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APPENDIX J
Civil Rights Law that
Governs Employers’ Hiring Decisions:
Title VII
This section will explain Title VII, which is the federal civil rights law that governs
employers’ hiring and employment decisions related to your criminal record.
WHAT IS TITLE VII?
Title VII of the Civil Rights Act of 1964 is a federal law that prohibits
discrimination in employment on the basis of a person’s race, color, religion, sex,
1948
or national origin.
Title VII protects the rights of employees AND job
applicants against discrimination by employers.
WHAT EMPLOYERS HAVE TO FOLLOW TITLE VII RULES?
Title VII applies to all private and public employers with 15 or more employees.
This includes federal, state, and local governments; private and public colleges
1949
and universities; employment agencies; and labor organizations (unions).
WHAT IS CONSIDERED A VIOLATION OF TITLE VII?
Title VII violations can occur in two situations: where there is disparate treatment
(unequal treatment) OR where there is disparate impact (unequal impact).
Disparate Treatment Discrimination (Unequal Treatment):
An employer might be engaging in disparate treatment discrimination if they
treat you and your criminal history differently than they treat other applicants
with similar criminal records, because of your race, color, religion, sex, or
national origin. For example, if an employer rejects a Black applicant based on
his/her criminal record, but then hires a White applicant with similar
qualifications and a similar criminal record, the employer is likely violating Title
VII by illegally treating one person’s criminal history more negatively because of
his/her race. Similarly, an employer may be violating Title VII if they only do
background checks for Black or Latino applicants, but do not run background
checks on White applicants for the same position.
Disparate Impact Discrimination (Unequal Impact):
An employer might be engaging in disparate impact discrimination if they have
a policy of not hiring people with certain kinds of criminal histories, and that
policy is more harmful to people of a certain race, color, religion, sex, or national
origin. For example, employers who have a “blanket ban” policy that excludes all
applicants with criminal records would cause greater harm to Black and Latino
applicants, who are incarcerated at dramatically higher rates than people of
1950
other races in the United States.
However, an employer may legally exclude
certain job applicants based on their criminal history if the employer shows that
doing so is necessary for the specific position and business.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

42 U.S.C. § 2000e-2.
42 U.S.C. § 2000e-2.
1950
EEOC, Enforcement Guidance at § V(A)(2). See also Green v. Missouri Pac. R. Co., 523 F.2d 1290, 1298 (8th Cir.
1975).
1948
1949

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APPENDIX K
Civil Rights Law that Governs Employers’
Hiring Decisions:
EEOC Enforcement Guidance
This section will explain the Equal Employment Opportunity Commission (EEOC)
and the EEOC Enforcement Guidance. The EEOC is the federal government
agency responsible for enforcing the civil rights of job applicants and
employees. The EEOC Enforcement Guidance is a report that explains how and
when employers can consider your criminal record when deciding whether to
hire or fire you.
WHAT IS THE EQUAL EMPLOYMENT OPPORTUNITY COMMISSION (EEOC)?
The EEOC is a government agency that enforces Title VII and other civil rights
laws that prohibit illegal discrimination against job applicants and employees.
These laws protect you against unfair treatment based on your race, color,
religion, sex (including pregnancy), national origin, age (40 or older), disability, or
1951
genetic information. California law requires employers to fully follow all
federal laws regarding how employers can consider your criminal history when
hiring. This means that all employers must follow the EEOC guidelines, or else
1952
they have broken both federal and state law.
WHAT IS EEOC ENFORCEMENT GUIDANCE?
The EEOC investigates claims of discrimination by employers, and also issues
special guidelines and “enforcement guidance” reports for employers to help
1953
them follow Title VII and other civil rights laws.
The EEOC’s Enforcement
Guidance is a report that describes how and when employers can use your
criminal record to make employment decisions. The Enforcement Guidance says
that—before making any negative decision based on your record, such as
rejecting your job application—an employer must consider the nature of your
conviction, the type of job you’ve applied for, and how much time has passed
1954
since the conviction.
The employer should also consider your individual
situation and give you a chance to explain yourself, including the circumstances
1955
of your conviction and why you would still be a good employee.
However, the
Enforcement Guidance does NOT have the same power as an actual law—it is
basically a set of recommended rules for how employers should act and how
courts should enforce the law. Courts should consider the Enforcement
Guidance and may be persuaded to follow the EEOC’s recommendations, but
they are not required to follow these rules.
To read the complete EEOC Enforcement Guidance, see
http://www.eeoc.gov/laws/guidance/upload/arrest_conviction.pdf.
For more information about the EEOC Enforcement Guidance, see the following
resources:

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

42 U.S.C. § 2000e-4.
CAL. GOV’T CODE § 12940 et seq. See also, e.g., Rodriguez v. Airborne Express, 265 F.3d 890, 902 n.4 (9th Cir.
2001) (“[Courts] may look to federal authority regarding Title VII and similar civil rights statutes when interpreting
analogous statutory provisions of [California’s Fair Employment & Housing Act].”).
1953
42 U.S.C. § 2000e-4.
1954
EEOC Enforcement Guidance at § V(B)(6).
1955
EEOC Enforcement Guidance at § V(B)(9).
1951
1952

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•

•

What You Should Know About the EEOC and Arrest and Conviction
Records—
http://www.eeoc.gov/eeoc/newsroom/wysk/arrest_conviction_records.cfm
Questions and Answers About the EEOC Guidance on the Consideration of
Arrest and Conviction Records in Employment Decisions Under Title VII—
http://www.eeoc.gov/laws/guidance/qa_arrest_conviction.cfm

Note: The EEOC is a federal government agency and enforces federal civil rights
laws. California also has a state agency, called the Department of Fair
Employment and Housing (DFEH) that enforces state civil rights laws against
discrimination. For more information on how to enforce your rights through the
EEOC, see Appendix O, PG. 739. For more information on how to enforce your
rights through California’s Department of Fair Employment and Housing (DFEH),
see Appendix P, PG. 741.

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APPENDIX L
List of Equal Employment Opportunity
Commission (EEOC) Offices in California
You can contact any EEOC office to file a discrimination complaint or get
additional information about your situation.
CONTACT INFORMATION FOR EEOC OFFICES IN CALIFORNIA
EEOC
OFFICE

TELEPHONE / FAX

ADDRESS & HOURS

Fresno
Local
Office

Phone: 1-800-669-4000
Fax:
559-487-5053
TTY:
1-800-669-6820

2300 Tulare Street, Suite 215, Fresno, CA
93721

Los
Angeles
District
Office

Phone: 1-800-669-4000
Fax:
213-894-1118

Roybal Federal Building—255 East Temple St.,
4th Floor, Los Angeles, CA 90012

TTY:

Office Hours: Monday-Friday from 8:00 a.m. to
4:30 p.m. You can speak to an intake person
on a first come-first served basis. You may also
call to request a pre-complaint questionnaire.
The pre-complaint questionnaire will be mailed
and a phone interview will be scheduled upon
return of the completed questionnaire.

Oakland
Local
Office

Phone: 1-800-669-4000
Fax:
510-637-3235
TTY:
1-800-669-6820

1301 Clay Street, Suite 1170-N, Oakland, CA
94612-5217

San Diego
Local
Office

Phone: 1-800-669-4000
Fax:
619-557-7274

555 West Beech Street, Suite 504, San Diego,
CA 92101

TTY:

Office Hours: Monday—Friday from 8:30am to
5:00pm. Call first for information or to
schedule an appointment with the Intake
Officer.

San
Francisco
District
Office

Phone: 1-800-669-4000
VP:
510-735-8909
(Deaf/HoH callers only)

Office Hours: Monday—Friday from 8:00 a.m.
to 4:30 p.m. walk-in services available on
Tuesdays and Thursdays from 8:30-3 p.m. Call
first for information. The office sees the public
on a walk-in basis and no appointment is
necessary.

San Jose
Local
Office

Phone: 1-800-669-4000
Fax:
408-291-4539

96 N. Third St., Suite 250, San Jose, CA 95112

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Fax:

TTY:

1-800-669-6820

1-800-669-6820

415-522-3415

1-800-669-6820

Office Hours: Monday to Friday from 8:30 a.m.
to 5:00 p.m. Call first for information or to
schedule an appointment with the Intake
Officer.

Office Hours: Monday—Friday from 8:00 a.m.
to 4:30 p.m. Call first for information or
schedule an appointment. Walk-in services are
available on a first come, first served basis on
Tuesdays and Thursdays.

450 Golden Gate Avenue, 5 West, P.O Box
36025, San Francisco, CA 94102-3661

Office Hours: Monday—Friday from 8:00 a.m.
to 4:00 p.m. Call first for information or to
schedule an appointment.

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APPENDIX M
List of Dept. of Fair Employment &
Housing (DFEH) Offices in California
General DFEH Contact Information:
•
•
•

By telephone—call the DFEH Communication Center at (800) 884-1684
Online—http://www.dfeh.ca.gov/Contact.htm
By email— send you inquiry to: contact.center@dfeh.ca.gov

See Appendix P, PG. 741, for a complete explanation of the DFEH complaint
process.

CONTACT INFORMATION FOR DFEH OFFICES IN CALIFORNIA
DFEH OFFICE

ADDRESS

Bakersfield

4800 Stockdale Highway, Suite 215
Bakersfield, CA 93309

Los Angeles

320 West 4th Street, 10th Floor
Los Angeles, CA 90013

Bay Area Regional Office

39141 Civic Center Drive, Suite 250
Fremont, CA 94538

Fresno

1277 E. Alluvial Avenue, Suite 101
Fresno, CA 93720

Elk Grove

2218 Kausen Drive, Suite 100
Elk Grove, CA 95758

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APPENDIX N
California Department of Fair Employment
and Housing (DFEH):
“Pre-Complaint Inquiry” Form
To begin the process of filing a discrimination complaint with the California
Department of Fair Employment & Housing (DFEH), you must fill out and return
the DFEH “Pre-Complaint Inquiry” form to any DFEH office.
Get a copy of the “Pre-Complaint Inquiry” form in one of the following ways:
•
•
•

By Telephone: Call the DFEH Communication Center at (800) 884-1684
Online—http://houdiniesq.net/dfeh/intake/
By Email—Email your Pre-Complaint Inquiry form to
contact.center@dfeh.ca.gov.

Then send the completed “Pre-Complaint Inquiry” form to a DFEH office. There
is a full list of DFEH offices in California in Appendix M, PG. 737.
NOTE: Please see Appendix P, PG. 741 for a complete explanation of the DFEH
complaint process.

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APPENDIX O
Equal Employment Opportunity
Commission (EEOC) Complaint Process
This section will explain the process for filing a discrimination complaint with the
federal EEOC (Equal Employment Opportunity Commission).
STEP 1:

Filing a Complaint.

The process begins when you contact the EEOC and file a formal complaint,
called a "Charge of Discrimination," following the steps described in the
previous question. When you file your complaint, the EEOC will give you a copy
of the complaint, along with your charge number (which is the number used to
identify your case).
STEP 2: Notice to the Employer & Mediation.
Within 10 days, the EEOC will also send a notice and a copy of the charge to the
employer. The EEOC may ask both you and the employer to agree to participate
in mediation, which is an informal way of trying to resolve the problem instead of
filing a lawsuit.
What happens in mediation? Mediation is an informal way for people to resolve
problems with the help of a neutral person (a mediator) who is trained to help
people discuss their differences. If you and the employer agree to mediation, the
mediator will try to help you both reach a voluntary resolution (settlement
agreement). The mediator does not decide who is right or wrong or make a
decision about your complaint. Instead, the mediator helps you and the
employer work out your own solution to the problem.
Everything that happens in mediation is confidential and free. Mediation can also
be a faster way of resolving the dispute, since it usually takes less than 3 months
to settle a complaint through mediation. If you and the employer cannot reach
an agreement, the EEOC will continue to investigate your case just like any
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other.
STEP 3: Employer’s Response.
If your case is not sent to mediation, or if mediation doesn’t resolve the problem,
the EEOC will ask the employer to respond (submit a written answer) to your
complaint, and answer any questions that the EEOC has about your complaint.
1957
Then your complaint will be given to an EEOC investigator for investigation.
STEP 4: Investigation.
How the EEOC investigates a complaint depends on the specific facts of your
case and the kinds of information that will be helpful. In some cases, an EEOC
representative may visit the employer, interview other employees or witnesses,
gather documents, and/or take other steps to find out whether the employer
committed illegal discrimination. The EEOC may also interview you again, or ask
you for other documents or information—so it’s very important to cooperate and
keep in touch!
How long will the investigation take? How long the investigation takes depends
on a lot of different things, including the amount of information that the EEOC

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1956
1957

EEOC, Mediation, http://www.eeoc.gov/employees/mediation.cfm.
EEOC, The Charge Handling Process, http://www.eeoc.gov/employees/process.cfm.

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needs to get and evaluate. It may take up to 6 months or longer to investigate a
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charge.
What if the employer refuses to cooperate with the investigation? If an
employer refuses to cooperate with an EEOC investigation, the EEOC can issue
a subpoena (legal order) that requires the employer to turn over documents and
information and/or answer legal questions, and allows the EEOC to enter the
employer’s facilities.
STEP 5: Decision.
After the investigation is completed, the EEOC will issue a decision, and let you
and the employer know the results. The decision will say either:
• NO CAUSE—meaning the EEOC did NOT find any evidence that the employer
illegally discriminated against you; or
• REASONABLE CAUSE—meaning the EEOC thinks the employer DID illegally
discriminate against you.
STEP 6: Your Options After the EEOC Decision.
Depending on what the EEOC decision says, these are your options:
• NO CAUSE decision—If the EEOC does NOT find that the employer illegally
discriminated against you, it will send you a Right-to-Sue notice. This notice
allows you to file a lawsuit in court against the employer on your own.
(However, it may be difficult to win in court without the EEOC’s support.) You
must file a lawsuit within 90 days (approximately 3 months) of receiving the
Right-to-Sue Notice; otherwise it will be too late.
• REASONABLE CAUSE decision—If the EEOC finds that the employer DID
illegally discriminate against you, it will first try to reach a voluntary
settlement (called “conciliation”) with the employer. Conciliation usually
means that the employer agrees to pay you to cover the harm from the
discrimination.
• If the EEOC can’t reach a settlement with the employer, the EEOC’s lawyers
may decide to file a lawsuit against the employer on your behalf. If the EEOC
decides not to file a lawsuit, it will give you a Right-to-Sue notice, which
allows you to file a lawsuit against the employer on your own. You must file a
lawsuit within 90 days (approximately 3 months) of receiving the Right-to-Sue
1959
Notice; otherwise it will be too late.
THIS CHART SUMMARIZES WHAT HAPPENS AT THE END OF AN EEOC INVESTIGATION:

EEOC
Decision

What it means

What happens next

What your options are

No cause

EEOC does NOT
think that the
employer illegally
discriminated against
you

EEOC gives you Right-to-Sue notice

You can file a lawsuit against the
employer, but you only have 90
days

Reasonable
cause

EEOC thinks the
employer DID illegally
discriminate against
you

1) EEOC tries to settle with employer.
2) If they can’t settle:

If EEOC does NOT settle and does
NOT file a lawsuit, you can file a
lawsuit against the employer. You
must file the lawsuit within 90 days
of receiving the Right-to-Sue notice.

> EEOC files lawsuit against employer;
OR
> EEOC gives you Right-to-Sue notice

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1958
1959

EEOC, The Charge Handling Process, http://www.eeoc.gov/employees/process.cfm.
EEOC, The Charge Handling Process, http://www.eeoc.gov/employees/process.cfm.

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APPENDIX P
California Department of Fair Employment
and Housing (DFEH) Complaint Process
This section will explain the process for filing a discrimination complaint with the
1960
California DFEH (Department of Fair Employment & Housing). The DFEH
complaint process is very similar to the EEOC process, and can even happen at
the same time.
STEP 1:

Report Discrimination.

The DFEH process begins when you contact the DFEH to report the
discrimination and file a “Pre-Complaint Inquiry.” You can do this by mail, by
phone, or online:
• Mail: Fill out a Pre-Complaint Inquiry form and mail it to any local DFEH
1961
office. A listing of local DFEH offices can be found in Appendix M, PG. 737.
• Phone: Call the DFEH Communication Center at (800) 884-1684. If you have
a hearing impairment, call 800-884-1684 or TTY at (800) 700-2320 for
service.
• Online: Use the DFEH’s online system (available at
http://esq5.houdiniesq.com/dfeh/intake/), or email the Pre-Complaint Inquiry
form to contact.center@dfeh.ca.gov.
STEP 2: Filing an Official Complaint.
Within 10 days, a DFEH investigator will contact you to conduct an intake
interview, in order to learn more about your situation and the possible
discrimination. The investigator will decide whether state and federal civil rights
laws cover your situation.
If the DFEH accepts your complaint, the investigator will type up an official
complaint for you to sign. If the DFEH does NOT accept your complaint, it does
not mean that you weren’t treated unfairly—only that your situation is not
covered by the civil rights laws that the DFEH enforces.

Can I go straight to court and file a lawsuit on my own?
Under California law (just like Title VII), you must first file a complaint
with DFEH before you can go to court (this is called “exhausting your
1962
administrative remedies”).
However, once you file your complaint,
you can ask the DFEH for a Right-to-Sue notice right away, which allows
you to file a lawsuit in court on your own. Once you receive a Right-to1963
Sue notice, you have only 1 year to file your lawsuit in court.

!

IMPORTANT: If you request a Right-to-Sue notice, the DFEH will close
your case and will NOT investigate further (even if you later decide not to
file a lawsuit). Therefore, it is recommended that you only request a
Right-to-Sue notice if you have a lawyer to represent you in court.1964
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. GOV’T CODE § 12960 et seq. See also DFEH, Complaint Process,
http://www.dfeh.ca.gov/Complaints_ComplaintProcess.htm; DFEH, Employment Complaint Process,
http://www.dfeh.ca.gov/Complaints_eCompProc.htm.
1961
The form is also available at http://www.dfeh.ca.gov/res/docs/PCI/Pre Complaint Inquiry—Employment.pdf.
1962
CAL. GOV’T CODE § 12965(b).
1963
You must file the lawsuit within one year from the date on the Right-to-Sue notice, NOT from when you actually
receive the notice. See Hall v Goodwill Industries of Southern Cal., 193 Cal. App. 4th 718 (2011).
1964
DFEH, Instructions to Obtain a Right-to-Sue Notice, http://www.dfeh.ca.gov/res/docs/Complaints/Right to Sue
form (3 pages).pdf.
1960

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STEP 3: Employer’s Response.
The DFEH will give a copy of your complaint to the employer. The employer
must respond to the complaint, and has the opportunity to voluntarily resolve
the problem now or at any time during the rest of the case. The DFEH will also
file a copy of your complaint with the EEOC if it looks like Title VII covers your
1965
complaint.
STEP 4: Investigation.
The DFEH will investigate your complaint. The investigation may include
conducting interviews with people and gathering documents or other
information. The DFEH must complete its investigation within 1 year from the
date when you filed your official complaint. Before the DFEH notifies you of the
results of the investigation, it will give you and the employer the chance to
voluntarily resolve the problem by reaching an agreement through informal
negotiations (“mediation” or “conciliation”).
STEP 5: After the Investigation.
Depending on what the DFEH finds during its investigation, this is what will
happen next:
•

•

If the investigation shows that the employer DID violate the law, the DFEH
will try to resolve the complaint through “conciliation” (voluntary agreement)
with the employer (see Step 6).
If the investigation shows that the employer did NOT violate the law, the
DFEH will close your case and give you a Right-to-Sue notice. The Right-toSue notice allows you to file a lawsuit in court against the employer on your
own.

STEP 6: Conciliation.
During conciliation, the DFEH will attempt to resolve your complaint by reaching
a voluntary settlement agreement with the employer. (This is just like what
happens in the EEOC complaint process, after the EEOC makes a Reasonable
Cause decision.)
STEP 7: Possible Litigation.
If the DFEH cannot reach an agreement with the employer, it may decide to file a
lawsuit against the employer on your behalf. If the DFEH does not file a lawsuit
against the employer, it will give you a Right-to-Sue notice that allows you to file
1966
a lawsuit in court on your own.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

In most cases, state and federal civil rights laws are very similar, so any discrimination would violate both
California state law and federal Title VII. In these situations, the DFEH will also file your complaint with the EEOC.
However, there are some situations where California law provides MORE protection than federal law, so certain
behavior by an employer would only violate state law but NOT Title VII. In these situations, the DFEH will investigate
your complaint on its own, but will not file a copy of the complaint with the EEOC.
1966
CAL. GOV’T CODE § 12965(b).
1965

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APPENDIX Q
Professional/Occupational Licensing—
Appeals Process
This section will give you an overview of the appeals process if the licensing
board denies your application for a professional or occupational license.
Note: Each licensing agency is different! This is just a general overview
to prepare you for what the process is like, but it will be slightly different
in every situation.
STEP 1:

Notice.

If a licensing board decides to deny your license, it must notify you in one of the
1967
following ways:
•

•

Statement of Issues: The board files and serves you with a formal written
statement of the board’s decision to deny you a license. It must specify any
rules or statutes that you are not in compliance with, and the facts that
authorize the denial. The statement of issues initiates a formal hearing on the
1968
matter;
or
Informal notice of denial: The board serves you with a written notice of
denial, but does not file the notice with the court. The notice must state: the
1969
reason for the denial and your right to request a hearing on the denial.

STEP 2: Notice of Defense or Request for a Hearing
•

•

Notice of Defense: If the board files and serves you with a formal statement
of issues, you have 15 days to file what is called a “Notice of Defense” with
the board, which means you want a formal hearing on the matter. If you do
not file a Notice of Defense (or file it late, past the 15 days allowed), you will
give up your right to a hearing (called a “default”). The licensing board can
take whatever action it pleases, which is usually the harshest, i.e. denial of
your license, and you can’t challenge it. (Note: a licensing board has
discretion to allow/honor late notices and to grant a hearing after a default,
but chances are slim.) Typically a generic notice of default “postcard” is
included with the statement. This is the easiest way to preserve your right.
The notice of defense need only contain your address and signature to be
1970
sufficient.
Written Request for a Hearing: If the board does not file a formal statement
of issues, but instead sends you an informal notice of denial, you have 60
days to file a written request for a hearing with the board.

STEP 3: Stipulated Settlement.
In many cases, you can resolve your case before by agreeing to a voluntary
settlement (called a “stipulated settlement”) with the licensing board. A
stipulated settlement is sort of like a plea bargain—you admit to doing
something wrong, and you agree to accept a certain amount of punishment from
the board. Often this means that you will get your license on a conditional basis
for a certain amount of time (a “probation” period).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1967
1968
1969
1970

CAL. BUS. & PROF. CODE § 485(a).
CAL. GOV’T CODE § 11504.
CAL. BUS. & PROF. CODE § 485(b).
CAL. GOV’T CODE § 11506(d).

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You will have to meet certain requirements—such as participating in counseling
or other behavioral programs, taking specific classes or exams, having your work
monitored by a supervisor, getting drug tested, completing community service,
1971
and/or temporary suspension—during the probation period. If you complete
all the requirements, you can get your full license back. If you do NOT complete
1972
the requirements, the board can revoke your license.
A stipulated settlement can be complicated, so it is recommended to have a
lawyer represent you. You may be able to negotiate certain parts of the
settlement agreement—such as what wrongdoing you will admit to; what
conditions you will have to complete during the probation period; and how much
you will have to pay in recovery costs to get your license. If you reach this point,
you should think about what issues are most important to you—for example,
whether you want the shortest possible probation, or to pay the smallest
1973
amount, or to avoid admitting certain wrongdoing.
STEP 4: The Formal Hearing.
If you don’t reach a stipulated settlement with the licensing board, you will have
a formal administrative hearing. An administrative hearing is somewhat like a
trial. There will be a judge and a court reporter. The board will be represented
either by in-house counsel (its own attorney) or the California Attorney General
(like a prosecutor for the entire state). You are allowed to have an attorney also,
but you are not entitled to one, so you will have to pay for your attorney yourself.
Both sides will present evidence, put on witnesses (if necessary), and make
1974
arguments.
STEP 5: The Decision.
After the case is presented, the administrative law judge (ALJ) will issue an
1975
advisory decision within about 30 days.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See, e.g., In the Matter of the Accusation Against: Bertha Sandoval Arroyo, Case No. DBC 2008-85, available at
http://www.dbc.ca.gov/public/rda54530_20090827_stip.pdf; In the Matter of: Robert Sal Buchberger, Case No.
2000-151, available at http://rn.ca.gov/public/rn471462.pdf; In the Matter of the Accusation Against: Elizabeth
Oberholtzer, Case No. 1D 2009 67851, available at
http://www.ptbc.ca.gov/consumers/enforcement/oberholtzer_stip.pdf; In the Matter of the Accusation Against:
Kenneth E. Roberson, Ph.D., Case No. 1F-2007-182250, available at
http://www.psychboard.ca.gov/public/psy11958_2010_07_27_dec.pdf.pdf.
1972
You will have the right to notice and a hearing before the board revokes your license.
1973
See Suzanne Taylor, Cal. Dept. of Consumer Affairs—Board of Psychology, What Are Stipulated Settlements,
http://www.psychology.ca.gov/consumers/settlements.shtml. Frederick M. Ray, The Stipulated Settlement,
California License Law Blog, http://www.californialicenselawblog.com/tags/stipulated-settlement/.
1974
CAL. GOV’T CODE § 11500 et seq.
1975
See Frederick M. Ray, FAQs about California Licensing Matters, http://www.calicenselaw.com/Frequently-AskedQuestions.aspx.
1971

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APPENDIX R
Alternatives to Traditional Employment:
Self-Employment &
Starting Your Own Business
Many non-profit organizations and government agencies now offer assistance to
individuals who want to start their own business. Some of these organizations
specifically focus on helping people with criminal records to start their own
businesses.
Here are just a few examples—you can also contact the U.S. Small Business
Administration to ask about other resources in your area:
•

•

•

•

•

•

**Project ReMADE—Stanford Law School
o Email: team@ProjectReMADE.org
o Online: http://projectremade.org/
**Defy Ventures
o Email: recruiting@defyventures.org
o Online: http://defyventures.org/take-action/become-a-student/
Legal Services for Entrepreneurs—Lawyers Committee for Civil Rights
o Clinics in San Francisco, Oakland, and the Bay Area
o Telephone: (415) 543-9444 extension 217
o Email: lse@lccr.com
o Online: http://www.lccr.com/get-help/economic-justice-legal-servicesfor-entrepreneurs-lse/
Renaissance Entrepreneurship Center
o Locations in San Francisco, Richmond, East Palo Alto, and San Rafael
o Telephone: 415-541-8580
o Email: info@rencenter.org
o Online: http://www.rencenter.org/
SCORE (English and Spanish services available)
o Locations and workshops throughout California, as well as personal
mentoring and online resources:
! Locations—https://www.score.org/chapter-list
! Events—
https://www.score.org/localworkshops?loclatlong=California%2C+U
SA&lt=0&ln=0
! Mentoring—https://www.score.org/mentors
o Online: https://www.score.org/
U.S. Small Business Administration (SBA)—Small Business Development
Centers
a. Locations and events throughout California:
https://www.sba.gov/tools/localassistance/map/filter/789c2b2e492c49b57276b4b2323736b50000
2434042b

** (special programs for people with criminal records)

!

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HELPFUL HINT
Getting Funding for a Small Business
Some organizations and government agencies provide money to small
businesses and people trying to start their own business. Sometimes the funding
is through grants—money that you do NOT have to repay, but generally must
use in a certain way related to the business. More often, the funding is through
loans—money that you DO have to repay (usually with interest) in the future.
Unfortunately, it can be difficult to get loans depending on your conviction
record. One place to start is the U.S. Small Business Administration, which is
planning to change its policy to allow people on probation or parole to be
1976
eligible for microloans of up to $50,000.
However, you may still be denied if
you’ve been convicted of a felony “crime of moral turpitude” (i.e., involving
1977
violence or dishonesty).
For this reason, it may be helpful to contact one of
the entrepreneurship programs listed to see if they have suggestions or
resources to find funding.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1976
1977

79 C.F.R. § 14617.
13 C.F.R. § 120.110(n).

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APPENDIX S
Alternatives to Traditional Employment:
Becoming an Independent Contractor
If you’re considering working as an independent contractor, or if you want to
know more about the difference between an independent contractor and a
traditional employee, you should read this section to understand your rights and
responsibilities!
EMPLOYEES VS. INDEPENDENT CONTRACTORS—WHAT’S THE DIFFERENCE?
In some cases, an employer may claim that they are hiring you as an
independent contractor—NOT as a regular employee. Employers like to do this
this because it means they have fewer responsibilities, and you have fewer
rights, if you are an independent contractor—and often they will misclassify you
in order to avoid following the law! For this reason, it’s important that you know
the difference so that you don’t get exploited!
In general, you are an employee (NOT an independent contractor) if the
following are true:
•
•
•
•
•
•
•
•

The employer decides what tasks and assignments you do and directs your
work;
The employer controls how, where, and when you do your work;
The employer supervises your work, and you’re required to follow their
instructions;
The employer trains you in how to do your work;
The employer provides you with any necessary equipment, tools, and other
materials;
The work you do is a regular and necessary part of the employer’s business—
not just a side activity;
The employer sets your hours and pays you a set wage or salary;
The employer has the right to fire you—and you have the right to quit—at any
1978
time.

In addition, the law generally presumes that you are an employee—and NOT an
1979
independent contractor—unless specific factors show otherwise.

!

Important: Whether you are an employee or an independent contractor
depends on the specific details of your work situation and your
relationship with the employer—NOT on what the employer calls you!
WHAT ARE MY RIGHTS AS AN EMPLOYEE (VS. AN INDEPENDENT
CONTRACTOR)?
As an employee, you have the right to be paid minimum wage and overtime,
receive meal periods and rest breaks, and get reimbursed by the employer for
any work-related expenses (such as purchasing a required uniform). You also
have the right to receive workers compensation insurance, unemployment
insurance, disability insurance, and social security, and the employer is required

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1978
1979

CAL. LAB. CODE §§ 3351-53.
CAL. LAB. CODE § 3357.

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withhold payroll taxes (which are taken out of your paycheck) and send these
payments to the government.
WHAT ARE MY RESPONSIBILITIES AS AN INDEPENDENT CONTRACTOR (VS.
AN EMPLOYEE)?
On the other hand, if you are an independent contractor, you are NOT protected
by minimum wage, overtime, and other labor laws. In addition, you have certain
responsibilities—like filing self-employment taxes and reporting certain business
information to the government—that you must follow. For more information
about the legal responsibilities of an independent contractor, visit the EDD
website on independent contractor reporting at
http://www.edd.ca.gov/payroll_taxes/faq__california_independent_contractor_reporting.htm#Whohastoreport.
WHAT CAN I DO IF I THINK AN EMPLOYER HAS VIOLATED MY RIGHTS AS AN
EMPLOYEE OR WRONGLY CLASSIFIED ME AS AN INDEPENDENT
CONTRACTOR?
The California Division of Labor Standards Enforcement (DLSE) is the state
agency responsible for enforcing your rights in the workplace. If you think an
employer has violated your rights as an employee, wrongly classified you as an
independent contractor, and/or for more information, you can contact your local
DLSE office and speak with Deputy Labor Commissioner. To find a local DLSE
office near you, go to http://www.dir.ca.gov/dlse/DistrictOffices.htm or call 1-844LABOR-DIR (1-844-522-6734) for assistance.
For more information about your rights in the workplace, contact The Legal Aid
Society—Employment Law Center’s Workers Rights Clinic at 415-864-8208 (San
Francisco Bay Area) or 866-864-8208 (toll free in CA). Or contact a local legal
aid or employment attorney in your area.

For more information on employees and independent contracts, try
these helpful resources:
•

!
•
•

PAGE 748 OF 1210

Independent Contractor or Employee? How You Should Be Classified (The
Legal Aid Society—Employment Law Center)—
http://www.law.berkeley.edu/files/FAQ-IndepContractorsvsEmployees.pdf
FAQs—Independent Contractor (Cal. Division of Labor Standards
Enforcement)—http://www.dir.ca.gov/dlse/faq_independentcontractor.htm
Employment Determination Guide (Cal. Employment Development
Department)—http://www.edd.ca.gov/pdf_pub_ctr/de38.pdf

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APPENDIX T
Employment Rights for People with
Disabilities: Exceptions Where an
Employer Does Not Have to Provide a
Reasonable Accommodation to an
Employee
There are 3 situations where an employer is NOT required to provide a
reasonable accommodation for your disability: These are called the “Undue
Hardship” exception, the “Direct Threat” exception, and the exception for when
the employer shows that you CANNOT safely perform essential job functions.
This section will explain each of these exceptions.

(1) UNDUE HARDSHIP
An employer does NOT have to provide a reasonable accommodation that
would cause an "undue hardship" to the employer. There is no single definition
of “undue hardship”—it is a case-by-case question that depends on the type of
accommodation you’re requesting and the employer’s particular situation—e.g.,
what type of business it is, how many employees, the employer’s financial
situation, etc. In general, however, an undue hardship means that the
accommodation you want would be too expensive or difficult for the employer
make, or would have a significant impact on the employer’s business, or would
be too disruptive to the business or to the work of other employees.
However, an employer CANNOT claim undue hardship based on employees' (or
customers') fears or prejudices about your disability (e.g., fears or prejudices
about people with past addictions or mental health issues). Also, an employer
CANNOT claim that other employees would be upset about giving you an
accommodation. Finally, an employer CANNOT claim that making an
accommodation—for example, hiring someone with a criminal conviction—would
1980
cause their insurance premiums to go up.
Important: Even if an employer can show that the particular accommodation you
asked for would cause undue hardship, the employer may still have to provide a
different accommodation if there is some other type of accommodation that
1981
would also be effective and would NOT cause a hardship.

(2) DIRECT THREAT
The law does not require that an employer give you reasonable
accommodations for your disability if you would pose a significant danger to the
health or safety of yourself or others AND there is NO possible reasonable
1982
accommodation that would remove or reduce the risk of harm.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Cal. Dep’t of Fair Employment and Housing, Employment Discrimination Based on Disability,
http://www.dfeh.ca.gov/res/docs/Publications/Brochures/2015/DFEH-184.pdf.
1981
EEOC, Enforcement Guidance on Reasonable Accommodation and Undue Hardship Under the Americans with
Disabilities Act, No. 915.002 (Oct. 17, 2002).
1982
42 U.S.C. § 12111(3). See also Cal. Dep’t of Fair Employment and Housing, Employment Discrimination Based on
Disability, http://www.dfeh.ca.gov/res/docs/Publications/Brochures/2015/DFEH-184.pdf. The ADA permits
employers to require, as a job qualification, that an individual not “pose a direct threat to the health or safety of
other individuals in the workplace.” Moreover, an employer may impose such a requirement even if an employer’s
reliance on such a qualification might “screen out or tend to screen out or otherwise deny a job or benefit to an
individual with a disability.” 42 U.S.C. § 12113(a)-(b).
1980

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There are some protections for you if an employer is arguing that you would be
a direct threat to other employees, customers or property:
•
•

•

•

First, an employer must first make an individualized assessment of you and
1983
whether you can safely perform the essential functions of the job.
Second, an employer can only reject you if you pose a significant risk of harm
to others and there is a high likelihood that you will harm someone due to
1984
your condition.
Third, in deciding whether your conditions creates a significant risk of harm,
the employer must consider your individual situation and history of
substance/alcohol abuse—for example, whether you have a history of
harmful behavior due to your addiction—and CANNOT simply go on
assumptions or statistics about people who suffer from substance/alcohol
1985
addiction and their likelihood of relapse.
Fourth, the employer’s evaluation must rely on the most current medical
knowledge and the best available objective evidence—NOT simply
stereotypes, fears, or assumptions about people with mental illness,
1986
addiction, or other disabilities.

(3) CANNOT SAFELY PERFORM ESSENTIAL JOB FUNCTIONS.
Finally, an employer is NOT required to provide reasonable accommodations if
they can show that you are unable to safely perform essential job functions—in
other words, you are not qualified for the job—even with a reasonable
1987
accommodation.
However, an employer can only make this argument based
on the specific requirements of the job position you are seeking (not general
requirements for other types of jobs), and if there are NO reasonable
1988
accommodations that could enable you to do the work.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

29 C.F.R. § 1630.2(r). The employer must consider factors including: the duration of the risk; the nature and
severity of the potential harm; the likelihood that the potential harm will occur; and the imminence of the potential
harm.
1984
29 C.F.R. § 1630.2(r). See also EEOC, EEOC Technical Assistance Manual on the ADA, § 8.7. An employer may
not deny employment to someone with a disability “merely because of a slightly increased risk. The risk can only be
considered when it poses a significant risk, i.e., high probability of substantial harm; a speculative or remote risk is
insufficient.”
1985
See EEOC, EEOC Technical Assistance Manual on the ADA, § 8.7. “An employer cannot prove a ‘high
probability’ of substantial harm simply by referring to statistics indicating the likelihood that addicts or alcoholics in
general have a specific probability of suffering a relapse. A showing of ‘significant risk of substantial harm’ must be
based upon an assessment of the particular individual and his/her history of substance abuse and the specific nature
of the job to be performed.”
1986
29 C.F.R. § 1630.2(r).
1987
CAL. GOV’T CODE § 12940(a)(1)-(2).
1988
See Cal. Dep’t of Fair Employment and Housing, Disability Discrimination and Reasonable Accommodation,
http://www.dfeh.ca.gov/res/docs/ppt/Disability%20Discrimination%20and%20Reasonable%20Accommodation%20p
c%202-5-13.ppt.
1983

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APPENDIX U
Employment Rights for People with
Disabilities: Requesting a Reasonable
Accommodation for Your Disability
If an employer’s hiring/employment policy causes your job application to be
rejected (or causes other adverse action against you) based on a conviction that
was caused by your disability, you have the right to request a “reasonable
accommodation” so that you can be considered for the job just like other
applicants.
To request an accommodation, the law only requires you to tell the
employer that you need an accommodation for a reason related to a
medical condition. You do NOT have to put your request in writing, and
you do NOT have to use any special legal language—you can explain
your request in normal words. You can request an accommodation at
any time during the job application process or after you begin
1989
working.
HOWEVER, because it is generally believed that employers are less
likely to be sympathetic and less willing to change policies regarding
criminal convictions (even where the conviction was caused by your
disability), it is recommended that you give the employer a WRITTEN
LETTER requesting the reasonable accommodation. (Be sure to make a
photocopy for yourself before sending the letter). This will make it more
difficult for the employer to ignore your request, and you will have
documentation in case the employer denies it.
It’s recommended that your letter clearly include ALL of the following:

HELPFUL HINT:
You can also have
someone else talk
to the employer for
you, to ask for the
accommodation
you need. In this
case, you may
want to ask your
case manager,
social worker, legal
aid attorney, or
another trusted
person who is
helping you with
your job search, to
speak with the
employer on your
behalf.

1) Explain that you have a disability, and what that disability is.
2) Include any documentation of your disability and treatment.
3) Clearly state the accommodation you are requesting (for example, that you
are asking the employer to make an exception to the hiring policy that would
exclude you due to a criminal conviction that was caused by your disability,
or you are asking for time off to attend treatment).
4) Explain the reason that you are requesting the accommodation:
a. Here, you could say that an exception from criminal history policy is
NECESSARY to give you an equal opportunity to participate in the
job.
b. Explain the connection (meaning the relationship or “nexus”)
between the requested accommodation and your disability.
c. Explain how your criminal conduct was the result of the mental
illness and/or past substance abuse (for example, state that you
were convicted of drug possession because you were addicted to
drugs, but you have successfully completed rehab).
d. It is helpful and more persuasive if you have a doctor or service
provider submit a letter explaining why your disability requires a
reasonable accommodation.
For a sample letter requesting reasonable accommodation for a disability, see
Appendix U, PG. 752.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

EEOC Enforcement Guidance on Reasonable Accommodation and Undue Hardship Under the Americans with
Disabilities Act, No. 915.002, Oct. 17, 2002.
1989

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APPENDIX V
Employment Rights for People with
Disabilities: Sample Letter Requesting
Reasonable Accommodation
Here is a sample letter to request a reasonable accommodation for your
disability. This particular letter shows an example of how to request a change in
policy (for example, asking the employer to make an exception to their hiring
policy regarding prior criminal convictions), for a job applicant whose conviction
was caused by his/her disability (i.e., prior substance abuse that led to a drug
conviction).
For sample letters to request other types of reasonable accommodations
(including changes in work schedule, equipment and physical spaces, and time
off from work), visit Legal Aid Society Employment Law Center at https://laselc.org/sample-letters-and-forms.

!

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SAMPLE!REQUEST!FOR!ACCOMMODATION
Modified'Workplace'Policy'
MEMORANDUM!
TO:!!

[Name'of'Human'Resources'director,'supervisor,'or'manager]'

FROM:![Your'name]!
RE:!

!

Request!for!Reasonable!Accommodation!

DATE:! [Today’s'date]! !
!
!
Dear![Name]:!!
This!is!a!request!for!reasonable!accommodation!under!the!Americans!with!
Disabilities!Act!(ADA)!and!the!California!Fair!Employment!and!Housing!Act!
(FEHA).!If!you!are!not!the!appropriate!person!to!receive!this!request,!please!
notify!me!immediately,!and!forward!this!letter!on!to!the!person!who!handles!
requests!for!reasonable!accommodation.!!
I!am!a!person!with!a!“disability”!under!state!and!federal!laws.!My!
condition!is:'[state'the'name'or'a'description'of'your'condition'using'
language'you'feel'comfortable'with—see'below'for'additional'information].!
Due!to!my!disability,!I!am!requesting!the!following!modification!of!
workplace!policy:![describe'what'change'in'workplace'policy'or'rule'you'
want'and'how'it'relates'to'your'disability—see'examples'below].!!
According!to!the!ADA!and!the!federal!Equal!Employment!Opportunity!
Commission!(EEOC),!modified!policies!are!a!form!of!reasonable!
accommodation.!See!42!U.S.C.!§!12111(9)(B)!and!the!section!entitled!
“Modified!Workplace!Policies”!in!EEOC'Enforcement'Guidance'on'Reasonable'
Accommodation'and'Undue'Hardship'Under'the'Americans'with'Disabilities'
Act,!both!available!at!www.eeoc.gov.!!
Please!let!me!know!if!you!require!reasonable!medical!documentation!of!my!
condition,!or!if!you!wish!to!propose!alternative!accommodations!to!those!I!
have!requested.!I!am!ready!and!willing!to!engage!in!the!interactive!process!
with!you!so!that!I!may!continue!in!my!employment.!
Thank!you.!!
Sincerely!
[Your'signature]'
[Your'name]!

!

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!

ADDITIONAL INFORMATION ABOUT DESCRIBING YOUR DISABILITY:
If your disability is prior substance abuse, you should make clear that you are no
longer using illegal drugs, and explain what rehabilitation or treatment you have
received for your disability.
EXAMPLES OF CHANGES IN WORKPLACE POLICIES OR RULES, AND HOW
THEY MAY RELATE TO A DISABILITY:
•

•
•
•
•
•
•

PAGE 754 OF 1210

“I am requesting an exception to your policy against hiring people with
certain types of criminal convictions. Due to my prior drug addiction, I was
convicted of drug possession several years ago. However, I have successfully
completed rehabilitation and stayed clean and sober for 3 years.”
“Due to my rehabilitation treatments, I need to constantly drink water. I would
like to carry water on the floor.”
“I would like to use a stool while working the checkout station because of my
knee and ankle injury.”
“Because of my disability, I have difficulty concentrating and can get startled
by noises around me. I would like to listen to music on headphones at work.”
“Because of my diabetes, I sometimes need to eat immediately. I would like
to keep food at my desk.”
“Because of my disability, I need unscheduled bathroom breaks—I cannot
wait for my scheduled break.”
“I need an extension of leave beyond what is provided in our employee
handbook.”

ROADMAP TO REENTRY

COURT-ORDERED
DEBT
The COURT-ORDERED DEBT CHAPTER gives a basic overview of courtordered debt to help you understand the money you may owe because
of your past court involvement. You will learn the different kinds of courtordered debt, what happens to these debts while you are incarcerated,
and how these debts can affect you when you return to the community.

DISCLAIMER – YOUR RESPONSIBILITY WHEN USING THIS GUIDE: When putting together the
Roadmap to Reentry: A California Legal Guide, we did our best to give you useful and accurate
information because we know that people who are currently or formerly incarcerated often have
difficulty getting legal information, and we cannot provide specific advice to every person who
requests it. The laws change frequently and are subject to differing interpretations. We do not
always have the resources to make changes to this informational material every time the law
changes. If you use information from the Roadmap to Reentry legal guide, it is your responsibility to
make sure that the law has not changed and applies to your particular situation. If you are
incarcerated, most of the materials you need should be available in your institution’s law library. The
Roadmap to Reentry guide is not intending to give legal advice, but rather legal information. No
attorney-client relationship is created by using any information in this guide. You should always
consult your own attorney if you need legal advice specific to your situation.

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TABLE OF CONTENTS
I.! INTRODUCTION .................................................................................................758!
What is court-ordered debt and why do I need to know about it? .... 758!
I’ve never received anything telling me that I owe money; so I must
not have any court-ordered debt, right? ............................................. 758!
What are the different types of court ordered debt? ....................... 759!
II.! A BASIC OVERVIEW OF COURT-ORDERED DEBT RESTITUTION ............. 761!
Restitution ......................................................................................................... 761!
What is restitution?..................................................................................... 761!
Is it possible to owe more than one type of restitution? ................. 762!
Who is considered a “victim” to recover victim restitution? ........... 762!
Court fines and penalties ................................................................................ 763!
What are court fines and penalties? ..................................................... 763!
What should I know about court fines and penalties? ..................... 763!
Court administrative fees ............................................................................... 763!
What are court administrative fees? ..................................................... 763!
What should I know about court administrative fees? ..................... 763!
What happens to my court-ordered debt while I’m incarcerated? .... 764!
Will my debts be sent to “collections”? ............................................... 765!
How can my court-ordered debt affect me while I am on a term of
supervision? ................................................................................................ 765!
Which types of court-ordered debt are likely to be conditions of my
probation? ................................................................................................... 767!
What happens if I don't pay off these debts? .................................... 768!
What are my options if my wages are garnished or there is a lien on
my property? ............................................................................................... 770!
Traffic fines and tickets ....................................................................................771!
What are traffic fines and tickets? .......................................................... 771!
How do I know which type of ticket I have? ........................................ 771!
What could happen if I get a new ticket? ............................................ 772!
What could happen if I don’t pay my traffic fines or if I don’t appear
for my court date? ..................................................................................... 774!
I think I had an old traffic ticket, but I can’t remember or can’t find it.
What are my options? .............................................................................. 775!
What are my options if the DMV told me I have an outstanding traffic
ticket? ............................................................................................................ 776!
I had a traffic ticket that was pending (unresolved) when I was
incarcerated. What might have happened to it? ............................... 776!
I think my traffic ticket qualifies for dismissal. How can I get it
dismissed?................................................................................................... 777!
What if I owe court-ordered debt for a federal offense? ................ 778!
III.! TAKING CONTROL OF YOUR COURT-ORDERED DEBT .............................. 779!
How do I find out how much court-ordered debt I owe? ................ 779!
Restitution .........................................................................................................780!
I haven’t ever received notice that I owe any money for restitution,
so I probably don’t, right?........................................................................ 780!
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Court fines and penalties and court administrative fees ........................... 781!
How do I find out if I have any court fines and fees? ....................... 781!
Traffic fines & fees ........................................................................................... 782!
How do I find out how much I owe in traffic fines? .......................... 782!
IV.! PAYING OFF OR “SATISFYING” MY COURT-ORDERED DEBT .................. 784!
Restitution ......................................................................................................... 784!
How do I pay restitution while incarcerated? .....................................784!
How do I pay restitution while on a state parol? ...............................784!
How do I pay restitution while on probation, PRCS, or mandatory
supervision in California? ........................................................................ 785!
What will happen if I can’t pay the restitution? ................................. 786!
Court fines, penalties, administrative fees ................................................... 787!
How do I pay off the court fines, penalties, and administrative fees? .. 787!
What might happen if I can’t pay my debt?........................................ 788!
Traffic fines and fees .......................................................................................789!
How do I pay my traffic fines? ............................................................... 789!
What options do I have if I cannot pay my traffic fines? .................. 791!
What options do I have to reduce or forgive my court-ordered
debt? ............................................................................................................. 791!
V.! CONCLUSION .................................................................................................... 794!
COURT-ORDERED DEBT APPENDIX .....................................................................795!

WHAT WILL I LEARN IN THE
COURT-ORDERED DEBT
CHAPTER?
•
•
•
•
•

A basic overview of the different types of court-ordered debt
How different types of court-ordered debt can affect you based
on your situation
Ways to reduce your debt, if possible
What can happen if you don’t pay off your court-ordered debt
Other ways that court-ordered debt could affect your reentry

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I.

INTRODUCTION

Many people coming home from prison or jail are surprised to find that they owe
lots of money to various courts, agencies, and people. The money you owe can
make it very hard to get back on your feet, which can leave you feeling
frustrated and discouraged.
Unfortunately, this Chapter includes a lot of BAD NEWS about court-ordered
debt because most of the laws that control court-ordered debt are NOT in your
favor. However, reentry advocates—and even some politicians— who realize that
this kind of debt harms not only formerly incarcerated people who are trying to
start over, but also the communities they are returning to, are working to change
these laws. In the meantime, this Chapter will give you some important
information to help you better understand your rights, responsibilities, and
opportunities when it comes to managing money that you owe due to your past
court involvement (referred to in the rest of the Chapter as “court-ordered
debt”).

WHAT IS COURT-ORDERED DEBT AND WHY DO I NEED TO KNOW
ABOUT IT?
Court-ordered debt is money that you may owe because of some involvement
you had with the criminal justice system—whether you were convicted,
acquitted, your charges were dismissed, or you were only ever arrested. You
may owe this money to the court itself, to the county or other government
agency, to a victim of your crime, or even to a collection agency.
If you were convicted of a crime, you most likely owe court-related costs, or
owed them at one point. But even if you were never convicted of anything, the
court can still make you pay other fees, such as jail booking fees, public
defender fees, and fees associated with minor offenses called infractions. It is
important that you know about and understand any court-ordered debt you owe,
because this debt can make it difficult for you to move forward with your life in
many different ways.

I’VE NEVER RECEIVED ANYTHING TELLING ME THAT I OWE
MONEY; SO I MUST NOT HAVE ANY COURT-ORDERED DEBT,
RIGHT?
Absolutely not! People move; paperwork gets lost in the mail; and addresses get
written down incorrectly all the time. Just because you haven’t heard anything,
doesn’t mean that you’re in the clear. Remember, if you have had any
involvement with the criminal justice system, especially if you have a conviction,
you were most likely ordered to pay money of some kind at some point. If you
don’t take steps to find out about and take care of your debt, there could be
serious consequences.
Even if you are 100% positive that you have paid off your debt entirely, mistakes
can be made. Your payments may not have been properly recorded, or your
name could be attached to someone else’s debt! It is better to check and be safe
than to assume and be sorry.

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WHAT ARE THE DIFFERENT TYPES OF COURT ORDERED DEBT?
There are three main types of court-ordered debt: (1) restitution; (2) fines and
penalties; and (3) administrative fees. (You may also have debt from unpaid
traffic fines and tickets. These are discussed later in this Chapter, on PG. 771). It
can be hard to keep track of the different types of debt; this chart gives an
overview of the important information about each one.

TYPES OF COURT ORDERED DEBT
NAME OF COURTORDERED DEBT

PURPOSE OF
THE DEBT

CAN THE DEBT BE
FORGIVEN (a.k.a.
“VACATED” OR
“DISMISSED”) OR
REDUCED?

CAN THE DEBT BE A WHAT YOU MAY SEE
CONDITION OF MY
ON YOUR BILL
SUPERVISION?

1991

RESTITUTION:
(1) VICTIM RESTITUTION

TO REPAY THE
VICTIM OF A
CRIME FOR THE
HARM HE OR
SHE SUFFERED.

NO. CANNOT BE
FORGIVEN OR
1990
REDUCED.

YES. MANDATORY.

RESTITUTION:
(2) RESTITUTION FINES

TO REPAY YOUR
DEBT TO
SOCIETY

MAY BE FORGIVEN OR
REDUCED IN EXCHANGE
FOR COMMUNITY
SERVICE.

YES.

Restitution Fine;
Probation Revocation
Restitution Fine;
Hate Crime Restitution;
Emergency Response
Costs Restitution

COURT FINES &
PENALTIES

FINANCIAL
PUNISHMENT
FOR YOUR
CRIMINAL
CONVICTION

YES, BUT THE JUDGE
GETS TO DECIDE BASED
ON YOUR
REHABILITATION
EFFORTS.

YES, BUT THE JUDGE
1993
GETS TO DECIDE.

Domestic Violence Fund
Payment;

TO PAY FOR THE
COSTS OF
RUNNING THE
COURTS AND
OTHER
CRIMINAL
JUSTICE
AGENCIES

YES. USUALLY THE FIRST
TYPE OF DEBT TO BE
FORGIVEN OR REDUCED.

NO,
WITH ONE
EXCEPTION: CRIMINAL
JUSTICE
ADMINISTRATION FEE
(“JAIL BOOKING”
1995
FEE).

ADMINISTRATIVE FEES

SOME ARE BASED ONLY
ON YOUR ABILITY TO
PAY.

TRAFFIC FINES & FEES

1992

Victim Restitution;
Restitution Fine;
Direct orders of
Restitution

Alcohol Abuse Education
& Prevention Penalty
Assessment
1994

Probation Supervision
Costs;
Administrative
Screening Fee;
Criminal Justice
Administration Fee

SEE TRAFFIC FINES SECTION ON PG. 771

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. CONST., art. I, § 28(b)(13) (Marsy’s Law).
CAL. PENAL CODE § 1202.4(m) (restitution payments are a mandatory condition of probation.)
See CAL. PENAL CODE §§ 422.85, 1203.1(e), 1214.5 (examples of restitution fines that may be ordered as conditions
of probation).
1993
CAL. PENAL CODE § 1203.097(a)(5)) (domestic violence fine); CAL. VEH. CODE § 23645 (DUI fines).
1994
See People v. Pacheco, 187 Cal. App. 4th 1392, 1402-03 (2010) (collateral, non-punitive fines and fees are not
permissible as conditions of probation; court security fee not permissible condition of probation); People v. Hart, 65
Cal. App. 4th 902, 906-07 (1998) (attorneys’ fees and probation costs not permissible conditions of probation);
People v. Flores, 169 Cal. App. 4th 568, 578 (2003) (costs of probation supervision, presentence investigation, and
attorneys’ fees not permissible conditions of probation).
1995
CAL. GOV’T CODE §§ 29550(c), 29550.1, 29550.2.
1990
1991
1992

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!

IMPORTANT NOTE ABOUT THE NAMES & PURPOSES OF THESE
COURT-ORDERED DEBTS:
The names for different types of court-ordered debt can be confusing.
The chart above tries to explain the four basic types of court-ordered
debt, but the names you see on your actual court paperwork and
“sentencing order” may be different. For example, sometimes the same
word (for example, “fee” or “assessment”) is used to mean different
things by different courts in different counties. If you have any questions
about your court-ordered debts and what they mean, ask your public
defender or the lawyer who represented you in your case.
Because each type of court-ordered debt has a different purpose, you
will probably owe many different types of debt (restitution, fines, and
fees) even if you have only one conviction. If you have more than one
conviction, you will likely owe separate sets of court-ordered debt for
each conviction.

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II.

A BASIC OVERVIEW OF
COURT-ORDERED DEBT
RESTITUTION

RESTITUTION
WHAT IS RESTITUTION?
Restitution is money that you are ordered to pay to victims and to the state if
you are convicted of a crime. Restitution is intended to repay the victims for the
harm they suffered, and to repay your debt to society. Judges are required to
order restitution if you are convicted of a crime, regardless of whether you can
afford to pay. Restitution is the most serious type of court-ordered debt and the
hardest to get rid of.1996

TYPES OF RESTITUTION:
To make things even more complicated, there are different types of restitution—each with
a different purpose. The three main types of restitution are:
(1) VICTIM RESTITUTION (also called Direct Orders of Restitution): Victim restitution goes
to the victim(s) of your crime to repay any harm caused or losses suffered because of
your actions. If your crime involved injury to a person, property damage, or economic
1997
loss, you will have to pay victim restitution.
Usually the court orders victim restitution at the time of sentencing, however, the court
1998
can order it at any time afterward, if needed.
This means that even if the judge did
NOT order victim restitution when you were sentenced, he or she can still order it later—
and you will still have to pay it!
(2) RESTITUTION FINES: Restitution fines go to the state to repay your debt to society.
Everyone who is convicted of a crime MUST pay a restitution fine, so if you have a
conviction—regardless of whether it was a misdemeanor or a felony—you have to pay a
1999
restitution fine.
In some situations, even if you were never convicted, you may still have to pay a
restitution fine. For example, if your case was dismissed because you successfully
completed a diversion program (i.e. drug treatment or anger management) or you
received a deferred entry of judgment (DEJ), you will still be ordered to pay a restitution
2000
fine.
Also, if some of your charges were dismissed as part of a plea bargain, you still
2001
may have to pay restitution on the dismissed charges!
(3) REVOCATION RESTITUTION FINES: If you are sentenced to any type of supervision
(parole, mandatory supervision, Post Release Community Supervision, or probation), the
court will impose a revocation restitution fine. However, this fine is suspended unless you
violate the conditions of your supervision and your supervision is revoked. This means
2002
you do not have to pay this fine unless your supervision is revoked.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 1202.4(b)-(g).
CAL. PENAL CODE § 1202.4(a) & (f).
CAL. PENAL CODE §§ 1202.4(f), 1202.46 (The court may order victim restitution at a later time if the victim’s losses
are not yet determined at the time of sentencing).
1999
CAL. PENAL CODE § 1202.4(b).
2000
CAL. PENAL CODE § 1001.90.
2001
CAL. PENAL CODE § 1192.3; People v. Harvey, 25 Cal.3d 754 (1979).
2002
CAL. PENAL CODE §§ 1202.4, 1202.44, 1202.45.
1996
1997
1998

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!

IMPORTANT NOTE ABOUT VICTIM RESTITUTION: Victim restitution
never goes away. It is not discharged in bankruptcy,2003 and you will
continue to owe any unpaid victim restitution even after you have
completed your sentence and term of supervision. The court will
ALMOST NEVER waive or excuse your restitution, or let you do
community service instead of paying. Unless the court finds
“extraordinary and compelling reasons” to let you out of your restitution
obligation, the only way to get rid of victim restitution is to pay it off.
Unfortunately, the fact that you can’t afford to pay it off is not an
“extraordinary and compelling reason!”2004

IS IT POSSIBLE TO OWE MORE THAN ONE TYPE OF
RESTITUTION?
Yes. In fact, it is likely that you owe more than one type of restitution. Almost
everyone with a conviction will owe victim restitution. Most people will owe
BOTH victim restitution AND restitution fines.2005 Anyone whose supervision was
permanently revoked may owe all three types of restitution.
Also, if you have convictions from more than one case, the court can order all
three types of restitution in each case.2006

WHO IS CONSIDERED A “VICTIM” TO RECOVER VICTIM
RESTITUTION?
The law defines “victim” VERY broadly. Even if no one was physically hurt during
the crime, the court can order you to pay for property damage or economic
losses caused by the crime. You could be ordered to pay restitution to ANY of
the following:
•

•
•
•
•

!

A specific person (or people) who suffered physical or emotional harm, had
property taken or damaged, or had to pay out-of-pocket expenses as a
result of the crime;
The family of the person harmed;
The Victim Compensation & Government Claims Board (Restitution Fund);
A business that was damaged or had money losses due the crime; and/or
A government agency that was damaged or had money losses, suffered
vandalism damage, or had to clean or repair graffiti caused by the crime.2007

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

11 U.S.C. § 523(a)(7).
CAL. PENAL CODE §§ 1202.4, 1214.
CAL. PENAL CODE 1202.4(a)(3).
2006
CAL. DEP’T OF CORR. & REHAB., An Adult Offender’s Guide to Restitution,
http://www.cdcr.ca.gov/victim_services/docs/adult_offender_guide.pdf.
2007
CAL. PENAL CODE § 1202.4(f).
2003
2004
2005

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COURT FINES AND PENALTIES
WHAT ARE COURT FINES AND PENALTIES?
Court fines and penalties are money you must pay as part of your punishment
for your conviction, in addition to the rest of your sentence.2008 The amount you
have to pay will depend on the specific offense(s) you were convicted of, and the
total amount you owe for other fines.

!

IMPORTANT: You may be charged multiple sets of fines and penalties

for the same conviction, because the state and county can each fine you
separately for the offense.2009

WHAT SHOULD I KNOW ABOUT COURT FINES AND PENALTIES?
1)

2010

Some fines and penalties can be ordered as conditions of your probation.
(See PG. 767 for fines and penalties that are conditions of your probation.)

2) Some fines and penalties are determined based on your ability to pay, which
means the court must find that you can afford to pay the fine BEFORE
2011
2012
imposing them. Others are imposed regardless of your ability to pay.

COURT ADMINISTRATIVE FEES
WHAT ARE COURT ADMINISTRATIVE FEES?
Administrative fees are money you pay to the courts, county, and other agencies
to cover the day-to-day costs of running the courts and criminal justice system.
Administrative fees are used to pay for things like court security, probation
supervision, public defender fees, jail time, and debt collection.2013 Some fees are
imposed by the court; other fees are imposed by the county or by other
agencies.

WHAT SHOULD I KNOW ABOUT COURT ADMINISTRATIVE FEES?
1)

Administrative fees generally CANNOT be conditions of probation, because
2014
they are NOT intended as punishment.
One exception to this rule is the

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE §§ 1202.4(a), 1464; CAL. GOV’T CODE § 76000; see also CAL. PENAL CODE § 672 (court has
discretion to impose fines in addition to imprisonment, even where no fine is provided by the statute of conviction).
2009
CAL. PENAL CODE §§ 1202.4(a), 1464; CAL. GOV’T CODE § 76000. The state can also charge additional fines for
specific types of offenses. See CAL. HEALTH & SAFETY CODE § 11372.5(a) (drug offenses); CAL. PENAL CODE §§ 230.3 (sex
offenses), 647.1 (prostitution and lewd conduct), 1202.5 (theft offenses); CAL. VEH. CODE § 23645 (DUI offenses).
2010
CAL. PENAL CODE § 1203.1(a).
2011
See CAL. VEH. CODE § 23645 (DUI offenses); CAL. PENAL CODE § 1202.5 (theft offenses).
2012
CAL. PENAL CODE § 1202.4(c) (court not required to consider inability to pay restitution fine unless fine is greater
than the statutory minimum); see also People v. Long, 164 Cal. App. 3d 820 (1985) (providing that the trial court did
not err in imposing a criminal restitution fine without considering defendant’s ability to pay).
2013
See CAL. GOV’T CODE §§ 27712 (public defender fees), 29550, 29550.1, 29550.2 (jail booking fees); CAL. PENAL
CODE §§ 987.5; 987.8 (presentence investigation costs and attorney fees), 1463.07 (administrative screening fee),
1465.8 (court security fee), 2085.5(e), (f), (i) (administrative fee for collection of restitution payments by CDCR and/or
county jail).
2014
People v. Pacheco, 187 Cal. App. 4th 1392, 1402-03 (2010) (collateral, non-punitive fines and fees are not
permissible as conditions of probation; court security fee not permissible condition of probation); People v. Hart, 65
Cal. App. 4th 902, 906-07 (1998) (attorneys’ fees and probation costs not permissible conditions of probation);
People v. Flores, 169 Cal. App. 4th 568, 578 (2003) (costs of probation supervision, presentence investigation, and
attorneys’ fees not permissible conditions of probation).
2008

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Criminal Justice Administration Fee (sometimes referred to as the jail
2015
booking fee), which CAN be a condition of probation.
2) Most administrative fees are imposed only if you are able to pay them.
2017
Often, these fees can be waived.

2016

WHAT IS
“DELINQUENT
DEBT”?

WHAT HAPPENS TO MY COURT-ORDERED DEBT WHILE I’M
INCARCERATED?
Your debts CAN increase while you’re inside—but WHETHER they do
and by HOW MUCH will depend on different things, such as: how old the
debt is, whether it has been sent to collections, the amount of victim
restitution you owe, and whether you’ve been making restitution
payments.
Some reasons your debt may increase while you’re incarcerated are:
• You can be charged interest and administrative fees on your
restitution debts.2018
o NOTE: If you are paying restitution through your facility while
incarcerated, you may be charged administrative fees for any
payments you make. 2019 If CDCR or a county agency is
automatically taking restitution payments directly from your
prison or jail account, you may not even realize you’re being
charged extra. (See PG. 784 for more information about paying
restitution while you’re incarcerated.)
• If your debt is delinquent, you may be charged a $300 penalty
(called a “civil assessment”) for late payments or non-payment.
o NOTE: If you were unable to pay the debt because you were
incarcerated, you may be able to ask the court to forgive
(“vacate”) the penalty.2020 (See PG. 787 for information on
vacating civil assessment charges.)
• If your debt has been sent to “collections” (see explanation in side
box) you may be charged an extra administrative fee to cover the
costs of transferring your debt to the collection agency.2021
• You may be charged for failures to appear in court.2022
• You may be charged a fee if your driver license was suspended due
to unpaid court debts.2023

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

If you have missed one
or more payments,
your debt is “overdue”
or “delinquent.”
Usually, you will get a
letter notifying you
that your debt has
become delinquent,
and you will have a
limited time to make a
payment or reestablish
an installment plan
before extra
punishments and fines
are imposed.

WHAT ARE
“COLLECTION
AGENCIES”?
When courts (or
anyone else) can’t get
a person to pay their
debt on time, they
often will hire a
“collection agency” to
try to get back the
money owed.
Collection agencies
track down the person
who owes (the
“debtor”), and tries to
get them to pay. If they
are successful in
collecting the debt, the
collection agency
receives a percentage
of the payment.

CAL. GOV’T CODE §§ 29550(c), 29550.1, 29550.2.
See CAL. GOV’T CODE §§ 29550(c), (d)(2), 29550.2(a) (criminal justice administration fee requires determination that
defendant has ability to pay); CAL. PENAL CODE §§ 987.8(b), (g)(2) (public defender fee), 1203.1b (probation
supervision fee). In some cases, you have the right to a court hearing to determine whether you are able to pay the
fee. See, e.g., CAL. PENAL CODE §§ 987.8 (cost of legal assistance), 1203.1b (cost of probation), 1203.1c (cost of
incarceration in local jail), 1203.1e (cost of parole supervision), 1203.1m (cost of imprisonment); cf. Cal Penal Code
§ 1203.1f (consolidation of ability-to-pay hearings).
2017
CAL. GOV’T CODE § 68631 et. seq.
2018
CAL. PENAL CODE §§ 1202.4(f)(3)(G) (10% interest on victim restitution debt),1203.1(l) (15% administrative fee on
victim restitution), 1202.4(l)) (10% administrative fee on restitution fine).
2019
CAL. PENAL CODE § 2085.5 (e), (f), (i) (as amended by 2014 Cal. Legis. 513 (S.B. 419)).
2020
CAL. PENAL CODE § 1214.1(a) (court will impose a penalty for failure to appear or failure to pay unless good cause
is shown; incarceration is considered good cause).
2021
CAL. REV. & TAX CODE § 19280(a)(2)(A).
2022
CAL. VEH. CODE § 40508.5 (authorizing $15 assessment for failure to appear and/or other violation).
2023
CAL. VEH. CODE § 40508.6 (authorizing $10 assessment for suspension of driver license due to unpaid debt).
2015
2016

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WILL MY DEBTS BE SENT TO “COLLECTIONS”?
Maybe. The more delinquent your debt is, the more likely that it will be, or
already has been, sent to collections.
Each court, county, and agency handles unpaid debts differently. The court may
start by trying to collect the debt itself. Once the debt becomes overdue, courts
often send unpaid debts to the county collection agency.2024 If the debt remains
unpaid, the court or county collection agency may then send your debt to a
private collection agency or to the California Franchise Tax Board (FTB), which
acts as a collections agency for the state and for CDCR.2025
For more information on tracking down your debt, see PG. 781.
For more information on what to do if your court-ordered debt HAS BEEN sent to
collections, see PG. 781.

HOW CAN MY COURT-ORDERED DEBT AFFECT ME WHILE I AM
ON A TERM OF SUPERVISION?
If you are under any type of supervision—parole, mandatory supervision, PostRelease Community Supervision, or probation—it is very important to know
which debts are conditions of that supervision, and to pay them first, if possible.
In general, making restitution payments will ALWAYS be a condition of your
supervision. 2026 Other fines and fees can also be ordered as conditions of
supervision.2027 You can find out exactly which payments the court considers
conditions of your probation by asking your parole or probation officer for a
copy of your supervision order. You (or your attorney) can also go to the court
and ask the clerk for a copy of the records (the “minutes”) from your sentencing.
If you don’t pay the debts that are conditions of your supervision: (1) the court
can extend the term of your supervision to the maximum time allowed,2028 or (2)
the court may order you to do community service to satisfy your remaining fines
and fees, or (3) the court may determine that you have violated your supervision
and re-incarcerate you. If you are on probation and you complete your probation
term, but you haven’t paid off all the restitution and fines that are conditions of
your probation, the court may find that you did NOT successfully complete
probation. This can make it harder to get your conviction dismissed later under
California’s expungement statute.2029
Here are other ways that owing unpaid restitution and other fines can affect you
while you are on supervision:

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Telephone interview with Bonnie Sloan, Division Manager, Court Collections, Yuba County Superior Court (Feb.
23, 2015); Telephone interview with Genevieve Harrington, Supervisor, Central Collections, Butte County Superior
Court (Feb. 23, 2015); Telephone interview with David (no last name given), Collector, Fresno County Revenue
Collections Unit, (Feb. 23, 2015). See also CAL. PENAL CODE § 1463.007 (authorizing collection of delinquent courtordered debt by county).
2025
CAL. REV. & TAX CODE § 19280 (court can refer unpaid debts to the FTB starting 90 days after the date when the
debt was due).
2026
CAL. PENAL CODE §§ 1202.4(m) (mandatory condition of probation), 1203.2(a), 3000(b)(7) (permissible condition of
parole); 2014 Cal. Legis. Ch. 517 (S.B. 1197) (mandatory condition of PRCS); 18 U.S.C. §§ 3563(a)(6), (b)(2) (mandatory
and discretionary conditions of federal probation); 28 C.F.R. § 2.52 (your supervision cannot be revoked for failing to
pay restitution, unless the court determines that you can pay and willfully fail to pay); see also CAL. PENAL CODE
§§ 1202.4(m), 1203.1.
2027
CAL. PENAL CODE § 273.5 (domestic violence fines); CAL. GOV’T CODE §§ 29550, 29550.1, 29550.2(a) (jail booking
fees).
2028
CAL. PENAL CODE § 1203.3(b)(4); People v. Cookson, 54 Cal.3d 1091 (1991); People v. Medeiros, 25 Cal. App. 4th
1260 (1994) (in extreme cases, the court can even revoke your probation if it determines that you are willfully not
paying your debts); see also CDCR, Department Operations Manual §§ 81080.1 (early discharge from parole),
81080.1.1 (annual parole discharge review).
2029
CAL. PENAL CODE § 1203.4; People v. Covington, 82 Cal. App. 4th 1263 (2000); People v. Chandler, 203 Cal. App.
3d 782 (1988).
2024

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•
•
•

!

It can be harder to transfer to another county, and you will NOT be allowed to
transfer out of state.2030
If you want to get discharged early, it is very important to make reasonable
restitution payments.2031
Even if you successfully complete your supervision and are discharged, you
will continue to owe any unpaid restitution (and all other debts that the court
does not discharge).2032

IMPORTANT!—IF YOU ARE UNDER ANY KIND OF SUPERVISION: It is
very important to know which debts are conditions of that supervision—
and to pay them first, if possible. In general, making restitution payments
will ALWAYS be a condition of your supervision.2033 Other fines and fees
can also be ordered as conditions of supervision.2034 You can find out
exactly which payments the court considers conditions of your probation
by asking your parole or probation officer for a copy of your supervision
order. You (or your attorney) can also go to the court and ask the clerk
for a copy of the records (the “minutes”) from your sentencing.
If you don’t pay the debts that are conditions of your supervision, (1) the
court can extend the term of your supervision to the maximum time
allowed (for probation) to give you more time to make payments,2035 or (2)
the court may order you to do community service to satisfy your
remaining fines and fees, or (3) the court may determine that you have
violated your supervision and re-incarcerate you. If you are on probation
and you complete your probation term, a court may decide that you did
NOT successfully complete probation if you haven’t paid of all your
restitution and fines. This can make it harder to get your conviction
dismissed later under California’s expungement statute.2036

For more information on getting your conviction(s) expunged/ dismissed, see the
UNDERSTANDING & CLEANING UP YOUR CRIMINAL RECORD CHAPTER,
beginning on PG. 1020.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 11177.2 (parolee or inmate not permitted to be released to another state if subject to an
unsatisfied order of restitution); see generally CAL. PENAL CODE § 1203.9(a)(3);CAL. RULES OF COURT, Rule 4.530 (f)(3)
(ability to pay restitution order a factor in determining whether an inter-county transfer is appropriate); see also CAL.
DEP’T CORR. & REHAB., An Adult Offender’s Guide to Restitution (2007).
2031
15 CAL. CODE REGS. §§ 3721(b)(2), 3730 (parole); CAL. PENAL CODE § 1203.3(b)(4) (probation).
2032
People v. Guillen, 218 Cal. App. 4th 975, 985-90 (2013) (unpaid restitution fines—like victim restitution—survive
after defendant’s probation term has ended, regardless of whether defendant was discharged upon successful
completion or had his/her probation revoked).
2033
CAL. PENAL CODE §§ 1202.4(m), 1203.1.
2034
CAL. PENAL CODE § 273.5 (domestic violence fines); CAL. GOV’T CODE §§ 29550, 29550.1, 29550.2(a) (jail booking
fees).
2035
CAL. PENAL CODE § 1203.3(b)(4); People v. Cookson, 54 Cal.3d 1091 (1991); People v. Medeiros, 25 Cal. App. 4th
1260 (1994) (in extreme cases, the court can even revoke your probation if it determines that you are willfully not
paying your debts).
2036
CAL. PENAL CODE § 1203.4; People v. Covington, 82 Cal. App. 4th 1263 (2000); People v. Chandler, 203 Cal. App.
3d 782 (1988).
2030

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WHICH TYPES OF COURT-ORDERED DEBT ARE LIKELY TO BE
CONDITIONS OF MY PROBATION?
Restitution—Making restitution payments will almost ALWAYS be a condition of
your probation.2037
Other Fines & Penalties—Some other fines and penalties may also be conditions
of your probation. However, each type of fine and fee is different, so you will
need to check your specific sentencing order to see which payments are
conditions of your probation.
Fines and fees that are always (or almost always) conditions of your probation:
• Victim restitution +10% interest;2038
• Restitution fine +10% administrative fee;
!
• Fine and penalty assessment (amount based on your conviction offense);
• Criminal Justice Administration Fee (jail
! booking fee).2039
Fines that may be conditions of your probation, depending on your conviction
offense:
• Domestic Violence Fund Payment;2040
• Alcohol Abuse Education & Prevention Penalty Assessment;2041
• Emergency Response Cost Restitution;2042
• Hate Crime Restitution;2043
• Abduction Restitution.2044
Administrative Fees—In general, administrative fees CANNOT be conditions of
probation.2045 This includes things like court security fees, probation supervision
costs, and attorney fees.2046 However, one exception to this rule is the Criminal
Justice Administration Fee (sometimes referred to as the jail booking fee), which
CAN be a condition of probation.2047

!

IMPORTANT: These are only some examples. YOU SHOULD CHECK
YOUR SENTENCING ORDER TO SEE! WHICH FINES AND FEES ARE
CONDITIONS OF YOUR PROBATION.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 1202.4(m), (n) (general restitution payments are a mandatory condition of probation).
CAL. PENAL CODE § 1214.5.
Cal. Gov’t. Code §§ 29550(c), 29550.1, 29550.2.
2040
CAL. PENAL CODE §§ 273.5, 1203.097.
2041
CAL. VEH. CODE § 23645.
2042
CAL. PENAL CODE §§ 1203.1(e).
2043
CAL. PENAL CODE § 422.85.
2044
CAL. PENAL CODE § 278.6.
2045
See People v. Pacheco, 187 Cal. App. 4th 1392, 1402-03 (2010) (collateral, non-punitive fines and fees are not
permissible as conditions of probation; court security fee not permissible condition of probation); People v. Hart, 65
Cal. App. 4th 902, 906-07 (1998) (attorneys’ fees and probation costs not permissible conditions of probation);
People v. Flores, 169 Cal. App. 4th 568, 578 (2003) (costs of probation supervision, presentence investigation, and
attorneys’ fees not permissible conditions of probation).
2046
CAL. PENAL CODE §§ 1465.8 (court security fee), 1203.1b (probation supervision fee, probation report costs), 987.8
(attorney fees and presentence investigation costs); see also CAL. PENAL CODE § 1463.07 (administrative screening
fee); CAL. VEH. CODE § 23645 (alcohol abuse education fee).
2047
CAL. GOV’T CODE §§ 29550(c), 29550.1, 29550.2.
2037
2038
2039

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WHAT HAPPENS IF I DON'T PAY OFF THESE DEBTS?
It depends. Different types of debts have different consequences if you don’t
pay them off. The consequences are also affected by the amount of debt you
owe, how old the debt is, and which agency is trying to collect from you (for
example, whether your debt is still with the court, with county collections, with a
private collection agency, or with the Franchise Tax Board).
In the previous section we explained what can happen if you don’t pay debts
that are conditions of your supervision. This section will explain some of the
other consequences you may face if you don’t pay off your court-ordered debts
(whether you are on supervision or not).
DEBT COLLECTION:
If you owe unpaid restitution, fines, or court fees, the people or agencies that
you owe (i.e. the victim, the victim’s family, the Victim Compensation Board, the
Franchise Tax Board, private collection agencies) can try to collect the unpaid
debt in the following ways:2048
• Wage garnishment—If you are employed, a portion of your wages (up to 25%)
can be automatically taken out (withheld) from your paycheck to pay your
court-ordered debt. Money can continue to be taken from your paycheck
until you have paid off the full amount you owe.2049 (For more information
about what to do if your wages are being garnished by the Franchise Tax
Board, see PG. 786.)
• Property lien—If you own property (like a car or a house) a lien can be put on
your property. A lien gives the person (or agency) that you owe the right to
claim your property to satisfy the debt you owe them. If you have a lien on
your property, you may not be able to sell that property until you have paid
off the amount you owe. If you DO sell the property, you will have to give
over the money from the sale to the person you owe.2050
• Lien on your bank account—If you have a bank account, a lien can be put on
the account. You will not be able to access the money in your account, and
any checks you write from the account will bounce until the lien is
removed.2051
All of these actions can lower your credit score, which can make it harder to get
a loan, rent an apartment, or find a job.
OTHER POSSIBLE CONSEQUENCES:
There are other possible consequences of unpaid or overdue debt, but
everyone’s situation will be different. Some other ways that you may be
negatively impacted by unpaid court-ordered debt are:
•

Your driver license can be suspended due to unpaid court debts AND you
can be charged extra fees.2052 (Your driver license can also be suspended for
other types of unpaid debt, such as child support or unpaid loans. See PG. 51
of the BUILDING BLOCKS OF REENTRY: ID & VOTING CHAPTER for more
information about driver license suspensions.)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE §§ 1214 (victim restitution and restitution fines enforceable and collectable as civil money
judgments), 1202.42 (enforcement of victim restitution); CAL. REV. & TAX CODE § 19280 et seq. (collection of courtordered debts by Franchise Tax Board); Cal. Code of Civ. Proc. § 680.010 et seq. (enforcement of civil judgments);
see also Cal. Franchise Tax Board, Nontax Debt Collections, https://www.ftb.ca.gov/aboutFTB/ND_2011_12.pdf
(rev’d Aug. 1, 2012).
2049
CAL. PENAL CODE § 1214; Cal. Code of Civ. Proc. § 706.020 et seq.
2050
Cal. Code of Civ. Proc. §§ 697.530, 697.620.
2051
CAL. PENAL CODE § 1214; Cal. Code of Civ. Proc. §§ 695.010, 697.530.
2052
CAL. VEH. CODE § 40508.6. If your debt has already been referred to the Franchise Tax Board for collection, there
is a special payment process to expedite (speed up) the return of your driver license. For instructions, see
https://www.ftb.ca.gov/online/Court_Ordered_Debt/payment.shtml.
2048

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•

•

•

•

It can be harder to get a professional or occupational license, which is
required for many types of jobs. For example, you need an occupational
license to work as a barber, beautician, nurse, or contractor. (For more
information on professional/occupational licenses, see the EMPLOYMENT
CHAPTER, PG. 690.)
The Franchise Tax Board can seize any state tax refunds, lottery
winnings, or other income to pay off your restitution and fine
obligations.2053
If you are ordered to appear in court because you have not paid your
court-ordered debt, and you do not go to court, you could be arrested
and charged with a misdemeanor.2054
o Important: If you have not made payments, you won’t be arrested
simply for not paying. However, if a judge has ordered you to
come to court and explain why you are not paying, you can be
arrested for not going to court.
o If you receive an “order to appear,” you MUST go to court on the
day and time listed in the order. Even if you don’t have any money
to make the payments, it is very important that you attend this
court hearing.
Unpaid restitution and/or other fines can make it harder, if not
impossible, to get your conviction dismissed under California’s
expungement statute.2055 (For more information, see the
UNDERSTANDING & CLEANING UP YOUR CRIMINAL RECORDS
CHAPTER, beginning on PG 1020).

HELPFUL TIP:
For more
information on
your credit report
and your credit
score, see
Appendix I,
PG. 820, or
contact the
Consumer
Financial
Protection Bureau
at (855) 411-2372,
or online at:

http://www.consum
erfinance.gov/askcf
pb/search/?selecte
d_facets=category
_exact:creditreporting.

What is a “credit score” and why does it matter?
A credit score is a record of how you have borrowed and repaid money in the past, and is considered a predictor of
whether you are likely to repay your debts in the future. Your credit score is a number—usually between 300 and 850.
The higher the number, the better your score. Your credit score is based on things like current debts you owe (including
2056
court-ordered debts), whether you've paid off previous debts in a timely manner, your income, etc.
Creditors, landlords, and some employers may look at your credit score when deciding whether to give you a loan, rent an
apartment to you, or hire you for a job. (Note: In California, only certain people can legally see your credit score. For more
!! you, see the EMPLOYMENT CHAPTER (PG. 625) and
information about what employers and landlords can see about
HOUSING CHAPTER (PG. 369).
If you want to know what your credit score is, you will probably have to pay to get it from a commercial credit reporting
agency. However, you are entitled to a FREE COPY of your credit report, which will let you see the information that is used
to calculate your credit score.
2057

You can request your free credit report by mail by submitting an Annual Credit Report Request Form.
A sample form is
included in Appendix A, PG. 796. For more information about getting your credit report, contact the Annual Credit Report
Request Service at 1-877-322-8228.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Cal. Rev. & Tax. Code §§ 19280, 18670; CAL. PENAL CODE § 3000.05; see also Cal. Franchise Tax Board, Court–
Ordered Debt (COD)—Frequently Asked Questions (Debtor),
https://www.ftb.ca.gov/online/Court_Ordered_Debt/faq_debtor.shtml#q3.
2054
CAL. PENAL CODE §§ 853.7-53.8. You can also be charged extra fees for failing to appear and for the cost of
issuing the arrest warrant. See Cal. Penal § 853.7a; CAL. VEH. CODE § 40508.5.
2055
CAL. PENAL CODE § 1203.4 (mandatory dismissal under statute requires payment of all debt ordered as a
condition of probation); People v. Covington, 82 Cal. App. 4th 1263 (2000) (defendant who owed outstanding
restitution after probation terminated was not entitled to mandatory dismissal, despite having made all required
payments during probation period); People v. Chandler, 203 Cal. App. 3d 782 (1988) (defendant who failed to pay
off all restitution during term of probation was not entitled to mandatory dismissal).
2056
Nat’l. Consumer Law Ctr., The Truth About Credit Reports & Credit Repair Companies,
http://www.nclc.org/images/pdf/older_consumers/english_brochures/eng_truth_about_credit_reports.pdf.
2057
Nat’l. Consumer Law Ctr., The Truth About Credit Reports & Credit Repair Companies,
http://www.nclc.org/images/pdf/older_consumers/english_brochures/eng_truth_about_credit_reports.pdf.
2053

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WHAT ARE MY OPTIONS IF MY WAGES ARE GARNISHED OR
THERE IS A LIEN ON MY PROPERTY?
If your wages are being garnished or there is a lien on your bank account or
property, you may be able to request an exemption for money or property that
you need to live on (such as your car or house). An exemption means that the
portion of your wages or property that you need in order to support yourself and
your family CANNOT be taken.2058
•

•

•

For more information about requesting an exemption from wage
garnishment, talk to your employer. You should have received a notice
regarding your wage garnishment (called an “Earnings Withholding Order,”
form WG-002) and instructions on how to request an exemption (Judicial
Council form WG-003).2059 These forms are available in Appendix B, PG. 798,
and Appendix C, PG. 801. They are also available online at
http://www.courts.ca.gov/documents/wg002.pdf and
http://www.courts.ca.gov/documents/wg003.pdf.
To request an exemption from a property lien, you will need to file a Claim of
Exemption (Judicial Council form EJ-160).2060 This form is provided in
Appendix D, PG. 804 and is also available online at
http://www.courts.ca.gov/documents/ej160.pdf. For a list of the types of
property that you can request an exemption for see Appendix E, PG. 806
(Judicial Council form EJ-155), or go to
http://www.courts.ca.gov/documents/ej155.pdf.
If your wages are being garnished by the CA Franchise Tax Board (FTB), you
can claim a financial hardship and ask them to reduce the amount taken out
of each paycheck.2061 Call the FTB at (916) 845-4064 to ask for assistance.
(Note: The Franchise Tax Board CANNOT change the total amount of debt
you owe, only the amount being taken from each paycheck.)2062

Even if you don’t have enough money to pay off your debts, it’s important to
show that you are making an effort and want to pay them off! The court and
judge will often work with you if you can show that you are trying to take
responsibility for your debt to the best of your ability. You can ask the judge to
help you set up an installment plan, or request that he or she waive (forgive)
some of fines and fees. Many courts will let you do community service to work
off your debt—or you can even opt to spend time in jail to pay off or reduce what
2063
you owe.
If your debt has been sent to a private collection agency or the FTB, you can ask
that agency to help you set up a payment plan. If the FTB is garnishing your
wages, you can also ask them to change the amount that is being taken out of
your paycheck (but they CANNOT change the total amount of debt you owe.)
The FTB can be very helpful—so don’t be afraid to contact them for assistance!
The bottom line: Court-ordered debt can be a scary thing to deal with. But even
if you can’t pay now, there are other things you can do to improve your situation.
DON’T IGNORE YOUR DEBT or it will only get worse!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Cal. Code of Civ. Proc. §§ 704.010–.210, 706.050–.051.
Cal. Code of Civ. Proc. § 706.122; see also The Judicial Council of California, Paying the Judgment,
http://www.courts.ca.gov/1319.htm.
2060
Cal. Code of Civ. Proc. § 703.520; see also The Judicial Council of California, Paying the Judgment,
http://www.courts.ca.gov/1319.htm.
2061
Cal. Franchise Tax Board, Court–Ordered Debt (COD)—Frequently Asked Questions (Debtor),
https://www.ftb.ca.gov/online/Court_Ordered_Debt/faq_debtor.shtml#q3; see also Cal. Franchise Tax Board,
Nontax Debt Collections, https://www.ftb.ca.gov/aboutFTB/ND_2011_12.pdf (rev’d Aug. 1, 2012).
2062
Cal. Franchise Tax Board, Court–Ordered Debt (COD)—Frequently Asked Questions (Debtor),
https://www.ftb.ca.gov/online/Court_Ordered_Debt/faq_debtor.shtml#q3; see also Cal. Franchise Tax Board,
Nontax Debt Collections, https://www.ftb.ca.gov/aboutFTB/ND_2011_12.pdf (rev’d Aug. 1, 2012).
2063
CAL. PENAL CODE § 1205.
2058
2059

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TRAFFIC FINES AND TICKETS!
WHAT ARE TRAFFIC FINES AND TICKETS?!
Traffic fines are penalties you are ordered to pay for driving-related or
vehicle-related violations. Traffic tickets are the actual paper citations
you get when you commit violations. There are three types of traffic
tickets:
1.

PARKING TICKETS—Parking tickets are for violations while your
vehicle is parked (for example, if you park your car where you’re
not allowed to, or don’t pay the parking meter).2064
2. INFRACTION TICKETS—Infraction tickets are for minor driving
violations (such as running a stop sign or failing to use a turn
signal), or often for mechanical problems with your car
equipment (such as a broken tail-light), or for administrative
violations related to your registration, insurance, or driver license
(i.e. if one of them has expired).2065
3. MISDEMEANOR TICKETS—Misdemeanor tickets are issued for
more serious driving violations (like a DUI or driving on a
suspended license).
NOTE: Traffic fines are also called “bail.” The court may use this term
when talking about your traffic fines and payments. Traffic “bail” is not
the same thing as bail in a criminal case, but is sometimes used in a
similar way. For example, if you are required to appear in court for a
traffic ticket, you may need to “post bail” (pay some, or all, of your
traffic fine) BEFORE your court date. You will then get this money back if the
court dismisses your ticket or finds you not guilty of the traffic violation. This
Chapter will use the term “fines” instead of “bail” to describe the money you
owe for a traffic ticket.

HOW DO I KNOW WHICH TYPE OF TICKET I HAVE?
If you park or leave your car somewhere and there is a ticket on the
windshield when you get back, this is probably a parking ticket
(although some agencies will issue “fix-it” tickets for parked cars with
visible mechanical issues or expired registration tags). Parking tickets
are the least serious type of ticket and do NOT involve the courts.
If you get pulled over and get a ticket while driving, it is an infraction
or a misdemeanor ticket. Usually you get these tickets from a law
enforcement officer who pulls you over on the road for a violation you
committed while driving.
•

•

WHAT IS
“TRAFFIC
COURT”?
Where all trafficrelated issues are
heard and
addressed. Some
counties have
special traffic courts
that deal exclusively
with traffic-related
issues. In others, the
“traffic court” may
just be a separate
counter or
department within
the main
courthouse. Traffic
courts deal only
with traffic
infractions.

WHAT ARE “FIXIT” TICKETS
(CORRECTABLE
VIOLATIONS)?
A correctible
violation (“fix-it”)
ticket is a ticket for
a problem with your
car that you must fix
(for example, a
broken tail light,
expired registration.
After you fix the
problem, and show
the court proof, your
ticket will be
dismissed.

An infraction ticket will instruct you to either pay a fine, or appear in
court on a particular date and time if you want to contest the ticket
or you can’t pay the fine.
For a misdemeanor ticket, you MUST appear in court on the date and time
shown or a warrant will be issued for your arrest. (That’s why the ticket is also
called a “Notice to Appear”).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2064
2065

CAL. VEH. CODE §§ 463, 40200.
CAL. VEH. CODE § 40610.

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NOTE: For some misdemeanor violations (for example, a DUI), the police may
arrest you on the spot and take you into custody. You may need to pay bail
and/or sign a promise to appear in court before the police let you go. Afterward,
you MUST appear in court on the date and time assigned to you in the promise
to appear.
Tickets related to your car equipment, registration, insurance, or driver license
are usually infraction tickets. Sometimes you can get the ticket dismissed if you
correct the problem that you were cited for (also called a “fix-it” ticket or
“correctable violation”).

!

IMPORTANT: When you sign any ticket, you are making a promise to do
something—pay the fine, appear in court, and/or correct the problem as
required by the ticket.

WHAT COULD HAPPEN IF I GET A NEW TICKET?
It depends on the type of ticket you get.
Parking tickets: If you get a parking ticket, you just have to pay a fine. The ticket
will have information about how much the fine is, what agency you owe it to
(usually to the local city government or parking authority), and how to pay (by
mail, in person, by phone, or online). If you disagree with the ticket, you can
contact the parking agency and ask how to dispute it.2066 If you don’t pay the
parking ticket on time, the amount of fines will increase. Eventually, if you
haven’t paid the fine, you will not be able to renew your car registration. Parking
tickets will NOT affect your ability to get a state ID or driver license because
parking tickets attach to a vehicle, NOT a person.2067
Infraction tickets: If you get an infraction ticket, read the ticket carefully to see
what to do. You may just need to pay a fine or you may have to fix whatever
problem the ticket was issued for and then bring proof to the issuing agency.
However, you may be required to appear in court on a particular date and time.
You must act BEFORE the deadline on your ticket. Remember, by signing the
ticket, you have promised to pay the fine, correct the problem, or appear in
court.
You may have to:
1)

Pay the fine, which means you plead guilty to the violation and the court will
close the case. The infraction will appear as a conviction on your
Department of Motor Vehicles (DMV) record, but it will not be considered a
criminal conviction.2068 It may add “points” to your driving record, which may
have other consequences.2069
a) NOTE: You may be eligible to go to “traffic school,” to keep the
conviction points off your record.2070 (For more information about traffic
school, see PG. 790.)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See CAL. VEH. CODE § 40215.
CAL. VEH. CODE § 4760.
CAL. PENAL CODE § 19.6.
2069
CAL. VEH. CODE §§ 1808(b), 12810 (most minor traffic offenses will remain on your record for 3 years from the
violation date and count as 1 point on your driving record. More serious convictions will remain on your record for
longer periods (7 or 10 years) and add more points to your record); see also Dep’t of Motor Vehicles, Vehicle Code
Violations used in Negligent Operator Counts, https://www.dmv.ca.gov/portal/dmv/detail/dl/vioptct.
2070
CAL. VEH. CODE §§ 1803.5, 41501, 1808.7, 1808.10, 41501; 13 CAL. CODE REGS. § 345.00 et seq.; CAL. RULES OF COURT
§ 4.104 (2014); see also JUDICIAL COUNCIL OF CAL., Traffic School, http://www.courts.ca.gov/9410.htm.
2066
2067
2068

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2) Go to court on the day and time listed on the ticket. You can plead not guilty
and ask for a trial to dispute the ticket, or plead guilty to the infraction and
pay the fine.2071
3) If you want to contest the ticket (plead not guilty) but were NOT required to
appear in court, you can request a trial by written declaration. This means
that instead of going to court to fight your case, you and the police officer
give the judge statements and evidence in writing.2072
4) If you got a “fix-it” ticket, you can have your case dismissed by fixing the
problem, showing proof that you have made the correction, and paying a fee.
To get a proof of correction, you must get an “authorized person” to sign the
“Certificate of Correction” line on your ticket. An “authorized person” is:
b) A DMV or court clerk—for driver license and car registration violations;
c) A police officer—for equipment violations;
d) A court clerk—for proof of car insurance.2073
If you are on probation, parole, or community supervision: In most cases, an
infraction ticket won’t be considered a violation of your probation or parole
because infractions are not criminal offenses. However, in some cases, an
infraction ticket could be a violation of your supervision, depending on your
underlying conviction, the specific conditions of your supervision, and the nature
of the infraction. For example, if you are on probation for a DUI offense and have
conditions related to alcohol and driving, a ticket for having an open container in
your vehicle might be considered a violation of your supervision. If you have any
questions or concerns about your terms of supervision, you should talk to your
probation or parole officer (or better yet, an attorney). (You can also find more
information in the PAROLE & PROBATION CHAPTER, beginning on PG. 130.)
Misdemeanor tickets: For a misdemeanor ticket, you must go to court on the
date shown on your ticket. If you want to dispute (deny) the charges, you can
plead not guilty and ask for a trial. You are entitled to have a lawyer represent
you throughout the process. If you cannot afford a lawyer, the court will appoint
a public defender to represent you. You may have to pay a fine (bail) in advance,
but you will get the money back if you are found not guilty.2074 In some cases (for
serious misdemeanors, like DUIs, or for repeat offenses), you may also face jail
time and/or have your license suspended or revoked.

WARNING: If you are on probation, parole, or community supervision, a
misdemeanor ticket could be a violation of your probation or parole
conditions. You should contact a lawyer immediately, if you can. (For
more information on how a new criminal offense may affect your
community supervision, see the PAROLE & PROBATION CHAPTER,
beginning on PG. 130.)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. VEH. CODE § 40901; see also JUDICIAL COUNCIL OF CAL., Cal. Courts, Traffic Trial,
http://www.courts.ca.gov/8450.htm.
2072
CAL. VEH. CODE § 40902-03; see also JUDICIAL COUNCIL OF CAL., Cal. Courts, Traffic Trial,
http://www.courts.ca.gov/8450.htm#tab9275.
2073
CAL. VEH. CODE §§ 40150-53, 40610-18, 40303.5, 40522; see also JUDICIAL COUNCIL OF CAL., Correctable Violations
“Fix-It” Tickets, http://www.courts.ca.gov/9529.htm.
2074
JUDICIAL COUNCIL OF CAL., Traffic Trial, http://www.courts.ca.gov/8450.htm.
2071

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WHAT COULD HAPPEN IF I DON’T PAY MY TRAFFIC FINES OR IF I
DON’T APPEAR FOR MY COURT DATE?
There are serious consequences if you don’t pay your traffic fines, or if you don’t
show up for your court date:2075
FAILURE TO PAY YOUR FINES:
•

•

•

•

•

•

•

The amount you owe in traffic fines can increase by A LOT. You may be
charged interest and additional fees as penalties for paying late or not paying
at all.2076
If you agreed to make installment payments to the court for your traffic fines,
and you do not make the required payments, the court can order you to pay a
$300 civil assessment fine.2077
Your debt could be referred to a collection agency, which can affect your
credit score and, in turn, your ability to get a loan, rent an apartment, or
qualify for some jobs. (See PG. 768 for more information on “collections”).
For infraction and misdemeanor tickets—Your driver license can be
suspended if you don’t pay your fines on time. This means that you CANNOT
legally drive a car, and you can be charged with other offenses if you drive
while your license is suspended.2078 You will not get your license back until
you pay off all fines and fees you owe—plus additional fees for having your
license suspended and reissued.2079
For parking tickets—You will not be allowed to renew your car registration if
you owe unpaid parking fines for that car (and you may be charged an extra
fee for having your registration suspended).2080 Your car MUST be registered
with the DMV in order for you or anyone else to drive it, but the DMV will
NOT let you renew your registration until you pay off all fines and fees you
owe. This means your car CANNOT legally be driven or sold during this time
(and you can be charged with other offenses if you drive your car when it’s
not registered).2081 But remember, parking tickets attach to specific CARS—
NOT people—so you CAN still drive other cars during this time.
If you have a correctable violation (“fix-it” ticket) and do not make the
corrections required by the ticket OR do not provide proof of correction, you
can be charged with a misdemeanor.2082
A Judge may order you to appear in court to explain why you have not paid
your ticket.

FAILURE TO APPEAR IN COURT:
If a judge has ordered you to appear in court because of your unpaid ticket, you
must appear. If you do not, the court can charge you with a misdemeanor for
“failure to appear” or “contempt of court,” and issue a warrant for your arrest.2083

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. VEH. CODE §§ 40509 (failure to pay fines or appear in court), 12807-08.1 (denial of drivers’ license for failure
to pay fines or appear in court), 40616-18 (failure to correct violation or provide proof of correction), 40604 (issuance
of warrant); see also JUDICIAL COUNCIL OF CAL., If You Ignore Your Ticket, http://www.courts.ca.gov/9540.htm.
2076
See, e.g., CAL. VEH. CODE § 40310 (50% penalty for all traffic fines overdue by 20 days or more).
2077
CAL. VEH. CODE §§ 40510.5, 40508; CAL. PENAL CODE § 1214.1.
2078
CAL. VEH. CODE §§ 12500, 13553.
2079
CAL. VEH. CODE § 40508.6(b) (Reissue fee); see also Cal. Dep’t of Motor Vehicles, Reissue Fees,
https://www.dmv.ca.gov/portal/dmv/detail/online/refund/refundreissuefee.
2080
CAL. VEH. CODE § 40508.6(b).
2081
CAL. VEH. CODE § 40001.
2082
CAL. VEH. CODE § 40616 et seq.
2083
CAL. VEH. CODE §§ 40508-8.5; CAL. PENAL CODE §§ 853.7-53.8.
2075

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I THINK I HAD AN OLD TRAFFIC TICKET, BUT I CAN’T REMEMBER
OR CAN’T FIND IT. WHAT ARE MY OPTIONS?
Old traffic tickets can be difficult to track down! This is because cities, counties,
the state, and even some colleges have the power to issue traffic tickets—and
each agency may handle overdue tickets differently. This can make it hard to
know whether you owe unpaid traffic fines, how much you owe, whom you owe
fines to, and what to do next. The first step is to find out where your ticket is.
FOR PARKING TICKETS:
•

•

•

If you CAN remember where you got the ticket, you can contact the city
where you got the ticket and ask how to resolve a parking ticket. If the city
has a separate department or agency that handles traffic tickets, you will
need to speak with someone from that office directly.
If you CAN’T remember where you got the ticket, you can contact the DMV
and ask whether there are any holds on your car registration. (A hold means
that you are not allowed to renew your registration because you didn’t pay a
parking ticket.)2084 The DMV will be able to tell you which county, city, or
parking agency put the hold on your registration—this is where you owe one
or more outstanding parking tickets.2085
You will also find out about any unpaid parking tickets when it’s time to
renew your car registration (which you have to do every year). The DMV will
send you an annual notice to renew your registration which will list any
unpaid parking fines you owe and where you got each ticket.2086 You will not
be allowed to renew your registration until you pay all these fines and fees.
2087

FOR INFRACTION AND MISDEMEANOR TICKETS:
•

•

The easiest way to track down all of your old misdemeanor and infraction
tickets is through the DMV. You can go to any DMV office and ask for a list of
your warrants, which should be available for free.2088 The list of warrants will
show all outstanding traffic tickets where you failed to appear in court (FTAs)
and/or failed to pay (FTPs), and will also show where you got the ticket.2089
You can also ask the DMV whether there are any holds on your driver license
due to outstanding traffic tickets.2090 (A hold means that your license has
been suspended and/or you cannot renew it because you didn’t pay a traffic
ticket or you failed to appear in court.) The DMV will be able to tell you which
court put the hold on your license—this is where you owe outstanding traffic
tickets.2091

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. VEH. CODE § 4760(a)(1) (although the DMV does not issue tickets itself, it may put a hold on your Vehicle
Registration if you have outstanding unpaid parking tickets). A Vehicle Registration hold prevents you from
renewing your license until you resolve the underlying ticket and get the hold removed).
2085
CAL. VEH. CODE § 4761.
2086
CAL. VEH. CODE § 4761.
2087
CAL. VEH. CODE §§ 4760, 4766.
2088
Communication with Eleanor Miller, reentry attorney, Pepperdine Legal Aid Clinic, week of March 2-6, 2015.
2089
Communication with Eleanor Miller, reentry attorney, Pepperdine Legal Aid Clinic, week of March 2-6, 2015.
2090
CAL. VEH. CODE §§ 40508 (a), (b), (c), 40509.5. Although the DMV does not issue tickets itself, other courts and
agencies can ask the DMV to put a hold on your Driver License if you failed to pay your traffic tickets or to appear in
court when you were supposed to.
2091
CAL. VEH. CODE §§ 40002, 40002.1.
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WHAT ARE MY OPTIONS IF THE DMV TOLD ME I HAVE AN
OUTSTANDING TRAFFIC TICKET?
FOR PARKING TICKETS:
•

•

•

Once you know where you owe outstanding parking tickets, you should
contact the local parking authority directly to find out how much you owe and
what to do next.
If the ticket is old enough, it may have been sent to collections. If this is the
case, you will need to contact the collection agency (county collections, a
private agency, or the Franchise Tax Board) to find out how to pay off your
debt. (For more information on finding the collection agency that has your
ticket, see PG. 782.)
If you have multiple tickets, there may be more than one hold on your
vehicle registration. It’s important to pay off any tickets with registration
holds first, so that you can renew your registration!

FOR INFRACTION AND MISDEMEANOR TICKETS:
If you got an infraction or misdemeanor traffic ticket and you:
•
•
•

!

Did not pay the ticket;
Did not go to court on the date listed on the ticket;
Went to court and were ordered to pay a fine by the judge, but did not pay
the fine

IMPORTANT: When you are charged with a “failure to appear” or “failure
to pay,” the court may order a warrant for your arrest.2092 IF THERE IS
ANY CHANCE THAT YOU HAVE AN ARREST WARRANT FOR ONE OF
THESE REASONS, IT CAN BE VERY HELPFUL TO CONTACT A LAWYER
AS SOON AS POSSIBLE. A lawyer may be able to get you a court date to
try and resolve the situation.2093 It is very important to attend any court
dates! Be aware that even if you go to court to get the warrant removed,
you will likely still have to pay for the ticket and any additional fines and
fees.

I HAD A TRAFFIC TICKET THAT WAS PENDING (UNRESOLVED)
WHEN I WAS INCARCERATED. WHAT MIGHT HAVE HAPPENED
TO IT?
If you were formerly incarcerated in California state prison: Under state law,
the DMV must dismiss most non-felony traffic tickets that were pending when
you went to prison. A ticket is “pending” when the court has not yet made a
decision in the case (i.e. ordered you to pay the fine). Only tickets for
misdemeanor traffic offenses and infractions can be dismissed under this law.
2094
Parking tickets CANNOT be dismissed this way.
PLEASE NOTE: this rule only
applies to state prisons!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. VEH. CODE § 40508 (a); see also Failure to Appear, SUPERIOR COURT OF CALIFORNIA COUNTY OF ORANGE,
http://www.occourts.org/directory/traffic/general-information/appearances/failure-to-appear.html.
2093
Legal Aid Foundation of Los Angeles, California Driver’s License Reinstatement Manual: A Legal Self-Help Guide
at 5, http://lafla.org/pdf/DL_Manual_rev1-10.pdf.
2094
CAL. VEH. CODE § 41500 (no prosecution for a non-felony violation of the Vehicle Code pending at the time of
commitment to custody).
2092

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ADDITIONALLY, YOUR TRAFFIC TICKET CANNOT BE DISMISSED IF:
•
•
•

You got the ticket while you were on parole;2095
The ticket is for an offense that would require the DMV to automatically
revoke or suspend your driver license if you were convicted;2096
You are serving your sentence in county jail under Realignment.2097

I THINK MY TRAFFIC TICKET QUALIFIES FOR DISMISSAL. HOW
CAN I GET IT DISMISSED?
You must proactively request dismissal from the DMV directly. The court will not
automatically do this on your behalf. You will need to send a letter to the DMV
on official California Department of Corrections & Rehabilitation letterhead, and
get it signed by an “Authorized Representative.”
•
•

If you’re still incarcerated, you should ask your Correctional Counselor or
other prison staff person to provide letterhead and sign off on your request.
If you’re on parole, you will have to ask your parole or probation officer to
provide letterhead and sign off on your request.2098

The letter should say that you are requesting dismissal of your misdemeanor or
infraction ticket under Vehicle Code Section 41500, and it must include the
dates of your commitment and release (if you’re out). Send your request to:
Department of Motor Vehicles
Division of Drivers Safety and Licensing
P.O. Box 9412890
Sacramento, CA 94290
A DMV employee will then review your request to determine whether you qualify
for dismissal.

HELPFUL HINT
Here are 3 options if you are struggling to pay your traffic fines:
1.

Payment Plans—If you owe unpaid traffic fines, you can contact the court,
parking authority, or collection agency that you owe money to and ask about
setting up a payment or installment plan (where you pay off a little every
month instead of everything all at once).
2. Amnesty Programs—Some counties have “amnesty” programs that allow
you to pay rid of all of your delinquent traffic debt for a fraction of the
price.2099 Contact the traffic court in the county where you owe money to
find out whether it runs an amnesty program and whether you are eligible.
3. Specialty Courts—Some counties have special homeless courts, DUI courts,
or other community courts that may be able to help you resolve your tickets
and fines. Contact the local public defender in the county where you got the
ticket to ask if there are any community courts available and whether you
are eligible.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. VEH. CODE § 41500(e).
See Joseph v. Sup. Ct., 9 Cal. App. 4th 498 (1992). Violations that require the immediate suspension or
revocation of the offender’s driver’s license include first DUI convictions resulting in injury, third DUI in 7 years, hit
and run, reckless driving causing bodily injury, reckless driving in evading a police officer, and vehicular
manslaughter.
2097
See People v. Lopez, 218 Cal. App. 4th Supp. 6 (2013).
2098
E-mail from Ask Traffic, California Superior Court “Guidelines for Dismissal Pursuant to Vehicle Code 41500” (on
file with author) (Mar. 19, 2015).
2099
CAL. VEH. CODE § 42008-08.7.
2095
2096

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WHAT IF I OWE COURT-ORDERED DEBT FOR A FEDERAL
OFFENSE?
Up to this point, this Chapter has only covered debts that were ordered by a
California state court, NOT those ordered by a federal court.
If you have debts that stem from a federal offense, your court-ordered debt will
look different, because federal courts have their own rules for restitution, fines,
and fees. However, these 3 general types of debt are the same in the federal
system:
1)

Restitution: Repays any victims (people, organizations, government
agencies, etc.) that suffered harm, property damage, or monetary losses
caused by your actions.2100 This is like victim restitution in state court.
2) Fines: Serve as additional punishment for your offense and are part of your
criminal sentence.2101 The amount of the fine will depend on the crime for
which you were convicted.2102 These are like fines and penalties in state
court.
3) Special Assessments: Fees assigned for each separate offense you were
convicted of. The amount of the Assessment depends on the seriousness of
the offense. ALL of your federal Special Assessment debt will be forgiven 5
years after your conviction, after which you will no longer owe this debt.2103

!

WARNING: Just like for state court debt, you may also owe additional
interest or other penalties on your federal court-ordered debt (for
example, if you don’t make required payments on time).

FOR MORE INFORMATION ON
FEDERAL COURT-ORDERED DEBT
If you have questions about your federal court-ordered debt, you should contact
your federal public defender or the federal public defender office in your area.
• To find out how much you owe, contact the federal district court where you
were convicted. You will need to speak with the Finance Department to find
out your balance.
• To find out if you owe additional interest or penalties, you will need to
contact the U.S. Attorney’s Financial Litigation (Collections) Unit to learn
about these additional amounts.
• Your federal probation officer may also be able to answer questions about
your court-ordered debt, such as how much you owe and/or how to make
payments.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
18 U.S.C. §§ 3556, 3663, 3663A, 3664.
18 U.S.C. § 3571.
2102
18 U.S.C. § 3571 et seq.
2103
18 U.S.C. § 3013.
2100
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III.

TAKING CONTROL OF
YOUR COURT-ORDERED
DEBT
WHAT WILL I LEARN?

•

How to take control of your court-ordered debt, including:
o How find out how much you owe;
o How to get your debt reduced or forgiven; and
o Strategies for managing and paying off your debt.

Taking control of your court-ordered debt is done by knowing the type of debt
you owe, the amount of debt you owe, and creating plan as to how to repay this
debt while understanding whether this debt has impact on your terms of
probation and/or employment. In Part III, we will answer the following questions
for each type of debt:
•

•

•

How do I find out how much I owe?
o Restitution
o Court fines & penalties and court administrative fees (generally handled
the same way)
o Traffic fines & fees
How do I pay off or “satisfy” my court-ordered debt?
o Restitution
o Court fines & penalties and court administrative fees (generally handled
the same way)
o Traffic fines & fees
Is there any way to reduce or forgive my court-ordered debt?
o Restitution
o Court fines & penalties and court administrative fees (generally handled
the same way)
o Traffic fines & fees

HOW DO I FIND OUT HOW MUCH COURT-ORDERED DEBT I
OWE?
Since there are typically three types of debt: restitution, court fines and
penalties, and court administrative fees, to find out how much you owe requires
you to ask different questions to different people/agencies to make sure you
know of all of your debt and to figure out how much you owe. Below three
different debt types are discussed as well as debts you may owe if you received
traffic tickets as part of your case or if you had tickets prior to being
incarcerated.

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RESTITUTION
If you are incarcerated, you should be able to get a copy of your
restitution balance sheet from your facility (either a CDCR facility or
county jail). Ask your Correctional Counselor if you have any questions
about your restitution.2104
If you have just been released, your facility (or the agency it has
chosen) will either continue to collect your debt itself or refer your
debt out to a private collection agency or the Franchise Tax Board.2105
You should get a demand notice from whichever agency will continue
collecting your restitution debt within 90 days of your release,
although there is no set time for this.2106
If you are on parole, probation, or community supervision, talk to your
parole agent or probation officer.2107 They can give you a copy of your
balance sheet, which has information about how much you currently
owe.
At any time, you can also find out how much you owe by contacting
an Adult Restitution Agent at the CDCR Office of Victim & Survivor
Rights & Services Restitution Unit at (877) 256-6877 (toll free). They
will be able to tell you your restitution balance and can give you
information about what to do while you wait for the collection agency
to contact you.2108

I HAVEN’T EVER RECEIVED NOTICE THAT I OWE ANY
MONEY FOR RESTITUTION, SO I PROBABLY DON’T,
RIGHT?

REQUESTING
COPIES OF
YOUR ORIGINAL
SENTENCING
ORDERS
If you want to see
what amounts you
were originally
ordered to pay, you
can request a copy
of your sentencing
order from the court
that sentenced you.
HOWEVER, these
amounts are the
original amounts
ordered by the
court, and will NOT
reflect any
payments that
you’ve made OR
include any interest
or fees that have
been added since.
The order also will
NOT show the debts
you owe from ANY
other cases.

Not necessarily. While you should receive notice of your debt, it is possible that
you won’t. As we said in the beginning of this Chapter, any number of things
may have prevented the notice of your debt from getting to you. Even if you
have received a demand notice, it is possible that the notice you received only
covered some, but NOT all of your debts. Remember, your various debts may
have been sent to different agencies. For this reason, it is possible that you owe
money even if you did NOT receive a notice and it is possible that you owe more
money than the notice stated. It is always better to check in order to be safe!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 2085.5; CAL. DEP’T CORR. & REHAB., An Adult Offender’s Guide to Restitution (Apr. 2007),
http://www.cdcr.ca.gov/victim_services/docs/Adult_Offender_Guide.pdf.
2105
CAL. PENAL CODE § 2085.5; see also Office of Victim & Survivor Rights & Svcs., CAL. DEP’T OF CORR. & REHAB.,
Offender Restitution Information FAQ, http://www.cdcr.ca.gov/victim_services/restitution_offender.html.
2106
Telephone Interview with Brandy (last name unknown), Agent, Office of Victim & Survivor Rights & Svcs., CAL.
DEP’T OF CORR. & REHAB. (Feb. 10, 2015); see also CAL. REV. & TAX CODE § 19280.
2107
Office of Victim & Survivor Rights & Svcs., CAL. DEP’T OF CORR. & REHAB., Parolee Restitution Payment Instructions,
http://www.cdcr.ca.gov/victim_services/parolee_payment_instructions.html; Cal. Victim Comp. & Gov’t Claims
Board, Your Restitution Responsibilities: A Brochure for Adult & Juvenile Offenders at 5 (rev’d May 2009),
http://www.victimsofcrime.org/docs/restitution-toolkit/c5_ca-restitution-brochure-for-offenders.pdf?sfvrsn=2.
2108
Telephone Interview with Brandy (last name unknown), Agent, Off. of Victim & Survivor Rights & Svcs., CAL. DEP’T
OF CORR. & REHAB. (Feb. 10, 2015); see also Office of Victim & Survivor Rights & Svcs., CAL. DEP’T OF CORR. & REHAB.,
Offender Restitution Information FAQ, http://www.cdcr.ca.gov/victim_services/restitution_ftb.html.
2104

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COURT FINES AND PENALTIES AND COURT
ADMINISTRATIVE FEES
As discussed on PG. 763, court fines and penalties are debts you may incur as
punishment or consequences for the crime you were charged with. Court
administrative fees are the fees that are paid for the daily operation of the court.
While these two debts are different, here these debts are discussed together
because they are usually grouped together (totaled) when discussing how much
you owe the court and require you to pay both fees together and to pay these
fees to one office.

HOW DO I FIND OUT IF I HAVE ANY COURT FINES AND FEES?
STEP 1:

Contact the court where you were convicted

To find out how much you owe in court fines and fees, you should start by
contacting the court in the county where you were convicted. You should try to
provide your case number, however you may be able to locate your case using
your name, birth date, and/or other personal information. If you have any court
papers from your case, they will list your case number and the county you were
convicted in. If you don’t have any of your court papers, you may need to get a
copy of your RAP sheet to figure out what court(s) you have convictions from.
STEP 2: Find out where your debt is now
When you contact the court, the clerk should be able to tell you what you were
ordered to pay, whether your case has been sent to collections, and if so, which
collection agency now has your debt. Remember, if you have convictions from
multiple cases, even if they are all in the same county, you will need to ask about
every case.
If you have convictions from different counties, you will need to contact the
court in each county.
Make sure to ask the court for the contact information for each and every
agency that will be collecting your debt. If some or all of your debt is still with the
court, ask the clerk how to contact the court’s “collection” or “revenue” unit (the
department that keeps track of court-ordered debts and payments). (For a list of
California county court collection unit contact information, see Appendix G,
PG. 814.)
STEP 3: Contact the collection agency in charge of your debt
Once you know which collection agency is collecting your debt, you can contact
them directly to ask how much you owe and how to pay. Remember that your
debts may be collected by several different collection agencies, so you may
need to contact all the different agencies to find out how much you owe in total.
You may get shuffled around to many different people, but this is important, so
be patient!

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TRAFFIC FINES & FEES
HOW DO I FIND OUT HOW MUCH I OWE IN TRAFFIC FINES?
FOR NEW TICKETS AND FINES:
•

•

•

•

A parking ticket shows the amount you must pay on the ticket itself. The
ticket will also say where to send your payment (usually to the local city
government or parking agency), how to pay in person, and/or whether you
can pay online. If you want to dispute the ticket itself or the amount that you
owe, contact the parking agency on the ticket and ask the clerk what to
do.2109
An infraction ticket will show you either (1) the amount of the fine that you
have to pay, or (2) when you have to appear in court. If you are required to
go to court, the judge will tell you how much the fine is.2110
For a misdemeanor ticket, you must go to court on the date stated on your
ticket. The court will tell you how much you must pay if you are convicted.
Your fines and fees may be as much as $5000, you may face jail time, and/or
your driver license may be suspended.2111
If you have questions or disagreements about your infraction or
misdemeanor ticket, contact the court listed on your ticket. Contact
information and/or links for all local traffic courts is also available online at
http://www.ca.gov/Driving/LawsSafety/TrafficFines.html.

FOR OLD TICKETS AND FINES:
If you don’t have the paper ticket anymore, but you know WHERE you got it…
•

•

For parking tickets, contact the parking authority in the city where you got
the ticket and tell them you need information about an old parking ticket.
This may be the Department of Parking and Traffic, the county sheriff’s
department, or the local police department.
For infraction and misdemeanor tickets, contact the traffic court in the
county where the ticket was issued. The traffic court clerk will be able to tell
you how much money you owe and explain the payment process.2112 The
clerk will be able to tell you if you have multiple tickets for traffic-related
infractions or misdemeanors in that county, but will not have information
about non-traffic related offenses. The clerk also will not be able to tell you if
you have unpaid traffic tickets in other counties.

If you don’t know WHERE you got the ticket or if the ticket is OUTSTANDING…
•
•

See PG. 775 to find out how to find your old traffic tickets.
Follow steps 1 and/or 2 above once you know where you have unpaid traffic
tickets.

If your traffic fines have been referred to collections, you will need to contact the
collection agency to find out how much you owe and how to pay off your fines.
Ask the court or agency that issued the ticket which collection agency they send
your debt to, and be sure to get the collection agency’s phone number and
contact information.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See CAL. VEH. CODE § 40200 et seq.
See CAL. VEH. CODE §§ 28001; 40000.7.
2111
See CAL. VEH. CODE §§ 28001; 40000.7.
2112
Telephone interview with Carrie (last name unknown), Traffic Court Clerk, Superior Court of the County of
Alameda (Feb. 10, 2015).
2109
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GENERAL INFORMATION ABOUT TRAFFIC FINES:
An important thing to know about traffic fines is that there are lots of additional
fees and penalties that can get added to your initial fine. These extra fees and
penalties are added automatically—regardless of whether it’s a new or old
ticket, and even if you pay everything on time! Your fines may also increase if
you have prior traffic violations or points on your driving record. Depending on
what your original ticket was for, the additional fees and penalties can
sometimes add up to several hundred dollars for an infraction ticket (and much
more for a misdemeanor ticket).2113

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

JUDICIAL COUNCIL OF CAL., Uniform Bail & Penalty Schedules at (2014), http://www.courts.ca.gov/documents/2014JC-BAIL.pdf.
2113

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IV. PAYING OFF OR
“SATISFYING” MY
COURT-ORDERED DEBT
How you pay your fines, fees, and restitution will vary, because each court and
agency handles unpaid debts slightly differently. Depending on where you were
convicted, the type(s) of debt(s) you owe, how much you owe, how old your debt
is, and whether you are currently incarcerated or on supervision, your debt may
be collected by any one of these departments or agencies:
•
•
•
•
•
•
•
•
•

Court Collections
CDCR
Local jail or juvenile hall
Parole officer
Probation Department
Victim Compensation & Government Claims Board
Franchise Tax Board
County collection agency
Private collection agencies

RESTITUTION
HOW DO I PAY RESTITUTION WHILE INCARCERATED?
CDCR (or the county jail) will automatically deduct victim restitution, and, if
possible, restitution fine payments from deposits in your trust account and any
wages you earn.2114 You can also make voluntary payments whenever you like.

HOW DO I PAY RESTITUTION WHILE ON A STATE PAROL?
CDCR has most likely sent your victim restitution debt to the Franchise Tax
Board for collection. The FTB will send you a demand notice with contact
information and instructions on how to set up a payment plan. You can also
contact the FTB directly to make payment arrangements. (See PG. 786 for FTB
contact information.) If you also want to pay off your restitution fines (or parole
revocation fines) voluntarily while you are on parole, you can send these
payments directly to CDCR. Your parole agent can tell you how much you owe
and/or answer other questions about your payments.2115

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 2085.5 (money collected will be used to pay off direct orders (victim restitution) first, and then
restitution fines). The law also authorizes CDCR and/or the county collection agency to deduct a 10% administrative
fee, in addition to the restitution payments collected.
2115
Office of Victim & Survivor Rights & Svcs., CAL. DEP’T OF CORR. & REHAB., Offender Restitution Information FAQ,
http://www.cdcr.ca.gov/victim_services/restitution_offender.html; see also Office of Victim & Survivor Rights & Svcs.,
CAL. DEP’T OF CORR. & REHAB., Parolee Restitution Payment Instructions,
http://www.cdcr.ca.gov/victim_services/parolee_payment_instructions.html. You can also send money electronically
through Jpay (www.jpay.com) or Access Secure Deposits (www.inmatedeposits.com). You CANNOT send money to
CDCR through Western Union.
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Make sure you include your name and CDCR number with your payment, and
send to:
CDCR—Office of Trust Accounting
P.O. Box 276088
Sacramento, CA 95827

HOW DO I PAY RESTITUTION WHILE ON PROBATION, PRCS, OR
MANDATORY SUPERVISION IN CALIFORNIA?
You should ask your probation officer about making payments.2116 You can also
call the CDCR Office of Victim & Survivor Rights & Services Restitution Unit at
(877) 256-6877 (toll free) to discuss your restitution balance and arrange your
payments.

!

IMPORTANT: PAY OFF RESTITUTION AND CONDITION-OF-PROBATION
DEBTS FIRST!
Always try to pay off your restitution and any other debts that are
conditions of your probation first, as these can affect the length of your
probation and your ability to have your conviction dismissed under
California’s expungement statute.2117 (Payments are supposed to go to
these debts first automatically, but this doesn’t always happen.)2118
•

•

•

When you make a payment in person, ask the clerk (or collections
representative) who receives your payment to put it toward your restitution
and any other fines imposed as conditions of your probation first.
If you make payments online, you can select which fines or fees your
payment will go toward. Make sure you select the ones that are conditions of
your probation first.
If send your payment by mail, write on your check or money order in the
memo line—or include a note—that indicates which fine or fee the payment is
specifically meant for.

After you are off state parole, CDCR will refer the remainder of your debt
(unpaid restitution fines, parole revocation restitution, court fines and fees,
administrative fees) to the California Franchise Tax Board.2119

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Cal. Victim Comp. & Gov’t Claims Board, Your Restitution Responsibilities: A Brochure for Adult & Juvenile
Offenders at 5 (rev’d May 2009), http://www.victimsofcrime.org/docs/restitution-toolkit/c5_ca-restitution-brochurefor-offenders.pdf?sfvrsn=2.
2117
CAL. PENAL CODE §§ 1203.3, 1203.4, 1203.4(a)(1).
2118
CAL. CONST., art. I, § 28(b)(13)(C) (Marsy’s Law); CAL. PENAL CODE §§ 1203.1d, 2085.5.
2119
CAL. PENAL CODE § 2085.5; CAL. REV. & TAX CODE § 19280; see also Office of Victim & Survivor Rights & Svcs., CAL.
DEP’T OF CORR. & REHAB., Offender Restitution Information FAQ,
http://www.cdcr.ca.gov/victim_services/restitution_offender.html.
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WHAT WILL HAPPEN IF I CAN’T PAY THE RESTITUTION?
It depends who you owe the restitution to.
If the California Franchise Tax Board (FTB) is in charge of collecting your
restitution debt, here are some steps you can take to possibly make your
financial situation easier:
1)

Set Up a Payment Plan: Contact the FTB to discuss your options for paying
your debt in installments instead of all at once;
2) Manage Your Payments Online: Set up an online account to instantly view
your current balance, make payments, and keep records of the debt you
have already paid.
3) Get Your Payments Reduced: If the FTB is taking too much money out of
your paycheck (called “wage garnishment”) and you don’t have enough to
live on, you can claim financial hardship and ask the FTB to reduce the
2120
amount being taken out of each paycheck.
(Note: The FTB can only
lower the amount taken from each payment, but cannot reduce the total
amount of debt that you owe.) (See PG. 768 for more information on wage
garnishment.)
4) Dispute the Amount You Owe: If you disagree with the AMOUNT of debt you
owe, you will need to contact the local court or county collection agency
listed on your demand notice (the document notifying you that you owe
money) directly. The FTB can help you lower the amount you pay each
month, but it CANNOT answer questions or make changes to your total debt
orders.
The California FTB employs representatives to help you. You can call the FTB at
(916) 845-4064 during normal weekday hours (Monday-Friday, 8 a.m. – 5 p.m.)
or visit the FTB’s website at:
https://www.ftb.ca.gov/online/Court_Ordered_Debt/index.asp.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Cal. Franchise Tax Board, Court–Ordered Debt (COD)—Frequently Asked Questions (Debtor),
https://www.ftb.ca.gov/online/Court_Ordered_Debt/faq_debtor.shtml#q3; see also Cal. Franchise Tax Board,
Nontax Debt Collections, https://www.ftb.ca.gov/aboutFTB/ND_2011_12.pdf (rev’d Aug. 1, 2012).
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COURT FINES, PENALTIES, ADMINISTRATIVE
FEES
HOW DO I PAY OFF THE COURT FINES, PENALTIES, AND
ADMINISTRATIVE FEES?
As discussed on PG. 763, court fines and penalties are debts you may incur as
punishment or consequences for the crime you were charged with. Court
administrative fees are the fees that are paid for the daily operation of
GETTING RID
the court. While these two debts are different, here these debts are
OF CIVIL
discussed together because they are usually grouped together (totaled)
ASSESSMENT
when discussing how much you owe the court and require you to pay
CHARGES
both fees together and to pay these fees to one office.
If you don’t make

payments on time
or don’t go to
court when you’re
supposed to, the
judge adds an
extra fee of $300
to your debt. This
is called a “civil
assessment.” If
the reason you
didn’t pay or
appear in court
was because you
were
incarcerated, and
you were charged
with a civil
assessment as a
result, you should
be able to get it
waived by filing a
“Petition to
Vacate Civil
Assessment.” This
form is available
from the court
clerk. A sample
form is also
available in
Appendix H,
PG. 818.

The process for collecting court fines and fees is complicated and may
be different from county to county. In general, you can follow these
instructions:2121
STEP 1:

Contact the court(s) where you were convicted

See PG. 781 (Step 1 on how to find out how much you owe in court fines
and administrative fees) for instructions on how to identify and contact
the court(s) where you were convicted.
STEP 2: Find out who is in charge of collecting your debt and contact
them
Different counties have different methods for collecting court fines and
fees. Depending on where you are located, collection may be handled
by different agencies, including the court itself, a county agency, a
private collection agency, or the Franchise Tax Board. See PG. 781
above (Steps 2-3 on how to find out how much you owe in court fines
and administrative fees) for instructions on how to identify and contact
the agency(ies) in charge of collecting your debt.
Remember that your debts may be collected by several different
collection agencies, so you may need to contact each of these different
agencies about making payments.
STEP 3: Discuss your payment options.
When you contact the collection agency or court that’s in charge of
your debt, a representative can help you design a payment plan that
works best for your situation. The goal is to create a plan that will
prevent you from facing extra fees or other penalties (like a hold on your
DMV record) that can result from late or insufficient payments.

It is important to be open and honest about your current financial situation,
including whether or not you have a job, pay child support, or owe any other
debts or payments. Most of the time, the collection representative will take these
things into account and work with you to create a plan that you can realistically
stick to.
Depending on your individual situation and the amount of money you owe, the
collection agency may ask you to pay everything off right away. In other
situations, they may allow you to set up a payment plan so that you make

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Telephone interview with Anita Lee, Legislative Analyst, Cal. Legislative Analyst Office (Feb. 12, 2015); see also
Cal. Legislative Analyst Office, Restructuring the Court-Ordered Debt Process, 9 (Nov. 2014).
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smaller payments over time. Remember that the agency or court might charge a
fee to cover the costs of managing your payment plan, and might charge
additional fees for each payment you make.2122 Collection agencies can also
charge BIG penalty fees for any late payments (or even demand that you pay off
the entire remaining amount due). Make sure you ask about fees and penalties
and/or read the fine print before you agree to a payment plan!

WHAT MIGHT HAPPEN IF I CAN’T PAY MY DEBT?
If you don’t keep up with your payments, your debt becomes delinquent
(overdue). The agency in charge of collecting your debt will send a notice letter
to your last known address explaining that your payment is overdue.2123 After 10
days, the court or agency may order you to pay extra fees on top of what you
already owe, or they may put a hold on your DMV record.2124 The amount of late
fees you may owe will depend on many factors, including what county your debt
is in, what agency is in charge of collection, and the amount of debt you owe.
(For more information on fair debt collection practices, see Appendix F,
PG. 809.)
•

•

If you are on parole, talk to your parole agent and explain that you are
having a hard time making payments. He or she may be able to work with
you to help you manage this debt.2125
If you are on probation, talk to your probation officer and explain that you
are having a hard time making payments. The probation department or the
court may do a financial evaluation (meaning a consideration of your income,
other debts, etc.), and will decide whether to reduce your payment amounts
based on your inability to pay.2126 You also have the right to ask to court to
reduce some or all of your fines and fees.2127 Keep in mind, however, that the
judge can also order you to look for work as a condition of your probation,
and may require you to bring in proof that you’re applying for jobs every
week.2128
IN GENERAL, YOUR INABILITY TO PAY WILL NOT BE CONSIDERED A
VIOLATION IF IT IS DUE TO CIRCUMSTANCES BEYOND YOUR
CONTROL. However, in more serious cases, you could have your
probation extended or even revoked if:
1)

you’re not paying debts that are a condition of your probation AND
you are also violating other probation conditions (such as reporting
requirements), OR
2) the court thinks that you are willfully refusing to pay.
For this reason, it is very important that you speak with your probation
officer and make it clear that you are not avoiding payments on purpose.
If you are able to make even very small payments, this will help show the
court and your probation officer that you are making an effort.
•

If you are not on any form of supervision, contact the agency in charge of
collecting your debt and ask to set a new payment plan. (See PG. 781 for

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 1205(e) (mandating payment of administrative fees for court installment plans on fines and
fees).
2123
CAL. VEH. CODE § 40509.5.
2124
CAL. PENAL CODE § 1214.1; CAL. VEH. CODE § 40509.5.
2125
CAL. DEP’T OF CORR. & REHAB., Parolee Information Handbook,
http://www.cdcr.ca.gov/parole/_pdf/paroleehandbook.pdf.
2126
CAL. PENAL CODE § 1203(j); CAL. GOV’T CODE § 27755.
2127
CAL. GOV’T CODE § 27755(d).
2128
CAL. PENAL CODE § 1203.1(d).
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•

information on how to find and contact the agency in charge of your debt to
set up a payment plan.)
If you are re-incarcerated, the debt associated with your prior conviction will
not go away. You will still be responsible for paying it off. However, you
should not face any extra fees or interest charges for failing to pay while you
are inside.2129 If for some reason you are charged a fee for missing a payment
while incarcerated, you should contact the court or collection agency when
you are released and provide them with proof that you were incarcerated
during that time period to have the fee waived.2130

TRAFFIC FINES AND FEES
HOW DO I PAY MY TRAFFIC FINES?2131
For parking tickets, send your payment to the parking agency listed on the
ticket.
For infraction tickets: Read the ticket carefully—it will tell you whether to pay a
fine or appear in court.
If you are paying a fine, you will make payments to the court in the county
where you received the ticket. Check the ticket for specific information about
how and where to send your payment. You may also get a letter from the court—
most counties will send you information about how to pay or contest (challenge)
your ticket, and whether you have the option of attending traffic school instead.
You can also contact the court right away to set up a payment plan.2132
The ticket will also indicate whether you have a “correctable violation.” If so, you
can have your ticket AND traffic fine dismissed by fixing the problem, showing
proof that you have made the correction, and paying a dismissal fee.2133 To get
proof that you have corrected the problem, you must get an authorized person
to sign the “Certificate of Correction” line on your ticket. Bring the signed ticket
and your dismissal fee payment to the court clerk BEFORE the deadline on the
ticket. (In some cases, you may also be able to send your proof of correction and
payment by mail—check your ticket or contact the court to find out.) The court
will then dismiss your case and it will not go on your record.
1)

For driver license and car registration violations, get your ticket signed by
the DMV or a court clerk.
2) For equipment violations, get your ticket signed by a police officer.
3) For proof of car insurance at the time of the citation, get your ticket signed
by a court clerk.
In some cases, you may be able to attend traffic school for your ticket.2134 Traffic
school is a driver training class that you can take to make sure that your ticket
does not show on your driving record. Tickets can impact your driving record by
adding “points” to it. Points on your record can cause your insurance rate to
increase and can even result in the suspension or revocation of your license.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Not paying a fee or missing a payment because you were incarcerated and receiving a Failure to Appear citation
as a result, is considered a “valid excuse” meaning you do not have to pay this fee. See Superior Court of Cal.,
Frequently Asked Questions, https://www.saccourt.ca.gov/traffic/faq.aspx.
2130
See Superior Court of Cal., Frequently Asked Questions, https://www.saccourt.ca.gov/traffic/faq.aspx.
2131
JUDICIAL COUNCIL OF CAL. Traffic & Ticket Basics, http://www.courts.ca.gov/8452.htm.
2132
CAL. VEH. CODE § 40510-10.5.
2133
CAL. VEH. CODE §§ 40150-53, 40610-18, 40303.5, 40522; JUDICIAL COUNCIL OF CAL., Correctable Violations (“Fix-It”
Tickets), http://www.courts.ca.gov/9529.htm.
2134
CAL. VEH. CODE §§ 41501, 42005.
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You may get a letter from the court telling you if traffic school is an option, but
you can also contact the court directly to ask. If the court lets you go to traffic
school, you will need to complete the course by a specific deadline and provide
a certificate of completion to prove that you have completed it.2135 Make sure
you attend a traffic school that is approved by the court, otherwise you will not
receive credit for completing the course. The court can provide you with a list of
approved schools.
If you successfully complete traffic school, your ticket will still go on your driving
record, but it will be made confidential (hidden).2136 Also, you will still have to pay
all of your traffic fines, AND you will also have to pay additional enrollment fees
to the court and to the traffic school.2137 However, you will NOT get any points
added to your driving record,2138 which means your insurance rates won’t go up
and your license will not be in danger of suspension or revocation. So, even
though traffic school can cost you MORE money in the SHORT term, it can SAVE
you a lot of money and trouble in the LONG run.
For more information on traffic school, ask the traffic court clerk or visit the
Judicial Council website at http://www.courts.ca.gov/9410.htm.

ACTION ITEM: CAN I GO TO TRAFFIC SCHOOL?
Generally, you can go to traffic school if:
• You have a valid, regular (not commercial) driver license,
• Your ticket is for a moving violation that is an infraction (not a misdemeanor),
and
• You were driving a regular (non-commercial) vehicle when you got the ticket.
Some reasons why you may NOT be eligible for traffic school:
• You have a parking ticket or misdemeanor ticket;
• Your ticket was for a serious moving violation—including speeding more than
25mph over the speed limit;
• Your ticket was for a DUI or other drug/alcohol-related violation;
• You’ve gone to traffic school for another ticket within the past 18 months; or
• You were driving a commercial vehicle when you got the ticket.2139

For OLD infraction tickets, you will need to find out which court or agency is in
charge of collecting your fines (see PG. 775) and how much you owe (see
PG. 782). Then contact that agency to find out how to pay off your fines.
For misdemeanor tickets: You will need to go to court in the county where you
got the ticket, on the day and time listed on your ticket. The court will tell you
how much you owe, and you will make payments to the court.
For OLD misdemeanor tickets, you will need to find out which court or agency is
in charge of collecting your fines (see PG. 775) and how much you owe (see
PG. 782). Then contact that agency to find out how to pay off your fines.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. VEH. CODE § 40512.6.
CAL. RULES OF COURT, Rule 4.104. Procedures and eligibility criteria for attending traffic violator school,
http://www.courts.ca.gov/9410.htm.
2137
CAL. VEH. CODE § 42007–07.1.
2138
CAL. VEH. CODE § 1808.7; but see § 1808.10 (conviction not confidential for holder of commercial driver license).
2139
CAL. VEH. CODE § 42005; CAL. RULES OF COURT, Rule 4.104 (2015).
2135
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!

IMPORTANT: Remember, you must pay your fines BEFORE the deadline
listed on the ticket or given by the court. If you don’t pay your fines on
!
time, you can be charged double in penalties
and your case may be
referred to a collection agency. The DMV may also put a hold on your
registration or driver license, until you pay your fines.2140

WHAT OPTIONS DO I HAVE IF I CANNOT PAY MY TRAFFIC
FINES?
It depends on the type of traffic fine.
FOR PARKING TICKETS
Talk to the parking agency (or collection agency, if your parking fines
were sent to collections) about setting up a payment plan. Keep in mind
that the payment plan may charge additional fees, as well as big
penalties for missed payments—so make sure to ask about any fees
and penalties before you sign up!
FOR MISDEMEANOR AND INFRACTION TICKETS
•

•

•

A NOTE ABOUT
TRAFFIC
TICKETS:
Sometimes it can
take several
weeks for your
ticket to show up
in the court’s
computer system.
If you call the
court and they
don’t have a
record of your
ticket yet, don’t
be discouraged!
You may have to
call back again
later to get your
question
answered.

Talk to the traffic court clerk (or collection agency, if your traffic fines
were sent to collections) about setting up a payment plan. Keep in
mind that the payment plan may charge additional fees, as well as
big penalties for missed payments—so make sure to ask about any
fees and penalties before you sign up!2141
You can go back to court and ask the judge to reduce or forgive your
traffic fines based on your inability to pay. (You can also do this at the
time when the judge first orders you to pay the fines.) Either the
judge or another county official will do an evaluation of your financial
situation. Based on this evaluation, the judge will decide how much of
your fines—if any—you will have to pay, and will set up a payment
plan for you.2142
Some counties have amnesty programs that can reduce the amount of debt
you owe for overdue infraction and misdemeanor tickets.2143 Contact the local
traffic court to find out whether the county has an amnesty program and
whether you are eligible.

WHAT OPTIONS DO I HAVE TO REDUCE OR FORGIVE MY
COURT-ORDERED DEBT?
It depends on the type of court-ordered debt.
RESTITUTION
As we have stated, restitution is mandatory and stays with you for life. However,
a judge may order you to do community service instead of paying restitution if
he or she finds “compelling and extraordinary reasons” for doing so. Again, your
inability to pay is not a compelling or extraordinary reason.2144

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2140
2141
2142
2143
2144

CAL. VEH. CODE § 40310 (50% penalty for all traffic fines overdue by 20 days or more).
CAL. VEH. CODE § 42003(a).
CAL. VEH. CODE § 42003(c)-(d).
CAL. VEH. CODE § 42008-08.7.
CAL. PENAL CODE § 1202.4(n); cf. 1202.4(c), (g).

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COURT FINES & PENALTIES AND COURT ADMINISTRATIVE FEES:
It is often possible to get your fines and fees reduced or forgiven (“vacated”) by
the court. However, it depends heavily on what county your debt is from, and
which judge is considering your case.
In general, judges are more likely to reduce or waive fines and fees if you can
show that:
• You’re making an effort to pay your debts (for example, you’re paying
restitution, even though you can’t afford to pay the other fines and fees);
• You’re taking steps toward rehabilitation (for example, you’re in drug
treatment or anger management counseling; you’re enrolled in school;
you’ve reunited with your family); and
• You’re following all other conditions of your supervision.
Here are some ways that you may be able to reduce, forgive, or otherwise
satisfy your fines and fees:
• Some courts may allow you to do community service instead of paying your
fines and fees.2145 However, there is a lot of variation from county to county,
and many counties may not offer community service at all. If the judge did
not give you the option of community service at sentencing, you should
contact the court or local public defender to ask if the county runs a
community service program.
• The court may allow you to voluntarily choose to do jail time instead of
paying your court-ordered fines. You can get your debt reduced by $30/day
spent in custody.2146
• You can go to the court directly and ask the judge to forgive (“vacate” or
“dismiss”) or reduce your debts.
• If you get your conviction dismissed, the court can forgive any remaining
fines and fees you owe, including restitution fines2147 (but the court CANNOT
forgive your victim restitution).2148

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Marcus Nieto, Cal. Research Bureau, Who Pays for Penalty Assessment Programs in California? 19-26 (Feb. 2006),
http://www.library.ca.gov/crb/06/03/06-003.pdf (judges can impose community service in place of fines and fees);
Brennan Center, Criminal Justice Debt: A Barrier to Reentry at 42 n.75 (describing county-level variations); Interview
with Buffy Hutchinson, Criminal Defense Attorney, San Francisco, Dec. 18, 2014.
2146
CAL. PENAL CODE §§ 1205(a), (b), 2900.5; People v. McGarry, 96 Cal. App. 4th 644, 652 (2002); see also Brennan
Center for Justice, Criminal Justice Debt: A Barrier to Reentry at 50 n.138, n.142 (2010),
http://brennan.3cdn.net/c610802495d901dac3_76m6vqhpy.pdf.
2147
CAL. PENAL CODE §§ 1203.4, 1203.4a; People v. Holman, 214 Cal. App. 4th 1438 (2013); People v. Guillen, 218 Cal.
App. 4th 975 (2013).
2148
CAL. CONST., art. I, § 28(b)(13) (Marsy’s Law); CAL. PENAL CODE §§ 1203.4, 1203.4a.
2145

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!

IMPORTANT INFORMATION ABOUT PAYING YOUR COURT-ORDERED
2149
DEBT:
•

•

•

•

If you owe payments on more than one case, make sure you specify which
case AND which fine or fee within that case your payment is for—otherwise
2150
the payments may automatically go to your oldest case first.
Remember,
you want to pay off the debts that are conditions of probation, BEFORE
paying off any other debts.
Try to make small, consistent payments to the court. This shows that you
are aware of your debts and are doing your best to pay them off. It may also
keep the court from sending your case to collections.
If you sign up for a payment plan, make sure to ask about the interest rate,
any additional fees, and penalties for missed payments. Collection agencies
often add extra fees and interest to your account, which could increase the
total amount you have to pay.
Keep a list of all payments you make, including the date and time, and who
you gave the payment to (the court, county collection agency, FTB, or
private collection agency). When you make a payment, always ask for a
receipt for the current payment and a print-out of the amount you still owe.

TRAFFIC FINES & FEES
Expenses from traffic fines and fees may seem unimportant if you do not have a
car and/or you do not drive frequently. However, remember that these fees (like
the other fees discussed in this Chapter) may have a significant impact on your
parole or probation conditions and/or finding employment. Because of their
impact, it can help to find out if you have any tickets and if you owe any fees, so
you can make informed future decisions about how to resolve your debt.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Interview with Michele Vela-Payne, Supervising Probation Officer, Sacramento Cnty. Prob. Dep’t, Nov. 5, 2014.
CAL. PENAL CODE § 1203.1d (allocation of partial payments). The older case may not be the most important one to
pay off; for example, if you owe administrative fees on the older case, but you owe restitution or other fines that are
conditions of probation on a newer case, making payments on the newer case is more important.
2149
2150

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V.

CONCLUSION

Many people struggle with different types of debt, but it can be particularly
difficult if you are trying to rebuild your life after incarceration. If you have courtordered debt, the bottom line is, you will likely have to figure out a way to pay it
off at some point. Hopefully this Chapter gave you some useful information to
help you not only minimize the debt itself, but also its impact on your life.

PAGE 794 OF 1210

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Court-Ordered Debt
Appendix
APPENDIX A.

Annual Credit Report Request Form – PG. 796

APPENDIX B.

Earnings Withholding Order (Judicial Council Form WG-002)
– PG. 798

APPENDIX C.

Employee Instructions (Wage Garnishment) (Judicial Council
Form WG-003) – PG. 801

APPENDIX D.

Claim of Exemption (Judicial Council Form EJ-160) –
PG. 804

APPENDIX E.

Exemptions from the Enforcement of Judgments (Judicial
Council Form EJ-155) – PG. 806

APPENDIX F.

Fair Debt Collection Practices & A Sample Letter to Debt
Collection Agency – PG. 809

APPENDIX G.

California County Court Collection Unit Contact Information
– PG. 814

APPENDIX H.

Sample Petition to Vacate Civil Assessment – PG. 818

APPENDIX I.

Consumer Financial Protection Bureau: To Get and Keep a
Good Credit Score – PG. 820

PAGE 795 OF 1210

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APPENDIX A
Annual Credit Report Request Form
See the form on the next page.

PAGE 796 OF 1210

Annual Credit Report Request Form
You have the right to get a free copy of your credit file disclosure, commonly called a credit report, once every 12 months, from each of
the nationwide consumer credit reporting companies, Equifax, Experian and TransUnion.

For instant access to your free credit report, visit www.annualcreditreport.com.
For more information on obtaining your free credit report, visit www.annualcreditreport.com or call 877-322-8228.
Use this form if you prefer to write to request your credit report from any, or all, of the nationwide consumer credit reporting companies. The
following information is required to process your request. Omission of any information may delay your request.
Once complete, fold (do not staple or tape), place into a #10 envelope, affix required postage and mail to:
Annual Credit Report Request Service P.O. Box 105281 Atlanta, GA 30348-5281.
Please use a Black or Blue Pen and write your responses in PRINTED CAPITAL LETTERS without touching the sides of the boxes like the examples listed below:

Social Security Number:

Date of Birth:

-

-

/
Month

/
Day

Year

Fold Here

Fold Here

M.I.

First Name

JR, SR, III, etc.

Last Name

Current Mailing Address:

House Number

Street Name

Apartment Number / Private Mailbox

For Puerto Rico Only: Print Urbanization Name

City

State

ZipCode

Previous Mailing Address (complete only if at current mailing address for less than two years):

House Number

Street Name
Fold Here

Fold Here

For Puerto Rico Only: Print Urbanization Name

Apartment Number / Private Mailbox

City

State

Shade Circle Like This >
Not Like This >

I want a credit report from (shade
each that you would like to
receive):
Equifax
Experian

ZipCode

Shade here if, for security
reasons, you want your credit
report to include no more than
the last four digits of your
Social Security Number.

TransUnion

If additional information is needed to process your request, the consumer credit
reporting company will contact you by mail.
Your request will be processed within 15 days of receipt and then mailed to you.
Copyright 2015, Central Source LLC

!

31238

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APPENDIX B
Earnings Withholding Order
(Judicial Council Form WG-002)
See next page.

PAGE 798 OF 1210

!

WG-002

ATTORNEY OR PARTY WITHOUT ATTORNEY (Name, State Bar number, and address):

TELEPHONE NO.:

LEVYING OFFICER (Name and address):

FAX NO.:

E-MAIL ADDRESS:
ATTORNEY FOR (Name):

SUPERIOR COURT OF CALIFORNIA, COUNTY OF
STREET ADDRESS:
MAILING ADDRESS:
CITY AND ZIP CODE:
BRANCH NAME:

PLAINTIFF/PETITIONER:
DEFENDANT/RESPONDENT:

EARNINGS WITHHOLDING ORDER
(Wage Garnishment)

LEVYING OFFICER FILE NO.:

EMPLOYEE: KEEP YOUR COPY OF THIS LEGAL PAPER.

COURT CASE NO.:

EMPLEADO: GUARDE ESTE PAPEL OFICIAL.

EMPLOYER: Enter the following date to assist your recordkeeping.
Date this order was received by employer (specify the date of personal delivery by levying officer
or registered process server or the date mail receipt was signed):
TO THE EMPLOYER REGARDING YOUR EMPLOYEE:
Name and address of employer

Name and address of employee

Social Security No.

on form WG-035

unknown

1. A judgment creditor has obtained this order to collect a court judgment against your employee. You are directed to withhold part of
the earnings of the employee (see instructions on reverse of this form). Pay the withheld sums to the levying officer (name and
address above).
If the employee works for you now, you must give the employee a copy of this order and the Employee Instructions (form
WG-003) within 10 days after receiving this order.
Complete both copies of the form Employer's Return (form WG-005) and mail them to the levying officer within 15 days after
receiving this order, whether or not the employee works for you.
2. The total amount due is: $
Count 10 calendar days from the date when you received this order. If your employee's pay period ends before the 10th day, do
not withhold earnings payable for that pay period. Do withhold from earnings that are payable for any pay period ending on or after
that 10th day.
Continue withholding for all pay periods until you withhold the amount due. The levying officer will notify you of an assessment you
should withhold in addition to the amount due. Do not withhold more than the total of these amounts. Never withhold any earnings
payable before the beginning of the earnings withholding period.
3. The judgment was entered in the court on (date):
The judgment creditor (if different from the plaintiff) is (name):
4. The INSTRUCTIONS TO EMPLOYER on the reverse tell you how much of the employee's earnings to withhold each payday and
answer other questions you may have.
Date:
(SIGNATURE)

(TYPE OR PRINT NAME)

(Employer's Instructions on reverse)
Form Adopted for Mandatory Use
Judicial Council of California
WG-002 [Rev. July 1, 2014]

EARNINGS WITHHOLDING ORDER
(Wage Garnishment)

Page 1 of 2
Code of Civil Procedure, §§ 706.022, 706.108, 706.125
www.courts.ca.gov

ROADMAP TO REENTRY

INSTRUCTIONS TO EMPLOYER ON
EARNINGS WITHHOLDING ORDERS
The instructions in paragraph 1 on the reverse of this form describe your
COMPUTATION INSTRUCTIONS
early duties to provide information to your employee and the levying

WG-002

!

officer.
Your other duties are TO WITHHOLD THE CORRECT AMOUNT OF
EARNINGS (if any) and PAY IT TO THE LEVYING OFFICER during the
withholding period.
The withholding period is the period covered by the Earnings Withholding Order (this order). The withholding period begins ten (10) calendar
days after you receive the order and continues until the total amount due,
plus additional amounts for costs and interest (which will be listed in a
levying officer's notice), is withheld.
It may end sooner if (1) you receive a written notice signed by the
levying officer specifying an earlier termination date, or (2) an order of
higher priority (explained on the reverse of the EMPLOYER'S RETURN) is
received.
You are entitled to rely on and must obey all written notices signed by the
levying officer.
The Employer's Return (form WG-005) describes several situations that
could affect the withholding period for this order. If you receive more than
one Earnings Withholding Order during a withholding period, review that
form (Employer's Return) for instructions.
If the employee stops working for you, the Earnings Withholding Order
ends after no amounts are withheld for a continuous 180-day period. If
withholding ends because the earnings are subject to an order of higher
priority, the Earnings Withholding Order ends after a continuous two-year
period during which no amounts are withheld under the order. Return the
Earnings Withholding Order to the levying officer with a statement of
the reason it is being returned.

WHAT TO DO WITH THE MONEY
The amounts withheld during the withholding period must be paid to the
levying officer by the 15th of the next month after each payday. If you wish
to pay more frequently than monthly, each payment must be made within
10 days after the close of the pay period.
Be sure to mark each check with the case number, the levying officer's file
number, if different, and the employee's name so the money will be
applied to the correct account.

WHAT IF YOU STILL HAVE QUESTIONS?
The garnishment law is contained in the Code of Civil Procedure
beginning with section 706.010. Sections 706.022, 706.025, 706.050, and
706.104 explain the employer's duties.
The Federal Wage Garnishment Law and federal rules provide the basic
protections on which the California law is based. Inquiries about the
federal law will be answered by mail, telephone, or personal interview at
any office of the Wage and Hour Division of the U.S. Department of Labor.
Offices are listed in the telephone directory under the U.S. Department of
Labor in the U.S. Government listing.
THE CHART BELOW AND THESE INSTRUCTIONS APPLY UNDER
NORMAL CIRCUMSTANCES. THEY DO NOT APPLY TO ORDERS
FOR THE SUPPORT OF A SPOUSE, FORMER SPOUSE, OR CHILD.
The chart below shows HOW MUCH TO WITHHOLD when the state
minimum wage is $9.00 per hour, for different amounts of disposable
earnings (as described in the Computation Instructions) and different
pay periods. If the minimum wage changes in the future, the levying
officer will provide a chart showing the new withholding rates.

State and federal law limits the amount of earnings that can be withheld.
The limitations are based on the employee's disposable earnings, which
are different from gross pay or take-home pay.

To determine the CORRECT AMOUNT OF EARNINGS TO BE WITHHELD (if any), compute the employee's disposable earnings.
(A) Earnings include any money (whether called wages, salary,
commissions, bonuses, or anything else) that is paid by an employer to an
employee for personal services. Vacation or sick pay is subject to
withholding as it is received by the employee. Tips are generally not
included as earnings since they are not paid by the employer.
(B) Disposable earnings are the earnings left after subtracting the part of
the earnings a state or federal law requires an employer to withhold.
Generally these required deductions are (1) federal income tax, (2)
federal social security, (3) state income tax, (4) state disability insurance,
and (5) payments to public employee retirement systems. Disposable
earnings will change when the required deductions change.
After the employee's disposable earnings are known, use the chart
below to determine what amount should be withheld. In the column listed
under the employee's pay period, find the employee's disposable
earnings. The amount shown below that is the amount to be withheld. For
example, if the employee is paid disposable earnings of $1000 twice a
month (semi-monthly), the correct amount to withhold is 25 percent each
payday, or $250.
The chart below is based on the state minimum wage that is in effect on
July 1, 2014. It will change when the minimum wage changes. Restrictions
are based on the minimum wage effective at the time the earnings are
payable.
Occasionally, the employee's earnings will also be subject to a Wage
and Earnings Assignment Order, an order available from family law
courts for child, spousal, or family support. The amount required to be
withheld for that order should be deducted from the amount to be
withheld for this order.

IMPORTANT WARNINGS
1. IT IS AGAINST THE LAW TO FIRE THE EMPLOYEE BECAUSE OF
EARNINGS WITHHOLDING ORDERS FOR THE PAYMENT OF
ONLY ONE INDEBTEDNESS. No matter how many orders you
receive, so long as they all relate to a single indebtedness (no matter
how many debts are represented in that judgment), the employee may
not be fired.
2. IT IS ILLEGAL TO AVOID AN EARNINGS WITHHOLDING ORDER
BY POSTPONING OR ADVANCING THE PAYMENT OF EARNINGS.
The employee's pay period must not be changed to prevent the order
from taking effect.
IT IS ILLEGAL NOT TO PAY AMOUNTS WITHHELD FOR THE
EARNINGS WITHHOLDING ORDER TO THE LEVYING OFFICER.
Your duty is to pay the money to the levying officer who will pay the
money in accordance with the law that applies to this case.
IF YOU VIOLATE ANY OF THESE LAWS YOU MAY BE HELD
LIABLE TO PAY CIVIL DAMAGES AND YOU MAY BE SUBJECT TO
CRIMINAL PROSECUTION!

MAXIMUM WITHHOLDING FROM DISPOSABLE EARNINGS BY PAY PERIOD
MINIMUM WAGE: $9.00 per hour
Daily or Weekly

(Beginning July 1, 2014)

Every Two Weeks

Twice a Month

Monthly

$360.00 or less in workweek:
No withholding

$720.00 or less:
No withholding

$780.00 or less:
No withholding

$1560.00 or less:
No withholding

From $360.01 to $450.00:
Amount above $360.00

From $720.01 to $900.00:
Amount above $720.00

From $780.01 to $975.00:
Amount above $780.00

From $1560.01 to $1950.00:
Amount above $1560.00

$450.01 or more:
$900.01 or more:
$975.01 or more:
$1950.01 or more:
25% of disposable earnings
25% of disposable earnings
25% of disposable earnings
25% of disposable earnings

WG-002 [Rev. July 1, 2014]

PAGE 800 OF 1210

EARNINGS WITHHOLDING ORDER
(Wage Garnishment)

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ROADMAP TO REENTRY

APPENDIX C
Employee Instructions
(Wage Garnishment)
(Judicial Council Form WG-003)
See next page.

PAGE 801 OF 1210

ROADMAP TO REENTRY

WG-003

EMPLOYEE INSTRUCTIONS
-NOTICE-

-NOTICIA-

IMPORTANT LEGAL NOTICE TO EMPLOYEE
ABOUT EARNINGS WITHHOLDING ORDERS
(Wage Garnishment)

NOTICIA LEGAL IMPORTANTE RESPECTO
A LAS ÓRDENES DE RETENCIÓN DE SUELDO

The Earnings Withholding Order requires your
employer to pay part of your earnings to the sheriff or
other levying officer. The levying officer will pay the
money to a creditor who has a court judgment against
you. The information below may help you protect the
money you earn.

La Orden de Retención de Sueldo requiere que su
empleador pague una parte de su sueldo a un oficial
de embargo. El oficial le pagará el dinero retenido a
su acreedor que ha conseguido una decisión judicial
en contra de usted. Pida usted que un amigo o su
abogado le lea este papel oficial. Esta información le
puede ayudar a proteger su sueldo.

CAN YOU BE FIRED BECAUSE OF THIS?
NO. You cannot be fired unless your earnings have been withheld before for a different court judgment. If this is the first
judgment for which your wages will be withheld and your employer fires you because of this, the California Labor
Commissioner, listed in the phone book of larger cities, can help you get your job back.
HOW MUCH OF YOUR PAY WILL BE WITHHELD?
The reverse of the Earnings Withholding Order (abbreviated in this notice as EWO) that applies to you contains Employer
Instructions. These explain how much of your earnings can be withheld. Generally, the amount is about 25% of your take
home pay until the amount due has been withheld. The levying officer will notify the employee of an additional
assessment charged for paying out money collected under this order and that amount will also be withheld.
If you have trouble figuring this out, ask your employer for help.

IS THERE ANYTHING YOU CAN DO?
YES. There are several possibilities.
1. See an attorney. If you do not know an attorney, check with the lawyer referral service or the legal aid office in your
county (both are listed in the yellow pages under ''Attorneys'').
An attorney may be able to help you make an agreement with your creditor, or may be able to help you stop your
earnings from being withheld. You may wish to consider bankruptcy or asking the bankruptcy court to help you pay
your creditors. These possibilities may stop your wages from being withheld.
An attorney can help you decide what is best for you. Take your EWO to the attorney to help you get the best advice
and the fastest help.
2. Try to work out an agreement yourself with your creditor. Call the creditor or the creditor's attorney, listed on the
EWO. If you make an agreement, the withholding of your wages will stop or be changed to a smaller amount you
agree on. (See item 4 on the reverse for another way to make an offer to your creditor.)
3. You can ask for an EXEMPTION. An exemption will protect more, or maybe even all of your earnings. You can get an
exemption if you need your earnings to support yourself or your family, but you cannot get an exemption if:
a. You use some of your earnings for luxuries and they aren't really necessary for support; OR
b. You owe money to an attorney because of a court order in a family law case; OR
c. You owe the debt for past due child support of spousal support (alimony); OR
d. You owe the debt to a former employee for wages.

HOW DO YOU ASK FOR AN EXEMPTION?
(See the other side of this form for instructions about claiming an exemption.)

Page 1 of 2
Form Adopted for Mandatory Use
Judicial Council of California
WG-003 [Rev. January 2, 2012]

PAGE 802 OF 1210

EMPLOYEE INSTRUCTIONS
(Wage Garnishment)

Code of Civil Procedure, § 706.122
www.courts.ca.gov

WG-003
HOW DO YOU ASK FOR AN EXEMPTION?
1. Call or write the levying officer for three (3) copies each of the
forms called ''Claim of Exemption'' and ''Financial Statement.''
These forms are free. The name and address of the levying officer
are in the big box on the right at the top of the EWO.
2. Fill out both forms. On the forms are some sentences or words
in front of them. The box means the
which have boxes
words which follow may not apply to your case. If the words do
apply, put a check in the box.
Remember, it is your job to prove with the Financial Statement
form that your earnings are needed for support. Write down the
details about your needs.
3. For example, if your child has special medical expenses, tell which
child, what illnesses, who the doctor is, how often the doctor must
be visited, the cost per visit, and the costs of medicines. These
details should be listed in item 6. If you need more space, put ''See
attachment 6'' and attach a typed 8½ by 11 sheet of paper on which
you have explained your expenses in detail.
4. You can use the Claim of Exemption form to make an offer to the

judgment creditor to have a specified amount withheld each pay
period. Complete item 3 on the form to indicate the amount you
agree to have withheld each pay day during the withholding
period. (Be sure it's less than the amount to be withheld otherwise.)
If your creditor accepts your offer, he will not oppose your claim of
exemption. (See (1) below. )
5. Sign the Claim of Exemption and Financial Statement forms. Be
sure the Claim of Exemption form shows the address where you
receive mail.
6. Mail or deliver two (2) copies of each of the two forms to the levying
officer. Keep one copy for yourself in case a court hearing is
necessary.
Do not use the Claim of Exemption and Financial Statement forms to
seek a modification of child support or alimony payments. These
payments can be modified only by the family law court that ordered
them.
FILE YOUR CLAIM OF EXEMPTION AS SOON AS POSSIBLE FOR
THE MOST PROTECTION.

ONE OF TWO THINGS WILL HAPPEN NEXT
(1) The judgment creditor will not oppose (object to) your claim of
exemption. If this happens, after 10 days the levying officer will tell
your employer to stop withholding or withhold less from your
earnings. The part (or all) of your earnings needed for support will
be paid to you or paid as you direct. And you will get back earnings
the levying officer or your employer were holding when you asked
for the exemption.
—OR—
(2) The creditor will oppose (object to) your claim of exemption. If this
happens, you will receive a Notice of Opposition and Notice of
Hearing on Claim of Exemption, in which the creditor states why
your exemption should not be allowed. A box in the middle of the
Notice of Hearing tells you the time and place of the court hearing
which will be in about ten days. Be sure to go to the hearing if you
can.
If the judgment creditor has checked the box in item 3 on the Notice of
Hearing on Claim of Exemption, the creditor will not be in court. If you
are willing to have the court make its decision based on your Financial
Statement and the creditor's Notice of Opposition, you need not go to
the hearing.
The Notice of Opposition to Claim of Exemption will tell you why the
creditor thinks your claim should not be allowed. If you go to the
hearing, take any bills, paycheck stubs, cancelled checks, or other
evidence (including witnesses) that will help

you prove your Claim of Exemption and Financial Statement are correct
and your earnings are needed to support yourself or your family.
Perhaps you can even prove the Notice of Opposition is wrong. For
example, perhaps the Notice of Opposition states that the judgment
was for wages for a past employee.You may be able to provide
evidence that the person was not an employee or that the debt was
not for wages.
If the judge at the hearing agrees with you, your employer will be
ordered to stop withholding your earnings or withhold less money. The
judge can even order that the EWO end before the hearing (so you
would get some earnings back).
If the judge does not agree with you, the withholding will continue
unless you appeal to a higher court. The rules for appeals are
complex so you should see an attorney if you want to appeal.
If you have one court hearing, you should not file another Claim of
Exemption about the same EWO unless your finances have gotten
worse in an important way.
If your EWO is to be changed or ended, the levying officer must sign
the notice to your employer of the change. He may give you
permission to deliver it to the employer, or it can be mailed.

WHAT HAPPENS TO YOUR EARNINGS IF YOU FILE A CLAIM OF EXEMPTION?
Your employer must continue to hold back part of your earnings for the
EWO until he receives a notice signed by the levying officer to change
the order or end it early.

The levying officer will keep your withheld earnings until your Claim of
Exemption is denied or takes effect. At that time your earnings will be
paid according to the law that applies to your case.

REGARDING CHILD SUPPORT
If you are obligated to make child support payments, the local child
support agency may help you to have an Order Assigning Salary or
Wages entered. This order has the top priority claim on your earnings.
When it is in effect, little or no money may be

available to be withheld for an EWO. And, if the local child support
agency is involved in collecting this support from you, it may agree to
accept less money if this special order is entered.

WHAT IF YOU STILL HAVE QUESTIONS?
If you cannot see an attorney, or don't want to see an attorney, you
might be able to answer some of your questions by reading the law in a
law library. Ask the law librarian to help you find sections 706.050 and
706.105 of the California Code of Civil Procedure. Other sections of the
code, beginning with section 706.010 may also answer some of your
questions.
WG-003 [Rev. January 2, 2012]

Also, the office of the Wage and Hour Division of the U.S. Department
of Labor may be able to answer some of your questions. Offices are
listed in the telephone directory under the U.S. Department of Labor in
the U.S. Government listing.

EMPLOYEE INSTRUCTIONS (Wage Garnishment)

Page 2 of 2

ROADMAP TO REENTRY

APPENDIX D
Claim of Exemption
(Judicial Council Form EJ-160)
See next page.

PAGE 804 OF 1210

[NOT FOR WAGE GARNISHMENT]
RETURN TO LEVYING OFFICER. DO NOT FILE WITH COURT

ATTORNEY OR PARTY WITHOUT ATTORNEY (Name, State Bar number, and address):

TELEPHONE NO.:

EJ-160

FOR LEVYING OFFICER USE ONLY
(Levying Officer Name and Address)

FAX NO. (Optional):

E-MAIL ADDRESS (Optional):
ATTORNEY FOR (Name):

SUPERIOR COURT OF CALIFORNIA, COUNTY OF
STREET ADDRESS:
MAILING ADDRESS:
CITY AND ZIP CODE:
BRANCH NAME:
LEVYING OFFICER FILE NUMBER:

PLAINTIFF/PETITIONER:
DEFENDANT/RESPONDENT:

FOR COURT USE ONLY

CLAIM OF EXEMPTION
(Enforcement of Judgment)
Copy all the information required above (except the top left space) from the Notice
of Levy. The top left space is for your name or your attorney's name and address.
The original and one copy of this form must be filed with the levying officer.
DO NOT FILE WITH THE COURT.
1. My name is:
2. Papers should be sent to:
me.
my attorney (I have filed with the court and served on the judgment creditor a
request that papers be sent to my attorney and my attorney has consented in
writing on the request to receive these papers.)
at the address
shown above
following (specify):

CASE NUMBER:

I am not the judgment debtor named in the notice of levy. The name and last
known address of the judgment debtor is (specify):

3.

4. The property I claim to be exempt is (describe):
5. The property is claimed to be exempt under the following code and section (specify):
6. The facts which support this claim are (describe):
7.

The claim is made pursuant to a provision exempting property to the extent necessary for the support of the judgment debtor
and the spouse and dependents of the judgment debtor. A Financial Statement form is attached to this claim.

8.

The property claimed to be exempt is
a motor vehicle, the proceeds of an execution sale of a motor vehicle, or the proceeds of insurance or other
a.
indemnification for the loss, damage, or destruction of a motor vehicle.
tools, implements, materials, uniforms, furnishings, books, equipment, a commercial motor vehicle, a vessel,
b.
or other personal property used in the trade, business or profession of the judgment debtor or spouse.
c. all other property of the same type owned by the judgment debtor, either alone or in combination with others, is (describe):

9.

The property claimed to be exempt consists of the loan value of unmatured life insurance policies (including endowment and
annuity policies) or benefits from matured life insurance policies (including endowment and annuity policies). All other
property of the same type owned by the judgment debtor or the spouse of the judgment debtor, either alone or in combination
with others, is (describe):

I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct.
Date:

(TYPE OR PRINT NAME)
Form Approved by the
Judicial Council of California
EJ-160 [Rev. January 1, 2009]

(SIGNATURE OF DECLARANT)

CLAIM OF EXEMPTION
(Enforcement of Judgment)

Page 1 of 1
Code of Civil Procedure, § 703.520
www.courtinfo.ca.gov

ROADMAP TO REENTRY

APPENDIX E
Exemptions from the Enforcement of
Judgments
(Judicial Council Form EJ-155)
See next page.

PAGE 806 OF 1210

EJ-155

EXEMPTIONS FROM THE ENFORCEMENT OF JUDGMENTS
The following is a list of assets that may be exempt from levy on a judgment.
Exemptions are found in the United States Code (USC) and in the California codes, primarily the Code of Civil
Procedure (CCP).
Because of periodic changes in the law, the list may not include all exemptions that apply in your case. The
exemptions may not apply in full or under all circumstances. Some are not available after a certain period of time.
You or your attorney should read the statutes.
If you believe the assets that are being levied on are exempt, file a claim of exemption form, which you can get
from the levying officer.

AMOUNT OF EXEMPTIONS: A list of the amounts of exemptions from a judgment under CCP § 703.150 starting
on April 1, 2004, is available from the COURT
clerk of the court and on the California Courts Web site at
www.courtinfo.ca.gov.COUNTY
Except as
otherwise provided, the dollar amounts of the exemptions will be adjusted
OF
......................................................
thereafter at three-year intervals on April 1, and the adjusted amounts will become
immediately on that
: effective
Index No.
date.
:
Calendar No.
Type of Property

Code and Section

Accounts (See Deposit Accounts)
Appliances . . . . . . . . . . . . . . . . . . . . .
Art and Heirlooms . . . . . . . . . . . . . . . .
Automobiles . . . . . . . . . . . . . . . . . . . .
BART District Benefits . . . . . . . . . . . .
Benefit Payments:
BART District Benefits . . . . . . . . .

Type of Property

Plaintiff(s)

CCP § 704.020
CCP § 704.040
CCP § 704.010
CCP § 704.110
Pub Util C § 28896

-against-

CCP § 704.110

. . . . . . . . .Pub
. . .Util
. . .C. §. .28896
.................

:

Code and Section

JUDICIAL SUBPOENA

Benefit Payments (cont.)
Relocation Benefits . .: . . . . . . . . . .
Retirement Benefits
:
and Contributions:
Private . . . . . . . . . . . . . . . . . .
Public . . . . . . . . :. . . . . . . . . . .
Segregated Benefit Funds . . .
Social Security Benefits . . . . . . . . .
Defendant(s)
:
. . . Strike
. . . . .Benefits
. . . . . .... .. . . .. . . . . . . . . . .
Transit District Retirement
Benefits (Alameda and
Contra Costa Counties) . . . . . .

CCP § 704.180

CCP § 704.115
CCP § 704.110
Ins C § 10498.5
42 USC § 407
CCP § 704.120

Charity . . . . . . . . . . . . . . . . . . . . .
CCP § 704.170
Civil Service Retirement
Benefits (Federal) . . . . . . . . . .
5 USC § 8346
CCP § 704.110
County Employees
THE PEOPLE OF THE STATE OF NEW YORK
Pub Util C § 25337
Unemployment
Benefits
Retirement Benefits . . . . . . . .
CCP § 704.110
and Contributions . . . . . . . . . .
CCP § 704.120
Govt C § 31452
TO
Veterans Benefits . . . . . . . . . . . . .
38 USC § 3101
Disability Insurance Benefits . . . .
CCP § 704.130
Veterans Medal of Honor
Fire Service Retirement
Benefits. . . . . . . . . . . . . . . . . .
38 USC § 562
Benefits . . . . . . . . . . . . . . . . . .
CCP § 704.110
Welfare Payments . . . . . . . . . . . .
CCP § 704.170
Govt C § 32210
Welf & I C § 17409
Fraternal Organization
GREETINGS:
Workers Compensation . . . . . . . .
CCP § 704.160
Funds Benefits . . . . . . . . . . . .
CCP § 704.130
Boats .and
. . . .excuses
. . . . . . . being
. . . . . .laid
. . . .aside,
. . . you
CCP
704.060
CCPCOMMAND
§ 704.170
WE
YOU, that all business
and§ each
of you attend before
CCP § 704.710
Health Insurance Benefits . . . . . . .
CCP § 704.130
the Honorable
at the
Court
Books . . . . . . . . . . . . . . . . . . . . . . . . .
CCP § 704.060
Irrigation System
located at Building Materials (Residential) . . . . .
County ofCCP § 704.110
CCP § 704.030
Retirement Benefits . . . . . . . . .
, on the
day of
, 20
, at
o'clock in the
noon, and at any recessed
Business:
Judges Survivors Benefits in room
date,§to
testify and give evidence as
a witness
of the
(Federal) . . . . . . . . . . . .or
. . adjourned
...
28 USC
376(n)
Licenses
. . .in
. . this
. . . . action
. . . . . . on
. . .the
. . partCCP
§ 695.060
Legislators Retirement
CCP § 699.720(a)(1)
Tools of Trade. . . . . . . . . . . . . . . .
CCP § 704.060
Benefits . . . . . . . . . . . . . . . . . .
CCP § 704.110
Cars and Trucks (including
Govt C § 9359.3
Life Insurance Benefits:
704.010
proceeds)
. . . . . . . . as
. . .a. contempt
. . . . . . . of CCP
Your failure to comply with this subpoena
is punishable
court§and
will make you liable to
Group . . . . . . . . . . . . . . . . . . . .
CCP § 704. 100
. . . for
...a
. . maximum
. . . . . . . . . .penalty
. . . . . . .of $50
CCP
704.070
the party on
whose behalf this subpoena wasCash
issued
and§ all
damages sustained as a
Individual . . . . . . . . . . . . . . . . .
CCP § 704. 100
Cemeteries:

result of your failure to comply.

Lighthouse Keepers
Widows Benefits . . . . . . . . . . . .

33 USC § 775

Witness, Honorable

Longshore & Harbor Workers
Court
Compensation or Benefits
. . . .in 33 USC § 916County,
Military Benefits:
Retirement . . . . . . . . . . . . . . . .
Survivors . . . . . . . . . . . . . . . . .
Municipal Utility District
Retirement Benefits . . . . . . . . .
Peace Officers Retirement
Benefits . . . . . . . . . . . . . . . . . .
Pension Plans
(and Death Benefits):
Private . . . . . . . . . . . . . . . . . . .
Public . . . . . . . . . . . . . . . . . . . .
Public Assistance . . . . . . . . . . . . . .

Form Approved for Optional Use
Judicial Council of California
EJ-155 [Revised January 1, 2005]

10 USC § 1440
10 USC § 1450
CCP § 704.110
Pub Util C § 12337
CCP § 704.110
Govt C § 31913
CCP § 704.115
CCP § 704.110
CCP § 704.170
Welf & I C § 17409

day of

Land Proceeds . . . . . . . . . . . . . . .
Health & SC § 7925
Plots . . . . . . . . . . . . . . . . . . . . . . .
CCP § 704.200
the§Justices
Charity . . . . . . . . . . . . . . . . . . . . . . ., .one of
CCP
704.170 of the
Claims, Actions
, 20and Awards:
Personal Injury . . . . . . . . . . . . . . . .
CCP § 704.140
Worker’s Compensation . . . . . . . .
CCP § 704.160
Wrongful Death . . . . . . . . . . . . . . .
CCP § 704.150
and§type
name below)
Clothing . . . . . . . . . . .(Attorney
. . . . . . .must
. . . .sign
. . above
CCP
704.020
Condemnation Proceeds . . . . . . . . . . .
CCP § 704.720(b)
County Employees Retirement
Benefits . . . . . . . . . . . . . . . . . . . . .
CCP § 704.110
Attorney(s) for
Govt C § 31452
Damages (See Personal Injury
and Wrongful Death)
Deposit Accounts:
Escrow or Trust Funds . . . . . . . . .
Fin C § 17410
Social Security Direct
Office and P.O. Address
Deposits . . . . . . . . . . . . . . . . .
CCP § 704.080

Telephone No.:
Facsimile No.:
E-Mail Address:
EXEMPTIONS FROM THE ENFORCEMENT OF JUDGMENTS
Mobile Tel. No.:

Page 1 of 2
Code of Civil Procedure,
§§ 681.030(c), 700.010
www.courtinfo.ca.gov
American LegalNet, Inc.
www.USCourtForms.com

I

,

ROADMAP TO REENTRY

EXEMPTIONS FROM THE ENFORCEMENT OF JUDGMENTS
(Continued)
Code and Section

Type of Property
Direct Deposit Account:
Social Security . . . . . . . . . . . . . . . .
Disability Insurance Benefits . . . . . . .
Dwelling House . . . . . . . . . . . . . . . . .
Earnings . . . . . . . . . . . . . . . . . . . . . . .
Educational Grant . . . . . . . . . . . . . . . .
Employment Bonds . . . . . . . . . . . . . .
Financial Assistance:
Charity . . . . . . . . . . . . . . . . . . . . .
Public Assistance . . . . . . . . . . . . .
Student Aid . . . . . . . . . . . . . . . . .
Welfare (See Public
Assistance)
Fire Service Retirement . . . . . . . . . . .
Fraternal Organizations
Funds and Benefits . . . . . . . . . . . .
Fuel for Residence . . . . . . . . . . . . . . .
Furniture . . . . . . . . . . . . . . . . . . . . . . .
General Assignment for
Benefit of Creditors . . . . . . . . . . . . .
Health Aids . . . . . . . . . . . . . . . . . . . . .
Health Insurance Benefits . . . . . . . . . .
Home:
Building Materials . . . . . . . . . . . . .
Dwelling House . . . . . . . . . . . . . .
Homestead . . . . . . . . . . . . . . . . . .
Housetrailer . . . . . . . . . . . . . . . . .
Mobilehome . . . . . . . . . . . . . . . . .
Homestead . . . . . . . . . . . . . . . . . . . .
Household Furnishings . . . . . . . . . . . .
Insurance:
Disability Insurance . . . . . . . . . . .
Fraternal Benefit Society . . . . . . .
Group Life . . . . . . . . . . . . . . . . . . .
Health Insurance Benefits . . . . . .
Individual . . . . . . . . . . . . . . . . . . . .
Insurance Proceeds—
Motor Vehicle . . . . . . . . . . . . . .
Irrigation System
Retirement Benefits . . . . . . . . . . . .
Jewelry . . . . . . . . . . . . . . . . . . . . . . . . .
Judges Survivors Benefits
(Federal) . . . . . . . . . . . . . . . . . . . . .
Legislators Retirement
Benefits . . . . . . . . . . . . . . . . . . . . .
Licenses

......................

Lighthouse Keepers Widows
Benefits . . . . . . . . . . . . . . . . . . . . . .
Longshore and Harbor Workers
Compensation or Benefits . . . . . . . .
Military Benefits:
Retirement . . . . . . . . . . . . . . . . . .
Survivors . . . . . . . . . . . . . . . . . . . .
Military Personnel—Property . . . . . . .
Motor Vehicle (Including
Proceeds) . . . . . . . . . . . . . . . . . . . .

EJ-155 [Revised January 1, 2005]

PAGE 808 OF 1210

Type of Property
Municipal Utility District
Retirement Benefits . . . . . . . . . . . . .

Code and Section
CCP § 704.110
Pub Util C § 12337

CCP § 704.080
CCP § 704.130
CCP § 704.740
CCP § 704.070
CCP § 706.050
15 USC § 1673(a)
Ed C § 21116

Pension Plans:
Private . . . . . . . . . . . . . . . . . . . . . .
Public . . . . . . . . . . . . . . . . . . . . . . .

CCP § 704.115
CCP § 704.110

Lab C § 404

Personal Effects . . . . . . . . . . . . . . . . .

CCP § 704.020

Personal Injury Actions
or Damages . . . . . . . . . . . . . . . . . . .

CCP § 704.140

Prisoner’s Funds . . . . . . . . . . . . . . . . .

CCP § 704.090

CCP § 704.170
CCP § 704.170
Welf & I C § 17409
CCP § 704.190

CCP § 704.110
Govt C § 32210
CCP § 704.130
CCP § 704.170
CCP § 704.020
CCP § 704.020
CCP § 1801
CCP § 704.050
CCP § 704.130
CCP § 704.030
CCP § 704.740
CCP § 704.720
CCP § 704.730
CCP § 704.710
CCP § 704.710
CCP § 704.720
CCP § 704.730
CCP § 704.020
CCP § 704.130
CCP § 704.110
CCP § 704.100
CCP § 704.130
CCP § 704.100
CCP § 704.010
CCP § 704.040
CCP § 704.110

28 USC § 376(n)
CCP § 704.110
Govt C § 9359.3
CCP § 695.060
CCP § 720(a)(1)

Peace Officers Retirement
Benefits . . . . . . . . . . . . . . . . . . . . . .

Property Not Subject to
Enforcement of Money
Judgments . . . . . . . . . . . . . . . . . . . .
Prosthetic and Orthopedic
Devices . . . . . . . . . . . . . . . . . . . . . .
Provisions (for Residence) . . . . . . . . .
Public Assistance . . . . . . . . . . . . . . . .
Public Employees:
Death Benefits . . . . . . . . . . . . . . .
Pension . . . . . . . . . . . . . . . . . . . . .
Retirement Benefits . . . . . . . . . . .
Vacation Credits . . . . . . . . . . . . . .
Railroad Retirement Benefits . . . . . . . .
Railroad Unemployment
Insurance . . . . . . . . . . . . . . . . . . . .
Relocation Benefits . . . . . . . . . . . . . . .
Retirement Benefits and
Contributions:
Private . . . . . . . . . . . . . . . . . . . . .
Public . . . . . . . . . . . . . . . . . . . . . .
Segregated Benefit Funds . . . . . . . . . .
Servicemembers Property . . . . . . . . . . .
Social Security . . . . . . . . . . . . . . . . . . .
Social Security Direct Deposit
Account . . . . . . . . . . . . . . . . . . . . .
Strike Benefits . . . . . . . . . . . . . . . . . . .
Student Aid . . . . . . . . . . . . . . . . . . . . .
Tools of Trade . . . . . . . . . . . . . . . . . . .
Transit District Retirement
Benefits (Alameda and Contra
Costa Counties) . . . . . . . . . . . . . . . .
Travelers Check Sales Proceeds . . . . .
Unemployment Benefits and
Contributions . . . . . . . . . . . . . . . . . .
Uniforms . . . . . . . . . . . . . . . . . . . . . . .
Vacation Credits (Public
Employees) . . . . . . . . . . . . . . . . . . .
Veterans Benefits . . . . . . . . . . . . . . . .
Veterans Medal of Honor
Benefits . . . . . . . . . . . . . . . . . . . . . .
Wages . . . . . . . . . . . . . . . . . . . . . . . . .

33 USC § 775
33 USC § 916
10 USC § 1440
10 USC § 1450
50 USC § 523(b)

Welfare Payments . . . . . . . . . . . . . . . .
Workers Compensation
Claims or Awards . . . . . . . . . . . . . .
Wrongful Death Actions or
Damages . . . . . . . . . . . . . . . . . . . . .

CCP § 704.110
Govt C § 31913

CCP § 704.210
CCP § 704.050
CCP § 704.020
CCP § 704.170
Welf & I C § 17409
CCP § 704.110
CCP § 704.110
CCP § 704.110
CCP § 704.113
45 USC § 2281
45 USC § 352(e)
CCP § 704.180

CCP § 704.115
CCP § 704.110
Ins C § 10498.5
Ins C § 10498.6
50 USC § 523(b)
42 USC § 407
CCP § 704.080
CCP § 704.120
CCP § 704.190
CCP § 704.060

CCP § 704.110
Pub Util C § 25337
Fin C § 1875
CCP § 704.120
CCP § 704.060
CCP § 704.113
38 USC § 3101
38 USC § 562
CCP § 704.070
CCP § 706.050
CCP § 706.051
CCP § 704.170
Welf & I C § 17409
CCP § 704.160
CCP § 704.150

CCP § 704.010
CCP § 704.060

EXEMPTIONS FROM THE ENFORCEMENT OF JUDGMENTS

Page 2 of 2

ROADMAP TO REENTRY

APPENDIX F
Fair Debt Collection Practices &
A Sample Letter to Debt Collection Agency
The Fair Debt Collection Practices Act (FDCPA) is a federal law that prohibits
debt collectors from using abusive, unfair, dishonest, or misleading practices to
collect money from you. The Federal Trade Commission (FTC) is the federal
2151
government’s agency that enforces your rights under the FDCPA.
Under the FDCPA, a debt collector is someone who regularly collects debts
owed to others. This includes collection agencies, lawyers who collect debts on
a regular basis, and companies that buy overdue debts and then try to collect
them.
Here are some questions and answers about your rights under the Act.
CAN A DEBT COLLECTOR CONTACT ME ANY TIME OR ANY PLACE?
No. A debt collector may not contact you at inconvenient times or places, such
as before 8 AM or after 9 PM, unless you agree to it. And collectors may not
contact you at work if they’re told (orally or in writing) that you’re not allowed to
get calls there.
HOW CAN I STOP A DEBT COLLECTOR FROM CONTACTING ME?
If a collector contacts you about a debt, you may want to talk to them at least
once to see if you can resolve the matter – even if you don’t think you owe the
debt, can’t repay it immediately, or think that the collector is contacting you by
mistake. If you decide after contacting the debt collector that you don’t want the
collector to contact you again, tell the collector – in writing – to stop contacting
you. Here’s how to do that:
Write a letter to the debt collector and make a copy of the letter (see PG. 813
below for a sample letter). Send the original by certified mail, and pay for a
“return receipt” so you’ll be able to prove that the collector received the letter.
Once the collector receives your letter, they may not contact you again, with two
exceptions: A collector can contact you to (1) tell you there will be no further
contact, or (2) let you know that they or the creditor intend to take a specific
action, like filing a lawsuit. Sending such a letter to a debt collector to whom you
owe money will NOT get rid of the debt, but it should stop the contact. The
creditor or the debt collector still can sue you in court to collect the debt.
CAN A DEBT COLLECTOR CONTACT ANYONE ELSE ABOUT MY DEBT?
If an attorney is representing you about the debt, the debt collector must contact
the attorney, rather than you. If you don’t have an attorney, a collector may
contact other people – but only to find out your address, your home phone
number, and where you work. Collectors usually are prohibited from contacting
third parties more than once. Other than to obtain this location information
about you, a debt collector generally is not permitted to discuss your debt with
anyone other than you, your spouse, or your attorney.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Information adapted from Fed. Trade Comm’n, Debt Collection (Nov. 2013),
http://www.consumer.ftc.gov/articles/0149-debt-collection.
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WHAT DOES THE DEBT COLLECTOR HAVE TO TELL ME ABOUT THE DEBT?
Every collector must send you a written “validation notice” telling you how much
money you owe within five days after they first contact you. This notice also
must include the name of the creditor to whom you owe the money, and how to
proceed if you don’t think you owe the money.
CAN A DEBT COLLECTOR KEEP CONTACTING ME IF I DON’T THINK I OWE
ANY MONEY?
If you send the debt collector a letter stating that you don’t owe any or all of the
money, or asking for verification (proof) of the debt, that collector must stop
contacting you. You have to send that letter within 30 days after you receive the
validation notice. But a collector can begin contacting you again if it sends you
written proof of the debt, like a copy of a bill for the amount you owe.
WHAT PRACTICES ARE OFF LIMITS FOR DEBT COLLECTORS?
Harassment: Debt collectors may not harass, oppress, or abuse you or any third
parties they contact. For example, they may not:
•
•
•
•

use threats of violence or harm;
publish a list of names of people who refuse to pay their debts (but they can
give this information to the credit reporting companies);
use obscene or profane language; or
repeatedly use the phone to annoy someone.

False statements: Debt collectors may not lie when they are trying to collect a
debt. For example, they may not:
•
•
•
•
•
•

falsely claim that they are attorneys or government representatives;
falsely claim that you have committed a crime;
falsely represent that they operate or work for a credit reporting company;
misrepresent the amount you owe;
indicate that papers they send you are legal forms if they aren’t; or
indicate that papers they send to you aren’t legal forms if they are.

> Debt collectors also are prohibited from saying that:
•
•
•

you will be arrested if you don’t pay your debt;
they’ll seize, garnish, attach, or sell your property or wages unless they are
permitted by law to take the action and intend to do so; or
legal action will be taken against you, if doing so would be illegal or if they
don’t intend to take the action.

> Debt collectors may not:
•
•
•

give false credit information about you to anyone, including a credit reporting
company;
send you anything that looks like an official document from a court or
government agency if it isn’t; or
use a false company name.

Unfair practices: Debt collectors may not engage in unfair practices when they
try to collect a debt. For example, they may not:

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•

•
•
•

try to collect any interest, fee, or other charge on top of the amount you owe
unless the contract that created your debt – or your state law – allows the
charge;
deposit a post-dated check early;
take or threaten to take your property unless it can be done legally; or
contact you by postcard.

CAN I CONTROL WHICH DEBTS MY PAYMENTS APPLY TO?
Yes. If a debt collector is trying to collect more than one debt from you, the
collector must apply any payment you make to the debt you select. Equally
important, a debt collector may not apply a payment to a debt you don’t think
you owe.
CAN A DEBT COLLECTOR GARNISH MY BANK ACCOUNT OR MY WAGES?
If you don’t pay a debt, a creditor or its debt collector generally can sue you to
collect. If they win, the court will enter a judgment against you. The judgment
states the amount of money you owe, and allows the creditor or collector to get
a garnishment order against you, directing a third party, like your bank, to turn
over funds from your account to pay the debt.
Wage garnishment happens when your employer withholds part of your
compensation to pay your debts. Your wages usually can be garnished only as
the result of a court order. Don’t ignore a lawsuit summons. If you do, you lose
the opportunity to fight a wage garnishment.
CAN MY FEDERAL BENEFITS BE GARNISHED?
Many federal benefits are exempt from garnishment (meaning they cannot be
taken to pay certain debts), including:
•
•
•
•
•
•

Social Security Benefits
Supplemental Security Income (SSI) Benefits
Veterans’ Benefits
Civil Service and Federal Retirement and Disability Benefits
Military Annuities and Survivors’ Benefits
Federal Emergency Management Agency Federal Disaster Assistance

BUT federal benefits may be garnished under certain circumstances, including
to pay delinquent taxes, alimony, child support, or student loans.
WHAT ARE MY OPTIONS IF I THINK A DEBT COLLECTOR HAS VIOLATED THE
LAW?
You have the right to sue a collector in a state or federal court within one year
from the date the law was violated. If you win, the judge can require the collector
to pay you for any damages you can prove you suffered because of the illegal
collection practices, like lost wages and medical bills. The judge can require the
debt collector to pay you up to $1,000, even if you can’t prove that you suffered
actual damages. You also can be reimbursed for your attorney’s fees and court
costs. A group of people also may sue a debt collector as part of a class action
lawsuit and recover money for damages up to $500,000, or one percent of the
collector’s net worth, whichever amount is lower. Even if a debt collector violates
the FDCPA in trying to collect a debt, the debt does not go away if you owe it.

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WHAT SHOULD I DO IF A DEBT COLLECTOR SUES ME?
If a debt collector files a lawsuit against you to collect a debt, respond to the
lawsuit, either personally or through your lawyer, by the date specified in the
court papers to preserve your rights.
WHERE DO I REPORT A DEBT COLLECTOR FOR AN ALLEGED VIOLATION?
Report any problems you have with a debt collector to the California Attorney
General’s office, the Federal Trade Commission, and the Consumer Financial
Protection Bureau. California has its own debt collection laws that may give you
more rights and protections than the federal Fair Debt Collection Practices Act.
•

California Attorney General – Public Inquiry Unity
Telephone: (800) 322-3360
Website: http://oag.ca.gov/contact/general-comment-question-or-complaint-form

•

Federal Trade Commission – Consumer Response Center
Telephone: (877) 382-4357
Website: https://www.ftccomplaintassistant.gov/#crnt&panel1-8

•

Consumer Financial Protection Bureau
Telephone: (855) 411-2372
Website: http://www.consumerfinance.gov/Complaint/#debt-collection

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A Sample Letter to Debt Collection Agency:

2152

[Your Name]
[Your Address]
[Date]
[Name of Collection Agency]
[Address of Collection Agency]

RE: Notice to Cease Contact: Case # ________
[Note: If the collection agency has sent written notice, your case number is likely
in the letter. If you have not received a written notice from the collection agency,
you can put other information to identify your case. For example, show the date
you were contacted by the collection agency.]

To [person whose name appears on agency's notice to you]:

On [date], I was contacted by [name of person who called you] from your
agency, who informed me that [name of collection agency] is attempting to
collect [amount of claimed debt].

[OR]

On [date] I received a written notice of the claimed debt, a copy of which is
attached.

This is to give you notice to cease all contact with me or anyone else except the
creditor about this claimed debt. If you must contact me, please do so in writing
and not by telephone. I look forward to your acknowledgement that you have
received this notice by [put date that is two weeks after the date of your letter].

Sincerely,
[Your signature]
[Your name]

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Privacy Rights Clearinghouse, Sample Letter – Stop Contact by Collection Agency (Sept. 15, 2009),
https://www.privacyrights.org/Letters/debt2.htm.
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APPENDIX G
California County Court Collection Unit
Contact Information
County/Court

Hours (M-F, except
holidays)

Phone Number

Alameda County Central Collections

8 a.m.–5 p.m.

510.208.9900

Alameda County Superior Court

8 a.m.–5 p.m.

877.541.8420

Amador Superior Court

9:30 a.m.–4 p.m.

209.257.2605

Butte County Treasurer–Tax Collector

8 a.m.–5 p.m.

530.538.7362

Calaveras County Superior Court

8 a.m.–4 p.m.

209.754.5970

California Department of Corrections & Rehabilitation

8 a.m.–5 p.m.

916.322.6676

California Victims Compensation & Government Claims
Board

8 a.m.–5 p.m.

916.324.1933

Contra Costa Probation

8 a.m.–5 p.m.

925.313.4002

Contra Costa Superior Court

7:30 a.m.–5 p.m.

925.646.1952

Del Norte County Tax Collector

8 a.m.–5 p.m.

707.464.7283

El Dorado County Revenue Recovery

8 a.m.–5 p.m.

530.621.5780

Fresno County Revenue/ Reimbursement

8 a.m.–5 p.m.

559.600.3815

Fresno Superior Court

8 a.m.–4 p.m.

559.457.1700

Glenn County Superior Court

8:30 a.m.–5 p.m.

530.225.3662

Humboldt County Revenue Recovery

7:30 a.m.–4:30 p.m.

707.476.2398

Imperial County Superior Court

8 a.m.–4 p.m.

760.336.3510

Inyo Superior

8 a.m.–5 p.m.

760.872.3038

Kern County Probation Collection & Revenue

8 a.m.–5 p.m.

661.868.4255

Kern Superior Court – RRD

8 a.m.–5 p.m.

661.868.2619

Kern Superior Court – ATA Taft

8 a.m.–5 p.m.

661.763.8566

Kern Superior Court – AKR Lake Isabella

8 a.m.–5 p.m.

760.549.2000

Kern Superior Court – AMO Mojave

8 a.m.–5 p.m.

661.824.7100

Kern Superior Court – ASH Shafter

8 a.m.–5 p.m.

661.746.7500

Kern Superior Court – AWM Bakersfield

8 a.m.–5 p.m.

661.868.2382

Kern Superior Court – ALA Lamont

8 a.m.–5 p.m.

661.868.5800

Kern Superior Court – ARI Ridgecrest

8 a.m.–5 p.m.

760.384.5900

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Kern Superior Court – ADE Delano

8 a.m.–5 p.m.

661.720.5800

Kings Superior

8 a.m.–5 p.m.

559.582.1010

Lake County Tax Collectors

9 a.m.–5 p.m.

707.263.2583

Lassen County Recovery and Reimbursement

8 a.m.–4 p.m.

530.251.8401

Lassen Superior Court

8 a.m.–5 p.m.

530.245.6739

Los Angeles Superior – Airport

8:30 a.m.–4:30 p.m.

310.727.6084

Los Angeles Superior – Alhambra

8:30 a.m.–4:30 p.m.

626.308.5309

Los Angeles Superior – Antelope Valley

8:30 a.m.–4:30 p.m.

661.974.7201

Los Angeles Superior – Bellflower

8:30 a.m.–4:30 p.m.

562.804.8162

Los Angeles Superior – Beverly Hills

8 a.m.–4:30 p.m.

310.288.1310

Los Angeles Superior – Burbank

8 a.m.–5 p.m.

818.557.3466

Los Angeles Superior – Clara S. Foltz

8:30 a.m.–4:30 p.m.

213.893.0751

Los Angeles Superior – Compton

8:30 a.m.–4:30 p.m.

310.603.7714

Los Angeles Superior – Downey

8 a.m.–5 p.m.

562.803.7043

Los Angeles Superior – East LA

2 p.m.–4 p.m.

323.780.2025

Los Angeles Superior – El Monte

8:30 a.m.–4:30 p.m.

626.459.8844

Los Angeles Superior – Glendale

8:30 a.m.–4:30 p.m.

818.500.3263

Los Angeles Superior – Hollywood

8:30 a.m.–4:30 p.m.

323.856.5770

Los Angeles Superior – Huntington Park

8 a.m.–5 p.m.

323.586.6363

Los Angeles Superior – Inglewood

8:30 a.m.–4:30 p.m.

310.419.5128

Los Angeles Superior – LA Central

8 a.m.–5:00 p.m.

213.974.7820

Los Angeles Superior – Long Beach

8:30 a.m.–4:30 p.m.

562.491.6573

Los Angeles Superior – Malibu

8:30 a.m.–4:30 p.m.

310.317.1335

Los Angeles Superior – Metro

8:30 a.m.–4:30 p.m.

213.744.4531

Los Angeles Superior – Pasadena

8:30 a.m.–4:30 p.m.

626.356.5695

Los Angeles Superior – Pomona

8:30 a.m.–4:30 p.m.

909.802.9944

Los Angeles Superior – San Fernando

8:30 a.m.–4:30 p.m.

818.898.2407

Los Angeles Superior – San Pedro

8:30 a.m.–4:30 p.m.

562.491.6229

Los Angeles Superior – Santa Clarita

8:30 a.m.–4:30 p.m.

661.253.7383

Los Angeles Superior – Torrance

8:15 a.m.–4:30 p.m.

310.222.6506

Los Angeles Superior – Van Nuys

8 a.m.–5 p.m.

818.374.2641

Los Angeles Superior – West Covina

8:30 a.m.–4:30 p.m.

626.813.3204
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Los Angeles Superior – Whittier

8:30 a.m.–4:30 p.m.

562.907.3113

Madera County Revenue Services

8 a.m.–5 p.m.

559.675.7619

Madera Superior

8 a.m.–4 p.m.

559.675.7944

Marin County Central Collections

8 a.m.–4:30 p.m.

415.473.7555

Marin County Enhanced Court Collections

8 a.m.–4:30 p.m.

415.473.3150

Mariposa County Probation

8 a.m.–5 p.m.

209.966.3612

Mendocino County Court Collection Unit

8 a.m.–4 p.m.

707.463.7240

Merced County Revenue & Reimbursement

8 a.m.–5 p.m.

209.385.7413

Merced County Superior Court

7:30 a.m.–4 p.m.

209.725.4100

Modoc County Superior Court

8:30 a.m.–4 p.m.

530.233.6726

Mono County Superior Court

8:30 a.m.–4 p.m.

760.924.5444

Monterey County Revenue Division

8 a.m.–5 p.m.

831.755.5042

Napa County Superior Court

8 a.m.–5 p.m.

707.299.1160

Nevada County Collections

8 a.m.–5 p.m.

530.265.1266

Nevada Superior Court

8 a.m.–5 p.m.

530.265.1311

Nevada Superior Truckee

8 a.m.–5 p.m.

530.582.7835

Orange County Probation

8 a.m.–5 p.m.

714.935.7411

Orange County Superior – Central Justice Center

7:30 a.m.–4 p.m.

877.872.2122

Orange County Superior – Centralized Collections Irvine

8 a.m.–5 p.m.

877.872.2122

Orange County Superior–Newport Beach

8 a.m. – 4 p.m.

877.872.2122

Orange County Superior–Laguna Hills

8 a.m.–4 p.m.

877.872.2122

Orange Superior North Justice Center

8 a.m.–4 p.m.

877.872.2122

Orange County Superior West Justice Center

8 a.m.–4 p.m.

877.872.2122

Placer County Revenue Services

8 a.m.–5 p.m.

916.543.3900

Plumas County Treasurer & Tax Collector

8 a.m.–5 p.m.

530.283.6259

Riverside Superior Court

7:30 a.m.–4 p.m.

877.955.34630

Sacramento County Division of Revenue Recovery

7:30 a.m.–4:45 p.m.

916.875.7500

San Benito Superior

8 a.m.–4 p.m.

831.636.4057

San Bernardino County Central Collections

9 a.m.–4 p.m.

909.387.8303

San Bernardino Superior and all annexes

8 a.m.–4 p.m.

909.387.1470

San Diego Probation Revenue Recovery

8 a.m.–5 p.m.

619.515.6200

San Diego Superior Court/ Alliance One

8 a.m.–5 p.m.

877.541.8420

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San Francisco County Superior Court

8:30 a.m.–4 p.m.

415.551.8550

San Joaquin County Office of Revenue/ Recovery

8 a.m.–5 p.m.

209.468.2100

San Luis Obispo County Probation Collection

8 a.m.–5 p.m.

805.781.4174

San Luis Obispo Superior Court

8:30 a.m.–4 p.m.

805.781.5675

San Mateo County Revenue Services

8 a.m.–5 p.m.

650.363.4155

Santa Barbara County Probation Collection

8 a.m.—5:30 p.m.

805.882.3741

Santa Barbara Superior N

7:30 a.m.–4:30 p.m.

805.882.4696

Santa Barbara Superior S

7:30 a.m.–4:30 p.m.

805.568.3203

Santa Clara County Department of Revenue

7:30 a.m.–6:45 p.m.

408.282.3290

Santa Clara Superior Court

8:30 a.m.–4 p.m.

877.541.8420

Santa Cruz County Treasurer/ Alliance One

8 a.m.–5 p.m.

877.541.8420

Shasta County Superior Court Collections

8:30 a.m.–4 p.m.

530.245.6789

Sierra County Superior Court

8 a.m.–5 p.m.

530.245.6339

Sonoma County Central Collections

8 a.m.–5 p.m.

707.565.2817

Sonoma Superior Court

8 a.m.–4:30 p.m.

707.521.6659

Stanislaus County Treasurer Tax Collector Revenue
Recovery

8 a.m.–5 p.m.

209.525.4450

Stanislaus Superior

8 a.m.–2 p.m.

209.530.3115

Sutter County Office of Revenue Collection

8 a.m.–5 p.m.

530.822.7172

Sutter Superior

8 a.m.–5 p.m.

530.822.3301

Tehama County Superior Court

8 a.m.–5 p.m.

530.245.6339

Trinity Probation

8 a.m.–4 p.m.

530.623.1204

Tulare County Superior Court

8 a.m.–4 p.m.

559.730.5000

Tulare Probation Department

8 a.m.–5 p.m.

559.713.2786

Tuolumne County Revenue Recovery

8 a.m.–5 p.m.

209.533.5920

Ventura County Superior Court

8 a.m.–5 p.m.

805.639.5010

Yolo County Office of Revenue Recovery

8 a.m.–4 p.m.

530.666.8668

Yuba Superior

8 a.m.–5 p.m.

530.225.3772

!

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APPENDIX H
Sample Petition to Vacate Civil
Assessment
See next page.

PAGE 818 OF 1210

SUPERIOR COURT OF CALIFORNIA, COUNTY OF ALAMEDA
❏

❏

❏

Fremont Hall of Justice
Traffic Division - (510) 818-7502
39439 Paseo Padre Parkway
Fremont, CA 94538

❏

Gale/Schenone Hall of Justice
Traffic Division - (925) 227-6792
5672 Stoneridge Drive
Pleasanton, CA 94588
George E. McDonald Hall of Justice
Traffic Division - (510) 263-4304
2233 Shoreline Drive
Alameda, CA 94501

❏

Hayward Hall of Justice
Traffic Division - (510) 690-2701
24405 Amador Street
Hayward, CA 94544
Wiley W. Manuel Courthouse
Traffic Division - (510) 627-4701
661 Washington Street
Oakland, CA 94607

CIVIL ASSESSMENT PETITION AND ORDER
Defendant’s Request and Declaration to Vacate Civil Assessment on TBDA Case
Defendant’s Name:
Case Number
Citation Number:___________________________ Citation Date:_________________
IMPORTANT: WRITTEN proof of any of the following MUST be attached and cover the time period in question.
HOSPITALIZED

OVERSEAS MILITARY DUTY

INCARCERATED

OTHER

The following is an explanation of my failure to pay: (Please print)

I am providing proof of correction (attached) and requesting reduction of the fine.
I declare under penalty of perjury that the foregoing statement is true and correct to the best of my knowledge and
that written proof is attached to this form.
Executed at

on
(City and State)

(Date)

Address:
Telephone:

Signature:
(Defendant)
ORDER RE CIVIL ASSESSMENT (COURT USE ONLY)

The Court having read and considered the Petition regarding vacating the Civil Assessment pursuant to PC
1214.1(B), hereby makes the following order:
Petition to vacate is:

Denied

Granted

Granted on the following conditions:

_____________________________________________________________________________________________

Signature:

Date:
(Presiding Judge)
-------------------------------------------------------------------------------To: Defendant
Date:
Your case has been referred to Alliance One for collection. The amount due on your case is now $______________.
Please contact Alliance One within 10 days to make payment in full or to arrange monthly payments.
MAILING ADDRESS
AllianceOne Receivables Management
8589 Aero Drive
San Diego, CA 92123

Telephone: 1-877-541-8420
Online Payments: www.payaoi.com

CIVIL ASSESSMENT PETITION AND ORDER
Defendant’s Request and Declaration to Vacate Civil Assessment
Rev. 7/2/2010

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APPENDIX I
Steps To Get & Keep a Good Credit Score
(Consumer Financial Protection Bureau)
See next page.

PAGE 820 OF 1210

!

To get and keep a good credit score,
pay attention to your credit report.

Your credit report shows information about how you have used credit, such as how much credit you have, how much of your
available credit you are using, whether you have made your payments on time, and whether anyone has sent a loan you owe
to a debt collector.
A credit score is a number that is used to predict how likely you are to pay back a loan. Your credit score starts with the
information about you from your credit report. A mathematical prediction formula is applied to this information about you
from your credit report. That prediction formula, which is called a scoring model, creates a number which is your credit score.
You probably have numerous credit scores.
Credit scores are used by companies to make decisions such as whether to approve a mortgage at a certain rate or issue a
credit card. Different lenders use different scoring formulas so your score can vary from lender to lender. Usually a higher score
makes it easier to qualify for a loan and means a better rate of interest. Most scores range from 300-850, although there is one
scoring method that uses a range from 501-990.
To get and keep a good credit score –
• Pay all your loans on time.
• Make sure information in your credit report is correct.
• Don’t use too much of the credit that is available to you.

STEPS TO GET AND KEEP A GOOD CREDIT SCORE
PAY YOUR BILLS ON TIME
Pay your bills on time, every time.A One way to make sure your payments are on time is to set up automatic
payments at the creditor’s website or from your bank’s online site.A But, you have to watch your bank balance to
make sure you have enough money in your account to cover the payments.A Also, don’t just pay the minimum
amount if you can afford to pay more, because it will take you much longer to pay off the debt if you only pay the
minimum amount.
Tip:2 People with the best credit scores usually are those who pay off their credit cards in full every month.2222
A
DON’T GET CLOSE TO YOUR CREDIT LIMIT
Credit scoring models look at how close you are to being “maxed out,” because the formulas predict that people
who are using too much of their available credit may have future troubles with repayment.A If you use too much of
your total credit lines, you can hurt your credit score.A Experts advise keeping your use of credit at no more than
30% or less of your total credit limit.
Tip:2 If you close some credit card accounts and put most or all of your credit card balances onto one card, it
may hurt your credit score.2 That’s because it will probably mean that you are using a high percentage of
your total credit limit.22
A
DON’T APPLY FOR A LOT OF NEW CREDIT IN A SHORT TIME, ESPECIALLY IF YOU ARE GETTING READY TO
GET A MORTGAGE OR A CAR LOAN
Your credit score may decline if you have too many credit accounts, and if you apply for or open a lot of new
accounts, such as several credit cards, in a short time.A If you are planning to take out a big loan for a car or a house,
be particularly careful not to apply for or open many new credit accounts within a short period before applying for
the loan because doing so may affect your score. However when you request your own credit report, or when your
creditors check your credit report, those requests to see your credit report should not hurt your score.A
Tip: Opening new credit card accounts frequently to get the promotional rate or store discount will show up
on your credit report as lots of new credit accounts, which is likely to hurt your credit score.2
A
CONSUMER FINANCIAL PROTECTION BUREAU

WWW.CONSUMERFINANCE.GOV

ROADMAP TO REENTRY

THE LONGER YOUR CREDIT HISTORY, THE BETTER
Credit scores are based on experience over time.A The more experience you have with getting and paying for your
credit, the more information there is to determine whether you are a good credit risk.
GET YOUR FREE CREDIT REPORT EVERY YEAR
Get free copies of your credit report from each of the big three consumer reporting agencies every year.A If the
information about you in the credit reports of the three large consumer reporting agencies is different, your credit score
from each of the agencies will be different.
A
Online: You can order your credit report at www.annualcreditreport.com.ABeware - some other sites that use the word
“free” may charge you for another service in order to get your credit report.Awww.annualcreditreport.com really is free.A
A
By phone: You can also order your free credit report by calling 877-322-8228.A
A
By mail: To order free reports by mail, get the Annual Credit Report Request Form at www.ftc.gov/bcp/edu/resources/
forms/requestformfinal.pdf and mail it to: Annual Credit Report Request Service, P.O. Box 105281, Atlanta, GAA
30348-5281.
A
Tip: You don’t have to buy your credit score. The information you receive from the agencies is adequate.2 If you
do buy a score, it is likely that the score the lender buys will be different from the score that you buy.
READ YOUR CREDIT REPORT AND DISPUTE ANY ERRORS
If you find something wrong with your credit report, write to both the consumer reporting agency and the creditor that
provided the information, if applicable, to tell them what you think is wrong and why.A Include copies of any documents
that support your position. When a consumer disputes credit report information, the agency and the creditor generally
have to investigate the dispute and correct inaccurate information.A For more information, please visit the FTC site
www.ftc.gov/bcp/edu/pubs/consumer/credit/cre03.shtm.A
AVOID PAYING UPFRONT FEES TO “REPAIR” YOUR NEGATIVE CREDIT HISTORY
There are a lot of places that promise to “repair” or “fix” your credit for an upfront fee but no one can remove negative
information, such as late payments, from a credit report if it is accurate.A You can only get your credit report fixed if it
contains errors and you can do that on your own (see #6).A According to the Federal Trade Commission, some
companies who claim they can help you may get you in trouble by telling you to do something that could be illegal,
such as setting up a false identity to hide your credit history from your creditors.
BE PROACTIVE IN DEALING WITH CREDIT
If you are having trouble paying creditors on time, the sooner you talk to your creditors the more likely it is you can work
something out with them, such as a temporary payment plan. If you need help, look locally for a credit counselor but
check to make sure they are trustworthy. If you are having trouble with your mortgage, there is help available through
the government’s Making Home Affordable program, www.mha.gov, or the HOPE Hotline – 888-995-HOPE.A If you start
to get debt collection mail or calls from someone you’ve never heard of, it could be that one of your debts was sold to
a debt collector, or it could be a case of identity theft.A Ignoring the problem usually makes it worse.A
A
The Federal Trade Commission’s “Building a Better Credit Report” (www.ftc.gov/bcp/edu/pubs/consumer/credit/
cre03.shtm) has information on correcting errors in your report, tips on dealing with debt and avoiding scams—and
more.

CONSUMER FINANCIAL PROTECTION BUREAU

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WWW.CONSUMERFINANCE.GOV

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!

!

Basic Overview:

FAMILY &
CHILDREN:

Reunification & Other Issues

The FAMILY & CHILDREN CHAPTER will give you an overview of
the issues that parents and caregivers experience when trying to
reconnect with and care for their children. This Chapter will teach
you how to establish or re-establish your rights, responsibilities,
and relationship with your child(ren), and how to navigate the
family court systems so that you can best handle any issues related
to custody, guardianship, juvenile dependency/CPS cases,
visitation, and child support.

DISCLAIMER – YOUR RESPONSIBILITY WHEN USING THIS GUIDE: When putting together the
Roadmap to Reentry: A California Legal Guide, we did our best to give you useful and accurate
information because we know that people who are currently or formerly incarcerated often have
difficulty getting legal information, and we cannot provide specific advice to every person who
requests it. The laws change frequently and are subject to differing interpretations. We do not
always have the resources to make changes to this informational material every time the law
changes. If you use information from the Roadmap to Reentry legal guide, it is your responsibility to
make sure that the law has not changed and applies to your particular situation. If you are
incarcerated, most of the materials you need should be available in your institution’s law library. The
Roadmap to Reentry guide is not intending to give legal advice, but rather legal information. No
attorney-client relationship is created by using any information in this guide. You should always
consult your own attorney if you need legal advice specific to your situation.

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!

TABLE OF CONTENTS
I.! INTRODUCTION ................................................................................................ 828!
Key Terms in the Family & Children Chapter .............................................. 828!
II.! SOME BASICS ABOUT RECONNECTING WITH YOUR CHILD ................... 832!
General questions about reconnecting with your child ............................ 832!
I am out or getting out of prison or jail, and I want to reconnect with
my child. Where can I start? .................................................................... 832!
How Your Criminal Record Could Affect reconnecting with your child .. 834!
How could my criminal record affect my ability to reconnect with
my child? ...................................................................................................... 834!
If I am coming out of prison or jail and I am the child’s biological
parent, what are my chances of getting custody or visitation with
my child? ...................................................................................................... 835!
I am on parole, probation, or some other type of community
supervision. How could this limit my rights as a parent or my ability
to see and reconnect with my child? ................................................... 835!
I am formerly incarcerated and want to see my child, but I believe
there is a restraining order, protective order, or stay-away order
against me. What can I do? ..................................................................... 835!
III.! THE THREE DIFFERENT COURTS YOU NEED TO KNOW ABOUT ............ 838!
What are the different courts in California that might make
decisions about my child? ....................................................................... 838!
Where do I find the court forms I need? ..............................................840!
IV.! CUSTODY ........................................................................................................... 841!
What are the different types of custody? ............................................. 841!
Who decides who has custody of a child? ......................................... 842!
What do legal and physical custody arrangements look like in the
real world? ................................................................................................... 842!
V.! VISITATION ....................................................................................................... 843!
What are the different types of visitation plans that a judge can
order? ........................................................................................................... 843!
VI.! GUARDIANSHIP & PROBATE COURT ........................................................... 844!
Basic introduction to guardianship .............................................................. 844!
What is a guardianship? .......................................................................... 844!
What are the responsibilities of a guardian? ...................................... 844!
How does a guardian get appointed (chosen) for a child in probate
court? ............................................................................................................ 845!
How does the judge decide whether to give someone guardianship
of a child? What standard does the judge use to decide? ............. 845!
When would a judge decide that guardianship should be given to
someone other than the child’s parent? ............................................. 845!
Is guardianship the same thing as adoption? .................................... 845!
If a guardian has been appointed for my child, what are my
options? .......................................................................................................846!

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Important information if someone else was appointed the guardian of
your child & you are trying to reconnect .............................................. 847!
If someone else becomes the guardian of my child, do I lose my
rights as a parent? .....................................................................................847!
If someone else becomes the guardian of my child, can I still visit
with my child? Can his/her siblings visit?.............................................847!
Important information if you want to become the guardian of
someone else’s child .............................................................................. 848!
Will my criminal record affect my chances of being appointed as a
guardian for someone else’s child? ..................................................... 848!
What steps can I take to become the legal guardian for someone
else’s child? ................................................................................................ 849!
What kind of support can a guardian get from the government for
the child and one’s self? ......................................................................... 850!
What steps can I take to become someone else’s temporary
guardian in an emergency? .................................................................... 851!
VII.! JUVENILE DEPENDENCY COURT & CPS CASES ........................................ 852!
When would my child have a case in juvenile dependency court? .. 852!
Can CPS remove my child just because I have a criminal record? ... 852!
What could happen to my rights as a parent if CPS opens a case on
my child in juvenile dependency court? ............................................. 853!
If CPS has taken my child from my home, what are my rights in
dependency court? .................................................................................. 853!
What is a case plan and why is it important?..................................... 856!
What can I do if the judge ended my reunification services and I
want to try again to reunite with my child? ........................................ 857!
How could my criminal record affect my ability to reunite with my
child in juvenile dependency court? .................................................... 858!
I have a criminal record and want to be the legal guardian for a
child in juvenile dependency court. What steps can I take? ......... 859!
How could my criminal record affect my ability to be appointed as
the child’s guardian in dependency court?........................................ 860!
Can I be included in the juvenile dependency court decision-making
process if I have been taking care of the child every day? ................. 861!
VIII.!FAMILY COURT ................................................................................................ 862!
When would I go to family court? ......................................................... 862!
Custody & Visitation ............................................................................... 862!
What can I expect when asking for custody or visitation in family
court? ........................................................................................................... 862!
What does the judge look at to decide whether to grant custody or
visitation? .................................................................................................... 862!
What types of convictions are most likely to affect my chances of
getting custody or visitation? ................................................................. 863!
How might my criminal record affect my rights as a parent in family
court? ........................................................................................................... 864!
Can I go to family court if I am the child’s grandparent? ................ 864!
I have a history of substance abuse. How could this affect me in
family court? ............................................................................................... 865!
What is the process for requesting custody or visitation in family
court? ........................................................................................................... 865!
What can I do if there is already a court order from family court, or if
I want to change a juvenile dependency court order after my child’s
dependency case has been closed? ................................................... 866!
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IX.! CHILD SUPPORT .............................................................................................. 868!
What is child support? ..............................................................................868!
What is the difference between Current Child Support Payments
and Past, Overdue Child Support (“Arrears”)? ...................................868!
Who has to pay child support? ............................................................. 869!
I do not believe I am the child’s father, but the child’s mother thinks
I am. What can I do and how do I ask for a paternity test?............. 870!
When do I have to pay child support? ................................................. 870!
How will I know if the Local Child Support Agency (LCSA) is
involved in my case? ................................................................................ 870!
How much is child support? .................................................................... 871!
Will I have to pay interest on my child support?................................ 872!
I am formerly incarcerated. How can I find out whether I owe child
support and how much I owe?............................................................... 872!
I am currently incarcerated. Do my child support payments
automatically stop when I am in prison or jail? .................................. 873!
I Am currently incarcerated. How can I change/ adjust my child
support order while I’m in prison or jail? ............................................. 874!
I am formerly incarcerated and just discovered that I owe a lot of
money for past, overdue child support payments (“arrears”). How
can I change these arrears? ................................................................... 874!
Can I get rid of my past, overdue child support debt? .................... 875!
What is the Compromise of Arrears Program (COAP)? ................... 876!
How do I qualify for COAP? .................................................................... 877!
What if my child is living with me now, but I owe past child support
from when my child was previously living with another caregiver? .. 877!
I am formerly incarcerated, and I want to change the amount of child
support I have to pay every month (my current and future child support
payments). How can I change my child support order? ...................... 878!
How will owing child support affect my reentry? ............................. 880!
How can I pay off my child support obligations? ...............................881!
What if I am receiving benefits? Can a portion of my public benefits
be taken to pay for child support? ........................................................ 883!
I received a Child Support Warning Notice (CSWN)? What is it? .. 883!
X.! CONCLUSION ................................................................................................... 885!
FAMILY & CHILDREN APPENDIX .......................................................................... 886!

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WHAT WILL I LEARN IN THE
FAMILY & CHILDREN CHAPTER?
•

Key terms and concepts that you will frequently come across when you are
navigating family law issues

•

How to locate and reconnect with your child; how your incarceration,
parole/probation, and any court orders (such as protective orders) could
affect your rights and responsibilities as a parent

•

What are the three different Courts that handle family law cases in California
and how to best navigate each court system

•

What are the rights and responsibilities of a parent or caregiver to care for a
child and how to make decisions for him/her

•
•

What your rights are to see and spend time with your child.
What happens when a judge appoints a legal guardian to care for a child,
and what your rights and responsibilities are as a guardian or parent

•

What to do if you are a parent and CPS or the judge removes your child from
your home. This section also explains how to become a guardian for a child
in a dependency court case

•

How to get custody or visitation if your case involves your child’s other
parent

•

Child support payments and other child support issues, including what to do
if you owe past, overdue child support payments when you return to the
community from prison or jail

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I.

INTRODUCTION

Family law issues can be very confusing and complicated, especially since they
can involve several different court systems. If you have further questions after
reading this Chapter, we recommend that you contact a lawyer, a case manager,
or a trusted friend in the community to help you work through this material. You
can also contact Root & Rebound and we will try to provide further assistance or
referrals (call us at 510-279-4662, or write to us at Root & Rebound, 1730
Franklin St., Suite 300, Oakland, CA 94612). You may also want to contact a
local legal aid organization for assistance with your case. You can find a list of
legal aid organizations across California on PG. 1190.

KEY TERMS IN THE FAMILY & CHILDREN
CHAPTER
If you are a parent in reentry, you may want to have a bigger role in your child’s
life when you are released from prison or jail. If so, you’ll need to know some
basics like: What is a guardian? What is custody and visitation? Here, we explain
some of the terms that will appear again & again in this Chapter, so you can
always refer back to these definitions if they are helpful.
Adoption: Adoption means giving complete parental rights and responsibilities
to someone who is not the child’s biological parent. Once the adoption is final,
the adoptive parents are considered to be the child’s new legal parents, and the
child’s birth parents no longer have any rights to the child. Adoption is
permanent, meaning it generally can’t be changed afterward. An adoptive
parent can be a stepparent or domestic partner of one of the child’s birth
parents, a relative who has been caring for the child, or someone not related to
the child by blood.
Arrears: Arrears are unpaid, overdue child support payments (i.e., child support
debt). In other words, arrears are money you owe from past child support
payments that you did not make. Arrears are different from current child support
payments that you have to make now, which cover the cost of caring for your
child today. Often, there are different rules for arrears versus current child
support payments, so it’s important to know the difference. In addition, the state
will charge you interest (10%) on your arrears, so the amount you owe will
continue to increase—even if you’re already paying your current child support
payments.
“Best Interest of the Child”: In all child custody and visitation cases, the judge
will make decisions about your child according to what is in the “best interest of
the child.” When deciding what is in your child’s best interest, the judge will
consider things like: your child’s health and safety, and whether your child will
be raised in a stable and loving environment.
Case Plan: If CPS has removed your child from your home, you should get a
copy of your case plan from your CPS social worker or the juvenile dependency
court. A case plan sets out the rules for what you need to do to get your child
back—for example, attending parenting or counseling classes, participating in
substance abuse treatment, and/or visiting with your child. The programs and
services that you need to complete your case plan should be given to you for a
limited amount of time upon reentry.
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Caregiver: In this manual, we use the term “caregiver” to describe
the person who is responsible for your child’s care and supervision
from day to day. The caregiver may or may not be the child’s
biological parent OR the child’s guardian. In some cases, when the
caregiver is a close blood relative of the child, that relationship might
give the caregiver more rights in the situation than a non-relative
caregiver.
Child Support Payment: A judge may order the parent who does not
have custody of the child to pay child support to the parent who does
have custody of the child. The payment is to help cover the cost of
caring for your child.
Child Protective Services (CPS): CPS is the part of the Department of
Social Services (DSS) that responds to reports of child abuse or
neglect. Every county in California has a CPS office.

WHO MIGHT BE
A CAREIVER?
The person caring
for your child may
be the child’s other
parent, or may be a
relative, family
friend, foster
parent, or someone
else who has a
relationship with
your child. These
are just some
examples of people
who might be
caregivers – so
your child’s
situation may be
different!

Court Order: A court order is a decision by a judge in court. A court
order will tell you whether you currently have custody and/or visitation
with your child; who else has custody and/or visitation with your child;
and which court is involved in your family’s case. Court orders can also require
or restrict your conduct—such as requiring you to attend a parenting class or
restricting you from contacting a person. It is important to know about any court
order(s) in your child’s case, because a court order may restrict how and when
you can contact your child OR contact your child’s caregiver—and will help you
understand what steps to take next.
Custodial Parent: The parent who has physical custody of his or her child,
meaning the child lives with this parent.
Custody: Custody is the legal rights and responsibilities to live with and care for
your child. While you were in prison/jail, you were unable to have custody of
your child. Once you’re released, if you want to communicate with, visit, or get
custody of your child, you will need to find out who has custody of your child
now.
Declaration of Paternity: A legal document that says the man is the “natural
father” (the biological father) of the child. The Declaration of Paternity must be
signed by both of the child’s biological parents (father and mother).
Family Law Facilitator (sometimes called the Self-Help Facilitator): Every family
court should have a Family Law Facilitator, which is someone who can help you
with court forms, answer questions, provide general information about family
law issues, and walk you through the steps of your case if you do not have a
lawyer. However, the Family Law Facilitator cannot give you legal advice or
answer questions about your specific case. To find your local Family Law
Facilitator, see Appendix A, PG. 887, or go to http://www.courts.ca.gov/selfhelpfacilitators.htm.
Family Reunification Services: CPS must provide you with services and
programs to help you complete your case plan and court requirements and
reunite with your child.

Foster Care: Sometimes when the child is removed from his/her parents’ home,
the judge will put the child in foster care. This means the child will live with
foster parents who have been trained and approved by the state to care for
children in their home. However, foster parents have fewer rights than guardians
or biological parents, so the judge and CPS will continue to be responsible for
making decisions about the child.
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Guardian: A guardian is an adult (not the child’s parent), such as a relative or
family friend, who has legal and physical custody of the child. A guardianship
does not terminate the parental rights of the child’s legal or biological parents; it
only puts their parental rights on hold while the guardian has physical and legal
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custody.
Learn more on PG. 844.
Lien: A lien is the right to take (and sell) property belonging to another person
until that person pays off a debt s/he owes. For more information about liens,
read the COURT-ORDERED DEBT CHAPTER, beginning on PG. 755.
Local Child Support Agency (LCSA): LCSAs are county-run offices that collect
and enforce child support payments by making sure that custodial parents and
guardians receive the payments from non-custodial parents.
Non-Custodial Parent: The parent who does not have physical custody of his or
her child.
Notice: As a parent, you have certain legal rights with your children (these are
your parental rights). Before a judge or any government department does
anything that affects or changes your parental rights, you are legally required to
receive “notice” (in other words, you must be informed of the action). This
“notice” could be a letter mailed to you, paperwork given to you in court, or an
announcement made by the judge. This “notice” serves as a notification or
warning that your parental rights are or may be affected.
Parent: We use the term “parent” to describe the child’s legal or biological
mother or father, with the understanding that the child’s parent(s) may or may
not be caring for the child from day to day.
Parental Rights: Under California law and the California and U.S. Constitutions,
parents have lots of rights with their children, including the right to live with,
care for, and make decisions for their children. In some situations, a parent’s
rights can be temporarily put on hold and/or given to someone else (such as a
legal guardian). In extreme situations, a parent’s rights may be taken away
permanently (such as adoption). However, parents are entitled to special legal
protections before their rights can be changed or taken away without their
permission.
Petition/Petitioner: A petition is a legal document that asks a judge to do or not
do something. A petitioner is the person (or people) who asks the judge to do
this, by filing the petition in court.
Restraining Order (Protective Order): A restraining order is a court order from a
judge that can protect someone from being physically harmed, threatened,
stalked, or harassed. The person who asks for and is protected by the
restraining order is called the “protected person” (or protected party). The
person whom the restraining order is against is called the “restrained person”
(or restrained party). There are several types of restraining orders:
Domestic violence restraining order: if someone is the victim of domestic
violence, they can request a domestic violence restraining order.
Personal conduct order: This type of order prohibits (stops) the restrained
person from doing specific acts towards the protected person. For example, the

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

By contrast, adoption does terminate the parental rights of the child’s legal or biological parents, and also
creates a permanent parent/child relationship between the child and his/her adoptive parent. See CAL. FAM. CODE
§ 7505(a) (cessation of parental authority upon appointment of guardian); CAL. PROB. CODE § 2351(a) (custody rights
of guardian); CAL. WELF. & INST. CODE § 366.26 (distinguishing between termination of parental rights and
guardianship proceedings; contrast adoption, which terminates parental rights, with guardianship, which does not);
In re Guardianship of Ann S., 45 Cal. 4th 1110, 1124 (2009) (probate guardianship suspends parental rights).
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order may prohibit the restrained person from contacting, stalking, sexually
assaulting, or destroying property of the protected person.
Stay-away order: This type of order requires the restrained person to stay a
certain distance away from the protected person and/or from a specific place
(such as the protected person’s house or workplace).
Residence exclusion order: This type of order requires the restrained person to
move out from where the protected person lives, and to take only their own
clothing or personal belongings until there is a court hearing.
Reunification: Reunification can mean 2 things: In the real world (i.e., outside of
court), reunification can mean reuniting with your child and (re)developing a
relationship with him/her. In court, reunification means getting back your legal
right to care for your child, after s/he has been removed by CPS.
Removal: When CPS or a judge takes a child away from his/her parent’s custody.
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Visitation: Visitation is the legal right to spend time with your child.
When a
judge makes a custody order, he/she must give visitation rights to the parent
who does not have custody of the child, unless granting visitation is not in the
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child’s best interest.
Now that you’ve learned some of the basics, keep reading to learn more about
child custody, guardianship, visitation, and child support.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See, e.g., In re Marriage of Gayden, 229 Cal. App. 3d 1510, 1517 (1991) (noting that visitation is a limited form of
custody during the time visitation rights are being exercised).
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CAL. FAM. CODE § 3100(a).
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II.

SOME BASICS ABOUT
RECONNECTING WITH
YOUR CHILD
WHAT WILL I LEARN?

•
•

How to locate and reconnect with your child
How your incarceration, parole/probation, and any court orders
(such as protective orders) could affect your rights and
responsibilities as a parent

!

GENERAL QUESTIONS ABOUT
RECONNECTING WITH YOUR CHILD
I AM OUT OR GETTING OUT OF PRISON OR JAIL, AND I WANT TO
RECONNECT WITH MY CHILD. WHERE CAN I START?
STEP 1:

Find out where your child is.

First, you will need to find out where your child is, who is currently taking care of
your child, and if there are any court orders in place that affect you and/or your
child. This information is important because you may want to informally (i.e.,
outside of court) ask the person currently taking care of your child (i.e., your
child’s caregiver) to let you see your child. You may also need this information
so that you can notify the caregiver if you end up going to court.

GENERAL TIPS
If you don't know where your child is or who is taking care of him/her, here are
some tips for locating your child:
1.

IF CPS IS INVOLVED IN YOUR CHILD’S CASE, you can contact CPS to help
you locate your child and current caregiver.
2. IF CPS IS NOT INVOLVED, you can call family members, friends, maybe the
other parent, or the other parent’s family or friends, etc.
IF YOU STILL CAN’T FIGURE OUT WHERE YOUR CHILD IS, you may try using
social media (such as Facebook or Twitter) to ask if any friends or family of the
other parent might know where your child is or who is taking care of him/her.
Remember to always be safe and careful—only reach out to people you trust!
IMPORTANT! Remember to be especially careful if you have any protective
orders against you. Always follow the conditions of any Criminal Protective
Orders or No-Contact Orders that you have against you. These orders may
prevent you from contacting the other parent or from asking a third person (such
as a relative of the other parent) to contact the other parent.
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STEP 2: Find out if there is a case involving your child, and if there are any
court orders that affect you.
Second, you will need to know if there’s already a case involving your child, and
you need to know about any current court orders in place. Court orders are very
important! This is because when the judge makes a court order, the judge is
making a decision about who gets to care for the child, where the child will live,
and who can or cannot have contact with the child. See the definition on
PG. 829 to learn more about court orders.
If you were served with court papers while you were in prison or jail for a court
case involving your child, those papers should tell you: (1) the case number, and
(2) which court the case was in.
IF YOU DON'T KNOW if there is a case involving your child, or if you have lost
the court papers you once had, here are some tips to help you find out:
• IF YOU KNOW WHERE YOUR CHILD IS LIVING, you can ask your child’s
caregiver about any case(s) involving your child. It can help to ask which
court the case is (or was) in; the case number (if the caregiver can find it);
copies of any court or legal papers from your child’s case; and any other
information that you can find out.
• IF YOU DON’T KNOW WHERE YOUR CHILD IS LIVING (OR IF THE
CAREGIVER WON’T GIVE YOU ANY INFORMATION), you will need to contact
all 3 courts in the county where your child lives (or where your child was
living when you last knew about him/her)—family court, probate court, and
juvenile dependency court. Be prepared to provide as much information as
you can about your child and yourself, such as your full name, your date of
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birth, your child’s full name, your child’s date of birth, etc.
To find the phone numbers and addresses of these 3 courts in the county where
you child lives, check the local Yellow Pages for that county, or call 2-1-1 or 4-1-1
“Information” to ask (note: 4-1-1 usually costs $1.99 per call). You can also find a
list of all California courts for every county by visiting
http://www.courts.ca.gov/find-my-court.htm (click on “Contact” to get the
contact information for the courts in the county where your child lives).
STEP 3: Get copies of any court orders from a current or past case involving
your child.
If there is a case involving your child, it’s best to contact the court clerk to
request a copy of any court orders or other documents. The court order will
explain your current rights and responsibilities with your child—including when
and how you are allowed to visit and contact the child. If you want more custody
or visitation, you may need to ask the judge to change this order. To find any
existing court orders, contact the clerk in the local county court where your
child’s case is. You can contact the clerk by phone or in person when the clerk’s
office is open, and ask for copies of all the court orders in the case.
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If there is a CPS case involving your child,
ask the juvenile dependency court
clerk for any court orders. You can also ask your CPS social worker and/or the
judge for (1) a copy of your case plan, which explains what you need to do to get
your child back; AND (2) family reunification services, which are classes and
programs to help you get your child back. (Learn more about these topics on
PG. 853 and PG. 856.) ALWAYS GET A COPY OF THE COURT ORDER, even if
the case has been closed!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

By law, when a court case is filed on a child, both parents should receive a legal notice, copies of court
documents, and a chance to respond. However, mistakes can occur with the filing and mailing processes—so if
you’re a parent, there’s a chance that you didn’t get the papers that you should have.
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If your parental rights have been terminated, it means that you are no longer considered to be the parent of your
child, and you no longer have any right to see, care for or make decisions for your child. For more information on
termination of parental rights, read the section on juvenile dependency court, starting on PG. 26 below.
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HELPFUL HINT
Get Up-To-Date Court Papers!
Even if you were served with court papers while in prison/jail, it is best to get a
new copy of the court order once you get out to make sure that you have all the
most up-to-date papers.

IF THERE IS NO COURT CASE OR NO COURT ORDER INVOLVING YOUR CHILD:
If there is no court case involving your child OR no court order in your child’s
case, you will likely need to file a petition to ask the judge for more rights and
responsibilities as a parent (or caregiver). Depending on what rights you want to
get (for example, custody, visitation, guardianship, etc.), you may need to go to
one of the courts discussed on PG. 838.
STEP 4: Start a new case by filing a petition in court, OR get involved in an
existing case involving your child.
Start a new court case, or get involved in any existing, ongoing case involving
your child. You may need to file a petition in court to ask the judge for more
rights and responsibilities as a parent (or caregiver). Once you file a petition in
the proper court, you will have to prepare to go to court for a hearing or other
procedures. Each of the 3 types of courts has different powers, different rules,
and different procedures that you need to be aware of before going to court.
•
•
•

!

For probate court rules and procedures, see PG. 844.
For juvenile dependency court rules and procedures, see PG. 852.
For family court rules and procedures, see PG. 862.

IMPORTANT: When following these 4 steps, always remember to keep
track of any court orders, such as Criminal Protective Orders or NoContact Orders. If you are on parole, probation, or some other type of
community supervision, remember to follow the conditions of your
supervision once you are released. This includes following any travel
restrictions—but you should ask your parole/probation officer for a travel
pass if you need to travel to the court or visit with family members or
friends for your case. For more information about travel restrictions and
other conditions of supervision, see PG. 835. For more information about
protective, no-contact, and restraining orders, see PG. 835.

HOW YOUR CRIMINAL RECORD COULD
AFFECT RECONNECTING WITH YOUR CHILD
HOW COULD MY CRIMINAL RECORD AFFECT MY ABILITY TO
RECONNECT WITH MY CHILD?
Each type of court has different rules about criminal convictions and how they
may affect your custody and visitation rights. The situation will be different
depending on where your child is living currently, whether there is a current
court order, and in which court (probate, family, or juvenile dependency) your
child’s case is heard.
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IF I AM COMING OUT OF PRISON OR JAIL AND I AM THE CHILD’S
BIOLOGICAL PARENT, WHAT ARE MY CHANCES OF GETTING
CUSTODY OR VISITATION WITH MY CHILD?
It depends entirely on the specific details of your situation. Every case is
different. In general, if you are the child’s biological parent, it will be easier to get
visitation rights with your child at first, rather than full custody. California has a
strong public policy of supporting parent-child relationships and allowing visits
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unless they will be harmful to the child.
Asking the judge for and getting
visitation rights with your child can be a great first step to getting custody. Once
you start with visitation, you can use this to show the judge that you are
responsible and have a good relationship with your child, and to request greater
custody rights.

I AM ON PAROLE, PROBATION, OR SOME OTHER TYPE OF
COMMUNITY SUPERVISION. HOW COULD THIS LIMIT MY RIGHTS
AS A PARENT OR MY ABILITY TO SEE AND RECONNECT WITH
MY CHILD?
Being on state parole, county probation, federal probation/parole, or any other
type of community supervision does not make you less of a parent. You can and
absolutely should make every effort to reestablish your parental rights and
relationship with your child, if that is what you want. However, it is important to
remember that you may have special conditions of your supervision that limit
what you can do.
First, there may be travel restrictions in place that make it difficult for you to visit
your child, especially if he or she lives in another county. If you have limits on
where or how far you can travel, you should talk to your parole agent or
probation officer and apply for a travel pass—and make sure you get approval in
writing! Alternatively, you can arrange with family, friends, a case manager or
mentor, parole officer, or through the court (by requesting a change in the
conditions of your supervision) for your child to come visit you. If you would like
to change or challenge any condition of your supervision, read the section of the
PAROLE & PROBATION CHAPTER, beginning on PG. 130, that applies to you.
Second, there may also be conditions of your supervision that prevent you from
contacting your child OR your child’s caregiver. See the next question for more
information about what to do in this situation.

I AM FORMERLY INCARCERATED AND WANT TO SEE MY CHILD,
BUT I BELIEVE THERE IS A RESTRAINING ORDER, PROTECTIVE
ORDER, OR STAY-AWAY ORDER AGAINST ME. WHAT CAN I DO?
There are two different types of protective orders that could be in place against
you: (1) the order could actually be a condition of your supervision (if you are on
parole, probation, or some other type of community supervision), AND/OR
(2) the order could be required by a court (criminal court or civil court). In either
case, it’s recommended that you follow the protective order—otherwise you
could be fined up to $5,000, and/or re-incarcerated for violating the court order
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or the conditions of your supervision.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
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2159

See, e.g., CAL. FAM. CODE §§ 3020(b), 3100(a); CAL. WELF. & INST. CODE § 362.1(a).
Intentionally violating a protective order is a misdemeanor offense. CAL. PENAL CODE § 166(c).

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It is important to know the specifics of any protective orders against you,
especially since it can sometimes be hard to understand the exact requirements
of a protective order. For example, a protective order may prohibit you from
contacting the caregiver or other parent of your child; but this protective order
may not apply to your child, unless it specifically says that it does. This can
create a situation where, for example, you are allowed to contact your child, but
you cannot arrange for a visit with your child because you are not allowed to
contact your child’s caregiver or the other parent. If this situation happens to
you, you may be able to ask the judge for a “limited contact exception” that
allows you to contact the protected person (caregiver or other parent) only for
the purpose of arranging visits with your child.

!

IMPORTANT: If your criminal case involved domestic violence or child
abuse, then it is possible that the judge gave your child a protective
order against you. If your child has a protective order against you, do not
contact your child.
It is also important to know about any conditions or orders against you, because
when you go to court to ask for custody and visitation, the judge will consider
2160
any protective or restraining orders against you.
Here is more information on both situations:
(1) The protective/restraining order may be a condition of your parole, probation
or community supervision. In this case, it may be possible to get the condition
removed or changed if you don’t have a history of domestic violence or
2161
abuse.
•

•

•

•

If it is a state parole condition, the court cannot do anything to change the
condition. Instead, you have to follow the procedures for challenging a parole
condition by filing a 602 administrative appeal with the Parole Department.
Read the PAROLE & PROBATION CHAPTER at PG. 178 to learn about
changing a condition of state parole
If it is a condition of your probation or mandatory supervision, you must go
back to the criminal court that sentenced you to probation or supervision,
and ask the judge to remove or change the condition. Read the PAROLE &
PROBATION CHAPTER at PG. 200 (misdemeanor probation) and PG. 205
(felony probation) to learn about changing a probation condition.
If it is a condition of your Post-Release Community Supervision (PRCS), read
the PAROLE & PROBATION CHAPTER at PG. 211 to learn about changing a
condition of PRCS.
If it is a condition of your federal probation or federal parole, begin reading
the PAROLE & PROBATION CHAPTER at PG. 229 to learn about changing a
condition of federal probation or federal parole.

(2) The protective/restraining order may have been ordered by a court (criminal
or civil) based on a history (or allegations) of domestic violence, neglect, abuse,
2162
stalking, or threats.
If you want to change a court-ordered protective order,
you must go back to the same court and ask the judge to change or cancel the
2163
order.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. FAM. CODE § 3031; see also Form FL-105 (Declaration Under Uniform Child Custody Jurisdiction &
Enforcement Act), at q.5, http://www.courts.ca.gov/documents/fl105.pdf.
2161
But see, e.g., CAL. PENAL CODE § 1203.097(a)(2) (criminal court protective order is mandatory probation condition
for domestic violence offenses).
2162
CAL. FAM. CODE §§ 6250 et seq. (emergency protective order), 6320-22 (protective orders); CAL. PENAL CODE
§ 136.2 (criminal protective order).
2163
You can also try to appeal the order to a higher court.
2160

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•
•

!

If you need assistance changing a criminal court-ordered protective order,
contact a public defender or your lawyer from your trial.
If you need assistance in changing a civil court-ordered protective order, you
can ask the Family Law Facilitator at your county court (see Appendix A,
PG. 887 to find your local Family Law Facilitator).

IMPORTANT: You might have protective and restraining orders from both
criminal and civil courts, with different conditions. So what rules should
you follow? Answer: The criminal court order.
A protective order from criminal court is stronger than a restraining order
from family, probate, juvenile dependency, or another civil court. If you
have several orders from different courts, you must follow the criminal
protective order (even if the requirements are different from the other
orders).2164

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Santa Clara County Superior Court, CR-6000: Information About Criminal Protective Orders & Civil Restraining
Orders (rev’d Dec. 13, 2013), http://www.scscourt.org/documents/CR-6000.pdf.
2164

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III.

THE THREE DIFFERENT
COURTS YOU NEED TO
KNOW ABOUT
WHAT WILL I LEARN?

•
•

About the three different courts that might make decisions
about your child.
How and what you can do in each of these courts to restore or
establish your rights and responsibilities as a parent, caregiver,
or guardian.

!

WHAT ARE THE DIFFERENT COURTS IN CALIFORNIA THAT
MIGHT MAKE DECISIONS ABOUT MY CHILD?
There are 3 different courts in California that make decisions about children:
probate court, juvenile dependency court, and family court. Any of these courts
could have cases involving your child. You need to know about all 3 courts
because you need to know the best place to go to restore your rights as a
parent, caregiver, or guardian. You also must understand the difference
between these 3 courts if your child already has an ongoing case, because you
will have to go to the court where the case happened or is happening to tell the
judge what you want to happen.
On the next page is a chart that summarizes the 3 main courts that make
decisions about children—including where the child will live and who will care
for him/her. Each of the 3 courts has very different powers and rules. If you’re
unsure about which court your case is in or should be in, use the chart below to
figure out which court is best for you as you work towards restoring your rights
and responsibilities as a parent, caretaker, or guardian.

!

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SUMMARY OF CALIFORNIA COURTS THAT MAKE DECISIONS ABOUT CHILDREN
GENERAL
QUESTIONS

PROBATE COURT

WHEN WOULD
MY CHILD OR I
NEED TO GO TO
THIS COURT?

You would want to go to Probate
Court in 2 main situations:
(1) The court has appointed someone
else (not the child’s parent) to be the
guardian for your child, and you
want custody or visitation with your
child; OR
(2) You want to become the guardian
for someone else’s child.

JUVENILE
DEPENDENCY
COURT

FAMILY COURT

You and your child
might go to Juvenile
Dependency Court if
the child’s parent(s)
are suspected of
abuse or neglect and
Child Protective
Services (CPS) has
become involved in
the child’s case. As a
result, the child might
then have a guardian
appointed, go into
foster care, go back to
his/her parents under
the court’s
supervision, or be
adopted.

You would want to go to Family
Court to ask for custody or visitation
if you are the child’s parent and you
have an issue with the other parent.
The court will award custody or
visitation only if it is “in the child’s
best interest.” When deciding what
is in the child’s best interest, the
judge will consider things like: the
health and safety of the child and
whether the child is going to be
raised in stable and loving
environment. Usually this means
having both parents involved in
child’s life, but if one or both
parents can’t provide care and
stability—or would harm a child—
2165
then the judge will limit contact.
The family court also hears cases
that don’t involve custody or
visitation, like divorce, child support,
2166
and paternity cases.

WHO STARTS
THE CASE?

(1) Normally, a person who wants to
become the guardian of someone
else’s child. (This could be a relative
or family friend.) This person might
be living with the child already, but
want more rights and
responsibilities; OR

CPS

A parent of a child

See PG. 852

See PG.862

(2) A parent who is trying to end a
guardianship already in place and
get custody or visitation with their
child back; OR
(3) Someone who wants to end an
existing guardianship arrangement.
WHERE DO I
FIND MORE
INFORMATION
ABOUT THE
RULES &
PROCEDURES
OF THIS COURT?

See PG. 844

th

* A note about Juvenile Delinquency Court: There is a 4 type of court called juvenile delinquency court,
which hears cases when a child has been arrested for breaking a law. This Chapter does not go into details
about juvenile delinquency court or issues of children in the criminal justice system. For more information on
that issue, visit the California Courts’ website at http://www.courts.ca.gov/selfhelp-delinquency.htm.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See CAL. FAM. CODE §§ 3020(b), 3100(a) (“[T]he court shall grant reasonable visitation rights to a parent unless it is
shown that the visitation would be detrimental to the best interest of the child.”) (emphasis added). See also, e.g.,
Punsly v. Ho, 87 Cal. App. 4th 1099, 1109 (2001) (“[In determining the child’s best interest,] a presumption exists that
fit parents act in the best interests of their children.”).
2166
Specifically: The family court hears those custody and visitation cases that don’t involve child abuse or neglect,
and that don’t involve guardianships. This section will explain each of these issues and kinds of cases, one by one.
2165

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HELPFUL HINT
If You Know The Court Your Child’s Case Is In
If you already know which of the 3 courts your case (or your child’s case) is in,
you can skip directly to the section of this Chapter that discusses that specific
court system. But if you don’t know this information, it’s best to try to find out
which court your case is in before you keep reading.

WHERE DO I FIND THE COURT FORMS I NEED?
California court forms are available online from the California Courts’ website at
http://www.courts.ca.gov/forms/forms.htm. You can also ask the court’s Family
Law Facilitator to help you get and fill out the court forms you need for your
case. Finally, your local law library may also help you get court forms, legal
research materials, and information about other legal resources you may need.
Every court form has letters and numbers to identify it. Please note the following
about the 3 courts that may make decisions about your child:
•
•
•

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Probate court forms start with GC
Juvenile dependency court forms start with JV
Family court forms start with FC

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IV. CUSTODY
WHAT WILL I LEARN?
•
•

About custody, the legal rights and responsibilities to live with and
care for your child.
How to find out who has custody of your child once you are
released from prison.

WHAT ARE THE DIFFERENT TYPES OF CUSTODY?
There are 2 types of custody: physical custody and legal custody. Within these
types of custody, someone can have sole custody or joint custody.
•

•

Physical custody means that your child lives with you (at least some of the
time), and you are responsible for your child’s day-to-day care and
supervision. Within physical custody, you can have sole physical custody
(meaning you are the only person with physical custody), or joint physical
custody (meaning you share physical custody with someone else, such as the
child’s other parent or caregiver).
Legal custody means you have the right to make major decisions about your
child’s health, education, and well being—like where s/he goes to school and
2167
what kind of medical care s/he gets.
Within legal custody, you can have
sole legal custody (meaning you are the only person with legal custody), or
joint legal custody (meaning you share legal custody with someone else,
such as the child’s other parent or caregiver).

A parent or caregiver can have both physical custody AND legal custody (as
most parents do), or just one form of custody.
THIS CHART EXPLAINS THE DIFFERENT TYPES OF CUSTODY ARRANGEMENTS THAT A PERSON CAN HAVE
THROUGH A COURT:

TYPES OF CUSTODY
PHYSICAL CUSTODY

LEGAL CUSTODY

SOLE PHYSICAL CUSTODY: Your child lives with you
full time (although the other parent or caregiver may
have visitation rights). You, and only you, are
responsible for your child’s daily care and supervision.

SOLE LEGAL CUSTODY: You, and only you, are the person
who can make important decisions about your child’s health,
education, and well being.

JOINT PHYSICAL CUSTODY: Your child lives with you
part of the time, and with the other parent (or caregiver)
part of the time. You are responsible for your child’s care
and supervision when s/he is with you, and someone
else is responsible for your child’s care when the child is
with him/her.

JOINT LEGAL CUSTODY: You and the other parent (or
caregiver) share the right to make important decisions about
your child. It is possible for the judge to give the parents joint
legal custody, but still give one parent complete power to make
certain types of decisions alone, and have both parents share
responsibilities for other types of decisions.

Joint physical custody does not necessarily mean there
is an equal 50/50 split in time between parents (or
caregivers); it could be that the child spends more time
with one parent than the other. This is still joint custody.

An important note: Even when both parents have the right to
make decisions about the child, they do not have to agree on
every decision. Either parent can make the decision alone, and
2168
they have an independent right to do so.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Judicial Counsel of Cal., Basics of Custody & Visitation Orders: Types of Custody Orders,
http://www.courts.ca.gov/17975.htm.
2168
CAL. FAM. CODE § 3083.
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WHO DECIDES WHO HAS CUSTODY OF A CHILD?
When a child’s parents separate and there is a disagreement about custody, the
judge will make a decision about it. When the judge makes a decision about
child custody issues, s/he will make a court order stating who has physical
custody, who has legal custody, and whether each type of custody is joint or
shared. This court order sets rules for how you and the other parent (or
caregiver) will share the care, control over, and time with your child. The court
order may also give a parent or caregiver visitation rights (learn more about
visitation on PG. 843). Neither the child’s mother nor father automatically gets
custody of the child. In the past, a mother would automatically get custody—but
this is no longer the case. Instead, the judge will give custody based on what is
in the child’s best interest (see PG. 862 to learn more about the “best interest of
the child” test).
The judge cannot deny you custody or visitation just because you were never
married to the child’s other parent. But if you are not the child’s legal parent, it
can be difficult to get custody of the child unless (1) the child’s legal parents
agree (or don’t oppose) that you should have custody, or (2) the child’s legal
2169
parents are unable to safely and properly care for the child.
The judge must
also find that giving you custody is in the child’s best interest. (For more
information about what it means to be the child’s legal parent and other
2170
questions about paternity, see PG. 869).

WHAT DO LEGAL AND PHYSICAL CUSTODY ARRANGEMENTS
LOOK LIKE IN THE REAL WORLD?
There are SO MANY different possible arrangements and combinations of legal
and physical custody (sole and joint). Here are some examples that show these
concepts IN REAL LIFE. Remember, these are just examples—no two situations
are exactly the same. There is no such thing as a “normal custody arrangement,”
so it is okay if your situation is different than in these three stories.
COMMON EXAMPLES OF CUSTODY ARRANGEMENTS
STORY #1: Jessica is an 8-year-old girl. The judge gave her mother, Maria, sole physical custody, meaning that Jessica
lives with Maria full time. Jessica’s father, John, recently returned home from prison and asked the court for visitation. The
court gave him weekly visitation with Jessica, but not any physical custody. However, the court gave both Maria and John
joint legal custody over Jessica, which means they both get to make important decisions for her—like medical decisions
and where to go to school, etc. But only Maria has physical custody, meaning that only Maria is responsible for Jessica’s
day-to-day care. To change this arrangement, John would need to go to court to ask for joint physical custody.
STORY #2: David’s parents, Carlos and Rashida, are separated, but the judge gave them joint physical custody and joint
legal custody of their son. David lives with Rashida during most of the week (Monday-Thursday), and with Carlos on
weekends (Friday-Sunday). Rashida and Carlos live in the same school district, so David can attend school normally during
the week. Rashida and Carlos also share joint legal custody, which means they both get to make important decisions for
their child—like medical decisions, where to go to school, etc.
STORY #3: Kerry’s grandmother, Mary, was appointed as Kerry’s legal guardian by the judge, because both of Kerry’s
parents were unable to care for her because of their drug addiction. This means that Mary has sole physical and legal
custody of Kerry. Kerry lives with Mary (physical custody), and Mary gets to make all important decisions for Kerry (legal
custody)—like medical decisions, where to go to school, etc. Kerry’s parents do NOT have physical or legal custody of their
child, but her father, Joseph, asked the judge and got supervised visitation with her. Kerry’s mother, Janet, is currently
incarcerated and does not have visitation (but she can ask the judge for visitation rights while she’s in prison or after she
gets out).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. FAM. CODE § 3041 (before granting custody to someone other than the child’s parent over parent’s
objection, the judge must find that granting custody to parent would be detrimental to the child and that granting
custody to nonparent is necessary in the best interest of the child). See also CAL. PROB. CODE § 1514(b) (same
standards apply to guardianship of the person).
2170
You can ask the judge for child support or custody and visitation orders as part of a case that establishes the
child’s parentage. If a person does not admit that he or she is the parent, the judge may order the alleged parent to
submit genetic testing.
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V.

!

VISITATION
WHAT WILL I LEARN?

•
•

What visitation is
How the judge can make different kinds of visitation orders
depending on each parent’s (or caregiver’s) situation and what
is in the child’s best interest.

WHAT ARE THE DIFFERENT TYPES OF VISITATION PLANS THAT
A JUDGE CAN ORDER?
THIS CHART EXPLAINS THE 4 TYPES OF VISITATION PLANS A COURT COULD
ORDER:

4 TYPES OF VISITATION PLANS:
SCHEDULED VISITATION—a detailed plan with exact dates and times for the
parent to visit the child.
REASONABLE VISITATION—a flexible plan that allows the parent to work out the
details of visits with the child’s other parent (or caregiver)—such as when, where,
how often, and for how long the visits will take place.
SUPERVISED VISITATION—a plan that allows the parent to visit their child
regularly but also requires someone else to be present whenever the parent visits,
2171
to make sure that the child is safe and that parent and child get along well.
NO VISITATION—the judge may decide to not give the parent any visitation at all.
This happens if the judge is concerned that a parent will harm a child and thinks
it’s best for the child not to have contact with that parent.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

The judge may grant supervised visitation if it thinks that your child should see you regularly, but (1) has concerns
about the child’s safety, or (2) you haven’t seen your child in a long time and need time to be (re)introduced. The
judge’s supervised visitation order will state when you can visit your child, and may also state where and who the
supervisor will be. A non-professional supervisor can be a family member or friend who cares about the child and
wants to help. A professional supervisor is someone trained and experienced in providing supervision services, and
will charge a fee for his/her services. All supervisors are legally required to report suspected child abuse. CAL. FAM.
CODE § 3200 et seq.; CAL. RULES OF COURT § 5.20
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VI. GUARDIANSHIP &
PROBATE COURT
WHAT WILL I LEARN?
What a guardianship is
Who can be a guardian
The rights and responsibilities of a guardian
What your rights are as a parent if a guardian has been
appointed for your child
How to become the guardian of someone else’s child
How your criminal record will affect your chances of becoming
a guardian

•
•
•
•
•
•

BASIC INTRODUCTION TO GUARDIANSHIP
WHAT IS A GUARDIANSHIP?
A guardianship occurs if a judge appoints you to take care of and be responsible
for someone else’s child, or if someone else has been appointed to take care of
and be responsible for your child. Although a guardianship does not terminate
(end) the rights of the child’s parents, a guardian has the same rights and
responsibilities as a parent. A guardian has full legal and physical custody of the
child and can make any decision that a parent would be allowed to make. A
guardian can be almost any adult—a relative, a friend of the family, or someone
2172
else whom the judge decides is able to care and make decisions for the child.

WHAT ARE THE RESPONSIBILITIES OF A GUARDIAN?
As a legal guardian, you are responsible for caring and making decisions for the
child in the following areas:
Where the child lives;
Education;
Health care;
Social services;
Financial support and/or public benefits;
Supervision and misconduct;
Driver license; military service; and marriage;
Any other responsibilities that the judge orders.

•
•
•
•
•
•
•
•

For more information about the duties of a guardian, read the Duties of Guardian
form (GC-248), available on the California Court’s website at
http://www.courts.ca.gov/documents/gc248.pdf.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2172

See JUDICIAL COUNCIL OF CAL., Guardianship, http://www.courts.ca.gov/selfhelp-guardianship.htm.

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HOW DOES A GUARDIAN GET APPOINTED (CHOSEN) FOR A
CHILD IN PROBATE COURT?
A guardian can be appointed in one of two ways. The probate court
judge will decide whether a guardian should be appointed for the child
and who should be appointed as the guardian.
(1) The parents of the child can go to probate court to nominate
(choose) the person they want to be the guardian of their child. See
PG. 846 for more information on the parents’ options in a
guardianship.
(2) In other cases, the person who wants to become the child’s
guardian, like a relative or family friend, may petition (ask) the judge
2173
directly to appoint him/her as the child’s guardian.
See PG. 849 for
more information on this process.

HOW DOES THE JUDGE DECIDE WHETHER TO GIVE
SOMEONE GUARDIANSHIP OF A CHILD? WHAT
STANDARD DOES THE JUDGE USE TO DECIDE?
The judge asks: “What is in the best interest of the child?” In all child
custody and visitation cases, including for guardianship, the judge will
make his/her decisions according to what is in the “best interest of the
child.” When deciding what is in the child’s best interest, the judge will
consider things such as: the health and safety of the child, and whether
the child will be raised in stable and loving environment. The judge will
use the “best interest of the child” standard to decide who will be a
good guardian for the child. The goal is to make sure the child is raised
2174
in a safe, stable, and loving environment.

WHEN WOULD A JUDGE DECIDE THAT GUARDIANSHIP
SHOULD BE GIVEN TO SOMEONE OTHER THAN THE
CHILD’S PARENT?

CAN THE
CHILD’S
PARENTS ALSO
BE HIS/HER
GUARDIAN?
Generally, no. In
general, the child’s
legal or biological
parent cannot be
appointed as the
child’s guardian –
only someone who
is not the parent can
be appointed
guardian. If you are
the child’s parent
and want to get
custody or visitation,
you will generally
need to go to family
court, or go to
juvenile
dependency court if
there is already a
dependency court
or CPS case
involving your child.
For more
information about
family court, see
PG. 862; for juvenile
dependency court
see PG. 852. Cal.
Prob. Code
§ 1514(b)(2).

Guardianship may be necessary when, no matter how much the parents love
their child, they are unable to take care of him/her. Some examples of situations
when guardianship might be necessary are when both parents have a severe
substance abuse problem or anger management problem, or if one or both
parents are going into the military, to a rehab program, or to prison. A guardian
2175
must be at least 18 years old.
In most cases, a guardian is someone whom the
child knows well, such as a relative or a family friend.

IS GUARDIANSHIP THE SAME THING AS ADOPTION?
No. Guardianship is NOT the same as adoption. Guardianship doesn’t take a
child away from the parents forever—it just gives custody to the guardian for a
period of time. In a guardianship, the child is still (legally) related to his/her
parents, and the judge can let the parents or other family members visit with the
children. In a guardianship, parents still have legal responsibilities to support

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2173
2174
2175

CAL. PROB. CODE §§ 1500 (nomination by parent), 1510 (petition for guardianship), 1514 (appointment of guardian).
CAL. PROB. CODE § 1514.
Cf. CAL. PROB. CODE §§ 1982, 3901; see also CAL. FAM. CODE § 6501.

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their child, and the child can still inherit money or get social security benefits
2176
from his/her parents.
In contrast, adoption does permanently take away (terminate) the parental rights
of the child’s parents. Adoption is generally permanent and irreversible, which
means the parents no longer have any rights to their child and cannot get their
2177
child back.
Whereas guardianship can be temporary, adoption is permanent.

IF A GUARDIAN HAS BEEN APPOINTED FOR MY CHILD, WHAT
ARE MY OPTIONS?
This following chart summarizes your options if a guardian has been appointed for your
child.

SUMMARY OF YOUR OPTIONS IF A GUARDIAN HAS BEEN APPOINTED FOR YOUR CHILD
WHAT WILL I NEED TO SHOW?

HOW DO I DO IT?

If you want
custody back…

IF I WANT…

To get custody back, go to
the same county probate
court that appointed your
child’s guardian, find out
what is happening in your
case, and file a petition to
terminate (end) the current
guardianship and ask for
custody back, if
2178
appropriate.

• You will need to show that ending
the guardianship and giving you
custody is in your child’s best
2179
interest.
• You will need to show that you are
able to care for your child and
provide a safe home for him/her (i.e.,
you have a stable place to live, a
source of income, and you are ready
2180
to be a good parent).

Go to your county probate court and
ask the Family Law Facilitator to help
you get and fill out the court forms.
File your court forms with the court
clerk in the same probate court that
appointed your child’s guardian. See
Appendix B, PG. 888, for sample
court forms.

If you want to
keep the current
guardianship in
place, but you
want to visit your
child (and you
want a court
order demanding
it)…

To keep the current
guardianship in place, but
you want to visit your child
(and you want a court order
demanding it), you should file
a petition for visitation rights
in the same county probate
court that appointed your
child’s guardian.

You will need to show that visitation is
in your child’s best interest (i.e., you
have a positive relationship with your
child, you can provide stable and loving
visits with your child, and you are ready
2181
to be a good parent).

Go to your county probate court and
ask the Family Law Facilitator to help
you get and fill out the court forms.
File your court forms with the court
clerk in the same probate court that
appointed your child’s guardian.
(Note: If your child lives in a different
county, you may need to get special
court forms for visitation from the
probate court that appointed your
child’s current guardian.)

If you want to
change the child’s
guardian to
someone else
(not you)…

To change the child’s
guardian to someone else
(but not you), you should file
a petition to terminate the
current guardianship and a
petition asking to appoint a
new guardian in the same
county probate court that
appointed your child’s
guardian.

• You will need to show that ending
the current guardianship and giving
a different person guardianship is in
your child’s best interest.
• You will need to show that the new
guardian can care for your child and
provide a safe home for him/her (i.e.,
the new guardian has a stable place
to live, a source of income, can be a
good caregiver, and can provide a
2182
good home).

Go to your county probate court and
ask the Family Law Facilitator to help
you get and fill out the court forms.
File your court forms with the court
clerk in the same probate court that
appointed your child’s guardian. See
Appendix C, PG. 889 and
Appendix D, PG. 890 for sample
court forms.

!

WHAT SHOULD I DO?

IMPORTANT! A NOTE ON FEES: Filing court papers in probate court can be
expensive. If you can’t afford to pay the fees, you can ask for a fee waiver from
the court clerk when you file your papers. If you receive certain public benefits,
2183
you are automatically entitled to a fee waiver.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See CAL. PROB. CODE § 1303.
If your parental rights are terminated, you have very little opportunity to appeal. CAL. WELF. & INST. CODE § 366.28.
Otherwise the guardianship will continue until your child turns 18, gets married, gets an emancipation court
order, or dies. CAL. PROB. CODE § 1600. If the judge decides to end the guardianship and give custody to you (or if
the judge appoints a new guardian), it can then order visitation rights for the former guardian. § 1602.
2179
CAL. PROB. CODE § 1601; see also In re Guardianship of L.V., 136 Cal. App. 4th 481 (2006) (holding that child’s best
interest is sole criterion for termination of guardianship).
2180
JUDICIAL COUNCIL OF CAL., Ending a Guardianship, http://www.courts.ca.gov/1213.htm.
2181
See, e.g., Guardianship of Aaron B., No. A136721, 2013 WL 4658373, at *4 (Cal. Ct. App. Aug. 30, 2013).
2182
JUDICIAL COUNCIL OF CAL., Ending a Guardianship ( Dec. 17, 2014), http://www.courts.ca.gov/1213.htm.
2183
CAL. GOV’T CODE § 68632.
2176
2177
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IMPORTANT INFORMATION IF SOMEONE ELSE WAS
APPOINTED THE GUARDIAN OF YOUR CHILD & YOU
ARE TRYING TO RECONNECT
IF SOMEONE ELSE BECOMES THE GUARDIAN OF MY CHILD, DO I
LOSE MY RIGHTS AS A PARENT?
NO, not at all. Guardianship does not end the parental rights of the child’s legal
or biological parents; it only puts their parental rights on hold while the guardian
2184
has physical and legal custody of the child.
This allows the guardian(s) to
make all the decisions about caring for the child that a parent would make,
without cutting off the parents’ rights to get back legal and physical custody of
2185
their child in the future.
Also, the child’s legal or biological parents still have certain responsibilities for
their child during the guardianship:
•

•
•

Parents must continue to financially support their children in a guardianship
(including paying child support). And children in a guardianship can inherit
money or get social security benefits from their parents.
The children in a guardianship are still related to their parents.
The court can let the parents or relatives visit with the children in a
guardianship.

IF SOMEONE ELSE BECOMES THE GUARDIAN OF MY CHILD, CAN
I STILL VISIT WITH MY CHILD? CAN HIS/HER SIBLINGS VISIT?
Yes, so long as the judge decides it is okay to visit. When the judge appoints a
guardian to have custody of a child, the judge may also grant visitation rights to
the child’s parent(s) and/or sibling(s). If the judge orders visitation, the child’s
guardian must allow these visits to take place. If there is no court order for
visitation, the guardian has the right to decide whether the child may visit with
his/her parent(s) or other relatives. So if you don't have a court order and the
guardian is not letting you see your child, you might need to go to probate court
to ask the judge for visitation. See the chart below (Summary of Your Options if
a Guardian Has Been Appointed for Your Child) for more information.
(Note: If your child lives in a different county from you, you will need to ask for
visitation from the same probate court that appointed your child’s current
guardian, which may be in a different county from where you live. Every probate
court has its own special forms to request visitation, so you may need to get
these forms from the probate court that appointed your child’s current guardian.)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

By contrast, adoption does terminate the parental rights of the child’s legal or biological parents, and also
creates a permanent parent/child relationship between the child and his/her adoptive parent. See CAL. FAM. CODE
§ 7505(a) (cessation of parental authority upon appointment of guardian); CAL. PROB. CODE § 2351(a) (custody rights
of guardian); CAL. WELF. & INST. CODE § 366.26 (distinguishing between termination of parental rights and
guardianship proceedings; contrast adoption, which terminates parental rights, with guardianship, which does not);
In re Guardianship of Ann S., 45 Cal. 4th 1110, 1124 (2009) (probate guardianship suspends parental rights).
2185
CAL. PROB. CODE § 1500 et seq. The guardian is responsible for the child's care, including the child's: food,
clothing and shelter; safety and protection; physical and emotional growth; medical and dental care; education and
any special needs. The guardian is also be responsible for supervision of the child, and may be liable for any
intentional damage the child may cause.
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IMPORTANT INFORMATION IF YOU WANT TO
BECOME THE GUARDIAN OF SOMEONE ELSE’S CHILD
WILL MY CRIMINAL RECORD AFFECT MY CHANCES OF BEING
APPOINTED AS A GUARDIAN FOR SOMEONE ELSE’S CHILD?
The judge can consider all of your convictions when deciding whether to appoint
you as a guardian. But certain types of convictions are more likely than others to
affect your chances of being appointed as a guardian. Although the judge will
consider all of your convictions, the convictions that are viewed most negatively
are child abuse and/or domestic violence; registered sex offenses where the
2186
victim was a child; and rape or murder of the child’s other parent.
The judge
2187
will also consider any restraining or protective orders against you.
If you have struggled with drugs or alcohol (whether or not you have any related
convictions), the judge will also consider this when deciding whether it is in the
child’s best interest to appoint you as his/her guardian. The judge may require
you to do drug or alcohol tests, or even order you not to use any drugs or
alcohol. However, the judge cannot deny your guardianship petition based
solely on the results of a positive drug/alcohol test—a dirty test is only one factor
2188
when deciding whether the guardianship would be in the child’s best interest.
If you have already been appointed as the child’s legal guardian, the judge can
remove you as guardian (i.e., end your guardianship rights) if you are convicted
of a felony, regardless of whether the conviction occurred before or after you
2189
became the child’s guardian.

HELPFUL HINT
What are recommended ways to present myself to the judge if I have
a criminal record and want to get guardianship or visitation?
It can help to clearly explain the things that make you a positive person in the
!
child’s life. You should emphasize your ability
to care for the child, the strength
of your relationship with the child, the stability you can bring to the child’s life,
and tell the judge why it is best for the child to live or visit with you. You should
also talk to a lawyer. To find a free legal aid organization in your area, visit
http://lawhelpca.org/find-legal-help?topic=families-andkids&subtopic=custodyvisitation or see PG. 1190 for a list of legal aid
organizations around the state.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Guardianship cases in probate court are governed by the same rules as custody cases in Family Court. CAL. PROB.
CODE § 1514(b) (appointment of guardian governed by standards of Family Code §§ 3020 et seq. and 3040 et seq.);
CAL. FAM. CODE §§ 3044 (presumption against persons perpetrating domestic violence); 3030 (sexual offenses
against a minor; rape from which child was conceived; first degree murder of child’s other parent)
2187
CAL. FAM. CODE § 3031.
2188
CAL. PROB. CODE § 1514(b); CAL. FAM. CODE § 3041.5. The results of the drug/alcohol test will only be used when
considering whether you should be the child’s guardian (i.e., whether the guardianship is in the child’s best interest),
and cannot be used for any other purpose, such as criminal prosecution, parole violation, or civil penalties.
Moreover, you may request a hearing to challenge the results of a positive test.
2189
CAL. PROB. CODE § 2650(d).
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WHAT STEPS CAN I TAKE TO BECOME THE LEGAL GUARDIAN
FOR SOMEONE ELSE’S CHILD?
If you are not the child’s legal or biological parent, but you are a relative or
family friend (or you have some other relationship with the child), you can ask to
become the child’s guardian by filing a petition for guardianship in probate
2190
court.
Ask the court Family Law Facilitator to help you fill out and file the
court forms. This is what to expect:
•

•
•

•

•

The court (or social service agency) will conduct an investigation—including a
background check on you and other adults in your home—to make sure that
living with you will be best for the child and not put the child at risk of
2191
harm.
There will be a hearing in court, when the judge may ask questions to you,
2192
the child, and/or any other relative who attends.
The judge will approve the guardianship if it is necessary or convenient for
the child—in other words, if it is best for the child—such as when the child’s
2193
parents are unable to care for him/her directly.
The judge is more likely to grant your petition for guardianship if the child’s
parents agree to the guardianship, particularly if they sign onto your
2194
petition.
If one or both parents objects to the guardianship, you will need to show that
allowing the child to stay with his/her parents (or current caregiver) will be
detrimental to the child (meaning it will cause harm to the child) AND that
2195
appointing you as guardian will be in the best interest of the child.

See Appendix C, PG. 889, for sample court forms.
NOTE: You may also have a “co-petitioner” for guardianship, where two people
ask to share the guardianship of a child. This person can be your spouse
(husband or wife), or any other relative or non-relative who will help you care for
the child.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Keep in mind that a guardianship will give you legal custody of the child—the right to care and make decisions
for the child—but will not create a permanent parent/child relationship, and will not terminate the parental rights of
the child’s parents. There are also short term and/or informal alternatives to guardianship, such as an informal
arrangement with the child’s parent(s) or a Caregiver’s Authorization Affidavit, which gives you the right to enroll the
child in school and make certain medical decisions for the child. CAL. FAM. CODE § 6550. However, these informal
options generally do not protect your right to care or make decisions for the child if the legal parent (or other legal
caregiver) disagrees with you.
2191
CAL. PROB. CODE § 1513(a). The investigator will visit your home; interview you, the child (depending on age),
anyone else living in the home, and possibly the child’s parents; review the child’s school and medical references;
and may ask for personal references. The investigator will write up a report and make a recommendation to the
judge about whether you should be appointed as guardian. You have the right to get a copy of the investigator’s
report, although you may have to request it from the judge.
2192
CAL. PROB. CODE § 1514(a).
2193
CAL. PROB. CODE § 1514(a); CAL. FAM. CODE § 3011.
2194
CAL. PROB. CODE § 1500 (parents’ nomination of guardian); CAL. FAM. CODE § 3043. The judge will also consider
whether other family members agree that you should be the child’s guardian, and where the child wants to live (if
s/he is old enough to decide). CAL. FAM. CODE § 3042. It may be good to show that if you are appointed as guardian,
you will help child to stay in contact with his/her parents and extended family (but only if this would be safe and
appropriate for the child).
2195
In re Guardianship of Jenna G., 63 Cal. App. 4th 387, 394 (1998).
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IMPORTANT: DECISIONS THAT THE JUDGE HAS THE DISCRETION TO
MAKE DURING A PROBATIE GUARDIANSHIP HEARING:
The judge may decide to appoint a lawyer for the child, if the judge thinks that
it’s necessary to protect the child. If you make accusations that the child’s
parents (or caregivers) have abused, neglected, or mistreated the child, the
judge can also involve CPS in the case. If CPS gets involved in the case, it can
take longer and/or be much more difficult for you to become the child’s
guardian, for two reasons:
•

•

First, your guardianship case in probate court will be put on hold (delayed)
because CPS will open a new case in juvenile dependency court. In the
meantime, the child may be returned to his/her parent(s) or placed with
another caregiver.
Second, if you want to become the child’s guardian or caregiver in the
juvenile dependency case AND you have a criminal record, there are many
more criminal record-related barriers in juvenile dependency court (whereas
2196
there are fewer barriers in probate court).
(See PG. 860 to learn how a
criminal record will affect your chances of being a guardian in juvenile
dependency court.)

When deciding whether to involve CPS, the judge will look at the current
conditions in the child’s parents’ (or caregivers’) home. When you are filling out
your petition for guardianship and/or going to probate court, you do not have to
go into detail about major issues with the child’s parents. If you do, the judge
may be more likely to appoint a lawyer for the child or involve CPS (which may
cause it to take longer or make it more difficult for you to become the guardian).
The child’s parents or caregivers do not have to go to court with you. Instead,
you can go to court and just focus on explaining to the judge why it is in the
child’s best interest to live with you. Keep it positive—tell the judge why you are
the right person to care for and be responsible for the child (i.e., you have a
good relationship with the child, you have a stable place to live and source of
income, and you will be a loving and supportive guardian). This is often the best
solution to this complicated situation. On the other hand, you may decide that it
is better for CPS to get involved in the case.

WHAT KIND OF SUPPORT CAN A GUARDIAN GET FROM THE
GOVERNMENT FOR THE CHILD AND ONE’S SELF?
Depending on your relationship to the child and your financial situation, you can
get certain public benefits for the child and/or yourself. These may include:
• CalWORKS (sometimes called “welfare”):
o If you’re related to the child, you can get CalWORKS even if you don’t
need the money. This is called a monthly “non-needy caregiver”
payment.
o If you’re not related to the child (also called a non-relative guardian),
you cannot get CalWORKS simply for being the child’s guardian, but you
can still get CalWORKS if you can show that you need financial help to
care for the child.
• Foster Care Payments: Some guardians can get these payments, and the
amount of money may be more than CalWORKS.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PROB. CODE § 1513(b), (c); In re Guardianship of Christian G., 195 Cal. App. 4th 581 (2011), as modified (May
31, 2011). The judge must refer the case to CPS if you, the investigator, or anyone else involved in the case indicates
that the child has been abused or neglected by his/her parent(s) or current guardian.
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•
•

•
•

Kin-GAP (Kinship Guardianship Assistance Payment Program): If you are
related to the child, you can (but are not guaranteed to) get these payments.
SSI (Supplemental Security Income): If the child has a disability, s/he may be
able to get SSI or state disability benefits. You can use this money to take
care of the child.
Medi-Cal: You can get Medi-Cal for the child, and get Medi-Cal for yourself if
2197
you’re related to the child and financially eligible.
For more information on all of these benefits and more, read the PUBLIC
BENEFITS CHAPTER, beginning on PG. 504.

WHAT STEPS CAN I TAKE TO BECOME SOMEONE ELSE’S
TEMPORARY GUARDIAN IN AN EMERGENCY?
In an emergency, you can ask the judge to appoint you as a temporary guardian.
You must show “good cause,” which means there is a really good reason to ask
2198
for a temporary guardianship.
See Appendix D, PG. 890, for sample court
forms.

!

IMPORTANT: You cannot request temporary guardianship by itself—you
must also file the regular guardianship papers at the same time as you
file the papers to request temporary guardianship. The temporary
guardianship gives you custody only until the court holds a permanent
guardianship hearing.2199
!

FREE RESOURCES
For more information on probate guardianship, these guides explain
the rights and responsibilities of a guardian, and how to petition for
guardianship:
•
•

•
•

Guardianship Pamphlet, by the Judicial Council of California –
http://www.courts.ca.gov/documents/gc205.pdf
2200
How to Become a Probate Guardian of a Child,
by the San Francisco
Superior Court Probate Department –
http://www.courts.ca.gov/partners/documents/Localize-Guardianship.pdf
Guardianship of the Person & the Pro Per Guardianship Clinic, by Public
Counsel—http://www.publiccounsel.org/tools/publications/files/0031.pdf
Court forms for guardianship cases are available on the California Courts’
website at http://www.courts.ca.gov/1214.htm

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. WELF. & INST. CODE §§ 11385 et seq. (Kinship GAP), 11405 (AFDC foster care payments)
CAL. PROB. CODE § 2250.
CAL. PROB. CODE § 2257. If you ask for temporary guardianship, the judge will hold 2 different guardianship
hearings: First, the judge will hold a hearing on your temporary guardianship petition about 5-10 days after you file
your court papers. Second, the judge will hold a hearing to appoint a permanent guardian for the child about 6-8
weeks later.
2200
If you live in San Francisco County, there is a specific local guide available at
http://www.sfsuperiorcourt.org/sites/default/files/pdfs/howtobecomeguardian.pdf.
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VII. JUVENILE DEPENDENCY
COURT & CPS CASES
WHAT WILL I LEARN?
•
•
•
•
•
•
•
•
•

How juvenile dependency court works
When your child might have a case in juvenile dependency
court
When CPS can & cannot remove your child from your home
Your rights as a parent if your child has a case in juvenile
dependency court
How to reunite with your child if he or she has a juvenile
dependency case
How your criminal could affect you in reuniting with your child
What a case plan is and why it’s important
How to become the guardian of a child in a juvenile
dependency case
How your criminal record could affect your chances of
becoming a guardian

!

WHEN WOULD MY CHILD HAVE A CASE IN JUVENILE
DEPENDENCY COURT?
A case is opened in juvenile dependency court when a child’s parent(s) are
2201
suspected of abuse or neglect.
For example, if a parent has been violent, has
abused or neglected the child, or if the child tests positive for drugs at birth, a
2202
case may be opened in juvenile dependency court.
In general, the parent(s)
will have the opportunity to get their child back (i.e., “reunite” or “reunify” with
their child) if they meet certain requirements.
This might also be when Child Protective Services (CPS) removes a child from
the home.

CAN CPS REMOVE MY CHILD JUST BECAUSE I HAVE A CRIMINAL
RECORD?
No. Just having a criminal record is not enough for CPS or a judge to take your
child away—there has to be some connection between your conviction and a
risk of harm to your child. For example, a conviction for child abuse, certain

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

The law’s definition of “abuse and neglect” includes physical abuse, sexual abuse, causing the child to have
emotional distress, and leaving your child unattended. CAL. WELF. & INST. CODE § 300(a)-(j).
2202
When someone makes a report about your child’s safety to the police or welfare department, the police or a
social worker must investigate to decide whether the dependency court should get involved to protect your child.
This might happen because someone suspected that your child wasn’t well taken care of, was abused or neglected,
or was left with someone who didn’t take good care of him/her. Under the law, “child abuse” includes: physical
harm done on purpose to a child; sexual abuse of a child, including assault and exploitation; cruel or unreasonable
punishment of a child; and/or neglect of a child—failure to provide necessary care, food, shelter, etc. CAL. WELF. &
INST. CODE § 300 (“dependent child” defined).
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violent felonies, or using drug or alcohol in a way that put your child at risk could
2203
cause CPS or the judge to remove your child from your care.

WHAT COULD HAPPEN TO MY RIGHTS AS A PARENT IF CPS
OPENS A CASE ON MY CHILD IN JUVENILE DEPENDENCY
COURT?
If your child is part of a juvenile dependency court case, the judge may make
orders to:
• Place your child with relatives, foster parents, or a court-appointed guardian;
and/or
• Give you visitation rights; and/or
• Give you a case plan that requires you to attending parenting classes,
counseling, or other programs.
To learn more about each of these specific situations, see the questions below:

IF CPS HAS TAKEN MY CHILD FROM MY HOME, WHAT ARE MY
RIGHTS IN DEPENDENCY COURT?
If CPS has taken your child from your home, you have the right to receive
2204
NOTICE, a HEARING, a LAWYER, and CHILD REUNIFICATION SERVICES.
•

•

•

•

A notice is a document that makes you aware of the CPS case and explains
why your child has been taken from your home. Either CPS or the judge must
give you a copy of the notice so that you understand why your child was
2205
removed.
Hearings happen in court, when the judge gathers information and makes
decisions about your child’s case. You have the right to 5 different types of
hearings, and you have the right to be present in court at these hearings. To
learn more about the 5 different hearings and what happens at each hearing,
see PG. 854 (Juvenile Dependency Court Hearings) and the chart on PG. 855
(Juvenile Dependency Proceedings).
Lawyer—You have the right to a lawyer to represent you for free in these
hearings. If you cannot afford a lawyer, the judge must appoint one for
2206
you.
Family reunification services—CPS must provide you with services and
programs to help you meet the all of the requirements of your case plan and
2207
reunite with your child.
If you aren’t getting these reunification services,

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See, e.g., CAL. WELF. & INST. CODE § 366.21(e) (at status review hearing, court must consider parent’s criminal
record “to the extent that the criminal record is substantially related to the welfare of the child or the parent's or
guardian's ability to exercise custody and control regarding his or her child;” parent’s participation in substance
abuse treatment is not prima facie evidence of detriment to child). Cf. CAL. WELF. & INST. CODE § 361.5(b)-(c)
(grounds for denial of reunification services).
2204
Much of this information has been adapted from My Life Chose Me: A Young Mother’s Guide to Surviving the
System, by Baby Mamas United and the Center for Young Women’s Development. The guide is available online at
http://www.f2f.ca.gov/res/pdf/ItsMyLife.pdf.
2205
CAL. WELF. & INST. CODE §§ 290.1 et seq., 300 et seq.; U.S. CONST. amend. XIV. See also In re DeJohn B., 84 Cal.
App. 4th 100, 106 (2000) (“[U]ntil parental rights have been terminated, both parents must be given notice at each
step of the proceedings.”) (internal quotation omitted).
2206
CAL. WELF. & INST. CODE § 353. The judge will also appoint a lawyer for your child, and possibly a CourtAppointed Special Advocate as well, to represent your child’s interests in court. CAL. WELF. & INST. CODE §§ 317.5,
356.5.
2207
CAL. WELF. & INST. CODE §§ 361.5, 16500.5 et seq. There are only limited circumstances when the judge can deny
you reunification services, such as if you caused serious harm to your child or a sibling; have been convicted of a
violent felony under CAL. PENAL CODE § 667.5(c); have a history of serious drug and alcohol use and refused courtordered treatment; are required to register as a sex offender; or have told the judge that you do not want to reunite
with your child. § 361.5(b), (c). If you are incarcerated, you still have the right to reasonable reunification services—
such as phone calls, visits, and support services for your child’s caregiver—unless the judge finds that these services
would be harmful to the child. § 361.5(e).
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talk to your lawyer, social worker, and/or the judge. You only have a limited
amount of time to receive reunification services and meet all the
requirements of your case plan, so you should speak up right away if you’re
2208
not getting the services you need!

JUVENILE DEPENDENCY COURT HEARINGS
You have the right to 5 different types of hearings in juvenile dependency court:
1.

2.

3.

4.

5.

Detention hearing—At the detention hearing, the judge will (1) tell you why
CPS removed your child; (2) decide whether it is safe for your child to stay
with you until the next hearing; and (3) appoint a lawyer to represent you (if
2209
you cannot afford to hire your own lawyer).
Jurisdictional hearing—At the jurisdictional hearing, the judge will decide
whether CPS’s accusations against you are true. If the judge decides they
are true, the judge will declare your child to be a “dependent of the court”
2210
and will make orders to protect your child’s safety.
Dispositional hearing—At the dispositional hearing, the judge will give you a
case plan, decide where your child should live, and decide what you need to
do to get your child back (if your child is sent to live with someone else) or to
better care for him/her (if your child is allowed to live with you). Sometimes
2211
this happens at the same time as the jurisdictional hearing.
Status review hearing(s)—At the status review hearing(s), the judge will
follow up to see whether you are making progress with your case plan, and
to find out what is happening with you, your child, and CPS. The status
review hearings are generally held every 6 months so the judge can check
2212
on your case.
Permanent plan hearing (also called a 26 hearing)—This is a hearing that
happens if the court decides to end your reunification services and NOT give
your child back to you. At this hearing, the judge will decide where your
child should live permanently. The court may terminate (permanently end)
your parental rights and put your child up for adoption, appoint a legal
guardian to have custody of your child, or put your child in long-term foster
2213
care.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Normally you only have 6 months of reunification time if your child is younger than 3 years old, or 1 year of
reunification time if your child is 3 years or older. Sometimes the judge may extend this time up to a total of 18 or 24
months—but only if the judge believes that you will be able to meet all the reunification requirements and get your
child back by the end of the extension. To extend reunification services, you will need to show all of the following:
(1) you’ve consistently contacted and with your child; (2) you’ve made significant progress in resolving the problems
that caused your child to be removed; and/or (3) you are able to complete your case plan requirements and provide
for your child’s needs. CAL. WELF. & INST. CODE §§ 361.5, 366.22(b). After this time, the judge may terminate your
reunification services—and can later terminate your parental rights.
2209
CAL. WELF. & INST. CODE § 315 et seq.
2210
CAL. WELF. & INST. CODE § 355 et seq.; see also § 300 (“dependent child” defined).
2211
CAL. WELF. & INST. CODE § 361.2 et seq.
2212
CAL. WELF. & INST. CODE § 366 et seq.
2213
CAL. WELF. & INST. CODE § 366.26 et seq.
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*2214
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2214

*Graphic courtesy of East Bay Children’s Law Offices, www.ebclo.org.

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WHAT IS A CASE PLAN AND WHY IS IT IMPORTANT?
If CPS has removed your child from your home, you should get a copy of your
case plan from your CPS social worker or the dependency court judge. Your
case plan sets out the rules and requirements for what you need to do to get
your child back—for example, attending parenting or counseling classes,
participating in substance abuse treatment, and/or visiting with your child. The
services and programs that you need for your case plan should be given to you
for a limited amount of time.
You must follow your case plan and try to visit your child as often as you are
allowed and as often as is possible for you. If you don’t meet the requirements of
your case plan in the time the judge sets for you, the judge may end the
reunification services that were helping you to get your child back. But even if
the judge ends your reunification services, you should still keep following the
requirement of your case plan and visiting your child as often as possible, so
2215
long as the judge has not ended (terminated) your parental rights.

!

IMPORTANT: While your child’s juvenile dependency case is going on, you only
have a limited period of time to meet the requirements of your case plan and
reunite with your child. If your child’s case started or was going on while you
were incarcerated, the clock may have started to run already during your time
inside. This means you will have to work extra hard to meet all of your
2216
reunification requirements once you get out, before your time runs out.
If being in prison or jail made it difficult for you to complete your reunification
requirements and/or other court-ordered services, or to stay in touch with your
child, the judge must take into account the barriers you faced due to your
incarceration. However, the judge will still want to see that you made an effort
(i.e., you tried) to complete your requirements and stay in touch with your child,
2217
even if you were unable to do so.

HELPFUL HINT
A Note About Missing Visits
If the judge gives you visitation rights with your child, you must attend every
!
visit—do not miss a visit! The judge will consider any missed visits with your
child when deciding whether you have met the requirements to get your child
2218
back.
If something happens that prevents you from attending a visit (for
example, if you are sick), make sure you call the social worker and your child’s
current caregiver beforehand (at least 1 day before, if possible) to let them know.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Termination of parental rights is a very serious decision; in general, the judge can only do this after giving you
notice, a hearing, an opportunity to participate in reunification services with your child, and must find that it would
be “detrimental” (harmful) to your child to be returned to your care. You have the right to a lawyer during this
process, and the judge will appoint a lawyer if you cannot afford to pay for one. CAL. WELF. & INST. CODE §§ 317, 353,
366.26.
2216
Remember, you have the right to reasonable reunification services even while you are incarcerated (with certain
exceptions). You should take advantage of any services and/or other programing that are available, and make every
effort to stay in touch with your child, during your sentence. CAL. WELF. & INST. CODE § 361.5(e). See also, e.g., V.C. v.
Sup. Ct., 188 Cal. App. 4th 521 (2010) (holding that father’s failure to participate in available reunification services
while incarcerated justified trial court’s decision to terminate reunification services and provided evidence that
returning child to father’s custody would be detrimental).
2217
CAL. WELF. & INST. CODE §§ 366.21(e), 366.215, 366.22(a).
2218
CAL. WELF. & INST. CODE § 361.5(a)(2)(B) (court may terminate reunification services upon finding that parent has
failed to contact and visit child).
2215

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WHAT CAN I DO IF THE JUDGE ENDED MY REUNIFICATION
SERVICES AND I WANT TO TRY AGAIN TO REUNITE WITH MY
CHILD?
If the judge ended your reunification services (for example, because you did not
meet the requirements of your case plan in time), and placed your child in longterm foster care or with a legal guardian, or closed your child’s case, you may be
able to file papers in dependency court (called a 388 petition) asking the judge
to change the current court order and give you visitation, custody, and/or end a
2219
legal guardianship of your child.
BUT if several years have passed since your child’s dependency case was
closed, it may be too late to go back to dependency court and ask to change the
2220
court order.
Instead, you can file new papers in family court and ask to
change the dependency court order. We briefly explain both processes below.
POSSIBILITY #1: If your reunification services ended recently (for example, in the
past year):
You can file a 388 petition in the same juvenile dependency court where your
child’s case took place. In your 388 petition, you will need to explain AND prove
to the judge (with documents, actions, and evidence) that:
• There has been a significant change in circumstances or new evidence in
your child’s case since the judge made the current court order (see the
Helpful Hint box below for more information and examples of significant
changes in circumstances); AND
• Giving you visitation, custody, or ending the guardianship is in your child’s
2221
best interest.
See Appendix E, PG. 891, for a sample court form.

HELPFUL HINT
Significant Change in Circumstances
The change in circumstances must generally be major and long-term; the judge
will want to see that you are committed to the change and won’t go back to your
previous situation—for example, you completed
your prison or jail sentence; you
!
successfully completed your parole, probation, or community supervision; and/or
you have resolved whatever issues caused CPS and/or the court to get involved
in the first place. Other examples of changes in circumstances might include
completing an anger management or domestic violence program and taking
steps to remedy any previous harm you caused; completing rehab and staying
sober for a year or more; and/or avoiding any criminal activity or arrest for
2222
several years .

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. WELF. & INST. CODE § 388; see also §§ 366.3(b), 778. To request a change in custody or visitation, use Form
JV-180 (Request to Change Court Order), which is available from the dependency court, in Appendix E, PG. 91, or
online at http://www.courts.ca.gov/documents/jv180.pdf.
2220
See, e.g., In re A.S., 174 Cal. App. 4th 1511 (2009) (juvenile dependency court lacked jurisdiction to modify
previous order 6 years after dependency jurisdiction had been terminated).
2221
CAL. WELF. & INST. CODE §§ 388, 778; telephone call with Eleanor Miller, reentry attorney, Pepperdine Legal Aid
Clinic, Jan. 6, 2015.
2222
See, e.g., In re Ernesto R., 230 Cal. App. 4th 219 (2014), reh'g denied (Oct. 17, 2014) (mother's completion of
drug treatment program did not establish sufficiently changed circumstances, and mother’s recent sobriety
reflected “changing”—not changed—circumstances, where mother had a history of drug relapses, was in the early
stages of recovery, and was still addressing a chronic substance abuse problem); In re Marcelo B., 209 Cal. App. 4th
635 (2012) (father's participation in 12-step meetings, completion of substance abuse program, and attendance at
parenting classes were not prima facie evidence of change in circumstances, where father had already received
extensive treatment for his alcoholism before the relapse that led to the current dependency proceeding); In re
C.J.W., 157 Cal. App. 4th 1075 (2007) (parents’ rehabilitation efforts did not establish changed circumstances where
both parent had extensive histories of drug use and years of failing to reunify with their other children, and where
their efforts at rehabilitation were only three months old at time of petition); see also In re J.C., 226 Cal. App. 4th
2219

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HELPFUL HINT
Writing a Dependency Court 388 Petition
!
You should ask the lawyer who represented you in dependency court (or
someone else who is familiar with your case) to help you write the 388 petition,
2223
since it must be very precise.
(The court’s Family Law Facilitator may also
help explain the 388 petition process.)
POSSIBILITY #2: If it has been several years since your reunification services
ended:
You must go to family court and file papers asking to change the juvenile
dependency court order. To be successful, you will have to show:
•
•

A significant change in circumstances since the juvenile dependency court
judge made the current court order, AND
2224
Giving you custody or visitation would be in your child’s best interest.

NOTE: These are the same things you have to prove for a 388 petition
(described immediately above). For more information about changing court
orders in family court, see PG. 866.

HOW COULD MY CRIMINAL RECORD AFFECT MY ABILITY TO
REUNITE WITH MY CHILD IN JUVENILE DEPENDENCY COURT?
If you are the child’s parent and want to reunite with your child, AND your
parental rights have not been terminated, you generally have the right to reunite
with your child even if you have a criminal record and even while you are
2225
incarcerated.
Regardless of your criminal record, you will need to show that reuniting with
your child will be in your child’s best interest and will not put your child at risk of
harm. This means you should visit your child as much as you can, AND work to
address the issues that caused CPS and/or the court to get involved in the first
place (for example, substance abuse, anger management, etc.). By doing these
things, you will show the judge that you are serious about reuniting with your
child and are ready to have greater rights and responsibilities with him/her.
In addition, you are more likely to be successful in reuniting with your child if you
can show the judge evidence of rehabilitation (especially drug or alcohol
treatment, parenting and behavioral classes, counseling, and other programs
that will help you to be a good parent); letters of support from family or friends,
your case manager, teachers, or other people who know you and your child; that

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
503 (2014), review denied (Aug. 13, 2014) (although mother's long term sobriety and renewed interest in parenting
classes showed changed circumstances, she did not establish that changing court order to give her custody of child
would be in the child's best interests, where child had a loving and stable placement with her maternal aunt, who
had cared for child since her birth, aunt had assumed full parental responsibilities and care for child, and mother
failed to present any evidence that child's best interests in permanency and stability would be furthered by the
proposed modification).
2223
Telephone call with Eleanor Miller, reentry attorney, Pepperdine Legal Aid Clinic, Jan. 6, 2015; electronic
communication from Eleanor Miller, reentry attorney, Pepperdine Legal Aid Clinic, Jan. 9, 2015.
2224
CAL. WELF. & INST. CODE § 302(d) (stating that a final custody or visitation order from juvenile dependency court
may be modified in family court only if “the court finds that there has been a significant change of circumstances
since the juvenile court issued the order and modification of the order is in the best interests of the child.”). For
example, if you have already tried to change custody or visitation through a 388 petition in juvenile dependency
court, and the judge denied your petition, then you may go to family court to request changes in custody or
visitation.
2225
If your child’s juvenile dependency case is still going on, CPS is supposed to make “reasonable efforts” to
reunite you with your child, and the judge must offer you reunification services. CAL. WELF. & INST. CODE §§ 361.5(a)
(general right to reunification services), 361.5(e) (right to reasonable reunification services while incarcerated).

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you have safe, stable housing and a source of income to support your child; and
that you are successfully complying with all conditions of your probation, parole,
2226
or community supervision.
Finally, the judge is more likely to grant you visitation rights, regardless of your
criminal record. Under California law, allowing a child to visit with his/her
parent(s) is generally assumed to be in the child’s best interest, and judges are
encouraged to grant visitation rights to the parent(s), so long as the visits will not
2227
be harmful to the child.
To decide whether visitation is in your child’s best
interest, the judge will look at things like your relationship with your child,
whether your child’s other parent (or caregiver) is in favor of the visits, whether
your child wants to visit with you, and how well you and your child get along
2228
during visits—not just whether you have a criminal record.

!

IMPORTANT: Remember, you only have a limited period of time to
complete your case plan requirements and reunite with your child while
his/her dependency case is going on. If your child’s case started or was
going on while you were incarcerated, the clock may have already
started to run during your time inside. This means you will have to work
extra hard to complete all of your case plan requirements and show the
judge that you’re ready to care for your child again once you get out
(before your time runs out).2229

I HAVE A CRIMINAL RECORD AND WANT TO BE THE LEGAL
GUARDIAN FOR A CHILD IN JUVENILE DEPENDENCY COURT.
WHAT STEPS CAN I TAKE?
If you want to become the legal guardian of a child in juvenile dependency court,
it’s recommended that you talk to the social worker involved in the child’s case
OR write a letter to the judge explaining why you want to be the child’s
guardian. You will have to show that the guardianship is in the child’s best
2230
interest.
A guardian does not have to be related to the child—a guardian can
be a relative (such as a grandparent, aunt or uncle, brother or sister, or other
2231
relatives), a family friend, or someone else who knows the child.
To learn
more about the responsibilities of a guardian and what public benefits you can
apply for to support the child, see PG. 844 and 850. If the judge appoints you as
the child’s guardian, you will get Letters of Guardianship, which is a legal
document from the dependency court that proves you are the child’s guardian.
To see a sample Letters of Guardianship, see Appendix F, PG. 892.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See, e.g., Cal. Welf. & Inst. 366.22(a) (return of child to parent or guardian at permanency review hearing).
CAL. WELF. & INST. CODE § 362.1. The judge may order you to have supervised visits if it has concerns about your
child’s wellbeing during the visits. See PG. 23 for more information about supervised visitation.
2228
In re Emmanuel R., 94 Cal. App. 4th 452, 464-65 (2001) (upholding trial court’s finding that dependent child’s
visitation with father was in child’s best interest, notwithstanding father’s “‘extensive’ criminal record).
2229
Remember, you have the right to reasonable reunification services even while you are incarcerated (with certain
exceptions). You should take advantage of any services and/or other programing that are available, and make every
effort to stay in touch with your child, during your sentence. CAL. WELF. & INST. CODE § 361.5(e); see also, e.g., V.C. v.
Sup. Ct., 188 Cal. App. 4th 521 (2010) (holding that father’s failure to participate in available reunification services
while incarcerated justified trial court’s decision to terminate reunification services and provided evidence that
returning child to father’s custody would be detrimental).
2230
CAL. WELF. & INST. CODE § 360.
2231
CAL. WELF. & INST. CODE §§ 360, 366.26.
2226
2227

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HOW COULD MY CRIMINAL RECORD AFFECT MY ABILITY TO BE
APPOINTED AS THE CHILD’S GUARDIAN IN DEPENDENCY
COURT?
First, the bad news: If the child is NOT living with you right now, before the judge
can allow the child to live with you, the court (or a social worker) must conduct
background checks on you and any other adults who live in your home or who
2232
will spend significant time with the child.
If you (or any other adult checked)
have a criminal record, the judge will not allow the child to live with you UNLESS
2233
you get a criminal record exemption from the county social service agency.
(In other words, you must get the social service agency to excuse your
conviction and not hold it against you.)
Unfortunately, many convictions are considered NON-exemptible, which means
that you cannot get a criminal record exemption for the conviction. If you or
anyone in your home has a non-exemptible conviction on your criminal record,
the judge will not allow the child to live with you even if living with you would
2234
otherwise be good for the child.
Non-exemptible convictions include: child
abuse, child neglect, other crimes against children, child pornography, spousal
abuse, and crimes involving violence (rape, sexual assault, homicide, felony
assault, felony battery, drug and/or alcohol related offenses).
BUT—and this is a big BUT—if the child is already living in your home, the judge
may allow the child to continue living with you (even if you or someone else in
2235
the home has a criminal record), particularly if the child is doing well there!

HELPFUL HINT

Clean Up Your Criminal Record & Get Convictions Expunged
If possible, it is recommended that you get your conviction expunged (“dismissed”) under
California Penal Code Section 1203.4—or that you clean up your criminal record in other
ways—before trying to get custody of a child in dependency court.
Expungement does NOT remove the conviction
! from your criminal record, but it has many
benefits. For example, cleaning up your record and getting convictions expunged can
only help you in trying to get custody, guardianship, or reunite with your child, because it
will demonstrate to the judge that you are committed to making changes in your life and
2236
are ready to take on greater responsibilities as a parent or guardian.
Some judges (but
not all) will even treat an expunged conviction the same as a criminal record
2237
exemption.
For more information about expungement and other ways to clean up your
criminal record, read the UNDERSTANDING & CLEANING UP YOUR CRIMINAL RECORD
CHAPTER, beginning on PG. 1020.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. WELF. & INST. CODE § 361.4. The background checks will include both criminal records and child abuse, and
may also be conducted on any person over age 14 living in your home if the social worker believes that person may
have a criminal record.
2233
To get a criminal record exemption, you must show strong evidence of your good character, such that living with
you will be in the child’s best interest AND will not put the child at risk of harm. CAL. WELF. & INST. CODE § 361.4(d)(2).
2234
CAL. WELF. & INST. CODE § 361.4(d)(2); Los Angeles Cnty. Dep’t of Children & Fam. Svcs. v. Superior Court (Valerie
A.), 7 Cal. App. 4th 1161, 1168 (2001), review denied. The complete list of non-exemptible offenses is contained in
CAL. HEALTH & SAFETY CODE § 1522(g). However, certain offenses are “non-exemptible only under specified
circumstances,” and the Director of Social Services may have discretion to grant an exemption for an offense that
otherwise would be non-exemptible. See In re Esperanza C., 165 Cal. App. 4th 1042, 1057 (2008). In addition, some
counties may not have authority to issue an exemption, which means the judge cannot place a child in a home
where any person has been convicted of a crime other than a minor traffic violation. CAL. WELF. & INST. CODE
§ 361.4(d)(6).
2235
L.A. Cnty. Dep't of Children & Fam. Svcs. v. Sup. Ct. (Cheryl M.), 112 Cal. App. 4th 509, 520 (2003). Moreover, if
the welfare agency was aware of the person’s criminal record when it originally placed the child in the home, the
agency may not argue later that the criminal record is a reason to remove the child. In re Miguel E., 120 Cal. App.
4th 521 (2004). However, if the child was allowed to live with relative as an emergency placement, the welfare
agency can remove the child if it later finds that any adult living in the home has a criminal record. CAL. WELF. & INST.
CODE § 361.45 (2010); In re M.L., 205 Cal. App. 4th 210 (2012), as modified on denial of reh'g (May 16, 2012).
2236
Telephone call with Eleanor Miller, reentry attorney, Pepperdine Legal Aid Clinic, Jan. 6, 2015.
2237
Compare electronic communication from Eleanor Miller, reentry attorney, Pepperdine Legal Aid Clinic, Jan. 9,
2015 (dismissal as automatic exemption); with In re H.K., 217 Cal. App. 4th 1422 (App. 2 Dist. 2013) (court must still
consider expunged conviction).
2232

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CAN I BE INCLUDED IN THE JUVENILE DEPENDENCY COURT
DECISION-MAKING PROCESS IF I HAVE BEEN TAKING CARE OF
THE CHILD EVERY DAY?
Yes—if you are caring and providing for a child who is part of a juvenile
dependency case and you want to be more involved in his or her case, you may
be able to become a de facto parent. A de facto parent has the right to
participate in the child’s case (including the right to attend and participate in
hearings, present evidence to the judge, ask questions, and be represented by a
2238
lawyer) and to help the judge decide what is best for the child.
For more
information on becoming a de facto parent, visit the Judicial Council website at
http://www.courts.ca.gov/1207.htm, or find sample court forms in Appendix G,
PG. 893. Even if you do not become a de facto parent, you can also fill out a
“Caregiver Information Form” to give the judge more information about the child
and help the judge make decisions about what will be best for him or her. See
Appendix G, PG. 893, for a sample “Caregiver Information Form” and more
information.

FREE RESOURCES
For more information on juvenile dependency court and dependency court guardianship,
these guides explain how dependency court works, and explain your rights and
responsibilities as a parent, caregiver, or guardian:
FOR PARENTS—
1. Information for Parents, by the Judicial Council of California—
http://www.courts.ca.gov/documents/jv050.pdf
2. Guide to Dependency Court, by the Judicial Council of California—
http://www.courts.ca.gov/1205.htm
3. My Life Chose Me: A Young Mother’s Guide to Surviving the System, by the Center
for Young Women’s Development—http://www.f2f.ca.gov/res/pdf/ItsMyLife.pdf
4. Juvenile Dependency Court Orientation video, by the Judicial Council of California—
https://www.youtube.com/watch?v=Y7Xz4QdNoEY
FOR CAREGIVERS & GUARDIANS—
1. Juvenile Court Guardianship, by the Judicial Council of California—
http://www.courts.ca.gov/1206.htm
2. Guardianship Pamphlet, by the Judicial Council of California—
http://www.courts.ca.gov/documents/jv350.pdf
3. Caregivers and the Courts: A Primer on Juvenile Dependency Proceedings for
California Foster Parents and Relative Caregivers, by the Judicial Council of
California—http://www.fosteryouthhelp.ca.gov/PDFs/Caregiver.pdf
4. De Facto Parent Pamphlet, by the Judicial Council of California—
http://www.courts.ca.gov/documents/jv299.pdf
Court forms for juvenile dependency court are available on the California Courts’ website
at http://www.courts.ca.gov/1208.htm

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. RULES OF COURT §§ 5.502(10), 5.534(e). Use these forms to request and explain why you want to participate as
the child’s de facto parent: Form JV-295 (De Facto Parent Request) and Form JV-296 (De Facto Parent Statement),
available online at http://www.courts.ca.gov/documents/jv295.pdf and
http://www.courts.ca.gov/documents/jv296.pdf or in the Appendix G, PG. 98.
2238

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VIII. FAMILY COURT
WHAT WILL I LEARN?
•
•
•
•
•

How to ask for custody or visitation in family court
How to change an existing court order about custody and
visitation
How the judge makes custody and visitation decisions about
your child
How your criminal record could affect your ability to get
custody and visitation in family court
How a history of substance abuse could affect you in family
court

WHEN WOULD I GO TO FAMILY COURT?
The family court hears custody and visitation cases involving the child’s legal or
2239
biological parents.
If you are the child’s legal or biological parent and you
want to get custody or visitation from the other parent, you would file a petition
for custody or visitation in family court.

CUSTODY & VISITATION
WHAT CAN I EXPECT WHEN ASKING FOR CUSTODY OR
VISITATION IN FAMILY COURT?
Before granting or changing custody or visitation for your child, the judge will
hold a hearing. The judge may require you and the other parent to attend
2240
mediation.
In some cases, the judge may also order a custody evaluation,
which is an investigation of your child’s living situation to help the judge
2241
understand what will be best for him/her.

WHAT DOES THE JUDGE LOOK AT TO DECIDE WHETHER TO
GRANT CUSTODY OR VISITATION?
Under California state law, the judge must make decisions about custody and
2242
visitation based on what is in the child’s best interest.
To decide what is in
your child’s best interest, the judge will look at things like your child’s age,
health, and school needs; his/her relationship with each parent (or caregiver);
and his/her connections at home, school, and in the community. The judge will

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. FAM. CODE § 3022.
Child custody mediation gives parents a chance to resolve disagreements about care and custody for their
children, with the help of an expert (a mediator). The goal of mediation is to develop a parenting plan that is in your
child’s best interest, and that allows your child to spend time with both parents (or caregivers). Child custody
mediators are available for free through Family Court Services at most local courts. CAL. FAM. CODE § 3160 et seq.
2241
CAL. FAM. CODE § 3111.
2242
CAL. FAM. CODE § 3020(a).
2239
2240

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also consider each parent’s (or caregiver’s) ability to care for the child, and any
history of family violence or substance abuse by either parent (or caregiver).
In most cases, judges assume that it’s in the child’s best interest to have a
stable, consistent relationship with both parents through custody and/or
visitation. But if it’s clear that one or both parents can’t provide the care and
stability that your child needs—or if there is a specific reason to believe that
having contact with the parent(s) would be harmful to your child—then the judge
will consider other options or even limit contact between the parent(s) and
2243
child.

WHAT TYPES OF CONVICTIONS ARE MOST LIKELY TO AFFECT
MY CHANCES OF GETTING CUSTODY OR VISITATION?
Certain types of convictions are more likely to affect your chances of getting
custody or visitation with your child. And if the judge does give you visitation,
s/he must also consider your criminal record when deciding whether you should
2244
have supervised or unsupervised visitation with your child.
(See PG. 843 for
more information about the different types of visitation you can have.)

HOW DIFFERENT CONVICTIONS WILL AFFECT YOUR CUSTODY & VISITATION RIGHTS
CONVICTION
OFFENSE

HOW WILL THIS AFFECT MY CHANCES OF GETTING CUSTODY OR VISITATION?

Domestic Violence

Judges are hesitant to give custody to someone who has engaged in domestic
violence, and will consider any history of domestic abuse against your child, the other
2245
parent, or a partner.

Rape

A judge will not allow someone who has been convicted of rape to have any custody
2246
or visitation with a child who was conceived from that rape.
A judge generally will not grant custody or unsupervised visitation in the following
circumstances, unless the s/he finds that there is no risk of harm to your child:
If you have a conviction for certain child abuse offenses;

Other Convictions

2247

If you have a conviction for first-degree murder of the child’s other parent; and/or
If you are a 290 sex offender registrant for an offense where the victim was a minor
(under 18), or if you live with someone else who is a 290 sex offender registrant for an
2248
offense where the victim was a minor (under 18).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See CAL. FAM. CODE §§ 3020(b), 3100(a) (“[T]he court shall grant reasonable visitation rights to a parent unless it is
shown that the visitation would be detrimental to the best interest of the child.”) (emphasis added). See also, e.g.,
Punsly v. Ho, 87 Cal. App. 4th 1099, 1109 (2001) (“[In determining the child’s best interest,] a presumption exists that
fit parents act in the best interests of their children.”).
2244
The judge must consider your criminal record to ensure that your child is not at risk of being kidnapped. The
judge may order supervised visitation or other protective measures if he/she finds them necessary to prevent
kidnapping. CAL. FAM. CODE § 3048.
2245
CAL. FAM. CODE §§ 3011(b), 3020(a), 3031, 3044. The judge will also consider any restraining or protective orders
against you. Nonetheless, you may still be able to get custody by showing that you have completed all courtordered treatment and/or behavioral programs (e.g., batterer’s treatment program, parenting classes, anger
management, drug or alcohol treatment, or conditions of probation or parole); complied with all
parole/probation/supervision requirements; complied with any restraining or protective orders against you; have
not committed any further domestic violence; and that custody would be in your child’s best interest. CAL. FAM.
CODE § 3044(b).
2246
CAL. FAM. CODE § 3030(b). The law is very strict in this instance and does not permit even supervised or
conditional visitation.
2247
This applies to child abuse convictions under CAL. PENAL CODE §§ 273a, 273d, or 647.
2248
CAL. FAM. CODE § 3030; see also CAL. PENAL CODE § 290. For child abuse convictions and registered sex offender
registrants, the judge must find that there is “no significant risk to the child.” § 3030(a). For first-degree murder of
the other parent, the judge must find that there is “no risk to the child’s health, safety and welfare.” § 3030(c). In
2243

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HOW MIGHT MY CRIMINAL RECORD AFFECT MY RIGHTS AS A
PARENT IN FAMILY COURT?
It depends. The law assumes that it’s best for a child to have a relationship with
both parents, unless there’s a specific reason to believe that contact with one or
2249
both parents will harm the child.
Therefore, if you have been incarcerated but
are genuinely ready to play a positive role in your child’s life, the law says your
child should be able to reconnect with you in a safe and healthy manner. A
judge is more likely to give you custody or visitation rights if you show that: (1)
You’ve had a smooth transition back to the community, and (2) you’ve made
reasonable efforts to stay in touch with your child.
In addition to your criminal record, the judge will also consider how much
2250
contact you currently have (and/or previously had) with your child.
The judge
may consider how much time you were away from your child while in prison or
jail, especially if you were unable to stay in touch with him/her during this
2251
period.
It is very important to show the judge that you have a relationship
2252
with your child, and/or that you tried to stay in touch with him/her.
You can
do this by keeping notes on all of your phone calls, letters, and visits with your
child—both while you’re incarcerated and after getting out—and also by keeping
track of any time you tried to call, write, or visit with your child, even if you were
not actually able to get in touch.
If you haven’t had much contact with your child, the judge will probably give you
less visitation time at first (and/or may require you to have supervised visits), so
2253
that you can start to develop a relationship with your child.
If you don't get as
much visitation time as you would like at the beginning, don't give up! Be patient
and do your best to spend quality time with your child during each visit. After
you have had successful visits over time, you can go back to court and ask the
judge to give you more visitation time.

CAN I GO TO FAMILY COURT IF I AM THE CHILD’S
GRANDPARENT?
If you are the child’s grandparent and there is already an existing case in family
court, you can ask the family court judge for reasonable visitation with your
grandchild. To get visitation, you will have to show the judge that you and your
grandchild already have a strong relationship (“a bond”), so that visitation will be
in your grandchild’s best interest. The judge will balance this against the
parental rights of the child’s parents, and then decide whether to give you
visitation. However, if your grandchild’s parents object to giving you visitation,
OR if the parents are still married and living together with your grandchild, the
2254
judge will probably deny your request for visitation.
See Appendix H,
PG. 894, for sample court forms to use.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
both cases, the judge must state his/her reasons in writing or on the record. However, the judge may still permit
supervised visitation in these cases.
2249
The judge must grant reasonable visitation rights to a parent unless it is shown that the visitation would be
detrimental to the best interest of the child. CAL. FAM. CODE § 3100(a).
2250
CAL. FAM. CODE § 3011(c).
2251
The judge will consider how long you were away, your child’s age during this time, and how strong your
relationship with your child is. Telephone call with Eleanor Miller, reentry attorney, Pepperdine Legal Aid Clinic, Jan.
6, 2015.
2252
The judge will not consider your absence or relocation if it was only for a short period of time, and if the judge
finds that you demonstrated an interest in maintaining custody or visitation of your child, made reasonable efforts to
stay in contact with your child, and your behavior did not indicate that you intended to abandon your child. CAL. FAM.
CODE § 3046.
2253
Telephone call with Eleanor Miller, reentry attorney, Pepperdine Legal Aid Clinic, Jan. 6, 2015.
2254
CAL. FAM. CODE § 3103-04.

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!

I HAVE A HISTORY OF SUBSTANCE ABUSE. HOW COULD THIS
AFFECT ME IN FAMILY COURT?
If you have struggled with drugs or alcohol (whether or not you have any related
convictions), the judge will also consider this when deciding whether custody or
visitation is in your child’s best interest. The judge may require you to do drug or
alcohol tests, or—if you are granted custody or visitation—may even order you
not to use any drugs or alcohol. However, the judge cannot deny you custody
based ONLY on the results of a positive drug test—a dirty test is only one factor
2255
when deciding whether custody would be in your child’s best interest.

WHAT IS THE PROCESS FOR REQUESTING CUSTODY OR
VISITATION IN FAMILY COURT?
It depends on whether there is an existing family court case or a court order
from family court involving your child, or whether you need to start a new family
court case. For ALL family court related issues, the Family Law Facilitator who
works at your county family court can help you fill out and file your papers. See
Appendix A, PG. 887, to find your local Family Law Facilitator. See Appendix H,
PG. 894, for sample court forms to use when asking for custody or visitation in
family court. (Note: You will generally use the same court forms to request
custody or visitation in family court, regardless of whether you are starting a new
case or changing an existing court order.)
If you are starting a new case in family court (meaning there is NOT an existing
family court case or court order): The type of case you start will depend on
whether you are married to (or registered domestic partners with) the child’s
other parent.
(1) If you are married to or registered domestic partners with the child’s
other parent, you can ask for custody or visitation through one of the
following cases:
• Divorce, legal separation, or annulment;
• Petition for Custody and Support of Minor Children;
• Local Child Support Agency (LCSA) child support case; OR
• Domestic violence restraining order.
(2) If you are NOT married to or registered domestic partners with the child’s
other parent, you can ask for custody or visitation through one of the
following cases:
• Paternity (parentage)—if paternity is in dispute (see PG. 869 for
more information about paternity);
• Petition for Custody and Support of Minor Children—if paternity is
NOT in dispute;
• LCSA child support case; OR
• Domestic violence restraining order.
Choose the type of case that is best for you, depending on your situation. Once
you have an open case, you can file papers in family court to ask for custody
and/or visitation (see Appendix H, PG. 894, for sample court forms). Again, ask
the court’s Family Law Facilitator to help you fill out and file your court forms!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. FAM. CODE § 3041.5. The results of the drug/alcohol test will only be used when considering whether
custody or visitation is in your child’s best interest), and cannot be used for any other purpose, such as criminal
prosecution, parole violation, or civil penalties. Moreover, you may request a hearing to challenge the results of a
positive test.
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WHAT CAN I DO IF THERE IS ALREADY A COURT ORDER FROM
FAMILY COURT, OR IF I WANT TO CHANGE A JUVENILE
DEPENDENCY COURT ORDER AFTER MY CHILD’S DEPENDENCY
CASE HAS BEEN CLOSED?
You can file court papers in family court, asking the judge to modify (change) the
current court order and give you greater custody or visitation rights. If there is
already a court order from family court, you will file papers as part of the same
family court case. If you are trying to change a juvenile dependency court order
after your child’s dependency case has been closed, you will file new papers in
family court. See Appendix H, PG. 894, for sample court forms.
IF YOU ARE ONLY REQUESTING A CHANGE IN VISITATION: Under law, you
2256
must show that the visits will be in your child’s best interest.
IF YOU ARE REQUESTING A CHANGE IN CUSTODY: Under law, you must show
two things:
(1) A significant change in circumstances since the judge issued the current
order. Some examples are:
•
•
•

You completed your sentence (in prison, jail, or on supervision), so that you
are now available to spend time with or care for your child;
You obtained permanent housing and/or a steady job, so that you can now
offer your child a safe and stable environment; AND/OR
You completed a treatment or behavioral training program and have stayed
clean for 6 months or more.

AND
(2) Because of these changes in circumstances, giving you greater custody
2257
would be in your child’s best interest.

HELPFUL HINTS
Assistance, Forms, & Fees in Family Court
•
•

•

Family court forms for requesting custody and visitation are available on the
California Courts’ website at http://www.courts.ca.gov/1192.htm.
If you have general questions or need assistance filling out your court forms,
ask the court Family Law Facilitator to help you. If you have questions about
your specific case or circumstances, you should talk to a lawyer.
Filing the court papers to request custody or visitation can be very expensive
($400-$500). If you cannot afford to pay this, you can request a fee waiver
from the court clerk when you file your papers.

!
!
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

In re Marriage of Lucio, 161 Cal. App. 4th 1068, 1079 (2008) (holding that parent requesting modification of
visitation order does not need to demonstrate changed circumstances, regardless of his/her custodial rights).
2257
See CAL. FAM. CODE § 3040. There is no strict definition of what counts as a “change in circumstances.” However,
the change must be so significant that changing the current court order is essential for your child’s well-being, and
must also have occurred after the current court order was issued. Think broadly about what has changed in your life,
in your child’s life, and/or in the other parent’s (or caregiver’s) life since your last custody and visitation order. You
should also think about what type of new parenting plan would be best for your child. In re Marriage of Burgess, 913
P.2d 473, 482 (1996).
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IMPORTANT THINGS TO REMEMBER ABOUT CUSTODY & VISITATION:

!

• If you get visitation rights, make sure to attend every visit and take
every opportunity to reconnect with your child. Keep track of all your
visits, calls, and letters to your child, so that you have a record of your
efforts. Later, after you’ve spent time reconnecting with your child and
rebuilding your life (for example, finding stable work and housing,
staying sober, etc.) you can go back to court and ask the judge to
increase your visitation and/or custody rights.
• Follow all court orders. Whenever a court issues a custody or
visitation order (or any other type of court order), it has the force of
law. If you take your child without the other parent’s (or caregiver’s)
permission, or fail to return your child when required, or violate the
court order in any other way, you may face criminal charges and/or
revocation of your probation, parole, or supervision.
• If the other parent (or caregiver) is not following the court order, you
can always go back to court and ask the judge to enforce the order. If
the other parent (or caregiver) doesn’t follow the court order, you can
ask the judge to enforce the order, change the order, or hold the other
parent in contempt. Do NOT take matters into your own hands, and do
NOT take your child without permission.

FREE RESOURCES
For more information about custody and visitation, check out the
following guides and resources:
1.
2.
3.
4.
5.
6.
7.

Custody & Parenting Time (Visitation), by the Judicial Council of California—
http://www.courts.ca.gov/selfhelp-custody.htm
Child Custody and Visiting Rights Manual For Recently Released Parents, by Legal
Services for Prisoners with Children—http://www.prisonerswithchildren.org/wpcontent/uploads/2012/12/Recently-released-parents-version-12.11.12.pdf
Child Custody and Visiting Rights Manual for Incarcerated Parents, by Legal Services
for Prisoners with Children—http://www.prisonerswithchildren.org/wpcontent/uploads/2013/08/Incarcerated-parents-version-12.11.12.pdf
Incarcerated Parents Manual, by Legal Services for Prisoners with Children—
http://www.prisonerswithchildren.org/wp-content/uploads/2015/03/IPM-final-2-122015.pdf
Manual for Grandparent-Relative Caregivers and Their Advocates, by Legal Services
for Prisoners with Children—http://www.prisonerswithchildren.org/wpcontent/uploads/2013/01/Manual-for-Grandparent-Relative-Caregivers.pdf
Bill of Rights for Incarcerated Parents, by Legal Services for Prisoners with Children—
http://www.prisonerswithchildren.org/wp-content/uploads/2012/05/IncarceratedParents-Brochure-22.pdf
Bill of Rights for Children of Incarcerated Parents, by the San Francisco Children of
Incarcerated Parents Partnership—http://www.sfcipp.org/index.html

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IX. CHILD SUPPORT
WHAT WILL I LEARN?
What child support is and who has to pay child support
The difference between current child support payments and
past, overdue child support debts
How much child support costs (how your child support
payments are calculated)
What happens to your child support payments while you’re
incarcerated
How to change (reduce) your current child support payments
while you’re incarcerated and/or after you are released
How owing child support will affect your reentry
What to do if you owe past, overdue child support payments
How to pay off your child support obligations
What to do if your driver license or passport has been
suspended or there is a levy on your bank account due to
unpaid child support

•
•
•
•
•
•
•
•
•

WHAT IS CHILD SUPPORT?
Child support is a monthly payment that a judge can order a parent to make to
cover the child’s care and living expenses. California law says that every parent
has a duty to financially support his/her child. Usually, the parent who does not
have custody of the child (or who has custody some of the time and earns more
money) pays child support to the parent (or caregiver) who has custody of the
2258
child most or all of the time.

WHAT IS THE DIFFERENCE BETWEEN CURRENT CHILD SUPPORT
PAYMENTS AND PAST, OVERDUE CHILD SUPPORT (“ARREARS”)?
Current child support payments: Monthly child support payments are intended
to cover the costs of your child’s care and living expenses for the month ahead.
In general, you must keep making monthly child support payments until the child
support order ends (see PG. 874 and PG. 878 to learn about stopping and/or
changing your child support payments).
Past, overdue child support payments (called “arrears”): If you don’t make your
child support payments on time, these overdue payments become child support
debt that you owe (called “arrears”). In addition, 10% interest is added to your
overdue child support payments. In other words, if you don’t make your child
support payments on time, you will have to pay 10% interest in addition to the

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2258

CAL. FAM. CODE § 3900 et seq. The law expects both parents to contribute equally to their child’s financial needs.

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amount of unpaid support you owe.
the definition on PG. 828.

2259

!

For more information about arrears, see

WHO HAS TO PAY CHILD SUPPORT?
A court can only order you to pay child support if you are legally considered to
be the child’s mother or father. In general, your child support payments go to the
child’s other parent (or caregiver) who has custody of the child, or to the state if
your child receives public benefits or CPS is involved in the case. See PG. 876 to
learn more about whom you may owe child support to.

QUESTIONS ABOUT PATERNITY & CHILD SUPPORT
HOW IS PATERNITY (FATHERHOOD) ESTABLISHED?
It’s important to keep in mind that paternity is a legal concept—not a biological
one! This means that you can be the child’s biological father but not the legal
father, OR you can be the child’s legal father even if you are not the biological
father. There are specific legal rules for deciding whom the child’s legal father
is—in other words, rules for establishing paternity. (These rules are also called
legal “presumptions”—described below.)
When a child is born, the woman who gives birth to the child (the child’s
biological or “natural mother”) is automatically the child’s legal mother. But the
child does not have a legal father until paternity is established according to
these legal rules. Even if the man is the child’s biological father (and can prove
it), if he was never married to the mother, he is not considered the child’s legal
father and does not have any legal rights or responsibilities for the child UNLESS
paternity is legally established according to these rules.
LEGAL RULES (“PRESUMPTIONS”) FOR ESTABLISHING PATERNITY

!

When a child is born, there is a legal “presumption” about whom the child’s
father is. This means that a man is believed to be the father of the child UNLESS
there is specific evidence showing otherwise.
A man is presumed to be the father of a child if:
1. The man and the child’s natural mother are married to each other or
registered domestic partners when the child is born;
2. The man and the child’s natural mother used to be married or registered
domestic partners, and the child is born within 300 days (about 9 months)
after the marriage or partnership ends (either by divorce, separation, or
death);
3. The man takes the child in and acts like the child is his own, by caring for the
child and telling other people that it is his child; OR
4. The man signs a Declaration of Paternity stating that he is the father. The
2260
child’s natural mother must also sign the Declaration.
IMPORTANT: The man presumed to be the father is not always the child’s
biological father. In some cases, a paternity (DNA) test can be used to prove that
2261
the man presumed to be the child’s father is not actually the father.
NOTE: The rules for establishing paternity can be very complicated, so you may
want to talk to a lawyer if you are unsure or have questions about your situation!
See the list of legal aid providers on PG. 1190.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. CODE CIV. PROC. § 685.010.
CAL. FAM. CODE §§ 7611, 7570 et seq. For more information about declarations of paternity, visit
http://www.courts.ca.gov/1201.htm. To see a sample declaration of paternity, see
http://www.childsup.ca.gov/portals/0/cp/docs/cs909_english.pdf.
2261
For more information about paternity disputes, visit http://www.courts.ca.gov/1202.htm.
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I DO NOT BELIEVE I AM THE CHILD’S FATHER, BUT THE CHILD’S
MOTHER THINKS I AM. WHAT CAN I DO AND HOW DO I ASK FOR
A PATERNITY TEST?
If paternity has not been established and you do not believe you are the child’s
2262
father, you can ask the judge for a paternity test.
However, you must do this
at the very beginning of your child support case—within 30 days of receiving
child support papers from the other parent or LCSA. For more information on
paternity, talk to the court Family Law Facilitator or visit the California Courts’
website on Parentage/Paternity at http://www.courts.ca.gov/selfhelpparentage.htm.

WHEN DO I HAVE TO PAY CHILD SUPPORT?
You have to pay child support when a family court judge makes a child support
order, which says how much each parent is required to pay. A family court judge
2263
can make a child support order in any of the following cases.
(Note: Either
parent can ask the judge for a child support order in any of these cases):
•
•
•

•
•

Divorce, legal separation, or annulment—for parents who are married to each
other and want to end their relationship;
Paternity (parentage)—for parents who are NOT married to each other;
Petition for Custody and Support of Minor Children—for parents who have
signed a voluntary Declaration of Paternity, OR who are married and want to
stay married;
Domestic violence restraining order—for married OR unmarried parents; OR
In some situations, the Local Child Support Agency (LCSA) may also start a
child support case in court against one or both parents (see next question for
2264
more information about LCSA child support cases).

In general, you must continue to make child support payments until your child
2265
turns 18,
or until the judge or LCSA agrees to change the order. Child support
2266
also ends if your parental rights are terminated.

HOW WILL I KNOW IF THE LOCAL CHILD SUPPORT AGENCY
(LCSA) IS INVOLVED IN MY CASE?
LCSA is involved in your case if:
•
•
•

You or the other parent receives public benefits (such as CalWORKS or
CalFresh) for your children;
You or the other parent asked the LCSA for help in getting or enforcing a
child support order; OR
You have received paperwork or letters from the LCSA saying that they are
2267
involved.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. FAM. CODE § 7635.5.
CAL. FAM. CODE § 4001.
CAL. CODE CIV. PROC. § 685.050.
2265
CAL. FAM. CODE § 3901(a). However, if your child is still in high school and lives with a parent, then child support
continues until s/he graduates OR turns 19—whichever happens first. Alternatively, child support can end earlier
if/when your child (1) gets married, (2) joins the military, (3) is emancipated, or (4) dies. Or child support may
continue for longer if (1) the parents agree to a longer arrangement, or (2) the judge orders both parents to keep
supporting a disabled adult child.
2266
CAL. FAM. CODE § 3901(b).
2267
JUDICIAL COUNCIL OF CAL., Child Support FAQs, http://www.courts.ca.gov/1200.htm.
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2263
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!

If you have questions about whether you owe money to the LCSA and/or how
much you owe, visit or call the LCSA office in your county. To find the LCSA in
your county, see Appendix I, PG. 895 or call 1-866-901-3212, or visit
http://www.childsup.ca.gov/home/lcsaoffices.aspx.
You can also contact the court Family Law Facilitator for help. To find your local
Family Law Facilitator, see Appendix A, PG. 887 or visit
http://www.courts.ca.gov/selfhelp-facilitators.htm.

HOW MUCH IS CHILD SUPPORT?
California has a guideline (a set of rules) for calculating how much child support
should be paid. If the parents can’t agree on the amount of child support, the
2268
judge will use the guideline to decide the amount.
The guideline for calculating the amount of child support depends on several
factors, including:
•
•
•
•
•
•

How much income each parent earns (including work-related benefits, such
as disability, unemployment, workers compensation, and Social Security);
Certain expenses (such as property taxes, union dues, job-related expenses,
etc.);
How much time each parent spends with your child(ren);
If either parent supports other children from other relationships (and how
much);
How much taxes each parent pays; AND
2269
Each parent’s health insurance payments.

The child support order may also require the parents to share special costs, such
as:
•
•
•
•

Child care, so that the custodial parent can work or get work-related
training/schooling;
Your child’s reasonable health care expenses;
Your child’s travel expenses when travelling between parents for visits; AND
2270
Your child’s education or other special needs.

Note: Public benefits such as CalWORKS, General Assistance/General Relief
(GA/GR), and SSI are NOT counted as income when deciding your child support
payments. In addition, if you are receiving child support payments for another
2271
child from another relationship, these payments will NOT count as income.
To estimate how much child support the judge may order in your case, you can
use the California Guideline Child Support Calculator, available online at
http://www.childsup.ca.gov/Resources/CalculateChildSupport.aspx.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. FAM. CODE § 4052 et seq. The judge can order an amount different from the guideline in only a few
situations.
2269
CAL. FAM. CODE § 4055. See also CAL. DEP’T OF CHILD SUPPORT SVCS., California Guideline Child Support Calculator:
User Guide, 5, 27-31 (rev’d June 2014), available at
http://www.childsup.ca.gov/portals/0/resources/docs/gdlncalculator.pdf. If the judge thinks you have the ability and
opportunity to work (or earn income some other way), but choose not to work, the judge may consider your earning
capacity (i.e., how much money you could be making, also called your “imputed income”) instead of your actual
income when deciding your child support payments. CAL. FAM. CODE § 4058(b).
2270
CAL. FAM. CODE § 4061 et seq.
2271
CAL. FAM. CODE § 4058(c).
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HELPFUL HINT
Your Income & Child Support Payments
Before the judge orders you to pay any child support (or makes any other orders
that affect your rights as a parent), you have the right to receive notice. This
notice is usually mailed to you. If you don’t respond to the notice within 30 days,
then the judge is allowed to use your “presumed income” when deciding how
much your child support payments should be. (In other words, the judge will
assume that you earn a certain amount of income, regardless of how much
money you actually earn.) In most cases, the judge will assume that you’re
working full time (40 hours/week) and making minimum wage, and will order
2272
you to pay child support based on this “presumed” amount of income.
If your actual income is different than the amount of “presumed income” used
by the judge (for example, if you work less than 40 hours/week or earn less than
minimum wage), you can ask the judge to change the child support order so that
your payment are based on your actual income. You only have 1 year to do this,
starting from the day that your first child support payment was due. You will
need to fill out a Motion to Cancel (Set Aside) Support Order Based on
2273
Presumed Income (Form FL-640) and file it with the family court clerk.
The
form is available online at http://www.courts.ca.gov/documents/fl640.pdf. Ask
the Family Law Facilitator to help you get and fill out your form.

WILL I HAVE TO PAY INTEREST ON MY CHILD SUPPORT?
Yes, if you owe past, overdue child support payments (called “arrears”). If you
are late or overdue on your child support payments, you will have to pay
interest—usually 10%—in addition to the amount of unpaid child support you
2274
owe.
Interest will continue to grow on your overdue child support debt until
the entire overdue amount is paid off—meaning the amount of interest will
increase even if you are also paying child support little-by-little in
2275
installments.

I AM FORMERLY INCARCERATED. HOW CAN I FIND OUT
WHETHER I OWE CHILD SUPPORT AND HOW MUCH I OWE?
If you were ordered to pay child support, you should have received papers from
2276
the LCSA or the other parent.
If you can’t remember whether you received
papers (or you don’t have them anymore), you should contact the LCSA to find
2277
out how much you owe.
To find the LCSA in your county, call 1-866-901-3212
or visit http://www.childsup.ca.gov/home/lcsaoffices.aspx. You can also contact
the family court clerk to get a copy of your child support order and other court
papers.
If you disagree with the amount of overdue child support you (or the other
parent) owe, you can ask the LCSA for a review of your account, and/or you can
ask the judge to determine how much money you owe (called a Judicial

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. FAM. CODE § 17400(d)(2).
Instructions on how to fill out Form FL-640 are available at http://www.courts.ca.gov/documents/fl640info.pdf.
CAL. CODE CIV. PROC. § 685.010.
2275
Any payments that you make will first go to pay your current child support payments, then your past, overdue
payments, and last your interest. JUDICIAL COUNCIL OF CAL., Child Support FAQs (Nov. 12, 2014),
http://www.courts.ca.gov/1200.htm.
2276
JUDICIAL COUNCIL OF CAL., Child Support FAQs ( Nov. 12, 2014), http://www.courts.ca.gov/1200.htm.
2277
CAL. FAM. CODE § 17526(a) requires the LCSA to provide you with information about how much child support you
owe. You can also ask the judge to determine exactly how much child support and interest you owe. § 17526(c).
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Determination of Arrears).
If the overdue child support payments are from
the period of time you were incarcerated, there is a special form to ask the judge
how much you owe (Form FL-676: Request For Judicial Determination of
Support Arrearages or Adjustment of Arrearages Due to Incarceration or
2279
Involuntary Institutionalization—available in the Appendix J, PG. 896.)

!

IMPORTANT: If you never received any papers or child support order, but
the LCSA now says that you owe child support, you may be able to have
the judge cancel the child support order. But you must act as soon as
you find out that there is an order for you to pay child support. If you do
not act immediately, the judge may refuse to cancel the order.

I AM CURRENTLY INCARCERATED. DO MY CHILD SUPPORT
PAYMENTS AUTOMATICALLY STOP WHEN I AM IN PRISON OR
JAIL?
It depends on the date when your most recent child support order was issued by
the judge AND how long you were incarcerated for. For most people, though,
the answer is NO—child support generally does NOT stop automatically while
you’re incarcerated.
WILL MY CHILD SUPPORT PAYMENTS STOP AUTOMATICALLY WHILE I’M INCARCERATED?
NO, your payments
WILL NOT stop
automatically if your
child support order
was issued before
July 1, 2011.

1.

YES, your payments
SHOULD stop
automatically if your
child support order
was issued between
July 1, 2011 and July
1, 2015, AND you are
incarcerated for 90
days or more.

1.

2.
3.

2.
3.

If your current child support order was issued before July 1, 2011, your child support
payments will NOT stop automatically while you’re incarcerated.
You will continue to owe child support payments while you are incarcerated, unless you get
the judge to change your child support order.
To stop your child support payments while you are incarcerated, you will need to ask the
judge to reduce your payments to $0 because you do not have any income (unless you
have an outside source of income to make your payments). See PG. 874 to learn how to do
this.
If your current child support order was issued between July 1, 2011 and July 1, 2015, AND
you are incarcerated for 90 days or more, your child support payments will be
2280
automatically paused (suspended) while you are incarcerated.
This means that you will not owe any child support during the time you are incarcerated,
and you will not have to do anything to make this to happen. But your child support
2281
payments will automatically continue again after you are released.
This special law applies to child support orders issued (i.e., made and/or changed) on or
after July 1, 2011 and before July 1, 2015, for parents who are incarcerated for 90 days or
2282
more.
However, it may not apply if you are incarcerated for domestic violence,
harassment, or for violating a previous child support order, OR if you have outside income
2283
and can afford to make payments while you’re incarcerated.

In sum — if your most recent child support order was
issued by the judge (i.e., made or changed) between
July 1, 2011 and July 1, 2015, AND you are/were
incarcerated for 90 days or more, your payments
should automatically stop while you are incarcerated.
If your child support order was NOT made between July
1, 2011 and July 1, 2015, your payments will NOT
automatically stop while you’re incarcerated (but you can

IMPORTANT WARNING:
POSSIBLE CHANGE IN LAW
After July 1, 2015, the law could
change, and your child support
payments may no longer
automatically stop during your
incarceration! Be sure to contact the
LCSA if you have any questions
about your child support order!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. FAM. CODE § 17526.
Form FL-676 is also available online at http://www.courts.ca.gov/documents/fl676.pdf. For more information,
read the accompanying information sheet, FL-676-INFO, http://www.courts.ca.gov/documents/fl676info.pdf.
2280
CAL. FAM. CODE § 4007.5(a)(1). The law applies to child support orders issued on or after July 1, 2015, and remains
in effect until July 1, 2015 (unless extended). § 4007.5(g), (h).
2281
CAL. FAM. CODE § 4007.5(a)(2).
2282
CAL. FAM. CODE § 4007.5(g), (i).
2283
CAL. FAM. CODE § 4007.5(a)(1), (d).
2278
2279

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ask the judge to reduce your payments to $0 while you’re incarcerated—see
PG. 874 to learn how).

I AM CURRENTLY INCARCERATED. HOW CAN I CHANGE/
ADJUST MY CHILD SUPPORT ORDER WHILE I’M IN PRISON OR
JAIL?
To ask for a change in your child support payments while incarcerated, fill out
the “Incarcerated Parent’s Request to Review Child Support” form and send it to
2284
your local child support agency (LCSA).
You can ask the prison or jail for a
copy of this form, or see Appendix K, PG. 899, for a sample form. If the form is
not available, you should contact the LCSA immediately by phone or letter, and
explain that you are incarcerated and need to change your child support
2285
payments.
See Appendix I, PG. 895, to find a listing of LCSAs in California.

!

IMPORTANT: In general, the judge can only change the amount of child
support you owe for future payments (starting from the day you file
papers asking for the change). The judge cannot reduce the amount of
past child support that you owe. Therefore, you should contact the LCSA
and/or file your court papers as soon as you are incarcerated, if possible,
to request a change in your payments.
If you are served with new child support papers while in prison or jail, you
should contact the LCSA listed on the paperwork right away. It is best to contact
the LCSA in writing, by filling out and sending back the blank Response form
2286
that you receive with the court papers.
You only have 30 days (starting from
2287
the day you receive the papers) to respond to the LCSA and/or the court.
You
2288
must notify the LCSA again once you are released.

I AM FORMERLY INCARCERATED AND JUST DISCOVERED THAT I
OWE A LOT OF MONEY FOR PAST, OVERDUE CHILD SUPPORT
PAYMENTS (“ARREARS”). HOW CAN I CHANGE THESE ARREARS?
It depends on the date when your most recent child support order was issued by
the judge AND how long you were incarcerated for.
POSSIBILITY #1: If your current child support order was issued between July 1,
2011 and July 1, 2015, AND you were incarcerated for 90 days or more:
Your payments should have automatically stopped while you are incarcerated
(see PG. 873 for more information about automatically stopping your child
support payments while incarcerated). After you are released, if you discover

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

The form is also available online at http://acreentry.org/wp-content/uploads/2011/10/Child-Support-applicationenglish-and-spanish.pdf.
2285
Child Support Dirs. Assoc., Child Support Information for the Incarcerated Parent, https://csdaca.org/wpcontent/uploads/resources/1/Outreach%20and%20Education/Fact%20Sheets/incarcerated%
20parent.pdf; CAL. DEP’T OF CHILD SUPPORT SVCS., Pub. 248: Child Support Information for the Parent in Jail or Prison
(Nov. 2012). If the LCSA does not respond, you must file court papers and request a hearing to change your support
order. JUDICIAL COUNCIL OF CAL., The Basics of Child Support for Incarcerated Parents (Nov. 2011),
http://www.courts.ca.gov/documents/incarceratedguide.pdf.
2286
When you receive your court papers, they should include a blank Response form for you to complete and send
back. This form may be called Form FL-685 (if the LCSA has started a child support case for your child), or Form FL270 or Form FL-320 (if the other parent or caregiver is asking you to pay child support). You will also need to
complete forms with your income and financial information. If the LCSA has asked the judge to establish paternity
(i.e., find that you are the child’s parent), you will need to return Form FL-610.
2287
CAL. DEP’T OF CHILD SUPPORT SVCS., Pub. 248: Child Support Information for the Parent in Jail or Prison (Nov. 2012).
If you don’t think that you’re the child’s parent, you can have a parentage (paternity) test done while you’re in prison
or jail.
2288
CAL. DEP’T OF CHILD SUPPORT SVCS., Pub. 248: Child Support Information for the Parent in Jail or Prison (Nov. 2012).
2284

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that your child support payments were not automatically stopped—i.e., if you
find that you owe child support from while you were incarcerated—you can ask
the judge to “adjust” your child support arrears (i.e., reduce your debt to $0) for
the time you were incarcerated.
To do this, fill out the Request for Judicial Determination of Support Arrearages
or Adjustment of Arrearages Due to Incarceration or Involuntary
Institutionalization (Form FL-676, available online at
http://www.courts.ca.gov/documents/fl676.pdf or in the Appendix J, PG. 896),
and file it with the family court where your child support order is from. You will
need to prove: (1) the dates when you were incarcerated, and (2) that you could
not afford to pay child support while you were incarcerated (i.e., that you had no
income or other money during that time.) However, if you were incarcerated for
a domestic violence or harassment offense, or for violating a previous child
support order, OR if you had outside income or assets and could afford to make
child support payments while you were incarcerated, the judge may refuse to
2289
reduce your debt.
BUT remember—this ONLY applies if your child support
order was between July 1, 2011 and July 1, 2015, AND you are incarcerated for
90 days or more.
POSSIBILITY #2: If your current child support order was NOT issued between
July 1, 2011 and July 1, 2015, or you were incarcerated for less than 90 days:
Your payments do NOT stop during your incarceration, so you will continue to
owe child support payments for this time (unless you asked the LCSA or judge to
change your payments while incarcerated—see PG. 874 for more information
about how to do this). Unfortunately, the judge cannot go back and change your
overdue payments in this case, but you can ask the LCSA or other parent to
forgive some of your overdue payments (see next question), and you can ask the
judge to change your current child support payments going forward (see
PG. 878 for how to do this).

CAN I GET RID OF MY PAST, OVERDUE CHILD SUPPORT DEBT?
It depends, but probably not entirely.

!

IMPORTANT: The process for changing or lowering your PAST,
OVERDUE child support debt (“arrears”) is different than the process for
changing your CURRENT child support payment amount. This question
will explain how to change your past, overdue child support debt. To
learn about changing your current child support payments, see PG. 878.
This question will explain how to change your past, overdue child support debt.
STEP 1: First, figure out whether you owe overdue child support payments to the
other parent (or caregiver) or to the state.
To find out, you can contact the LCSA and ask for a breakdown (detailed list) of
your arrears. This will show how much you owe to the other parent and/or to the
state. The chart below can also help you figure out whom you owe child support
to—but it’s always best to get a breakdown from the LCSA to be sure!
STEP 2: Once you know whom you owe money to, use the following chart to
figure out your next steps:

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2289

CAL. FAM. CODE § 4007.5.

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CHANGING/LOWERING YOUR PAST, OVERDUE CHILD SUPPORT DEBT (ARREARS)
TO WHOM DO
YOU OWE
CHILD
SUPPORT
MONEY?

I OWE CHILD SUPPORT TO THE STATE
(CALIFORNIA)

I OWE CHILD SUPPORT TO THE OTHER
PARENT (OR CAREGIVER)

How do I know
who I owe?

If the other parent (or caregiver) is receiving
public benefits for your child, or if CPS has
taken your child, you owe child support to the
2290
State of California.

If your child support order was part of a
divorce or family law case, you will
probably owe child support directly to the
other parent.

What should I
do?

Apply for the Compromise of Arrears Program
2291
(COAP) (see PG. 876 for more information).
If you qualify, the COAP program will reduce
(but not completely eliminate) the amount of
child support debt that you owe to the State,
2292
so you will not have to pay as much.
To
qualify for a reduction of your child support
debt, you must meet the requirements below
(PG. 877).

Try to work out an agreement (called a
“settlement”) with the other parent (or
caregiver). You may be able to work out
an agreement to forgive some or all of the
overdue child support, in exchange for
your paying off the remaining amount
right away.

If you miss any of your current child support
or COAP payments, your COAP agreement
will be cancelled AND you will owe all the
debt that was previously reduced. You may
not receive a refund for any of the COAP
payments that you’ve already made, and you
will be unable to reapply to the COAP
2293
program for 2 years.

If you reach an agreement with the other
parent, you should make sure to put it in
2294
writing for the LCSA and the judge.

Important
Information to
Know:

For example, you could offer to make—
and the other parent (or caregiver) could
agree to accept—a single lump sum
payment all at once, rather than making
many smaller payments over time and
having the debt drag out.

WHAT IS THE COMPROMISE OF ARREARS PROGRAM (COAP)?
The Compromise of Arrears Program (COAP) is a program to helps parents who
owe past, overdue child support payments (arrears and interest) to the state.
The COAP program allows eligible, noncustodial parents (meaning parents who
do not live with their child) to reduce the past, overdue child support payments
that they owe to the state. (Note: If your child lives with you now, see PG. 877 to
learn about Family Reunification COAP.) The COAP program allows you to pay
an amount that is less than the full amount you owe, in exchange for making
your payments at a specific time (either in a single lump-sum payment or

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Electronic communication from Brittany Stringfellow Otey, Assistant Professor of Law / Directing Attorney,
Pepperdine Legal Aid Clinic, Jan. 21, 2015 (1:22 PM).
2291
CAL. FAM. CODE § 17560.
2292
This is child support debt you owe if your child received public assistance (welfare) or was in foster care at the
time payments were due. The COAP program will NOT reduce child support debt you owe to the other parent. CAL.
FAM. CODE § 17560(d).
2293
CAL. DEP’T OF CHILD SUPPORT SVCS., Compromise of Arrears Program (COAP) ( Nov. 13, 2014),
http://www.childsup.ca.gov/payments/compromiseofarrearsprogram.aspx.
2294
Electronic communication from Brittany Stringfellow Otey, Assistant Professor of Law / Directing Attorney,
Pepperdine Legal Aid Clinic, Jan. 16, 2015.
2290

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through an installment plan). The amount that your payments will be reduced
depends on your income and ability to pay. You can apply for COAP even if you
have a criminal record.

HOW DO I QUALIFY FOR COAP?
To qualify for the COAP program, you must meet the following requirements:
• Provide all requested information and documents. You will need to provide
information such as proof of your income, expenses (rent, utilities),
taxes, and any assets (such as property, bank account,
WHAT IF I
2295
vehicles).
DON’T HAVE
THESE
• Make all current and future child support payments required by
DOCUMENTS?
your current child support order. Some counties may require you
to have made consistent, on-time child support payments over the
If do not have
2296
certain information
past 6 months to be eligible for COAP.
or documents, talk
• Continue to make all child support payments while you are
to the COAP
applying for COAP. If you stop making payments, you will be
coordinator – you
disqualified from participating in COAP and must wait 1 year
may still be able to
2297
apply. It’s very
before reapplying.
important that you
• Make all COAP payments required by your COAP agreement,
provide complete
2298
once you are approved for the program.
and accurate
information (even if
• Some counties may also require that you owe a certain amount of
you don’t have all
child support debt (for example, a minimum of $5,000) to qualify
the documents to
for COAP.
prove it), because
• Each county may have different or additional requirements (and
you can be
2299
disqualified for
some counties may not have a COAP program at all).
Most
intentionally
counties have a COAP coordinator to help you apply. The LCSA in
leaving things out.
your county can help you get in touch with the COAP coordinator.
See the chart above (PG. 878) for more information about the COAP program and
payment requirements. If you have questions or want more information about the
COAP program, contact the COAP coordinator or LCSA in your county, or visit the
State’s website at:
http://www.childsup.ca.gov/payments/compromiseofarrearsprogram.aspx

WHAT IF MY CHILD IS LIVING WITH ME NOW, BUT I OWE PAST
CHILD SUPPORT FROM WHEN MY CHILD WAS PREVIOUSLY LIVING
WITH ANOTHER CAREGIVER?
If your child is living with you now, but you owe past, overdue child support to
the State from a time when your child was previously living with another
caregiver, you may be eligible for the “Family Reunification COAP” program. The
requirements are:
1)

Your child is living with you now AND one of the following is true:
a. Your child was previously part of a juvenile dependency court case,
and the judge has now reunited you with your child (i.e., there is an
official court order that returns your child to your care), OR

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. FAM. CODE §§ 17560(f)(3), (c)(1)(A).
CAL. FAM. CODE § 17560(b).
CAL. FAM. CODE § 17560(f)(3)(C).
2298
You may be required to pay all remaining debt in one lump sum, or make monthly payments over several years.
See §§ 17560(c)(2), (f)(2).
2299
Telephone conversation with Mary Mora, COAP Coordinator, San Francisco Dep’t of Child Support Svcs., Nov.
13, 2014.
2295
2296
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b. Your child previously lived with a relative caregiver, legal guardian,
or in foster care and received public benefits during this time (for
example, CalWORKS or KinGAP), AND your child lived with you
before being placed with the caregiver, guardian, or in foster care;
2) You are low-income (based on the federal poverty level); AND
3) The county LCSA decides that reducing your child support debt is necessary
2300
for you to support and provide for your child while s/he is living with you.
Contact your county LCSA for more information and assistance in applying for
the Family Reunification COAP program, or visit the state website at:
http://www.childsup.ca.gov/payments/compromiseofarrearsprogram/
familyreunificationcoap.aspx

I AM FORMERLY INCARCERATED, AND I WANT TO CHANGE THE
AMOUNT OF CHILD SUPPORT I HAVE TO PAY EVERY MONTH (MY
CURRENT AND FUTURE CHILD SUPPORT PAYMENTS). HOW CAN I
CHANGE MY CHILD SUPPORT ORDER?
To change in your current and future child support payments, you must ask the
judge or LCSA (if involved in your case) to change your child support order.

!

IMPORTANT: The process for changing or lowering your CURRENT and
FUTURE child support payments is different than the process for
changing your PAST, OVERDUE child support debt. This question will
explain how to change your current child support payments. To learn
about changing your past, overdue child support debt, see PG. 875.
See the chart on the next page as a guide for how to request a change to
current and future child support payments.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. FAM. CODE § 17550; 22 CAL. CODE OF REGS. § 119191. Unless you have a lot of extra assets (e.g., money in
bank accounts, property, or other valuable things), the LCSA will presume that it’s necessary to reduce your child
support debt so that you can care for your child now. 22 CAL. CODE OF REGS. § 119191(e)(4).
2300

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USE THE FOLLOWING CHART AS A GUIDE IF YOU WANT TO REQUEST A CHANGE IN YOUR CURRENT AND
FUTURE CHILD SUPPORT PAYMENTS.

REQUESTING A CHANGE IN YOUR CURRENT & FUTURE CHILD SUPPORT PAYMENTS
YOU WANT
TO REQUEST
A CHANGE
FROM!

The Court (the Judge)

What should
I do?

File a Request for Order of Child Support Modification (FL-300)
AND Income & Expense Declaration (FL-150) or Financial
Statement (FL-155) in family court. See Appendix H, PG. 894,
2301
for sample court forms.

Contact your LCSA and tell
them you want a “review
and adjustment” of your
child support order.

To request a change in court, you must:
1. Fill out the FL-300 AND FL-150 or FL-155 (see box above),
and get other documents to show your income (see last
bullet);
2. File your court forms and other documents with the family
court clerk;
3. Serve copies of all your papers on the other parent (and
LCSA, if involved in your case); and
4. Have a court hearing to decide how much child support
you must pay (see box below).

To request a change from
the LCSA:

What are the
steps I need
to follow?

What
happens
next?

The Local Child Support
Agency (LCSA)

Contact your LCSA and tell
them you want a “review
and adjustment” of the child
support order.

IMPORTANT: You will need to show the judge that your
circumstances have changed and you cannot afford your
current child support payments—for example, because you
were incarcerated, lost your job, have other expenses, or for
some other reason. Along with your court forms, you should
include any pay stubs or proof of income and your latest
federal and state tax returns—these will show the judge how
much money you make and how much you can afford to pay in
child support. Ask the Family Law Facilitator for help getting all
2302
of your papers together.
After you file your court forms and other documents, you will
have a hearing. At the hearing, the judge can change your
child support payments starting from the date you first filed
your court papers.

The LCSA will conduct a
review and they may
potentially reduce your child
support payment amount.

For more information on asking the judge to change your child
support payments, visit http://www.courts.ca.gov/1196.htm.

IMPORTANT: It can take up
to 6 months for the LCSA to
change your payments, and
your child support
obligations will continue to
increase during this time—so
don’t stop making payments
while you’re waiting!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

These forms are also available online at: FL-300—http://www.courts.ca.gov/documents/fl300.pdf; FL-150—
http://www.courts.ca.gov/documents/fl150.pdf.FL-155—http://www.courts.ca.gov/documents/fl155.pdf.
2302
JUDICIAL COUNCIL OF CAL., The Basics of Child Support for Incarcerated Parents (Nov. 2011),
http://www.courts.ca.gov/documents/incarceratedguide.pdf; JUDICIAL COUNCIL OF CAL., Changing a Child Support
Order, http://www.courts.ca.gov/1196.htm.
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HOW WILL OWING CHILD SUPPORT AFFECT MY REENTRY?
First the bad news: In general, you CANNOT go back and change the amount of
past, overdue child support payments and interest that you owe. (The only
exception is for child support orders issued between July 1, 2011, and July 1,
2015—see PG. 874, or if you agree to settle your past debts owed the other
2303
parent or the state—see PG. 875).
But you CAN ask the judge to change the amount of child support that you have
to pay in the future, starting from the date when you file your court papers. You
CAN also ask the judge to set up a monthly payment plan so you can repay what
2304
you owe in installments.
(See PG. 878 for more information on changing your
current and future child support payments.)
If you do not make child support payments, you can face serious consequences:
•

•

•
•
•
•

•
•

•

If you are employed, your employer will automatically deduct (take away) a
portion of your wages to pay your current and/or overdue child support
2305
obligations (called a wage assignment or wage garnishment);
Your child support payments can be automatically deducted (taken away)
from other income and benefits you earn, including state or federal income
tax refunds, workers’ compensation benefits, unemployment and state
2306
disability benefits, retirement benefits, and lottery winnings;
Liens can be placed on your property and bank accounts to pay overdue
2307
child support (see PG. 830 for more information about liens;
Your driver’s license, occupational license, and commercial or recreational
2308
licenses may be suspended, revoked, or denied;
2309
Your passport may be revoked or denied;
Unpaid child support will be reported to credit bureaus, which can hurt your
credit rating and make it harder to get a loan, rent an apartment, or find a
2310
job;
AND/OR
2311
The amount of interest that you owe will continue to increase.
If you are unemployed and do not pay your child support obligations, the
judge may order you to get a job (or at least to try). For example, the judge
may order you to apply for a certain number of jobs every week until you get
hired, and may require you to bring in proof of every job application you
2312
do.
Finally, if the judge finds that you are able to make child support payments
and are willfully failing to pay, the judge can find you “in contempt of court”
2313
and have you arrested or put in jail.
However, the judge usually only does
this as a last resort, if all other enforcement efforts have failed.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

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HELPFUL HINTS
What can I do if…?
•

•
•

If your driver’s license has been suspended due to unpaid child support…
First, contact the LCSA to see if they can help make arrangements to have
your license released. If you cannot pay the amount required by the LCSA,
you can ask the judge to reinstate (give back) your license by filing a Notice
of Motion for Judicial Review of License Denial (Form FL-670) with the family
court that issued your child support order (see Appendix M, PG. 903, for
2314
sample form).
If there is a levy on your bank account… Contact the LCSA or call 1-866-9013212 for any questions.
If your passport has a hold on it… Federal law requires that anyone who
2315
owes more than $2,500 in overdue child support cannot get a passport.
In
California, you must pay off ALL of your overdue child support or have your
child support case closed in order to get your passport released. Contact
2316
your LCSA for questions or assistance.

HOW CAN I PAY OFF MY CHILD SUPPORT OBLIGATIONS?
If you are employed, a portion of your wages will be automatically taken out to
pay your current and/or overdue child support (called a wage assignment or
2317
wage garnishment).
This will happen even if you only owe current child
support payments, without any overdue payments or interest. If your child
support payments are being taken directly from your wages, you should not
2318
need to make other payments.
If you are not employed, or if your child support is not being taken from your
wages, you must make child support payments directly.
• If the LCSA is involved in your case, you must make payments to the
California State Disbursement Unit (SDU). You can make payments by mail,
telephone, online, or in person (see the Helpful Hint box below for where to
make or send your payments). If you have any questions, contact the LCSA
for your case, or visit the SDU website for Frequently Asked Questions at
http://www.childsup.ca.gov/noncustodialparent/faqs.aspx.
• If the LCSA is not involved in your case, you must make payments directly to
2319
the other parent (or caregiver) (unless you hear otherwise).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

The form is available online at http://www.courts.ca.gov/documents/fl670.pdf. The judge will make the final
decision about whether to give back your license. JUDICIAL COUNCIL OF CAL., Child Support FAQs,
http://www.courts.ca.gov/1200.htm.
2315
22 C.F.R. § 51.60(a).
2316
CAL. FAM. CODE § 3048(f).
2317
CAL. FAM. CODE §§ 17420 (earnings assignment order for current child support payments), 17522 (earnings
withholding for delinquent child support); CAL. REV. & T. CODE § 19271(b)(1)(A) (delinquent child support); CAL. CODE
CIV. PROC. § 706.030 (delinquent child support).
2318
The judge is required to make an earning assignment order (also called income withholding or wage
garnishment) any time there is an order to pay child support. CAL. FAM. CODE § 5230. If you want to make payments
directly to the other parent (or caregiver) and NOT through wage assignment, you may be able to work out a
different payment arrangement with him/her. If the LCSA is NOT involved in your case, you and the other parent (or
caregiver) can agree to make child support payments in some other way, and can ask the judge to “stay” (put on
hold) the wage assignment. In this situation, both parents (or caregiver) work out how child support will be paid and
handle it between them. If the LCSA is involved in your case, the LCSA will have to agree to have the wage
assignment put on hold. This may be difficult, however, because LCSAs usually prefer you to make child support
payments through a wage assignment with your employer, and want all child support payments to go through the
state payment system (called the State Disbursement Unit), NOT to the other parent directly. JUDICIAL COUNCIL OF
CAL., Paying a Child Support Order, http://www.courts.ca.gov/1197.htm.
2319
Telephone call with Mary (ID # 1821), CAL. DEP’T OF CHILD SUPPORT SVCS., Jan. 21, 2015. See also JUDICIAL COUNCIL
OF CAL., Form FL-342 (Child Support Order & Information Attachment), § 9 (rev’d July 1, 2012), available at
http://www.courts.ca.gov/documents/fl342.pdf.
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!

HELPFUL HINT
Making Child Support Payments to the California SDU:2320
•
•
•
•

2321

Mail your payment (check or money order) to the California SDU:
o PO Box 989067, West Sacramento, CA 95798-9067
Call to make payments: 1-866-901-3212 (option 1)
Pay online:
https://www.childsup.ca.gov/payments/statedisbursementunit(sdu).aspx
Pay in person at certain LCSA offices or any MoneyGram location.
o To find an LCSA office that accepts payments, call 1-866-901-3212 or
visit www.childsup.ca.gov/offices.
o To find a MoneyGram location, call 1-800-926-9400 or visit
www.MoneyGram.com/Locations. Use Receive Code 14630 to make a
California child support payment. (Note: MoneyGram will charge an
additional fee for making your payment.)

* Note: You may need your child support Participant ID number and/or your
social security number when you make a payment.

HELPFUL HINT
Keep Records of Your Payments!
IMPORTANT! Whether you are making your payments to the California SDU or
directly to the other parent, it’s a good idea to always keep a record of every
payment you make. You can keep a separate notebook where you write down
the date and amount of each payment, or make notes on a calendar every time
you make a payment (including the date and amount).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Telephone and online payments also require a debit card, credit card, or bank information. For both telephone
and online payments, you can make a single (one-time) payment or set up an account to make ongoing payments.
2321
For payments by mail, send a check or money order to the following address. The check or money order should
be payable to the “California State Disbursement Unit” and include your name and case identification number.
Note: This address is only for regular child support payments: CA State Disbursement Unit (SDU), PO Box 989067,
West Sacramento, CA 95798-9067.
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HELPFUL HINT
I lost my job or went to jail and cannot afford my child support
payments!
IMPORTANT! If you cannot pay or are falling behind on your child support
payments because you lost your job, went to jail, or some other important
changes have happened, it’s recommended that you immediately contact the
LCSA and/or family court and ask to change your child support amount. Don’t
wait! You are responsible for paying the full amount of child support until the
LSCA or judge changes the child support order. For more information about
changing your child support order, see PG. 878.

WHAT IF I AM RECEIVING BENEFITS? CAN A PORTION OF MY
PUBLIC BENEFITS BE TAKEN TO PAY FOR CHILD SUPPORT?
If you owe any child support payments (current and/or past, overdue payments),
a portion of your benefits payments can be automatically taken out to pay off
your child support obligations. Your child support payments can be taken out of
any benefits you receive except for General Assistance/General Relief (GA/GR)
2322
and SSI.
That means your payments can be taken out of your unemployment,
disability, workers compensation, veteran’s benefits, or any other benefits you
earn.
However, if you are already receiving public assistance, the judge may decide
2323
that your income is too low to owe current child support payments.
BUT—this
only applies to current payments. Even if the judge decides that your income is
too low for current payments, you will still owe any past, overdue child support
payments that were due in the past. You should ask the judge for a payment
2324
plan that lets you to make small payments over time.
(Remember: The only way you can avoid paying past, overdue child support
payments is (1) if your child support order was issued between July 1, 2011, and
July 1, 2015, and the payments were due while you were incarcerated for 90
days or more (see PG. 874 and PG. 874); OR (2) if you get a settlement
agreement with the COAP program or other parent (see PG. 875).
For more information on paying child support, you can talk to the court Family
Law Facilitator, contact the LCSA, or visit the California Courts’ website on
Paying a Child Support Order at http://www.courts.ca.gov/1197.htm.

I RECEIVED A CHILD SUPPORT WARNING NOTICE (CSWN)?
WHAT IS IT?
The Department of Child Support Services (DCSS) will send you this notice if you
owe past, overdue child support (arrears). The CSWN gives you information
about how much you owe, and how to pay off your arrears.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Electronic communication from Brittany Stringfellow Otey, Assistant Professor of Law / Directing Attorney,
Pepperdine Legal Aid Clinic, Jan. 21, 2015 (1:25 PM).
2323
You will still have to follow all the steps discussed above for responding to a child support request and/or
changing a child support order, so that the judge can determine your income and child support obligations.
2324
Electronic communication from Brittany Stringfellow Otey, Assistant Professor of Law / Directing Attorney,
Pepperdine Legal Aid Clinic, Jan. 21, 2015 (1:25 PM).
2322

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HELPFUL HINT
What can I do if the LCSA isn’t handling my case well?
If you don’t think the LCSA is handling your case well or you are having other
problems with the LCSA, contact the LCSA Ombudsperson for your county,
2325
whose job is to help you resolve problems with your case.
Find contact
information for your county Ombudsperson in Appendix N, PG. 904.
If the Ombudsperson doesn’t resolve your problem, you can also file a complaint
with the LCSA. The LCSA has a system to address complaints about customer
service, timeliness of service, payment and billing issues, and decisions to close
a child support case. To get a complaint form or for any other questions, contact
your county LCSA or call 1-866-901-3212. To find your local LCSA, see
Appendix I, PG. 895, or go to http://www.childsup.ca.gov/home/lcsaoffices.aspx.

FREE RESOURCES
For more information on child support payments and child support debt, check
out the following resources:
•

•
•

•

•

Paying a Child Support Order is a helpful website that explains what your
child support order means, how wage assignments work, and what to do
about overdue child support, by the Judicial Council of California—
http://www.courts.ca.gov/1197.htm
The Basics of Child Support for Incarcerated Parents, by the Judicial Council
of California –http://www.courts.ca.gov/documents/incarceratedguide.pdf
Child Support Information for the Parent in Jail or Prison, by the Department
of Child Support Services –
www.childsup.ca.gov/portals/0/resources/docs/pub248_english.pdf
Other resources from the Department of Child Support Services:
o Information for the Noncustodial Parent –
www.childsup.ca.gov/portals/0/resources/docs/pub247_english.pdf
o Changing Your Child Support Amount –
www.childsup.ca.gov/portals/0/resources/docs/pub252_english.pdf
o Child Support Handbook—
http://www.childsup.ca.gov/portals/0/resources/docs/pub160_englis
h.pdf
Court forms for child support are available on the California Courts’ website
at http://www.courts.ca.gov/1199.htm

Whether you are still incarcerated or back in the community, you know how
important your children and your family are for rebuilding your life, your
relationships, and your sense of self.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Find contact information for your county’s LCSA Ombudsperson online at
http://www.childsup.ca.gov/resources/services/ombudspersonprogram.aspx. You can also file a formal complaint
through the Complaint Resolution and State Hearing Program, using forms available at the LCSA office or online at
http://www.childsup.ca.gov/resources/services/complaintresolutionandstatehearingprogram.aspx.
2325

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CONCLUSION

We hope this Chapter has empowered you to reconnect with your children and
family, and to gain greater rights and responsibilities as a parent or caregiver.
Congratulations on all you have accomplished! Feel free to contact Root &
Rebound by phone at 510-279-4662 or by writing to Root & Rebound, 1730
Franklin Street, Suite 300, Oakland, CA 94612, for further assistance or a
referral.

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FAMILY & CHILDREN
APPENDIX
APPENDIX A.

Find Your Local Courts & Family Law Facilitator – PG. 887

APPENDIX B.

Petition for Termination of Guardianship (Probate Court) –
GC-255 Form – PG. 888

APPENDIX C.

Petition for Guardianship (Probate Court) – PG. 889

APPENDIX D.

Petition for Temporary Guardianship (Probate Court) –
PG. 890

APPENDIX E.

388 Petition (Juvenile Dependency Court) – PG. 891

APPENDIX F.

Letters of Guardianship (Juvenile) (Juvenile Dependency
Court) – PG. 892

APPENDIX G.

De Facto Parent Request & Caregiver Information Form
(Juvenile Dependency Court)– PG. 893

APPENDIX H.

Court Forms for Requesting Custody and/or Visitation
(Family Court) – PG. 894

APPENDIX I.

Find Your Local Child Support Agency (LCSA) – PG. 895

APPENDIX J.

Request for Judicial Determination or Adjustment of Arrears
Due to Incarceration (Child Support) – PG. 896

APPENDIX K.

Incarcerated Parent’s Request to Review Child Support
(Child Support) – PG. 899

APPENDIX L.

Request for Order of Child Support Modification (Child
Support) – PG. 902

APPENDIX M.

Motion for Judicial Review of License Denial (Child Support)
– PG. 903

APPENDIX N.

List of LCSA Ombudspersons by County – PG. 904

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APPENDIX A
Find Your Local Courts & Family Law
Facilitator
Use this website to find contact information, location, hours, and other
information for the court(s) in your county: http://www.courts.ca.gov/find-mycourt.htm.
Use this website to find contact information, location, hours, and other
information for the Family Law Facilitator in your county:
http://www.courts.ca.gov/selfhelp-facilitators.htm.

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APPENDIX B
Petition for Termination of Guardianship
(Probate Court) – GC-255 Form
•

Use the GC-255 form (“Petition for Termination of Guardianship”) to ask the
probate court judge to end your child’s guardianship.

Additional court forms are available on the California Courts’ website at
http://www.courts.ca.gov/1214.htm.

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APPENDIX C
Petition for Guardianship (Probate Court)
•

•

•

Petition for Appointment of Guardian of the Person (GC-210(P)):
o Use this form if you only want to get custody of the child and you do not
have a lawyer helping you with your case.
Petition for Appointment of Guardian of Minor (GC-210):
o Use this form if you want to manage the child’s property, as well as (or
instead of) getting custody of the child. You can also use this form if you
have a lawyer helping you with your case.
Forms You Need to Ask the Court to Appoint a Guardian of the Person (GC505):
o This worksheet explains the other court forms you will need to ask for
custody of the child.

These court forms are available on the California Courts’ website at
http://www.courts.ca.gov/1214.htm.
NOTE: If you are the child’s parent, you can also use these forms to ask the
probate court judge to appoint someone else as your child’s guardian.

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APPENDIX D
Petition for Temporary Guardianship
(Probate Court)
•

•

Petition for Appointment of Temporary Guardian of the Person (GC-110(P))—
o Use this form if you only want to get custody of the child and you do not
have a lawyer helping you with your case.
Petition for Appointment of Temporary Guardian (GC-110)—
o Use this form if you want to manage the child’s property, as well as (or
instead of) getting custody of the child. You can also use this form if you
have a lawyer helping you with your case.

These court forms are available on the California Courts’ website at
http://www.courts.ca.gov/1214.htm.

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APPENDIX E
388 Petition (Juvenile Dependency Court)
•

Request to Change Court Order (JV-180)
o Use this form to ask the dependency court judge to change the current
court order and give you custody and/or visitation with your child. You
should ask the lawyer who represented you in dependency court to help
you fill out this form, if possible. (The court Family Law Facilitator may
also be able to help, if necessary.)
o Form JV-180 is available at
http://www.courts.ca.gov/documents/jv180.pdf.

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APPENDIX F
Letters of Guardianship (Juvenile)
(Juvenile Dependency Court)
•

PAGE 892 OF 1210

Letters of Guardianship (Juvenile) (JV-330)
o If you are appointed as the guardian of a child in dependency court, the
judge will give you this form as proof that you are the child’s guardian.
o Form JV-330 is available at
http://www.courts.ca.gov/documents/jv330.pdf.

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APPENDIX G
De Facto Parent Request & Caregiver
Information Form (Juvenile Dependency
Court)

•

•

•

De Facto Parent Request (JV-295)
o Use this form if you would like to become a de facto parent for a child in
a juvenile dependency case.
o Form JV-295 is available at
http://www.courts.ca.gov/documents/jv295.pdf.
De Facto Parent Statement (JV-296)
o Use this form to explain your relationship with the child and why you
should the child’s de facto parent.
o Form JV-296 is available at
http://www.courts.ca.gov/documents/jv296.pdf.
Caregiver Information Form (JV-290)
o Use this form to give the dependency court judge more information
about the child. You can use this form even if you are not the child’s de
facto relative.
o Form JV-290 is available at
http://www.courts.ca.gov/documents/jv290.pdf.
o Instruction Sheet for Caregiver Information Form (JV-290-INFO) – This
explains how to fill out the Caregiver Information Form. The Instruction
Sheet is available at http://www.courts.ca.gov/documents/jv290info.pdf.

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APPENDIX H
Court Forms for Requesting Custody
and/or Visitation (Family Court)
•

•

Request for Order (FL-300)
o Use this form if you would like to get custody or visitation in family court.
You can use this form to ask for a new custody and visitation order,
and/or to change an existing court order.
Information Sheet for Request for Order (FL-300-INFO)
o This explains how to fill out the Request for Order form and what other
court forms you will need.

Additional court forms are available on the California Courts’ website at
http://www.courts.ca.gov/1192.htm.

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APPENDIX I
Find Your Local Child Support Agency
(LCSA)
Use this website to find contact information, location, hours, and other
information for the Local Child Support Agency (LCSA) in your county:
http://www.childsup.ca.gov/home/lcsaoffices/tabid/301/default.aspx.
You can also contact your LCSA by calling the statewide Customer Connect
telephone line at 1-866-901-3212. Follow the telephone menu options to reach
your LCSA.

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APPENDIX J
Request for Judicial Determination or
Adjustment of Arrears Due to
Incarceration (Child Support)
•

•

PAGE 896 OF 1210

Request for Judicial Determination of Support Arrearages or Adjustment of
Arrearages Due to Incarceration or Involuntary Institutionalization (FL-676)
o Use this form to ask the judge how much child support you owe from
when you were incarcerated.
o If your child support order was issued between July 1, 2011, and July 1,
2015, and your child support should have automatically stopped during
this incarceration, you can use this form to ask the judge to change your
child support debt (arrears) from the time while you were incarcerated.
o Form FL-676 is available at
http://www.courts.ca.gov/documents/fl676.pdf.
Information Sheet for Request for Judicial Determination of Support
Arrearages or Adjustment of Arrearages Due to Incarceration or Involuntary
Institutionalization (FL-676-INFO)
o This explains how to fill out the Request for Judicial Determination of
Support Arrearages or Adjustment of Arrearages Due to Incarceration or
Involuntary Institutionalization form.
o This information sheet is available at
http://www.courts.ca.gov/documents/fl676info.pdf.

FL-676-INFO
!
INFORMATION

SHEET FOR REQUEST FOR JUDICIAL DETERMINATION OF
SUPPORT ARREARAGES OR ADJUSTMENT OF ARREARAGES DUE TO
INCARCERATION OR INVOLUNTARY INSTITUTIONALIZATION

Please follow these instructions to complete a Request for Judicial Determination of Support Arrearages or Adjustment of
Arrearages Due to Incarceration or Involuntary Institutionalization (form FL-676) if you do not have an attorney to
represent you. If you have an attorney, he or she should complete form FL-676. If you need free help completing form
FL-676, you can contact the Family Law Facilitator's Office in your county. For more information on finding a family law
facilitator, see the California Courts Online Self-Help Center at www.courts.ca.gov/selfhelp.
Form FL-676 should be used only if you disagree with the support arrearages that the local child support agency says that
you owe or you need an adjustment due to incarceration or institutionalization and you cannot reach an agreement with
the local child support agency. Form FL-676 cannot be used if you want to change your child support order.
When you have completed this form FL-676, file the original and attachments with the court clerk. The court clerk's
address is listed in the telephone directory under “County Government Offices” or online at
www.courts.ca.gov/courts/find.htm. Keep three copies of the filed form and its attachments. Serve one copy on the
local child support agency, one copy on the other parent, and keep the other for your records. (See Information
Sheet for Service of Process (form FL-611).)
INSTRUCTIONS FOR COMPLETING THE REQUEST FOR JUDICIAL DETERMINATION OF SUPPORT ARREARAGES
OR ADJUSTMENT OF ARREARAGES DUE TO INCARCERATION OR INVOLUNTARY INSTITUTIONALIZATION
(FORM FL-676) (TYPE OR PRINT IN BLACK INK):
Front page, first box, top of form, left side: Print your name, address, and telephone number in this box if it is not already
there.
Front page, second box, left side: Print your county’s name and the court’s address in the box. Use the same address for
the court that is on your most recent support order or judgment. If you do not have a copy of your most recent support
order or judgment, you can get one from either the court clerk or the local child support agency.
Front page, third box, left side: Print the names of the Petitioner/Plaintiff, Respondent/Defendant, and Other Parent in
this box. Use the same names listed in your most recent support order or judgment. If no name is listed for the Other
Parent leave that line blank.
Front page, first box, top of form, right side: Leave this box blank for the court’s use.
Front page, second box, right side: Print your case number in this box. This number is also listed on your most recent
support order or judgment.
Front page, fourth box, left side: Check the box to indicate whether you are asking for a judicial determination of support
arrearages or adjustment of arrearages due to incarceration or involuntary institutionalization. Check both boxes if you are
asking for both a determination of arrears and an adjustment of arrears.
1.a.–b. You must contact the court clerk’s office and ask that a hearing date be set for this motion. The court clerk will
give you the information you need to complete this section.
2. This section states that the local child support agency is handling your support case.
3a. This section requires you to attach the statement or other document from the local child support agency
that tells the amount of your support arrearages.
3b. This section requires you to attach your own statement of the amount of your support arrearages. Your
statement must show a monthly breakdown of the amount of support ordered and the amount you paid each month.
You may use Declaration of Payment History (form FL-420) and Payment History Attachment (form FL-421) to
complete your statement of arrearages.
4. Complete all that apply. If you check the box in item 4a, attach or bring to the court hearing proof of the dates of
incarceration or involuntary institutionalization. If you have any evidence or documentation that you had no income or
assets, in addition to your sworn statement on the form, please bring that to court with you.
You must date the request, print your name, and sign the form under penalty of perjury. When you sign the form, you are
stating that the information you have provided is true and correct.
Top of second page, box on left side: Print the names of Petitioner/Plaintiff, Respondent/Defendant, and Other Parent
in this box. Use the same names listed on the front page.
Top of second page, box on right side: Print your case number in this box. Use the same number as the one on the front
page. Instructions for how to complete the Proof of Service section of the Request form are in the Information Sheet for
Service of Process (form FL-611). The person who serves the request and its attachments must fill out this section of the
Page 1 of 1
form. You cannot serve your own request.
Form Approved for Optional Use
Judicial Council of California
FL-676-INFO [New July 1, 2011]

INFORMATION SHEET FOR REQUEST FOR JUDICIAL DETERMINATION OF
SUPPORT ARREARAGES OR ADJUSTMENT OF ARREARAGES DUE
TO INCARCERATION OR INVOLUNTARY INSTITUTIONALIZATION
(Governmental)

www.courts.ca.gov

www.ceb.com

!

FL-676
FOR COURT USE ONLY

ATTORNEY OR PARTY WITHOUT ATTORNEY (Name, State Bar number, and address):

FL-676
PETITIONER/PLAINTIFF:
RESPONDENT/DEFENDANT:
TELEPHONE NO.:
OTHER PARENT:

CASE NUMBER:

FAX NO. (Optional):

E-MAIL ADDRESS (Optional):

ATTORNEY FOR (Name):

Number of pages attached:

SUPERIOR COURT OF CALIFORNIA, COUNTY OF
STREET ADDRESS:
MAILING
ADDRESS:
I declare
under
penalty of perjury under the laws of the State of California that the foregoing and all attachments are true and correct.
Date: CITY AND ZIP CODE:
BRANCH NAME:

PETITIONER/PLAINTIFF:
(TYPE OR PRINT NAME)

(SIGNATURE)

RESPONDENT/DEFENDANT:
An
adult other than you must complete the Proof of Service below.
OTHER PARENT:

PROOF OF SERVICE

1. At the time of service I was at least 18 years of age and not a party to the legal action.
JUDICIAL
DETERMINATION OF SUPPORT
2. MyREQUEST
residence orFOR
business
address is (specify):

CASE NUMBER:

ARREARAGES
ADJUSTMENT OF ARREARAGES DUE TO
INCARCERATION OR INVOLUNTARY INSTITUTIONALIZATION

3. I served a copy of the foregoing Request for Judicial Determination of Support Arrearages or Adjustment of Arrearages Due to
Incarceration or Involuntary Institutionalization (formNOTICE
FL-676) and
attachments as follows (check either a, b, or c for each party
OF all
HEARING
1. A served):
hearing on this application will be held as follows (see instructions on how to get a hearing date):
a.
Personal delivery. I personally delivered a copy and all attachments as follows:
a. Date: (1)
Time:
Dept.:
Div.:
Name of local
child support agencyRoom:
served:
Name of party or
attorney served:
(2)

b. Address of court:
same as noted above
(a) Address where delivered:

other (specify):
(a) Address where delivered:

2. The local child support agency is providing support enforcement services in this case.
(b) Date delivered:
(b) Date delivered:
3.
DETERMINATION
OFdelivered:
SUPPORT ARREARAGES
(c) Time
(c) Time delivered:
child
support
agency
states
that I in
owe
as shown
in the attached
document.
a.b. The local
Mail.
I am
a resident
of or
employed
thesupport
county arrearages
where the mailing
occurred.
I deposited
this request with the U.S. Postal
Service
in
a
sealed
envelope
with
postage
fully
prepaid.
I
used
first-class
mail.
The
envelope
was addressed
and mailed
I
disagree
with
the
local
child
support
agency’s
statement,
and
I
request
the
court
to
make
a
determination
of arrearages.
I
b.
as follows:
am attaching
my statement of the arrearages, which includes a monthly breakdown of amounts ordered and amounts paid.
Name of local child support agency served:
(1)
Name of party or attorney served:
(2)
4.
ADJUSTMENT OF ARREARAGES DUE TO INCARCERATION OR INVOLUNTARY INSTITUTIONALIZATION
a.

b.

5.

I was incarcerated
or involuntarily institutionalized for the following periods
of time for more than 90 days during which I did
(a) Address:
(a) Address:
not have the means to pay support. (Attach any proof of your incarceration or involuntary institutionalization):
(1) Date(s) of incarceration or involuntary institutionalization:
mailed:
(b) Date mailed:
(2) Date(s)(b)of Date
release:
(c) Place of mailing (city and state):
(c) Place of mailing (city and state):
The reason for my incarceration or involuntary institutionalization was not a result of any offense constituting
domestic violence as defined in Family Code section 6211 against the parent receiving support or supported child,
(3)for Ian
served
thisthat
motion/request,
whichby
included
an address
verification
(Declaration
Regarding
Address
or
offense
could be enjoined
a protective
order under
Familydeclaration
Code section
6320, or as
a result of
my
Request
to Modify
a Child Custody, Visitation, or Child Support Order (form FL-334) may
failureVerification—Postjudgment
to comply with a court order
to pay child
support.
be used for this purpose).
Other (specify):

This case may be referred to a court commissioner for hearing. By law, court commissioners do not have the authority to issue final
I declare
under
penalty of
under
the unless
laws ofthey
the State
of California
that the
foregoing
truecommissioner
and correct. in your case will act
orders and
judgments
in perjury
contested
cases
are acting
as temporary
judges.
The is
court
as a temporary judge unless, before the hearing, you or any other party objects to the commissioner’s acting as a temporary judge.
Date:
If you or the other party objects, the court commissioner may still hear your case to make findings and a recommended order to a
judge. If you do not like the recommended order, you must object to it within 10 court days in writing (use Notice of Objection
(Governmental) (form FL-666)); otherwise, the recommended order will become a final order of the court. If you object to the
(TYPE OR PRINT NAME)
(SIGNATURE OF PERSON WHO SERVED REQUEST)
recommended order, a judge will make a temporary order and set a new hearing.
FL-676 [Rev. January 1, 2012]

Form Adopted for Mandatory Use
Judicial Council of California
FL-676 [Rev. January 1, 2012]

Page 2 of 2

REQUEST FOR JUDICIAL DETERMINATION OF SUPPORT ARREARAGES
Page 1 of 2
OR ADJUSTMENT OF ARREARAGES DUE TO INCARCERATION
REQUEST FOR JUDICIAL
DETERMINATION
OF SUPPORT ARREARAGES Family Code, §§ 4007.5, 17526
OR INVOLUNTARY
INSTITUTIONALIZATION
www.courts.ca.gov
(Governmental)
OR ADJUSTMENT OF ARREARAGES
DUE TO INCARCERATION
OR INVOLUNTARY INSTITUTIONALIZATION
(Governmental)

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APPENDIX K
Incarcerated Parent’s Request to Review
Child Support (Child Support)
Incarcerated Parent’s Request to Review Child Support (DCSS 0018 Form):
•
•

Use this form to ask the LCSA to change (stop) your child support payments
while you’re incarcerated.
Form DCSS 0018 is available at: https://csdaca.org/wpcontent/uploads/resources/1/Education/Incarcerated%20Obligor/Incarcerate
d%20Parent%27s%20Request%20to%20Review%20Child%20Support.pdf.

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APPENDIX L
Request for Order of Child Support
Modification (Child Support)

•
•

Request for Order (FL-300)
o Use this form to ask the judge to change your child support order.
Financial Statement (Simplified) (FL-155)
o In most cases, you can use this form to show the judge your income,
expenses, and how much you can afford to pay in child support.

Additional court forms are available on the California Courts’ website at
http://www.courts.ca.gov/1199.htm.

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APPENDIX M
Motion for Judicial Review of License
Denial (Child Support)
•

Notice of Motion for Judicial Review of License Denial (FL-670):
o If your driver license was revoked or suspended due to unpaid child
support, use this form to ask the judge to return your license.
o Form FL-670 is available at
http://www.courts.ca.gov/documents/fl670.pdf.

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APPENDIX N
List of LCSA Ombudspersons by County
Use this chart to find contact information for the LCSA Ombudsperson in your
county. The Ombudsperson can help you resolve problems with your child
support case if you’re not satisfied with the assistance that you’re receiving from
the LCSA. For more information about the LCSA Ombudsperson program, see
http://www.childsup.ca.gov/resources/services/ombudspersonprogram.aspx.

CONTACT INFORMATION FOR LCSA OMBUDSPERSON
IN EVERY COUNTY IN CALIFORNIA
COUNTY

TELEPHONE

ADDRESS

Alameda

(925) 468-9349

5669 Gibraltar Drive, Pleasanton, CA 94588

Alpine

(866) 901-3212

75A Diamond Valley Road, Markleeville, CA 96120

Amador

(866) 901-3212

639 New Ranch Road, Jackson, CA 95242

Butte

(530) 538-6516

78 Table Mountain Blvd., Oroville, CA 95965

Calaveras

(866) 901-3212

509 E. Charles St., San Andreas, CA 95249

Colusa

(866) 901-3212

217 9th Street, Colusa, CA 95932

Contra Costa

(866) 901-3212

50 Douglas Dr., Ste. 100, Martinez, CA 94553

Del Norte

(866) 901-3212

983 3rd Street, Crescent City, CA 95531

El Dorado

(530) 621-5600

3057 Briw Rd, Suite B, Placerville, CA 95667

Fresno

(559) 600-1706

2220 Tulare Street, Suite 310 P, CA 93721

Glenn

(530) 934-6527

120 South Marshall Ave

Humboldt

(866) 901-3212

2420 6th Street, Eureka, CA 95501

Imperial

(866) 901-3212

2795 South 4th Street, El Centro 92243

Inyo

(866) 901-3212

230 West Line Street, Bishop, CA 93514

Kern

(661) 868-6564

1300 18th Street, Bakersfield, CA 93301

Kings

(866) 901-3212

312 W. 7th Street, Hanford, CA 93230

Lake

(866) 901-3212

525 N. Main Street, Lakeport, CA 95453

Lassen

(530) 257-8865

1600 Chestnut, Susanville, CA 96130

Los Angeles

(323) 869-5099

5770 S. Eastern Ave, City of Commerce, CA 90040

Madera

(866) 901-3212

120 North Lake Street, Madera, CA 93638

Marin

(415) 473-6512

88 Rowland Way, Suite 200, Novato, CA 94945

Mariposa

(866) 901-3212

5362 Lemee Lane, Mariposa, CA 95338

Mendocino

(707) 463-4217

107 South State Street, Ukiah, CA 95482

Merced

(866) 901-3212

3368 N. Highway 59, Suite A, Merced, CA 95348

Modoc

(866) 901-3212

1215 South Main Street, Yreka, CA 96097

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Mono

(866) 901-3212

452 Old Mammoth Road, 3rd Floor, Mammoth
Lakes, CA 93546

Monterey

(831) 755-3200

752 La Guardia St., Salinas, CA 93902

Napa

(707) 259-8289

929 Parkway Mall, Suite 247, Napa, CA 94581

Nevada

(866) 901-3212

950 Maidu Avenue, Suite 140, Nevada City, CA
95959

Orange

(714) 347-4818

1055 North Main St. Santa Ana, CA 92701

Placer

(916) 435-5757

1000 Sunset Blvd., Suite 200, Rocklin, CA 95765

Plumas

(866) 901-3212

522 Lawrence St., Quincy, CA 95971

Riverside

(877) 930-2700

2041 Iowa Avenue, Riverside, CA 92507

Sacramento

(916) 875-7320

3701 Power Inn Road, Sacramento, CA 95826

San Benito

(866) 901-3212

420 May Ave., Santa Cruz CA, 95060

San Bernardino

(866) 901-3212

10417 Mountain View Avenue, Loma Linda, CA
92354-2030

San Diego

(619) 236-4422

220 West Broadway, 6th Floor, San Diego, CA
92101

San Francisco

(415) 356-2978

617 Mission Street, San Francisco, CA 94105-3503

San Joaquin

(209) 468-2578

826 North California, Stockton, CA 95202

San Luis Obispo

(866) 901-3212

1200 Monterey Street, San Luis Obispo, CA 93406

San Mateo

(650) 363-1910

555 County Center, Redwood City, CA 94063

Santa Barbara

(805) 568-2367

4 E. Carrillo Street, Santa Barbara CA 93101

Santa Clara

(866) 901-3212

2851 Junction Ave. San Jose, CA 95134

Santa Cruz

(866) 901-3212

420 May Ave, Santa Cruz, CA 95060

Shasta

(866) 901-3212

2600 Park Marina Drive, Redding, CA 96001

Sierra

(866) 901-3212

950 Maidu Avenue, Suite 140, Nevada City, CA
95959

Siskiyou

(866) 901-3212

1860 S. Main St., Yreka CA 96097

Solano

(866) 901-3212

435 Executive Court North, Fairfield, CA 94534

Sonoma

(707) 565-4242

1755 Copperhill Parkway, Santa Rosa, CA 95403

Stanislaus

(209) 558-1454

251 East Hackett Rd, Modesto, 95358

Sutter

(530) 822-5393

543 Garden Highway, Suite A, Yuba City, CA
95991

Tehama

(530) 527-3110

940 Diamond Ave, Red Bluff, CA 96080

Trinity

(530) 623-1306

850-B Main Street, Weaverville, CA 96093

Tulare

(559) 713-5717

8040 Doe Avenue, Visalia, CA 93291

Tuolumne

(866) 901-3212

975 Morning Star Drive, Sonora, CA 95370

Ventura

(866) 901-3212

5171 Verdugo Way, Camarillo, CA 93012

Yolo

(530) 661-2880

100 Court Street, Woodland, CA 95776

Yuba

(866) 901-3212

5730 Packard Ave., Suite 200, Marysville, CA
95901

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EDUCATION

This EDUCATION CHAPTER explains the different options available for
pursuing your education whether you are currently incarcerated,
preparing for your release or are formerly incarcerated. It also explains
the options of student aid and funding in order to pursue your
educational goals.

DISCLAIMER – YOUR RESPONSIBILITY WHEN USING THIS GUIDE: When putting together the
Roadmap to Reentry: A California Legal Guide, we did our best to give you useful and accurate
information because we know that people who are currently or formerly incarcerated often have
difficulty getting legal information, and we cannot provide specific advice to every person who
requests it. The laws change frequently and are subject to differing interpretations. We do not
always have the resources to make changes to this informational material every time the law
changes. If you use information from the Roadmap to Reentry legal guide, it is your responsibility to
make sure that the law has not changed and applies to your particular situation. If you are
incarcerated, most of the materials you need should be available in your institution’s law library. The
Roadmap to Reentry guide is not intending to give legal advice, but rather legal information. No
attorney-client relationship is created by using any information in this guide. You should always
consult your own attorney if you need legal advice specific to your situation.

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TABLE OF CONTENTS
I.! INTRODUCTION .................................................................................................. 911!
Questions to start with .................................................................................... 912!
What are my educational options? ........................................................ 912!
What educational options do I have while I’m on probation or
parole? .......................................................................................................... 914!
What educational options do I have while I’m incarcerated?......... 915!
Practical tips ..................................................................................................... 916!
What important documents will I need to continue my education? ..... 917!
What are “immunization/vaccination records” and why do I need
them? ............................................................................................................ 918!
How to locate your immunization/vaccination records ................... 918!
What should I do if I can't find my immunization/vaccination
records? ....................................................................................................... 919!
II.! SETTING YOUR EDUCATIONAL GOALS ....................................................... 920!
Some questions for you to think about on your personal educational
journey .............................................................................................................. 920!
What are your short-term and long-term educational goals? ....... 920!
What practical considerations do you need to take into account? .... 921!
What type of job do you want? .............................................................. 921!
What skills, training, and job experience do you already have? ... 921!
What are your interests? ......................................................................... 922!
What natural talents do you have? What are you good at? ........... 922!
Does the job or career you are interested in have restrictions
against people with criminal records?................................................. 922!
What are the jobs that have legal restrictions for people with
criminal records? ....................................................................................... 923!
What is a professional/occupational license and what does it
require? ....................................................................................................... 923!
What kinds of jobs require a professional/occupational license? 924!
What type of skills or education could help you get the job you
want? ............................................................................................................ 924!
How your criminal record and incarceration may affect your educational
goals ................................................................................................................. 926!
If I am still incarcerated. what barriers might I face in pursuing my
education? .................................................................................................. 926!
If I am under federal, state, or county supervision, what barriers
might I face? ............................................................................................... 928!
If I have completed my sentence, and I’m off supervision, what
barriers might I still face? ........................................................................ 929!
How to choose the educational path that meets your specific educational
goals ................................................................................................................. 929!
Once everything is considered, how do I start finding the
educational program that is right for me? .......................................... 929!
Can I be denied acceptance to an educational program or
institution because of my criminal history? ........................................ 932!
Do I need to disclose my juvenile record when applying to different
educational programs?............................................................................ 933!

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III.! FIGURING OUT YOUR CURRENT EDUCATIONAL LEVEL .......................... 934!
What is an “educational assessment”? Why do I need one? ......... 934!
How do I get an educational assessment? ......................................... 934!
Where do I go for a placement test? .................................................... 934!
Learning challenges and special needs ...................................................... 936!
What does it mean to have a learning challenge or special need? ..936!
How do I find out if I have a learning challenge? .............................. 937!
IV.! LEARNING THE EDUCATIONAL LANDSCAPE ............................................. 938!
Adult Basic Education (ABE) ......................................................................... 938!
What is ABE? How can it help me? ....................................................... 938!
How much do ABE classes cost? .......................................................... 938!
How do I get into ABE classes? .............................................................939!
High School Credentials ................................................................................ 940!
I’m ready for high school-level work. What are my options? ........ 940!
General Educational Development (GED) Tests .................................. 941!
What are GED tests? How can they help me? .................................... 941!
Am I eligible to take a GED test to earn my California High School
Equivalency Certificate (CAHSEC)? ....................................................... 941!
How long will it take to earn my CAHSEC? ......................................... 941!
How much will it cost to earn my CAHSEC? ......................................942!
How do I prepare for the GED test? .....................................................942!
I’m ready to take a GED test, how do I sign up? ...............................945!
Adult High School Diploma Programs ................................................. 946!
What is an adult high school diploma program? How can it help
me?................................................................................................................946!
How much time will it take to earn my high school diploma? ....... 947!
How much money will it cost to earn my high school diploma
through a program? .................................................................................. 947!
How do I find and enroll in a high school diploma program? ........948!
Higher education overview............................................................................ 949!
What is higher education? ......................................................................949!
Career & Technical Education (CTE) Programs .......................................... 950!
What is Career and Technical Education? ......................................... 950!
How can a CTE program help me? ...................................................... 950!
How much money will it cost to earn a CTE certificate? ..................951!
How do I find CTE programs? ............................................................... 952!
How do I choose a CTE program? ........................................................953!
How do I enroll in a CTE program? .......................................................954!
College & university academic degrees ...................................................... 954!
Is going to college the right choice for me? ...................................... 955!
What are the different kinds of academic degrees? ....................... 955!
Associate Degree Programs.................................................................. 956!
What is an associate degree? ............................................................... 956!
What are some of the advantages of pursuing an Associate
Degree? ...................................................................................................... 956!
What types of Associate Degrees are there? ................................... 956!
How can I decide if an Associate Degree is right for me, and which
type I should get? ...................................................................................... 957!
How much will it cost to earn an Associate Degree? ...................... 957!
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How do I find an Associate Degree program? .................................. 958!
Bachelor’s Degree Programs ................................................................ 959!
What is a bachelor’s degree? How can it help me? ........................ 959!
What types of Bachelor’s degrees are there? ................................... 959!
How much will it cost to earn a Bachelor’s degree? ....................... 959!
How do I find a Bachelor’s degree program? ................................... 960!
Applying to college ......................................................................................... 962!
What will I need to apply for college? ................................................. 962!
How much does it cost to take these tests? ...................................... 963!
How do I sign up for these tests? ......................................................... 963!
How do I prepare for the SAT or the ACT? ........................................ 963!
Earning & transferring college credits—good options if you are
incarcerated ..................................................................................................... 964!
How can I find out if my credits will transfer? .................................... 965!
How do I transfer my credits? ................................................................ 965!
Distance education ................................................................................. 965!
What is Distance Education? ................................................................. 965!
How do the two types of distance education work? ....................... 966!
Are there benefits to distance education? ......................................... 966!
What credentials can I earn through distance education? ............ 967!
How do I find and enroll in a distance education program? ......... 968!
How much do distance education programs cost? ......................... 968!
Correspondence courses ....................................................................... 969!
What credentials can I earn through correspondence courses? . 970!
Are correspondence courses right for me? ....................................... 970!
How do I find and enroll in a correspondence program? .............. 970!
Graduate academic and professional degree programs ........................... 971!
Where can I find information about graduate programs? .............. 972!
V.! PAYING FOR YOUR EDUCATION ................................................................... 973!
How will I pay for my education? .......................................................... 973!
What is financial aid? ............................................................................... 973!
What kinds of financial aid are there? ................................................. 973!
Where does financial aid come from? ................................................. 973!
Federal Student Aid ......................................................................................... 974!
What kinds of federal student aid might be available to me? ....... 974!
Will my criminal history affect my ability to get federal student aid? 975!
Can I get federal student aid while I’m incarcerated?..................... 976!
Am I eligible for federal grants while I’m incarcerated? ................. 976!
Am I eligible for federal student loans while I am incarcerated? . 976!
Am I eligible for Federal Work-Study (FWS) while I am incarcerated? . 977!
Can I get federal student aid while I am on parole or probation? 977!
How do I apply for federal student aid?............................................... 977!
What information will I need to fill out the FAFSA? .......................... 978!
When should I apply for federal financial aid? .................................. 978!
California State Student Aid ..........................................................................978!
What kinds of state-based student aid might be available to me? ... 978!
Cal Grants .................................................................................................979!
Am I eligible for a Cal Grant? ................................................................. 979!
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Board of Governor’s Fee Waiver (BOGFW): Waiving enrollment fees
for california community colleges for low income students ............. 980!
How do I know if I qualify for BOGFW? .............................................. 980!
Will my criminal history disqualify me from state-based student aid?. 980!
How do I apply for state-based student aid? .................................... 980!
School-Based Financial Aid ........................................................................... 980!
What kinds of school-based aid might be available to me?.......... 980!
Will my criminal history disqualify me from school-based financial
aid? .................................................................................................................981!
Scholarships ..................................................................................................... 981!
What kinds of scholarships might be available to me? ....................981!
How do I find and apply for scholarships?...........................................981!
Will my criminal history disqualify me from scholarships? ............. 982!
VI.! CONCLUSION ................................................................................................... 983!
EDUCATION APPENDIX ......................................................................................... 984!

WHAT WILL I LEARN IN THE
EDUCATION CHAPTER?
•
•
•
•
•
•

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The different educational options
How to set up your educational goals
How to assess your current educational level
The different educational levels/programs and what you need
to pursue them
How your incarceration and criminal record might affect your
educational goals
Options to pay for your education

ROADMAP TO REENTRY

I.

INTRODUCTION
WHAT WILL I LEARN?

•
•

A basic overview of your educational options
What you need to get started in pursuing your education

Getting an education is one of the most important steps you can take in re-entry
if it feels right to you. Education can open doors, create opportunities, and lead
to better and more stable employment.
This Chapter is a roadmap to help you start (or continue) planning so that you
can reach your educational goals. It discusses what programs, schools, and
financial aid opportunities are available, and it takes you through the process of
deciding what is right for you. The advice here is intended to be practical both
for people who are currently incarcerated, as well as for people who were
formerly incarcerated and have returned to the community.

DID YOU KNOW?
Studies show that formerly incarcerated people who receive general education
or vocational training are much less likely to return to prison and much more
likely to find employment after their release. In fact, people who participate in
correctional education programs while incarcerated have a 43 percent lower
chance of returning to prison, and a 13 percent higher chance of finding
employment, than people who do not do educational programs while
2326
incarcerated.

NOTE: Throughout this guide, we will often suggest that you “call” the resource
that you need. We understand that it might not be possible for you to make
these phone calls yourself while you are incarcerated, however we offer it as
general information for you, your family, and your advocates to use for your
benefit.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Allie Bidwell, Report: Prison Education Programs Could Save Money, U.S. NEWS & WORLD REPORT (Aug. 22, 2013)
available at http://www.usnews.com/news/articles/2013/08/22/report-prison-education-programs-could-savemoney; see also CTR. FOR CMT’Y. ALT., The Use of Criminal History Records in College Admissions Reconsidered
(2010) (“Post-secondary educational programs have been shown to reduce recidivism by approximately 40 percent.
A research brief . . . reported on a Texas study in which participation in higher education lowered recidivism to 15
percent, 13 percent and under 1 percent for people who earned an associate’s, bachelors, and master’s degree,
respectively. In contrast, the general recidivism rate hovers around 63 percent nationally. A study of recidivism rates
among women showed that only 7.7 percent of those who took college courses in prison returned to prison after
release, compared to 29.9 percent of those who did not participate in the college program. State-level studies in
Texas, California, Alabama, and Maryland have, over the course of many years, shown significant reductions in
recidivism associated with higher education in correctional settings.” (internal quotation marks omitted)).
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QUESTIONS TO START WITH
Thinking through the following questions will help you set your educational
goals and decide which path is best for you.

WHAT ARE MY EDUCATIONAL OPTIONS?
Your decision about which school or program you enroll in will depend on many
factors: your personal and career goals, your finances, your educational
background and current skills, and your ability to overcome any barriers that
may arise because of your criminal history. Your decision may also depend on
day-to-day needs—such as your health, family responsibilities, access to
transportation, and parole or probation conditions.
To start, here is an overview of the educational options this Chapter will cover:
•

•

•

•

•

Adult Basic Education (ABE) classes (PG. 938) improve your basic math,
reading, writing, and life skills; and these classes can help you get ready for
high school-level work.
High school credentials (diploma or GED) (PG. 940) are a minimum
requirement for many jobs, and are a necessary step before you can continue
your education through a Career Technical Education program or a college or
university degree. You can earn a high school credential by completing a
high school diploma program or passing the GED test.
Career Technical Education (CTE) programs (PG. 950) train you for specific
kinds of jobs, and sometimes lead to certificates or professional/occupational
licenses that you need for those jobs. Different programs take different
lengths of time, but they’re often designed so that you can complete them in
1 year.
College Degree: Two-year and four-year colleges and universities award
college degrees (also called academic degrees) for completing a program of
academic study. College degree programs usually do not train you for a
specific type of job, but give you a wide variety of general skills that are
useful for many different professions. The different types of college
(academic) degrees are: associate, and bachelor’s.
o Two-year college (associate degree) programs (PG. 956) allow you to
earn an associate degree, which can be a stepping-stone to entry-level
jobs or to a four-year college program. Note: Part-time students will take
longer than 2 years.
o Four-year college and university programs (PG. 954) allow you to earn a
bachelor’s degree, which can be a stepping-stone to higher-level jobs or
to graduate or professional school. Note: Part-time students will take
longer than 4 years.
Graduate or professional schools allow you to earn advanced degrees after
you’ve earned a bachelor’s degree. Earning a professional degree allows you
to become licensed to work in professions like law or medicine; the kinds of
2327
jobs it can lead to depends on your field of study.
Earning a master’s
degree generally takes 2 years, and a doctorate degree can take 3 years or
more.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See COLL. BD., Quick Guide: Your College Degree Options, www.bigfuture.collegeboard.org/findcolleges/college-101/quick-guide-your-college-degree-options; NAT’L COLL. TRANSITION NETWORK, Educational
Planning, www.collegeforadults.org/career/ed.html.
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HERE ARE SUGGESTED STEPS AS YOU PLAN YOUR EDUCATIONAL PATH:

1. SET YOUR EDUCATIONAL GOALS.
What do you want to achieve in pursuing your education? What subjects interest you? What skills do you want
to improve? What job(s) do you want? What training or skills are required for the job(s)?

⇓!
2. ASSESS YOUR SKILL LEVEL.
Take a placement test and/or work with an educational counselor to see if you should start with Adult Basic
Education (ABE) or if you are ready for High School or Higher Education.

⇓!
3. KNOW POTENTIAL LIMITATIONS & BARRIERS
Do your family obligations, finances, or criminal history present barriers that may limit your educational
options? If so, just being aware will help you decide what the best option will be for you.

⇓
4. CHOOSE AN EDUCATIONAL PATH
Based on your needs, choose a program or school that’s right for you:

Adult Basic Education
Literacy, ESL, and/or
Pre-GED Preparation

!

High School Education
GED Preparation or
High School Diploma Program

!

Higher Education
CTE
Program
(Certificate)

⇔

2-Year College
(Associate’s
Degree)

⇓
4-Year College
(Bachelor’s
Degree)

⇓
Graduate or
Professional
School

!

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WHAT EDUCATIONAL OPTIONS DO I HAVE WHILE I’M ON
PROBATION OR PAROLE?
It depends. Once you are released, you will have access to free resources
available in the community—including the Internet, public libraries, and
community service organizations—that can help you do research, apply to
schools and programs, and get financial assistance (“financial aid”) to help pay
for your education. You may also become eligible (qualify) for more types of
financial aid once you are released, which can allow you to consider schools or
programs that you otherwise might not be able to afford.
However, the educational options available to you will ultimately depend on the
community you live in (urban areas tend to have more opportunities), your life
circumstances (such as family responsibilities), and any probation or parole
conditions that might affect your access to educational programs and services
(such as travel restrictions).
NOTE: Your parole agent or probation officer should be supportive and
encourage you to pursue your educational goals as part of your successful
2328
reintegration.
If you find that s/he is not supportive, or that your
parole/probation conditions make it difficult or impossible for you to get an
education, there are steps you can take!

A Few Great Resources:
Public Libraries
The local public library is an important gateway to other services and resources
in your community. In addition to offering free access to computers and the
Internet, libraries often have adult education classes, community calendars
(support group meetings, free clinics, etc.), and some government forms that you
might need. Librarians are also available to help you find whatever information
you need. To find the public library closest to you:
Check under “library” or “public library” in the city government section of
your local phone book;
Search the Internet for “library” or “public library” along with the name of
your city or county; and/or
You can also search the national database of public libraries provided by the
Institute of Museum & Library Services at:
http://www.imls.gov/research/public_libraries_in_the_united_states_survey.a
spx.

•
•
•

America’s Job Centers of California (formerly called EDD One-Stop)
America’s Job Centers of California (formerly called EDD One-Stop Centers),
offer many resources, all in one place, for people seeking a job or more
education. Most services are free, but there may be a fee for some specialized
education and training programs. Some of the services provided by America’s
Job Centers include:
Skills assessment. Staff can help you identify the skills you have and the skills
you need to be ready for education, training, and/or employment.
Career counseling. Counselors can help you identify jobs and professions
that you might be interested in based on your skills, interests, and
experience. They also can tell you about the job market in your local area.

•
•

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
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See CAL. DEP’T CORR. & REHAB., OPERATIONS MANUAL, 101010.1–101010.5.1 (2015).

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•

•

Training or referrals to training programs. Staff may provide direct training or
refer you to training programs that can help you prepare to continue your
education or enter the workforce.
Referrals to other resources or services. Staff can direct you to organizations
that can help you with other needs, such as transportation, child care, welfare
assistance, unemployment insurance, and veterans’ services.

You can find an America’s Job Center of California in your area by:
• Calling the CareerOneStop helpline at 1-877-348-0502 or the U.S.
Department of Labor’s National Helpline at: 1-877-872-5627; or by
• Searching the CareerOneStop Service Locator website at:
http://www.servicelocator.org, or the America’s Job Center of California
website at: http://americasjobcenter.ca.gov/.
• For more information about using America’s Job Centers of California (EDD
One-Stop Centers) to prepare for or find a job, see the EMPLOYMENT
CHAPTER, beginning on PG. 625, with more details on America’s Job
Centers on PG. 635).
Community Organizations
Community organizations provide many kinds of services. Most are free, but
some may charge a fee. These organizations can help with employment,
education, health care, counseling, housing, substance abuse treatment,
transportation, and childcare. They also can provide referrals to other agencies.
There are different ways you can find community organizations:
• 2-1-1: A community information service that connects you to local agencies,
services, and organizations that can help you with a variety of needs. To
contact 2-1-1:
o Call 2-1-1 from any phone (note: phone service may not be available in
all communities yet);
o Visit the 2-1-1 Information & Referral Search website at
http://www.211.org; or
2329
o Some communities also publish a paper copy of the 2-1-1 guide.
Check your local public library to see if the paper guide is available in
your community.
•

Local Public Library: Often there will be a community message board with
contact information for local organizations, or you can ask the librarian to
recommend local resources (see above).

TIP: Make a list ready of the resources that you want to research before you go
to the library. This will save you a lot of time and help you better organize your
search. This is especially important if you are under time limitations because of
curfews or restrictions imposed by your parole agent or probation officer.

WHAT EDUCATIONAL OPTIONS DO I HAVE WHILE I’M
INCARCERATED?
You have options, but unfortunately your options and the quality of the
programs will depend on where you’re incarcerated. The programs and
resources available to you will be different based on whether you’re

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

For example, in Alameda County, “The Big Blue Book” is a comprehensive guide to Alameda County health and
human services agencies and organizations. Although the book is not free, it is sold to hundreds of non-profits,
government agencies, faith-based organizations, and community organizations. To purchase, visit Big Blue Book,
EDEN I&R INC., http://www.edenir.org/BigBlueBook.html.
2329

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incarcerated in a federal prison, state prison, or county jail. In addition, the
availability of programs and resources will be different across different
2330
facilities.
In general, the following programs will be available to you:
•

•

•

If you’re in a federal prison, you should have free access to assessment
2331
testing, ABE classes (including literacy and ESL), GED programs,
CTE and
2332
job readiness programs,
as well as a College Coordinator who can help
2333
you enroll in and complete correspondence (mail) courses.
If you’re in a California state prison, the California Department of Corrections
and Rehabilitation provides free access to assessment testing, ABE classes
(including literacy and ESL), GED programs, high school diploma programs,
CTE and job readiness programs, occupational licensing, library services, and
2334
tutoring support programs.
If you’re incarcerated in a California county jail, California law gives
individuals counties permission (and resources) to establish education
programs in all adult county correctional facilities and to award diplomas and
2335
certificates for completion of study in these programs.
However, the law
does not require that the counties do so, or control how those programs are
to be structured. Therefore, the availability and quality of educational
2336
programs varies from county to county.
If you are incarcerated in county
jail, you will need to check with your facility to see what educational
programs are available to you.

For details about the different programs that might be available while you are
incarcerated, read the section on Learning the Educational Landscape, starting
on PG. 938. Even if you don’t have access to programs or classes that are right
for you while you’re incarcerated, there are programs you can complete on your
own through correspondence courses or self-study. There are also practical
steps you can take while incarcerated to prepare for your education after
release.

" For information about correspondence and self-study courses, see PG. 969.
" For information on preparing for your post-release education while you are
still incarcerated, see PG. 929.

PRACTICAL TIPS
The process of pursuing your education—not to mention the larger process of
transitioning back into your community—can be rewarding, but also challenging

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Certain programs and resources must be available in correctional facilities according to federal or state law;
others are provided according to institutional policies and regulations. See U.S. DEP’T JUSTICE, PROGRAM STATEMENT
1315.07 INMATE LEGAL ACTIVITIES (Nov. 5, 1999).
2331
18 U.S.C. § 3624(f)(4); 28 C.F.R. pt. 544 subpt. H; U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, PROGRAM STATEMENT
5300.21, EDUCATION, TRAINING, AND LEISURE TIME PROGRAM STANDARDS (Feb. 18, 2002); U.S. DEP’T JUSTICE FED. BUREAU OF
PRISONS, PROGRAM STATEMENT 5350.24 ENGLISH-AS-A-SECOND-LANGUAGE PROGRAM (July 24, 1997); U.S. DEP’T JUSTICE,
LEGAL RESOURCE GUIDE TO THE FEDERAL BUREAU OF PRISONS (2014) at 19-20.
2332
28 C.F.R. pt. 544, subpt. D; pt. 5553; U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, PROGRAM STATEMENT 5300.21,
EDUCATION, TRAINING, AND LEISURE TIME PROGRAM STANDARDS (Feb. 18, 2002); U.S. DEP’T JUSTICE, LEGAL RESOURCE GUIDE
TO THE FEDERAL BUREAU OF PRISONS, 19-20 (2014).
2333
Christopher Zoukis, Education in the Federal Bureau of Prisons, PRISON EDUCATION.COM (May 23, 2013),
www.prisoneducation.com/prison-education-news/education-in-the-federal-bureau-of-prisons.html.
2334
CAL. DEP’T CORR. & REHAB., OPERATIONS MANUAL, 101010.1–101010.5.1 (2015); Office of Correctional Education,
CAL. DEP’T OF CORR. & REHAB., DIV. OF REHABILITATIVE PROGRAMS.
2335
CAL. VEH. CODE § 1900 et seq.
2336
CAL. VEH. CODE §§ 1900-1909.5.
2330

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and stressful at times. You’ll be dealing with a lot of forms, applications, and
procedures and this may feel overwhelming. Here are some tips for staying on
track throughout this process:
•

•

•

Gather and organize all the documents you will need for applying to schools
and programs, financial aid, and employment (see list of documents below
PG. 917). Keep all your important documents together, and use a large
envelope or folder to store them. Keeping these papers clean, safe, and
2337
organized will save you lots of time and frustration.
Getting some of these
documents may require lots of paperwork, a long application process, or lots
of follow-up efforts, so if you are able to gather these documents as soon as
possible, take advantage of this and gather them to save you time. (For
details about these documents—what they are and how to get them—see the
BUILDING BLOCKS OF REENTRY: ID & VOTING CHAPTER, beginning on
PG. 13.)
Take the time to make informed decisions. Before committing to any school
or program, get as much information as possible and consider your options
carefully. Do background research at the library or on the Internet, ask
questions to people who have been through the program or know of its
reputation, beware of scams and bogus credentials, and investigate ways to
save time and money.
Ask for help! Get advice from the people who are there to help you. If you are
currently incarcerated, talk to the education staff, counselors, and program
directors at your facility. Ask friends and family members to do research and
gather information for you. If you’re in the community, visit your local public
library and look for reentry programs, social service organizations, career
centers, and community colleges in your area.

WHAT IMPORTANT DOCUMENTS WILL I NEED TO CONTINUE MY
EDUCATION?
In general, these are the documents you’ll need to have ready as you apply for
schools, programs, and financial aid. You may not need all of these, and/or may
need others that are not on this list. Check the requirements listed on the
school, program, or aid application to be absolutely sure. (NOTE: You can start
the process of getting some of these documents while you are still incarcerated):
•
•
•
•
•
•
•
•
•

High school credential and/or transcripts (see PG. 940)
College credential and/or transcripts (see PG. 954)
Immunization/Vaccination Records (see PG. 918)
Letters of Recommendation (see PG. 964);
List of References (people who can speak positively of you to schools or
2338
programs where you apply)
Social Security Number/Card (see BUILDING BLOCKS OF REENTRY: ID &
VOTING CHAPTER, PG. 32)
Authorized birth certificate (see BUILDING BLOCKS OF REENTRY: ID &
VOTING CHAPTER, PG. 22)
California State ID or Driver License (see BUILDING BLOCKS OF REENTRY: ID
& VOTING CHAPTER, on PG. 39)
Criminal record or RAP sheet (see UNDERSTANDING & CLEANING UP YOUR
CRIMINAL RECORD CHAPTER, PG. 1020)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Anna Crayton & Nicole Lindahl, BACK TO SCHOOL: A GUIDE TO CONTINUING YOUR EDUCATION AFTER PRISON,
PRISONER REENTRY INSTITUTE, JOHN JAY COLLEGE OF CRIMINAL JUSTICE (2010).
2338
See U.S. DEP’T OF EDUC. OFFICE OF VOCATIONAL & ADULT EDUC., TAKE CHARGE OF YOUR FUTURE: GET THE EDUCATION
AND TRAINING YOU NEED (2012).
2337

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•

For males only: Selective Service registration
REENTRY: ID & VOTING CHAPTER, PG. 77)

2339

(see BUILDING BLOCKS OF

WHAT ARE “IMMUNIZATION/VACCINATION RECORDS” AND
WHY DO I NEED THEM?
Your immunization record (also called your vaccination record) is a list of all the
vaccines (medicines) you received as a child and as an adult that prevent
common diseases like polio, chicken pox and tuberculosis. It is required to
register for school, for certain jobs, and/or to travel abroad.

HOW TO LOCATE YOUR IMMUNIZATION/VACCINATION
RECORDS
Unfortunately, there is no national database of immunization/vaccination
records. The only records that exist are the documents you or your parents were
given when you were vaccinated, and the medical records kept by the doctor or
2340
clinic where you were vaccinated.
If you need official copies of your immunization/vaccination records, there are
2341
several places you can look:
•
•

•
•
•
•

Ask a parent or guardian if they kept the records of your childhood
immunizations/vaccinations;
Check with your elementary school, high school and/or college for records of
any immunizations (generally, records are kept only for 1-2 years after
students leave the school system);
Check with your correctional facility’s health care services department to see
if it has kept records of your immunizations/vaccinations;
Check with previous employers (including the military) that may have
required immunizations/vaccinations;
Check with your doctor (immunization/vaccination records are maintained at
doctors’ offices for a limited number of years);
Contact your state’s health department. Some states have registries that
include adult immunizations/vaccinations.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. VEH. CODE § 69400 (“No person subject to the federal Military Selective Service Act (50 U.S.C. App. 451 et
seq.) shall receive any financial aid pursuant to this part if that person has not registered in accordance with that
act.”).
2340
CTRS. FOR DISEASE CONTROL & PREVENTION, Vaccine Information for Adults: Keeping Your Vaccine Records Up to
Date, http://www.cdc.gov/vaccines/adults/vaccination-records.html#record-vacc.
2341
CTRS. FOR DISEASE CONTROL & PREVENTION, Vaccine Information for Adults: Keeping Your Vaccine Records Up to
Date, http://www.cdc.gov/vaccines/adults/vaccination-records.html#record-vacc; see also CAL. DEP’T OF PUBLIC
HEALTH PROGRAMS, Finding Old Immunization Records,
http://www.cdph.ca.gov/programs/immunize/PG.s/FindingOldImmunizationRecords.aspx.
2339

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NOTE: California does have a registry, but it is relatively new (within the last 10
years only), and it is not used by all doctors’ offices. For more information, visit:
•! The California Department of Health at:
http://www.cdph.ca.gov/programs/immunize/PG.s/FindingOldImmunizationR
ecords.aspx; or
• The California Immunization Registry at: http://www.ca-siis.org/.

WHAT SHOULD I DO IF I CAN'T FIND MY
IMMUNIZATION/VACCINATION RECORDS?
If you can’t find your immunization/vaccination records, you may need to get
vaccinated again. While this is not ideal, it is safe to repeat vaccines. Your doctor
may also be able to do blood tests to see if you are already immune to certain
2342
diseases, so you do not have to repeat those vaccinations.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CTRS. FOR DISEASE CONTROL & PREVENTION, Vaccine Information for Adults: Keeping Your Vaccine Records Up to
Date, http://www.cdc.gov/vaccines/adults/vaccination-records.html - record-vacc.
2342

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II.

SETTING YOUR
EDUCATIONAL GOALS
WHAT WILL I LEARN?

How to think about and decide what you want from your
education
How to research jobs and careers to help you choose your
educational path
What resources will help you make important decisions about
your education

•
•
•

Setting your educational goals involves asking yourself some important
questions about your future. What purpose do you want your education to
serve? Is it a way to achieve a specific goal – for example, a way to get a better
job? Is it an opportunity for personal growth? Or both?
Going through some of the questions below may make it easier to make a
decision and help you get a clear idea of the goals you want to reach. Often
there are several answers to a question, so making lists can help you organize
your thoughts and priorities.

SOME QUESTIONS FOR YOU TO THINK ABOUT
ON YOUR PERSONAL EDUCATIONAL
JOURNEY
WHAT ARE YOUR SHORT-TERM AND LONG-TERM EDUCATIONAL
GOALS?
•

•

What are your immediate educational needs?
o Your immediate needs may affect which avenue of education you
choose to take.
o Do you need to improve your basic literacy level? See
PG. 938
o Do you want to get a high school equivalency (GED)
certificate by the time you are released? See PG. 945
o Do you want to go to vocational school to learn a
specific trade or skill, or are you interested in pursuing
an advanced professional degree? See PG. 950
Where would you like to see yourself in the future?
o The length of time you have to pursue your education may also affect
which educational program you may want to enroll in.
o In one year?
o In five years?
o In ten years?

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WHAT PRACTICAL CONSIDERATIONS DO YOU NEED TO TAKE
INTO ACCOUNT?
Outside factors and life circumstances can have a huge impact on your
educational goals. As an adult student, you may have work and family
obligations to juggle. If you’re incarcerated or on parole/probation, you may
have to work around special restrictions in order to pursue your education.
In light of all this, you’ll want to pick an education program that you can balance
with your other responsibilities, and that fits your current situation as well as
your future goals. For example, you may ask yourself:
•
•
•
•

How much time do you have to devote to your education?
Do you have a family to support and take care of?
Will you need to work to support yourself while in school?
Are your options limited because you are still incarcerated or on parole or
probation? See PG. 926

WHAT TYPE OF JOB DO YOU WANT?
The type of Job you may want will also influence the type of educational
program you want to participate in.
•
•
•

Do you want to work in an office or out in the field?
Are you a creative and artistic person, or are you more practical and taskoriented?
Do you prefer to work alone or as part of a team?

WHEN YOU ARE EXPLORING YOUR JOB OR CAREER OPTIONS, CONSIDER
THESE RESOURCES.
• Your correctional facility’s library or your local public library—Look for
career planning guides and vocational handbooks.
• California Career Planning Guide—A career guide published by the
California Career Resource Network (CalCRN). You can request the guide in
writing from: CalCRN—Order Processing, 1430 N. Street, Suite 4503,
Sacramento, CA 95814, or by calling (916) 323-6544. If you have Internet
access, the guide is available to read or download for free online at:
http://www.californiacareers.info/ccPG.aspx.
• America’s Job Centers of California offer “interest inventory” tools that can
help you explore what kinds of jobs might be right for you.
• CareerOneStop website (http://www.careerinfonet.org/)—Under the “Explore
Careers” feature, you can take a self-assessment to learn more about your
interests and jobs that might be a good fit. You also can browse jobs in
different fields and find out what jobs are more available right now.
• California Career Resource Network website
(http://www.californiacareers.info/index.aspx)—Provides links to several
California-focused career-planning resources.

WHAT SKILLS, TRAINING, AND JOB EXPERIENCE DO YOU
ALREADY HAVE?
Your job experience or training may influence any decisions regarding your
education.
•

What jobs have you had in the past?
PAGE 921 OF 1210!

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•
•
•
•

Do you have any special or unique skills?
What activities do you participate in?
What projects have you completed?
Have you worked with anyone who could talk about your job experience in a
positive way?

WHAT ARE YOUR INTERESTS?
Your interests may influence what type of job and/or education you wish to
pursue.
•
•
•
•

Are you a sports fan?
Do you like animals?
Do you have any hobbies like photography or cooking?
Do you play a musical instrument? Are you an avid reader?

WHAT NATURAL TALENTS DO YOU HAVE? WHAT ARE YOU
GOOD AT?
•
•
•
•
•

Are you comfortable speaking in front of groups of people?
Are you good at working with your hands?
Do you find yourself negotiating or debating issues with others?
Do you prefer to be the team leader?
Are you particularly neat or organized?

THINGS TO KNOW ABOUT YOUR
!
RECORD
Once you have a list of potential jobs and! careers that you are interested in, you
will need to start narrowing it down. You should start by considering your
!
lifestyle and identifying any factors or circumstances
that might conflict with a
job you are interested in. For example, criminal convictions, family
responsibilities, and travel or mobility restrictions can affect whether a particular
job or career is a good fit for you.

DOES THE JOB OR CAREER YOU ARE INTERESTED IN HAVE
RESTRICTIONS AGAINST PEOPLE WITH CRIMINAL RECORDS?
Some jobs or career fields are prohibited or have limited opportunities for
people with certain criminal convictions—called legal job restrictions.
Additionally, many jobs in California require you to get a professional/
occupational license in order to work in this job, and many licensing boards have
restrictions about issuing licenses to people with certain convictions (see next
question for more information). So even though this information can be difficult
and frustrating to learn, it will help you to design the best path for yourself—one
that you are passionate about but that is also realistic. Given the laws and
barriers in place regarding certain professions and license, this information may
be useful to consider when making decisions regarding your educational path.
For more information about legal and professional/occupational licensing
restrictions, see the EMPLOYMENT CHAPTER, PG. 690.

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WHAT ARE THE JOBS THAT HAVE LEGAL RESTRICTIONS FOR
PEOPLE WITH CRIMINAL RECORDS?
Although this list is incomplete, below are some examples of jobs that have legal
restrictions for people with certain criminal convictions. In general, these are
jobs where employees have access to private or sensitive information (like
financial records), vulnerable people (like children or the elderly), or highsecurity places (such as airports) where there is a greater risk of harm to the
public.
•
•
•
•
•
•
•
•
•
•

Airport security screeners (or anyone with unsupervised access to secure
2343
airport areas);
2344
Federal law enforcement officers;
2345
Defense contractors;
2346
Prisoner transportation workers;
2347
Port workers;
2348
Bank employees;
2349
Insurance employees;
2350
Jobs that manage employee benefits plan;
2351
Childcare workers in federal facilities or agencies;
Working for a school district in a position that requires certification or in a
supervisory capacity (if you have been convicted of a felony defined as
2352
serious or violent under law);

WHAT IS A PROFESSIONAL/OCCUPATIONAL LICENSE AND
WHAT DOES IT REQUIRE?
In California, people who work in certain jobs are required to get a license from
the state to do so. There are over 200 professions in California that require a
professional/occupational license—ranging from barbers and cosmetologists, to
security guards, to nurses and nursing assistants, to teachers, doctors, and
lawyers. These professional/occupational licenses are issued and regulated by
over 40 different licensing boards under the control of the California Department
2353
of Consumer Affairs (DCA).
Applying for a professional/occupational license generally requires submitting
your fingerprints, paying various application fees, and proving that you meet
certain educational and/or work experience requirements, which are set by the
2354
particular licensing board that you’re applying to.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2343
2344
2345
2346
2347
2348
2349
2350
2351
2352
2353
2354

49 U.S.C § 44935(e)(2)(B).
5 U.S.C. § 7371(b).
10 U.S.C. § 2408(a).
42 U.S.C. § 13726b(b)(1).
46 U.S.C. § 70105(c).
12 U.S.C. § 1829.
18 U.S.C. § 1033(e).
29 U.S.C. § 1111(a).
42 U.S.C. § 13041(a).
CAL. VEH. CODE § 44830.1(a).
Professional/occupational licensure is governed by CAL. BUS. & PROF. CODE §§ 475-99.
See, e.g., CAL. BUS. & PROF. CODE § 478.

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WHAT KINDS OF JOBS REQUIRE A
PROFESSIONAL/OCCUPATIONAL LICENSE?
There are over 200 jobs in California that require a professional/occupational
license. Here is a list of a few of the most common jobs that require a license:
• Barber
• Nurse or Certified Nursing Assistant (CNA)
• Cosmetologist
• Home health aid (HHA) or Personal care aid
(PCA)
• Security guard
• Dentist, Dental assistant, or Registered
• Child care worker or Family child care provider
dental hygienist
• Teacher
• Physical therapist or Physical therapist
• Contractor
assistant
• Real estate agent
• Emergency Medical Technician (EMT) or
• Pharmacist or Pharmacy technician
Paramedic
To find out whether the specific job you want requires a
professional/occupational license, contact the Department of Consumer Affairs
at (800) 952-5210. You can also ask the DCA for information to contact the
specific licensing board that oversees that type of work.
To learn more about specific licensing requirements for the job you want, you
will need to contact the specific licensing board that oversees that type of work.
•
•

For a list of licensing boards and their contact information, go to
http://www.dca.ca.gov/publications/dca_booklet.pdf.
For links to each of the licensing boards, go to
http://www.dca.ca.gov/about_dca/entities.shtml.

To learn more about legal restrictions and professional/occupational licensing
restrictions for people with criminal records, and ways you may be able to get a
license, see the EMPLOYMENT CHAPTER, PG. 688.

WHAT TYPE OF SKILLS OR EDUCATION COULD HELP YOU GET
THE JOB YOU WANT?
Next, you should research the specific requirements of the jobs on your list. Find
out what training, experience, or other credentials you’ll need. (These
requirements can change over time, so make sure you get current information.)
Here are some resources to help your research:
•

•

Job and career guides such as the Occupational Outlook Handbook and the
Career Guide to Industries published by the U.S. Bureau of Labor Statistics
(USBLS) have information about the nature of the work, working conditions,
training and education requirements, earnings, and job prospects for
hundreds of different jobs. These guides are available on the USBLS website
at: www.bls.gov/ooh, and these guides and others may also be available from
your facility’s library or your local public library.
CareerOneStop (www.careeronestop.org) is a website with many tools to
help you research the jobs you’re interested in, such as:
o “Explore Careers”—has descriptions of different careers, including
what skills and training you need, what level of education most

PAGE 924 OF 1210!

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o
o
o

•

•

•

•

•
•

•

workers typically have, and the types of tasks and equipment for each
2355
job; and will let you to compare different occupations.
2356
“License Finder”
—allows you to look up state licensing
requirements for any specific job, as well as the name and contact
information of any state licensing board for that job.
2357
“Certification Finder” —tells you if a job requires certification, as well
as the steps to get certified and the names and websites of certifying
organizations.
2358
“Job Search Help for Ex-Offenders”
—is a special section of the
CareerOneStop website with information, advice, and tools tailored for
people in reentry.

America’s Service Locator (www.servicelocator.org) helps you find
employment and training centers near you where you can get free and lowcost employment services. You can also use the locator by calling 1-877-3480502.
America’s Job Center of California (AJCC) (http://americasjobcenter.ca.gov/)
California’s one-stop access point to employment-related services, including
skills assessment. The website offers a finder to locate the AJCC office
nearest you and also has links to most of the websites and services listed
above.
National College Transition Network (www.collegeforadults.org) has an
“Occupational Exploration” page with resources for adults pursuing new
career paths and tips for people in reentry.
Local job postings can help you see exactly what qualifications employers
look for when hiring. Try checking the job board at your local public library or
employment center. You can also search online job postings on websites
such as Craigslist (http://www.craigslist.org/about/sites), Monster
(www.monster.com), and indeed (www.indeed.com).
Industry magazines can be a good source of information on current events,
trends, and new developments in your field of interest.
People who have the job you want, as well as employers in the field, can
answer questions about what training or credentials are required to be
successful in the field.
2359
State licensing boards and professional associations
can give you a list of
requirements for the particular job or career that they oversee. Their contact
information is available on the CareerOneStop website (see PG. 924 above)
as well as from the California Department of Consumer Affairs (see PG. 924
2360
above).
.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Explore Careers: Career Profiles, U.S. DEP’T OF LABOR CAREERONESTOP,
http://www.careeronestop.org/explorecareers/learn/career-profiles.aspx.
2356
Explore Careers: License Finder, U.S. DEP’T OF LABOR CAREERONESTOP,
http://www.careeronestop.org/explorecareers/find-licenses.aspx.
2357
Explore Careers: Certification Finder, U.S. DEP’T OF LABOR CAREERONESTOP, www.careeronestop.org/Education
Training/Find/certification-finder.aspx.
2358
Job Search Help for Ex-Offenders, U.S. DEP’T OF LABOR CAREERONESTOP,
www.careeronestop.org/ExOffender/index.aspx.
2359
FED. BUREAU OF LABOR STATISTICS, CERTIFICATES: A FAST TRACK TO CAREER, OCCUPATIONAL OUTLOOK QUARTERLY, 16,
(Winter 2012-2013).
2360
DCA Boards and Bureaus, CAL. DEP’T OF CONSUMER AFFAIRS, http://www.dca.ca.gov/about_dca/entities.shtml.
2355

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TIP: RESEARCH THE JOB MARKET
Know what the job market is like in your desired field, in the region
where you live, and for workers with different skill levels and education
levels.
QUESTIONS TO ASK:
•
•
•

How hard is it to get a job in the field with or without an educational degree?
What do employers look for when hiring?
2361
Are there many job openings in the field, or is it very difficult to get hired?
Is the field growing and expanding?

RESOURCES TO USE:

Talk to people in your field of interest, and browse job-search and career
guides such as the Occupational Outlook Handbook.2362
Look online: The California Employment & Development Department
(EDD) offers an interactive online job guide, which provides information
on hundreds of jobs, available at
http://www.labormarketinfo.edd.ca.gov/OccGuides/.
You can also use the tools on the CareerOneStop website (see PG. 924
above), and contact professional associations in your fields of interest.2363

HOW YOUR CRIMINAL RECORD AND
INCARCERATION MAY AFFECT YOUR
EDUCATIONAL GOALS
IF I AM STILL INCARCERATED. WHAT BARRIERS MIGHT I FACE IN
PURSUING MY EDUCATION?
Thankfully, the Federal Bureau of Prisons, the California Department of
Corrections and Rehabilitation, and the California Department of Education have
all recognized that providing educational opportunities to people who are
2364
incarcerated is critical to rehabilitation and reducing recidivism.
However, the
systems are far from perfect, and it is important for you to be aware of the
obstacles you may face when you are pursuing an education while incarcerated.
Be patient though! There is almost always a way to make it work if you are
dedicated to reaching your educational goals.
Here are some of the common issues that you might face when pursuing your
education while you are still incarcerated, followed by suggestions that can help
you achieve your goals in spite of the challenges:

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See FED. BUREAU OF LABOR STATISTICS, CERTIFICATES: A FAST TRACK TO CAREER, OCCUPATIONAL OUTLOOK QUARTERLY
(WINTER 2012-13), at 16-17.
2362
The U.S. Bureau of Labor Statistics releases the Occupational Outlook Handbook and the Career Guide to
Industries every two years. These resources offer information about the nature of work, working conditions, training
and education, earnings, and job outlook for hundreds of different occupations.
2363
FED. BUREAU OF LABOR STATISTICS, CERTIFICATES: A FAST TRACK TO CAREER, OCCUPATIONAL OUTLOOK QUARTERLY (WINTER
2012-13), at. 16-17.
2364
CAL. DEP’T OF CORR. & REHAB. Div. of Rehabilitative Programs, http://www.cdcr.ca.gov/rehabilitation/oce.html; CAL.
DEP’T CORR. & REHAB., OPERATIONS MANUAL, 101010.1–101010.4. (2015); CAL. VEH. CODE § 1900 et seq.
2361

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The programs I need are just not available.
The quality and availability of programs for different educational needs varies
greatly from facility to facility. Additionally, even if your facility offers the
program you want, there are often long waitlists to get enrolled.
Suggestion: Try supplementing your coursework with a correspondence course
or related self-study. If you are waiting to get into a class, find out what the
students are learning about—maybe you can get a head start!

The prison mail system is getting in the way.
If you decide to pursue your education through a correspondence course, or if
you want to create your own self-study program, you may find that the prison
mail system is frustrating your efforts. Materials and assignments may be slow in
getting to you, and some items may not get to you at all because they are not
allowed by your facility. All of this could mean significant delays in your studies
or prevent you from completing them at all.
Suggestion: Be patient. There is no time limit on most correspondence
courses—you can take as long as you need to complete the coursework. The
goal is to learn the materials and pass the class, no matter how long it takes.
Slow progress is still progress! If you find that your facility is overly-restrictive in
what materials it will allow in, try writing to the correspondence course
administrator to explain your situation. See if he or she can put the materials into
a format that your facility will be less likely to object to. (For a list of schools with
a history of successfully offering correspondence courses to incarcerated
people, see Appendix D, PG. 995.)

I can’t afford the cost of programs and/or materials.
For any program or course that is not offered by the facility directly, you will be
responsible for the cost of any necessary books, materials, or course fees. If you
cannot afford these expenses, you may be prevented from participating in the
program or taking the course.
Suggestion: Try to find someone else at your facility who is taking or has taken
the course. See if that person is willing to share materials with you or donate
them to you when he or she is done. Look into financial aid options to help with
your costs. Some forms of financial aid are available while you are incarcerated,
and there are even special scholarships to help incarcerated people afford
textbooks and materials. (See Paying for Your Education, PG. 974 for more
information about these programs.)

I have limited access to technologies.
Distance Education courses commonly require that you have access to certain
technologies (audio/video equipment, computers, the Internet) in order to
participate in the program (except for traditional mail-only correspondence
courses). If you don’t have a way to use the media that contains the course
content, you won’t be able to take the course.
Suggestion: Shop around for a course that doesn’t require the use of equipment
that you don’t have. Try signing up for a program or activity in your facility that
will give you access to the technology you need and will allow you to use it in
your spare time (make sure you are authorized to do so!).

I am not eligible for financial aid.
Certain types of financial aid are not available to you while you are incarcerated,
and other types are not available if you have certain types of convictions.
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Suggestion: Apply for the types of financial aid that are available to you while
you are incarcerated. Plus, while you are incarcerated, you can apply for
financial aid that you will become eligible for once you are released, so the
money will be ready for you when you get out. (For more information about
financial aid, see Paying for your Education, PG. 974.)

IF I AM UNDER FEDERAL, STATE, OR COUNTY SUPERVISION,
WHAT BARRIERS MIGHT I FACE?
While you are under supervision, your parole or probation officer should fully
2365
support your efforts to pursue your education.
However, sometimes even the
normal conditions of supervision can get in the way, and make it difficult for you
to reach your educational goals. Fortunately, there are ways to work around
your restrictions and steps you can take to stay on track even while they are in
place.

!

IMPORTANT: If you find that your parole or probation officer is not
supportive of your efforts to get an education, or that the conditions of
your supervision are so restrictive that they make it impossible for you to
pursue your education, this might be a violation of your rights. You
should contact an attorney who can advise you and look into getting
your restrictive conditions lifted. (For more information, see the PAROLE
& PROBATION CHAPTER, beginning on PG. 130.)
Here are some of the common barriers that you might face when trying to
pursue your education while you are under supervision, followed by suggestions
that can help you achieve your goals in spite of the challenges:

I can’t get to school because I have travel limitations.
While you are on supervision you may have restrictions on how far you can
travel, or you may not have reliable transportation, or you may have to rely on
public transportation. All of these factors may limit where you can go to school.
Suggestion: Look into local schools and programs that are easily accessible for
you and do not involve a long commute. You can also explore Distance
Education and correspondence course options. You may even be able to use the
computers at your local public library to take these courses. (For information on
Distance Education see PG. 965 or for correspondence courses, see PG. 969.
For information on resources at your local public library, see PG. 914.)

I can’t go to the school I want because I can’t move out of the area.
Similar to travel restrictions, while you are under supervision, you probably will
not be allowed to move outside of the county or the state. If the school you want
to go to is in another county or state, you may not be able to attend it.
Suggestion: Again, local schools and programs are your best bet. If you are
located in a rural area where your options are severely limited, get started
earning credits through Distance Education and correspondence courses. Once
you’ve completed your term of supervision, you can transfer to the school you
want to attend and bring your earned credits with you. (For information on
Distance Education see PG. 965 or for correspondence courses, see PG. 969.
For information on transferring credits, see PG. 964.)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2365

CAL. DEP’T CORR. & REHAB., OPERATIONS MANUAL, 101010.1–101010.4 (2015).

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I can’t fit school into my schedule because of restrictions on my time
(“passes,” curfews, work requirements).
While you are under supervision, you may be restricted in the amount of time
you can spend attending classes, or by the hours of the day that you are allowed
to be away from home to attend. You may have a curfew imposed on you or you
may be required to get a “pass” that is only good for a short period of time in
order to leave your residence. You may also be required to work a certain
number of hours a day which leaves little time for school.
Solution: If you only have a limited amount of time to attend school each day,
consider starting part time instead of full time. Take a class or two, and then
build your schedule up when you are able. Also, Distance Education programs
and correspondence courses are more flexible and can generally be worked
around any schedule.

I am required to register as a sex offender.
If you are required to register as a sex offender, you should still be able to attend
the school or program of your choice, but you will need to comply with sexoffender residency restrictions. This means that you cannot live in on-campus
2366
housing, and you must live at least 2000 yards from the school campus.

IF I HAVE COMPLETED MY SENTENCE, AND I’M OFF
SUPERVISION, WHAT BARRIERS MIGHT I STILL FACE?
Once you have completed your sentence, including any term of supervision,
most of the barriers that we have discussed so far will no longer exist for you.
Unfortunately, your criminal record may still inhibit or interfere with your
educational plans. See PG. 932

HOW TO CHOOSE THE EDUCATIONAL PATH
THAT MEETS YOUR SPECIFIC EDUCATIONAL
GOALS
ONCE EVERYTHING IS CONSIDERED, HOW DO I START FINDING
THE EDUCATIONAL PROGRAM THAT IS RIGHT FOR ME?
Whatever education level you are currently at and whatever your future
education plans are, the general steps you should follow when deciding on a
program are the same. Use these steps to help guide you through your decisionmaking process. Along the way, you can talk to people around you who can
help. Your Correctional Counselor, the staff in the Education Department, a
school or career center counselor, and family and friends can provide advice and
support throughout this process.
STEP 1:

FIND PROGRAMS THAT FIT YOUR NEEDS

Obviously, you want to find a program that meets the interests that you
identified in the very beginning of this chapter (see “Setting Your Educational
Goals,” PG. 920), but in order to find a program that truly fits your needs, must

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Cal. Pen. Code § 3003.5; But see In re Taylor, 343 P.3d 867 (2015); see also Matthias Gafni, California Sex
Offenders Targeting Adults Could be Allowed to Live Near Schools, Parks, SAN JOSE MERCURY NEWS (Mar. 27, 2015),
http://www.mercurynews.com/my-town/ci_27794212/half-states-sex-offenders-will-be-allowed-live.
2366

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consider the practical factors that will impact your educational experience. You
should think through the following questions to help you guide your decision:
•
•
•
•
•

Do you want to study full or part-time?
Is it more important for you to finish the program quickly or do you need
to split your class time with other responsibilities?
Would you prefer to go to a large school or a smaller school?
Do you need to be in a classroom at all, or is distance learning a better
option for you?
Do you want to go to a public (state-funded) or private (privately owned)
school?

STEP 2: RESEARCH SCHOOL/PROGRAM QUALITY
2367

Evaluate the quality of each school or program by following these steps:
•

Check for “accreditation” and other approval.
Find out if the school or program is accredited. Accredited schools
have been reviewed by an accrediting organization recognized by
the U.S. DEP’T OF EDUC. (USDE) and meet established USDE
2368
requirements.
o If working in the field requires a license and certification, find out if
the school or program is approved by the proper state licensing
agency and the professional organization that grants
2369
certifications.
o Search for a school in the Database of Accredited Postsecondary
Institutions & Programs (www.ope.ed.gov/accreditation). If a school is
accredited, it will show up in the database
Find data on how well the school’s graduates are doing. Find out if the
school has a Gainful Employment Disclosure, which should provide
information about overall costs for students, average debt, graduation and
2370
job placement rates, and which occupations students are prepared for..
Talk to people in the school or program. Ask current students, alumni
(former students), and teachers how well the school or program prepares
2371
students for their field, and whether it helps students find jobs.
Ask employers what they think of the program. Find employers in the field
that you would want to work for and ask them to rate the program.
o

•

•

•

WARNING: BE CAREFUL OF SCHOOLS OR PROGRAMS THAT ARE SCAMS:
o

Beware of for-profit schools that are out to take your money -- not to
give you a quality education. These schools spend lots of money on
recruiting, and little on teaching or career services for students. They

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

FED. BUREAU OF LABOR STATISTICS, CERTIFICATES: A FAST TRACK TO CAREER, OCCUPATIONAL OUTLOOK QUARTERLY, 15
(WINTER 2012-2013).
2368
34 C.F.R. § 600.2. U.S. DEP’T OF EDUC. OFFICE OF VOCATIONAL AND ADULT EDUC., TAKE CHARGE OF YOUR FUTURE: GET
THE EDUCATION AND TRAINING YOU NEED ( 2012).; see also ANNA CRAYTON & NICOLE LINDAHL, BACK TO SCHOOL: A GUIDE
TO CONTINUING YOUR EDUCATION AFTER PRISON , PRISONER REENTRY INSTITUTE, JOHN JAY COLLEGE OF CRIMINAL JUSTICE
(2010). There are many accrediting agencies out there, but only some are nationally recognized as legitimate. See
FED. BUREAU OF LABOR STATISTICS, CERTIFICATES: A FAST TRACK TO CAREER, OCCUPATIONAL OUTLOOK QUARTERLY P. 15
(WINTER 2012-2013). Current lists of nationally recognized accrediting agencies are posted online by the U.S. DEP’T
OF EDUC. and Council for Higher Education Accreditation. See Regional & National Institutional Accrediting
Agencies, U.S. DEP’T. OF EDUC., www2.ed.gov/admins/finaid/accred/accreditation_PG6.html; Recognized Accrediting
Organizations, Council for Higher Educ. Accreditation (as of Jan. 2015),
www.chea.org/pdf/CHEA_USDE_AllAccred.pdf; For more details on accreditation, see Diploma Mills &
Accreditation—Accreditation, U.S. DEP’T OF EDUC.,
www2.ed.gov/students/prep/college/diplomamills/accreditation.html.
2369
See FED. BUREAU OF LABOR STATISTICS, CERTIFICATES: A FAST TRACK TO CAREER, OCCUPATIONAL OUTLOOK QUARTERLY,
Winter 2002-03.
2370
Schools are legally required to provide this document if they receive federal funding. See FED. BUREAU OF LABOR
STATISTICS, CERTIFICATES: A FAST TRACK TO CAREER, OCCUPATIONAL OUTLOOK QUARTERLY, Winter 2012-13 at 15-16.
2371
FED. BUREAU OF LABOR STATISTICS, CERTIFICATES: A FAST TRACK TO CAREER, OCCUPATIONAL OUTLOOK QUARTERLY, Winter
2012-13 at 15-16 .
2367

PAGE 930 OF 1210!

LARGER
SCHOOLS V.
SMALLER
SCHOOLS
Larger schools tend
to have more
diverse student
populations, and a
greater variety of
extra-curricular
activities and clubs.
However, you may
feel distracted and
overwhelmed in
this environment,
and class size is
larger which means
less individual
attention from the
teacher.

ROADMAP TO REENTRY

o

o

also tend to charge higher tuition than public community colleges and
are likely to leave you with high debt, poor training, and slim chances
of finding a job. Following the research steps above will help you avoid
2372
these schools.
Similarly, beware of “schools” or “programs” that aren’t real schools or
programs, but instead are diploma mills — companies selling diplomas.
These companies promise to give you a certificate, diploma, or degree
for very little work in a very short time. The credentials they offer have
2373
little or no value in the job market.
Here are some warning signs that a “school” or “program” may be a
scam or a diploma mill:
# It is not accredited, or it is accredited by an agency that is not
nationally recognized;
# It requires little or no academic work, and involves minimal
interaction with teachers;
# It allows you to earn a certificate in an unusually short period
of time;
# It requires that you pay a flat fee for the credential;
# Its mailing address is a post office box or suite number;
2374
# Its website ends in “.com” instead of “.edu”.

WHY ACCREDITATION IS IMPORTANT:
•
•
•

Employers generally respect credentials from an accredited institution with a
good reputation, and view job-seekers with such credentials more favorably.
Credits from a non-accredited school, generally cannot be transferred to an
accredited school.
You must attend an accredited school to be eligible for government financial
aid.

To learn more about accreditation and find out if the school or program you are
interested in is accredited, check the following resources:
• U.S. DEP’T OF EDUC., Database of Accredited Postsecondary Institutions and
Programs online at: http://ope.ed.gov/accreditation/ or by phone at: 1-888247-8269.
• Council on Higher Education Accreditation online at: http://www.chea.org.
• Accrediting Commission for Schools, Western Association of Schools and
Colleges (K-12 and non-degree granting postsecondary schools and
programs) online at: http://www.acswasc.org/.
• Accrediting Commission for Community and Junior Colleges, Western
Association of Schools and Colleges (associate degree-granting institutions)
online at: http://www.accjc.org/.
• Western Association of Schools and Colleges, Senior College and University
Commission (four-year colleges and universities) online at:
http://www.wascsenior.org/.
• Distance Education Accrediting Commission (formerly Distance Education
Training Council) at: http://www.deac.org/.

!
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

FED. BUREAU OF LABOR STATISTICS, CERTIFICATES: A FAST TRACK TO CAREER, OCCUPATIONAL OUTLOOK QUARTERLY, Winter
2012-13 at 14; see also Tips for Students to Consider Before Enrolling at a Private Postsecondary School, CAL. DEPT.
OF CONSUMER AFFAIRS BUREAU FOR PRIVATE POSTSECONDARY EDUC., www.bppe.ca.gov/students/tips.shtml.
2373
FED. BUREAU OF LABOR STATISTICS, CERTIFICATES: A FAST TRACK TO CAREER, OCCUPATIONAL OUTLOOK, Winter 2012-13 at
14; see also Council for Degree Mills: An Old Problem and a New Threat, HIGHER EDUC. ACCREDITATION,
www.chea.org/degreemills/frmPaper.htm; TAMI ABDOLLAH, California Lawmakers Target Diploma Mills, on SO. CAL.
PUB. RADIO (May 10, 2012), www.scpr.org/blogs/education/2012/05/10/6063/california-lawmakers-target-diplomamills.
2374
FED. BUREAU OF LABOR STATISTICS, CERTIFICATES: A FAST TRACK TO CAREER, OCCUPATIONAL OUTLOOK QUARTERLY, Winter
2012-13; see also TAMI ABDOLLAH, California Lawmakers Target Diploma Mills, on SO. CAL. PUB. RADIO (May 10, 2012),
www.scpr.org/blogs/education/2012/05/10/6063/california-lawmakers-target-diploma-mills.
2372

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NOTE: All adult schools in CDCR facilities are fully accredited by the Western
!
Association
of Schools and Colleges (WASC), and many CTE programs offer
2375
industry-standard certification.
STEP 3: APPLY!

CAN I BE DENIED ACCEPTANCE TO AN EDUCATIONAL
PROGRAM OR INSTITUTION BECAUSE OF MY CRIMINAL
HISTORY?
Sadly, yes. Over the last decade, more and more colleges and universities
across the country have begun to look into applicants’ criminal histories as part
2376
of the admissions process.
In a recent study, two-thirds of the responding
institutions reported collecting criminal history information on prospective
2377
students.
Most commonly, institutions ask applicants to self-report their
criminal history (answer “yes” and then explain). Some schools do conduct full
criminal background checks on prospective students and then use the
information to deny admission to people with criminal records, or give them
conditional admission with added requirements and restrictions—kind of like
2378
“admission on probation.”
Unfortunately, there is nothing illegal about what they’re doing, and no real legal
way to stop them from doing it. The best defense, however, is a good offense—
in other words, be proactive! Take steps to clean up your criminal record,
participate in rehabilitation programs, and be prepared with answers to
questions about your criminal history. (See the UNDERSTANDING & CLEANING
UP YOUR CRIMINAL RECORD CHAPTER, beginning on PG. 1020 for information
and details on how to “clean up” your record.)
The Good News…
Many colleges and universities will let you appeal a denial based on your
criminal record, and will work with you to help you get in. Reach out to the
Admissions Office staff and to school advisors to show them that you are serious
and dedicated to your future. Take advantage of any opportunity to show that
your criminal history is just that—history. You can use your personal essay (part
of your application), in–person interview, letters of recommendation, and any
other supporting documents to show the admissions committee that you are
2379
more than just your record.
Here are some other facts to keep in mind that work in your favor:
•
•

There are no educational opportunities that you are legally banned from
because of your criminal record—no matter what is in it;
California public community colleges, state colleges, and state universities do
2380
not ask prospective students about their criminal history (as a policy);

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Office of Correctional Education, CAL. DEP’T OF CORR. & REHAB., http://www.cdcr.ca.gov/rehabilitation/oce.html.
CTR FOR CMTY. ALTS., CRIMINAL HISTORY SCREENING IN COLLEGE ADMISSIONS: A GUIDE FOR ATTORNEYS REPRESENTING
COLLEGE APPLICANTS AND STUDENTS DURING AND AFTER CRIMINAL PROCEEDINGS (2013).
2377
Almost 500 colleges and universities use the Common Application which has a self-reporting question about
criminal history. Many others that do not use the Common Application have similar questions on their own
applications. CTR FOR CMTY. ALTS., The Use of Criminal History Records in College Admissions Reconsidered (2010).
See also Benay Rubenstein, Overcoming Hurdles to Higher Education for Students With a Criminal Record, OPEN
SOCIETY FOUNDATIONS (Sep. 12, 2011), http://www.opensocietyfoundations.org/voices/overcoming-hurdles-highereducation-students-criminal-record.
2378
CTR FOR CMTY. ALTS. THE USE OF CRIMINAL HISTORY RECORDS IN COLLEGE ADMISSIONS RECONSIDERED (2010),
http://www.communityalternatives.org/pdf/Reconsidered-criminal-hist-recs-in-college-admissions.pdf.
2379
CTR FOR CMTY. ALTS. THE USE OF CRIMINAL HISTORY RECORDS IN COLLEGE ADMISSIONS RECONSIDERED (2010),
http://www.communityalternatives.org/pdf/Reconsidered-criminal-hist-recs-in-college-admissions.pdf.
2380
CTR FOR CMTY. ALTS. & NAT’L H.I.R.E. NETWORK, CLOSING THE DOORS TO HIGHER EDUCATION: ANOTHER COLLATERAL
CONSEQUENCE OF A CRIMINAL CONVICTION (2008), www.communityalternatives.org/pdf/HigherEd.pdf; see also EAST
2375
2376

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•

•

•

•

Educational institutions are not authorized under California law to request
2381
background checks on people,
(however, there is nothing to stop them
from asking self-reporting questions on applications).
Distance Education programs are not likely to ask about your criminal history
because they do not have to worry about campus safety (Although there is
no evidence that a student with a criminal history poses an increased safety
2382
risk,
this is the main reason schools care about your criminal history).
Many schools will look at your criminal history only to flag you if you are
applying to a program in a career field that you’re not allowed to work in
2383
anyway because of your criminal history (common in medical schools).
(For more information on licensing and employment restrictions, see
EMPLOYMENT CHAPTER, PG. 690.)
Some colleges collect criminal history information, but never actually use
2384
it.

DO I NEED TO DISCLOSE MY JUVENILE RECORD WHEN
APPLYING TO DIFFERENT EDUCATIONAL PROGRAMS?
Maybe. Technically, a juvenile “adjudication” is not a criminal conviction. If your
case was heard in a juvenile court, and you received a juvenile adjudication,
then you were not “convicted” of a crime. So, if the application asks if you were
“convicted of a crime” or if you have any “criminal convictions,” and you only
have a juvenile adjudication, you can truthfully answer “no.” You do not have to
2385
disclose your juvenile adjudication.
However, some applications ask if you
2386
have ever been “arrested” or “adjudicated guilty,”
in which case, your
juvenile arrest and adjudication count, and need to be reported. Remember, if
you were tried as an adult, even if you were under 18, and you pleaded or were
found guilty, then you do have a criminal conviction.

!

IMPORTANT: Even if you are not directly asked to disclose your juvenile
record on an application, you may want to anyway. There is always a
chance that the admissions committee will find out about a juvenile
arrest or adjudication somehow, and think you were being dishonest in
not reporting it.2387 HOWEVER, when you get your juvenile record sealed
in Californie, it’s as if it never existed.2388 So, if you got your juvenile
record sealed, you do not need to disclose anything in it. (For information
on sealing your juvenile record, see the UNDERSTANDING & CLEANING
UP YOUR CRIMINAL RECORD CHAPTER, PG. 1089.)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
BAY COMTY LAW CTR: STARTING OVER STRONG, APPLYING TO COLLEGE WITH A JUVENILE RECORD, (2012),
www.ebclc.org/documents/sos/Applying_to_College.pdf.
2381
Investigative Consumer Reporting Agencies Act, CAL. CIV. CODE §§ 1786.12, 1786.16(d).
2382
M.J.V. OLSZEWSKA, UNDERGRADUATE ADMISSION APPLICATION AS A CAMPUS CRIME MITIGATION MEASURE: DISCLOSURE OF
APPLICANTS’ DISCIPLINARY BACKGROUND INFORMATION AND ITS RELATIONSHIP TO CAMPUS CRIME (2007) (unpublished Ph.D.
dissertation, East Carolina University) (on file with author).
2383
CTR FOR CMTY. ALTS., THE USE OF CRIMINAL HISTORY RECORDS IN COLLEGE ADMISSIONS RECONSIDERED (2010).
2384
CTR FOR CMTY. ALTS., THE USE OF CRIMINAL HISTORY RECORDS IN COLLEGE ADMISSIONS RECONSIDERED (2010).
2385
See also EAST BAY COMTY LAW CTR: STARTING OVER STRONG, APPLYING TO COLLEGE WITH A JUVENILE RECORD (2012),
www.ebclc.org/documents/sos/Applying_to_College.pdf.
2386
The Common Application specifically asks about adjudications. See CTR FOR CMTY. ALTS., Criminal History
Screening in College Admissions: A Guide for Attorneys Representing College Applicants and Students During and
After Criminal Proceedings (Jan. 2013).
2387
See also EAST BAY COMTY LAW CTR: STARTING OVER STRONG, APPLYING TO COLLEGE WITH A JUVENILE RECORD (2012),
www.ebclc.org/documents/sos/Applying_to_College.pdf.
2388
CAL. WELF. & INST. CODE § 781.

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III.

FIGURING OUT YOUR
CURRENT EDUCATIONAL
LEVEL
WHAT WILL I LEARN?

What an educational assessment is and how to get one
What learning challenges are and how to get tested for them

•
•

WHAT IS AN “EDUCATIONAL ASSESSMENT”? WHY DO I NEED
ONE?
If you’re not sure how far you got in school, or it’s been so long that you’re not
sure what your current education level is, your first step is to get an “educational
assessment.” An educational assessment is simply a way to find out what your
current ability level is in English, reading, writing and math.
It is important to get an educational assessment before you start any
educational program so that you don’t waste time re-learning things you
already know or taking classes for which you are not prepared.

WHAT DO TABE
AND CASAS
STAND FOR?

HOW DO I GET AN EDUCATIONAL ASSESSMENT?

TABE:
Test of Adult Basic
Education

The easiest way to assess your education level is to take an assessment test
(also called a placement test). There are two assessment tests that are often
used for adults who wish to continue their education: the TABE and the
2389
CASAS.

CASAS:
Comprehensive
Adult Student
Assessment
Systems

Don’t worry, these are not the kind of tests you need to study for! These tests
measure what academic skills you’re already good at and which ones you
need to work on. They help you determine what classes will be the right fit for
your current education level.

WHERE DO I GO FOR A PLACEMENT TEST?
If you’re currently incarcerated:
•

In a federal prison: When you get to the federal facility, the staff will review
the information from your county jail assessment to determine your needs. If
you do not have an educational assessment on file and you have not earned
a high school diploma or GED, the facility’s education department should
2390
give you an assessment test.
If you did not receive an educational

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

TABE stands for Tests of Adult Basic Education; CASAS stands for Comprehensive Adult Student Assessment
Systems. See U.S. DEP’T OF EDUC., OFFICE OF VOCATIONAL & ADULT EDUC., TAKE CHARGE OF YOUR FUTURE: GET THE
EDUCATION AND TRAINING YOU NEED (2012).
2390
18 U.S.C. § 3624(f)(4); 28 C.F.R. pt. 544 subpt. H; U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, PROGRAM STATEMENT
5300.21, EDUCATION, TRAINING, AND LEISURE TIME PROGRAM STANDARDS (Feb. 18, 2002); U.S. DEP’T JUSTICE FED. BUREAU OF
PRISONS, PROGRAM STATEMENT 5350.24 English-as-a-Second-Language PROGRAM (July 24, 1997); U.S. DEP’T JUSTICE,
LEGAL RESOURCE GUIDE TO THE FEDERAL BUREAU OF PRISONS (2014) at 19-20; see also Christopher Zoukis, Education in
2389

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•

•

assessment and you think you need one, or if you have any questions about
the process, talk to your case manager or your facility’s education
department staff.
In a California state prison: When you get to the state facility, CDCR staff will
review your file from county jail to determine if you need an educational
assessment. CDCR requires that you have a TABE score on file. If the county
jail that did your assessment did not give you a TABE assessment, you will be
required to do one when you get to a state facility (even if the jail gave you
an assessment using a different test). If this doesn’t happen, ask your
correctional counselor to arrange for you to take the TABE, or submit a
request to the Testing Coordinator in your facility’s education department.
Based on your TABE results, staff will recommend classes that are
2391
appropriate for you.
If you already have a high school diploma or GED,
2392
CDCR will not do a TABE assessment for you.
In a California county jail—Any county jail that offers educational programs
2393
will also offer educational assessments.
If you feel that you need an
educational assessment, or have questions about your education level,
contact the facility’s education staff.

NOTE: When you first got to county jail while your case was pending, you likely
were given a comprehensive evaluation, which included an assessment of your
2394
physical and mental health, your drug history, and your education history.
Based on your answers to questions about your education history, facility staff
decided whether or not to do a full educational assessment on you. If you
reported that you already have a high school diploma or GED, the staff may have
decided not to give you a full educational assessment because you already meet
2395
the minimum education-level requirement.
Information from your county jail
assessment will be sent to any facility that you are transferred to in the future.

!

IMPORTANT: If you are about to be released, talk to your counselor to
make sure that you get all of your educational assessment information
and any other paperwork relating to any educational courses you
completed while you were incarcerated.
If you’re formerly incarcerated:
•

•

If you have returned to the community after a period of incarceration, it’s
likely that you had an educational assessment done while you were inside
(see above). If you CAN get this information from your facility, you will NOT
need to get another assessment once you are out. Contact the last facility
that you were in and ask to have all of your assessment and placement
information sent to you.
If you cannot get your assessment information from your facility, or if it has
been a very long time since your last assessment or since you last attended
school, you may want to get reassessed.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
the Federal Bureau of Prisons, PRISON EDUCATION.COM (May 23, 2013), www.prisoneducation.com/prison-educationnews/education-in-the-federal-bureau-of-prisons.html.
2391
Frequently Asked Questions, CAL. DEP’T OF CORR. & REHAB. DIV. OF REHABILITATIVE PROGRAMS,
http://www.cdcr.ca.gov/rehabilitation/faqs.html - tabe.
2392
General Education Development (GED), CAL. DEP’T OF CORR. & REHAB. DIV. OF REHABILITATIVE PROGRAMS,
http://www.cdcr.ca.gov/rehabilitation/general-education-development.html.
2393
Telephone Interview with Fred Rutledge, Principal, Alameda County Educational Program (Apr. 2, 2015); see also
CAL. VEH. CODE §§ 1900-1909.
2394
Telephone Interview with Fred Rutledge, Principal, Alameda County Educational Program (Apr. 2, 2015).
2395
Interview with Carmen Garcia, Legal Administrative Assistant, Root & Rebound (April 15, 2015).

PAGE 935 OF 1210!

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Visit or contact your local public library or an adult education program or
2396
community college near you to get information about placement testing.
Note: You may have to pay a fee for placement testing, although most
schools and programs offer free assessments for students who enroll with
them.
If you have Internet access, check these websites for adult education
programs near you that may offer testing:

•

•

o
o
o
o
o
o

America’s Literacy Directory: www.literacydirectory.org
California Library Literacy Services:
http://libraryliteracy.org/about/index.html
California Adult Schools: www.californiaadultschools.org/cas/
California Adult Education Provider Directory:
www.otan.us/caaeproviders/
California Community College Finder:
www.californiacommunitycolleges.cccco.edu/maps/map.asp
California Council for Adult Education: http://www.ccaestate.org/

LEARNING CHALLENGES AND SPECIAL NEEDS
WHAT DOES IT MEAN TO HAVE A LEARNING CHALLENGE OR
SPECIAL NEED?
Each of us learns in our own way and at our own speed. However, for many
people, their brains have particular trouble receiving, storing, processing,
2397
retrieving, or communicating information.
The brain’s trouble with these
things is called a learning challenge (often called a “learning disability”).
Unfortunately, many people have struggled in school their whole lives, but do
not realize that their difficulties stem from learning challenges that can be
overcome. Many people with learning challenges are able to prosper in school if
they get the proper guidance, support, and instruction. The most common
learning challenges are:
Attention Deficit/Hyperactivity Disorder (ADHD)—inability to control behavior
or pay attention, often accompanied by hyperactivity.
Dyslexia—difficulty reading, understanding, and processing written words.
Dyscalculia—difficulty with number values, calculations, and math concepts.

•
•
•

There are many other types of learning challenges, including those related to
writing, processing visual or sound information, memory, organization, and
attention to detail. If certain subjects—or school in general—always seemed
difficult for you, you may suffer from a learning challenge that was not
discovered. For more information about learning challenges, visit the Learning
Disabilities Association of America at http://ldaamerica.org/adult-learningdisability-assessment-process/, or the National Association for Adults with
Learning Disabilities at http://naasln.org/.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2396

See U.S. DEP’T OF EDUC. OFFICE OF VOCATIONAL & ADULT EDUC., TAKE CHARGE OF YOUR FUTURE: GET THE EDUCATION
TRAINING YOU NEED (2012).
NAT’L CTR. FOR LEARNING DISABILITIES, THE STATE OF LEARNING DISABILITIES (3d ed. 2014).

AND
2397

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HOW DO I FIND OUT IF I HAVE A LEARNING CHALLENGE?
If you think you may have a learning challenge, the first step is to get a
professional assessment. A qualified professional can determine the source of
your difficulty, and work with you to figure out what special learning tools may
help you overcome it. Additionally, if you are diagnosed with a learning
disability, schools and programs are required by law to give you special
treatment to allow for your special learning needs. This is called giving you an
“accommodation.”
Accommodations can include:
• Giving you extra time to take tests;
• Letting you use a calculator; OR
2398
• Providing you with reading or writing assistance.

If you are currently incarcerated:
•

•

•

In a federal prison: Federal law requires that if you do not have a high school
diploma or GED, you must try to get one while you are incarcerated. Federal
facilities will test you for any learning disabilities that might affect your ability
2399
to successfully complete a high school degree program.
In a California state prison: CDCR does not specifically test for learning
disabilities. However, CDCR assumes that you have a learning disability if
you get below a certain score on your TABE test (4.0 or below), or if you tell
2400
them that you have a learning disability.
In a California county jail: Generally, if you get an educational assessment,
your facility’s staff will review your results and should be able to determine if
2401
you might need a learning disability assessment also.

If you are formerly incarcerated:
To find a qualified professional in your area who can assess you for a learning
2402
disability, check the following resources:
• Learning Disabilities Association of California (http://www.ldaca.org/)
• California’s Department of Rehabilitation (the state vocational rehabilitation
office: http://www.rehab.cahwnet.gov/)
• Your local Community Mental Health Office (find an office through the
National Mental Health Locator: http://mentalhealth.samhsa.gov)
• The student services division of your local community college. A list of
community colleges can be found through the American Association of
Community Colleges (http://www.aacc.nche.edu)
• Adult literacy and/or education programs at your local public library
• A local private psychologist or psychology clinic
• Community service organizations such as the Service League of San Mateo
(http://serviceleague.org/home.html). (For a list of community service
organizations around California, see Appendix A, PG. 985.)
• Volunteer Match (http://www.volunteermatch.org/)
• Your local college or university’s psychology department
• University hospitals and clinics

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

U.S. DEP’T OF EDUC. OFFICE OF VOCATIONAL & ADULT EDUC., TAKE CHARGE OF YOUR FUTURE: GET THE EDUCATION AND
TRAINING YOU NEED (2012).
2399
Telephone Interview with Roy (last name unknown), Fed. Bureau of Prisons, Industries, Educ., & Vocational
Training Div. (Apr. 2, 2015).
2400
CAL. DEP’T OF CORR. & REHAB., BOARD OF PAROLE HEARINGS, ADA OVERVIEW—INMATES WITH DISABILITIES (Oct. 2013).
2401
Telephone Interview with Fred Rutledge, Principal, Alameda County Educational Program (Apr. 2, 2015).
2402
Adult Learning Disability Assessment Process, LEARNING DISABILITIES ASSOC. OF AMERICA,
http://ldaamerica.org/adult-learning-disability-assessment-process/; see also ANNA CRAYTON & NICOLE LINDAHL, BACK
TO SCHOOL: A GUIDE TO CONTINUING YOUR EDUCATION AFTER PRISON , PRISONER REENTRY INSTITUTE, JOHN JAY COLLEGE OF
CRIMINAL JUSTICE (2010).
2398

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IV. LEARNING THE
EDUCATIONAL
LANDSCAPE
The results of your educational assessment will tell you what educational level
you are currently at. Based on that information, you must choose what the right
next step is for you. Depending on what your education level is, the next step
may be clear, or you may have to decide between several different possible
paths. Here are the different types of educational programs you may encounter.

ADULT BASIC EDUCATION (ABE)
If you never went to high school or took any high school-level classes, you will
need to start with Adult Basic Education (ABE) classes.

WHAT IS ABE? HOW CAN IT HELP ME?
•

Adult Basic Education (ABE) is for adults who want to gain the basic skills and
knowledge needed for school, work, and everyday life. You can find free or
low-cost ABE classes at adult schools (also called “adult education
2403
programs”) across the country.
ABE programs often offer the following
kinds of classes:
o
o
o
o
o

•

Basic literacy classes help you learn to read and write for the first time.
Reading, writing, and math classes help you improve your English
language skills and math skills.
Life skills classes build your skills in money management,
communication, computer use, etc.
Pre-GED classes help you get prepared to pass the General Education
Development exam.
English as a Second Language (ESL) classes improve your fluency in
2404
English, if it isn’t your native language.

Your assessment test (see PG. 934) will tell you what skills you need to
improve, and therefore which ABE classes are right for you.

HOW MUCH DO ABE CLASSES COST?
If you’re incarcerated
2405

2406

2407

In a federal prison,
a California state prison,
or a California county jail,
ABE classes (including necessary books and study materials) are offered at no
cost to you.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Adult schools are funded by the state & federal governments. CAL. VEH. CODE §§ 52501- 52503; CAL. CODE REGS.
tit. 5 § 10560; see also Workforce Investment Act of 1998, 20 U.S.C.§ 9201 (1998); CAL. DEP’T OF EDUC., Adult
Education Program Overview, www.cde.ca.gov/sp/ae/po/.
2404
CAL. DEP’T OF EDUC., Adult Education Program Overview, www.cde.ca.gov/sp/ae/po/.
2405
U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, PROGRAM STATEMENT 5300.21, EDUCATION, TRAINING, AND LEISURE TIME
PROGRAM STANDARDS (Feb. 18, 2002); U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, A DIRECTORY OF BUREAU OF PRISONS’
NATIONAL PROGRAMS (May 2014); U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, CUSTODY & CARE: Education Programs,
2403

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If you’re formerly incarcerated
Free or low-cost ABE classes may be available in adult schools or community
colleges near you. Many schools provide ABE classes for free, and provide
books and materials for free as well. Others may charge registration and tuition
fees (up to $25-50 per semester or per class) and/or require you to buy your
own books and materials. Some schools that charge fees may also offer financial
aid to low-income students. You will need to check with the individual school or
2408
program about fees and financial aid.

HOW DO I GET INTO ABE CLASSES?
If you’re currently incarcerated:
•

•

•

In a federal prison: Soon after you enter prison, your unit team and education
department staff should give you an assessment test and recommend
classes for you. You should then have access to ABE classes. (In federal
facilities, ABE is part of a broader program called Adult Continuing Education
or ACE). If your assessment shows that you’re not fluent in English, you must
be enrolled in ESL, and if you don’t have a high school degree, you must be
2409
enrolled in classes designed to lead to a GED or high school diploma.
If
you’re not enrolled in these classes for some reason, but you want to be, ask
2410
your education advisor about getting placed into these classes.
In a California state prison: To enroll in any education program, you must
have a TABE score on file. (To learn how to sign up for TABE, see PG. 934.)
Once you’ve done the TABE assessment, you should be able to attend ABE
2411
classes that are right for your level. For example, if you’re not fluent in
th
English, you must be enrolled in ESL, and if you’re reading below a 6 grade
2412
level, you must be enrolled in basic literacy classes.
You may also be able
to get extra tutoring support through the Voluntary Education Program
2413
(VEP).
If you’re not enrolled in these programs, but you want to be, ask
your correctional counselor or education department staff.
In a California county jail: Although educational programs vary by county, if
your facility offers educational programming, Adult Basic Education will most
2414
likely be part of it.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
www.bop.gov/inmates/custody_&_care/education.jsp; U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, INMATE
INFORMATION HANDBOOK FEDERAL BUREAU OF PRISONS: PROGRAMS AND SERVICES—EDUCATION PROGRAMS (Nov. 2012) at 16.
2406
CAL. DEP’T CORR. & REHAB., OPERATIONS MANUAL 101010.5.3 (2015).
2407
CAL. VEH. CODE § 1900 et seq.; CAL. DEP’T OF EDUC., Adult Education Program Overview,
www.cde.ca.gov/sp/ae/po/.
2408
CAL. VEH. CODE § 52501- 52503; CAL. CODE REGS. tit. 5 § 10560; CAL. DEP’T OF EDUC., Adult Education Program
Overview, www.cde.ca.gov/sp/ae/po/; CAL. ADULT SCHOOLS, Frequently Asked Questions,
www.californiaadultschools.org/cas/news/45-school-stories/118-faq.
2409
ESL students must reach an 8th grade level in listening and reading comprehension; pre-GED students must log
240 class hours of Adult Literacy or earn a GED, whichever comes first. See U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS,
PROGRAM STATEMENT 5350.24 English-as-a-Second-Language PROGRAM (July 24, 1997); U.S. DEP’T JUSTICE FED. BUREAU
OF PRISONS, PROGRAM STATEMENT 5350.28 LITERACY PROGRAM (GED STANDARD) (Feb. 1, 2003); U.S. DEP’T JUSTICE FED .
BUREAU OF PRISONS, PROGRAM STATEMENT 5300.21, EDUCATION TRAINING & LEISURE TIME PROGRAM STANDARDS (Feb. 18,
2012); U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, A Directory of Bureau of Prisons’ National Programs (May 21, 2014)
at 1-3; see also 18 U.S.C. § 3624.
2410
U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, PROGRAM STATEMENT 5350.24 English-as-a-Second-Language PROGRAM
(July 24, 1997); U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, PROGRAM STATEMENT 5350.28 Literacy Program (GED
Standard) (Dec. 1, 2003); U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, PROGRAM STATEMENT 5300.21, EDUCATION,
TRAINING, AND LEISURE TIME PROGRAM STANDARDS (Feb. 18, 2002); U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, A Directory
of Bureau of Prisons’ National Programs (May 21, 2014) at 1-3.
2411
CAL. DEP’T CORR. & REHAB., OPERATIONS MANUAL, 101010.3.4–101010.3.5, (2015); Frequently Asked Questions, CAL.
DEP’T OF CORR. & REHAB. DIV. OF REHABILITATIVE PROGRAMS, www.cdcr.ca.gov/rehabilitation/faqs.html#tabe.
2412
CAL. DEP’T CORR. & REHAB., OPERATIONS MANUAL, 101010.1–101010.5.3 (2015).
2413
CAL. DEP’T OF CORR. & REHAB. DIV. OF REHABILITATIVE PROGRAMS, Voluntary Education Program,
www.cdcr.ca.gov/rehabilitation/voluntary-education-program.html; see also CAL. DEP’T CORR. & REHAB., OPERATIONS
MANUAL, 101010.3.4–101010.3.5 (2015).
2414
CAL. VEH. CODE § 1900 et seq; Adult Education Program Overview, CAL. DEP’T OF EDUC.,
www.cde.ca.gov/sp/ae/po/.

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If you’re formerly incarcerated:
•

•
•

Visit any public library or community bookstore to find free or low-cost ABE
study materials, including books for the classroom and self-study books that
you can work through on your own.
Contact any public library, adult school, or community college to ask about
2415
ABE classes near you.
You can also search the Internet for adult education programs
near you:
GED VS. HIGH
o America’s Literacy Directory: www.literacydirectory.org
SCHOOL
o National Literacy Directory:
DIPLOMA
www.nationalliteracydirectory.org/
A GED is a high
o California Adult Schools: www.californiaadultschools.org/cas/
school proficiency
o California Adult Education Provider Directory:
test, which may
www.otan.us/caaeproviders/
allow you to earn a
o California Community College Finder at
high school
equivalency
www.californiacommunitycolleges.cccco.edu/maps/map.asp
certificate in a more
o ESL Directory: http://www.esldirectory.com/esl-programexpedited manner
search/usa/california
or at your own pace.
o California Council for Adult Education:
The test requires
http://www.ccaestate.org/
you to pass 4 parts

HIGH SCHOOL CREDENTIALS
If you are ready for (or already taking) high school-level classes, your
next step is to earn your high school degree. As an adult student,
your high school degree can be a stepping-stone to a “higher
education” degree (see PG. 949) or a better job, or simply an
important personal achievement. This chapter will explain how you
can earn your high school degree.

I’M READY FOR HIGH SCHOOL-LEVEL WORK. WHAT
ARE MY OPTIONS?
There are two ways you can earn your high school degree:
1)

Take a General Educational Development test to get your GED,
OR
2) Complete a high school diploma program.
a) If you have already completed several high school courses,
you might want to earn the rest of the credits in a high school
diploma program.
b) If you have not completed many (or any) high school courses,
getting a GED may be an easier option.
c) NOTE: Both adult high school programs and GED classes are
2416
offered for free in federal prisons,
California state
2417
2418
prisons,
and California county jails;
and for low or cost

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

in different subjects
matters at your own
pace. However, An
adult high school
diploma requires
more coursework
prior to obtaining
your diploma. An
Adult High School
Diploma requires
certain coursework
to be completed at
your own pace.
After all the
coursework is
completed, you will
be required to pass
an exit exam called
California High
School Exit
Examination. It is
important to note
that if you have
already completed
many high school
courses required for
a diploma program
and have only a few
left to take, a high
school diploma
program may be a
faster route than a
GED.

See U.S. DEP’T OF EDUC. OFFICE OF VOCATIONAL & ADULT EDUC., TAKE CHARGE OF YOUR FUTURE: GET THE EDUCATION
TRAINING YOU NEED ( 2012); CAL. VEH. CODE § 52501- 52503; CAL. CODE REGS. tit. 5 § 10560; CAL. DEP’T OF EDUC.,
Adult Education Program Overview, www.cde.ca.gov/sp/ae/po/.
2416
28 C.F.R. §§ 544.70 (federal inmates who do not have a GED or high school diploma are required to take adult
literacy classes), 544.81 (warden shall ensure every inmate with the need, capacity, and time has the opportunity to
complete and adult literacy program leading toward a GED or high school diploma).
2417
CAL. DEP’T CORR. & REHAB., OPERATIONS MANUAL §§ 101010.1–101010.3.1, 101010.5.1, 101010.5.4 (2015); see also
Office of Correctional Education, CAL. DEP’T CORR. & REHAB.,
http://www.cdcr.ca.gov/Correctional_Education/index.html.
2415

AND

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2419

free in adult school programs across the state.
You will need to
decide which pathway to a high school degree is best for you.

GENERAL EDUCATIONAL DEVELOPMENT
(GED) TESTS
WHAT ARE GED TESTS? HOW CAN THEY HELP ME?
A General Educational Development (GED) test is a high school
proficiency test for adults who never completed high school and
2420
want to earn a high school equivalency (GED) certificate.
These tests are administered nationally, but three have been
specifically approved by the California Department of Education:
•
•
•

GED® (GED Testing Service);
HiSET® (ETS); AND
2421
TASC™ (CTB-McGraw-Hill).

GED VS. CHSPE
The California High
School Proficiency
Examination is
another high school
proficiency test that
is similar to the GED
because it allows
people to earn a
high school
proficiency
certificate.
However, the
CHSPE is intended
for minors (people
under 18 years old)
who are still in high
school but wish to
finish early in order
to go to college or
enter the workforce.

If you pass a GED test in California, you’ll receive a California High
School Equivalency Certificate (CAHSEC) (this is the official name for
2422
a GED in California).
This certificate is your official proof that you
have high school level academic skills. Once you have this certificate,
2423
you can apply to colleges and jobs that require a high school credential.
You
will need to take and pass the test for several different subject matters
(sometimes called “modules”) in order to get your CAHSEC.

AM I ELIGIBLE TO TAKE A GED TEST TO EARN MY CALIFORNIA
HIGH SCHOOL EQUIVALENCY CERTIFICATE (CAHSEC)?
In order to take a GED test to get your California High School Equivalency
Certificate, you must:
•
•
•

Not have completed high school;
Be a resident of California; AND
2424
Be 18 years or older (or 17 in very special circumstances).

HOW LONG WILL IT TAKE TO EARN MY CAHSEC?
It depends. Specifically, it will depend on your current skills, pace of study, and
individual circumstances. You may choose to study on your own, at your own
pace; or you may take one or more GED test preparation classes, which may be
designed to get you ready by a specific date.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
CAL. VEH. CODE §§ 1900-1909.5; CAL. DEP’T OF EDUC., Adult Education Program Overview,
www.cde.ca.gov/sp/ae/po/.
2419
CAL. VEH. CODE §§ 52501- 52503; CAL. CODE REGS. tit. 5 § 10560; CAL. DEP’T OF EDUC., Adult Education Program
Overview, www.cde.ca.gov/sp/ae/po/.
2420
5 CAL. CODE REGS. §§ 11530-11532.
2421
CAL. DEP’T OF EDUC., http://www.cde.ca.gov/ta/tg/gd/.
2422
GED Description—CalEdFacts, CAL. DEP’T OF EDUC., www.cde.ca.gov/ta/tg/gd/cefged.asp; 2014 California, GED
TESTING SERVICE, www.gedtestingservice.com/testers/policy_ca.
2423
U.S. DEP’T OF EDUC. OFFICE OF VOCATIONAL & ADULT EDUC., TAKE CHARGE OF YOUR FUTURE: GET THE EDUCATION AND
TRAINING YOU NEED (2012); Frequently Asked Questions, GED TESTING SERVICE,
www.gedtestingservice.com/testers/mygedfaqs.
2424
CAL. VEH. CODE § 51420.
2418

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Compared to a high school diploma program, which may require a longer list of
classes, the GED can be a “fast track” to a high school credential (for more
information on high school diploma programs, see PG. 946). However, this may
or may not be the best fit for you, depending on your needs and learning
2425
preferences.

HOW MUCH WILL IT COST TO EARN MY CAHSEC?
If you’re currently incarcerated
2426

2427

2428

in a federal prison,
a California state prison,
or a California county jail,
you should be able to register for a GED test, take GED preparation classes, and
get your CAHSEC at no cost to you.
NOTE: While GED programs and testing are generally offered at no cost, if you
!
have
a high balance in your trust account, your facility may decide to deduct
2429
some or all of the costs for certain programs or testing from your account.

If you’re formerly incarcerated:
•

•
•

When you sign up for a GED test, you must pay a $35 fee for each module
(subject-matter tests) you’re scheduling. That adds up to a $140 fee if you
2430
register for all 4 modules at once.
When you pass the test (all 4 modules), you’ll get your certificate and official
2431
test results by mail at no cost.
Studying for the GED might require paying for classes and books, but this
could cost little or nothing.

NOTE: Many adult schools and community colleges provide GED classes for
free, and provide study materials for free as well. Others may charge registration
!
and
tuition fees (up to $25-50 per semester or class). Some schools that charge
fees offer financial aid to low-income students. Check with each school about
2432
fees and financial aid.

HOW DO I PREPARE FOR THE GED TEST?
FIRST: Learn as much as you can about the GED test. You should know: What
subjects and skills does the test cover? How long does the test take? What do
the questions look like? You can get information by contacting the GED Testing
Service (see PG. 945 for contact information), by asking teachers or tutors in a

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See CAL. ADULT SCHOOLS, Adult Education Programs, http://www.californiaadultschools.org/cas/programs#core6.
28 C.F.R. §§ 544.70 (federal inmates who do not have a GED or high school diploma are required to take adult
literacy classes), 544.81 (warden shall ensure every inmate with the need, capacity, and time has the opportunity to
complete and adult literacy program leading toward a GED or high school diploma).
2427
CAL. DEP’T CORR. & REHAB., OPERATIONS MANUAL, 101010.1–101010.5.4 (2015); see also Office of Correctional
Education, CAL. DEP’T OF CORR. & REHAB., http://www.cdcr.ca.gov/Correctional_Education/index.html.
2428
CAL. VEH. CODE §§ 1900-1909.5; see also Adult Education Program Overview, CAL. DEP’T OF EDUC.,
www.cde.ca.gov/sp/ae/po/.
2429
Interview with Carmen Garcia, Legal Administrative Assistant, Root & Rebound (April 15, 2015).
2430
You can get a fee discount when you register to retake parts of the GED test. You get up to 2 discounted retakes
for each subject module. For details, visit GED TESTING SERV., 2014 California,
www.gedtestingservice.com/testers/policy_ca#price.
2431
See CAL. DEP’T OF EDUC., General Education Development Description—CalEdFacts,
www.cde.ca.gov/ta/tg/gd/cefged.asp. However, you will have to pay for additional copies of your results (called
GED transcripts). To find out more, GED TESTING SERV., Request a Transcript,
www.gedtestingservice.com/testers/gedrequest-a-transcript.
2432
CAL. VEH. CODE § 52501, 52502, 52503; CAL. CODE REGS. tit. 5 § 10560 (year); CAL. DEP’T OF EDUC., Adult Education
Program Overview, www.cde.ca.gov/sp/ae/po/; CAL. ADULT SCHOOLS., Frequently Asked Questions,
www.californiaadultschools.org/cas/news/45-school-stories/118-faq.
2425
2426

PAGE 942 OF 1210!

ROADMAP TO REENTRY

GED program, and by looking at GED practice tests and study materials (see
below for tips on finding GED programs and study materials). Here is some
general information to start with:
•

•

The GED test has 4 modules (subject-matter tests): language arts, math,
social studies, and science. You can take all 4 modules on the same day,
2433
which takes 7+ hours; or you can schedule them for separate dates.
As of January 1, 2014, the GED test is computer-based; but if you’re in a
prison or jail that doesn’t have computers set up, you might be taking the test
2434
with a pencil and paper.
To find out which version of the test you’ll take,
ask your facility’s education department staff.

SECOND: Learn as much as possible about your readiness for the test. You
should know:
• Which subjects or skills do you feel confident about, and which ones should
you focus on improving?
• How comfortable do you feel with the test format?
• Do you need to practice answering test questions more quickly?
• What study methods are best for your current skills and learning style?
• You can get a sense of how ready you are by taking practice GED tests on
your own, and/or by working with teachers or tutors in a GED program who
can give you feedback about your skills (see below for tips on finding GED
programs and study materials, including practice tests).
THIRD: Make use of teaching, tutoring, and study materials that are available to
you. Below is general information about potential resources that you may be
able to use:

If you’re currently incarcerated:
•

•

In a federal prison: When you get to your federal facility, staff will review your
county jail assessment information. If you don’t have a high school degree,
you will be enrolled in classes designed to lead up to a GED or a high school
diploma (unless they decide that you must take Adult Basic Education classes
2435
first).
Ask your education advisor if you have questions about enrollment.
In a California state prison: If you don’t have a high school credential, you
2436
can enroll in GED classes if your TABE scores qualify you.
You may also
be able to get extra tutoring support through the Voluntary Education
2437
Program (VEP).
Ask your correctional counselor or education department
staff about enrolling in GED classes or VEP. (Remember, before you enroll in
2438
GED or VEP, you must have a TABE score on file.
See PG. 934 for
information about the TABE and getting an educational assessment).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. DEP’T OF EDUC., General Education Development Description—CalEdFacts,
www.cde.ca.gov/ta/tg/gd/cefged.asp; GED TESTING SERV., 2014 California,
www.gedtestingservice.com/testers/policy_ca.
2434
GED TESTING SERV., 2014 California, www.gedtestingservice.com/testers/policy_ca.; CAL. DEP’T OF EDUC., High
School Equivalency Tests, www.cde.ca.gov/ta/tg/gd/; GED TESTING SERV., Frequently Asked Questions,
http://www.gedtestingservice.com/educators/2014-faqs#corr.
2435
If you do not have a high school credential, you will be required enroll in adult literacy classes (up to 240 hours,
or until you earn a GED, whichever comes first). See U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, PROGRAM STATEMENT
5350.28 LITERACY PROGRAM (GED STANDARD) (Feb. 1, 2003); U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, PROGRAM
STATEMENT 5300.21 EDUCATION TRAINING & LEISURE TIME (Feb. 18, 2001); U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, A
DIRECTORY OF BUREAU OF PRISONS’ NATIONAL PROGRAMS (May 21, 2014) at 1-3.
2436
CAL. DEP’T OF CORR. & REHAB. DIV. OF REHABILITATIVE PROGRAMS, General Education Development,
www.cdcr.ca.gov/rehabilitation/general-education-development.html
2437
CAL. DEP’T OF CORR. & REHAB. DIV. OF REHABILITATIVE PROGRAMS, Voluntary Education Program,
www.cdcr.ca.gov/rehabilitation/voluntary-education-program.html; CAL. DEP’T CORR. & REHAB., OPERATIONS MANUAL
101010.1 - 101010.5.4 (2015).
2438
CAL. DEP’T CORR. & REHAB., OPERATIONS MANUAL 101010.1–101010.5.4 (2015); CAL. DEP’T OF CORR. & REHAB. DIV. OF
REHABILITATIVE PROGRAMS, Frequently Asked Questions, www.cdcr.ca.gov/rehabilitation/faqs.html#tabe.
2433

PAGE 943 OF 1210!

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In a California county jail: If your educational assessment scores qualify you
2439
for GED courses, your facility should enroll you if they offer these courses.
If not, you can contact community service organizations to request materials.
See Appendix B, PG. 987 for a list or organizations that provide GED
materials.

•

!

IMPORTANT: If you are in county jail awaiting transfer to a federal or
state facility, you will NOT be allowed to take anything with you,
including any books or other materials related to your educational
programming, when you are transferred. You will need to gather all of
your materials ahead of time and mail them to someone on the outside
before you are transferred. That person can then mail your materials
back to you at your new facility.2440

NOTE: Even though most facilities in California at the federal, state, and county
level offer GED classes, often there are long waiting lists to get in, or they are
offered in “cycles” (which means that if you miss the beginning of the cycle, you
cannot enroll until the next one). If you cannot enroll in a GED class for any
reason, you should try to begin studying on your own. Check your facility’s
library for GED “prep” books and materials. These resources will walk you
through lesson plans, and usually contain sample questions and practice
!
2441
tests.
They can also be ordered through most book distributors. Check with
your facility for a list of book distributors that are approved to send materials to
inmates. There are also a number of community adult literacy programs and
other service organizations that will send books and materials to incarcerated
people for free. You can contact these organizations to request the study
materials you need. For a list of organizations that provide books and materials
to incarcerated people, visit Urbana Campaign to Prisoners at
http://www.books2prisoners.org/partnerships.php or see Appendix B, PG. 987.

WHEN FOR PREPARING FOR BOTH THE GED EXAM AND RELEASE:
If
! you are preparing for a GED test while incarcerated and find out that you will
be released before you finish your class or program, ask your GED teacher for a
“progress report.” This report will show exactly where you are in the process, so
2442
that you can pick up your studies in the same place after your release.

If you’re formerly incarcerated:
•

•
•

Visit your local America’s Job Center of California (formerly Career One-Stop
Centers) for information on GED programs in your area (see PG. 914 for
information on finding your local America’s Job Center of California).
Contact your local public library, adult school, or community college to ask
2443
about free or low-cost GED classes near you.
If you have Internet access, search online for GED programs near you. Try
these resources to start:
o California Adult Schools: www.californiaadultschools.org/cas/

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. VEH. CODE §§ 1900-1909.5; CAL. DEP’T OF EDUC., Adult Education Program Overview,
www.cde.ca.gov/sp/ae/po/.
2440
Interview with Carmen Garcia, Legal Administrative Assistant, Root & Rebound (April 15, 2015).
2441
U.S. DEP’T OF EDUC. OFFICE OF VOCATIONAL & ADULT EDUC., TAKE CHARGE OF YOUR FUTURE: GET THE EDUCATION AND
TRAINING YOU NEED (2012).
2442
U. .S. DEP’T OF EDUC. OFFICE OF VOCATIONAL & ADULT EDUC., TAKE CHARGE OF YOUR FUTURE: GET THE EDUCATION AND
TRAINING YOU NEED (2012).
2443
U.S. DEP’T OF EDUC. OFFICE OF VOCATIONAL & ADULT EDUC., TAKE CHARGE OF YOUR FUTURE: GET THE EDUCATION AND
TRAINING YOU NEED (2012); CAL. VEH. CODE §§ 52501- 52503; CAL. CODE REGS. tit. 5 § 10560; CAL. DEP’T OF EDUC., Adult
Program Overview, www.cde.ca.gov/sp/ae/po/.
2439

PAGE 944 OF 1210!

ROADMAP TO REENTRY

•

•

o California Adult Education Provider Directory:
www.otan.us/caaeproviders/
o California Community College Finder at
www.californiacommunitycolleges.cccco.edu/maps/map.asp
Contact the GED Testing Service for information and resources:
o Call 1-800-626-9433 to get information about GED classes or test
centers near you; or to request a practice test that you can score by
yourself.
o Call 1-877-392-6433 if you have specific questions about how the
2444
computer-based test works.
o Visit http://www.gedtestingservice.com/ged-testing-service.
Visit your local public library or community bookstore to find free or low-cost
GED study materials.

I’M READY TO TAKE A GED TEST, HOW DO I SIGN UP?
If you’re currently incarcerated:
•

•

•

In a federal prison: Ask your education advisor to sign you up. You should be
able to take the test if the education staff thinks you’re ready based on your
2445
most recent assessment and/or your current work in class.
In a California state prison: First, sign up with your facility’s testing
coordinator to take a GED predictor test. Depending on your score, you may
be scheduled for the next available GED test date at your facility, or you may
2446
be enrolled in a GED preparation program for further study.
Ask your
correctional counselor or education department staff if you have questions
about GED classes, VEP, or the GED predictor test.
In a California county jail: Ask the education staff at your facility to sign you
up to take the test the next time it is offered (if it is offered at your facility).

If you’re formerly incarcerated:
•

•

Create an online account at www.ged.com, and then sign up for a specific
test date at a specific GED test center. To complete your registration, you
must pay the fee ($35 per test module) using a credit card.
To find out what GED test centers are near you, call the GED Testing Service
2447
at 1-800-626-9433.
If you have Internet access, you can also use the
2448
search tool on the GED Testing Service website,
or visit the GED test
center directory on the California Department of Education website at
2449
http://www.cde.ca.gov/ta/tg/gd/gedtestcntrs.asp.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

GED TESTING SERV., Frequently Asked Questions, www.gedtestingservice.com/testers/faqs-test-taker; GED
TESTING SERV., Prepare for the Test: Locate a Prep Center, www.gedtestingservice.com/testers/locate-a-prep-center.
2445
If you don’t have a high school credential, you must be enrolled in a literacy class; and you must participate until
you’ve spent 240 hours in class or until you earn your GED, whichever comes first. 28 C.F.R. § 544.70-75; see U.S.
DEP’T JUSTICE FED. BUREAU OF PRISONS, PROGRAM STATEMENT 5350.28 LITERACY PROGRAM (GED STANDARD) (Feb. 1, 2003);
U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, PROGRAM STATEMENT 5300.21 EDUCATION TRAINING & LEISURE TIME (Feb. 18,
2001); U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, A DIRECTORY OF BUREAU OF PRISONS’ NATIONAL PROGRAMS (May 21,
2014) at 1-3.
2446
CAL. DEP’T CORR. & REHAB., OPERATIONS MANUAL 101010.5.4 (2015); General Education Development, CAL. DEP’T OF
CORR. & REHAB. DIV. OF REHABILITATIVE PROGRAMS, www.cdcr.ca.gov/rehabilitation/general-educationdevelopment.html. You may also be able to get extra tutoring support through the Voluntary Education Program
(VEP). See Voluntary Education Program, CAL. DEP’T OF CORR. & REHAB. DIV. OF REHABILITATIVE PROGRAMS,
www.cdcr.ca.gov/rehabilitation/voluntary-education-program.html.
2447
Test Taker Frequently Asked Questions, GED TESTING SERV., www.gedtestingservice.com/testers/faqs-test-taker;
Locate a Prep Center, GED TESTING SERV., www.gedtestingservice.com/testers/locate-a-prep-center.
2448
Locate a Prep Center, GED TESTING SERV., www.gedtestingservice.com/testers/locate-a-prep-center.
2449
Local GED Test Centers by City, CAL. DEP’T OF EDUC., www.cde.ca.gov/ta/tg/gd/gedtestcntrs.asp; see also Local
GED Test Centers by County, CAL. DEP’T OF EDUC., www.cde.ca.gov/ta/tg/gd/centercounty.asp.
2444

PAGE 945 OF 1210!

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GENERAL TIPS
•

•

•

You may want to register for just 1 or 2 test modules at a time if you can’t
afford the full fee or if you want to give yourself time off between studying for
2450
the different subjects.
2451
To take the test in California, you must provide state-issued ID
and proof
2452
of California residency.
Before registering, ensure that you will have these
documents on your test date. (You do not have to be a U.S. citizen or have a
2453
SSN to take the GED. )
If you have more questions, contact the GED office at (916) 445-9438 or
gedoffic@cde.ca.gov. If you have Internet access, you can also find
2454
information posted online by the California Department of Education
and
2455
the GED Testing Service.

ADULT HIGH SCHOOL DIPLOMA PROGRAMS
This section will help you decide whether an adult high school
diploma program is a good option for you. You’ll also learn how to
locate and sign up for an adult high school diploma program that
meets your needs.

WHAT IS AN ADULT HIGH SCHOOL DIPLOMA
PROGRAM? HOW CAN IT HELP ME?
These diploma programs are for adults who didn’t finish high school,
and who want to complete the courses normally required for high
school graduation (instead of taking a GED or high school
2456
equivalency test).
High school diploma programs are offered in
most jails and prisons, and in adult schools and community colleges
2457
throughout California.
In most adult high school diploma programs, you can choose to
enroll in traditional classes, or you can choose to complete courses at
your own pace through individual study and regular check-ins with
2458
teachers.
In addition, some programs also allow you to complete
correspondence courses through mail or email with teachers (for
details on distance learning, see PG. 965; for correspondence
programs, see PG. 969). After completing all of the required courses,
you will have to pass an “exit” exam, called the California High
School Exit Examination (CAHSEE) to receive your high school

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

GED VS. HIGH
SCHOOL
DIPLOMA
Compared to a
GED program,
which may focus
on preparing you
to answer test
questions quickly,
a high school
diploma program
requires you to
complete many
classes that are
part of a high
school education.
Required course
subjects include:
English (reading,
writing, literature);
math (algebra,
geometry); natural
science (biology,
ecology, physics);
social science
(history, civics,
economics);
humanities (art,
religion); and
electives (health,
media literacy).

Note: If you took any parts of the old paper-based GED before January 1, 2014, those scores no longer count.
You must now take all four modules in the new computer-based format to earn your GED. See GED Testing Service:
On the Record (June 25 - 26, 2012), www.ceanational.org/PDFs/QuestionsfromCorrectionsWebinarsFINAL.pdf.
2451
Acceptable forms of ID include: California driver license or ID card, passport, employment or work visa, green
card, military or other government ID card, college ID card. See GED Eligibility, CITY COLL. OF SAN FRANCISCO,
www.ccsf.edu/en/student-services/matriculation_services/ged_center/ged_eligibility.html.
2452
Acceptable forms of proof include: California driver license or ID card, birth certificate, tax returns, marriage
license, car registration, utility bill, voter registration, bank statement, or apartment lease. 2014 California, GED
TESTING SERV., www.gedtestingservice.com/testers/policy_ca
2453
Frequently Asked Questions, GED ACADEMY, www.passged.com/faqs.php.
2454
GED Test, CAL. DEP’T OF EDUC., www.cde.ca.gov/ta/tg/gd/gedtest.asp.
2455
2014 California, GED TESTING SERV., www.gedtestingservice.com/testers/policy_ca.
2456
U.S. DEP’T OF EDUC. OFFICE OF VOCATIONAL & ADULT EDUC., TAKE CHARGE OF YOUR FUTURE: GET THE EDUCATION AND
TRAINING YOU NEED (2012).
2457
Adult schools are funded by the state and the national government. CAL. VEH. CODE §§ 52501–52503; CAL. CODE
REGS. tit. 5 § 10560; Workforce Investment Act of 1998, 20 U.S.C.§ 9201 (1998); Adult Education Program Overview,
CAL. DEP’T OF EDUC., www.cde.ca.gov/sp/ae/po/.
2458
Adult Education Programs, CAL. ADULT SCHS., www.californiaadultschools.org/cas/programs#core5.
2450

PAGE 946 OF 1210!

ROADMAP TO REENTRY
2459

diploma.
All students in California public schools must pass the CAHSEE
before they are awarded a high school diploma. This includes people who earn
their diploma while incarcerated.

HOW MUCH TIME WILL IT TAKE TO EARN MY HIGH SCHOOL
DIPLOMA?
It depends. Specifically, it will depend on your current skills, pace of study, life
circumstances, and learning preferences. Depending on the program you enroll
in, you might work toward your diploma individually, at your own pace; or you
might work with a teacher who creates assignment deadlines and a long-term
2460
schedule for you.

GENERAL TIPS
If you’ve already completed many of the courses required for a diploma program
and have only a few left to take, an adult high school diploma program is likely a
faster route for you than the GED.
If you haven’t completed many high school courses, the GED will probably be a
faster path to your high school equivalency certificate.
But consider, if you have not taken many high school courses yet, and you have
some time to spend on your high school education, you might prefer a diploma
program because it can be an opportunity to explore new subjects and skills that
2461
you won’t learn in a GED program.

HOW MUCH MONEY WILL IT COST TO EARN MY HIGH SCHOOL
DIPLOMA THROUGH A PROGRAM?
If you’re currently incarcerated
•

•
•

In a federal prison: As part of the Literacy Program, high school level classes
should be available at no cost to you. However, not all facilities offer a high
2462
school diploma program; some offer GED study courses instead.
In a California state prison: A high school diploma program should be
2463
available at no cost to you.
In a California county jail: If your facility offers a high school diploma
2464
program, it should be available at no cost to you.

NOTE: While high school diploma programs are generally offered at no cost, if
you have a high balance in your trust account, your facility may decide to deduct
2465
some or all of the cost for some programs from your account.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Earning Your California High School Diploma, EDUCATION PORTAL, www.educationportal.com/articles/Earning_Your_California_High_School_Diploma.html.
2460
See Adult Education Programs, CAL. ADULT SCHS., www.californiaadultschools.org/cas/programs#core6; High
School Diploma (HD) Program, CAL. DEP’T OF CORR. & REHAB. DIV. OF REHABILITATIVE PROGRAMS,
www.cdcr.ca.gov/rehabilitaiton/high-school-diploma.html; U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, PROGRAM
STATEMENT 5350.28 LITERACY PROGRAM (GED STANDARD) (Feb. 1, 2003); U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS,
PROGRAM STATEMENT 5300.21, EDUCATION, TRAINING, AND LEISURE TIME PROGRAM STANDARDS (Feb. 18, 2002).
2461
See Adult Education Programs, CAL. ADULT SCHS., www.californiaadultschools.org/cas/programs#core6.
2462
28 C.F.R. §§ 544.70 (federal inmates who do not have a GED or high school diploma are required to take adult
literacy classes), 544.81 (warden shall ensure every inmate with the need, capacity, and time has the opportunity to
complete and adult literacy program leading toward a GED or high school diploma).
2463
CAL. DEP’T CORR. & REHAB., OPERATIONS MANUAL, 101010.5.4 (2015); High School Diploma (HD) Program, CAL. DEP’T
OF CORR. & REHAB. DIV. OF REHABILITATIVE PROGRAMS, www.cdcr.ca.gov/rehabilitation/high-school-diploma.html/.
2464
CAL. VEH. CODE § 1900 et seq; Adult Education Program Overview, CAL. DEP’T OF EDUC.,
http://www.cde.ca.gov/sp/ae/po/.
2465
Interview with Carmen Garcia, Legal Administrative Assistant, Root & Rebound (April 15, 2015).
2459

PAGE 947 OF 1210!

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If you’re formerly incarcerated:
Adult high school diploma programs may be available in adult schools or
community colleges near you for free or at low cost. Many schools provide adult
high school classes for free, and provide books and materials for free as well.
Others may charge registration and tuition fees. (However, schools that charge
fees may also offer financial aid to low-income students. Check with each school
2466
about fees and financial aid.)
Also, community adult literacy programs may
offer high school diploma courses and tutoring for free. (For a list of
organizations that may offer this service, see Appendix A, PG. 985.)
If you choose a distance learning or correspondence program, regardless of
whether you’re incarcerated or in the community, you may need to pay program
fees and buy your own materials (for details about distance learning programs in
general, see PG. 965).

HOW DO I FIND AND ENROLL IN A HIGH SCHOOL DIPLOMA
PROGRAM?
If you’re currently incarcerated:
•

•

•

In a federal prison: Soon after you enter prison, your Unit Team
or Education Staff should review your assessment (from county
jail, see PG. 934) and recommend classes for you. If you don’t
have a high school credential, the facility will enroll you in
literacy classes designed to lead up to a high school diploma
2467
(or a GED, if your facility offers a GED program).
Ask your
Education Advisor if you have questions about enrolling in
classes.
In a California state prison: If you’ve completed some high
school in the past, and if your current skills are at a high school
grade level (9-12), you should be enrolled in the high school
diploma program at your facility. Education Department staff
will review your high school transcript (if you have one) and
2468
TABE scores and decide whether you can enroll.
In a California county jail: Check with your facility’s education
staff to find out whether high school diploma courses are
2469
offered and how to enroll in them.

NOTE: If you are in a
California state facility
you may be able to
get extra tutoring
support through the
Voluntary Education
Program (VEP). Ask
your Correctional
Counselor or
Education
Department staff if
you have questions
about the diploma
program or VEP.
Remember, to enroll
in any education
program, you must
have a TABE score on
file (see PG. 934).

If you’re formerly incarcerated:
•

•

Visit any public library or community bookstore to find free or low-cost high
school level study materials, including books you may need for classes, as
well as lessons you can work through on your own.
Contact any public library, adult school, or community college to ask about
2470
free or low-cost adult high school diploma programs near you.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. VEH. CODE §§ 52501–52503; CAL. CODE REGS. tit. 5 § 10560; Adult Education Program Overview, CAL. DEP’T OF
EDUC., www.cde.ca.gov/sp/ae/po/; Frequently Asked Questions, CAL. ADULT SCHS.,
www.californiaadultschools.org/cas/news/45-school-stories/118-faq
2467
If you’re not fluent in English, you must be enrolled in ESL until you reach an 8th grade level in listening and
reading comprehension. Also, if you don’t have a high school credential, you must enroll in Adult Literacy classes
until you log 240 hours of class time or until you earn a GED, whichever comes first. See U.S. DEP’T JUSTICE FED.
BUREAU OF PRISONS, PROGRAM STATEMENT 5350.24 English-as-a-Second-Language PROGRAM (July 24, 1997); U.S. DEP’T
JUSTICE FED. BUREAU OF PRISONS, PROGRAM STATEMENT 5350.28 LITERACY PROGRAM (GED STANDARD) (Feb. 1, 2003); U.S.
DEP’T JUSTICE FED. BUREAU OF PRISONS, PROGRAM STATEMENT 5300.21, EDUCATION, TRAINING, AND LEISURE TIME PROGRAM
STANDARDS (Feb. 18, 2002); U.S. DEP’T JUSTICE, FED. BUREAU OF PRISONS, A DIRECTORY OF BUREAU OF PRISONS’ NATIONAL
PROGRAMS (May 21, 2014), pp. 1-3.
2468
CAL. DEP’T CORR. & REHAB., OPERATIONS MANUAL 101010.3.4–101010.5.4 (2015); High School Diploma (HD) Program,
CAL. DEP’T OF CORR. & REHAB. DIV. OF REHABILITATIVE PROGRAMS, www.cdcr.ca.gov/rehabilitaiton/high-schooldiploma.html.
2469
CAL. VEH. CODE § 1900 et seq; Adult Education Program Overview, CAL. DEP’T OF EDUC.,
www.cde.ca.gov/sp/ae/po/.
2466

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•

If you have Internet access, search online for high school diploma programs
near you:
o America’s Literacy Directory: www.literacydirectory.org
o National Literacy Directory: www.nationalliteracydirectory.org/
o California Adult Schools: www.californiaadultschools.org/cas/
o California Adult Education Provider Directory:
www.otan.us/caaeproviders/
o California Community College Finder at
www.californiacommunitycolleges.cccco.edu/maps/map.asp

TIP: Many community colleges offer dual enrollment programs or continuing
education programs, which allow you to earn an adult high school diploma or
equivalency certificate AND get started on earning college credits at the same
2471
time.

!

GENERAL TIP: If you have meaningful school, work, or life experience, find out if
you can make it count toward your diploma. Some adult schools or programs
might give you credit for past high school work, job training, work experience,
community service, military service, or self-study. Ask the individual school or
2472
program if it will do this.

HIGHER EDUCATION OVERVIEW
Once you’ve earned your high school credential, what’s next? It’s time to revisit
your long-term educational and career goals. Do you need a certain skill-set or
type of training for your desired career field? Do you have to earn a specific
degree to practice in your chosen profession? If so, “higher education” might be
right for you.

WHAT IS HIGHER EDUCATION?
“Higher education” refers to additional schooling that you take beyond the high
school-level, that leads to a professional certification or academic degree, such
as a Career and Technical Education (CTE) certificate, associate degree,
bachelor’s degree, or graduate or professional degree. If you plan on continuing
your education beyond the high school-level, you will need to determine which
higher education path fits your needs and goals.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
See U.S. DEP’T OF EDUC. OFFICE OF VOCATIONAL & ADULT EDUC., TAKE CHARGE OF YOUR FUTURE: GET THE EDUCATION
TRAINING YOU NEED (2012); CAL. VEH. CODE §§ 52501- 52503; CAL. CODE REGS. tit. 5 § 10560; Adult Education
Program Overview, CAL. DEP’T OF EDUC., www.cde.ca.gov/sp/ae/po/.
2471
See GED Preparation, High School Diploma/Basic Skills, SAN DIEGO CONTINUING EDUC.,
http://www.sdce.edu/classes/high-school-ged-basic-skills; General Education Development, CLACKAMAS CMT’Y COLL.,
http://www.clackamas.edu/GED/.
2472
See Rachel Aviv, Turning Experience Into College Credit, N.Y. TIMES (Oct. 30, 2008); Prior Learning Assessment
Services, COUNCIL FOR ADULT & EXPERIENTIAL LEARNING, COLLS. & UNIVS., www.cael.org/whom-we-serve/colleges-anduniversities/prior-learning-assessment-services.
2470

AND

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CAREER & TECHNICAL EDUCATION
(CTE) PROGRAMS
WHAT IS CAREER AND TECHNICAL EDUCATION?
If you want a skills-based job in a particular career field, you may want
to enroll in a CTE program where you focus on learning to do a
specific type of work in that field. CTE programs are also called
2473
“certificate” or “vocational training” programs.
This chapter will
help you think about whether a CTE program is a good choice for
you; and, if so, what type of CTE program might be right for you.
NOTE: Most CTE programs lead to a certificate, but some lead to a
college degree. This section focuses on CTE programs that lead to a
!
certificate.
If you’re interested in enrolling in a CTE program that
leads to a college degree, you will find more helpful information in the
following section on college degrees (PG. 954).

HOW CAN A CTE PROGRAM HELP ME?
In California, CTE programs are offered at community colleges,
technical colleges, trade schools, vocational schools, at some 4-year
colleges—and in many CDCR facilities and county jails. A CTE
certification program can be a good path for you if the occupation
you want requires a certificate, or if you want to gain practical skills
and get into the workforce more quickly. Most CTE certificate
programs are designed to get you certified, licensed, and hired in
your chosen field directly and efficiently. A certificate can also be a steppingstone toward a college degree, as some colleges accept certificate program
2474
credits and count them as progress toward a college degree.

!

WHAT TYPE OF
VOCATIONAL
PROGRAMS ARE
AVAILABLE?
CTE programs
commonly cover
fields such as:
agriculture and
natural resources,
arts and media,
building and
construction,
education and
child/family
services, energy
and utilities, fashion
and design, finance
and business,
health science and
medical technology,
hospitality and
tourism, information
technology,
manufacturing and
product
development,
marketing and
sales, public
services, or
transportation
services.

IMPORTANT: A certificate is NOT a degree. It’s an award that shows you
completed an educational or training program after high school. A
certificate is also NOT an occupational license or certification, which you
may need to do your job, depending on what your field is and where you
live.
The cost of earning a certificate through a CTE program may not be worth it in
certain fields where jobs are low-wage, unstable, and difficult to get. Also, if
employers in your desired field don’t always require a certificate, you might
consider going straight into the workforce. If employers in your field like to see
qualifications other than a certificate, such as hands-on experience or some kind
2475
of degree, you might want to pursue those qualifications instead.
For more
information on researching the job market in your career field, see
EMPLOYMENT CHAPTER, beginning on PG. 906.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See FED. BUREAU OF LABOR STATISTICS, CERTIFICATES: A FAST TRACK TO CAREER, OCCUPATIONAL OUTLOOK QUARTERLY
(WINTER 2012-13), at 15-17.
2474
FED. BUREAU OF LABOR STATISTICS, CERTIFICATES: A FAST TRACK TO CAREER, OCCUPATIONAL OUTLOOK QUARTERLY (WINTER
2012-13), at 15-16; CTE Disciplines, UNIV. OF CAL. www.ucop.edu/agguide/career-technicaleducation/disciplines/index.html; CAL. DEP’T OF EDUC., CTE FRAMEWORK FOR CALIFORNIA PUBLIC SCHOOLS (2007); CTE
ONLINE, www.cteonline.org.
2475
See FED. BUREAU OF LABOR STATISTICS, CERTIFICATES: A FAST TRACK TO CAREER, OCCUPATIONAL OUTLOOK QUARTERLY
(WINTER 2012-13) at 12-13.
2473

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NOTE: Usually, community or technical colleges require that you have a high
school credential before you begin a CTE program. However, even if you don’t
have one, you still may be able to enroll. Most community and technical colleges
will have classes and support to help you earn your high school credential as
well as your CTE certificate. If the CTE program you are interested in is offered
at a four-year college or university, you will need to have a high school
credential to apply.

HOW MUCH TIME WILL IT TAKE TO EARN A CTE CERTIFICATE?
Many certificate programs can take less than a year to complete, and most are
designed to take less than 2 years. However, your total time in a program will
depend on the specific program and school you choose and whether you enroll
part-time or full time.

CERTIFICATES, LICENSES, AND CERTIFICATIONS
A certificate is not the same as an occupational license or a professional
certification. A certificate shows that you have completed a course of study and
training in a particular field. Certificates are awarded by CTE programs and many
certificate programs can take less than a year to complete, and most are
2476
designed to take less than 2 years.
However, your total time in a program will
depend on the specific program and school you choose, and whether you enroll
part-time or full time in school. After earning a certificate, you may also need to
get a license from the state or a certification from the professional organization
that regulates your job field.
A license shows that you have the government’s permission to practice your
occupation. State and local boards and agencies issue licenses.
A certification means that you have demonstrated that you’re skilled enough to
practice your occupation, usually by passing evaluations and/or documenting a
certain amount of work experience. Professional or industry organizations issue
2477
certifications.

HOW MUCH MONEY WILL IT COST TO EARN A CTE
CERTIFICATE?
If you’re currently incarcerated:
2478

2479

In a federal prison,
California state prison,
or California county jail,
CTE programs available should be provided at no cost to you (including
necessary materials and credentialing fees).

2480

any

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See FED. BUREAU OF LABOR STATISTICS, CERTIFICATES: A FAST TRACK TO CAREER, OCCUPATIONAL OUTLOOK QUARTERLY
(WINTER 2012-13) at 15-16. Some CTE programs are designed to take up to 2 years and lead to an associate’s degree
instead of a certificate. See U.S. DEP’T OF EDUC. OFFICE OF VOCATIONAL & ADULT EDUC., TAKE CHARGE OF YOUR FUTURE:
GET THE EDUCATION AND TRAINING YOU NEED (2012).
2477
See FED. BUREAU OF LABOR STATISTICS, CERTIFICATES: A FAST TRACK TO CAREER, OCCUPATIONAL OUTLOOK QUARTERLY
(WINTER 2012-13), at 4.
2478
U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, PROGRAM STATEMENT 5300.21, EDUCATION, TRAINING, AND LEISURE TIME
PROGRAM STANDARDS (Feb. 18, 2002); U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, A DIRECTORY OF BUREAU OF PRISONS’
NATIONAL PROGRAMS (May 2014); Education Programs, U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, CUSTODY & CARE:
EDUCATION PROGRAMS, www.bop.gov/inmates/custody_and_care/education.jsp.
2479
CAL. DEP’T CORR. & REHAB., OPERATIONS MANUAL, 101010.1–101010.4 (2015); CTE Programs, CAL. DEP’T OF CORR. &
REHAB.,DIV. OF REHABILITATIVE PROGRAMS, www.cdcr.ca.gov/rehabilitation/career-technical-education.html.
2480
CAL. VEH. CODE § 1900 et seq.; Adult Education Program Overview, CAL. DEP’T OF EDUC.,
www.cde.ca.gov/sp/ae/po/.
2476

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NOTE: While CTE programs are generally offered at no cost, if you have a high
balance in your trust account, your facility may decide to deduct some or all of
2481
the cost of the program from your account.

If you’re formerly incarcerated:
Your costs will vary based on your school, program, and course load. If you’re a
resident of the state where you enroll, the cheapest options will likely be
programs offered at community colleges or technical colleges, which are public
schools. Average tuition and fees per year are about $4,000 for in-state
students at public 2-year colleges, compared to about $15,000 at private 2-year
2482
colleges.
(See PG. 929 for tips on avoiding private schools that may be
scams.)
NOTE: Some schools and programs offer financial aid for low-income students.
Check with each school and program about overall costs, fee waivers, and
2483
financial aid.
For more information on fee waivers and financial aid, see
Paying for Your Education, starting on PG. 974.

HOW DO I FIND CTE PROGRAMS?
If you’re currently incarcerated…
In a federal prison: Every federal prison offers a different range of Occupational
Education (OE) programs, which may include certificate programs as well as
2484
programs leading to associate’s degrees.
Soon after you enter prison, your
Unit Team and Education Staff should give you an assessment and recommend
programs for you. If you have no stable work history or training record, you may
2485
be assigned to an OE program.
If you haven’t been assigned to an OE
program and would like to be, ask your Unit Team to place you in one. Your Unit
2486
Team will decide what OE course(s) may be right for you.
Notes on eligibility & timing: Certain OE programs may be open to you only if
2487
you have a high school credential or are working toward one.
Also, if you
need job training but spaces are limited, you might not be placed in an OE
program until the last several months of your sentence, to ensure that your
2488
training is current when you’re released.
In a California state prison: Every CDCR facility provides a different range of
CTE programs, all accredited by a nationally recognized agency. (For information
on accreditation, see PG. 929.) Since these CTE programs are properly
accredited, you should be able to transfer credits from these programs to a
college degree program. (For information on transferring credits, see PG. 964.)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Interview with Carmen Garcia, Legal Administrative Assistant, Root & Rebound (April 15, 2015).
See FED. BUREAU OF LABOR STATISTICS, CERTIFICATES: A FAST TRACK TO CAREER, OCCUPATIONAL OUTLOOK QUARTERLY
(WINTER 2012-13) at 12-13.
2483
CAL. VEH. CODE §§ 52501- 52503; CAL. CODE REGS. tit. 5 § 10560; Adult Education Program Overview, CAL. DEP’T OF
EDUC., www.cde.ca.gov/sp/ae/po/; Frequently Asked Questions, CAL. ADULT SCHOOLS,
www.californiaadultschools.org/cas/news/45-school-stories/118-faq.
2484
U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, PROGRAM STATEMENT 5353.01, OE PROGRAMS (Dec. 17, 2003) at 4. Note:
All federal correctional facilities are mandated to offer OE training, with these exceptions: metropolitan correctional
centers, metropolitan/federal detention centers, the Federal Transportation Center, satellite camps, and the
administrative maximum facility. U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, A DIRECTORY OF BUREAU OF PRISONS’
NATIONAL PROGRAMS (May 2014) at 6.
2485
U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, PROGRAM STATEMENT 5300.21, EDUCATION, TRAINING, AND LEISURE TIME
PROGRAM STANDARDS (Feb. 18, 2002). Otherwise, if you’re able to work, you should be assigned to a paid institution
job. See 28 C.F.R. pt. 545, subpt. C; U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, PROGRAM STATEMENT 5251.06, INMATE
WORK & PERFORMANCE PAY, www.bop.gov/policy/progstat/5251_006.pdf; U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS,
LEGAL RESOURCE GUIDE TO THE FEDERAL BUREAU OF PRISONS (2014) at 21.
2486
U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, PROGRAM STATEMENT 5353.01, OE PROGRAMS (Dec. 17, 2003) at 3.
2487
U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, PROGRAM STATEMENT 5300.21, EDUCATION, TRAINING, AND LEISURE TIME
PROGRAM STANDARDS (Feb. 18, 2002).
2488
U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, PROGRAM STATEMENT 5353.01, OE PROGRAMS (Dec. 17, 2003); U.S. DEP’T
JUSTICE FED. BUREAU OF PRISONS, A DIRECTORY OF BUREAU OF PRISONS’ NATIONAL PROGRAMS (May 21, 2014) at 6.
2481
2482

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There are no eligibility or testing requirements for CTE programs in CDCR
2489
facilities, but you will be limited by what programs your facility has available.
Ask your Correctional Counselor about what CTE programs are offered and how
you can sign up.
NOTE ON THE TRANSITIONS PROGRAM: Some CDCR facilities offer the
Transitions Program, which is a 4-5 week program that provides job readiness
and
money management skills, information about community programs, and
!
connections to social services in the county where you’ll be living. If your facility
has this program and you’re eligible, you may be assigned to participate at some
2490
point during the last 6 months before your release.
In a California county jail: Because programs vary greatly across county
facilities, you will need to check with your facility’s education department to see
if CTE programs are available.

If you’re formerly incarcerated
CTE programs are offered at community and technical colleges as well as fouryear colleges. To find CTE programs in your area:
•
•

Check your local public library for information about CTE programs, adult
schools, and colleges in your area.
Search on the Internet for nearby schools and programs. The following
websites are good starting points:
o California Community College Finder:
www.californiacommunitycolleges.cccco.edu/maps/map.asp;
o California Adult Schools: www.californiaadultschools.org/cas/;
o California Adult Education Provider Directory:
www.otan.us/caaeproviders/.

HOW DO I CHOOSE A CTE PROGRAM?
If you want to make an informed decision, it’s important to research the
qualifications required for the jobs you want, the quality of the schools you’re
2491
considering, and the current state of the job market.
(For tips on researching
the qualifications you need for the specific job(s) you want, see Setting Your
Goals, PG. 920.) When you know what skills and training you need, you can
begin evaluating individual CTE programs to find the one that is right for you. If
you have decided that a CTE program is the best path for you, see Choosing
Your Education Path, PG. 929, for tips on evaluating and choosing a program.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CDCR CTE programs are accredited by the Western Association of Schools and Colleges (WASC). Programs
focus on 6 career fields: building and construction; energy and utilities; finance and business; public service;
manufacturing and product development; and transportation. Some facilities offer programs in basic employment
skills, while others offer more advanced programs that can lead to a certificate, license, and/or certification. See
Office of Correctional Education, CAL. DEP’T OF CORR. & REHAB. DIV. OF REHABILITATIVE PROGRAMS,
www.cdcr.ca.gov/rehabilitation/oce.html; CAL. DEP’T CORR. & REHAB., OPERATIONS MANUAL 101010.3.4–101010.5.4
(2015); CTE Programs, CAL. DEP’T OF CORR. & REHAB. DIV. OF REHABILITATIVE PROGRAMS,
www.cdcr.ca.gov/rehabilitation/career-technical-education.html.
2490
Facilities offering the Transitions Program include: Avenal State Prison, Central California Women’s Facility,
California Institutino for Men, California Institution for Women, California Men’s Colony, Correctional Training
Facility, Chuckawalla Valley State Prison, Folsom Women’s Facility, High Desert State Prison, Ironwood State Prison,
California State Prison—Los Angeles County, Substance Abuse Treatment Facility, and Valley State Prison. For a
current list of facilities that offer the Transition Program, see Transitions Programs, CAL. DEP’T OF CORR. & REHAB. DIV.
OF REHABILITATIVE PROGRAMS, www.cdcr.ca.gov/rehabilitation/transitions-program.html.
2491
FED. BUREAU OF LABOR STATISTICS, CERTIFICATES: A FAST TRACK TO CAREER, OCCUPATIONAL OUTLOOK QUARTERLY (WINTER
2012-13).
2489

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HOW DO I ENROLL IN A CTE PROGRAM?
Generally, to enroll in a CTE program at a community or technical college, you
just need to fill out the paperwork and register for classes. Most programs have
“open admissions,” meaning that if you meet the educational requirements, you
will be admitted automatically, if space is available. For programs that are very
popular, you may have to submit an application and be accepted to the program
before you can enroll (admission is not automatic). To learn more about program
requirements and enrollment policies, you can call the admissions office of the
school you are interested in. This information is also usually available on the
school’s website.
Four-year colleges generally require you to submit an application for admission
and be accepted to the school before you can enroll and register for classes.
Applications often are available online (and can be submitted online), or you can
call the school’s admissions office and ask them to send you an application by
regular mail or email. There is usually a nonrefundable fee for applying, but you
may be able to get the fee waived.
OTHER OPTIONS FOR CAREER AND TECHNICAL TRAINING
Apprenticeships: These are usually offered through trade unions that pay you a
salary while you learn a specific trade or profession. Apprenticeships allow you
to gain knowledge and hands-on experience in your chosen field, under the
2492
guidance of more experienced employees.
Many federal and state facilities
offer apprenticeships through contracts with colleges and technical schools, and
many are registered through the Department of Labor’s Office of
2493
Apprenticeship.
For more information on apprenticeship programs, check
these resources:
•
•

U.S. Department of Labor’s Office of Apprenticeship at
http://www.doleta.gov/oa/;
CareerOneStop at http://www.careeronestop.org.

Job Corps: Job Corps offers young people aged 16–24 the chance to get a free
education and skills training while being paid a monthly allowance. Usually Job
Corps participants live at a Job Corps residence while getting their training. To
learn more about Job Corps and find the Job Corps center near you, call 1 (800)
733-5627 or go to http://www.jobcorps.dol.gov.

COLLEGE & UNIVERSITY ACADEMIC DEGREES
If you have the desire, time, and financial resources to explore a wider range of
academic subjects and skills, you may want to pursue a college degree. In
college you can study a diverse range of topics, instead of focusing only on the
skills you need for one type of job; and you can develop a broad foundation of
writing and critical thinking skills to sharpen your mind and prepare you for a
2494
wide variety of careers.
A college degree also may help you qualify for more
2495
secure, higher-status, and better-paying jobs.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

U.S. DEP’T OF EDUC. OFFICE OF VOCATIONAL & ADULT EDUC., TAKE CHARGE OF YOUR FUTURE: GET THE EDUCATION AND
TRAINING YOU NEED (2012).
2493
U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, A DIRECTORY OF PRISONS’ NATIONAL PROGRAMS (May 21, 2012).
2494
In addition, attending college can allow you develop social connections with peers and teachers, which can be
personally enriching and professionally useful. See Why Go to College?, SCHOLARSHIPS.COM,
www.scholarships.com/resources/college-prep/preparing-for-college/why-go-to-college/.
2495
See FED. BUREAU OF LABOR STATISTICS, HIGH WAGES AFTER HIGH SCHOOL—WITHOUT A BACHELOR’S DEGREE,
OCCUPATIONAL OUTLOOK QUARTERLY, Summer 2012, www.bls.gov/careeroutlook/2012/summer/art03.pdf; U.S BUREAU
OF LABOR STATISTICS, THE 2004-14 JOB OUTLOOK FOR PEOPLE WHO DON ’T HAVE A BACHELOR’S DEGREE, OCCUPATIONAL
2492

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If you’re currently incarcerated
You likely do not have access to in-person college programs, but you may be
able to pursue a college degree through Distance Education. (See PG. 965 for
information on Distance Education programs.)

If you’re formerly incarcerated
You can pursue a college degree at a community or junior college, a technical
2496
school, or 4-year college or university. While college can be expensive,
there
are ways to reduce and supplement the expense (see Paying for College,
2497
PG. 974).

IS GOING TO COLLEGE THE RIGHT CHOICE FOR ME?
PROS:
•
•

•

•

•

Can be a time to explore new and
different areas of study.
Can help you build social and
professional networks with classmates
and instructors.
Can help you develop reading, writing,
and analytical skills that are useful for
many careers, and in daily life.
Can prepare and qualify you for better
jobs, increase your chances of getting
hired, and boost your wages in the
2498
long run.
Can prepare and qualify you for
graduate or professional study, which
may lead to even better jobs.

CONS:
•

•
•

•

•

Can be time consuming and may
delay your entry into the
workforce.
College campus life can be
distracting and overwhelming.
Academic coursework may not
give you the specialized technical
skills and training you need for
certain careers.
A college degree is not necessary
or even helpful in some career
fields.
Can be very expensive—if you
take out loans to pay for school,
you may end up with a lot of debt.

Depending on your career goals, your life situation, and your access to
resources like financial aid, college may or may not be the best option for you
now. The following sections of this chapter will provide details about the
different types of college degree programs so that you can make an informed
decision.

WHAT ARE THE DIFFERENT KINDS OF ACADEMIC DEGREES?
There are three main categories of college degrees:
•
•
•

Associate degrees
Bachelor’s degrees
Graduate Academic and Professional degrees.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
OUTLOOK QUARTERLY, Fall 2006; Adam Ozimek, Should Everyone Go to College? FORBES.COM (May 29, 2014),
www.forbes.com/sites/modeledbehavior/2014/05/29/should-everyone-go-to-college/; but see Data on Display:
Education Still Pays, FED. BUREAU OF LABOR STATISTICS, www.bls.gov/careeroutlook/2014/data-ondisplay/print/education-still-pays.htm.
2496
See Dale J. Stephens, Do You Really Have to Go to College? NEW YORK TIMES (Mar. 7, 2013),
www.thechoice.blogs.nytimes.com/2013/03/07/do-you-really-have-to-go-to-college/?_r=0; but see Why Students
Don’t Go to College, SCHOLARSHIPS.COM, www.scholarships.com/resources/college-prep/preparing-for-college/whystudents-dont-go-to-college/.
2497
See FED. BUREAU OF LABOR STATISTICS, PAYING FOR COLLEGE: STRATEGIES TO AFFORD HIGHER EDUCATION TODAY,
OCCUPATIONAL OUTLOOK QUARTERLY, Spring 2013, www.bls.gov/careeroutlook/2013/spring/art01.pdf.
2498
See FED. STUDENT AID, FACT SHEET: WHY GO TO COLLEGE?, www.studentaid.ed.gov/sites/default/files/why-go-tocollege.pdf (citing 2011 Current Population Survey, FED. BUREAU OF LABOR STATISTICS).

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Different degrees are awarded in different subject and career areas, and they all
have different requirements. For some degrees you have to earn another degree
first, before you can pursue them. The various degrees are discussed in detail
below

ASSOCIATE DEGREE PROGRAMS
WHAT IS AN ASSOCIATE DEGREE?
An associate degree (sometimes called a “two-year” degree) is an
undergraduate college degree that is awarded by community and junior colleges
(sometimes called “two-year colleges”), technical schools, and some four-year
colleges and universities. Associate degree programs are designed to take two
years of full-time study to complete (but part-time students may take longer),
and generally require students to take various general education courses like
English, math, and science. An associate degree can be a stepping-stone toward
earning a bachelor’s degree or can prepare you to enter the workforce
2499
directly.

WHAT ARE SOME OF THE ADVANTAGES OF PURSUING AN
ASSOCIATE DEGREE?
An Associate Degree is a great option for many people because:
• It can be earned in only 2 years;
• It costs less than a 4-year degree;
• It gets you into the workforce faster;
• The programs are more flexible, and can be scheduled around work or other
obligations;
• It can be a low-cost stepping stone to a 4-year college or university, if you
transfer credits (see PG. 964 for more information on transferring credits).

WHAT TYPES OF ASSOCIATE DEGREES ARE THERE?
There are two categories of associate degrees:
• Associate of Arts (AA)/Associate of Science (AS)
• Associate of Applied Arts (AAA)/Associate of Applied Science (AAS).
AA and AS degree programs tend to be designed for students who eventually
want to earn a bachelor’s degree at a four-year college or university. Therefore,
these programs focus more on preparing students for higher levels of academic
study. The courses offered and credits earned in an AA or AS program are
meant to be easily transferred to a four-year college. (See PG. 964 for
information on transferring credits.)
The “Applied” degrees (AAA and AAS), on the other hand, are more geared
toward preparing students for a particular career. Therefore, these programs

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

U.S. DEP’T OF EDUC. OFFICE OF VOCATIONAL & ADULT EDUC., TAKE CHARGE OF YOUR FUTURE: GET THE EDUCATION AND
TRAINING YOU NEED (2012). See also Quick Guide: Your College Degree Options, COLLEGE BOARD,
www.bigfuture.collegeboard.org/find-colleges/college-101/quick-guide-your-college-degree-options.
2499

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emphasize more technical and vocational skills. AAAs and AASs are the college
2500
degree equivalent of CTE certificates.

HOW CAN I DECIDE IF AN ASSOCIATE DEGREE IS RIGHT FOR ME,
AND WHICH TYPE I SHOULD GET?
An AA or AS degree may be a good choice if your main priority is not just to gain
practical job skills, but also to sharpen your academic skills, explore diverse
areas of study, and engage in critical analysis. They may also be a good choice if
you intend to continue on to get your bachelor’s degree, but you want to save
on costs. When you transfer your AA or AS credits to a four-year college, you
can get up to half of the required credits for your bachelor’s degree at a fraction
2501
of the cost.
An AAA or AAS degree may be a good choice for you if you want to learn
technical skills for a specific occupation, but you also want to have a college
degree (not just a certificate). These degrees are also good for you if you want
the technical, practical skills to work now, but you think that you might
2502
eventually want to get a higher college degree.
NOTE: In California, all public (state-funded) universities are required to
guarantee a number of openings for students transferring from California
Community
Colleges (one transfer student for every two freshman admitted).
!
This means that you have a good chance of getting into a California State
University or a University of California school if you transfer in from a community
2503
college.

HOW MUCH WILL IT COST TO EARN AN ASSOCIATE DEGREE?
Comparing Types of Associate Degrees:
AA/AS may be right for you if…
You want to go on to earn a bachelor’s
degree;
You want to transfer your credits to a
4-year college or university;
You want to sharpen your academic
skills;
You want to get into the workforce
sooner

AAA/AAS may be right for you if…
You want a college degree;
You want a college degree;
You want to get into the workforce
sooner;
You want to get into the workforce

The cost of earning an Associate degree varies greatly depending on the
institution that you enroll in.
•

In California, public community colleges are among the most economical
choices for earning a college degree. Technically, there is no tuition,
however, there are enrollment fees that are charged per credit-unit that you
take.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Olivia Crosby, Associate Degree: Two Years to a Career or a Jump Start to a Bachelor’s Degree, OCCUPATIONAL
OUTLOOK QUARTERLY, Winter 2002-03.
2501
Olivia Crosby, Associate Degree: Two Years to a Career or a Jump Start to a Bachelor’s Degree, OCCUPATIONAL
OUTLOOK QUARTERLY, Winter 2002-03.
2502
Olivia Crosby, Associate Degree: Two Years to a Career or a Jump Start to a Bachelor’s Degree, OCCUPATIONAL
OUTLOOK QUARTERLY, Winter 2002-03.
2503
STANFORD CRIMINAL JUSTICE CENTER/CHIEF JUSTICE EARL WARREN INSTITUTE ON LAW & SOCIAL POLICY, DEGREES OF
FREEDOM: EXPANDING OPPORTUNITIES FOR CURRENTLY AND FORMERLY INCARCERATED CALIFORNIANS (Feb. 2015); see also U.S.
DEP’T OF EDUC. OFFICE OF VOCATIONAL AND ADULT EDUC., TAKE CHARGE OF YOUR FUTURE: GET THE EDUCATION AND
TRAINING YOU NEED ( 2012).
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At the time of publication, the enrollment fee for California residents is
2504
$46 per credit-unit.
o This per-unit enrollment fee is for California residents and is the same
for all public community colleges across the state.
o Full-time enrollment is generally 12 credit-units per week (1 credit-unit =
1hour of class time), but you can take more or less if you like. (You may
be eligible for a waiver of this fee, see PG. 979 for information on
waiving community college enrollment fees.)
Private community colleges and four-year colleges are the most expensive
options (costs vary greatly, but may be several thousands of dollars).
o

•

!

IMPORTANT: Tuition or per-unit fees do not include other costs
associated with enrolling in a college program such as books, school
supplies, and transportation.

HOW DO I FIND AN ASSOCIATE DEGREE PROGRAM?
If you’re currently incarcerated:
In a federal prison: Federal correctional facilities offer Associate degrees
2505
through the Occupational Education Program.
Programs vary by facility, so
check your Unit Team to find out what Associate degree programs are available
2506
in your facility.
In a California state prison: Currently, San Quentin State Prison is the only
2507
CDCR facility that offers an in-facility Associate degree program.
If you are
housed in any other facility, your only options may be Distance Education (see
PG. 965 for more information) or correspondence courses (see PG. 969 for more
information).
In a California county jail: Education programs vary greatly across county
facilities. You will need to check with your facility’s education department to see
if any Associate degree programs are offered. (Note: Because of the time
commitment required by college degree programs, many county jail facilities,
which generally house people only for limited periods of time, may not offer
them. However, this may be changing as people who are sentenced under
realignment find themselves serving more extended county jail sentences.)

If you’re formerly incarcerated:
•
•
•

Research schools and programs at your local public library
Visit an America’s Job Center of California (see PG. 914 for information on
America’s Job Centers).
Search for your local community college on the Internet:
o California Community Colleges Chancellor’s Office at
http://www.cccco.edu/.
o American Association of Community Colleges at
http://www.aacc.nche.edu.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See CAL. CMTY COLLS. CHANCELLOR’S OFFICE, http://www.cccco.edu/.
U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, PROGRAM STATEMENT 5353.01, OE PROGRAMS (Dec. 17, 2003) at 4,
www.bop.gov/policy/progstat/5353_001.pdf. Note: All federal correctional facilities are mandated to offer OE
training, with these exceptions: metropolitan correctional centers, metropolitan/federal detention centers, the
Federal Transportation Center, satellite camps, and the administrative maximum facility. U.S. DEP’T JUSTICE FED.
BUREAU OF PRISONS, A DIRECTORY OF BUREAU OF PRISONS’ NATIONAL PROGRAMS (May 21, 2014) p.6.
2506
U.S. DEP’T JUSTICE FED. BUREAU OF PRISONS, PROGRAM STATEMENT 5353.01, OE PROGRAMS (Dec. 17, 2003).
2507
About Us, PRISON UNIV. PROJECT, http://www.prisonuniversityproject.org/about-usPUP reference.
2504
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BACHELOR’S DEGREE PROGRAMS
WHAT IS A BACHELOR’S DEGREE? HOW CAN IT HELP ME?
Bachelor’s degrees are offered by four-year colleges and universities. Bachelor’s
degree programs are designed to take four years of full-time study to complete,
however, many students choose to complete them in five years, and part-time
students may take even longer. Students are required to take a variety of
general education courses, plus several courses in a specific area of study called
a major, that the student chooses. A bachelor’s degree can be a stepping-stone
toward earning a graduate or professional degree, and is required for many
2508
high-salary, high-status jobs.
PROS:

CONS:

•

Qualifies you for jobs across more
professional fields (for example,
engineering, architecture,
accounting)

•

Generally no “open admissions”—
requirements are extensive, and
competition can be fierce

•

May increase your competitiveness
in the job market for higher-level,
better-paying jobs

•

Courses are academically rigorous,
and may be difficult for people who
have been out of school for a long
time

•

Qualifies you to pursue graduate
academic and professional degrees

•

Class schedules tend to be less
flexible, making it harder to juggle
other obligations

•

Makes you eligible for more
scholarships and grants

•

Programs can be expensive—higher
tuition and fees can lead to more
student debt

WHAT TYPES OF BACHELOR’S DEGREES ARE THERE?
There are two main kinds of Bachelor’s degrees: Bachelor of Arts (BA) degrees
2509
and Bachelor of Science (BS) degrees.
BAs are awarded for programs of
study that focus on areas within the liberal arts, humanities, or social studies
(such as English, Psychology, or History). BSs are awarded for programs of study
that focus on areas within the “hard” sciences, such as Math, Biology, Chemistry,
2510
or Physics.

HOW MUCH WILL IT COST TO EARN A BACHELOR’S DEGREE?
Bachelor’s degrees from four-year colleges and universities are expensive. They
can cost in the hundreds of thousands of dollars. Most people require financial
assistance from federal or state student aid programs, or from private
organizations to pay their tuition. (For information on Paying for College, see
PG. 974.)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

U.S. DEP’T OF EDUC. OFFICE OF VOCATIONAL & ADULT EDUC., TAKE CHARGE OF YOUR FUTURE: GET THE EDUCATION AND
TRAINING YOU NEED (2012). See also Quick Guide: Your College Degree Options, COLLEGE BOARD,
www.bigfuture.collegeboard.org/find-colleges/college-101/quick-guide-your-college-degree-options.
2509
Most Bachelor’s degrees fall into one of these two categories, however there are a number of specialized
Bachelor’s degrees such as Bachelor’s of Fine Arts and Bachelor’s of Architecture.
2510
U.S. DEP’T OF EDUC. OFFICE OF VOCATIONAL & ADULT EDUC., TAKE CHARGE OF YOUR FUTURE: GET THE EDUCATION AND
TRAINING YOU NEED (2012). See also Quick Guide: Your College Degree Options, COLLEGE BOARD,
www.bigfuture.collegeboard.org/find-colleges/college-101/quick-guide-your-college-degree-options.
2508

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NOTE ON PUBLIC VS. PRIVATE SCHOOLS

!

Both public and private colleges and universities offer Bachelor’s degree
programs.
Public schools are partially funded by government taxes and usually
!
charge lower tuition (especially for in-state residents). They tend to have a larger
student
population and larger class sizes. Private schools are generally more
!
expensive, and tend to focus on keeping classes small and exposing students to
2511
many different subjects.

NOTE: Most schools require that you have lived in California for a certain period
2512
of time in order to get the discounted “resident” or “in-state” tuition rate.
Some
schools will consider time that you spent incarcerated in California
!
towards this requirement. Check with your school’s admissions and financial aid
offices to find out if your period of incarceration qualifies you as a California
resident under that school’s policy.

HOW DO I FIND A BACHELOR’S DEGREE PROGRAM?
If you’re currently incarcerated
•

•

Earn college credits. Unfortunately, at the time of this publication, there
currently are no four-year Bachelor’s degree programs offered in federal,
state, or county correctional facilities in California, and correspondence
courses that advertise four-year degrees should not be trusted. However, you
can earn college credits while you are incarcerated which can be applied
toward a four-year degree after you are released. (For information on how to
earn college credits while you are incarcerated, see Associate Degree
Programs, PG. 956, and Distance Education, PG. 965. For information on how
to transfer college credits that you earn while you are incarcerated, see
PG. 964. For information on how to tell if a school or program is a scam, see
PG. 929.)
Plan and Prepare. There is plenty you can do to plan and prepare for your
post-release education while you are still incarcerated. You can research
schools (see PG. 949), complete applications (see PG. 938), take placement
tests (see PG. 934), and apply for financial aid (see PG. 974)

If you’re formerly incarcerated
•
•

Visit your public library and ask the librarian to show you to the section on
college guides.
Search colleges and universities on the Internet. You can search based on
location, cost, program or degree options, or rankings.
o
o
o

The College Board: www.bigfuture.collegeboard.org/find-colleges;
www.campusexplorer.com/4-year-colleges-and-universities;
The National Center for Education Statistics, College Navigator tool:
http://nces.ed.gov/collegenavigator/;
The National Association of College Admission Counseling:
http://www.nacacnet.org/studentinfo/PG.s/Default.aspx

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Public v. Private Colleges, MY COLLEGE OPTIONS,
www.mycollegeoptions.org/Core/SiteContent/Students/Advice/College-Resource-Center/College-Search--Selection/College-Choices/Public-Vs-Private-Colleges.aspx; Erika Ward, Private v. Public College: Which is Best for
Me?, CAMPUS EXPLORER, http://www.campusexplorer.com/college-advice-tips/C6F3EE61/Private-vs-Public-CollegeWhich-is-Best-For-Me/.
2512
CAL. VEH. CODE §§ 68000-68084, 68120-68134, 89705-89707.5; CAL. CODE REGS. tit. 5, §§ 41900-41916.
2511

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College Resources for People in Reentry
Project Rebound is an academic support program at San Francisco State
University that helps currently and formerly incarcerated people enroll and stay
in college. Project Rebound answers letters from people incarcerated across
California and helps them apply to college before they’re released. Once people
enroll in college, Project Rebound connects them to supportive resources on
2513
campus and in the community.
Project Rebound
Associated Students Inc.; Cesar Chavez Student Center
1650 Holloway Avenue, T-138; San Francisco, CA 94132-1722
Phone: (415) 405-0954 / FAX: (415) 338-0522
Email: projectrebound@asi.sfsu.edu
Web: www.asi.sfsu.edu/asi/programs/proj_rebound/about.html
!

Extended Opportunities Program and Services (EOPS)/Second Chance is an
.
academic
support program at City College of San Francisco (a community
college) for low-income people who are currently enrolled, or who want to enroll,
! CCSF.2514 EOPS provides book vouchers, financial aid, and counseling, among
at
other services.
EOPS/Second Chance
50 Phelan Ave; San Francisco, CA 94112
General office phone: (415) 239-3562
2515
Outreach coordinator: (415) 239-3075
Underground Scholars Initiative (USI) is and academic support program at U.C.
Berkeley aimed at connecting formerly incarcerated students with resources and
information, including peer counseling, scholarship information, campus and
community advocacy, and networking with other service organizations, to
2516
increase each student’s prospects of success at U.C. Berkeley
Underground Scholars Initiative
2400 Bancroft Way, #7, Berkeley, CA 94704
Phone: (510) 643-2226

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Project Rebound, ASSOCIATED STUDENTS, INC. OF SF, http://asi.sfsu.edu/asi/programs/proj_rebound/about.html.
Extended Opportunity Programs and Services, CITY COLL. OF SAN FRANCISCO, http://www.ccsf.edu/en/studentservices/student-counseling/extended-opportunity-programs-and-services.html.
2515
EOPS Second Chance, CITY COLL. OF SAN FRANCISCO, http://www.ccsf.edu/en/student-services/studentcounseling/extended-opportunity-programs-and-services/services/second_chance.html.
2516
Underground Scholars Initiative, UNIV. CAL. BERKELEY, https://callink.berkeley.edu/organization/usi/about.
2513
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APPLYING TO COLLEGE
If you have decided that you want to apply to a four-year college or university,
there are several documents you will need to gather or prepare, as well as other
2517
tasks you will need to complete before you apply.

WHAT WILL I NEED TO APPLY FOR COLLEGE?
You will need the following important documents:
•
•
•
•
•
•
•

The Application (see PG. 962)
Fee Payment or Fee Waiver Form (see PG. 962)
High School Credential (see PG. 940)
Transcripts for any high school or college coursework you’ve done (see
PG. 940)
Letters of Recommendation and personal references (see PG. 964)
College Admissions Test Scores (see PG. 962)
Immunization/Vaccination Records (see PG. 918)

The Application
Depending on the program and the school you are applying to, there may be a
formal school-specific application you must complete or there may be a general
application that is good for several schools. This will depend on the school you
are applying to, so be sure to ask whether there is a specific application you
must complete or if there is a general application available.

Fee Payment or Fee Waiver
Almost all schools require a payment in order to process your application. This
fee may range any where from $20—80. But don’t be discouraged! Many
schools also offer fee waivers. To see whether or not you qualify for a fee
waiver, first look at the school’s website and see if you can find information as to
how to apply for a fee waiver. You may also call the school’s admission office
and ask for one directly. But be sure to do this EARLY as many schools may run
out of the number of fee waivers they can provide to students. If you receive a
fee waiver, you do not have to pay this application fee but instead will include
proof of the waiver with your application.

College Admissions Tests
SAT & ACT. The SAT and ACT are standardized college admissions tests. Almost
everyone who applies to a four-year college or university must take one of these
tests. Schools use applicants’ scores on these exams to make admissions
decisions. The SAT covers math, reading, and writing, and focuses more on
vocabulary and how well you can reason. It’s more popular with private schools,
2518
and with schools on the East and West coasts.
The ACT covers math, English,
science, and reading, and focuses more on how much you know about the
subjects being tested. It’s more popular with public schools, and with schools in
the South and the Midwest. (See Appendix C, PG. 990, for more details on ACT
2519
policies.)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Tips for Students to Consider Before Enrolling at a Private Postsecondary School, CAL. DEP’T OF CONSUMER
AFFAIRS BUREAU FOR PRIVATE POSTSECONDARY EDUC., www.bppe.ca.gov/students/tips.shtml.
2518
About the SAT, SAT, http://sat.collegeboard.org/about-tests/sat; ACT vs. SAT: Key Differences between the
ACT and the SAT, STUDY POINTS, http://www.studypoint.com/ed/act-vs-sat/.
2519
ACT vs. SAT: Key Differences between the ACT and the SAT, STUDY POINTS, http://www.studypoint.com/ed/actvs-sat/.
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HOW MUCH DOES IT COST TO TAKE THESE TESTS?
The registration fee for the 2015-2016 SAT is $54.50 for the full test, and $43.00
2520
if you do not take the essay portion.
The registration fee for the ACT is
2521
$54.50 for the full test, and $38 if you do not take the writing portion.
Before
you sign up for either test, confirm which test the school your are applying to
accepts, and whether it requires you to take the full test.

HOW DO I SIGN UP FOR THESE TESTS?
If you’re currently incarcerated:
•

•

WHAT IF I CAN’T
TAKE IT BECAUSE
I AM
INCARCERATED?

The SAT has no established procedure for allowing people who
are incarcerated to take the test. You should check with your
facility’s Education Department to see if you can arrange to
2522
take the SAT.
On the other hand, the ACT specifically allows
people who are incarcerated to register for and take the test.
This is called “arranged testing.” To ask for arranged testing,
you will need to get and submit ACT’s “Request for Arranged
Testing” form. You can get a copy of this form by calling the
ACT Arranged Testing Line at 319-337-1510 or by writing to:
ACT Arranged Testing, 301 ACT Drive, P.O. Box 168, Iowa City,
IA 52243-0168.
This form is also available online at
http://www.actstudent.org/faq/confined.html (if you have
2523
someone who can download it for you).

If you are unable to
take the SAT or
ACT while you are
incarcerated, you
can still study and
prepare for either
test so that you are
ready to be tested
as soon as you are
released.

If you’re formerly incarcerated:
•

•

2524

SAT—You can register online at http://sat.collegeboard.org/register/.
You
can also request a paper registration form by writing to: College Board SAT
2525
Program P.O. Box 025505 Miami, FL 33102, or by calling (866) 756-7346.
2526
ACT—You can register online at http://www.actstudent.org/regist/,
You
can also request a Register-By-Mail packet by writing to: ACT Student
Services, 2727 Scott Blvd., minizip 46, P.O. Box 414, Iowa City, IA 52243-0414
or by calling (319) 337-1270 (See Appendix C, PG. 990, for more details on
ACT policies.).

HOW DO I PREPARE FOR THE SAT OR THE ACT?
If you’re currently incarcerated…
•
•

Check your facility’s library for SAT and ACT test preparation guides and
materials.
The College Board (the company that makes the SAT) offers free sample
tests and questions for study preparation. You can request these materials by
writing to: College Board SAT Program, P.O. Box 025505, Miami, FL 33102 or
by calling SAT Program Customer Service at (866) 756-7346.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

SAT Fees for 2015-16, College Board, http://professionals.collegeboard.com/testing/sat-reasoning/register/fees.
Current ACT Fees and Services, THE ACT, http://www.actstudent.org/regist/actfees.html.
Interview with Belinda (last name unknown), supervisor, SAT Testing Services (December 2, 2014).
2523
Can homebound or confined students take the ACT? THE ACT, www.actstudent.org/faq/confined.html. Form
available at Policies for the Arranged Testing 2014-2015, THE ACT, http://www.act.org/aap/pdf/arranged.pdf.
2524
Register for the SAT, THE SAT, http://sat.collegeboard.org/register/.
2525
Standing By, THE SAT, http://sat.collegeboard.org/contact.
2526
How do I Sign Up for the ACT?, THE ACT, http://www.actstudent.org/regist/.
2520
2521
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•

•

ACT offers a free guide for preparing for the test. You can request a copy by
writing to: ACT Student Services, 2727 Scott Blvd., minizip 46, P.O. Box 414,
Iowa City, IA 52243-0414 or by calling ACT at (319) 337-1270.
You can purchase test preparation guides and materials for both tests from
approved online venders such as amazon.com and Barnes & Noble.

If you’re formerly incarcerated:
•
•

•
•

Check your local library for SAT and ACT test preparation guides and
materials.
You can also buy these guides at almost any bookstore and from online
retailers such as amazon.com. You can also check used bookstores which
may sell previous versions of these guides at a discount. (NOTE: These tests
are contantly changed and updated. To make sure that you’re studying the
right material, do not buy guides that are more than a couple of years out of
date.)
Free SAT resources, including practice tests and questions, are available
online at www.sat.collegeboard.org/practice/.
ACT’s free test preparation guide is available online at
http://www.actstudent.org/testprep/.

LETTERS OF RECOMMENDATION
Letters of recommendation positively describe your character traits,
accomplishments, and qualifications, and recommend that you be accepted to a
program, school, or job. They can be written by past employers, case managers,
supervisors, community leaders, or teachers (but not your family members). They
should include each person’s relationship to you, company name and job title,
2527
and contact information.

EARNING & TRANSFERRING COLLEGE
CREDITS—GOOD OPTIONS IF YOU ARE
INCARCERATED
If you completed any Career & Technical Education (CTE) or college-level
courses, whether before, during or after your incarceration, you may be able to
apply the credit you earned from those courses toward a CTE certificate or a
2528
college degree. This is called “transferring” credits.
The new school you
enroll in recognizes the work you did previously (either while incarcerated or at
your previous school), and does not make you retake those classes in order to
2529
earn your degree.
Generally, CTE programs and community colleges will accept credit from
correspondence courses or other programs you completed while incarcerated.
Four-year colleges and universities may accept some of these credits,
depending on the program. Four-year colleges generally accept transfer credits
earned at community colleges. Each school will have a different policy for
applying transfer credits toward a certificate or degree program.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

U.S. DEP’T OF EDUC. OFFICE OF VOCATIONAL AND ADULT EDUC., TAKE CHARGE OF YOUR FUTURE: GET THE EDUCATION AND
TRAINING YOU NEED (2012).
2528
U.S. DEP’T OF EDUC. OFFICE OF VOCATIONAL AND ADULT EDUC., TAKE CHARGE OF YOUR FUTURE: GET THE EDUCATION AND
TRAINING YOU NEED (2012); see also Transferring Colleges, MY COLLEGE GUIDE,
http://mycollegeguide.org/guru/15/transferring-colleges.
2529
U.S. DEP’T OF EDUC. OFFICE OF VOCATIONAL AND ADULT EDUC., TAKE CHARGE OF YOUR FUTURE: GET THE EDUCATION AND
TRAINING YOU NEED (2012); What is College Transfer, COLLEGETRANSFER.NET,
http://www.collegetransfer.net/AskCT/WhatisCollegeTransfer/tabid/2320/default.aspx.
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NOTE: Generally, you must have completed the course within the last 10 years

! and earned a C or better for a school to give you credit for it. Also, you cannot
transfer credits from a non-accredited program to an accredited program.
(See PG. 938 for information on “accreditation.”)

HOW CAN I FIND OUT IF MY CREDITS WILL TRANSFER?
The best way to make sure that your credits will transfer to your new school is to
call or write to the new school’s Registrar Office directly and ask. There are also
online resources that may help you find out if and where you can transfer your
credits. These include:
• ASSIST (http://www.assist.org/)—shows how credits earned at one public
California college can be applied when transferred to another.
• CollegeTransfer.net (https://www.collegetransfer.net/)—walks you through
transfer options at all education levels.

HOW DO I TRANSFER MY CREDITS?
Once you make sure that your credits will transfer to the school you want to
attend, the transfer process is simple. When you are applying to your new
school, you will need to request your official transcripts from any college or
program that you attended in the past, and have them sent to your new
2530
school.
You must request your official transcripts—the official record of your
grades from the school’s administration records. To find out how to request your
official transcripts, contact the admissions and records office of the school you
attended.

NOTE: If you earned college credit while incarcerated, you will need to contact
the
! school that provided the course or program to request a copy of your official
transcripts. You do not get them from the facility where you were
2531
incarcerated.

DISTANCE EDUCATION
WHAT IS DISTANCE EDUCATION?
Distance Education (also called Distance Learning) is an education program that
uses various technologies to deliver instruction to students who are separated
from the teacher. It is a way for students to take a formal course of study (high
school, vocational, or college-level) without having to travel to the classroom.
Although the students and the teachers are separated, the hallmark of Distance
2532
Education is regular and substantial interaction between them.
Distance
Education courses usually incorporate multiple forms of media, including printed
materials, CDs or DVDs, audio recordings, telephone communication, audio or

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

U.S. DEP’T OF EDUC. OFFICE OF VOCATIONAL AND ADULT EDUC., TAKE CHARGE OF YOUR FUTURE: GET THE EDUCATION AND
TRAINING YOU NEED (2012); see also What is College Transfer, COLLEGETRANSFER.NET,
http://mycollegeguide.org/guru/15/transferring-colleges.
2531
ANNA CRAYTON & NICOLE LINDAHL, BACK TO SCHOOL: A GUIDE TO CONTINUING YOUR EDUCATION AFTER PRISON, PRISONER
REENTRY INSTITUTE, JOHN JAY COLLEGE OF CRIMINAL JUSTICE (2010).
2532
34 C.F.R. § 600.2. See also U.S. DEP’T. OF EDUC. FED. STUDENT AID, FEDERAL STUDENT AID HANDBOOK 2014-2015, vol.
2, ch. 2 at 12.
2530

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video conferencing, email, and Web-casts and Internet streaming. There are two
types of Distance Education interaction modes: “synchronous” and
2533
“asynchronous” instruction.

HOW DO THE TWO TYPES OF DISTANCE EDUCATION WORK?
Synchronous instruction means that all of the students and the instructor(s)
participate in the class at the same time, even though they are not in the same
place. This is usually done through “live” teleconferencing, video conferencing
web conferencing, or Internet chats. The class is given at a set time, and
everyone calls or logs in at that time to participate. Synchronous courses can
2534
offer a level of interactivity similar to that of a traditional face-to-face class.
Asynchronous instruction does not require that the student(s) and the
instructor(s) participate at the same time. Students choose when they want to
study the course materials or interact with the instructor(s). Asynchronous
instruction is more flexible than synchronous instruction, but offers less
interactivity because it is not “live.” In asynchronous instruction, course
materials and communications are often delivered via CDs or DVDs, by
traditional mail correspondence, or through e-mails, listservs and Internet
2535
downloads.

ARE THERE BENEFITS TO DISTANCE EDUCATION?
PROS:
•

•

•
•
•

Classes and programs are
available to students who
cannot attend in person!
Saves students time because
they don’t have to travel to
classes!
Often cheaper than locationbased classes!
Often offers more flexible
scheduling !
Less likely to be subject to
class-size restrictions (i.e.
classes available to more
students)

CONS:
•
•
•

•
•

Less interactivity and support than
traditional classroom learning
Students must be self-motivated and selfdirected
Most programs require knowledge of and
access to computers, Web browsers,
email, and word-processing programs
Some programs require continuous
access to the Internet
Students miss out on benefits of
classroom attendance, such as getting to
know the instructor/ other students, and
group discussions of views and
2536
opinions

BEWARE: Distance Education programs can vary in quality and legitimacy
(quality of instruction can be low, credits/degrees may not be recognized by
!
other schools or programs). Some programs are outright scams. (For information
on how to tell if a program is a scam, see Choosing Your Educational Path,
PG. 929).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

34 C.F.R. § 600.2. See U.S. DEP’T. OF EDUC. FED. STUDENT AID, FEDERAL STUDENT AID HANDBOOK 2014-2015, vol. 2, ch.
2 at 12.
2534
CAL. CMTY. COLLS. CHANCELLOR’S OFFICE, DISTANCE EDUCATION REPORT (Aug. 2013); see also What is Distance
Learning? CALIFORNIA DISTANCE LEARNING PROJECT, http://www.cdlponline.org.
2535
CAL. CMTY. COLLS. CHANCELLOR’S OFFICE, DISTANCE EDUCATION REPORT (Aug. 2013).
2536
U.S. DEP’T OF EDUC. OFFICE OF VOCATIONAL AND ADULT EDUC., TAKE CHARGE OF YOUR FUTURE: GET THE EDUCATION AND
TRAINING YOU NEED (2012).
2533

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WHAT CREDENTIALS CAN I EARN THROUGH DISTANCE
EDUCATION?
Thanks to the Internet, you can earn pretty much any credential through a
Distance Education program that you can earn through a traditional educational
2537
program.
This includes high school degrees and equivalency certificates, CTE
certificates and degrees, associate and bachelor’s degrees, and even graduate
academic and professional degrees. Distance Education programs are offered in
most major CTE and college degree program areas. Program quality does vary
greatly, however.

!

WARNING: While many accredited, reputable schools offer credential
programs through Distance education, there are also plenty of scam
programs that will take your money and leave you with a useless piece of
paper. (For more information on spotting Distance Education scam
programs, see Choosing Your Educational Path, PG. 929.)
!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2537

See ONLINE COLLEGE EDUCATION NETWORK (OCEN), http://www.ocen.org/online-college-programs.html.

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HOW DO I FIND AND ENROLL IN A DISTANCE EDUCATION
PROGRAM?
If you’re currently incarcerated:
•

•

Ask your Correctional Counselor, or the staff of your facility’s education
department for information on available programs (Note: Because of the
technology requirements of Distance Education programs, they may not be
available at your facility);
Request information on accredited Distance Education programs that may be
available to people incarcerated in California facilities by writing to the
California Department of Education, Adult Education Office, 1430 N Street,
Suite 4202, Sacramento, CA 95814 or by calling (916) 322-2175.

If you’re formerly incarcerated:
•

•
•
•

Check your local public library for information on schools that offer Distance
Education programs (these programs have become very popular and are
offered to some extent at most schools).
Check with local community colleges to see if they offer courses through
Distance Education.
Visit your local America’s Job Centers of California for information on
Distance Education programs and the institutions that offer them.
Check these online resources:
o California Virtual Campus (http://www.cvc.edu/students/)—offers a stepby-step guide to Distance Education in California;
o California Department of Education, Adult Education
(http://www.cde.ca.gov/sp/ae/)
o The U.S. DEP’T OF EDUC., Database of Accredited Post-Secondary
Institutions and Programs at:
http://ope.ed.gov/accreditation/Search.aspx.
o The Distance Education Accrediting Commission, Directory of
Accredited Institutions at: www.deac.org.

ACCREDITATION OF DISTANCE EDUCATION PROGRAMS
There are numerous commercial websites that advertise hundreds of Distance
Education programs and schools in the U.S. and abroad. However, keep in mind
that schools and programs pay to be listed on these websites. This means that
when you search these sites, only those that have paid will come up—you will
! see the rest of the schools and programs out there, so the results of your
not
search will be limited. Also, many of these websites claim that they only list
“accredited” schools and programs, however, you should always do your own
research to make sure that a school or Distance Education program is 1)
2538
legitimate and 2) recognized by an approved accrediting agency.
(For more
information on accreditation and scam programs, see Choosing Your
Educational Path, PG. 929.)

HOW MUCH DO DISTANCE EDUCATION PROGRAMS COST?
The cost of Distance Education programs varies based on the type of program,
the delivery media, and the institution that it is offered through. Programs
offered through four-year colleges and more prestigious schools will be more
expensive than those offered through local community colleges.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See DISTANCE LEARNING PORTAL, http://www.distancelearningportal.com; see also ONLINE DEGREES PROGRAM,
http://www.onlinedegreeprograms.com, see also ALLONLINESCHOOLS, http://www.allonlineschools.com.
2538

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TWO IMPORTANT THINGS TO NOTE ABOUT PAYING FOR DISTANCE
EDUCATION:
1)

Distance Education and Fee Waivers
Distance Education programs offered through California community
colleges may qualify for an enrollment fee waiver through the California
Community Colleges Board of Governor’s Fee Waiver program. (For
more information on this program and how to qualify, see Paying For
Your Education, PG. 974.)

2) Distance Education and Financial Aid
You may be able to get financial aid to help you pay for your Distance
Education courses. Only accredited Distance Education institutions are
allowed to participate in federal financial aid programs. Even if a school
or program is eligible to participate, it must choose to do so. To find out
if financial aid is available for a particular school or program, check with
that institution’s financial aid office (For more information on financial
aid, see Paying For Your Education, PG. 974).

CORRESPONDENCE COURSES
A correspondence course is a course offered by a school or program, where the
student is separated from the teacher and course materials are provided
through the mail or over the Internet. There is very little interaction between the
student and the teacher, communication is usually initiated by the student
(whenever the student wants), and students work at their own pace. Although
there are some similarities, correspondence courses are not considered a type
of distance education under federal law (see the table below for key
2539
differences).
THE DIFFERENCE BETWEEN DISTANCE EDUCATION AND CORRESPONDENCE
COURSES
Although these two terms seem similar and are often confused, they refer to two
different learning situations. Distance Education is generally an option that
requires Internet access. Although Distance Education is one option to earn
credit, due to the need of media/ Internet access, it may not be a possible option
for an individual who is currently incarcerated.
Distance Education Courses
•
•
•
•

Uses multiple media to deliver content
& feedback
Interaction can be synchronous or
asynchronous
Interaction between student and
teacher is regular and substantial
Courses and assignments follow a set
schedule

Correspondence Courses
•
•
•
•

Instruction is usually through a
single medium
Interaction is only asynchronous
Interaction between student and
teacher is limited
Courses and assignments are
“self-paced”

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2539

34 C.F.R. § 600.2.

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WHAT CREDENTIALS CAN I EARN THROUGH CORRESPONDENCE
COURSES?
Like with Distance Education programs, you can earn pretty much any credential
that you can earn through traditional schooling through a correspondence
course. This includes high school degrees and equivalency certificates, CTE
certificates and degrees, associate and bachelor’s degrees, and even graduate
academic and professional degrees.
Program quality does vary greatly, however. While many accredited schools
offer credential programs through correspondence courses, this is where you
are most likely to see scam programs offering bogus higher education degrees.
(For more information on spotting correspondence course scams, see Choosing
Your Educational Path, PG. 929).

ARE CORRESPONDENCE COURSES RIGHT FOR ME?
PROS:
•
•

•

They are completely flexible and can
be worked around any schedule
They are a great way to get a head
start on a CTE or college degree by
earning college course credits while
you are incarcerated
They can be accessed from anywhere,
Internet access is not necessary, so
they allow you to be less dependent
on what your facility offers

CONS:
•

•

•

You must be entirely selfmotivated and self-directed, or
you may find it difficult to keep up
your momentum and finish the
program
You miss out on the benefits of
regular interaction with
instructors and other students
There is limited support if you are
having trouble with a course

HOW DO I FIND AND ENROLL IN A CORRESPONDENCE
PROGRAM?
If you’re currently incarcerated:2540
If you are interested in taking a correspondence course while you are
incarcerated, your facility’s education department should be able to provide
information and guidance.
A great and well-known resource for researching correspondence programs
from inside is the Prisoners’ Guerrilla Handbook to Correspondence Programs in
the United States and Canada by Jon Marc Taylor. It is a comprehensive guide
to correspondence courses available to incarcerated people, providing detailed
program overviews and contact information. At the time of this publication, the
handbook is in its 3rd edition, published in 2009 (International Standard Book
Number (ISBN): 978-0981938509). Check your facility’s library or education
department. It is also available from http://www.amazon.com and Barnes &
Noble (both are CDCR approved venders). You can also write to the publisher for
information on ordering the book: Biddle Publishing Company and Audenreed
Press, P.B.M. 103, Box 1305, Brunswick, ME 04011.
Also, see Appendix D, PG. 995 for a listing of schools that have a history of
successfully offering correspondence courses to incarcerated individuals
(working within correctional facility restrictions).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

U.S. DEP’T OF EDUC. OFFICE OF VOCATIONAL AND ADULT EDUC., TAKE CHARGE OF YOUR FUTURE: GET THE EDUCATION AND
TRAINING YOU NEED (2012).
2540

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Student Responsibilities for Correspondence Courses
If you enroll in a correspondence course while you are incarcerated, you will be
responsible
for getting all of the required textbooks and materials yourself. You
!
may also be responsible for finding a “proctor” at your institution to administer
any midterm or final exams. A proctor is someone who watches over you while
you take your exam to make sure that you are the one actually taking the exam,
and that you do not cheat.

If you’re formerly incarcerated:
•
•
•

See Appendix D, PG. 995 for a list of schools known to offer correspondence
courses;
Check your local public library for information on schools that offer
correspondence courses;
Visit your local America’s Job Centers of California and ask about
correspondence programs.

NOTE: Once you have returned to the community, you will have access to more
resources, including the Internet, than when you were incarcerated. We
!
recommend
that you take advantage of interactive Distance Education programs
or traditional face-to-face programs, as these tend to offer a richer and more
integrated educational experience than correspondence courses.

Paying for Correspondence Course
You may be eligible to receive financial aid to pay for your correspondence
study, but it depends on the school you are taking courses through. Because of
federal regulations, schools that offer primarily correspondence courses are not
eligible
to participate in federal financial aid programs. If more than 50% of the
!
courses the institution offers are correspondence courses, or more than 50% of
the students enrolled are taking correspondence courses, then the school is not
eligible for federal financial aid. Additionally, a school is not eligible if more than
2541
25% of its students are incarcerated.
(For more information on financial aid,
see Paying For Your Education, PG. 974.)

GRADUATE ACADEMIC AND PROFESSIONAL
DEGREE PROGRAMS
These degrees are offered at four-year colleges and universities and at graduate
academic and professional schools. You must have a Bachelor’s degree before
you can move on to pursue a graduate academic or professional degree.
Students studying to earn one of these degrees must take highly advanced and
specialized courses in a specific academic or professional field. It generally
takes two years of full-time study for a master’s degree, and three to four years
of full-time study for a doctorate degree.
•

Graduate academic degree programs require advanced study in an academic
field. They emphasize theory, as opposed to practical application, with the
goal of contributing to the body of knowledge on a subject. Master of Arts

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2541

34 C.F.R. § 600.2.

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•

(M.A.) and Doctor of Philosophy (Ph.D.) are examples of graduate academic
degrees.
Graduate professional degree programs require advanced study in a
professional or vocational field. They emphasize the practical application of
knowledge to a professional practice, and are usually required in order to get
2542
a license to work in that profession.
Master of Engineering (M.E.) and
Doctor of Medicine (M.D.) are examples of graduate professional degrees.

WHERE CAN I FIND INFORMATION ABOUT GRADUATE
PROGRAMS?
Your local public library should have various books and guides about graduate
academic and professional schools and the programs they offer. These are also
available from most book-sellers. You can also contact the alumni services
center of the college where you got your undergraduate degree for information
and help on searching for and applying to graduate academic and professional
schools.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

U.S. DEP’T OF EDUC. OFFICE OF VOCATIONAL AND ADULT EDUC., TAKE CHARGE OF YOUR FUTURE: GET THE EDUCATION AND
TRAINING YOU NEED (2012); see also Quick Guide: Your College Degree Options, COLLEGE BOARD,
www.bigfuture.collegeboard.org/find-colleges/college-101/quick-guide-your-college-degree-options.
2542

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V.

PAYING FOR YOUR
EDUCATION

HOW WILL I PAY FOR MY EDUCATION?
THINGS TO CONSIDER:
•
•
•
•

How much money will it take to reach your goals?
What are the various costs involved, and how can you reduce them?
What extra challenges might you face because of your criminal history, and
how can you address them?
This chapter will help you think practically about these questions. As the
following sections explain, even if you have limited resources, there are ways
you can reduce your costs and get help covering your educational expenses.

WHAT IS FINANCIAL AID?
“Financial aid” is the general term for any type of funding intended to help
students pay for educational expenses. This is the most common way that
people fund their education.

WHAT KINDS OF FINANCIAL AID ARE THERE?
There are many different types of financial aid available from a variety of
2543
resources. The basic categories are:
•
•
•
•

Borrowed aid—federal government and private loans;
Gift aid—federal and state grants, waivers and scholarships;
Self-help aid—federal work study, earned service benefits, other work during
school;
Specialty aid programs—military & veteran programs, tax benefits,
2544
community service awards, foster care youth aid, etc.

WHERE DOES FINANCIAL AID COME FROM?
The federal government, state governments, organizations, businesses, and
agencies offer financial aid of one or more types. Generally, financial aid
2545
providers fall into the following broad categories:
•
•
•

The Federal Government—Grants, loans, work-study;
The State (California)—Grants, loans and loan forgiveness for residents’ instate education expenses;
Individual Schools or Programs—Grants, loans, & Scholarships from the
educational institution itself;

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Paying for College: Strategies to Afford Higher Education Today, OCCUPATIONAL OUTLOOK QUARTERLY, Spring
2013.
2544
U.S. DEP’T OF EDUC. FEDERAL STUDENT AID, https://studentaid.ed.gov/.
2545
U.S. DEP’T OF EDUC. FEDERAL STUDENT AID, https://studentaid.ed.gov/.
2543

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•

Nonprofit or Private Organizations—Scholarships & awards based on many
factors, such as merit, achievements, or membership to the group or
organization.

These categories of aid are discussed in detail below.

FEDERAL STUDENT AID
WHAT KINDS OF FEDERAL STUDENT AID MIGHT BE AVAILABLE
TO ME?
Federal student aid is probably the most common type of financial aid that
people rely on to help them pay for school. Most federal student aid is offered
2546
through the Department of Education.
(For detailed information on federal
student aid, visit the Federal Student Aid website at: https://studentaid.ed.gov/.)
Federal student aid includes:
Federal Grants—Grants do not have to be repaid unless 1) you drop out of
school, or 2) your GPA falls below a certain minimum (usually specified in the
grant).
•
•

Federal Pell Grant—This is the largest grant program available in the United
States. Grants are awarded based on financial need.
Federal Supplemental Educational Opportunity Grant (FSEOG)—This grant
is a supplement to the Pell Grant. It is reserved only for those students who
already received a Pell Grant, but need more aid. The government gives a set
amount of money to the schools that want to participate in the program, and
the schools then give this grant to the students who have the most financial
2547
need. You must have been offered a Pell Grant to be eligible for this grant.

Federal Loans—These are loans made to you by the federal government. They
usually have lower interest rates and more flexible repayment options than
regular loans. The amount you are allowed to borrow depends on the cost of the
school you want to go to, your financial need, and what other aid you get. Since
these are loans, you will have to pay the money back!
•
•

Direct Loan—The U.S. DEP’T OF EDUC. lends you the money directly.
Federal Perkins Loan—A school-based loan program where the school lends
2548
you money if you show exceptional financial need.

Federal Work-Study—Work-study allows you to earn money through part-time
employment (on or off campus) while you are in school. If you are awarded workstudy aid, you are guaranteed to earn a certain amount of work-study funds as
long as you have a work-study approved job (however, you cannot earn more
2549
than that amount).
Other federal student aid programs outside of the Department of Education
include:
•
•

Aid for serving in the military or for being the spouse or child of a veteran;
Tax benefits for education;

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

U.S. DEP’T OF EDUC., http://www.ed.gov/.
U.S. DEP’T OF EDUC. FEDERAL STUDENT AID, https://studentaid.ed.gov/.
What Types of Federal Student Loans are Available?, U.S. DEP’T OF EDUC. FEDERAL STUDENT AID,
https://studentaid.ed.gov/types/loans.
2549
Types of Aid: Work-Study Jobs, U.S. DEP’T OF EDUC. FEDERAL STUDENT AID, https://studentaid.ed.gov/types/workstudy - how-much-can-i.
2546
2547
2548

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•
•
•
•
•
•

Education Award for community service with Americorps;
Education and Training Vouchers for current and former foster care youth;
Scholarships and loan repayment through the Department of Health and
Human Services;
Indian Health Service;
National Institutes of Health;
2550
National Health Services Corp.

WILL MY CRIMINAL HISTORY AFFECT MY ABILITY TO GET FEDERAL
STUDENT AID?
Maybe. It depends on the circumstances of your offense, the type of aid you are
2551
applying for, and your incarceration status.
The following is a summary of the
possible implications of a criminal record on your federal student aid eligibility.

Drug Convictions:
If you were convicted of possession or sale of a controlled substance (felony or
misdemeanor) while you were already receiving federal student aid, you will be
2552
ineligible to receive federal student aid funds for a specified period of time.
The length of time you are ineligible depends on the type and number these
convictions you have, and whether or not you have fulfilled any rehabilitation
2553
requirements.
(For detailed information on federal student aid and drug
convictions, see Appendix E, PG. 997.)

Sex Offense Convictions:
If you have been convicted of a forcible or non-forcible sex offense and you are
subject to an involuntary civil commitment after your incarceration for that
2554
offense, you are ineligible to receive a Federal Pell Grant.
However, you are
still eligible for other types of federal student aid.

Currently Incarcerated:
Unfortunately, while you are incarcerated, you are directly prohibited from
getting certain kinds of federal aid (by law), and indirectly banned from some of
the others (by logistics). However, once you are released, most of these
restrictions are lifted and you become eligible to receive all forms of federal aid.
You can even apply before your release so that your aid will be ready by the
2555
time you start school.

!

IMPORTANT: If you’re incarcerated, do not fill out the FAFSA unless you
know you are going to be released in time to attend school that same
year. FAFSA information is only good for one year. (Everyone who
applies for federal student aid must complete a new FAFSA every year.)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

U.S. DEP’T OF EDUC. FEDERAL STUDENT AID, https://studentaid.ed.gov/.
20 U.S.C. § 1091(r)(1); see also Federal Student Aid; Students With Criminal Convictions, U.S. DEP’T OF EDUC.
www.studentaid.ed.gov/eligibility/criminal-convictions.
2552
20 U.S.C. § 1091; see also Federal Student Aid; Students With Criminal Convictions, U.S. DEP’T OF EDUC.,
www.studentaid.ed.gov/eligibility/criminal-convictions.
2553
20 U.S.C. § 1091(r)(1); see also FAFSA Facts, U.S. DEP’T OF EDUC. OFFICE OF NAT’L DRUG CONTROL POLICY,
http://www.whitehouse.gov/sites/default/files/ondcp/recovery/fafsa.pdf.
2554
20 U.S.C. § 1070a(b)(6); see also Federal Student Aid; Students With Criminal Convictions, U.S. DEP’T OF EDUC.
www.studentaid.ed.gov/eligibility/criminal-convictions.
2555
See 20 U.S.C. § 1070a(b)(6); 20 U.S.C. § 1 091(r); see also Federal Student Aid; Students With Criminal
Convictions, U.S. DEP’T OF EDUC., www.studentaid.ed.gov/eligibility/criminal-convictions.
2550
2551

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On Parole or Probation
You are free to apply for all forms of federal student aid, including those you
couldn’t get while you were incarcerated. However, the drug and sex offense
2556
restrictions still apply (see above).

CAN I GET FEDERAL STUDENT AID WHILE I’M INCARCERATED?
While you are confined to an adult correctional facility or juvenile justice facility,
your eligibility for federal student aid is limited, depending on what type of aid
2557
you are seeking and where you are incarcerated.
However, this is not as bad
as it sounds, since most of the programs available to you while you are
incarcerated are either free, or do not qualify for financial aid in the first place.
And remember, while you cannot receive most financial aid while you are
incarcerated, you can still apply for financial aid so that the money is waiting for
2558
you when you get out.

AM I ELIGIBLE FOR FEDERAL GRANTS WHILE I’M
INCARCERATED?
Maybe, It depends on where you are confined.
•
•
•

2559

If you’re in federal or state penal institution, you CANNOT receive Federal
Pell Grants.
If you are in a local, municipal, or county correctional facility (i.e. jail), you
MAY be eligible for a Federal Pell Grant (if you meet the other requirements).
If you are committed to a juvenile justice facility and you otherwise meet the
requirements, you ARE eligible for a Pell Grant.

NOTE: In order to be eligible for the Federal Supplemental Educational
Opportunity
Grant (FSEOG) you must have already received a Pell Grant.
!
Therefore, if you are not eligible for a Pell Grant because you are incarcerated,
then by default, you are also not eligible for a FSEOG.

AM I ELIGIBLE FOR FEDERAL STUDENT LOANS WHILE I AM
INCARCERATED?
No. Anyone who is considered “incarcerated” cannot receive federal student
2560
loans.
Unfortunately, for this purpose, you are considered incarcerated if you are
serving a sentence in a penitentiary, prison, jail, reformatory, work farm, or
similar correctional institution, whether it is operated by the government or a

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Federal Student Aid; Students With Criminal Convictions, U.S. DEP’T OF EDUC.
www.studentaid.ed.gov/eligibility/criminal-convictions.
2557
U.S. DEP’T OF EDUC. FED. STUDENT AID OFFICE, FEDERAL STUDENT AID ELIGIBILITY FOR STUDENTS CONFINED IN ADULT
CORRECTIONAL AND JUVENILE JUSTICE FACILITIES (Dec. 2014), https://studentaid.ed.gov/sites/default/files/aid-info-forincarcerated-individuals.pdf.
2558
See 20 U.S.C. § 1070a(b)(6); 20 U.S.C. § 1091(r). See also Federal Student Aid; Students With Criminal
Convictions, U.S. DEP’T OF EDUC., www.studentaid.ed.gov/eligibility/criminal-convictions.
2559
U.S. DEP’T OF EDUC. FED. STUDENT AID OFFICE, FEDERAL STUDENT AID ELIGIBILITY FOR STUDENTS CONFINED IN ADULT
CORRECTIONAL AND JUVENILE JUSTICE FACILITIES (Dec. 2014), https://studentaid.ed.gov/sites/default/files/aid-info-forincarcerated-individuals.pdf.
2560
U.S. DEP’T OF EDUC. FED. STUDENT AID OFFICE, FEDERAL STUDENT AID ELIGIBILITY FOR STUDENTS CONFINED IN ADULT
CORRECTIONAL AND JUVENILE JUSTICE FACILITIES (Dec. 2014), https://studentaid.ed.gov/sites/default/files/aid-info-forincarcerated-individuals.pdf.
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private contractor. You are also considered to be incarcerated if you have been
committed to a juvenile justice facility.
You are not considered to be incarcerated if you are in a halfway house, on
home detention, sentenced to serve only on weekends, or if you are confined
while your case is still pending (such as while you are awaiting trial).
REMEMBER: Even though you are not eligible to receive federal student loans
while you are incarcerated, you can still apply for them so that your application
can
and they will be available in time for you to start school once
! be processed2561
you are released.
(For information on applying for federal student aid, see
PG. 977. The application process is the same whether you are incarcerated or
not.)

!

IMPORTANT: If you’re incarcerated, you should not fill out the FAFSA
unless you know you are going to be released in time to attend school
that year. FAFSA information is only good for one year. (Everyone who
applies for federal student aid must complete a new FAFSA every year.)

AM I ELIGIBLE FOR FEDERAL WORK-STUDY (FWS) WHILE I AM
INCARCERATED?
Technically, yes, but in reality, no. While you are not ineligible for FWS because
you are incarcerated, logistics alone will likely prevent you from being awarded
this type of aid. It is difficult, if not impossible, for you to perform a FWS job while
2562
incarcerated.

CAN I GET FEDERAL STUDENT AID WHILE I AM ON PAROLE OR
PROBATION?
Once you are released, you become fully eligible for federal student aid again.
Your status on parole, probation, or under any other type of supervision does
not affect your eligibility. However, any general restrictions based on your
2563
conviction history (drug/sex offenses) still apply.

HOW DO I APPLY FOR FEDERAL STUDENT AID?
Everyone who applies for federal student financial aid must start by filling out
the Free Application for Student Aid (FAFSA). Not only does the FAFSA give you
access to federal student aid (the largest source of financial aid), but most states
and individual schools also use the FAFSA to determine what state or schoolbased financial aid you may be eligible for.
•

If you have internet access, you can fill out the FAFSA online at:
https://studentaid.ed.gov/;

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

U.S. DEP’T OF EDUC. FED. STUDENT AID OFFICE, FEDERAL STUDENT AID ELIGIBILITY FOR STUDENTS CONFINED IN ADULT
CORRECTIONAL AND JUVENILE JUSTICE FACILITIES (Dec. 2014), https://studentaid.ed.gov/sites/default/files/aid-info-forincarcerated-individuals.pdf.
2562
U.S. DEP’T OF EDUC. FED. STUDENT AID OFFICE, FEDERAL STUDENT AID ELIGIBILITY FOR STUDENTS CONFINED IN ADULT
CORRECTIONAL AND JUVENILE JUSTICE FACILITIES (Dec. 2014), https://studentaid.ed.gov/sites/default/files/aid-info-forincarcerated-individuals.pdf.
2563
U.S. DEP’T OF EDUC. FED. STUDENT AID OFFICE, FEDERAL STUDENT AID ELIGIBILITY FOR STUDENTS CONFINED IN ADULT
CORRECTIONAL AND JUVENILE JUSTICE FACILITIES (Dec. 2014), https://studentaid.ed.gov/sites/default/files/aid-info-forincarcerated-individuals.pdf.
2561

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•

•

If you want to fill out the paper version, you can get the form from most local
public libraries or from the financial aid office of the school you want to
attend. (There is a sample version of the 2015-2016 FAFSA provided in
Appendix F, PG. 999);
You can also call the Federal Student Aid Information Center (FSAIC): 1 (800)
4-FED-AID (1-800-433-3243) to request a copy

WHAT INFORMATION WILL I NEED TO FILL OUT THE FAFSA?
The FAFSA asks you for basic personal identifying information such as your
name, date of birth, and address, as well as for information about your financial
2564
situation. Some of the information and documents you may need are:
•
•
•

•
•

•

Your social security number;
Your driver license number (if you have one);
Your Alien Registration number if you are not a U.S. citizen (For a full list of
eligible noncitizens, visit https://fafsa.ed.gov/help/fotw15a.htm, or see
Appendix G, PG. 1010);
Federal tax information or tax returns including IRS W-2 information;
Records of any untaxed income, such as child support received, interest
income, and veterans non-education benefits that you received in the last
year;
Information on cash; savings and checking account balances; investments,
including stocks and bonds and real estate (but not the home you live in); and
business and farm assets.

WHEN SHOULD I APPLY FOR FEDERAL FINANCIAL AID?
The FAFSA must be filled out at the beginning of the year in which you intend to
start school. It becomes available on January 1, and although technically there is
no deadline, try to fill it out as soon as possible after that date. Each state and
every individual school has its own deadline by which it must receive FAFSA
information in order to include federal funds in the financial aid package that it
offers you.

!

IMPORTANT: If you’re incarcerated, you should not fill out the FAFSA
unless you know you are going to be released in time to attend school
that year. FAFSA information is only good for one year. (Everyone who
applies for federal student aid must complete a new FAFSA every year.)

CALIFORNIA STATE STUDENT AID
WHAT KINDS OF STATE-BASED STUDENT AID MIGHT BE
AVAILABLE TO ME?
•

Cal Grant—This is a group of several grants awarded by the California
Student Aid Commission. They are based on financial need, GPA, and

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Filling Out the FAFSA, U.S. DEP’T OF EDUC. FEDERAL STUDENT AID, https://studentaid.ed.gov/fafsa/filling-out documents.
2564

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•

•

•

educational objectives. Cal Grants are the largest source of California state
2565
funded student financial aid.
California Community Colleges Board of Governor’s Fee Waiver—This
program waives the $46-per-credit-unit enrollment fee that all California
community colleges charge.
Chafee Grant—This is a special financial aid grant for people who are or were
in foster care. For more information on this grant, visit the California Student
Aid Commission website at: https://www.chafee.csac.ca.gov/default.aspx.
California Dream Act—This allows eligible undocumented and nonresident
documented students apply for and receive private scholarships funded
through public universities, state-administered financial aid, university grants,
community college fee waivers, and Cal Grants. For more information, visit
the California Student Aid Commission website at:
http://www.csac.ca.gov/dream_act.asp.

CAL GRANTS
The Cal Grant program is the largest source of student financial aid in California.
If you are a California graduating high school student, a recent graduate, or you
just got your GED, and you meet academic, financial and eligibility
requirements, then you may qualify for a Cal Grant for college or
career/technical school.

AM I ELIGIBLE FOR A CAL GRANT?
There are several grants offered within the Cal Grant program, and each has its
own specific requirements, but there are some general requirements that they
all share. For example, you must:
•
•
•
•
•
•

Submit the FAFSA or California Dream Act Application at
http://www.csac.ca.gov/dream_act.asp and your current GPA;
Be a U.S. citizen or eligible non-citizen or meet California Dream Act criteria;
Be a California resident or meet California Dream Act criteria;
Attend a qualifying California college and be enrolled at least half time;
Have financial need based on your income and college costs;
2566
Maintain a minimum GPA.

NOTE: If you don't have a GPA to submit, the California Student Aid Commission
! use your GED, ACT or SAT test scores instead to determine if you qualify for
will
2567
a Cal Grant.
For more information on Cal Grants, visit the California Student Aid
Commission’s special Cal Grants website at: http://www.calgrants.org/ or
Appendix H, PG. 1011. You can also call the Commission at (888) 224-7268 or
write to:
California Student Aid Commission
Attn: Cal Grants
P.O. Box 419026
Rancho Cordova, CA 95741-9026

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2565
2566
2567

CAL. STUDENT AID COMM’N, http://www.csac.ca.gov/.
CalGrants: Who Qualifies, CAL. STUDENT AID COMM’N, http://www.calgrants.org/index.cfm?navId=12.
CalGrants: Who Qualifies, CAL. STUDENT AID COMM’N, http://www.calgrants.org/index.cfm?navId=12.

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BOARD OF GOVERNOR’S FEE WAIVER (BOGFW):
WAIVING ENROLLMENT FEES FOR CALIFORNIA
COMMUNITY COLLEGES FOR LOW INCOME
STUDENTS
The Board of Governor’s Fee Waiver program waives enrollment fees for
California Community Colleges for qualified low-income students. If you qualify
for this waiver, you can go to community college for free (NOTE: you will still
have to pay for other education expenses, such as course materials and
supplies).

HOW DO I KNOW IF I QUALIFY FOR BOGFW?2568
First, to qualify for the Board of Governors Fee Waiver, you must be a California
resident. If you are a California resident, you must also qualify based on one of
several other criteria, for example, if you receive government benefits or fall into
an eligible income bracket. (For a full list of BOGFW qualifications, see
Appendix I, PG. 1012; for a 2015-16 BOGFW Application, see
Appendix J, PG. 1015.)

WILL MY CRIMINAL HISTORY DISQUALIFY ME FROM
STATE-BASED STUDENT AID?
Maybe. If you are still incarcerated, you are disqualified from
2569
receiving any type of Cal Grant financial aid.
Additionally,
certain drug convictions may make you ineligible for a Board of
Governor’s Fee Waiver.

HOW DO I APPLY FOR STATE-BASED STUDENT
AID?
In order to apply for California-based financial aid, you will need
to fill out either the FAFSA (see above) or the California Dream
Act application, and submit your certified GPA to the Student Aid
Commission. For detailed instructions on how to apply for statebased financial aid in California, visit the California Student Aid
Commission website at: http://consumerfinance.gov/, or speak to
a counselor in your school’s financial aid office.

NOTE ABOUT
CHANGE IN LAW
FOR
TANF/CALWORKS:

If you were qualified
for TANF/Calworks but
found ineligible
because of a drug
conviction, your
criminal history would
have previously
disqualified you from
the BOGFW program
(see PUBLIC BENEFITS
CHAPTER, PG. 514, for
details about
TANF/CalWORKS
eligibility). However,
this law changed on
April 1, 2015. After that
date, your conviction
history no longer
makes you ineligible
for TANF/CalWORKS
benefits, so you may
be able to qualify for
BOGFW now.

SCHOOL-BASED FINANCIAL AID
WHAT KINDS OF SCHOOL-BASED AID MIGHT BE AVAILABLE TO
ME?
Many colleges and universities have their own financial aid programs and may
offer scholarships, grants, loans, or work-study programs directly. Eligibility for
school-based aid programs can be based on financial need, merit, or a variety of

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. CODE REGS. tit. 5, § 58620; see also Board of Governors Fee Waiver, COAST COLLS.,
http://www.cccd.edu/students/financial-aid/PG.s/Board-of-Governors-Fee-Waiver-%28BOGFW%29.aspx.
2569
CAL. EDUC. CODE § 69433.9.
2568

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other qualifications. You should contact the financial aid offices of the schools
you are interested in to find out what financial aid might be available from the
individual schools. Some schools have more financial aid funding available and
may be able to offer you a more substantial award. This may be an important
factor in your decision about which school you want to attend.

WILL MY CRIMINAL HISTORY DISQUALIFY ME FROM SCHOOLBASED FINANCIAL AID?
Again, this varies by school. Each school will have its own guidelines and
qualifications for the various types of financial aid it offers. Remember, even if
your criminal history disqualifies you for some types of aid, you may still be
eligible for others, so it is important to ask.

SCHOLARSHIPS
WHAT KINDS OF SCHOLARSHIPS MIGHT BE AVAILABLE TO ME?
Many private organizations and agencies offer scholarships, usually to students
meeting certain qualifications or having certain characteristics. These
scholarships may be need-based or merit-based (if you have a high GPA or test
scores). They may also be based on cultural, religious, ethnic, racial, national
identity, political, religious, or ideological beliefs, or based on your chosen
academic or career field.

HOW DO I FIND AND APPLY FOR SCHOLARSHIPS?
The best place to start is the financial aid office at the school you plan on
attending. The financial aid counselors on staff can help you search for
scholarships that you may qualify for.
Other resources for information on scholarships include:
•

•

Catalogs, such as Scholarships, Fellowships, and Loans and Peterson’s
Scholarships and Loans for Adult Learners, which can be found at your public
library.
The following websites offer information on many types of scholarships:
o U.S. DEP’T OF EDUC.: https://studentaid.ed.gov
o College Board: https://bigfuture.collegeboard.org
o CollegeNet: http://www.collegenet.com
o CollegeToolkit.com: http://www.collegetoolkit.com
o Fastweb: http://www.fastweb.com
o FinAid: http://www.finaid.org
o Go College: http://www.gocollege.com
o Sallie Mae Scholarship Service: http://www.salliemae.com
o Scholarships.com: https://www.scholarships.com

!

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A Note on Scholarships: Be creative when you search for scholarships. They are
awarded for all kinds of reasons and can be based on almost any criteria. Often
!
funders
do not even advertise that they offer them. You may even find
scholarships specifically targeted at helping currently and formerly incarcerated
2570
people pursue higher education!

WILL MY CRIMINAL HISTORY DISQUALIFY ME FROM
SCHOLARSHIPS?
Not necessarily. Most scholarship applications do not ask for criminal history
information. So, as long as you qualify for the scholarship otherwise, your
criminal record should not be a factor in whether or not you can get it. If a
scholarship application does ask for your criminal history, there’s usually no
harm in applying anyway, and it won’t affect any other scholarships you apply
for.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

For example, an organization called the Transcending Through Education Foundation (TTF) in Rhode Island
offers $1,000 scholarships for people who are currently incarcerated or recently released from Rhode Island DEP’T of
Corrections facilities to pursue a higher education degree. See TRANSCENDING THROUGH EDUC., Incarcerated Students
Encouraged to Apply for TTEF’s College Scholarship, http://transcendingthrougheducation.wordpress.com.
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VI. CONCLUSION
Getting an education is probably the single-most important gift you can give
yourself. It will open doors for you and help secure a future that is stable,
fulfilling, and rewarding—both financially and personally. In this chapter, we
aimed to show you some practical steps that should help you along your
educational path. We hope that we have inspired you to step onto that path with
confidence and enthusiasm!

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EDUCATION APPENDIX
APPENDIX A.

List of community service organizations offering programs
to improve reading and writing skills around California –
PG. 985

APPENDIX B.

List of Organizations that Provide GED Materials to Currently
Incarcerated People – PG. 987

APPENDIX C.

Policies for ACT Testing – PG. 990

APPENDIX D.

Correspondence Courses Available to Incarcerated
Individuals– PG. 995

APPENDIX E.

More Information about Eligibility for Federal Student Aid
and Drug Convictions – PG. 997

APPENDIX F.

Sample version of the 2015-2016
Free Application for Student Aid (FAFSA) – PG. 999

APPENDIX G.

Non-U.S. Citizens Eligible For Federal Financial Aid –
PG. 1010

APPENDIX H.

Cal Grant Eligibility – PG. 1011

APPENDIX I.

Student Eligibility for
Board of Governors Grant – PG. 1012

APPENDIX J.

Board of Governors Fee Waiver Application – PG. 1015

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APPENDIX A
List of community service organizations
offering programs to improve reading and
writing skills around California
Alameda County Library Reading for Life / Jail Tutoring Program
2450 Stevenson Blvd.
Fremont, CA 94538
(510) 745-1486
https://jailtutoring.wordpress.com/volunteer/contact-us/
Inside Out Writers
1212 N. Vermont Avenue
2nd Floor
Los Angeles, CA 90029
PHONE (323) 660-1866
http://www.insideoutwriters.org
* Writing program for youth and young adults during and following their
incarceration.
Literacy Services, City of Woodland
2001 East Street
Woodland, CA 95776
530 661-2000
http://www.cityofwoodland.org/gov/depts/library/literacy/
Marin Literacy Program/ Inmate Literacy Services (ILS)
P.O. Box 151080
San Rafael, CA
94915-1080
(415) 537-0523
Model Local Program
Contra Costa County Office of Education
1000 Ward Street
Martinez, CA 94553
415-646-2201
Project Read, San Mateo County
330 West 20th Avenue
San Mateo, CA 94403
(650) 522-7848
READ/OC's Working for Inmate Literacy Now (WIN)
1501 E. St. Andrew Pl.
Santa Ana, CA 92705
(714) 566-3070
readoc@occr.ocgov.com
Service League of San Mateo County
727 Middlefield Road
Redwood City, CA 94063
Phone: (650)364-4664
http://www.serviceleague.org/home.html
Sonoma County Library
Adult Literacy Program
725 Third Street
Santa Rosa, CA 95404
(707) 544-2622
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Write 2 Read: Youth Literacy at Juvenile Hall
Alameda County Library
Extension Services
2450 Stevenson Blvd.
Fremont, CA 94538-2326
acheney@aclibrary.org
510-557-0643
http://juviewrite2read.aclibrary.org/

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APPENDIX B
List of Organizations that Provide GED
Materials to Currently Incarcerated People
Appalachian Prison Book Project
PO Box 601
Morgantown, WV 26507
http://aprisonbookproject.wordpress.com
Serving: KY, MD, OH, TN, VA, WV
Arizona Read Between the Bars
c/o Daily Planet Publishing
P.O. Box 1589
Tucson, AZ, 85702-1589
http://www.readbetweenthebars.org/index.php
Serving: AZ
Asheville Prison Book Program
67 N Lexington Ave
Asheville, NC 28801
http://www.main.nc.us/prisonbooks
Serving: NC, SC and TN
Books for Prisoners San Diego
c/o Groundwork Books
0323 Student Center La Jolla, CA 92037
http://booksforprisonersucsd.wordpress.com
Serving: All US states
BOOKS 2 PRISONERS
1631 Elysian Fields #117
New Orleans LA 70117
books2prisoners@riseup.net
Free books to prisoners in Southeast states.
BOOKS THROUGH BARS
4722 Baltimore Ave.
Philadelphia, PA 19143
215-727-8170
www.booksthroughbars.org
Sends progressive political and educational materials at no charge to state and
federal prisoners in the mid-Atlantic region (PA, NJ, NY, DE, MD, VA, WV).
Donates books directly to county jail libraries but does not accept individual
requests from county jail prisoners. Request books by topic. No catalog.
Donations including artwork and stamps greatly appreciated.
BOOKS THROUGH BARS - NYC
c/o Bluestockings
172 Allen St
New York, NY 10002
www.abcnorio.org/affiliated/btb.html
Ships to prisoners nationwide. Specializes in political and history books. Also
sends literary fiction and other educational books. Does not send religious
literature. Donations of stamps and cash are appreciated. If you send a money
order, please make it out to the groups fiscal sponsor, ABC No Rio.
BOOKS THRU BARS OF ITHACA
C/o Autumn Leaves Used Books
115 The Commons
Ithaca, NY 14850
www.booksthrubars.org
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Free books to inmates in Maine, Vermont, New Hampshire, Massachusetts,
Rhode Island, Connecticut, New York, New Jersey, Pennsylvania, Delaware and
Maryland.
BOOKS TO PRISONERS
C/o Left Bank Books
92 Pike St., Box A
Seattle, WA 98101
www.bookstoprisoners.net
The longest running project of its kind. Free books to prisoners Nationwide.
Request by subject, no religious materials or legal materials. donations
appreciated. Special Note - Does not ship to prisons who require all books sent
to be new.
CHICAGO BOOKS TO WOMEN IN PRISON
c/o RFUMC
4511 N. Hermitage Ave.
Chicago, IL 60640
www.chicagobwp.org
Free books to women prisoners in Arizona, California, Connecticut, Florida,
Illinois, Indiana, Kentucky, Mississippi and Ohio.
DC PRISONS BOOK PROJECT
P.O. Box 5243
Hyattsville, MD 20782
www.quixote.org/ej/bookstoprisons/
Free books to prisoners nationwide.
GAINESVILLE BOOKS FOR PRISONERS
P.O. Box 12164
Gainesville, FL 32604
http://waywardcouncil.biz.ht
Covers prisoners nationwide. Accepts Requests by topic of interest only.
INSIDE BOOKS PROJECT
C/o 12th St. Books
827 West 12th Street
Austin, TX 78701
www.insidebooksproject.com
Sends free books and literature to prisoners in Texas only. Send a request for
resource list and newsletter. Accepts artwork donations for their yearly prisoner
art show.
Internationalist Prison Books Collective
Internationalist Books to Prisoners
405 W. Franklin Street
Chapel Hill, NC 27516
http://prisonbooks.info
PRISON BOOK PROJECT
C/o Food for Thought Books
P.O. Box 396
Amherst, MA 01004-0396
www.prisonbooks.org
Sends ONLY to prisoners in Texas, Connecticut, Maine, Massachusetts, New
Hampshire, Rhode Island, and Vermont.
Red Bird Books to Prisoners
PO Box 1291
Columbus, OH 43216
www.redbirdbookstoprisoners.com
Request topics or authors only, catalogue of radical zines available upon
request. No bibles. Serving: Ohio only with some exceptions.
MIDWEST PAGES TO PRISONERS PROJECT
C/o Boxcar Books
406 E. 6th St.
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Bloomington, IN 47408
812-339-8710
www.boxcarbooks.org
midwestpagestoprisoners@yahoo.com
No Texas or Michigan prisoner requests.
PORTLAND BOOKS TO PRISONERS
6315 NE Rodney
Portland, OR 97211
portland.indymedia.org/en/2003/06/265772.shtml
bookstooregonprisoners@gmail.com
Sends books to state and federal prisoners in all states except Oregon. Request
by topic not author. No legal or religious requests.
PRISON BOOK PROGRAM
1306 Hancock St. Suite 100
Quincy, MA 02169
617-423-3298 (NO collect calls)
www.prisonbookprogram.org/
Covers all states but CA, MA, MD, MI, PA, or TX (except Gatesville and
Huntsville). Does not offer computer books, horror, romance, textbooks, true
crime, or white supremacist materials. Publishes the National Prisoner Resource
List free to prisoners nationwide on request.
PRISON BOOK PROJECT
C/o Food for Thought Books
P.O. Box 396
Amherst, MA 01004-0396
(413) 584-8975 ext. 208
www.prisonbooks.org
Serves prisoners in New England states (Maine, VT, NH, MA, CT, RI) and Texas
only. Request books by topics of interest, not title. No mailing list or catalogue.
No hardback books.
PRISON LITERATURE PROJECT
C/o Bound Together Bookstore
1369 Haight St.
San Francisco, CA 94117
plp.versuspress.com/plphome.htm
No Texas requests. Request types of books-not specific titles, Stamps or
donations greatly appreciated.
THE PRISON LIBRARY PROJECT
915-C West Foothill Blvd. PMB 128
Claremont, CA 91711
Free fiction and non-fiction books to state and federal prisoners nationwide.
Priority to educational topics. Textbooks not available.
www.prisonlibraryproject.org
WOMENS PRISON BOOK PROJECT
C/o Arise Bookstore
2441 Lyndale Ave. S.
Minneapolis, MN 55405
www.prisonactivist.org/wpbp wpbp@prisonactivist.org
Ships to all states except OR, MI, CO, and WV. Free books to women prisoners
only. No county jail requests. Does not ship hardback books. Free resource
guide for women and transgender prisoners. Encourages women and
transgender prisoners to write articles for their newsletter. Write for more
details.

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APPENDIX C
Policies for ACT Testing
See next page.

PAGE 990 OF 1210!

!

Policies for ACT Arranged Testing 2014-2015
Eligibility Policy
ACT reviews requests for Arranged Testing for examinees who qualify
under the following conditions:
Religious faith prohibits Saturday Testing AND a non-Saturday test
center is not scheduled within 75 miles of the home for ANY test
date.
Lives in a country where ACT does not have a test center
scheduled for ANY test date.
Note: Examinees are encouraged to travel to a test center in a
nearby country if there is a center scheduled within reasonable
traveling distance.
Examinees in the US, US territories, Puerto Rico, and Canada who
do not have a test center scheduled within 75 miles of their home
for ANY test date.
Examinees confined to a hospital or the home due to medical
reasons, or to a correctional institution, on ALL test dates.
ACT will NOT consider Arranged Testing for any other reason or if any
of the above conditions are not met.
Test Options
The ACT (No Writing) is made up of four multiple-choice tests in
English, mathematics, reading, and science.
The ACT Plus Writing includes the four multiple-choice tests plus a
30-minute Writing Test.
Taking the Writing Test does not affect the subject area scores or
the Composite scores. For more information about the ACT
Writing Test, visit www.actstudent.org.
Fees
The basic test fee covers one report to your high school and up to
four college choices at the time of registration.
Payments must be in the form of a check* or money order
payable to ACT in US dollars and drawn on a US or US affiliate
bank.
If eligible, examinees may pay with a fee waiver
Fee Description
Fee
Location(s)
$38.00 Within the US, US territories,
Puerto Rico, or Canada
ACT (No Writing)
$75.00 All other locations
$54.50 Within the US, US territories,
Puerto Rico, or Canada
ACT Plus Writing
$91.50 All other locations
**Late Registration $24.00 Only available within the US, US
territories, Puerto Rico, or Canada
Test Date Change $23.00 All locations
Test Center Change $23.00 All locations
*This is notification that when you pay by check you are authorizing
ACT, Inc., to convert your check to an electronic entry. When we use
this information from your check to make an electronic funds transfer,
funds may be withdrawn from your account as soon as the same day
you make your payment, and you will not receive your check back from
your financial institution. If your check is returned to us due to
insufficient or uncollected funds, it may be re-presented electronically
and your account will be debited.
**If a Request is postmarked after the regular deadline but received
before the late deadline it will be processed for the preferred test date
IF the Late Registration fee is included.

ACT, Inc.

Testing for Students with Disabilities
ACT does not provide any test accommodations through Arranged
Testing. Review Students with Disabilities at www.actstudent.org for
eligibility requirements and instructions for requesting
accommodations through National or Special Testing.
Deadlines
Submit the Request for ACT Arranged Testing as early as possible to
provide ample time for review and follow-up correspondence. The
request and payment must be postmarked (received, if outside the US
or Canada) no later than the deadline listed for the preferred testing
window on the request form.
Response from ACT
If the request form is missing any information, signatures, or full
payment, the request will not be processed.
If Arranged Testing is approved by ACT, test materials will be
shipped to arrive no later than one week prior to the first day of
the testing window.
The examinee will not receive an admission ticket.
If an Approved Examinee Does Not Test
The test for the ACT is nonrefundable once the examinee is
approved, even if he or she does not test.
An  examinee  is  considered  “tested”  if  they  break  the  seal  on  their  
test booklet or open the booklet.
Examinees who do not test may request the following:
Test Date
The examinee and test coordinator must
Change
sign a written request specifying the new
testing window and submit it with payment
of the Test Date Change fee.
The request must be postmarked by the
deadline for the new testing window.
Test Date Change requests will not be
considered until after ACT receives the
unused test materials.
Refund for
An examinee who registered and paid for
Optional
the ACT Plus Writing who does not take the
Services
Writing Test may request a refund of the
Writing Test fee by writing to Arranged
Testing.
Refunds are not issued until after ACT
received the unused test materials. Refund
requests for the 2014-2015 testing year
received after July 31, 2015 will not be
honored.
Retesting
Each time an examinee wishes to test through Arranged Testing, a new
request form must be submitted with full payment for the preferred
test option and any required supporting documentation.
Address:
ACT Arranged Testing
301 ACT Drive
PO Box 168
Iowa City, IA 52243-0168
USA

Confidential Restricted when data present.

!

How to Contact ACT
Office hours:
8:30 a.m. – 5:00 p.m., CT, Monday – Friday
Phone: 319.337.1510
Fax: 319.339.3039
Email: arranged@act.org

ROADMAP TO REENTRY

Policies for ACT Arranged Testing 2014-2015
Arranged Testing Coordinator
It  is  the  examinee’s  responsibility  to  ask  a  teacher  or  counselor  at  
the high school, college, or university he or she is currently
attending to serve as the test supervisor. (If the examinee is not
currently attending school, ACT recommends contacting the
testing department at a nearby college or university.)
The test coordinator must meet all of the following criteria:
1. Be proficient in English.
2. Be experienced.
3. Be a staff member of the institution where testing takes
place.
4. Have control over locked, limited-access storage at the
institution to secure the test materials.
5. Agree to administer the tests according to policies and
procedures in this manual.
To protect both the examinee and the test coordinator from
questions of possible conflict of interest, the following conditions
must also be met. The test coordinator must:
6. Not be a relative or guardian of the examinee.
7. Not be a private consultant or individual tutor whose
fees  are  paid  by  the  examinee  or  examinee’s  family.
8. Not be engaged in test preparation activities for ACT
during the current academic year.
9. Not be involved in coaching high school or college
athletics (required only if the examinee participates in
athletics.
10. Not receive any compensation outside of ACT for
administering the test.
Test scores achieved under the supervision of an individual who
does not satisfy ALL requirements listed above will be cancelled
automatically without refund.

Answer Folder(s)
A Universal Answer Folder for each examinee will be shipped to
the test coordinator.
Identifying information (required), responses to the ACT Interest
Inventory and Student Profile Section (optional sections), and
college choices (up to six) must be recorded on this folder prior to
test day.
Answers to the multiple-choice tests will be recorded on this
answer folder on test day.
If the examinee is taking the ACT Plus Writing, a Universal Plus
Writing Answer Folder will also be included.
Scheduling the Administration
Testing Windows.
Arranged Testing must be administered in a single session on one
day during one of the designated windows listed on the request
form.
Testing Time.
o Schedule testing at a time mutually agreeable to the
examinee and test coordinator.
o Allows an uninterrupted session of approximately 3 ½ hours
for the ACT (No Writing) or 4 hours for the ACT Plus Writing.
o ACT prefers that testing be scheduled as the first activity of
the morning.
Breaks.
o Testing procedures allow a short break after the second test.
o Examinees taking the ACT Plus Writing will have time to relax
and sharpen their pencils before the Writing Test.
o The test session may NOT be interrupted by longer breaks for
meals or other activities. If it is, the answer document will
not be scored or scores will be cancelled.
Test Location.
o Testing must be done at the school.
o If the student is confined to the home or another location,
request authorization from ACT to administer the tests at
that location. Attach a statement to the request form
explaining why the alternate location is necessary and
document your plans for securely transporting the test
materials and ensuring standardized testing conditions at the
proposed location.

Compensation
Only the person who administers the tests will be compensated.
ACT will notify the test coordinator of the compensation amount
after Arranged Testing is approved.
ACT treats all testing staff as independent contractors. Therefore,
wages are not subject to income tax withholding and Social
Security deductions.
ACT reports the income to the IRS only if payments to an
individual exceed $600 in a given year.
A payment report form will be sent with the test materials.
Assignment of Test Materials
Test materials may be used only for the examinee(s) listed on the
Test Materials Distribution List and may not be transferred to any
other location or examinee.
If the examinee(s) does (do) not test, the test materials must be
returned to ACT immediately with an explanation as to why the
materials were unused.

Score Reports
Reports for the ACT (No Writing) are normally mailed within 2-8
weeks after ACT receives the answer folders.
Reports for the ACT Plus Writing are normally mailed within 5-8
weeks.
The  Test  Location  is  reported  as  “School”.

!
!

!
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ACT, Inc.

Confidential Restricted when data present.

Request for ACT Arranged Testing 2014 – 2015
General Information
This form is to be completed by the test coordinator.
Incomplete and/or unsigned forms will delay processing.

A.

Faxed or emailed forms will not be accepted.
Do not register online.

!

Examinee Information (print or type)

Name (Last, First, Middle Initial)

Date of Birth

Street Address or PO Box (if not available, use school address)

City

State/Province

ZIP/Postal Code

Country

Email Address (optional)

Phone Number (with area code)

High School / College (if currently attending)

High School Code (if currently attending)

B.

Test Coordinator Information (print or type)

Name (Last, First, Middle Initial)

Title

School Name (attach explanation if not the examinee’s school)
Street Address of School (required for shipping materials)

PO Box

City

State/Province

Email Address (required)

Daytime Phone Number (with area code)

C.

Test Date/Test Option and Test Center Choices
Mark only one option.
Send this request no later than the deadline for the
selected testing window.
Postmark deadlines below is a receipt deadline for
locations outside the US and Canada.
Testing Window (mark only one)
☐ September 13 – October 4, 2014
☐ October 25 – November 15, 2014
☐ December 13 – January 3, 2015
☐ February 7 – February 28, 2015
☐ April 18 – May 9, 2015
☐ June 13 – July 4, 2015

Postmark Deadline
August 8
September 19
November 7
January 9
March 13
May 8

Test Option
☐ ACT (No Writing)
☐ ACT Plus Writing

!

!

Country
FAX Number

D. Reason for Arranged Testing
Check one and include any required documentation.
1. ☐ (04)
Religious faith prohibits Saturday testing and
no non-Saturday test center established for any
test date within 75 miles. Include a letter from
a cleric or a notarized statement to verify the
prohibition
2. ☐ (05)
No test center in the country for any test date.
3. ☐ (06)
Homebound (confined to home due to medical
reasons) on all test dates. Include a copy of the
homebound plan filed with the school and
documentation of the diagnosis/length of
confinement.
4. ☐ (08)
Within the US or Canada only: No test center
established for any test date within 75 miles.
5. ☐ (09)
Confined to a hospital on all test dates. Include
documentation to support this
accommodation.
6. ☐ (10)
Confined to a correctional institution from
September 2014 through June 2015.

!

ACT, Inc.

ZIP/Postal Code

Confidential Restricted when data present.

E.

ROADMAP TO REENTRY
Test  Coordinator’s  Statement
I certify that I personally meet all requirements for test coordinator specified by ACT and that I or a member of my staff who also meets the
same requirements will administer the tests in accordance with the ACT Administration Manual sent with the test materials. I will ensure that
the test materials are kept secure and confidential, used for this examinee only and not transferred to another student or location, and
returned to ACT immediately after testing.

Signature

Date

!
F.

Examinee Statement
I verify that the information provided on this form and in the attached documentation, if any, is accurate to the best of my knowledge. I
authorize the release of any documentation attached to ACT.

!

Examinee’s Signature

(Parent or guardian must also sign if examinee is under 18.)

Date

!
G.

Fees
The basic test fee covers one report to your high school and up to four college choices at the time of registration.
Payments must be in the form of a check* or money order payable to ACT in US dollars and drawn on a US or US affiliate bank.
If eligible, examinees may pay with a fee waiver
Fee Description
Fee
Location(s)
$38.00 Within the US, US territories, Puerto Rico, or Canada
ACT (No Writing)
$75.00 All other locations
$54.50 Within the US, US territories, Puerto Rico, or Canada
ACT Plus Writing
$91.50 All other locations
**Late Registration $24.00 Only available within the US, US territories, Puerto Rico, or Canada
Test Date Change $23.00 All locations
Test Center Change $23.00 All locations
*This is notification that when you pay by check you are authorizing ACT, Inc., to convert your check to an electronic entry. When we use this
information from your check to make an electronic funds transfer, funds may be withdrawn from your account as soon as the same day you make
your payment, and you will not receive your check back from your financial institution. If your check is returned to us due to insufficient or
uncollected funds, it may be re-presented electronically and your account will be debited.
**If a Request is postmarked after the regular deadline but received before the late deadline it will be processed for the preferred test date IF the
Late Registration fee is included.
!

!
H.

Return of Request Form.
Detach and mail this completed form, all required supporting documentation, and payment to:

!
!
!

ACT Arranged Testing
301 ACT Drive
PO Box 168
Iowa City, IA 52243-0168

!
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ACT, Inc.

Confidential Restricted when data present.

ROADMAP TO REENTRY

APPENDIX D
Correspondence Courses Available to
Incarcerated Individuals
THESE ARE KNOWN CORRESPONDENCE PROGRAMS TO ACCEPT/QUALIFY
FOR BOARD OF GOVERNOR’S FEE WAIVER (BOGFW):
Lassen Community College
An Accredited Institution (ACCJC)
478-200 Hwy 139, Susanville, CA 96130
Phone: (530) 257-6181
Fax: (530) 257-8964
Coastline Community College
Distance Learning Department Room 318 (3rd Floor)
11460 Warner Avenue
Fountain Valley, CA 92708-2597
Phone: (714) 241-6216
Fax: (714) 241-6287
Feather River College
570 Golden Eagle Ave.
Quincy, CA. 95971
Ohio and Brigham Young University also offer correspondence courses
towards an AA/BA but at a higher cost.
FINANCIAL AID INQUIRIES
Financial Aid Past Default on Loans should be directed to 1-800-433-3243 or 1800-621-3115. Students should ask what their standing is and nothing more.
STATE LICENSURE AND REGISTRATION WITH THE STATE FOR CAREERS IN
MEDICAL FIELD AND CLEARANCE FOR INTERNSHIPS/APPRENTICESHIPS
Many students have questioned the potential to be able to advance a career in
specific fields/majors that require state licensure, registration with the state, or
internships for units that necessitate clearance/background checks. We have
found that each student should understand the "concern" when using ones
criminal history against them. Depending on the type of credentials one is trying
to pursue, each entity will look at the relevance of the crime in lieu of the
career/licensure, (e.g. if you were convicted of manufacturing
methamphetamine, applying for pharmacy school or becoming a pharmacy
technician may not be the route to take), however we have come across state
entities that have utilized one's juvenile record and were attempting to reject
state licensure based on moral turpitude for having a criminal history in general.
In order to combat this each student must be proactive in developing a healthy
source of documentation on the contrary in order to detract from the legal
distractions that do not have any relevance to the path contemplated and are
used solely for the purposes of discouraging students from applying for a
specific cause. We have successfully assisted students in receiving such state
licensure but it indeed can be a battle, which can be overcome.

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SCHOOLS THAT ACCEPT THE BOARD OF GOVERNORS FEE WAIVER:
•

•

•

•

Coastline Community College offers distance-learning courses leading to an
associate’s degree. Contact: Distance Learning Dept. Room 318 (3rd Fl.);
11460 Warner Avenue; Fountain Valley, CA 92708-2597; (714) 241-6216;
Incarcerated Student Support Services (714) 546-7600 x 1631523;
dlearning@coastline.edu
Lassen Community College allows you to earn your associate’s degree
through correspondence courses. Students provide and pay for books.
Students do not need a proctor to take exams. Because so many
correspondence students are incarcerated, professors are understanding
when it comes to uncontrollable circumstances that affect your assignments
(like Lockdowns in prisons).” Contact: PO BOX 3000; 478-200 Hwy 139;
Susanville, CA 96130 Telephone: (530) 251-8875;
btheesfeld@lassencollege.edu
Palo Verde College offers correspondence courses leading to an associate’s
degree. If incarcerated at Ironwood State Prison or Chuckawalla Valley State
Prison, you (or someone on your behalf) can order schoolbooks online at
www.ecampus.com/pvc or by phone at (877) 284-6744. Books are delivered
by a proctor.25 Provide an address that includes: Full name / cdc #; PVC D.L.
/ ISP or CVSP / housing information; One College Drive; Blythe, CA
92225.26 If you live outside of Blythe, California, follow guidelines in the
NON-LOCAL STUDENT GUIDE. Contact: Palo Verde College; Att: Distance
Learning Dept.; One College Dr.; Blythe CA, 92225; (760) 921-5568;
dlo@paloverde.edu
Feather River College allows you to earn credits toward an associate’s
degree through distance learning. You can transfer these credits to another
school to earn an associate’s degree that other school, although you can’t
earn a degree from Feather River.27 Contact: 570 Golden Eagle Ave.; Quincy,
CA. 95971 530-283-0202; or call Admissions Office at (530) 283-0202 or 1800-442-9799.

SCHOOLS THAT DO NOT ACCEPT BOG FEE WAIVER
•

•

Ohio University offers correspondence courses leading to an associate’s or
bachelor’s degree. Expensive. Non-Ohio residents pay $343 per credit hour.
Contact: Ohio University Correctional Education, 102 Haning Hall, 1 Ohio
University, Athens OH 45701; call toll free at 800-444-2420; or email
correctional@ohio.edu.
Brigham Young University offers correspondence courses leading to an
associate’s degree. Contact: BYU Independent Study 120 Morris Center
Provo, UT 84602-0300. Or call : 1-800-914-8931 or 1-801-422-2868;

PAGE 996 OF 1210!

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APPENDIX E
More Information about Eligibility for
Federal Student Aid and Drug Convictions
If you were convicted of possession or sale of a controlled substance while you
were already receiving federal student aid, you will be ineligible to receive
2571
federal student aid for a specified period of time.
This is true whether your
conviction was a felony or a misdemeanor. The length of time you are ineligible
depends on the type and number of convictions you have had for these offenses
committed while you were receiving aid. The law differentiates between
“possession of illegal drugs” and “sale of illegal drugs.” The table below lists the
period of ineligibility by type of conviction, either possession or sale of a
2572
controlled substance and number of offenses:
OFFENSE

POSSESSION OF ILLEGAL
DRUGS

SALE OF ILLEGAL DRUGS

FIRST

1 year of ineligibility from date of
conviction

2 years of ineligibility from date of
conviction

SECOND

2 years of ineligibility from date
of conviction

Indefinite period of ineligibility*

THREE OR
MORE

Indefinite period of ineligibility*

Indefinite period of ineligibility*

*An indefinite period of ineligibility continues unless your conviction is
overturned or otherwise rendered invalid, or you meet one of the two early
reinstatement requirements (see below).
2573

YOU CAN SHORTEN YOUR PERIOD OF INELIGIBILITY BY:
• Successfully completing an approved drug rehabilitation program that
includes passing two unannounced drug tests; or
• Passing two unannounced drug tests administered by an approved drug
rehabilitation program; or
• Having the conviction expunged, reversed, set aside, or otherwise rendered
invalid (learn more about expungement in the UNDERSTANDING &
CLEANING UP YOUR CRIMINAL RECORD CHAPTER, beginning on PG. 1020).
HOW ELIGIBILITY IS DETERMINED…
There is a question on the application for federal student aid that asks whether
you have been convicted of possession or sale of a controlled substance while
2574
receiving federal student aid.
If you answer yes, or leave this question blank,
you will be sent an additional worksheet that you must fill out in order to

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

20 U.S.C. § 1091 (part of the Higher Education Opportunity Act reauthorized as amended, 2008). See also U.S.
DEP’T OF EDUC., Federal Student Aid: Students With Criminal Convictions,
www.studentaid.ed.gov/eligibility/criminal-convictions.
2572
20 U.S.C. § 1091(r)(1). (Higher Education Opportunity Act, reauthorized as amended, 2008). See also FAFSA Facts,
Office of National Drug Control Policy, U.S. DEP’T OF EDUC.,
http://www.whitehouse.gov/sites/default/files/ondcp/recovery/fafsa.pdf.
2573
20 U.S.C. § 1091(r)(2). (Rehabilitation).
2574
See Free Application for Federal Student Aid (FAFSA).
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ROADMAP TO REENTRY
2575

determine if you are eligible for federal student aid.
one of three results:

This worksheet will yield

1) You are currently eligible for federal student aid;
2) You are not eligible for federal student aid for part of the current school
year; OR
3) You are not eligible for federal student aid for the entire current school
2576
year.
REMEMBER: Even if you are not currently eligible for student aid (either for part
or all of the current school year), you can become eligible if you complete an
acceptable drug rehabilitation program OR pass two random (unannounced)
2577
drug tests administered by an acceptable drug rehabilitation program.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Student Aid Eligibility Worksheet for Question 23 (2014-2015), Federal Student Aid Office, U.S. DEP’T OF EDUC.,
https://studentaid.ed.gov/sites/default/files/2014-15-student-aid-eligibility-drug-worksheet.pdf.
2576
Student Aid Eligibility Worksheet for Question 23 (2014-2015), Federal Student Aid Office, U.S. DEP’T OF EDUC.,
https://studentaid.ed.gov/sites/default/files/2014-15-student-aid-eligibility-drug-worksheet.pdf.
2577
Student Aid Eligibility Worksheet for Question 23 (2014-2015), Federal Student Aid Office, U.S. DEP’T OF EDUC.,
https://studentaid.ed.gov/sites/default/files/2014-15-student-aid-eligibility-drug-worksheet.pdf.
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APPENDIX F
Sample version of the 2015-2016
Free Application for Student Aid (FAFSA)
See next page.

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ROADMAP TO REENTRY

FAFSA

July 1, 2015 – June 30, 2016

F R E E A P P L I C AT I O N f o r F E D E R A L S T U D E N T A I D

Use this form to apply free for federal and state student
grants, work-study, and loans.
Or apply free online at www.fafsa.gov.
Applying by the Deadlines
For federal aid, submit your application as early as possible, but no earlier than
January 1, 2015. We must receive your application no later than June 30, 2016. Your
college must have your correct, complete information by your last day of enrollment in
the 2015-2016 school year.
For state or college aid, the deadline may be as early as January 2015. See the table to
the right for state deadlines. You may also need to complete additional forms.
Check with your high school guidance counselor or a financial aid administrator at your
college about state and college sources of student aid and deadlines.
If you are filing close to one of these deadlines, we recommend you file online at
www.fafsa.gov. This is the fastest and easiest way to apply for aid.

APPLICATION DEADLINES
Federal Aid Deadline - June 30, 2016
State Aid Deadlines - See below.
Check with your financial aid administrator for these states
and territories:
AL, AS *, AZ, CO, FM *, GA, GU *, HI *, MH *, MP *, NE, NH *, NM,
NV *, OH *, PR, PW *, SD *, TX, UT, VA *, VI *, WI and WY *.

Pay attention to the symbols that may be listed after
your state deadline.
AK
AR

CA

CT
DC

Using Your Tax Return

Filling Out the FAFSA®
If you or your family experienced significant changes to your financial situation (such as
loss of employment), complete this form to the extent you can and submit it as instructed.
Consult with the financial aid office at the college(s) you applied to or plan to attend.
For help in filling out the FAFSA, go to www.studentaid.gov/completefafsa or call
1-800-433-3243. TTY users (for the hearing impaired) may call 1-800-730-8913.
Fill the answer fields directly on your screen or print the form and complete it by hand.
Your answers will be read electronically; therefore if you complete the form by hand:

DE
FL
IA
ID
IL
IN
KS
KY
LA
MA
MD
ME
MI
MN
MO
MS
MT
NC
ND
NJ

•

• use black ink and fill in circles completely:
• print clearly in CAPITAL letters and skip a
box between words:
• report dollar amounts (such as $12,356.41)
like this:

Correct

1 5
$

Incorrect x √

E L M

S T

1 2 3 5 6
,

NY
OK
OR
PA

no cents

Yellow is for student information and purple is for parent information.

RI
SC

Mailing Your FAFSA®
After you complete this application, make a copy of pages 3 through 8 for your records.
Then mail the original of pages 3 through 8 to:
Federal Student Aid Programs, P.O. Box 7002, Mt. Vernon, IL 62864-0072.
After your application is processed, you will receive a summary of your information in
your Student Aid Report (SAR). If you provide an e-mail address, your SAR will be sent by
e-mail within three to five days. If you do not provide an e-mail address, your SAR will be
mailed to you within three weeks. If you would like to check the status of your FAFSA,
go to www.fafsa.gov or call 1-800-433-3243.

Let’s Get Started!
Now go to page 3 of the application form and begin filling it out. Refer to the
notes as instructed.

PAGE 1000 OF 1210!

TN

VT
WA
WV

# For priority consideration, submit application by date specified.
+ Applicants encouraged to obtain proof of mailing.
* Additional form may be required.

The Federal Student Aid logo and FAFSA are registered trademarks of Federal Student Aid, U.S. Department of Education.

STATE AID DEADLINES

We recommend that you complete and submit your FAFSA as soon as possible on or
after January 1, 2015. If you (or your parents) need to file a 2014 income tax return with
the Internal Revenue Service (IRS), and have not done so yet, you can submit your FAFSA
now using estimated tax information, and then you must correct that information after
you file your return.
The easiest way to complete or correct your FAFSA with accurate tax information is by
using the IRS Data Retrieval Tool through www.fafsa.gov. In a few simple steps, most
students and parents who filed a 2014 tax return can view and transfer their tax return
information directly into their FAFSA.
Note: Both parents or both the student and spouse may need to report income
information on the FAFSA if they did not file a joint tax return for 2014. For assistance
with answering the income information questions in this situation, call 1-800-4-FED-AID
(1-800-433-3243).

Alaska Performance Scholarship - June 30, 2015
Alaska Education Grant - As soon as possible after
January 1, 2015. Awards made until funds are depleted.
Academic Challenge - June 1, 2015 (date received)
Workforce Grant - Contact the financial aid office.
Higher Education Opportunity Grant - June 1, 2015 (date
received)
For many state financial aid programs - March 2, 2015 (date
postmarked) + *
For additional community college Cal Grants September 2, 2015 (date postmarked) + *
Contact the California Student Aid Commission or your
financial aid administrator for more information.
February 15, 2015 (date received) # *
FAFSA completed by April 1, 2015
For DCTAG, complete the DC OneApp and submit supporting
documents by April 30, 2015.
April 15, 2015 (date received)
May 15, 2015 (date processed)
July 1, 2015 (date received) Earlier priority deadlines may
exist for certain programs. *
Opportunity Grant - March 1, 2015 (date received) # *
As soon as possible after January 1, 2015. Awards made until
funds are depleted.
March 10, 2015 (date received)
April 1, 2015 (date received) # *
As soon as possible after January 1, 2015. Awards made until
funds are depleted.
June 30, 2016 (July 1, 2015 recommended)
May 1, 2015 (date received) #
March 1, 2015 (date received)
May 1, 2015 (date received)
March 1, 2015 (date received)
30 days after term starts (date received)
April 1, 2015 (date received)
MTAG and MESG Grants - September 15, 2015 (date received)
HELP Scholarship - March 31, 2015 (date received)
March 1, 2015 (date received) #
As soon as possible after January 1, 2015. Awards made until
funds are depleted.
April 15, 2015 (date received) # Earlier priority deadlines may
exist for institutional programs.
2014-2015 Tuition Aid Grant recipients - June 1, 2015 (date
received)
All other applicants
- October 1, 2015, fall & spring terms (date received)
- March 1, 2016, spring term only (date received)
June 30, 2016 (date received) *
March 1, 2015 (date received) #
OSAC Private Scholarships - March 1, 2015
Oregon Opportunity Grant - As soon as possible after
January 1, 2015. Awards made until funds are depleted.
All first-time applicants enrolled in a: community college;
business/trade/technical school; hospital school of nursing;
designated Pennsylvania Open-Admission institution; or nontransferable two-year program - August 1, 2015 (date received)
All other applicants - May 1, 2015 (date received)
March 1, 2015 (date received) #
Tuition Grants - June 30, 2015 (date received)
SC Commission on Higher Education Need-based Grants - As
soon as possible after January 1, 2015. Awards made until
funds are depleted.
State Grant - Prior-year recipients receive award if eligible and
apply by March 1, 2015. All other awards made to neediest
applicants until funds are depleted.
State Lottery - fall term, September 1, 2015 (date received);
spring & summer terms, February 1, 2016 (date received)
As soon as possible after January 1, 2015. Awards made
until funds are depleted. *
As soon as possible after January 1, 2015. Awards made until
funds are depleted.
PROMISE Scholarship - March 1, 2015. New applicants must
submit additional application. Contact your financial aid
administrator or your state agency.
WV Higher Education Grant Program - April 15, 2015

Notes for question 8 (page 3)
Enter your Social Security Number (SSN) as it appears on your Social
Security card. If you are a resident of the Freely Associated States (i.e., the
Republic of Palau, the Republic of the Marshall Islands, or the Federated
States of Micronesia) and were issued an identification number beginning
with “666” when submitting a FAFSA previously, enter that number here.
If you are a first-time applicant from the Freely Associated States, enter
“666” in the first three boxes of the SSN field and leave the remaining six
positions blank and we will create an identification number to be used
for federal student aid purposes.

Notes for questions 14 and 15 (page 3)
If you are an eligible noncitizen, write in your eight- or nine-digit Alien
Registration Number. Generally, you are an eligible noncitizen if you are
(1) a permanent U.S. resident with a Permanent Resident Card (I-551); (2)
a conditional permanent resident with a Conditional Green Card (I-551C);
(3) the holder of an Arrival-Departure Record (I-94) from the Department
of Homeland Security showing any one of the following designations:
“Refugee,” “Asylum Granted,” “Parolee” (I-94 confirms that you were
paroled for a minimum of one year and status has not expired), T-Visa
holder (T-1, T-2, T-3, etc.) or “Cuban-Haitian Entrant;” or (4) the holder of
a valid certification or eligibility letter from the Department of Health and
Human Services showing a designation of “Victim of human trafficking.”
If you are in the U.S. and have been granted Deferred Action for Childhood
Arrivals (DACA), an F1 or F2 student visa, a J1 or J2 exchange visitor visa,
or a G series visa (pertaining to international organizations), select “No, I
am not a citizen or eligible noncitizen.” You will not be eligible for federal
student aid. If you have a Social Security Number but are not a citizen or an
eligible noncitizen, including if you have been granted DACA, you should
still complete the FAFSA because you may be eligible for state or college
aid.

Notes for questions 16 and 17 (page 3)
Report your marital status as of the date you sign your FAFSA. If your
marital status changes after you sign your FAFSA, check with the
financial aid office at the college. Consistent with the Supreme Court
decision holding Section 3 of the Defense of Marriage Act (DOMA)
unconstitutional, same-sex couples must report their marital status
as married if they were legally married in a state or other jurisdiction
(foreign country) that permits same-sex marriage, without regard to
where the couple resides.

Notes for questions 21 and 22 (page 3)
To be eligible for federal student aid, male citizens and male immigrants
residing in the U.S. aged 18 through 25 are required to register with the
Selective Service System, with limited exceptions. This requirement
applies to any person assigned the sex of male at birth. The Selective
Service System and the registration requirement for males preserve
America’s ability to provide resources in an emergency to the U.S.
Armed Forces (Army, Navy, Air Force, Marines, or Coast Guard). For more
information about the Selective Service System, visit www.sss.gov.
Forms are available at your local U.S. Post Office.

Notes for questions 33 (page 4)
and 81 (page 6)
If you filed or will file a foreign tax return, a tax return with Puerto Rico,
another U.S. territory (e.g., Guam, American Samoa, the U.S. Virgin
Islands, Swain’s Island or the Northern Marianas Islands) or one of the
Freely Associated States, use the information from that return to fill out
this form. If you filed a foreign return, convert all monetary units to U.S.
dollars, using the exchange rate that is in effect today. To view the daily
exchange rate, go to www.federalreserve.gov/releases/h10/current.

Notes for questions 35 (page 4)
and 83 (page 6)

On the 1040EZ, if a person didn’t check either box on line 5, enter 01 if he
or she is single or has never been married, or 02 if he or she is married. If
a person checked either the “you” or “spouse” box on line 5, use 1040EZ
worksheet line F to determine the number of exemptions ($3,950 equals
one exemption).

Notes for questions 42 and 43 (page 4), 45j (page 5),
and 91 and 92 (page 7)
Net worth means current value minus debt. If net worth is negative, enter 0.
Investments include real estate (do not include the home in which you
live), rental property (includes a unit within a family home that has its
own entrance, kitchen, and bath rented to someone other than a family
member), trust funds, UGMA and UTMA accounts, money market funds,
mutual funds, certificates of deposit, stocks, stock options, bonds, other
securities, installment and land sale contracts (including mortgages
held), commodities, etc.
Investments also include qualified educational benefits or education
savings accounts (e.g., Coverdell savings accounts, 529 college savings
plans and the refund value of 529 prepaid tuition plans). For a student
who does not report parental information, the accounts owned by the
student (and/or the student’s spouse) are reported as student investments
in question 42. For a student who must report parental information, the
accounts are reported as parental investments in question 91, including
all accounts owned by the student and all accounts owned by the parents
for any member of the household.
Money received, or paid on your behalf, also includes distributions to
you (the student beneficiary) from a 529 plan that is owned by someone
other than you or your parents (such as your grandparents, aunts, uncles,
and non-custodial parents). You must include these distribution amounts
in question 45j.
Investments do not include the home you live in, the value of life
insurance, retirement plans (401[k] plans, pension funds, annuities, noneducation IRAs, Keogh plans, etc.) or cash, savings and checking accounts
already reported in questions 41 and 90.
Investments also do not include UGMA and UTMA accounts for which
you are the custodian, but not the owner.
Investment value means the current balance or market value of these
investments as of today. Investment debt means only those debts that
are related to the investments.
Business and/or investment farm value includes the market value of
land, buildings, machinery, equipment, inventory, etc. Business and/or
investment farm debt means only those debts for which the business or
investment farm was used as collateral.
Business value does not include the value of a small business if your
family owns and controls more than 50 percent of the business and the
business has 100 or fewer full-time or full-time equivalent employees.
For small business value, your family includes (1) persons directly related
to you, such as a parent, sister or cousin, or (2) persons who are or were
related to you by marriage, such as a spouse, stepparent or sister-in-law.
Investment farm value does not include the value of a family farm that
you (your spouse and/or your parents) live on and operate.

Notes for question 49 (page 5)
Answer “Yes” if you are currently serving in the U.S. Armed Forces or are
a National Guard or Reserves enlistee who is on active duty for other than
state or training purposes.
Answer “No” if you are a National Guard or Reserves enlistee who is on
active duty for state or training purposes.

Notes for question 50 (page 5)

In general, a person is eligible to file a 1040A or 1040EZ if he or she
makes less than $100,000, does not itemize deductions, does not receive
income from his or her own business or farm and does not receive
alimony. A person is not eligible to file a 1040A or 1040EZ if he or she
makes $100,000 or more, itemizes deductions, receives income from
his or her own business or farm, is self-employed, receives alimony or
is required to file Schedule D for capital gains. If you filed a 1040 only
to claim the American Opportunity Tax Credit or Lifetime Learning Tax
Credit, and you would have otherwise been eligible to file a 1040A or
1040EZ, answer “Yes” to this question. If you filed a 1040 and were not
required to file a tax return, answer “Yes” to this question.

!

Notes for questions 38 (page 4)
and 87 (page 7) — Notes for those who filed a 1040EZ

! Page 2

Answer “Yes” (you are a veteran) if you (1) have engaged in active duty
(including basic training) in the U.S. Armed Forces, or are a National
Guard or Reserves enlistee who was called to active duty for other than
state or training purposes, or were a cadet or midshipman at one of the
service academies, and (2) were released under a condition other than
dishonorable. Also answer “Yes” if you are not a veteran now but will be
one by June 30, 2016.
Answer “No” (you are not a veteran) if you (1) have never engaged in
active duty (including basic training) in the U.S. Armed Forces, (2)
are currently an ROTC student or a cadet or midshipman at a service
academy, (3) are a National Guard or Reserves enlistee activated only for
state or training purposes, or (4) were engaged in active duty in the U.S.
Armed Forces but released under dishonorable conditions.
Also answer “No” if you are currently serving in the U.S. Armed Forces
and will continue to serve through June 30, 2016.
Notes continued on page 9.

ROADMAP TO REENTRY

FAFSA

July 1, 2015 – June 30, 2016

F R E E A P P L I C AT I O N f o r F E D E R A L S T U D E N T A I D

Step One (Student): For questions 1-31, leave any questions that do not apply to you (the student) blank.

OMB # 1845-0001

Your full name (exactly as it appears on your Social Security card) If your name has a suffix, such as Jr. or III, include a space between your last name and suffix.
1. Last
name

2. First
name

3. Middle
initial

Your permanent mailing address
4. Number and street
(include apt. number)
5. City (and country if
not U.S.)

6. State

8. Your Social Security Number See Notes page 2.

–

–

9. Your date
of birth

MONTH

DAY

7. ZIP code
10. Your telephone number

YEAR

(

Your driver’s license number and driver’s license state (if you have one)
11. Driver’s license
number

)

–

12. Driver’s license
state

13. Your e-mail address. If you provide your e-mail address, we will communicate with you electronically. For example, when your FAFSA has been processed, you will be
notified by e-mail. Your e-mail address will also be shared with your state and the colleges listed on your FAFSA to allow them to communicate with you. If you do not
have an e-mail address, leave this field blank.

14. Are you a U.S.
citizen?
Mark only one.

See Notes page 2.

16. What is your
marital status as
of today?

Yes, I am a U.S. citizen (U.S. national). Skip to question 16. . . . . . .

1

No, but I am an eligible noncitizen. Fill in question 15. . . . . . . . . . .

2

No, I am not a citizen or eligible noncitizen. Skip to question 16.

3

I am single . . . . . . . . . . . . .

1

I am separated . . . . . . . . . . .

3

I am married/remarried

2

I am divorced or widowed

4

See Notes page 2.

18. What is your
state of legal
residence?
21. Are you male or
female?

See Notes page 2.

15. Alien Registration Number

A

17. Month and year you were married,
remarried, separated, divorced or
widowed.

MONTH

YEAR

MONTH

YEAR

See Notes page 2.
STATE

19. Did you become a legal
resident of this state
before January 1, 2010?

Male

1

Female

2

Yes

1

No

2

20. If the answer to question 19 is “No,”
give month and year you became a
legal resident of that state.

22. If female, skip to question 23. Most male students must register with the
Selective Service System to receive federal aid. If you are male, age 18-25 and
not registered, fill in the circle and we will register you. See Notes page 2.

23. Have you been convicted for the possession or sale of illegal drugs for an offense that occurred while you were receiving
federal student aid (such as grants, loans or work-study)?
Answer “No” if you have never received federal student aid or if you have never had a drug conviction for an offense that occurred while
receiving federal student aid. If you have a drug conviction for an offense that occurred while you were receiving federal student aid, answer
“Yes,” but complete and submit this application, and we will mail you a worksheet to help you determine if your conviction affects your
eligibility for aid. If you are unsure how to answer this question, call 1-800-433-3243 for help.

Register me

1

No

1

Yes

3

Some states and colleges offer aid based on the level of schooling your parents completed.
24. Highest school completed by Parent 1

Middle school/Jr. high

1

High school

2

College or beyond

3

Other/unknown

4

25. Highest school completed by Parent 2

Middle school/Jr. high

1

High school

2

College or beyond

3

Other/unknown

4

26. When you begin college in the 2015-2016 school year, what will be your high school completion status?
High school diploma. Answer question 27. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1

Homeschooled. Skip to question 28. . . . . . . . . . .

3

General Educational Development
(GED) certificate or state equivalent!test. Skip to question 28.
!

2

None of the above. Skip to question 28. . . . . . . .

4

PAGE 1002 OF 1210!

For Help — www.studentaid.gov/completefafsa

Page 3

Step One CONTINUED on page 4

Step One CONTINUED from page 3
28. Will you have your first bachelor’s degree
before July 1, 2015?

27. What is the name of the high school where you received or will receive your high school diploma?
Enter the complete high school name, and the city and state where the high school is located.
STATE

High School Name

Yes

High School City

29. When you begin the 2015-2016 school year, what will be your grade
level?

1

No

2

30. When you begin the 2015-2016 school year, what degree or certificate will
you be working on?

Never attended college and 1st year undergraduate . . . . . . . . . . . . .

0

1st bachelor’s degree . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1

Attended college before and 1st year undergraduate . . . . . . . . . . . .

1

2nd bachelor’s degree . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2

2nd year undergraduate/sophomore . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Associate degree (occupational or technical program) . . . . . . . . . . . . . . . . . . . . .

3

2

Associate degree (general education or transfer program). . . . . . . . . . . . . . . . . .

4

3rd year undergraduate/junior . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

3

4th year undergraduate/senior . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4

5th year/other undergraduate. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

5

1st year graduate/professional . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6

Continuing graduate/professional or beyond . . . . . . . . . . . . . . . . . . . .

7

Certificate or diploma (occupational, technical or education program
of less than two years). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Certificate or diploma (occupational, technical or education program
of two or more years) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6

Teaching credential (nondegree program) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7

Graduate or professional degree . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

8

Other/undecided . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

9

31. Are you interested in being considered for work-study?

Step Two (Student):

5

Yes

1

No

2

Don’t know

3

Answer questions 32–58 about yourself (the student). If you were never married or are separated, divorced
or widowed, answer only about yourself. If you are married or remarried as of today, include information
about your spouse.

32. For 2014, have you (the student) completed
your IRS income tax return or another tax
return listed in question 33?
I have already completed my return . . . . . . . .
I will file but have not yet completed my
return . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
I’m not going to file. Skip to question 39.

1

2
3

33. What income tax return did you file or will you file
for 2014?

34. For 2014, what is or will be your tax filing
status according to your tax return?

IRS 1040 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1

IRS 1040A or 1040EZ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2

A foreign tax return. See Notes page 2. . . . . . . . . . . .

3

A tax return with Puerto Rico, another U.S. territory,
or Freely Associated State. See Notes page 2. . . . . .

35. If you have filed or will file a 1040, were you eligible to file a 1040A or 1040EZ?
See Notes page 2.

4

Single . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Head of household. . . . . . . . . . . . . . . . . . .
Married—filed joint return . . . . . . . . . . .
Married—filed separate return . . . . . . .
Qualifying widow(er). . . . . . . . . . . . . . . . .
Don’t know . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes

1

No

2

Don’t know

1
4
2
3
5
6

3

For questions 36–45, if the answer is zero or the question does not apply to you, enter 0. Report whole dollar amounts with no cents.
36. What was your (and spouse’s) adjusted gross income for 2014? Adjusted gross income is on IRS Form 1040—line 37;
$
1040A—line 21; or 1040EZ—line 4.
37. Enter your (and spouse’s) income tax for 2014. Income tax amount is on IRS Form 1040—line 56; 1040A—line 3; or
 $
1040EZ—line 10.

,

,

,

,

38. Enter your (and spouse’s) exemptions for 2014. Exemptions are on IRS Form 1040—line 6d or Form 1040A—line 6d.
For Form 1040EZ, see Notes page 2.
Questions 39 and 40 ask about earnings (wages, salaries, tips, etc.) in 2014. Answer the questions whether or not a tax return was filed. This
information may be on the W-2 forms, or on IRS Form 1040—lines 7 + 12 + 18 + Box 14 (Code A) of IRS Schedule K-1 (Form 1065); on 1040A—line 7; or
on 1040EZ—line 1. If any individual earning item is negative, do not include that item in your calculation.
39. How much did you earn from working in 2014?

$

,

,

40. How much did your spouse earn from working in 2014?

$

,

,

,

,

,

,

,

,

41. As of today, what is your (and spouse’s) total current balance of cash, savings and checking accounts? Don’t include
$
student financial aid.
42. As of today, what is the net worth of your (and spouse’s) investments, including real estate? Don’t include the home you
$
live in. Net worth means current value minus debt. See Notes page 2.
43. As of today, what is the net worth of your (and spouse’s) current businesses and/or investment farms? Don’t include a $
family farm or family business with 100 or fewer full-time or full-time equivalent employees. See Notes page 2.

!
For Help — 1-800-433-3243

! Page 4

Step Two CONTINUED on page 5

ROADMAP TO REENTRY

Step Two CONTINUED from page 4

44. Student’s 2014 Additional Financial Information (Enter the combined amounts for you and your spouse.)
a. Education credits (American Opportunity Tax Credit and Lifetime Learning Tax Credit) from IRS Form 1040—line 50 or 1040A—line 33.

$

,

,

b. Child support paid because of divorce or separation or as a result of a legal requirement. Don’t include support for children in your
household, as reported in question 95.

$

,

,

c. Taxable earnings from need-based employment programs, such as Federal Work-Study and need-based employment portions of
fellowships and assistantships.

$

,

,

d. Taxable student grant and scholarship aid reported to the IRS in your adjusted gross income. Includes AmeriCorps benefits (awards,
living allowances and interest accrual payments), as well as grant and scholarship portions of fellowships and assistantships.

$

,

,

e. Combat pay or special combat pay. Only enter the amount that was taxable and included in your adjusted gross income. Don’t include
untaxed combat pay.

$

,

,

f. Earnings from work under a cooperative education program offered by a college.

$

,

,

a. Payments to tax-deferred pension and retirement savings plans (paid directly or withheld from earnings), including, but not limited to,
amounts reported on the W-2 forms in Boxes 12a through 12d, codes D, E, F, G, H and S. Don’t include amounts reported in code DD
(employer contributions toward employee health benefits).

$

,

,

b. IRA deductions and payments to self-employed SEP, SIMPLE, Keogh and other qualified plans from IRS Form 1040—line 28 + line 32
or 1040A—line 17.

$

,

,

c. Child support received for any of your children. Don’t include foster care or adoption payments.

$

,

,

d. Tax exempt interest income from IRS Form 1040—line 8b or 1040A—line 8b.

$

,

,

e. Untaxed portions of IRA distributions from IRS Form 1040—lines (15a minus 15b) or 1040A—lines (11a minus 11b). Exclude rollovers.
If negative, enter a zero here.

$

,

,

f. Untaxed portions of pensions from IRS Form 1040—lines (16a minus 16b) or 1040A—lines (12a minus 12b). Exclude rollovers.
If negative, enter a zero here.

$

,

,

$

,

,

$

,

,

$

,

,

$

,

,

45. Student’s 2014 Untaxed Income (Enter the combined amounts for you and your spouse.)

g. Housing, food and other living allowances paid to members of the military, clergy and others (including cash payments and cash value
of benefits). Don’t include the value of on-base military housing or the value of a basic military allowance for housing.
h. Veterans noneducation benefits, such as Disability, Death Pension, or Dependency & Indemnity Compensation (DIC) and/or VA
Educational Work-Study allowances.
i. Other untaxed income not reported in items 45a through 45h, such as workers’ compensation, disability, etc. Also include the untaxed
portions of health savings accounts from IRS Form 1040—line 25. Don’t include extended foster care benefits, student aid, earned
income credit, additional child tax credit, welfare payments, untaxed Social Security benefits, Supplemental Security Income, Workforce
Investment Act educational benefits, on-base military housing or a military housing allowance, combat pay, benefits from flexible
spending arrangements (e.g., cafeteria plans), foreign income exclusion or credit for federal tax on special fuels.
j. Money received, or paid on your behalf (e.g., bills), not reported elsewhere on this form. This includes money that you received from a
parent whose financial information is not reported on this form and that is not part of a legal child support agreement. See Notes page 2.

Step Three (Student):

Answer the questions in this step to determine if you will need to provide parental information. Once
you answer “Yes” to any of the questions in this step, skip Step Four and go to Step Five on page 8.

46. Were you born before January 1, 1992? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Yes

1

No

2

47. As of today, are you married? (Also answer “Yes” if you are separated but not divorced.) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
48. At the beginning of the 2015-2016 school year, will you be working on a master’s or doctorate program (such as an MA,
MBA, MD, JD, PhD, EdD, graduate certificate, etc.)?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
49. Are you currently serving on active duty in the U.S. Armed Forces for purposes other than training? See Notes page 2. . . . .
50. Are you a veteran of the U.S. Armed Forces? See Notes page 2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Yes

1

No

2

Yes

1

No

2

Yes

1

No

2

Yes

1

No

2

Yes

1

No

2

Yes

1

No

2

Yes

1

No

2

54. As determined by a court in your state of legal residence, are you or were you an emancipated minor? See Notes page 9. . . . .

Yes

1

No

2

55. As determined by a court in your state of legal residence, are you or were you in legal guardianship? See Notes page 9. . . . .

Yes

1

No

2

56. At any time on or after July 1, 2014, did your high school or school district homeless liaison determine that you were an
unaccompanied youth who was homeless or were self-supporting and at risk of being homeless? See Notes page 9. . . . . . .

Yes

1

No

2

Yes

1

No

2

Yes

1

No

2

51. Do you now have or will you have children who will receive more than half of their support from you between July 1, 2015
and June 30, 2016?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
52. Do you have dependents (other than your children or spouse) who live with you and who receive more than half of their
support from you, now and through June 30, 2016? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
53. At any time since you turned age 13, were both your parents deceased, were you in foster care or were you a dependent
or ward of the court? See Notes page 9. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

57. At any time on or after July 1, 2014, did the director of an emergency shelter or transitional housing program funded by
the U.S. Department of Housing and Urban Development determine that you were an unaccompanied youth who was
homeless or were self-supporting and at risk of being homeless? See Notes page 9. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
58. At any time on or after July 1, 2014, did the director of a runaway or homeless youth basic center or transitional living
program determine that you were an unaccompanied youth who was homeless or were self-supporting and at risk of
See1210
Notes
being
homeless?
! ! page 9. . . . . . . . . . . . . . . . . . . . . . . . . . . . .!. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
PAGE
1004 OF
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Page 5

If you (the student) answered “No” to every question in Step Three, go to Step Four.
If you answered “Yes” to any question in Step Three, skip Step Four and go to Step Five on page 8.

(Health professions students: Your college may require you to complete Step Four even if you answered “Yes” to any Step Three question.)

If you believe that you are unable to provide parental information, see Notes page 9.

Step Four (Parent): Complete this step if you (the student) answered “No” to all questions in Step Three.
Answer all the questions in Step Four even if you do not live with your legal parents (biological, adoptive, or as determined by the state [for example, if the parent is listed on
the birth certificate]). Grandparents, foster parents, legal guardians, widowed stepparents, aunts and uncles are not considered parents on this form unless they have legally
adopted you. If your legal parents are married to each other, or are not married to each other and live together, answer the questions about both of them. If your parent was
never married or is remarried, divorced, separated or widowed, see Notes page 9 for additional instructions.

59. As of today, what is the marital status of your legal parents?
Never married. . . . . . . . . . . . . . . . . . . . . . . . .

2

Unmarried and both parents living
together. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

5

Married or remarried . . . . . . . . . . . . . . . .

1

Divorced or separated. . . . . . . . . . . . . . .

3

Widowed . . . . . . . . . . . . . . . . . . . . . . . . . .

4

60. Month and year
they were married,
remarried, separated,
divorced or widowed.

MONTH

YEAR

What are the Social Security Numbers, names and dates of birth of the parents reporting information on this form?

If your parent does not have a Social Security Number, you must enter 000-00-0000. If the name includes a suffix, such as Jr. or III, include a space between the last name and
suffix. Enter two digits for each day and month (e.g., for May 31, enter 05 31).
Questions 61-64 are for Parent 1 (father/mother/stepparent)

61. SOCIAL SECURITY NUMBER

–

–

65. SOCIAL SECURITY NUMBER

1 9

,

Questions 65-68 are for Parent 2 (father/mother/stepparent)

–

63. FIRST INITIAL 64. DATE OF BIRTH

62. LAST NAME, AND

67. FIRST INITIAL 68. DATE OF BIRTH

66. LAST NAME, AND

–

1 9

,

69. Your parents’ e-mail address. If you provide your parents’ e-mail address, we will let them know your FAFSA has been processed. This e-mail address will
also be shared with your state and the colleges listed on your FAFSA to allow them to electronically communicate with your parents.

70. What is your
parents’ state of
legal residence?

STATE

71. Did your parents become
legal residents of this state
before January 1, 2010?

Yes

1

No

2

72. If the answer to question 71 is “No,” give the
month and year legal residency began for the
parent who has lived in the state the longest.

MONTH

YEAR

73. How many people are in your parents’ household?

Include:
• yourself, even if you don’t live with your parents,
• your parents,
• your parents’ other children if (a) your parents will provide more than half of their support between July 1, 2015 and June 30, 2016, or
(b) the children could answer “No” to every question in Step Three on page 5 of this form, and
• other people if they now live with your parents, your parents provide more than half of their support and your parents will continue to
provide more than half of their support between July 1, 2015 and June 30, 2016.

74. How many people in your parents’ household (from question 73) will be college students between July 1, 2015 and June 30, 2016?
Always count yourself as a college student. Do not include your parents. Do not include siblings who are in U.S. military service academies. You
may include others only if they will attend, at least half-time in 2015-2016, a program that leads to a college degree or certificate.

In 2013 or 2014, did you, your parents or anyone in your parents’ household (from question 73) receive benefits from any of the federal programs listed?

Mark all that apply. Answering these questions will not reduce eligibility for student aid or these programs. TANF may have a different name in your parents’ state. Call
1-800-433-3243 to find out the name of the state’s program.

75. Supplemental
Security
Income (SSI)

76. Supplemental
Nutrition Assistance
Program (SNAP)

77. Free or
Reduced
Price Lunch

78. Temporary Assistance
for Needy Families
(TANF)

79. Special Supplemental Nutrition
Program for W o m e n , Infants,
and Children (WIC)

If your answer to question 59 was “Unmarried and both parents living together,” contact 1-800-433-3243 for assistance with answering questions 80-94.
80. For 2014, have your parents completed their IRS
income tax return or another tax return listed in
question 81?
My parents have already completed their return. . .
My parents will file but have not yet completed
their return . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
My parents are not going to file.
Skip to question 88. . . . . . . . . . . . . . . . . . . . . . . . . . . . .

83. If your parents have filed or will file a 1040,
were they eligible to file a 1040A or 1040EZ?
See Notes page 2.

!
For Help — 1-800-433-3243

81. What income tax return did your
parents file or will they file for 2014?
1

2

3

82. For 2014, what is or will be your parents’ tax
filing status according to their tax return?

IRS 1040 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1

IRS 1040A or 1040EZ . . . . . . . . . . . . . . . . . . . . . . . .

2

A foreign tax return. See Notes page 2. . . . . .

3

A tax return with Puerto Rico, another U.S.
territory or Freely Associated State.
See Notes page 2. . . . . . . . . . . . . . . . . . . . . . . . . .

4

Yes

1

No

2

Don’t know

3

! Page 6

Single . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Head of household. . . . . . . . . . . . . . . . . . .
Married—filed joint return . . . . . . . . . . .
Married—filed separate return . . . . . . .
Qualifying widow(er). . . . . . . . . . . . . . . . .
Don’t know . . . . . . . . . . . . . . . . . . . . . . . . . .

84. As of today, is either of your parents a
dislocated worker? See Notes page 9.

1
4
2
3
5
6

Yes

1

No

2

Don’t know

3

Step Four CONTINUED on page 7

ROADMAP TO REENTRY

Step Four CONTINUED from page 6
For questions 85–94, if the answer is zero or the question does not apply, enter 0. Report whole dollar amounts with no cents.
85. What was your parents’ adjusted gross income for 2014? Adjusted gross income is on IRS Form 1040—line 37;
1040A—line 21; or 1040EZ—line 4.

$

,

,

86. Enter your parents’ income tax for 2014. Income tax amount is on IRS Form 1040—line 56; 1040A—line 3; or

1040EZ—line 10.

$

,

,

87. Enter your parents’ exemptions for 2014. Exemptions are on IRS Form 1040—line 6d or on Form 1040A—line 6d.
For Form 1040EZ, see Notes page 2.
Questions 88 and 89 ask about earnings (wages, salaries, tips, etc.) in 2014. Answer the questions whether or not a tax return was filed. This information may be on the W-2
forms, or on IRS Form 1040—lines 7 + 12 + 18 + Box 14 (Code A) of IRS Schedule K-1 (Form 1065); on 1040A—line 7; or on 1040EZ—line 1. If any individual earning item is
negative, do not include that item in your calculation.

88. How much did Parent 1 (father/mother/stepparent) earn from working in 2014?

$

,

,

89. How much did Parent 2 (father/mother/stepparent) earn from working in 2014?

$

,

,

90. As of today, what is your parents’ total current balance of cash, savings and checking accounts?

$

,

,

,

,

,

,

91. As of today, what is the net worth of your parents’ investments, including real estate? Don’t include the home in which
$
your parents live. Net worth means current value minus debt. See Notes page 2.
92. As of today, what is the net worth of your parents’ current businesses and/or investment farms? Don’t include a family
$
farm or family business with 100 or fewer full-time or full-time equivalent employees. See Notes page 2.
93. Parents’ 2014 Additional Financial Information (Enter the amounts for your parent[s].)
a. Education credits (American Opportunity Tax Credit and Lifetime Learning Tax Credit) from IRS Form 1040—line 50 or 1040A—
line 33.

$

,

,

b. Child support paid because of divorce or separation or as a result of a legal requirement. Don’t include support for children in your
parents’ household, as reported in question 73.

$

,

,

c. Your parents’ taxable earnings from need-based employment programs, such as Federal Work-Study and need-based employment
portions of fellowships and assistantships.

$

d. Your parents’ taxable student grant and scholarship aid reported to the IRS in your parents’ adjusted gross income. Includes
AmeriCorps benefits (awards, living allowances and interest accrual payments), as well as grant and scholarship portions of fellowships
and assistantships.

,

,

$

,

,

e. Combat pay or special combat pay. Only enter the amount that was taxable and included in your parents’ adjusted gross income.
Do not enter untaxed combat pay.

$

,

,

f. Earnings from work under a cooperative education program offered by a college.

$

,

,

a. Payments to tax-deferred pension and retirement savings plans (paid directly or withheld from earnings), including, but not limited to,
amounts reported on the W-2 forms in Boxes 12a through 12d, codes D, E, F, G, H and S. Don’t include amounts reported in code DD
(employer contributions toward employee health benefits).

$

,

,

b. IRA deductions and payments to self-employed SEP, SIMPLE, Keogh and other qualified plans from IRS Form 1040—line 28 + line 32 or
1040A—line 17.

$

,

,

c. Child support received for any of your parents’ children. Don’t include foster care or adoption payments.

$

,

,

d. Tax exempt interest income from IRS Form 1040—line 8b or 1040A—line 8b.

$

,

,

e. Untaxed portions of IRA distributions from IRS Form 1040—lines (15a minus 15b) or 1040A—lines (11a minus 11b). Exclude rollovers.
If negative, enter a zero here.

$

,

,

f. Untaxed portions of pensions from IRS Form 1040—lines (16a minus 16b) or 1040A—lines (12a minus 12b). Exclude rollovers.
If negative, enter a zero here.

$

,

,

g. Housing, food and other living allowances paid to members of the military, clergy and others (including cash payments and cash value
of benefits). Don’t include the value of on-base military housing or the value of a basic military allowance for housing.

$

,

,

h. Veterans noneducation benefits, such as Disability, Death Pension, or Dependency & Indemnity Compensation (DIC) and/or VA
Educational Work-Study allowances.

$

,

,

$

,

,

94. Parents’ 2014 Untaxed Income (Enter the amounts for your parent[s].)

i. Other untaxed income not reported in items 94a through 94h, such as workers’ compensation, disability, etc. Also include the untaxed
portions of health savings accounts from IRS Form 1040—line 25. Don’t include extended foster care benefits, student aid, earned
income credit, additional child tax credit, welfare payments, untaxed Social Security benefits, Supplemental Security Income, Workforce
Investment Act educational benefits, on-base military housing or a military housing allowance, combat pay, benefits from flexible
spending arrangements (e.g., cafeteria plans), foreign income exclusion or credit for federal tax on special fuels.

! !
PAGE 1006 OF 1210

For Help — www.studentaid.gov/completefafsa

!

Page 7

Step Five (Student): Complete this step only if you (the student) answered “Yes” to any questions in Step Three.
95. How many people are in your household?

Include:
• yourself (and your spouse),
• your children, if you will provide more than half of their support between July 1, 2015 and June 30, 2016, and
• other people if they now live with you, you provide more than half of their support and you will continue to provide more than half of their
support between July 1, 2015 and June 30, 2016.

96. How many people in your (and your spouse’s) household (from question 95) will be college students between July 1, 2015 and
June 30, 2016? Always count yourself as a college student. Include others only if they will attend, at least half-time in 2015-2016, a program that
leads to a college degree or certificate.

In 2013 or 2014, did you (or your spouse) or anyone in your household (from question 95) receive benefits from any of the federal programs listed?
Mark all that apply. Answering these questions will not reduce eligibility for student aid or these programs. TANF may have a different name in your state. Call
1-800-433-3243 to find out the name of the state’s program.

97. Supplemental
Security
Income (SSI)

98. Supplemental
Nutrition Assistance
Program (SNAP)

99. Free or
Reduced
Price Lunch

100. Temporary Assistance
for Needy Families
(TANF)

102. As of today, are you (or your spouse) a dislocated worker? See Notes page 9.

101. Special Supplemental Nutrition
Program for W ome n , Infants,
and Children (WIC)

Yes

1

No

Don’t know

2

3

Step Six (Student): Indicate which colleges you want to receive your FAFSA information.
Enter the six-digit federal school code and your housing plans. You can find the school codes at www.fafsa.gov or by calling 1-800-433-3243. If you
cannot obtain the code, write in the complete name, address, city and state of the college. The information you report on the FAFSA is sent to each college
listed, including the names of the other colleges listed. If you do not want this information sent to a particular college, do not list that school. For federal
student aid purposes, it does not matter in what order you list your selected schools. For state aid, you may want to list your preferred college first. To find
out how to have more colleges receive your FAFSA information, read What is the FAFSA? on page 10.
103. a

103. c

103. e

103. g

1ST FEDERAL SCHOOL CODE

OR
2ND FEDERAL SCHOOL CODE

OR
OR

NAME OF
COLLEGE
ADDRESS
AND CITY

4TH FEDERAL SCHOOL CODE

OR

103. b on campus

ADDRESS
AND CITY
NAME OF
COLLEGE
ADDRESS
AND CITY

3RD FEDERAL SCHOOL CODE

HOUSING PLANS

STATE

NAME OF
COLLEGE

STATE

103. d

STATE

103. f

STATE

NAME OF
COLLEGE
ADDRESS
AND CITY

103. h

1

with parent

2

off campus

3

on campus

1

with parent

2

off campus

3

on campus

1

with parent

2

off campus

3

on campus

1

with parent

2

off campus

3

Step Seven (Student and Parent): Read, sign and date.
If you are the student, by signing this application you certify that you (1) will use federal and/or state
student financial aid only to pay the cost of attending an institution of higher education, (2) are not
in default on a federal student loan or have made satisfactory arrangements to repay it, (3) do not
owe money back on a federal student grant or have made satisfactory arrangements to repay it, (4)
will notify your college if you default on a federal student loan and (5) will not receive a Federal Pell
Grant from more than one college for the same period of time.
If you are the parent or the student, by signing this application you certify that all of the information
you provided is true and complete to the best of your knowledge and you agree, if asked, to
provide information that will verify the accuracy of your completed form. This information may
include U.S. or state income tax forms that you filed or are required to file. Also, you certify that you
understand that the Secretary of Education has the authority to verify information reported on
this application with the Internal Revenue Service and other federal agencies. If you sign any
document related to the federal student aid programs electronically using a personal identification
number (PIN), username and password, and/or any other credential, you certify that you are the
person identified by that PIN, username and password, and/or other credential, and have not
disclosed that PIN, username and password, and/or other credential to anyone else. If you purposely
give false or misleading information, you may be fined up to $20,000, sent to prison, or both.
If you or your family paid a fee for someone to
fill out this form or to advise you on how to fill it
out, that person must complete this part.

106. Preparer’s Social Security Number (or 107)

Preparer’s name, firm and address

107. Employer ID number (or 106)

–

104. Date this form was completed
MONTH

2015

or

2016

105. Student (Sign below)
1

Parent (A parent from Step Four sign below.)
2

COLLEGE USE ONLY

–

–

DAY

D/O

1

FEDERAL SCHOOL CODE

Homeless
Youth
Determination

4

FAA Signature
1

108. Preparer’s signature and date
DATA ENTRY
USE ONLY:

1

!
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! Page 8

P

*

L

E

ROADMAP TO REENTRY

Notes for question 53 (page 5)

Notes for Step Four, questions 59–94 (pages 6 and 7)

Answer “Yes” if at any time since you turned age 13:

Review all instructions below to determine who is considered a parent
on this form:

• You had no living parent, even if you are now adopted; or
• You were in foster care, even if you are no longer in foster care today; or
• You were a dependent or ward of the court, even if you are no longer
a dependent or ward of the court today. For federal student aid
purposes, someone who is incarcerated is not considered a ward of
the court.
The financial aid administrator at your school may require you to provide
proof that you were in foster care or a dependent or ward of the court.

Notes for questions 54 and 55 (page 5)
The definition of legal guardianship does not include your parents, even
if they were appointed by a court to be your guardians. You are also not
considered a legal guardian of yourself.
Answer “Yes” if you can provide a copy of a court’s decision that as of
today you are an emancipated minor or are in legal guardianship. Also
answer “Yes” if you can provide a copy of a court’s decision that you were
an emancipated minor or were in legal guardianship immediately before
you reached the age of being an adult in your state. The court must be
located in your state of legal residence at the time the court’s decision
was issued.
Answer “No” if you are still a minor and the court decision is no longer
in effect or the court decision was not in effect at the time you became
an adult.
The financial aid administrator at your college may require you to provide
proof that you were an emancipated minor or in legal guardianship.

Notes for questions 56–58 (page 5)
Answer “Yes” if you received a determination at any time on or after
July 1, 2014, that you were an unaccompanied youth who was homeless
or at risk of being homeless.
• “Homeless” means lacking fixed, regular and adequate housing. You
may be homeless if you are living in shelters, parks, motels or cars, or
are temporarily living with other people because you have nowhere
else to go. Also, if you are living in any of these situations and fleeing
an abusive parent you may be considered homeless even if your
parent would provide support and a place to live.
• “Unaccompanied” means you are not living in the physical custody
of your parent or guardian.
• “Youth” means you are 21 years of age or younger or you are still
enrolled in high school as of the day you sign this application.
Answer “No” if you are not homeless or at risk of being homeless, or do
not have a determination. You should contact your financial aid office
for assistance if you do not have a determination but believe you are an
unaccompanied youth who is homeless or are an unaccompanied youth
providing for your own living expenses who is at risk of being homeless.
The financial aid administrator at your college may require you to
provide a copy of the determination if you answered “Yes” to any of
these questions.

Notes for students unable to provide parental information on
pages 6 and 7
Under very limited circumstances (for example, your parents are
incarcerated; you have left home due to an abusive family environment;
or you do not know where your parents are and are unable to contact
them), you may be able to submit your FAFSA without parental
information. If you are unable to provide parental information, skip
Steps Four and Five, and go to Step Six. Once you submit your FAFSA
without parental data, you must follow up with the financial aid office
at the college you plan to attend, in order to complete your FAFSA.

! !
PAGE 1008 OF 1210

!
Page 9

• If your parent was never married and does not live with your other
legal parent, or if your parent is widowed or not remarried, answer
the questions about that parent.
• If your legal parents (biological, adoptive, or as determined by the
state [for example, if the parent is listed on the birth certificate]) are
not married to each other and live together, select “Unmarried and
both parents living together” and provide information about both of
them regardless of their gender. Do not include any person who is
not married to your parent and who is not a legal or biological parent.
Contact 1-800-433-3243 for assistance in completing questions
80-94.
• If your legal parents are married, select “Married or remarried.”
Consistent with the Supreme Court decision holding Section 3 of
the Defense of Marriage Act (DOMA) unconstitutional, same-sex
couples must be reported as married if they were legally married in
a state or other jurisdiction (foreign country) that permits same-sex
marriage, without regard to where the couple resides. If your legal
parents are divorced but living together, select “Unmarried and both
parents living together.” If your legal parents are separated but living
together, select “Married or remarried,” not “Divorced or separated.”
• If your parents are divorced or separated, answer the questions about
the parent you lived with more during the past 12 months. (If you did
not live with one parent more than the other, give answers about
the parent who provided more financial support during the past 12
months or during the most recent year that you actually received
support from a parent.) If this parent is remarried as of today, answer
the questions about that parent and your stepparent.
• If your widowed parent is remarried as of today, answer the questions
about that parent and your stepparent.

Notes for questions 84 (page 6)
and 102 (page 8)
In general, a person may be considered a dislocated worker if he or she:
• is receiving unemployment benefits due to being laid off or losing a
job and is unlikely to return to a previous occupation;
• has been laid off or received a lay-off notice from a job;
• was self-employed but is now unemployed due to economic
conditions or natural disaster; or
• is the spouse of an active duty member of the Armed Forces and
has experienced a loss of employment because of relocating due to
permanent change in duty station; or
• is the spouse of an active duty member of the Armed Forces and is a
displaced homemaker (as described below); or
• is a displaced homemaker. A displaced homemaker is generally a
person who previously provided unpaid services to the family (e.g.,
a stay-at-home mom or dad), is no longer supported by the spouse,
is unemployed or underemployed, and is having trouble finding or
upgrading employment.
Except for the spouse of an active duty member of the Armed Forces, if
a person quits work, generally he or she is not considered a dislocated
worker even if, for example, the person is receiving unemployment
benefits.
Answer “Yes” to question 84 if your parent is a dislocated worker. Answer
“Yes” to question 102 if you or your spouse is a dislocated worker.
Answer “No” to question 84 if your parent is not a dislocated worker.
Answer “No” to question 102 if neither you nor your spouse is a dislocated
worker.
Answer “Don’t know” to question 84 if you are not sure whether your
parent is a dislocated worker. Answer “Don’t know” to question 102 if
you are not sure whether you or your spouse is a dislocated worker. You
can contact your financial aid office for assistance in answering these
questions.
The financial aid administrator at your college may require you to
provide proof that your parent is a dislocated worker, if you answered
“Yes” to question 84, or that you or your spouse is a dislocated worker, if
you answered “Yes” to question 102.

What is the FAFSA® ?

Information on the Privacy Act and use of your
Social Security Number

Why fill out a FAFSA?

We use the information that you provide on this form to determine if you are
eligible to receive federal student financial aid and the amount that you are
eligible to receive. Sections 483 and 484 of the Higher Education Act of 1965,
as amended, give us the authority to ask you and your parents these questions,
and to collect the Social Security Numbers of you and your parents. We use your
Social Security Number to verify your identity and retrieve your records, and we
may request your Social Security Number again for those purposes.

The Free Application for Federal Student Aid (FAFSA) is the first step in the
financial aid process. You use the FAFSA to apply for federal student aid, such
as grants, work-study, and loans. In addition, most states and colleges use
information from the FAFSA to award nonfederal aid.

Why all the questions?
The questions on the FAFSA are required to calculate your Expected Family
Contribution (EFC). The EFC measures your family’s financial strength and is
used to determine your eligibility for federal student aid. Your state and the
colleges you list may also use some of your responses. They will determine if
you may be eligible for school or state aid, in addition to federal aid.

How do I find out what my Expected Family Contribution (EFC) is?
Your EFC will be listed on your Student Aid Report (SAR). Your SAR summarizes
the information you submitted on your FAFSA. It is important to review your SAR
to make sure all of your information is correct and complete. Make corrections
or provide additional information, as necessary.

How much aid will I receive?
Using the information on your FAFSA and your EFC, the financial aid office at
your college will determine the amount of aid you will receive. The college will
use your EFC to prepare a financial aid package to help you meet your financial
need. Financial need is the difference between your EFC and your college’s
cost of attendance (which can include living expenses), as determined by
the college. If you or your family have unusual circumstances that should be
taken into account, contact your college’s financial aid office. Some examples
of unusual circumstances are: unusual medical or dental expenses or a large
change in income from last year to this year.

When will I receive the aid?
Any financial aid you are eligible to receive will be paid to you through your
college. Typically, your college will first use the aid to pay tuition, fees and room
and board (if provided by the college). Any remaining aid is paid to you for your
other educational expenses. If you are eligible for a Federal Pell Grant, you may
receive it from only one college for the same period of enrollment.

How can I have more colleges receive my FAFSA information?
If you are completing a paper FAFSA, you can only list four colleges in the
school code step. You may add more colleges by doing one of the following:
1. After your FAFSA has been processed, go to FAFSA on the Web at www.fafsa.
gov. Click the “Login” button on the home page to log in to FAFSA on the Web,
then click “Make FAFSA Corrections.”
2. Use the Student Aid Report (SAR), which you will receive after your FAFSA is
processed. Your Data Release Number (DRN) verifies your identity and will be
listed on the first page of your SAR. You can call 1-800-433-3243 and provide
your DRN to a customer service representative, who will add more school
codes for you.
3. Provide your DRN to the financial aid administrator at the college you want
added, and he or she can add their school code to your FAFSA.
Note: Your FAFSA record can only list up to ten school codes. If there are ten
school codes on your record, any new school codes that you add will replace
one or more of the school codes listed.

Where can I receive more information on student aid?
The best place for information about student financial aid is the financial aid
office at the college you plan to attend. The financial aid administrator can tell
you about student aid available from your state, the college itself and other
sources.
• You can also visit our web site StudentAid.gov.
• For information by phone you can call our Federal Student Aid Information
Center at 1-800-433-3243. TTY users (for the hearing impaired) may call
1-800-730-8913.
• You can also check with your high school counselor, your state aid agency
or your local library’s reference section.
Information about other nonfederal assistance may be available from foundations,
religious organizations, community organizations and civic groups, as well as
organizations related to your field of interest, such as the American Medical
Association or American Bar Association. Check with your parents’ employers or
unions to see if they award scholarships or have tuition payment plans.

!

Page 10

State and institutional student financial aid programs may also use the
information that you provide on this form to determine if you are eligible to
receive state and institutional aid and the need that you have for such aid.
Therefore, we will disclose the information that you provide on this form to
each institution you list in questions 103a - 103h, state agencies in your state of
legal residence and the state agencies of the states in which the colleges that
you list in questions 103a - 103h are located.
If you are applying solely for federal aid, you must answer all of the following
questions that apply to you: 1-9, 14-16, 18, 21-23, 26, 28-29, 32-37, 39-59, 61-68,
70, 73-86, 88-102, 104-105. If you do not answer these questions, you will not
receive federal aid.
Without your consent, we may disclose information that you provide to entities
under a published “routine use.” Under such a routine use, we may disclose
information to third parties that we have authorized to assist us in administering
the above programs; to other federal agencies under computer matching
programs, such as those with the Internal Revenue Service, Social Security
Administration, Selective Service System, Department of Homeland Security,
Department of Justice and Veterans Affairs; to your parents or spouse; and to
members of Congress if you ask them to help you with student aid questions.
If the federal government, the U.S. Department of Education, or an employee
of the U.S. Department of Education is involved in litigation, we may send
information to the Department of Justice, or a court or adjudicative body, if the
disclosure is related to financial aid and certain conditions are met. In addition,
we may send your information to a foreign, federal, state, or local enforcement
agency if the information that you submitted indicates a violation or potential
violation of law, for which that agency has jurisdiction for investigation
or prosecution. Finally, we may send information regarding a claim that is
determined to be valid and overdue to a consumer reporting agency. This
information includes identifiers from the record; the amount, status and history
of the claim; and the program under which the claim arose.

State Certification
By submitting this application, you are giving your state financial aid agency
permission to verify any statement on this form and to obtain income tax
information for all persons required to report income on this form.

The Paperwork Reduction Act of 1995
According to the Paperwork Reduction Act of 1995, no persons are required
to respond to a collection of information unless such collection displays a
valid OMB control number. The valid OMB control number for this information
collection is 1845-0001. Public reporting burden for this collection of
information is estimated to average two hours per response, including time
for reviewing instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the collection of
information. The obligation to respond to this collection is voluntary. If you
have comments or concerns regarding the status of your individual submission
of this form, please contact the Federal Student Aid Information Center, P.O. Box
84, Washington, D.C. 20044 directly. [Note: Please do not return the completed
form to this address.]
We may request additional information from you to process your application
more efficiently. We will collect this additional information only as needed and
on a voluntary basis.

ROADMAP TO REENTRY

APPENDIX G
Non-U.S. Citizens Eligible For Federal
Financial Aid
If you fall in one of the categories below, you are considered an “eligible
noncitizen.”
1)

2)

3)

4)
5)

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PAGE 1010 OF 1210!

You are a:
a. U.S. national (includes natives of American Samoa or Swains Island)
or
b. U.S. permanent resident with a Form I-551, I-151, or I-551C
(Permanent Resident Card, Resident Alien Card, or Alien
Registration Receipt Card), also known as a green card.
You have an Arrival-Departure Record (I-94) from U.S. Citizen and
Immigration Services (USCIS) showing
a. “Refugee,”
b. “Asylum Granted,”
c. “Cuban-Haitian Entrant (Status Pending),”
d. “Conditional Entrant” (valid only if issued before April 1, 1980), or
e. “Parolee” (you must be paroled for at least one year, and you must
be able to provide evidence from the USCIS that you are not in the
United States for a temporary purpose and that you intend to
become a U.S. citizen or permanent resident).
You hold a T-visa (for victims of human trafficking) or your parent holds a T-1
visa. Your college or career school’s financial aid office will ask to see your
visa and/or certification letter from the U.S. Department of Health and
Human Services.
You are a “battered immigrant-qualified alien” who is a victim of abuse by
your citizen or permanent resident spouse, or you are the child of a person
designated as such under the Violence Against Women Act.
You are a citizen of the Federated States of Micronesia, the Republic of the
Marshall Islands, or the Republic of Palau. If this is the case, you may be
eligible for only certain types of federal aid.
a. Citizens of the Republic of Palau are eligible for Federal Pell Grants,
Federal Supplemental Educational Opportunity Grants, and Federal
Work-Study.
b. Citizens of the Federal States of Micronesia and the Republic of the
Marshall Islands are eligible for Federal Pell Grants only.

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ROADMAP TO REENTRY

APPENDIX H
Cal Grant Eligibility
Cal Grant A Eligibility - Cal. Education Code § 69433.8
An award under this chapter does not guarantee admission to an institution of
higher education or admission to a specific campus or program. 69433.9. To be
eligible to receive a Cal Grant award under this chapter, a student shall be all of
the following:
(a) A citizen of the United States, or an eligible noncitizen, as defined for
purposes of financial aid programs under Title IV of the federal Higher Education
Act of 1965 (20 U.S.C. Secs. 1070 et seq., as from time to time amended).
(b) In compliance with all applicable Selective Service registration requirements.
(c) Not incarcerated.
(d) Not in default on any student loan within the meaning of Section 69507.5.
(e)
(1) For purposes of Article 2 (commencing with Section 69434), Article 3
(commencing with Section 69435), and Article 4 (commencing with
Section 69436), except as provided in subdivision (d) of Section 69436,
at the time of high school graduation or its equivalent, be a resident of
California.
(2) A student who does not meet the requirements for a high school
diploma or its equivalent in the academic year immediately preceding
the award year, but who meets the requirements for a high school
diploma or its equivalent by December 31 of the academic year
immediately following the date of application, satisfies any requirement
for obtaining high school graduation or its equivalent for the purposes of
this chapter as of the first day of the academic term immediately
following the term in which the requirements for the high school diploma
or its equivalent are met.
(3) No student shall receive an award for a term that begins prior to
satisfying any requirement for obtaining high school graduation or its
equivalent.

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ROADMAP TO REENTRY

APPENDIX I
Student Eligibility for
Board of Governors Grant
Who qualifies for BOGFW?
The Board of Governors Fee Waiver (BOGFW) waives your course enrollment fee
if you are a California resident, and if one of the following conditions applies to
you when you enroll:
•

•

•

•

You are qualified for federal student financial aid during the same academic
year for which you are seeking a BOGFW and have a need of $1,104.
OR
You or your parents are receiving TANF/Cal WORKS benefits, SSI or General
Assistance at the time that you apply for the BOGFW A. You will be required
to provide documentation to show participation in one of these programs.
OR
You fall into the qualifying income bracket as determined by filling out a
BOGFW B application. The Financial Aid Office will process your application
and notify you if you qualify.
OR
You qualify according to one of these groups:
o
o
o
o
o

Certification from the CA Department of Veterans Affairs that you are
eligible for a dependent's fee waiver?
Certification from the National Guard Adjutant General that you are
eligible for a dependent's fee waiver?
Certification from the Department of Veterans Affairs that you are
eligible as a recipient of the Congressional Medal of Honor or as a
child of a recipient?
Certification form the CA Victim Compensation and Government
Claims Board that you are eligible as a dependent of a victim of the
September 11, 2001, terrorist attack?
Certification from a public agency employer that you are eligible as a
dependent of a deceased law enforcement/fire suppression personnel
killed in the line of duty?

5 CCR § 58620
§ 58620. Student Eligibility: Board of Governors Grant.
To be eligible for a Board of Governors grant, a student must:
(a) Be a California resident; so long as a person qualifies for a military exception
pursuant to Education Code section 68074 or section 68075, he or she shall be
deemed a California resident for purposes of this section.
(b) Meet one of the following criteria:
(1) Income Standards.
(A) Be a single and independent student having no other
dependents and whose total income in the prior year was equal
to or less than 150% of the U.S. Department of Health and
Human Services Poverty Guidelines for a family of one; or be a
PAGE 1012 OF 1210!

ROADMAP TO REENTRY

married, independent student having no dependents other than
a spouse, whose total income of both student and spouse in the
prior year was equal to or less than 150% of the U.S. Department
of Health and Human Services Poverty Guidelines for a family of
two.
(B) Be a student who is dependent in a family having a total
income in the prior year equal to or less than 150% of the U.S.
Department of Health and Human Services Poverty Guidelines
for a family of that size, not including the student's income, but
including the student in the family size.
(C) Provide documentation of taxable or untaxed income.
(D) Be a student who is married or a single head of household in
a family having a total income in the prior year equal to or less
than 150% of the U.S. Department of Health and Human
Services Poverty Guidelines for a family of that size.
(E) Be an independent student whose Estimated Family
Contribution as determined by federal methodology is equal to
zero or a dependent student for whom the parent portion of the
Estimated Family Contribution as determined by federal
methodology is equal to or less than zero.
(F) For purposes of this subdivision, U.S. Department of Health
and Human Services Poverty Guidelines used each year shall be
the most recently published guidelines immediately preceding
the academic year for which a fee waiver is requested.
(2) Current recipient of benefits described in Education Code section
76300(g).
(A) At the time of enrollment be a recipient of benefits under the
Temporary Assistance for Needy Families (TANF) program. A
dependent student whose parent(s) or guardian(s) are recipients
of TANF shall be eligible if the TANF program grant includes a
grant for the student or if the TANF grant is the sole source of
income for the parent or guardian.
(B) At the time of enrollment be a recipient of benefits under the
Supplemental Security Income (SSI) program. A dependent
student whose parent(s) or guardian(s) are recipients of SSI shall
be eligible if the SSI program grant is the sole source of income
for the parent(s) or guardian(s).
(C) At the time of enrollment be a recipient of benefits under the
General Assistance program.
(D) Provide documentation that the student if a recipient of
benefits under one of the programs identified in Education Code
section 76300(g) and (h) at the time of enrollment.
Documentation sufficient to meet the requirements of this
subdivision shall provide official evidence of these benefits.
(3) Need-Based Financial Aid Eligibility. Any student who has been
determined financially eligible for federal and/or state needed-based
financial aid.

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ROADMAP TO REENTRY

Note: Authority cited: Sections 66700, 68044, 70901 and 76300, Education
Code. Reference: Sections 68074, 68075 and 76300(g) and (h), Education Code;
20 USC Section 1070(a); and 34 CFR Section 674.12.
HISTORY
•
•

•
•
•

•

Amendment filed 11-15-85; effective thirtieth day thereafter (Register 85, No.
46).
Amendment filed 3-4-91 by Board of Governors of California Community
Colleges with the Secretary of State; operative 4-5-91 (Register 91, No. 23).
Submitted to OAL for printing only pursuant to Education Code Section
70901.5(b).
Editorial correction of History 2 (Register 95, No. 23).
Amendment filed 5-8-2000; operative 6-7-2000. Submitted to OAL for
printing only (Register 2000, No. 23).
Redesignation of second subsection (b)(1)(C) to subsection (b)(1)(D),
subsection relettering, amendment of subsections (b)(2) and (b)(2)(D) and
amendment of Note filed 7-18-2000; operative 8-17-2000. Submitted to OAL
for printing only (Register 2000, No. 29).
6. Amendment of section and Note filed 3-15-2006; operative 4-14-2006.
Submitted to OAL for printing only pursuant to Education Code section
70901.5 (Register 2006, No. 17).

This database is current through 1/9/15 Register 2015, No. 2
5 CCR § 58620, 5 CA ADC § 58620

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PAGE 1014 OF 1210!

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ROADMAP TO REENTRY

APPENDIX J
Board of Governors Fee Waiver
Application
See next page.

PAGE 1015 OF 1210!

California Community Colleges 2015-16 Board of Governors Fee Waiver Application
This is an application to have your ENROLLMENT FEES WAIVED. If you need money to help with books, supplies, food, rent,
transportation and other costs, please complete a FREE APPLICATION FOR FEDERAL STUDENT AID (FAFSA) or the California
Dream Application (for eligible AB 540 students) immediately. The FAFSA is available at www.fafsa.gov and the Dream
Application is available at https://dream.csac.ca.gov/. Contact the Financial Aid Office for more information.
IMPLEMENTATION OF Assembly Bill 1899: Victims of Trafficking, Domestic Violence and other Serious Crimes
AB 1899, chaptered in September of 2012, provides for a non-resident enrollment fee exemption for “Victims of trafficking, domestic
violence and other serious crimes”. In addition, the legislation allows these students to apply for and, if eligible, receive financial aid
from programs administered by public postsecondary institutions or the state of California. Finally, the legislation provides that
enrollment fees shall be waived for these students who apply for and are eligible to receive Board of Governor enrollment fee waivers.
This FEE WAIVER application is for California residents, eligible AB 540 students, and eligible AB 1899 students, as determined by the
Admissions or Registrar’s Office. If you have not had your California residency or eligibility status determined by the Admissions or the
Registrar, please see one of those offices to obtain the valid determination. Fee waiver eligibility cannot be determined until your
status has been verified.
Has the Admissions or Registrar's Office determined that you are a California resident?

Yes

No

If no, has the Admissions or Registrar's Office determined that you are eligible for a non-resident tuition exemption as an AB 540
student?
Yes
No
If no, has the Admissions or Registrar's Office determined that you are eligible for a non-resident tuition exemption granted as a result
of you residing in the United States with a “T” or “U” visa (immigration status under Section 1101(a)(15)(T)(i) or (ii), or Section1101
(a)(15)(U)(i) or (ii), of Title 8 of the United States Code)?
Yes
No
Name:

Last

First

Middle Initial

Email (if available):
Home Address:

Student ID #
Telephone Number: (______)

Street

City

Zip Code

Date of Birth:

_______/_______/_________

IMPLEMENTATION OF THE CALIFORNIA DOMESTIC PARTNER RIGHTS AND RESPONSIBILITIES ACT
The California Domestic Partner Rights and Responsibilities Act extends rights, benefits, responsibilities and obligations to individuals
in domestic partnerships registered with the California Secretary of State under Section 297 of the Family Code. If you are in a
Registered Domestic Partnership (RDP), or legal same sex marriage, you will be treated as an Independent married student to
determine eligibility for this Enrollment Fee Waiver and will need to provide income and household information for your domestic
partner. If you are a dependent student and your parent is in a Registered Domestic Partnership, or legal same sex marriage, you will
be treated the same as a student with married parents and income and household information will be required for the parent’s domestic
partner.
Note: These provisions apply to state student financial aid ONLY, and not to federal student financial aid.
Are you or your parent in a Registered Domestic Partnership with the California Secretary of State under Section 297 of the Family
Code? (Answer “Yes” if you or your parent are separated from a Registered Domestic Partner but have NOT FILED a Notice of
Termination of Domestic Partnership with the California Secretary of State’s Office.)
Yes
No
If you answered “Yes” to the question above, treat the Registered Domestic Partner as a spouse. You are required to include
your domestic partner’s income and household information or your parent’s domestic partner’s income and household
information in Questions 4, 11, 12, 13, 14, 15, 16, 17.
Student Marital Status
Single
Married

!

Divorced

Separated

Widowed

Registered Domestic Partnership

DEPENDENCY STATUS
The questions below will determine whether you are considered a Dependent student or Independent student for fee waiver eligibility
and whether parental information is needed. If you answer “Yes” to ANY of the questions 1-10 below, you will be considered an
INDEPENDENT student. If you answer “No” to all questions, you will be considered a Dependent student thereby reporting parental
information and should continue with Question 11.
1. Were you born before January 1, 1992?

Yes

No

2. As of today, are you married or in a Registered Domestic Partnership (RDP)? (Answer "Yes" if you are separated but not divorced
or have not filed a termination notice to dissolve partnership.
Yes
No
3. Are you a veteran of the U.S. Armed Forces or currently serving on active duty for purposes other than training?

Yes

No

4. Do you have children who will receive more than half of their support from you between July 1, 2015 - June 30, 2016, or other
dependents who live with you (other than your children or spouse/RDP) who receive more than half of their support from you, now
and through June 30, 2016
Yes
No
5. At any time since you turned age 13, were both your parents deceased, were you in foster care, or were you a dependent or ward
of the court?
Yes
No
6. Are you or were you an emancipated minor as determined by a court in your state of legal residence?
7. Are you or were you in legal guardianship as determined by a court in your state of legal residence?

Yes

No

Yes

No

8. At any time on or after July 1, 2014, did your high school or school district homeless liaison determine that you were an
unaccompanied youth who was homeless
Yes

No

9. At any time on or after July 1, 2014, did the director of an emergency shelter or transitional housing program funded by the U.S.
Department of Housing and Urban Development determine that you were an unaccompanied youth who was homeless?
Yes
No
10. At any time on or after July 1, 2014, did the director of a runaway or homeless youth basic center or transitional living program
determine that you were an unaccompanied youth who was homeless or were self-supporting and at risk of being homeless?
Yes
No
If you answered "Yes" to any of the questions 1 - 10, you are considered an INDEPENDENT student for enrollment fee
waiver purposes and must provide income and household information about yourself (and your spouse or RDP if
applicable). Skip to Question #13.
If you answered "No" to all questions 1 - 10, complete the following questions:
11. If your parent(s) or his/her RDP filed or will file a 2014 U.S. Income Tax Return, were you, or will you be claimed on their tax return
as an exemption by either or both of your parents?
Will Not File
Yes
No
12. Do you live with one or both of your parent(s) and/or his/her RDP?

Yes

No

If you answered "No" to questions 1 - 10 and "Yes" to either question 11 or 12, you must provide income and household
information about your PARENT(S)/RDP. Please answer questions for a DEPENDENT student in the sections that follow.
If you answered "No" or "Parent(s) will not file" to question 11, and "No" to question 12, you are a dependent student for all
student aid except this enrollment fee waiver. You may answer questions as an INDEPENDENT student on the rest of this
application, but please try to get your PARENT information and file a FAFSA so you may be considered for other student
aid. You cannot get other student aid without your parent(s’) information.

!

!

METHOD A ENROLLMENT FEE WAIVER
13. Are you (the student ONLY) currently receiving monthly cash assistance for yourself or any dependents from:
TANF/CalWORKs?

Yes

No

SSI/SSP (Supplemental Security Income/State Supplemental Program)?

Yes

No

General Assistance?

Yes

No

14. If you are a dependent student, are your parent(s)/RDP receiving monthly cash assistance from TANF/CalWORKs or SSI/SSP as
a primary source of income?
Yes
No
If you answered "Yes" to question 13 or 14 you are eligible for an ENROLLMENT FEE WAIVER. Sign the Certification at the
end of this form. You are required to show current proof of benefits. Submit application and documentation to the financial
aid office.
METHOD B ENROLLMENT FEE WAIVER
15. DEPENDENT STUDENT: How many persons are in your parent(s)/RDP household? (Include yourself, your parent(s)/RDP, and
anyone who lives with your parent(s)/RDP and receives more than 50% of their support from your parents/RDP, now and through
June 30, 2016.) _________
16. INDEPENDENT STUDENT: How many persons are in your household? (Include yourself, your spouse/RDP, and anyone who
lives with you and receives more than 50% of their support from you, now and through June 30, 2016.) ___________
17. 2014 Income Information
DEPENDENT STUDENT:
INDEPENDENT STUDENT:
(Dependent students should not include their income
PARENT(S)/ RDP
STUDENT (& SPOUSE'S/
information for Q 17 a and b below.)
INCOME ONLY
RDP) INCOME
a. Adjusted Gross Income (If 2014 U.S. Income Tax
Return was filed, enter the amount from Form 1040,
line 37; 1040A, line 21; 1040EZ, line 4).
$
$
b. All other income (Include ALL money received in
2014 that is not included in line (a) above (such as
disability, child support, military living allowance,
Workman’s Compensation, untaxed pensions).
$
$
TOTAL Income for 2014 (Sum of a + b)

$

$

The Financial Aid Office will review your income and let you know if you qualify for an ENROLLMENT FEE WAIVER under
Method B. Submit application and documentation to the financial aid office.
If you do not qualify using Method A or Method B, you should file a FAFSA (for U.S. citizens or eligible non-citizens) or the
California Dream Application (for undocumented AB 540 students). The FAFSA is available at www.fafsa.gov and the Dream
Application is available at https://dream.csac.ca.gov/. Contact the Financial Aid Office for more information.

SPECIAL CLASSIFICATIONS ENROLLMENT FEE WAIVERS
18. Do you have certification from the CA Department of Veterans Affairs that you are eligible for a dependent's fee waiver?
Submit certification.
Yes
19. Do you have certification from the National Guard Adjutant General that you are eligible for a dependent's fee waiver?
Submit certification.
Yes
20. Are you eligible as a recipient of the Congressional Medal of Honor or as a child of a recipient?
Submit documentation from the Department of Veterans Affairs.
Yes
21. Are you eligible as a dependent of a victim of the September 11, 2001, terrorist attack?
Submit documentation from the CA Victim Compensation and Government Claims Board.
Yes
22. Are you eligible as a dependent of a deceased law enforcement/fire suppression personnel killed in the line of duty?
Submit documentation from the public agency employer of record.
Yes

No
No
No
No
No

If you answered "Yes" to any of the questions from 18-22, you are eligible for an ENROLLMENT FEE WAIVER and
perhaps other fee waivers or adjustments. Sign the Certification below. Submit application and documentation to the
financial aid office. Contact the Financial Aid Office if you have questions.
CERTIFICATION FOR ALL APPLICANTS: READ THIS STATEMENT AND SIGN BELOW

!

!

!

I hereby swear or affirm, under penalty of perjury, that all information on this form is true and complete to the best of my knowledge. If
asked by an authorized official, I agree to provide proof of this information, which may include a copy of my and my
spouse/registered domestic partner and/or my parent's/registered domestic partner’s 2014 U.S. Income Tax Return(s). I also
realize that any false statement or failure to give proof when asked may be cause for the denial, reduction, withdrawal, and/or
repayment of my waiver. I authorize release of information regarding this application between the college, the college district, and the
Chancellor's Office of the California Community Colleges.
I understand the following information (please check each box):
Federal and state financial aid programs are available to help with college costs (including enrollment fees, books & supplies,
transportation and room and board expenses). By completing the FAFSA or the California Dream Application, additional
financial assistance may be available in the form of Cal Grants, Pell and other grants, work study and other aid.
I may apply for and receive financial assistance if I am enrolled, either full time or part time, in an eligible program of study
(certificate, associate degree or transfer).
Financial aid program information and application assistance is available in the college financial aid office.

Applicant’s Signature

Date

Parent Signature (Dependent Students Only)

Date

CALIFORNIA INFORMATION PRIVACY ACT
State and federal laws protect an individual’s right to privacy regarding information pertaining to oneself. The California Information
Practices Act of 1977 requires the following information be provided to financial aid applicants who are asked to supply information
about themselves. The principal purpose for requesting information on this form is to determine your eligibility for financial aid. The
Chancellor’s Office policy and the policy of the community college to which you are applying for aid authorize maintenance of this
information. Failure to provide such information will delay and may even prevent your receipt of financial assistance. This form’s
information may be transmitted to other state agencies and the federal government if required by law. Individuals have the right of
access to records established from information furnished on this form as it pertains to them.
The officials responsible for maintaining the information contained on this form are the financial aid administrators at the institutions to
which you are applying for financial aid. The SSN may be used to verify your identity under record keeping systems established prior
to January 1, 1975. If your college requires you to provide an SSN and you have questions, you should ask the financial aid officer at
your college for further information. The Chancellor’s Office and the California community colleges, in compliance with federal and
state laws, do not discriminate on the basis of race, religion, color, national origin, gender, age, disability, medical condition, sexual
orientation, domestic partnership or any other legally protected basis. Inquiries regarding these policies may be directed to the
financial aid office of the college to which you are applying.
FOR OFFICE USE ONLY
BOGFW-A
TANF/CalWORKs
GA
SSI/SSP

BOGFW-B

BOGFW-C

Special Classification
Veteran
National Guard
Dependent
Medal of Honor

9/11 Dependent

Dep. of deceased law enforcement/fire
personnel

Comments:
Certified by:

Date:

!

RDP

Student
Parent

Student is not
eligible

ROADMAP TO REENTRY

UNDERSTANDING
& CLEANING UP
YOUR CRIMINAL
RECORD
!
In the UNDERSTANDING & CLEANING UP YOUR CRIMINAL RECORD
CHAPTER, you will first learn the importance of understanding your
records—where that information exists in the world, and how to fix
mistakes in your record early on in your reentry.
In the second half of the Chapter, you will learn you may be able to
“clean up” your criminal record through diffent kinds of “expungement”
in California. Expungement helps to protect your criminal history
information, and keep it out of sight for certain people. You will learn that
in most cases, “cleaning up” your criminal record WON’T completely
erase the record, but it CAN make past convictions and other criminal
history less visible to many, which has many benefits in different areas of
your life, including applying to housing, jobs, and more.

DISCLAIMER – YOUR RESPONSIBILITY WHEN USING THIS GUIDE: When putting together the
Roadmap to Reentry: A California Legal Guide, we did our best to give you useful and accurate
information because we know that people who are currently or formerly incarcerated often have
difficulty getting legal information, and we cannot provide specific advice to every person who
requests it. The laws change frequently and are subject to differing interpretations. We do not
always have the resources to make changes to this informational material every time the law
changes. If you use information from the Roadmap to Reentry legal guide, it is your responsibility to
make sure that the law has not changed and applies to your particular situation. If you are
incarcerated, most of the materials you need should be available in your institution’s law library. The
Roadmap to Reentry guide is not intending to give legal advice, but rather legal information. No
attorney-client relationship is created by using any information in this guide. You should always
consult your own attorney if you need legal advice specific to your situation.

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TABLE OF CONTENTS
I.! INTRODUCTION: .............................................................................................. 1025!
II.! KEY CONCEPTS FOR UNDERSTANDING YOUR CRIMINAL RECORD & FIXING
ERRORS EARLY IN REENTRY .......................................................................... 1026!
What is a criminal record? .................................................................... 1026!
Why is it important to understand my criminal record? ...................... 1027!
Types of Criminal Records ............................................................................ 1027!
RAP Sheets ............................................................................................. 1027!
What is a RAP sheet and why is it important? .................................. 1027!
How many RAP sheets do I have? ...................................................... 1027!
Why is it helpful for me to see my RAP sheet? ................................1028!
Fixing Errors in RAP Sheets.................................................................. 1029!
What are common errors in RAP Sheets? ........................................ 1029!
When can I fix the errors? ..................................................................... 1029!
How can I fix errors in my California State (DOJ) RAP sheet?......1030!
How can I fix errors in my federal (FBI) RAP sheet? .......................1030!
Background Checks .............................................................................. 1032!
What is a background check? .............................................................. 1032!
What information cannot show up in a background check? ........ 1033!
What information can show up in a background check? .............. 1034!
Why is it helpful for me to see what’s in my background check? ....1035!
What’s the difference between a RAP sheet and a background
check?.........................................................................................................1035!
Fixing Errors in Background Checks ................................................... 1036!
How can I fix errors in my background check? ................................1036!
What are common errors in a background check? .........................1036!
What are some suggested steps I can take to fix errors in my
background check? .................................................................................1036!
How do I know which background check company did my
background check? ................................................................................. 1037!
Credit Reports ........................................................................................ 1037!
What is a credit report? And what’s the difference between a RAP
sheet and a credit report? ..................................................................... 1037!
Will my credit report be included in my background check? ....... 1037!
III.! WHO HAS ACCESS TO YOUR CRIMINAL RECORD AND WHAT THEY CAN
SEE ..................................................................................................................... 1039!
Who is legally allowed to see my RAP sheet? .................................1039!
Who is legally allowed to run a background check on me? .........1040!
Is there any other way that someone can see my criminal history? 1040!
IV.! GETTING COPIES OF YOUR CRIMINAL RECORDS .................................... 1041!
How do I get my California State (DOJ) RAP sheet? ....................... 1041!
How do I get my federal (FBI) RAP sheet? ........................................ 1042!
How do I get my local (county) RAP sheet and criminal history
information?............................................................................................... 1042!
How do I get a copy of my background check? .............................. 1043!
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V.! CLEANING UP YOUR CRIMINAL RECORD—LATER IN REENTRY ............ 1044!
Why could it be helpful to “clean up” my criminal record?........... 1044!
If I am required to register with local law enforcement because of a
sex, arson, or drug conviction, how will cleaning up my record
affect my registration requirement? ................................................... 1045!
What information will I need to clean up my record? .................... 1048!
Why do I need this information for expungement? ........................ 1049!
Where do I get this information for expungement? ....................... 1049!
California “Expungement” of State Criminal Records.............................. 1050!
What is “expungement” in California? ............................................... 1050!
What does expungement do? ............................................................... 1051!
What does expungement not do? ...................................................... 1052!
Who can see my record—even if it is expunged? .......................... 1053!
Can a private employer find out about my expunged conviction?.. 1054!
What types of convictions can be expunged? ................................. 1054!
Because I have a felony conviction, but never went to prison for it,
can I get it expunged? ........................................................................... 1055!
Because I have a feloy conviction that was sentenced to county jail
under California’s Realignment Act instead of state prison, can i get
it expunged? ............................................................................................. 1056!
What are the different types of expungement and what do they
require? ...................................................................................................... 1057!
CHART: Which type of expungement am I eligible for? ................ 1060!
Getting Your Conviction Expunged..................................................... 1061!
I believe I am eligible for a mandatory or discretionary
expungement. How do I get one? ....................................................... 1061!
If my conviction is eligible to be expunged automatically, how does
this happen? .............................................................................................. 1061!
Because I am still on probation and need to be off to have my
conviction expunged, is there anything I can do to get off early? ... 1062!
What is the process for requesting an early release from probation so
that i can pursue expungement? ............................................................ 1063!
Because I am still on Post-Release Community Supervision (PRCS),
and need to be off to have my conviction expunged, is there
anything I can do to get off early? ...................................................... 1064!
Reducing Felonies to Misdemeanors .......................................................... 1065!
Which felony convictions can be reduced to misdemeanors? .... 1065!
What is a “wobbler” and why is it important for expungement? . 1066!
I want to get my felony “wobbler” expunged. What are the steps to
getting it reduced to a misdeameanor so that it is then eligible for
expungement? ......................................................................................... 1067!
Are there penalties that will still affect me even if my felony is
reduced to a misdemeanor? ................................................................ 1067!
What is the process for getting a felony “wobbler” conviction
reduced to a misdemeanor, and then expunged? ......................... 1068!
My conviction was for a felony and I was sentenced to state prison.
What, if anthing, could I do to get it expunged? ............................. 1069!
Proposition 47: Reclassification and Resentencing Under the New Law ... 1069!
What is Proposition 47 and how could it help me? ........................ 1069!
What convictions does Prop 47 help to reduce? ............................ 1069!
Who CANNOT get Prop 47 remedies? .............................................. 1070!
What CAN get Prop 47 remedies? ...................................................... 1070!
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What does Prop 47 NOT do? ................................................................. 1071!
How does Prop 47 change a conviction on my criminal record? . 1071!
How do I get my conviction reduced under Prop 47? ................... 1072!
If I get my felony reduced under Prop 47, how do I then get it
expunged? ................................................................................................. 1074!
Certificates of Rehabilitation ....................................................................... 1075!
What is a Certificate of Rehabilitation and how could it help me? ... 1075!
Who CAN get a Certificate of Rehabilitation? .................................. 1075!
Who CANNOT get a Certificate of Rehabilitation? ......................... 1076!
What CAN’T a Certificate of Rehabilitation do for me? .................. 1077!
When can I get a Certificate of Rehabilitation? ................................ 1078!
I’ve had a new conviction since my original offense? Can I still
apply for a Certificate of Rehabilitation for the original offense? 1078!
How do I get a Certificate of Rehabilitation? .................................... 1078!
Governor’s Pardon ......................................................................................... 1079!
What is a Governor’s pardon? .............................................................. 1079!
Who can get a Governor’s pardon? ................................................... 1080!
Who CANNOT get a governor’s pardon? ...........................................1081!
How could a Governor’s pardon help me? ........................................1081!
How CAN’T a Governor’s pardon help me? ......................................1081!
If I am eligible, how could I get a pardon? ........................................1082!
If I am eligible, when could I apply for a pardon? ............................1082!
What is the process for getting a pardon? ........................................ 1083!
How do I apply for a Traditional Pardon directly from the Governor
(without a Certificate of Rehabilitation)? ............................................ 1084!
Once I have applied for a pardon, what happens? ........................ 1085!
What happens if my pardon is granted? ........................................... 1086!
What can I do if my pardon is denied? .............................................. 1086!
Sealing California State Adult Arrest Records .......................................... 1086!
What does it mean to have an arrest record “sealed” in California? . 1086!
What arrest records can be sealed by the court? ........................... 1087!
Are there other legal requirements for getting an arrest record
sealed? ....................................................................................................... 1087!
When could I get my arrest record sealed? ......................................1088!
What is the process for getting my arrest record sealed? ............1088!
Sealing California State Juvenile Records ................................................. 1089!
What could show up in my juvenile record? .................................... 1089!
Who can see my juvenile record? ...................................................... 1089!
Who can get their juvenile records sealed? .................................... 1090!
Who cannot get their juvenile record sealed? ................................ 1090!
What is the process for getting my juvenile record sealed? ....... 1090!
Federal Expungements & Dismissals .......................................................... 1092!
What types of federal expungement are available, and how could
they help me? .......................................................................................... 1092!
Who can get a federal expungement or dismissal? ...................... 1092!
I meet all of the requirements for federal expungement. What are
my next steps for pursuing the expungement? ...............................1093!
U.S. Presidential Pardons ............................................................................. 1095!
Who can get a presidential pardon of a federal conviction? ...... 1095!
How do I go about applying for a presidential pardon? ............... 1096!
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VI.! REGISTRATION REQUIREMENTS—SEX, ARSON, DRUGS ........................ 1097!
How will cleaning up my record affect my registration requirement?. 1097!
Sex Registration ............................................................................................. 1097!
Will the remedy remove my registration requirement? ................. 1097!
Arson Registration ......................................................................................... 1098!
Will the remedy remove my registration requirement? ................. 1098!
Drug Registration ........................................................................................... 1099!
Will the remedy remove my registration requirement? ................. 1099!
VII.! DNA EXPUNGEMENT ..................................................................................... 1100!
What is a DNA expungement? .............................................................. 1100!
California DNA Expungement ...................................................................... 1100!
Who can get their DNA expunged from the California database? ... 1100!
How can I get my DNA expunged from the California database?..... 1101!
FBI (National) DNA Expungement ................................................................ 1101!
Who can get their DNA expunged from the national database? .. 1101!
VIII.!CONCLUSION ...................................................................................................1103!

WHA T WILL I LEARN IN THE
UNDERS TANDING & CLEANING UP YOUR
CRIM INAL RE CORD CHAPTER?
•
•
•
•
•

PAGE 1024 OF 1210

The different types of criminal records
What information can and cannot be in your criminal record
Who sees your criminal record
How to get copies of your criminal record
The various ways to “clean up” your criminal record if/when
possible, including:
o California expungement (also called a dismissal)
o Reducing a felony to a misdemeanor
o Reclassifying or resentencing a felony
o Certificates of Rehabilitation
o Governor pardons
o Sealing adult arrest records
o Sealing juvenile records
o Federal expungements, dismissals, and pardons
o DNA expungement

ROADMAP TO REENTRY

I.

INTRODUCTION:

This UNDERSTANDING & CLEANING UP YOUR RECORD CHAPTER is broken up
into the following subjects:
•

•

•

•

Key Concepts For Understanding Your Criminal Record & Fixing Errors
(PG. 1026), which explains the different types of criminal records that you
may have, what information can (and can’t) be included in your criminal
records and on background checks, and why it’s important to review and
understand your own criminal records.
Who Can See Your Criminal Record (PG. 1039), which gives you the different
rules for who CAN and CAN’T see your criminal records and/or run a
background check on you (like employers, law enforcement agencies,
licensing agencies, and landlords), and how they can use the information
they get about you.
How to Get Your Criminal Records (PG. 1041), which tells you how to get
copies of the different types of criminal records you may have. You will need
these in order to decide the best way to clean up your record.
How to Clean Up Your Record (PG. 1044), which explains the different
options, or “remedies,” available for cleaning up your record. It helps you
figure out whether you and your offense are eligible for them, and walks you
through how to do each one.

If you are recently released from prison or jail, or earlier in the reentry journey,
the sections about key concepts in understanding you record and fixing errors,
learning who can and cannot see your criminal record information, and how you
can get copies are the most impotant early on.
If you are later in your reentry journey, cleaning up your record will become
more important to you over time, as many of these “expungement” options are
only available to people off supervision or those who are able under law to ask
to get off supervision early.
If you are just coming to this Chapter, we suggest focusing on Parts II, III, and IV
earlier on, which will empower you to understand your criminal records, what
people can see, and how to fix errors, so you can put your best foot forward.
Later, when you are further along in your reentry process, we suggest focusing
on Part V, which explains the many ways you can “clean up” your record to
make certain convictions less visible (but only in certain contexts). Keep reading
this Chapter to learn more!

!

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II.

KEY CONCEPTS FOR
UNDERSTANDING YOUR
CRIMINAL RECORD &
FIXING ERRORS EARLY IN
REENTRY

This is one of the most important sections for people early in the reentry
journey—to better understand your criminal record, learn how to fix errors, and
be prepared for what others can and cannot find out about you and your record.

WHAT IS A CRIMINAL RECORD?
Your “criminal record” is the broad term we use to include ALL of the
information creted about any contact you’ve had with law enforcement, the
courts, or another part of the criminal justice system. Your “criminal record”
includes arrests, charges filed against you, convictions, pleas, acquittals,
dismissals, sentences, and any other contact you have had with law
enforcement and/or the criminal justice system that was documented (written
down).
Here are some examples of how your contact with law enforcement or the
criminal justice system can get documented. All of this information is considered
part of your criminal record (but note that much of it may be PROTECTED from
being seen):
• You were pulled over while driving and arrested for a DUI;
• You received a citation for public disorderliness or having an open container
in public;
• You were arrested, and the police wrote up an arrest record;
• You were taken to jail, booked into the system, and fingerprinted;
• You were charged with a crime;
• You were arraigned (appeared before a judge) in court and pleaded guilty or
not guilty;
• You were convicted of a crime and sentenced to prison or jail, and the judge
wrote a sentencing order;
• You were acquitted of the charges after a trial;
• You agreed to a plea bargain with the prosecutor. In exchange, the
prosecutor dismissed some of the charges against you;
• You violated your probation or parole and had your supervision revoked;
• You had your conviction dismissed or expunged

!

IMPORTANT PROTECTIONS TO KNOW ABOUT: A lot of this information
CANNOT be included in a regular background check. For more information
about what information can and can’t be included in your background check,
see PG. 1034.

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WHY IS IT IMPORTANT TO UNDERSTAND MY CRIMINAL RECORD?
It’s important to know what will show up in your criminal records so that you can
make sure it’s accurate, that information that shouldn’t be disclosed stays
protected, and so that you can better prepare to deal with your record coming
up when you’re trying to get a job, find housing, reunite with your family, apply
for public benefits, ot go back to school. Furthermore, California has laws that
allow you to “clean up”some of your record LATER in the reentry process.

TYPES OF CRIMINAL RECORDS
RAP SHEETS
WHAT IS A RAP SHEET AND WHY IS IT IMPORTANT?
A RAP sheet (Record of Arrest and Prosecution) is the government’s official
version of your criminal history, as recorded by local, state, and federal
government agencies (such as courts, law enforcement, FBI, and other criminal
justice agencies). It contains a list of every contact you have had with the
criminal justice system, including: arrests, charges, convictions, acquittals,
dismissals, pleas, sentences, and open warrants.
Your RAP sheet includes important information like the date of each arrest,
which law enforcement agency arrested you, what offense(s) you were charged
with, your case number (docket or indictment number), and—most important—
the final outcome (disposition) of each case (for example, acquittal, conviction,
2578
plea bargain, sentence, or dismissal).
It’s also important to look out for errors
(learn about common errors in RAP sheets on PG. 1029).

HOW MANY RAP SHEETS DO I HAVE?
If you’ve been arrested or convicted of a crime in California, you potentially have
2579
three different RAP sheets.
• Your county (local) RAP sheet lists your criminal history in that specific county
only. If you have convictions in multiple counties, you will have a RAP sheet
for each county.
• Your DOJ (state) RAP sheet lists your criminal history in all of California, but
only California. This RAP sheet is kept by the California Department of
2580
Justice (DOJ).
Unless you are 100% positive that all of your arrests and
convictions were in just one county, it’s a safer bet to get a copy of your DOJ
(state) RAP sheet to make sure you know of everything recorded about you in
California.
• Your FBI (federal) RAP sheet lists any and all criminal justice involvement
you’ve had in any state in the U.S., or with the federal government. This RAP
2581
sheet is produced by the Federal Bureau of Investigations (FBI).
Your FBI
(federal) RAP sheet is also called an Identity History Summary.
See APPENDIX AA, on PG. 1167 for a sample RAP sheet.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 13125; Rap Sheets: Where They Begin and End, NATIONAL HELPING INDIVIDUALS WITH CRIMINAL
RECORDS RE-ENTER THROUGH EMPLOYMENT (H.I.R.E.) NETWORK, http://www.hirenetwork.org/content/rap-sheets-wherethey-begin-and-end.
2579
Getting Out and Staying Out: A Guide to San Francisco Resources for People Leaving Jails and Prisons, SAN
FRANCISCO REENTRY COUNCIL 45 (2012), http://sfgov2.org/ftp/_gfx/reentry/documents/Getting-Out-Staying-Out.pdf.
2580
CAL. PENAL CODE § 11105.
2581
28 C.F.R. § 16.31.
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!

IMPORTANT: Your RAP sheet is confidential!
Unlike a background check, your official government RAP sheets are
confidential. This means that most people—most employers, private
landlords, and average Joes—CANNOT see your RAP sheets. Only
certain people under certain circumstances can see your RAP sheet—this
includes courts, law enforcement, government agencies, and special
employers.2582 Of course, YOU always have a right to see your own RAP
sheet. (For a complete list of who can see your RAP sheet, see PG. 1039.)
BUT: Although RAP sheets are confidential, some of the information in
them will likely show up in other types of background checks. That’s why
it’s important to know what information is in your RAP sheet, and to
correct any errors in this information. For more information about
correcting mistakes in your RAP sheet, see PG. 1036. For more
information on background checks and what information can and can’t
show up in them, see PGs. 1032-1033.

WHY IS IT HELPFUL FOR ME TO SEE MY RAP SHEET?
There are 4 main reasons why it’s important to see your RAP sheet and know
exactly what it says:
•

•

•

•

RAP sheets often contain mistakes, such as incomplete or incorrect
information. It’s important to find and correct any errors BEFORE the wrong
information has a chance to harm you.
You will have an accurate record of your criminal history, so that you know
what information certain employers, professional licensing agencies,
landlords, banks, or others might see about you. To learn more about what
information employers and licensing agencies CAN and CAN’T consider, see
the EMPLOYMENT CHAPTER, beginning on PG. 625. To learn more about
what information private landlords, Public Housing Authorities (PHAs) and
owners of government-assisted housing CAN and CANNOT consider, see the
HOUSING CHAPTER, beginning on PG. 369.
You will be better prepared to answer questions about your criminal history.
If you know what is in your record, you can plan ahead and figure out how to
talk about it in a more positive light. For more information about how to talk
about your criminal history in a job interview, see the EMPLOYMENT
CHAPTER, beginning on PG. 625.
It’s necessary for cleaning up your record! Your RAP sheet will help you
figure out which remedies you qualify for and which are the best options
for you. In addition, you will need the details from your RAP sheet to fill
out forms and complete the process of cleaning up your record.

For more information on how to get a copy of your RAP sheet, see PG. 1041.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2582

CAL. PENAL CODE § 11105(b).

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FIXING ERRORS IN RAP SHEETS
There are many different reasons why incorrect or incomplete
information may show up in your government-produced RAP sheet.
It’s very important to get copies of your RAP sheet (and
background check, discussed on PG. 1036)—so that you can find
and correct any errors BEFORE they cause problems for you!

WHAT ARE COMMON ERRORS IN RAP SHEETS?
•

•

•

•

•

Someone else’s information. Your RAP sheet may contain
criminal history information about someone else with the same
(or a similar) name as you.
Leaving out important information about a case. Your RAP
sheet may leave out important information about the final
outcome of your case. For example, your RAP sheet may still say
“case pending” even AFTER you were acquitted or the charges
were dropped.
Including sealed information. Your RAP may contain records
that should have been destroyed or can only be released by
special court order, such as sealed arrests or juvenile offenses.
Misleading information. It is possible that a single charge may
appear multiple times on your RAP, making it look like you have
multiple offenses when you only have one.
Misclassifying your offense. If a misdemeanor conviction shows
up as a felony on your RAP sheet, this is a serious problem!

HOW COULD THESE MISTAKES END UP IN
MY RAP SHEET?
•

•

•

WHAT WILL MY
RAP SHEET
LOOK LIKE?
Looking at a RAP
sheet can be
confusing! RAP
sheets have lots
of numbers and
abbreviations, so
it’s not always
clear what
information it
actually contains
or if it is correct.
To learn how to
read and
understand the
information in
your California
RAP sheet, and to
see a sample
California RAP
sheet, see
APPENDIX AA, on
PG. 1167. You can
also ask a lawyer
or a public
defender to help
you read and
understand your
RAP sheet.

Human error. The people who manage the various records can make
mistakes. They may confuse you with someone who has a similar name,
enter your information wrong, or include information that should NOT be
included (for example, a sealed juvenile offense).
Failure to confirm information: Although government agencies are
supposed to confirm that the information that they have about you is
correct and up-to-date, a lot of times they don’t. As a result, they may not
report changes in the status of your case or the final outcome of the case,
even if you were acquitted or the case was dismissed!
Identity theft. Someone else may open an account using your personal
information or commit a crime and pretend to be you by giving your name
or identification. These activities may then go in your record as your
actions!

WHEN CAN I FIX THE ERRORS?
You can start to fix the errors right away! If you find incorrect or missing
information in your criminal records, you can follow these steps to fix the errors!
Don’t let errors stay on your record — they can hurt your chances of getting a
job, a place to live, or government benefits, and they can disrupt many other
areas of your life as well! And don’t wait until the errors show up on a
background check that is seen by an employer, private landlord, creditor, or
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government agency—it’s much easier to clean up errors BEFORE they cause you
any problems! Make sure your criminal record contains only correct and up-todate information, so that wrong information does NOT get used against you.

HOW CAN I FIX ERRORS IN MY CALIFORNIA STATE (DOJ) RAP
SHEET?
Even though your DOJ RAP sheet is supposed to be the official record of your
criminal history from California law enforcement agencies and the courts, it is
likely to still contain errors. If you think that any piece of information contained
in your state RAP sheet is incorrect, you must submit a formal challenge to the
Department of Justice in order to dispute the information. However, you can
only submit this formal challenge after you have requested and received a copy
2583
of your RAP sheet from the DOJ.
Once the DOJ receives your challenge, it
will review your claim and decide whether or not to correct the information in
your RAP sheet.
For detailed instructions on each step of the process for correcting errors in your
DOJ RAP sheet, see APPENDIX F, on PG. 1116. If you have any other questions
about getting or correcting your California RAP sheet, call the DOJ’s Record
Review Unit at (916) 227-3835. (NOTE: This is an automated phone system that
lists many DOJ-related issues. Follow the prompts that ask if you if you want to
“verify or challenge the accuracy of your criminal history.”)

HOW CAN I FIX ERRORS IN MY FEDERAL (FBI) RAP SHEET?2584
Your FBI (federal) RAP sheet (also called your Identity History
Summary) is the federal government’s official record of all of your
interactions with law enforcement and the criminal justice system from
anywhere in the United States, including any federal cases or
convictions. The FBI gets your fingerprints and criminal history
information from other criminal justice organizations throughout the
U.S. This includes local police, county sheriff, and state highway patrol
departments, statewide criminal justice agencies (such as the
California Department of Justice), federal law enforcement agencies
(such as the Drug Enforcement Administration and the FBI itself), and
state and federal courts. In general, when you have any interaction
with one of these agencies, they send your information to the FBI’s
Criminal Justice Information Services (CJIS) Division.
The FBI can only change your information if the original agency or
court (i.e., the one that sent the information to the FBI in the first
2585
place) tells the FBI to change it.
If you think your FBI RAP sheet is
inaccurate or incomplete, there are 2 ways to correct the
information:

OPTION 1: Contact the court or agency that sent your
information to the FBI.

WHAT ARE
“FEDERAL AGENCIES
AND COURTS”?
If you had a case in
FEDERAL court, or if
you’ve had any
interaction with
FEDERAL law
enforcement, it will show
up on your FBI RAP
sheet. You will need to
contact the federal
agency that sent your
information to the FBI in
order to correct it.
Examples of FEDERAL
agencies and courts
include: the FBI; the U.S.
Attorney’s Office (federal
prosecutor); U.S. district
courts; and U.S. Offices
of Probation and Pretrial
Services (federal
probation department).

NOTE: Each entry on your FBI RAP sheet should list the specific

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE §§ 1120-1127.
Challenge of an Identity History Summary, FED. BUREAU INVESTIGATION, http://www.fbi.gov/about-us/cjis/identityhistory-summary-checks/challenge-of-an-identity-history-summary.
2585
See Identity History Summary Checks, FED. BUREAU INVESTIGATION, http://www.fbi.gov/about-us/cjis/identityhistory-summary.
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agency that provided the information. This is how you can tell which agency
sent the FBI the incorrect or incomplete information on your RAP sheet.
> IF THE INCORRECT OR MISSING INFORMATION IS FROM A CALIFORNIA
STATE AGENCY OR COURT:
Contact the California DOJ’s Bureau of Criminal Information and
Analysis, and ask them to send the FBI corrected or updated
2586
information.
> IF THE INCORRECT OR MISSING INFORMATION IS FROM AN AGENCY OR
COURT IN ANOTHER STATE:
Contact the state Identification Bureau of the state where the agency or
court is located, and ask them to send the FBI corrected or updated
information. Contact information for the Identification Bureau of every
U.S. state is available on the FBI’s website at: http://www.fbi.gov/aboutus/cjis/identity-history-summary-checks/state-identification-bureaulisting.
> IF THE INCORRECT OR MISSING INFORMATION IS FROM A
FEDERAL AGENCY OR COURT:
Contact the specific federal agency that sent your
information to the FBI, and ask them to send corrected
or updated information.
See APPENDIX G, on PG. 1118 for additional details about each of
these steps.

OPTION 2: Go through the FBI directly.2587
If you don’t know where the incomplete or incorrect information
on your RAP sheet came from, you can contact the FBI directly to
challenge it, and ask them to correct it. You will need to write a
“challenge letter” explaining exactly what information is wrong
and why, and send it to the FBI along with any proof you have to
support your claim. (For a list of common RAP sheet errors, see
PG. 1029.)
The FBI will then investigate your claim. If the FBI decides that
the information in your RAP sheet was wrong or incomplete, it
will correct your RAP sheet and let you know. For a detailed
explanation of both Option 1 and Option 2, see APPENDIX G, on
PG. 1118.

!

REMINDER
A background check is
the process of looking up
information about your
past—such as your
criminal history, work
experience, education,
debts, and other
personal facts. They are
usually done by private
background check
companies which often
get requests for them
from employers and
landlords. There are
special laws that protect
your rights when
someone gets a
background check on
you.
Remember, a
background check does
NOT include your RAP
sheet or your credit
report, and there are
strict limits on what
criminal history
information they can
include.

IMPORTANT: IT IS EXTREMELY IMPORTANT TO REVIEW YOUR
RAP SHEETS — both State and Federal-level — to make sure that all the
information contained in them is ACCURATE, COMPLETE, AND UP-TO-DATE.
Any errors on your RAP sheet can cause you serious problems in the future
when you apply for a job, a professional license, housing, or a loan, or if you try
to reconnect with your family, or if you get arrested or charged with a crime in
the future. (To find out how to get a copy of your RAP sheet, see PG. 1041. For
more information on what to do if there are errors in your RAP sheet, see
PG. 1029.)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

State Identification Bureau Listings, FED. BUREAU INVESTIGATION, http://www.fbi.gov/about-us/cjis/identity-historysummary-checks/state-identification-bureau-listing.
2587
28 C.F.R. § 16.34.
2586

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BACKGROUND CHECKS
WHAT IS A BACKGROUND CHECK?
You’ve probably heard of someone running a “background check” on someone
else. A background check is the process of looking up non-confidential
information about someone’s past activities, including their criminal history,
work experience, education, debts, etc. When someone runs a background
check on you, they may research your history by looking up public records about
you, running an internet search on you, and even interviewing people you know!
Most commonly, background checks are done by private companies that
specialize in investigating people and compiling information about them.
Employers, private landlords, creditors, and other people often hire these
companies to run a background check on you when you apply for a job, rent an
apartment, apply for a loan, or volunteer at your child’s school! (For more
information about background checks in these different situations, see the
EMPLOYMENT CHAPTER (PG. 625), HOUSING CHAPTER (PG. 369), and FAMILY
& CHILDREN CHAPTER (PG. 823).

!

REMEMBER: Your RAP sheet itself is confidential and CANNOT be
included in most background checks. BUT some of the information in
your RAP sheet—like the record of certain criminal convictions—may be
public information, so the information can show up on a regular
background check. For example, court records are public information, so
a background check company can go to the courthouse and look up your
records to find out about convictions.
DEFINITIONS: Background Checks & Private Background Check
Companies
•

•

A “background check report” is the document that an employer, landlord, or other
person sees when he/she hires a private background check company to run a
background check on you.
A “background check company” is a private company that specialize in doing
background checks (and selling the information they gather).

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WHAT INFORMATION CANNOT SHOW UP IN A BACKGROUND
CHECK?
Background check laws protect you by making it illegal for private background
check companies to include certain types of information in your background
check, and by creating penalties for if they do.
INFORMATION THAT CANNOT BE IN YOUR BACKGROUND CHECK IN
CALIFORNIA:
• Criminal convictions that have been fully pardoned;
• Criminal convictions that have been expunged (for employment background
checks);
• Criminal convictions from more than 7 years ago (except as required by law
for certain jobs);
• Any information about arrests or charges that did not result in a conviction,
2588
no matter how recent (unless your judgment is still pending);
• Any information about arrests or charges from more than 7 years ago;
• Any information about referrals to, or participation in, any pre-trial or posttrial diversion programs (usually drug treatment programs that you are
ordered to do instead of going to jail);
2589
• Lawsuits and judgments from more than 7 years ago;
2590
• Paid tax liens from more than 7 years ago;
• Accounts placed in collections from more than 7 years ago;
• Bankruptcies from more than 10 years ago;
• Unlawful detainers (evictions) that you won or resolved with a settlement
agreement;
• Any other negative information like repossessions, foreclosures, check
2591
verification reports,
motor vehicle reports, or drug test results
from more
2592
than 7 years ago;
• Background check companies cannot include any public information unless it
has been double-checked for accuracy in the past 30 days. Public record
information includes arrests, convictions, civil actions, tax liens, and
outstanding judgments.
ADDITIONALLY… BACKGROUND CHECK COMPANIES MUST FOLLOW RULES.
Background check companies must follow specific rules when they include ANY
negative or harmful information—including criminal history information—in a
background check on you. Negative or harmful information is any information
that may hurt your chances of getting a job, housing, insurance, or benefits; or
that could cause you to have to pay a higher rate for housing, insurance, or
benefits; or that could have any other negative impact on you in whatever
2593
situation your background check is used.
Public Records Information—A background check company CANNOT include
any “public record” information in your background check UNLESS it confirms
that the information is correct within the last 30 days before the report is

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

EXCEPTIONS: An agency can report these kinds of arrests or charges (1) if they are part of a case that hasn’t yet
gone to trial or been resolved, meaning a “judgment is pending,” or (2) if you are applying to work at a health care
facility and would have access to patients, drugs or medication.
2589
Investigative Consumer Reporting Agencies Act, CAL. CIV. CODE § 1786.18(a).
2590
When a tax debt is not timely paid, the government’s legal claim against your property is considered a “tax lien.”
Understanding a Federal Tax Lien, INTERNAL REVENUE SERVICE, http://www.irs.gov/Businesses/Small-Businesses-&Self-Employed/Understanding-a-Federal-Tax-Lien.
2591
How to Comply with the Fair Credit and Reporting Act, CONSUMER DATA INDUSTRY ASSOCIATION,
http://www.cdiaonline.org/HTC/htc.cfm?ItemNumber=1080.
2592
Investigative Consumer Reporting Agencies Act, CAL. CIV. CODE § 1786.18(C).
2593
Investigative Consumer Reporting Agencies Act, CAL. CIV. CODE § 1786.18(d).
2588

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2594

issued.
This rule applies to information like arrests, indictments, convictions,
2595
civil actions, tax liens, and outstanding judgments.
CONFIRMING THAT PUBLIC RECORDS ARE ACCURATE
A background check company must confirm that public information about
arrests, indictments, convictions, and other judgments is correct within the last
30 days before the report is issued. This means the company should check with
the court, police, or other agency to find out the current status of any arrests,
charges, indictments, convictions, judgments, etc. For example, if you were
arrested but never charged, if your charges were dismissed or reduced, if you
were acquitted (or convicted), or if there were any other changes to your case,
2596
the company must report the updated information.
Testimonial Information—a background check company CANNOT include
negative information from personal interviews with people who know you—such
as neighbors, landlords, employers, etc.—in your background check UNLESS the
agency either confirms the information with another person (who would know
whether the information is true or not) OR the person who gave negative
information in the first place is the best (or only) possible source of the
2597
information.

WHAT INFORMATION CAN SHOW UP IN A BACKGROUND
CHECK?
In the Internet Age, there is a lot of different information that could show up in
your background check. For example, a background check may contain
information about:
•
•
•
•
•
•
•
•
•
•
•

Criminal convictions;
Other court cases you were involved in (for example, lawsuits, small claims
court cases, money judgments against you, etc.)
Your driving record;
Previous employment;
Education records;
Property ownership records;
Bankruptcies and tax liens;
Professional licensing records;
Previous addresses;
Past evictions; AND
Personal references from people who know you (such as past employers,
private landlords, neighbors, etc.).

Although anyone can look up public records or information on the internet about
you, there are special laws that limit WHO and WHEN someone can run a
background check on you if they use a private background check company. In
general, the people who can do this kind of background check on you include:
employers, private landlords, insurance companies, professional licensing
agencies, creditors, anyone with a court order or subpoena, or anyone seeking
child support payments from you. (For a list of who can legally run a background
check on you, see PG. 1040.)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2594
2595
2596
2597

Investigative Consumer Reporting Agencies Act, CAL. CIV. CODE § 1786.18(C).
CAL. CIV. CODE § 1786.28.
Investigative Consumer Reporting Agencies Act, CAL. CIV. CODE § 1786.18(C).
CAL. CIV. CODE § 1786.18(d).

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In addition, these laws protect your rights by LIMITING the information that can
be included in your private background check report, and by giving you the
chance to CORRECT any errors that show up. For a list of what information CAN
and CANNOT be included in your private background check, see PG. 1034 &
1033.

WHY IS IT HELPFUL FOR ME TO SEE WHAT’S IN MY BACKGROUND
CHECK?
There are several reasons why it’s important to find out what’s likely to come up
in your background check:
• Background checks often contain mistakes—such as incomplete, incorrect,
or forbidden information. It’s important to find and correct any errors
BEFORE the information shows up in a background check and causes you
problems.
o You will know what other people are likely to see about you, in case
your criminal history comes up on an application for employment,
professional licensing, housing, or a loan, or in any other situation. To
learn more about what information employers and licensing agencies
CAN and CAN’T consider, see the EMPLOYMENT CHAPTER (PG. 625).
For more information about what landlords and housing authorities can
consider, see the HOUSING CHAPTER (PG. 369).
• You will be better prepared to answer questions about your criminal history
during job interviews, on job and housing applications, and in other
situations. For more information about what employers CAN and CAN’T ask
you about or see in your record, see the EMPLOYMENT CHAPTER, (PG. 625).
• You can protect your rights and maximize your chances of success!
Remember, there are laws that protect your rights when someone runs a
background check on you. But you need to know what information will show
up in your background check in order to protect those rights!

!

REMEMBER, cleaning up your criminal record will reduce the information
that most people can see about you when they run a background check!

WHAT’S THE DIFFERENCE BETWEEN A RAP SHEET AND A
BACKGROUND CHECK?
RAP Sheet

Background Check

•

Based on official government
records

•

Based on investigation by a private company

•

Lists every encounter with law
enforcement, the courts, and
the criminal justice system

•

Contains only limited criminal history
information

•

Contains criminal history
information only

•

Includes criminal history information as well
as other information about you

•

Generally confidential
(generally only law enforcement
and courts)

•

Can be seen by a variety of people for many
reasons (like private landlords, Public
Housing Authority and government-assited
owners, private and public employers,
banks—but the information is still protected
in many ways, and not everything from your
past can show up)

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FIXING ERRORS IN BACKGROUND CHECKS
HOW CAN I FIX ERRORS IN MY BACKGROUND CHECK?
Even though background check companies are limited by law on what
information they can report about you, and are REQUIRED to CONFIRM that the
information is true and correct, it is still very common for background checks to
contain errors.

WHAT ARE COMMON ERRORS IN A BACKGROUND CHECK?
•

•
•
•

•
•

Information that should NOT be included—such as convictions more than 7
years old, arrests that did not lead to a conviction (unless charges are still
pending), participation in court-ordered drug treatment, or convictions that
have been dismissed;
Information that is wrong (for example, reporting that you were convicted of
robbery instead of petty theft);
Information that belongs to someone else with the same (or a similar) name
as you;
Report of an arrest or charges filed but not the final outcome of the case (for
example, you were never charged, charges were dismissed, you were
acquitted, or you plead guilty to a lesser offense);
Information from public records or personal interviews that has not been
confirmed;
Any negative information about you that is more than 7 years old (or
bankruptcies that are more than 10 years old).

You have the right to challenge ANY information in your background check, and
to view the background check company’s files containing any information that
was used to prepare your background check.

WHAT ARE SOME SUGGESTED STEPS I CAN TAKE TO FIX
ERRORS IN MY BACKGROUND CHECK?
•
•

•
•

First, you can NOTIFY the background check company that the information is
wrong and include proof (documents or evidence) of the correct information.
Second, the background check company MUST INVESTIGATE the
information that you challenged, and MUST inform you of the results within
30 days.
Third, the background check company MUST REMOVE or CORRECT any
information that is wrong, incomplete, or cannot be confirmed as true.
Finally, if the background check company does not remove the information
from your background check, you can add your own STATEMENT OF
DISPUTE to the company’s file stating that you disagree with the
2598
information.
.

For a complete step-by-step explanation of this process, see APPENDIX H, on
2599
PG. 1120.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2598
2599

CAL. CIV. CODE § 1786.26(c); CAL. CIV. CODE § 1786.24; Fair Credit Reporting Act § 611, 15 U.S.C. § 1681(i).
CAL. CIV. CODE § 1786.24; Fair Credit Reporting Act § 611, 15 U.S.C. § 1681(i).

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HOW DO I KNOW WHICH BACKGROUND CHECK COMPANY DID
MY BACKGROUND CHECK?
There are two ways to find out which background check company did your
background check and how to contact them:
•

•

BEFORE someone runs a background check on you (such as an employer,
private landlord, or creditor), they are supposed to tell you that they are
going to get a background check on you and get your PERMISSION. They
must also give you the name, address, phone number, and website of the
2600
background check company that they are going to use.
If someone takes any negative action against you (such as refusing to hire
you, rent an apartment to you, or give you benefits) based on information in
your background check, they must give you an “ADVERSE ACTION LETTER”
that also includes the name, address, and phone number of the background
2601
check company that did the background check.

You have the right to know what internal procedures the background company
uses to investigate your claim. You can ask the company for this information and
2602
they MUST provide it to you.
NOTE: Under the law, you have the right to challenge any information in your
background check, and there is a specific process for doing it. However, in
practice, it might not be as easy or straightforward, especially if the background
check company is uncooperative or unresponsive. If you have trouble getting
the company to review or change the wrong information in your file, it is
recommended that you contact a lawyer for help.

CREDIT REPORTS
WHAT IS A CREDIT REPORT? AND WHAT’S THE DIFFERENCE
BETWEEN A RAP SHEET AND A CREDIT REPORT?
In California, a credit report is different from a background check and is covered
2603
by a different set of laws.
A credit report contains information about your
money and finances—including debts you owe (such as unpaid bills, loans, or
leases), your payment history for past bills and debts, and the status of your
credit accounts. Your credit report does NOT include your criminal history or
other personal information about you. For this reason, this legal guide does not
go into detail about the laws governing credit reports.

WILL MY CREDIT REPORT BE INCLUDED IN MY BACKGROUND
CHECK?
Generally, no. Background check companies are NOT allowed to include your
credit report in your regular background check, because not everyone who is
allowed to see your background check is also allowed to see your credit report.
When companies run your credit report, they must follow a separate set of rules

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2600
2601
2602
2603

CAL. CIV. CODE § 1786.16.
CAL. CIV. CODE § 1786.40.
CAL. CIV. CODE § 1786.24(g).
Consumer Credit Reporting Agencies Act, CAL. CIV. CODE §§ 1785.1-1785.36.

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that are specific to credit reports, which are not covered here. The only time that
your credit report and background check will be together is when someone who
is allowed to see both requests them both together (for example, a housing
provider can request both at the same time, but most employers cannotyou’re
2604
your credit report, only your criminal background check report).
NOTE: This manual does NOT cover credit reports. When the manual refers to
background checks or background check reports, it means information about
your criminal history (and certain other personal information)—NOT your credit
report. For more information about your rights related to credit reports, here are
some additional resources:
•

•
•

Federal Trade Commission, Your Equal Credit Opportunity Rights at:
https://www.consumer.ftc.gov/articles/0347-your-equal-credit-opportunityrights
California Department of Justice, Office of the Attorney General, Repairing
Your Credit at: http://oag.ca.gov/consumers/general/repair_credit10
Privacy Rights Clearinghouse, Credit & Credit Reports at:
https://www.privacyrights.org/how-private-my-credit-report

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2604

CAL. CIV. CODE § 1786.2(c).

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III. WHO HAS ACCESS TO
YOUR CRIMINAL RECORD
AND WHAT THEY CAN
SEE
WHAT WILL I LEARN?
•
•
•

Who CAN and CAN’T see your RAP sheet;
Who CAN and CAN’T run a background check on you;
Other ways that people may see your criminal history.

There are laws about who can and can’t get your RAP sheet or run a background
check on you. This section will explain the different rules for accessing each
type of criminal record.

WHO IS LEGALLY ALLOWED TO SEE MY RAP SHEET?
MOST PEOPLE CANNOT SEE YOUR RAP SHEET. Your RAP sheet is protected
and confidential because it is kept by law enforcement agencies. The only
people who can see your RAP sheet are:
• Criminal justice and law enforcement agencies have full access to your RAP
sheet, including juvenile adjudications, expunged/dismissed cases, and
2605
sometimes even sealed records!
• State occupational licensing agencies can review your RAP when
considering whether or not to issue you a professional license. Some may
2606
ban you from getting a license if you have a criminal record.
(For more
information see the EMPLOYMENT CHAPTER, on PG. 690)
• State and local welfare agencies including child welfare agencies, child
2607
support agencies, and humane societies can see your RAP sheet.
• Most public employers can see your RAP sheet when you apply for a job with
them. These include all federal, state and local government agencies—
including police and fire departments, the California Department of
Corrections (CDCR), local Boards of Education, and the U.S. Postal
2608
Service.
• Certain private employers can see your RAP sheet if you are applying for a
job that involves access to sensitive information (e.g., nuclear power plants,
public utilities, private security companies, and financial institutions like

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 11105 (police departments, courts, District Attorney and Public Defender offices, parole and
probation departments, and corrections agencies can access RAP sheets).
2606
CAL. BUS. & PROF. CODE § 475; CAL. PENAL CODE § 11105 (occupational licenses are required for MANY professions,
including: accountants, taxi drivers, architects, automotive repair persons, barbers and cosmetologists, cemetery
and funeral service workers, contractors, court reporters, dental service professionals, electronic and appliance
repair persons, physical therapists, real estate agents, security guards and private investigators, and nurses). See
also Occupational Guides, CAL. EMP’T DEV’T DEP’T, http://www.labormarketinfo.edd.ca.gov/occguides/ (listing 200+
professions that require occupational licenses in California).
2607
CAL. PENAL CODE § 11105(b).
2608
CAL. PENAL CODE § 11105(b).
2605

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banks) OR you will be working with children, elderly, disabled, or other
2609
vulnerable people.

WHO IS LEGALLY ALLOWED TO RUN A BACKGROUND CHECK
ON ME?
Unlike a RAP sheet, many more people (for housing, employments, bank loans,
public benefits, etc.) can run a private background check on you, but it is still
protected from showing everying in most cases. In California, state and federal
2610
laws
allow background check companies to run background checks and send
the information…
• To anyone making decisions about you for: employment, renting a
house/apartment, professional licensing, government benefits, credit
2611
obligations, court-ordered child support or alimony, or insurance;
• To establish child support requirements;
• In response to a court order or subpoena;
• To anyone with a legitimate business need for the report (for example, a
2612
bank, creditor, or someone you have a business relationship with); or
• To the Federal Deposit Insurance Corporation or National Credit Union
Administration.
Basically, the main people who can—and are likely to—run a background check
on you are employers, private landlords, insurance companies, licensing boards
and agencies, and financial institutions.

!

REMEMBER, there are LIMITS on what information can be included in your
background check. In general, cleaning up your record means that the
information may no longer show up in the background checks that most
people—like ordinary employers and private landlords—can get.

IS THERE ANY OTHER WAY THAT SOMEONE CAN SEE MY
CRIMINAL HISTORY?
Yes. Because most criminal records and criminal case information is techinically
public, people in the general public could access on their own most legal
paperwork filed in court or with a government agency. For example, anyone can
go to the local courthouse, look up your criminal case and make copies of the
documents in the court file.
But it is very unlikely that most people would go down to the courthouse to look
you up for an apartment or job! Keep in mind that the information is likely
scattered across hundreds of locations, so someone would really have to know
exactly what they are looking for to actually find it. That’s why most people use
professional background check companies to do the investigating for them—and
that’s why these companies and the background checks they create are
regulated by state and federal laws to protect you!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

These employers include: nuclear power plants; public utilities; agencies directly responsible for the care of
children, the elderly, or the mentally or physically disabled; youth organizations; in-home supportive care agencies;
security organizations; financial institutions; private schools. See CAL. PENAL CODE §§ 11105(c)(1); 11105.3, 11105.4;
CAL. FIN. CODE § 777.5; CAL. HEALTH & SAFETY CODE § 1596.871; CAL. VEH. CODE § 44237. However, private employers
must still get authorization from the DOJ in order to view RAP sheets.
2610
FCRA § 611, 15 U.S.C. § 1681b; Investigative Consumer Reporting Agencies Act, CAL. CIV. CODE § 1786.12.
2611
FCRA, 15 U.S.C. § 1681b(a)(3)(E); Investigative Consumer Reporting Agencies Act, CAL. CIV. CODE § 1786.12.
2612
FCRA, 15 U.S.C. § 1681b(a)(3)(F). A “legitimate business need” includes anything related to a business
relationship you started, or a need to review an existing account or ensure that you meet the terms of the account.
2609

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IV. GETTING COPIES OF
YOUR CRIMINAL
RECORDS
This section explains how you can get copies of your various types of criminal
records. You will need the information from your criminal record(s) to figure out
which options are best for cleaning them up, and to complete the steps to do so.

WHAT WILL I LEARN?
•
•
•

!

Why it’s important to get a copy of your RAP sheet and
background check;
How to get your state, federal, and county RAP sheets;
How to get a copy of your background check.

IMPORTANT: If there’s ANY possibility that you might have an
outstanding warrant for your arrest—for ANY reason (including new
charges against you or a failure to appear in court) from ANY county—it
is recommended that you call the public defender or a private lawyer to
check on your warrant status first, before trying to get your RAP sheet.

HOW DO I GET MY CALIFORNIA STATE (DOJ) RAP
SHEET?
If you have arrests or convictions in California only, this is the only
RAP sheet you will need. In order for the DOJ to release your RAP
sheet, you are required to submit your fingerprints. Your fingerprints
must be taken by a company called “Live Scan” (which has been
specially approved by the DOJ and has locations all around
California). You will also need to pay a $25 processing fee to the
DOJ.
For a step-by-step explanation of how to get your DOJ RAP sheet,
see APPENDIX A, on PG. 1106.
Note: It can take up to 2 months (anywhere from 2 to 8 weeks) to get
a copy of your DOJ RAP sheet, depending on how long your RAP
2613
sheet is (i.e., how much information it contains).
For more information, visit the Frequently Asked Questions section
of the DOJ website at http://oag.ca.gov/fingerprints/security_faq.

REMINDER: WHY
IS IT IMPORTANT
TO GET MY RAP
SHEET?
• To correct any
errors, such as
incomplete or
incorrect
information;
• To have an
accurate record of
your conviction
history;
• To be better
prepared to
answer questions
about your
criminal history;
AND
• You will need it to
clean up your
record!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2613

Telephone Interview with clerk, Cal. Dep’t of Justice Record Review Unit (Mar. 26, 2015).

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HOW DO I GET MY FEDERAL (FBI) RAP SHEET?
If you have ever been arrested or had a conviction in another state, or for a
federal offense, you will want to get a copy of your FBI (federal) RAP sheet (also
called your “Identity History Summary.”
There are two ways to get a copy of your FBI RAP sheet:
•
•

You can request your RAP sheet directly from the FBI; OR
You can use a special private company, called a “Channeler,” that has
contracted with the FBI to perform this service.

NOTE: It is generally faster to go through an FBI Channeler, but it is likely to be
more expensive because these companies usually charge extra fees.
Whether you request your RAP sheet directly from the FBI or go through a
channeler, you will need to fill out the FBI’s “Applicant Information Form” and
get fingerprinted by a Live Scan service provider.
For a step-by-step explanation of how to get your FBI RAP sheet, see
APPENDIX D, on PG. 1113.
For more information about getting your RAP directly from the FBI, visit the FBI’s
website at: http://www.fbi.gov/about-us/cjis/identity-history-summarychecks/faqs
For more information about getting your FBI RAP sheet through an
FBI-approved channeler, see http://www.fbi.gov/aboutus/cjis/identity-history-summary-checks/fbi-approved-channelers

HOW DO I GET MY LOCAL (COUNTY) RAP SHEET AND
CRIMINAL HISTORY INFORMATION?
The process for getting your local RAP sheet is different in each
county. In some counties, you can get a complete RAP sheet that has
ALL of your criminal history information from that county in one
place, including all of your convictions, arrests, and any open
warrants. In other counties, these records are kept separately (by
different agencies), so you will need to go to several places and get
separate records for all of your court cases (convictions), arrest
records, and warrants.
You will need to contact the police department, sheriff’s department,
courthouse, or Public Defender’s Office of the county where you
were convicted for information on how to get your local RAP sheet.

!

Remember, your county RAP sheet and other records will
ONLY show information for that county. If you’ve had any
interaction with the police, courts, highway patrol, or any other
law enforcement or criminal justice agencies in other counties,
you should get your California (DOJ) RAP sheet to see all of
your criminal history information.

PAGE 1042 OF 1210

REMINDER: WHY
IS IT IMPORTANT
TO GET A COPY
OF MY
BACKGROUND
CHECK?
• To correct any
errors, such as
incomplete or
incorrect
information;
• To find out what
other people are
likely to see about
you (employers,
private landlords,
government
agencies, etc.);
• To be better
prepared to
answer questions
about your
criminal history
(on job and
housing
applications, in
job interviews,
etc.); AND
• To protect your
rights and
maximize your
chances of
success!

ROADMAP TO REENTRY

HOW DO I GET A COPY OF MY BACKGROUND CHECK?
The best way to find out what information might show up in your background
check is to get your own background check done on yourself.
There are 2 ways to do this:
OPTION 1: Pay a reputable background check company to run a report on you.
There are MANY private background check companies out there—you can
search online for “background checks” or check your local Yellow Pages under
“Investigators.” Beware, however, some background check companies are
scams. Look up or call a few different companies to see what they offer and how
much they charge. Avoid companies that seem to charge much more or much
less than others.
OPTION 2: Request a background check report.
Under federal and state law, you are entitled to get a FREE copy of your
background check once every 12 months from any background check
2614
company.
To get a copy of your background check for free, you must confirm
in writing that 1 of the following is true:
•
•
•

you are unemployed and intend to look for work within the next 60 days;
you receive public benefits (government assistance such as CalFresh or
General Assistance); or
you believe there may be errors in your report because you have been the
2615
victim of fraud or identity theft.

Send a letter to whichever background check company you choose stating that
you fall into one of the above categories (and list which category), and that you
would like to request your free background check.
Legitimate agencies should not hesitate when you ask for your free report and
should offer to run it right away.

!

REMEMBER, your background check is different from your credit report,
but you are entitled to both for free once every 12 months.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Fair Credit Reporting Act § 612 (a)(1)(A), 15 U.S.C. § 1681; CAL. CIV. CODE § 1786.26(c); see also CAL. CIV. CODE
§§ 1786.10, 1786.11 & 1786.22.
2615
Fair Credit Reporting Act § 611, 15 U.S.C. § 1681i(a)(1)(A).
2614

PAGE 1043 OF 1210

ROADMAP TO REENTRY

V.

CLEANING UP YOUR
CRIMINAL RECORD—
LATER IN REENTRY
WHAT WILL I LEARN?

If/ when possible, the different ways to clean up your criminal
record in California
The rules and requirements for each remedy
What effect each of these remedies has on your criminal record
What effect each of these remedies has on your other legal
rights
When to apply for each of these remedies
Which remedies you qualify for and which are best for you!

•
•
•
•
•
•

There are MANY different ways to clean up your criminal record. This section will
explain all of the different options in California, along with the rules and process
for each one.

WHY COULD IT BE HELPFUL TO “CLEAN UP” MY CRIMINAL
RECORD?
In general, cleaning up your criminal record can reduce many of the damaging
effects associated with having a criminal history:
•

•

•

Cleaning up your record can hide criminal records from certain people who
run background checks on you—meaning most private employers, private
landlords, and other private individuals or companies will NOT be able to see
much of the information in your record.
Cleaning up your record may allow you to say that you were never convicted
of a particular offense; and/or may restore many of the rights that you lost
because of a conviction (for example, voting rights, right to sit on a jury
service, gun rights, etc.)
Cleaning up your record can reduce or remove the legal restrictions that
prevent you from getting certain jobs and professional licenses.

Cleaning up your record will make it easier to rebuild your life, move forward,
and maximize your opportunities for success in the future. The first step toward
cleaning up your criminal record is understanding the different types of records
you may have and the information that may be in them.

PAGE 1044 OF 1210

ROADMAP TO REENTRY

IF I AM REQUIRED TO REGISTER WITH LOCAL LAW
ENFORCEMENT BECAUSE OF A SEX, ARSON, OR DRUG
CONVICTION, HOW WILL CLEANING UP MY RECORD AFFECT MY
REGISTRATION REQUIREMENT?
Like most other questions about cleaning your record, this will depend on the
specific details of your situation, including the type of registration requirement
you have, your conviction offense, and which of these “remedies” you use to
clean up your record. Certain remedies can remove your registration
requirement, while others will NOT affect your registration requirement at all, so
you will still have to register. For more information about which “cleaning
remedies” DO and DON’T affect your registration requirements, see PG. 1097.
CALIFORNIA OFFERS THESE REMEDIES TO HELP YOU CLEAN UP YOUR
RECORD…
•
•
•
•
•
•
•

You can correct errors, fill in incomplete information, or add missing
information in your record (see PG. Error! Bookmark not defined.);
You may be able to get your conviction(s) expunged (see PG. 1050);
You may be able to get your felony conviction reduced (see PG. 1065), or
reclassified or resentenced as a misdemeanor (see PG. 1069);
You may be eligible for a Certificate of Rehabilitation (see PG. 1075);
You may be able to get a pardon from the governor (see PG. 1079);
You may be able to get your adult arrest record(s) sealed (see PG. 1086) or
get your juvenile criminal records sealed (see PG. 1089);
You may be able to get your federal conviction expunged (see PG. 1092) or
get a Presidential Pardon (see PG. 1095).

!

PAGE 1045 OF 1210

ROADMAP TO REENTRY

HERE IS A BASIC OVERVIEW OF THE DIFFERENT REMEDIES AVAILABLE FOR CLEANING UP YOUR RECORD,
AND THE RULES FOR EACH TYPE OF REMEDY. FOR MORE INFORMATION ABOUT EACH OF THESE REMEDIES,
TURN TO THE PAGE NUMBER LISTED IN THE CHART.

CLEANING UP YOUR RECORD—DIFFERENT REMEDIES
“CLEANING”
REMEDY

AM I ELIGIBLE?

WHEN CAN I DO
THIS?

EFFECT

Fixing errors
in your
criminal
record
(PG. 1044)
California
Expungement
(“dismissal”)
(PG. 1050)

YES! Anyone can fix errors in their
record.

ANYTIME

Your criminal record will
not contain wrong,
incomplete, or missing
information

You may be eligible if
• You did NOT spend any time in
prison for the offense;
• You are OFF probation, or other
supervision; AND
• You are NOT currently charged
with, serving a sentence for, or on
probation/parole/ supervision for
another offense.
Note: Certain convictions are NEVER
eligible for expungement..

> Most private employers,
private landlords,
insurance companies,
creditors, and other
people will NOT be able
to see an expunged
conviction if they run a
background check on
you.
> Most private employers
CANNOT ask about or
consider a conviction that
has been expunged.

Reducing
felony
conviction to
a
misdemeanor
(PG. 1065)

You may be eligible if:
Your conviction was for a felony
“wobbler”, AND
• You were NOT sentenced to state
prison;
• You were NOT sentenced to
county jail under CA’s
Realignment laws; AND
• You were sentenced to
PROBATION.

> You must be OFF
probation or other
supervision
> Certain convictions
require you to wait 1 or
2 years before you can
apply for an
expungement
[Note: If you are still on
probation, you may be
able to get released
early, so that you can
apply for expungement
(see PG. 1062)]
You can apply anytime,
but you will have a
much better chance if
you wait until AFTER
you complete probation

Reclassifying
and/or
resentencing
felony
conviction to
a
misdemeanor
(Prop 47)
(PG. 1069)

You are eligible if your conviction is
for one of the covered offenses (see
list PG. 1069), AND you do NOT have
a conviction for a “super strike”
felony, and you are NOT required to
register as a sex-offender.

PAGE 1046 OF 1210

IMMEDIATELY—You
MUST apply before
November 2017.
Note: You may be able
to apply after November
2017 if you can show a
good reason why you
could not apply earlier.

> You can say that you
were never convicted of
the felony
> Restores your rights to
vote and sit on a jury
> May restore your gun
rights
> Removes many legal
barriers to getting
professional licenses and
jobs
> Reduces your current
sentence or term of
supervision
> Offers immediate
release if you have
already served your
reduced sentence
> Changes your
conviction to a
misdemeanor
> Removes legal barriers
and restores most rights
lost due to felony
conviction

ROADMAP TO REENTRY

Certificate of
Rehabilitation
(PG. 1075)

Governor’s
Pardon
(PG. 1079)

Sealing adult
arrest records
(PG. 1086)

Sealing
juvenile
records
(PG. 1089)

You may be eligible if
> You were convicted of felony AND
you served a state prison sentence
OR
> You were convicted of a felony or
misdemeanor sex offense, AND your
conviction was expunged, AND no
incarceration since then, AND not on
felony probation
AND
> Lived in California for last 5 years
Note: You are NOT eligible if you
have a conviction for certain serious
sex offenses; were sentenced to
death penalty; have mandatory
lifetime probation; are in the military;
or no longer live in California.
> You were convicted of felony or
misdemeanor sex offense; AND
> Your conviction is from California.

> You must be OFF
probation, parole, or
PRCS
> You must complete 710 year waiting
(“rehabilitation”) period,
based on conviction
offense
[Note: You can request
a COR before the end of
your waiting period, but
it must be “in the
interests of justice” to
grant it early.]

> Serves as official proof
of your rehabilitation
> May remove sex
offender registration
requirement
> Serves as automatic
application for governor’s
pardon

> If you get a COR, you
are automatically
applied for a pardon.
> If no COR, 10-year
waiting period for direct
application.
> May be recommended
for pardon by BPH while
incarcerated.

You may be eligible if
> You were arrested as adult;
> Your arrest did NOT lead to a
conviction;
> You have NO other convictions
connected to the arrest; AND
> You are found factually innocent of
the charges.
You may be eligible if
> You are over 18, OR it has been 5
years since your last arrest or
probation discharge;
> No adult convictions for felony or
misdemeanor of “moral turpitude”;
> Case started and ended in juvenile
court; AND
> NO open civil lawsuit from juvenile
offense.
[Note: You are NOT eligible if juvenile
adjudication was for certain violent
offenses AND you were over 14 at
time of offense.]

You must apply within 2
years after you are
arrest or charged.
[Note: You may apply
later, but you must
show good reason for
not applying earlier.]

> May restore your gun
rights.
> Restores your right to
vote and sit on a jury.
> Removes sex offender
registration requirement.
> Allows you to work as
parole agent or probation
officer.
> Restores your right to
hold public office.
> All records related to
arrest and criminal
proceedings are sealed
and destroyed.
> It’s as if the arrest and
prosecution never
occurred.

> As soon as you are
over 18;
OR
>5 years after your last
arrest or discharge from
probation.

> All court, law
enforcement, and other
records are sealed and
destroyed.
> It’s as if the juvenile
case never occurred.

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ROADMAP TO REENTRY

Federal
expungement
or dismissal
(PG. 1092)

You may be eligible if
> You were convicted of “simple”
possession of drugs under federal
law;
> You were in possession of a drug
covered by the statute;
> You were only convicted of one
drug-related offense (state or federal);
> You successfully completed
probation with NO violations.

As soon as you
complete probation.

Presidential
pardon
(PG. 1095)

>You were convicted of a federal
offense;
You have completed your sentence
(including any parole or probation
term).

5 years from the date of
your release (or from
the date of your
conviction if you were
never incarcerated).

> Under 21 at time of
offense - ALL records of
conviction, arrest, and
criminal proceedings are
destroyed as if it never
happened;
> Over 21 at time of
offense – All records of
conviction, arrest, and
criminal proceedings are
sealed (but not
destroyed).
> Restores any civil rights
lost due to federal
conviction, including gun
rights;
> Does not restore rights
lost due to state
convictions.

Be prepared to show support for your clean record!
For almost every type of “cleaning” remedy, you will need to convince a judge
(or sometimes the Governor or President) of why you deserve the remedy you
are asking for. When you ask to have your record cleaned up (usually by filing
papers in court or with the government), you will want to make sure that the
judge (or Governor) has all possible materials that support your request, such as
letters of support, school transcripts, awards, certificates of achievement, and
diplomas.

WHAT INFORMATION WILL I NEED TO CLEAN UP MY RECORD?
This is a general list of the information you will need to have for EVERY entry in
2616
your criminal record:
1) Your case number (sometimes called “docket number”);
2) The dates associated with your offense, including the dates of arrest,
conviction, sentencing, release, and completion of any term of supervision;
3) The name of the code (for example, Penal Code, Health & Safety Code, etc.)
and section number of the code that you were accused or convicted of
violating;
4) Whether you were ordered to serve time on probation (formal and informal
probation are treated the same in your record);
a. If so, for how long?
5) Whether you were ordered to pay any restitution, court fines or penalties, or
administrative fees, and how much (learn more about these in the COURTORDERED DEBT CHAPTER, beginning on PG. 755); and
6) Whether you were sentenced to state prison.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2616

Cleaning Your Record, CALIFORNIA COURTS, http://www.courts.ca.gov/1070.htm.

PAGE 1048 OF 1210

ROADMAP TO REENTRY

WHY DO I NEED THIS INFORMATION FOR EXPUNGEMENT?
You will need this information for two reasons:
1)

The information in your record will help you (and your lawyer, if you have
one) decide which remedies you are eligible for (allowed to get), based on
your criminal history (such as expungement, reclassification, dismissal,
Certificate of Rehabilitation, or pardon); AND
2) To request the remedy you want, you (or your lawyer) will need to fill out
forms for the court or agency. You will need detailed information from your
2617
criminal record in order to fill out these forms.

WHERE DO I GET THIS INFORMATION FOR EXPUNGEMENT?
The best way to get this information is from your RAP sheet. You will need the
RAP sheet that has information on ALL of your convictions.
Choose the RAP sheet that has information on ALL of your cases:
•

•

•

Your local (county) RAP sheet will list only your cases in that county, so only
use this if ALL of your cases are from the SAME COUNTY (or if you only have
1 case). For information on getting your local county RAP sheet, see PG. 1042.
Your California (DOJ) RAP sheet will list all of your cases in California, so use
this if ALL of your cases are from the state of CALIFORNIA only. For
instructions on how to get your DOJ RAP sheet, see APPENDIX A, on
PG. 1106.)
Your FBI (federal) RAP sheet will list all of your cases from EVERY STATE as
well as FEDERAL offenses. Use this if you have cases from more than one
state or any federal convictions. For instructions on how to get your FBI RAP
sheet, see APPENDIX D, on PG. 1113.

You may also be able to obtain information on a case from the following
sources:
•

•

•

Your court papers from your case.
o BUT court papers will only contain information about that particular
case. If you have multiple cases, especially if they are from different
counties, it may be easier to get a copy of your full California RAP sheet
(or FBI RAP sheet, if you also have federal or out-of-state cases).
Your lawyer, parole agent, probation officer, or other people at the courts or
law enforcement agencies.
o BUT these people may only have limited information about your case, or
may have information about 1 case but NOT others, so it’s better to go
through the formal channels of getting your full RAP sheet.
The criminal court where your case was decided.
o BUT the court will only have information for cases from that county and
NOT other counties. If you only have cases from 1 county, make sure you
get copies of ALL of your court papers for ALL of your cases in that
county.

Now that you have your criminal records and you know what’s in them, you are
ready to begin cleaning them up!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2617

Cleaning Your Record, CALIFORNIA COURTS, http://www.courts.ca.gov/1070.htm.

PAGE 1049 OF 1210

ROADMAP TO REENTRY

CALIFORNIA “EXPUNGEMENT” OF STATE
CRIMINAL RECORDS
EXPUNGEMENT—GENERAL OVERVIEW
An expungement (also called a “dismissal”) is a way of cleaning up your record
2618
that limits the information that shows up in a background check
and can
relieve you of some of the consequences associated with your conviction.
WHAT EXPUNGEMENT DOES:
•
•
•

Prohibits information about the conviction from being included in some
background checks;
Releases you from most of the “penalties and disabilities” resulting from the
conviction;
Changes your record to show that the conviction was dismissed (but does
NOT remove the offense from your official criminal record (RAP) entirely).

WHAT
CONVICTIONS CAN BE EXPUNGED?
!
•
•
•
•
•

A conviction may qualify for expungement if:
You did NOT spend any time in prison for the offense; AND
You completed any term of supervision for the offense; AND
You are NOT currently charged with, serving a sentence for, or on a term of
supervision for another offense.
Note: Certain convictions are NEVER eligible for expungement.

HOW DO I GET AN EXPUNGEMENT?
•
•
•

You must file a petition with the court;
You may have a hearing where you will have to persuade a judge that you
deserve an expungement;
You may have to give the court documents that support your request, such
as letters of support, school transcripts, and diplomas or certificates.

WHAT IS “EXPUNGEMENT” IN CALIFORNIA?
Expungement (also called dismissal) is a way to clean up your record, by limiting
the criminal history information that certain people can see in your background
2619
check
and relieves you of some of the consequences associated with your
conviction.
An expungement is also called a “dismissal” because your case is actually
reopened by the court, the “finding of guilt” (your guilty or no contest plea, or
guilty verdict) is withdrawn, and a plea of not guilty is entered. The court will
then dismiss your case, and your record will be changed to show a dismissal
(under Cal. Penal Code § 1203.4) rather than a conviction.
Getting your conviction expunged hides the conviction from certain people
when they run a background check on you. For example, most private

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2618
2619

CAL. PENAL CODE § 1203.4.
CAL. PENAL CODE § 1203.4.

PAGE 1050 OF 1210

ROADMAP TO REENTRY

2620

employers are NOT allowed to see a conviction that has been expunged.
Additionally, most private employers CANNOT ask you about, or even consider,
2621
a conviction that has been expunged when you apply for a job.
For
information on how to get a conviction expunged, see PG. 1061.

!

IMPORTANT: Expungement does NOT erase the offense from your criminal
record or RAP sheet. But it DOES change your record
2622
to show that the conviction was dismissed.

WHAT DOES EXPUNGEMENT DO?
•
•

•
•

•
•

An expungement makes it so that most private employers CANNOT see the
expunged conviction when they run a background check on you.
On job applications for (most) private employers, if you are asked if you have
2623
any convictions, you can answer NO.
o NOTE: On applications for certain jobs, you MUST report convictions
even if they have been expunged. (For more information about who can
still see or ask about expunged convictions, see PG. 1052.
o Several California cities and counties have passed “Ban the Box” laws
that prohibit employers from asking about convictions on a job
application. If you are applying for a job in a location where a Ban the
Box law is in effect, the application should not ask about any
convictions. For more information on Ban the Box laws, see the
EMPLOYMENT CHAPTER, on PG. 643.
Anyone else who does see the expungement will see it as a dismissal instead
of a conviction, which is less alarming.
If you apply for a professional or occupational license or certification, an
expungement can help your chances because it is seen as evidence of
2624
rehabilitation.
(Although the licensing board will still be able to see that
there was a conviction that was dismissed.) For more information on
licensing and certification, see the EMPLOYMENT CHAPTER, on PG. 643.
An expungement may also be seen as evidence of rehabilitation when you
2625
apply for housing.
Learn more in the HOUSING CHAPTER, PG. 417).
If you were denied federal student loans because of a drug conviction, you
2626
will become eligible again after an expungement.
For more information
about regaining eligility for federal aid after a drug conviction, see the
EDUCATION CHAPTER, on PG. 975, and EDUCATION CHAPTER:
Appendix B, on PG. 997).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. CIV. CODE § 1786.18.
CAL. LAB. CODE § 432.7.
CAL. PENAL CODE § 1203.4; see Cleaning Your Record, CALIFORNIA COURTS, http://www.courts.ca.gov/1070.htm.
2623
CAL. PENAL CODE § 1203.4(a) [by exclusion]; see also Dealing With Criminal Records in Alameda County Self-Help
Manual, EAST BAY COMMUNITY LAW CENTER (2005), http://ebclc.org/documents/AlamedaCountyCriminalRecordsSelfHelpManual-SP2005.pdf.
2624
CAL. BUS. & PROF. CODE § 480(b).
2625
CAL. CIV. CODE § 1786.12; cf. 24 C.F.R. § 960.203 (for public housing, PHA must consider specific mitigating
factors (time, nature, extent, seriousness of applicant’s conduct) and may consider evidence of rehabilitation. Note:
For government assisted programs, PHAs are only encouraged—but not required—to consider mitigating factors);
cf. 24 C.F.R. § 982.553(d); 24 C.F.R. §§ 5.903(f), 5.905(d) (If PHA proposes to deny housing based on applicant’s
criminal record, it must first give applicant the opportunity to dispute accuracy and relevance of information); cf. 24
C.F.R. §§ 982.552(c)(2), 5.852 (suggested factors to be considered with criminal convictions. Note: This nonexhaustive list does NOT expressly include dismissal/expungement/record cleaning remedies; see also, Lawrence R.
McDonough & Mac McCreight, Wait a Minute: Slowing Down Criminal Activity Eviction Cases to Find the Truth, 41
CLEARINGHOUSE REV. 55, 76 (May-June 2007).
2626
Students with Drug Convictions Have Limited Eligibility for Federal Student Aid, FEDERAL STUDENT AID,
https://studentaid.ed.gov/eligibility/criminal-convictions.
2620
2621
2622

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!

IMPORTANT: If you are a non-citizen and you have been convicted of a
DUI offense, getting your conviction expunged might have special
immigration benefits for you. It’s recommended that you contact a lawyer
immediately if you have a DUI and you are a non-citizen. The Lawyers’
Committee for Civil Rights runs the Immigration Post-Conviction Relief
Project, which is dedicated to helping people in this situation for free.
Contact the Lawyer’s Committee by phone at (415) 543-9444 or email at
info@lccr.com. You can also try to find a lawyer to help you from the legal
aid list on PG. 1190.

WHAT DOES EXPUNGEMENT NOT DO?
•

•
•
•

•

•
•
•

•

Expungement DOES NOT remove the offense from your criminal history—it
will still show up on your RAP sheets, but it will show that the conviction was
2627
dismissed.
Expungement DOES NOT seal the court file from public access, so someone
2628
can still see the conviction if they look up court records from your case.
If you face criminal charges in the future, the expunged conviction still counts
2629
as a prior conviction;
Under California’s 3 Strikes law, the expunged conviction still counts as a
“strike” if the underlying offense was a “strike.” This means the expunged
conviction can still count against you if you have a new criminal case under
2630
the 3 Strikes law.
Expungement does NOT restore your right to possess a firearm if you lost
this right due to your conviction. This means you can still be charged with
“felon in possession” offenses if the conviction caused you to lose your gun
2631
rights.
If your conviction required you to register as a sex offender, you will still have
2632
to register after the conviction is expunged.
Expungement will NOT prevent the DMV from suspending or revoking your
2633
driver license based on the underlying offense.
You will still have to disclose your conviction when applying for certain types
of jobs, such a law enforcement or working with children, and employers in
these areas can still consider your expunged conviction when deciding
whether to hire you. (For more information, see the EMPLOYMENT CHAPTER,
on PG. 643.)
You will still have to disclose your conviction when applying for governmentissued licenses (such as professional or occupational licenses or certificates),
and licensing agencies can still consider an expunged conviction when
2634
deciding whether to issue you a license.
However a professional or
occupational licensing board CANNOT deny your license based solely on a

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 1203.4.
See, e.g., People v. Sharman, 17 Cal. App. 3d 550 (Ct. App. 1971);
CAL. PENAL CODE § 1203.4(a)(1).
2630
CAL. PENAL CODE § 1203.4(a)(1) (“However, in any subsequent prosecution of the defendant for any other offense,
the prior conviction may be pleaded and proved and shall have the same effect as if probation had not been
granted or the accusation or information dismissed.”)
2631
CAL. PENAL CODE §§ 1203.4(a)(2), 29800 et seq.
2632
CAL. PENAL CODE § 290.007 (“Any person required to register pursuant to any provision of the Act shall register in
accordance with the Act, regardless of whether the person’s conviction has been dismissed pursuant to Section
1203.4, unless the person obtains a certificate of rehabilitation and is entitled to relief from registration pursuant to
Section 290.5.”).
2633
CAL. PENAL CODE §§ 1203.4; CAL. VEH. CODE § 13555.
2634
CAL. PENAL CODE § 1203.4(a)(1).
2627
2628
2629

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2635

•
•

conviction that was expunged.
(For more information, see the
EMPLOYMENT CHAPTER, on PG. 690.)
Expungement does NOT restore your right to hold public office if you lost this
2636
right due to your conviction.
Expungement does NOT remove the immigration consequences of your
conviction, so Immigration & Customs Enforcement (ICE) can still use the
2637
expunged conviction for removal or exclusion.
Talk to an immigration
attorney for help if you have this issue!

WHO CAN SEE MY RECORD—EVEN IF IT IS EXPUNGED?
Anyone with access to your RAP sheet will still see your expunged convictions
(see SIDE BOX). This includes law enforcement agencies, courts, licensing
boards, and certain employers. You must disclose expunged convictions if you
2638
are applying for a job in certain fields such as law enforcement,
2639
2640
healthcare,
or banking,
or if you want to apply for a professional or
2641
occupational license of any kind.
Public Housing Authorities (PHAs), which
run many government-assisted housing programs can also consider convictions
that have been expunged.
2 THINGS TO KNOW:
•

•

Certain employers and most licensing agencies are required to ask about
expunged convictions—and you MUST disclose this information if they do.
However, these groups will also understand what an expungement means—
they will know that you are making an effort to clean up your record by
having the original conviction expunged.
Although it is illegal for most private employers to ask about or consider
2642
expunged convictions when making hiring decisions,
be prepared for
unethical or uninformed employers to access and use this information
anyway. For more information about what to do in this situation, see the
EMPLOYMENT CHAPTER, on PG. 643.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. BUS. & PROF. § 480(a)(1).
CAL. PENAL CODE § 1203.4(a)(3).
Frequently Asked Questions, LA COUNTY PUBLIC DEFENDER OFFICE, http://pd.co.la.ca.us/faqs_Expungement.html;
Expungement (PC1203.4/1203.4a), OFFICE OF THE PUBLIC DEFENDER FOR SAN DIEGO COUNTY,
http://www.sandiegocounty.gov/public_defender/expungement.html.
2638
CAL. LAB. CODE § 432.7(b).
2639
CAL. LAB. CODE § 432.7(f).
2640
12 U.S.C. § 1829.
2641
CAL. PENAL CODE § 1203.4(a)(1).
2642
CAL. CODE REGS. tit. 2, § 7287.4(d)(1)(B); CAL. LAB. CODE § 432.7(a).
2635
2636
2637

PAGE 1053 OF 1210

ROADMAP TO REENTRY

CAN A PRIVATE EMPLOYER FIND OUT ABOUT MY EXPUNGED
CONVICTION?
Maybe. There are two ways that a private employer might find out about your
expunged conviction:
•

•

Even though background check companies are NOT allowed to report
expunged convictions to employers, it is possible that a company might
include this information in your background check anyway;
If an employer does its own “in-house” background check on you, they may
find the information in (public) court records about your case. Remember,
expungement does NOT seal the court records from your case, so someone
could still look up the original conviction in your files. However, it is still
illegal for most private employers to consider an expunged conviction, even
if they learn about it through public records.

WHAT TYPES OF CONVICTIONS CAN BE EXPUNGED?
Under the law, only certain types of convictions can be expunged. Generally, the
following types of convictions qualify for expungement:
1) the CONVICTION is for:
a. An Infraction,
b. A Misdemeanor, or
c. A Felony “wobbler” (with NO prison time);
AND
NO
2) the SENTENCE imposed was:
EXPUNGEMENT
a. County jail time,
IF YOU SERVED
b. Probation,
PRISON TERM:
c. A fine, or
2643
Unfortunately,
you
d. A combination of these.
will not be able get
This means that as long as you were sentenced only to pay a fine,
a conviction
serve a term of probation, or serve time in county jail—even for a
expunged if you
felony “wobbler”—your conviction may be eligible for
spent any time in
expungement.
state prison (or
In addition, YOU must meet certain requirements for your
conviction to be eligible for expungement. In general, your
conviction qualifies for expungement if:
•
•
•

You did NOT spend any time in prison for the offense; AND
You are OFF probation or other type of supervision; AND
You are NOT currently charged with, serving a sentence for, or
on a term of supervision for another offense.

Note: Certain convictions are NEVER eligible for expungement.
For information about the two types of Cailfornia expungement
and the specific requirements for each one, see PG. 1057.

!

IMPORTANT: You must be OFF PROBATION or any other
form of supervision to be eligible for expungement!2644

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2643
2644

CAL. PENAL CODE §§ 1203.4, 1203.4a.
CAL. PENAL CODE §§ 1203.4(a)(1), 1203.4a.

PAGE 1054 OF 1210

county jail on a
prison sentence) for
the offense.
However, this only
stops you from
getting an
expungement for
the specific
conviction(s) that
you served a prison
sentence for. If you
have other
convictions that you
did NOT serve a
prison sentence for,
you may still be
eligible to have
these convictions
expunged.

ROADMAP TO REENTRY

If you are still on probation and want to get your conviction expunged, you must
first ask a judge to grant you early release (“early discharge”) from probation
BEFORE requesting an expungement. For more information on requesting early
release from probation, see PG. 1062.

!

IMPORTANT! Some convictions are NEVER ELIGIBLE for expungement.
They are:
• Any conviction where you SERVED a prison term (or any other facility
run by CDCR, including prison camps and prison hospitals)—no matter
what your conviction was for!
• Violations of the following code sections:
o Any infraction under California Vehicle Code section 42001
(violations of any local ordinance, minor traffic tickets, pedestrian
and bicycle offenses);
o Any misdemeanor under California Vehicle Code section 42002.1
(failing to stop and submit to vehicle inspection, refusing to
comply with orders from law enforcement officer or firefighter,
unsafe condition that endangers a person);
o Any conviction (felony or misdemeanor) under California Penal
Code sections 286(c), 288, 288a(c), 288.5, 289(j), 311.1, 311.2,
311.3, 311.11; or a felony conviction under California Penal Code
sections 261.5(d).2645

BECAUSE I HAVE A FELONY CONVICTION, BUT NEVER WENT TO
PRISON FOR IT, CAN I GET IT EXPUNGED?
Maybe. If you were convicted of a felony, but you were NOT
sentenced to serve a state prison term, your offense is called a
“wobbler.” A wobbler is an offense that can be charged as either a
misdemeanor or a felony, so the offense “wobbles” between the two
offense categories. If you were convicted of a felony wobbler AND
you were NOT sentenced to a state prison term, your offense is
probably eligible for expungement.
Wobblers are eligible for expungement if:
•
•
•
•

2646

You were NOT sentenced to a state prison term for the offense;
You were NOT sent to prison for a violation while on probation for
the offense;
You were NOT convicted of an offense that is NEVER eligible for
expungement (see PG. 1055); AND
You otherwise meet the requirements for expungement (for
information on the two types of expungement and their
requirements, see PG. 1057).

IS IT A
“WOBBLER”?
You can find out if
your conviction is a
wobbler by
checking the
California Penal
Code section
reported on your
RAP sheet. If the
code states that the
crime is punishable
either a fine, time in
the county jail, time
in state prison, or
any combination of
these, your offense
is considered a
wobbler.

If you meet the above requirements, your felony should be eligible
for expungement.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2645
2646

CAL. PENAL CODE § 1203.4.
CAL. PENAL CODE § 1203.4.

PAGE 1055 OF 1210

ROADMAP TO REENTRY

BECAUSE I HAVE A FELOY CONVICTION THAT WAS SENTENCED
TO COUNTY JAIL UNDER CALIFORNIA’S REALIGNMENT ACT
INSTEAD OF STATE PRISON, CAN I GET IT EXPUNGED?
Maybe. If you were convicted of a felony and sentenced to county jail instead of
state prison (called a “County Jail Felony”) under California’s Realignment
2647
Act,
you may be eligible for expungement under California’s newest
2648
expungement law.
This law is specifically intended for people who were
sentenced under Realignment.
To be eligible for expungement of your Realignment felony, you must:
•
•
•
•

Have served your entire sentence in county jail—NOT state prison;
Have completed your entire sentence—including any probation or community
supervision;
Paid all of your fines and fees; AND
Not have any new charges pending, not be serving a sentence on a new
case, and not be on probation for another case.

What is a SPLIT sentence vs. a STRAIGHT sentence?
Under California’s Realignment Act, people who are sentenced to county jail
instead of prison for felony convictions, can be sentenced in two ways:
•!

•

Straight sentence—a person is sentenced to serve their entire sentence in
custody. When they are released, they have completed their entire sentence
and are not required to serve any term of supervision.
Split sentence—a person is sentenced to spend a portion of their time in
custody and the remainder under community supervision (mandatory
supervision).

Additionally, BEFORE you can get your conviction expunged, you must wait a
certain amount of time after completing your sentence:
•
•

If you had a split sentence, you must wait 1 year after the completion of your
sentence.
If you had a straight sentence, you must wait 2 years after the completion of
2649
your sentence.

Finally, expungement under this statute is entirely discretionary, meaning it is up
to the judge to decide whether or not your conviction should be expunged. For
this reason, you should be prepared to bring any evidence you can to show the
judge that you deserve to have your conviction expunged. (For more information
on discretionary expungements, see PG. 1058.)

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2647
2648
2649

CAL. PENAL CODE § 1170(h).
CAL. PENAL CODE § 1203.41.
CAL. PENAL CODE § 1203.41(a)(2).

PAGE 1056 OF 1210

ROADMAP TO REENTRY

IMPORTANT: What an expungement will NOT do.

!

Even if you have your Realignment felony expunged:
• It will still count as a “prior” conviction in a future prosecution;2650
• You still have to report it as a conviction to licensing agencies and on
applications for positions in public office;2651
• It does NOT restore your gun rights, so you can still be charged under
“felon in possession” laws;2652
• It does NOT restore your right to hold public office (if you lost this
right due to your conviction).2653

WHAT ARE THE DIFFERENT TYPES OF EXPUNGEMENT AND
WHAT DO THEY REQUIRE?
There are 2 types of expungements: Mandatory and Discretionary.
•
•

Mandatory expungement is automatic, meaning the judge MUST expunge
your conviction if you meet all the requirements.
Discretionary expungement means that it is up to the judge whether or not
you deserve to have your conviction expunged. You still have to meet certain
requirements, but you do NOT have to meet all of the requirements like you
do for mandatory dismissal.

MANDATORY EXPUNGEMENT
If your conviction is eligible for expungement AND you meet certain additional
requirements, the law says that the judge MUST dismiss your conviction. There
are 2 situations where you can get MANDATORY expungement of your
2654
conviction:
SITUATION #1—If you received PROBATION…
2655

Your conviction MUST be expunged if ALL of the following apply to you:
•
•

Your conviction was for a misdemeanor or felony “wobbler”; AND
You received probation as part of your sentence, AND:
o You successfully completed probation AND paid all the fines, restitution,
and reimbursements ordered by the court as part of your sentence, OR
2656
o You received early release from probation;
AND

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 1203.41(b)(1).
CAL. PENAL CODE § 1203.41(b)(2). You must also report the conviction on applications for contracting with the
California State Lottery Commission.
2652
CAL. PENAL CODE § 1203.41(b)(3).
2653
CAL. PENAL CODE § 1203.41(b)(4).
2654
CAL. PENAL CODE § 1203.4(a) (“In any case in which the defendant has fulfilled the conditions of probation for the
entire period of probation, or has been discharged prior to the termination of the period of probation, or in any
other case in which a court, in its discretion and the interests of justice, determines that a defendant should be
granted relief available under this section, the defendant shall, at any time after the termination of the period of
probation, if he or she is not then serving a sentence for any offense, on probation for any offense, or charged with
the commission of any offense, be permitted by the court to withdraw his or her plea of guilty or plea of nolo
contendre and enter a plea of not guilty.”).
2655
CAL. PENAL CODE § 1203.4(a).
2656
People v. Butler, 105 Cal. App. 3d 585 (Ct. App. 1980) (defendant discharged early from probation was entitled
to mandatory dismissal of conviction, despite owing unpaid restitution).
2650
2651

PAGE 1057 OF 1210

ROADMAP TO REENTRY

•
•

You are NOT currently serving another sentence or under supervision for
another offense; AND
You are NOT currently charged with another offense.

SITUATION #2—If you did NOT receive PROBATION…
Your conviction MUST be expunged if ALL of the following apply to you:
•
•
•

•
•
•

2657

Your conviction was for an infraction or misdemeanor; AND
You did NOT receive probation as part of your sentence, AND
You have fully complied with the requirements of your sentence (including
paying all restitution, fines, and reimbursements that were part of your
sentence); AND
One year has passed since the date of your conviction; AND
You are NOT currently serving another sentence or under supervision for
another offense; AND
You are NOT currently charged with another offense.

If you are in either of the situations above, you are eligible for MANDATORY
expungement.
DISCRETIONARY EXPUNGEMENT
If your conviction is eligible for expungement, but you do NOT meet the
requirements for mandatory expungement, you may still get a DISCRETIONARY
expungement for your conviction—but it will be up to the judge to decide.
2658

The judge MAY expunge your conviction if:
(1) You were convicted of an infraction, misdemeanor, or felony
“wobbler”;
AND
(2a) You received probation AND
# You did NOT complete all the conditions of probation (including
paying off your restitution obligations, or you violated other
conditions of your probation); AND
2659
# You did NOT get an early release from probation;
OR
(2b) You received probation for a conviction of any offense listed in
California Vehicle Code sections 12810(a) to (e) (certain serious traffic
2660
violations)
;
OR
(2c) You did NOT receive probation AND
# You did NOT complete all the requirements of your sentence; AND
2661
# One year has passed since your conviction.
AND
(3) You are NOT currently charged with, under supervision for, or serving
a sentence for any other offense.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 1203.4(a).
CAL. PENAL CODE § 1203.4(a); see Dealing With Criminal Records in Alameda County Self-Help Manual, EAST BAY
COMMUNITY LAW CENTER (2005), http://ebclc.org/documents/AlamedaCountyCriminalRecords-SelfHelpManualSP2005.pdf.
2659
CAL. PENAL CODE § 1203.4(a).
2660
CAL. PENAL CODE § 1203.4(c)(2).
2661
CAL. PENAL CODE § 1203.4a(b).
2657
2658

PAGE 1058 OF 1210

ROADMAP TO REENTRY

IMPORTANT: Restitution Payments & Discretionary Expungement.

!

Although the judge is allowed to grant you a discretionary expungement
if you still owe restitution, fines, or other payments ordered by the
court,2662 it can be much more difficult to get your conviction expunged if
you have not made these payments (especially victim restitution). The
judge will probably want to see that at least you have been making
efforts to pay your debts, even if you still owe money. For more
information on paying restitution, fines, and other fees, see the COURTORDERED DEBT CHAPTER, begnining on PG. 755. It’s also good to
contact lawyer to get advice on your individual case, since restitution is
different for every case. See the list of legal aid providers to find a lawyer
who may be able to assist you on PG. 1190.
In order to grant a discretionary dismissal, the judge must find that is “in the
2663
interests of justice” to do so.
This means you will need to show a very
convincing reason why you deserve to have your conviction expunged. You
should give the court as much helpful information as possible (including
evidence of rehabilitation) to persuade the judge to decide in your favor!
AUTOMATIC “EXPUNGEMENTS”
In a handful of limited cases involving certain types of drug convictions, your
record will be cleared automatically, and you will not have to go through any
special court process to get an expungement. This happens in 2 situations:
•

•

If the judge suspended your sentence (called deferred entry of judgment) and
ordered you to do a drug-treatment program (drug diversion) instead, and
you successfully completed the program.
If you have a minor marijuana conviction for simple possession, and your
conviction is more than 2 years old.

For more information about automatically cleaning your record in these 2
situations, see PG. 1061.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2662
2663

See, e.g., People v. Holman, 214 Cal. App. 4th 1438 (2013); People v. Guillen, 218 Cal. App. 4th 975 (2013).
CAL. PENAL CODE § 1203.4(a); see also People v. McLernon, 174 Cal. App. 4th 569 (2009).

PAGE 1059 OF 1210

ROADMAP TO REENTRY

CHART: WHICH TYPE OF EXPUNGEMENT AM I ELIGIBLE FOR?
REMEMBER, YOU ARE NOT ELIGIBLE FOR EXPUNGEMENT IF YOU SPENT TIME IN STATE PRISON FOR YOUR
CONVICTION, OR IF YOUR CONVICTION IS FOR ANY OF THE OFFENSES THAT ARE NEVER ELIGIBLE FOR
EXPUNGEMENT (SEE PG. 1055).
Requirement

MANDATORY
(Situation 1—
Probation)

MANDATORY
(Situation 2—NO
probation)

DISCRETIONARY

DISCRETIONARY
(Realignment
Felony)

Here is a list of requirements that you must meet for each type of expungement:
What type of
conviction did you
have?

Misdemeanor or
felony “wobbler”

Infraction or
misdemeanor

(But NOT for an
offense that is
never eligible)

Infraction,
misdemeanor, or
felony “wobbler”—
including violations
of Vehicle Code
§ 12810(a)-(e)
(serious traffic
violations)

Realignment felony
(county jail felony)

(But NOT for other
offenses that are
never eligible)
Did your sentence
include probation?

YES

NO

YES

(does not matter)

Did you
successfully
complete ALL
probation and/or
sentencing
requirements
(including all
restitution & fine
payments)?

If you were
discharged at end
of your probation
term (not early)—
YES

YES

NO (and you did
NOT receive early
discharge)

YES

NOT currently
serving another
sentence, on
probation/parole,
or charged with
another offense

YES

YES

YES

YES

How much time
has passed since
your conviction?

(no waiting period)

1 year

(no waiting period)

* 1 year if split
sentence
* 2 years if straight
sentence

!

PAGE 1060 OF 1210

If you were
discharged early
from probation—NO

ROADMAP TO REENTRY

GETTING YOUR CONVICTION EXPUNGED
The following information will guide you through the general process of
requesting an expungement in California, but it is always a good idea to get a
lawyer’s help to make sure you get the best results. There are many
expungement clinics across the state that offer free services and advice. For a
list of expungement clinics and legal aid organizations that offer expungement
services, see PG. 1190.
A NOTE ABOUT COURT FEES: Be aware that the court will charge you fees for
filing documents with the court. The amount of the fees will vary by county. If
you cannot afford to pay the fees, you can request a fee waiver (meaning you
may not have to pay the fees). Ask the clerk how much the fees are and how to
request a fee waiver.

I BELIEVE I AM ELIGIBLE FOR A MANDATORY OR
DISCRETIONARY EXPUNGEMENT. HOW DO I GET ONE?
In most cases, you will need to file papers in court and ask a judge to expunge
your conviction. This process is called filing a Petition for Dismissal, and is
basically the same for both mandatory and discretionary expungements, with a
few small differences. You will need to file the proper forms in the court where
you were convicted, and you may have a hearing in front of a judge (especially if
you are requesting a discretionary expungement).
For a detailed explanation of each step, see APPENDIX K, on PG. 1125.

!

IMPORTANT: If you have convictions from multiple cases, you will need
to file a separate petition for each case.

IF MY CONVICTION IS ELIGIBLE TO BE EXPUNGED
AUTOMATICALLY, HOW DOES THIS HAPPEN?
Under the law, certain drug convictions will be expunged from your record
automatically, without you having to file a petition in court. This happens in the
following 2 situations:
2664

1)

Successful completion of a drug diversion program:
a. In some cases, if you were charged with a drug offense, the judge
will suspend your sentence so that you can complete drug
treatment instead of going to jail.
b. If the judge suspended your sentence and ordered you to do a drugtreatment program (drug diversion), and you successfully completed
the program, your records will be automatically expunged.
c. NOTE: This remedy is available ONLY if you were given drug
diversion by the court AND you successfully completed all courtordered requirements. If you did NOT complete your requirements,
or you were NOT actually given diversion by the court, then the
conviction will still be on your record (even if you completed a drug
treatment program on your own).
2665
2) Minor Marijuana Convictions:

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2664

CAL. PENAL CODE § 1000 et seq.

PAGE 1061 OF 1210

ROADMAP TO REENTRY

a.

If you have a minor marijuana conviction on your record, your record
will be cleaned automatically if:
i. Your conviction was for “simple possession” of marijuana;
AND
ii. The conviction occurred after January 1, 1976; AND
iii. The conviction is more than 2 years old.
b. After 2 years, all records relating to your arrest and conviction will
be destroyed. You will be able to say that you have NO arrests or
convictions for this case.
c. NOTE: This automatic erasure of minor marijuana convictions is
ONLY for convictions related to possession of less than 1 ounce
(28.5 grams) of marijuana for personal use. If your conviction was
for cultivation, sales, or transportation of marijuana, it will NOT be
erased automatically.
NOTE: As of January 1, 2011, simple possession of marijuana is no longer a
2666
misdemeanor offense; it is now only an infraction.
Although minor marijuana
infractions are supposed to be erased automatically just like other minor
marijuana (misdemeanor) convictions, in practice, this doesn’t always happen! If
you find that your marijuana infraction has NOT been erased from your record,
you will need to contact the court clerk at the court that handled your case and
ask him or her to (1) correct your criminal record and (2) destroy all arrest and
conviction records from your case.

BECAUSE I AM STILL ON PROBATION AND NEED TO BE OFF TO
HAVE MY CONVICTION EXPUNGED, IS THERE ANYTHING I CAN DO
TO GET OFF EARLY?
Yes. Under California law, you can ask the judge to release you early from your
2667
probation term (called “early discharge”).
Although courts often sentence
people to several years on probation (for example, 3-4 years for a misdemeanor),
many people are able to complete all of their probation requirements (all of the
things the court has ordered them to do—such as attend counseling or pay
restitution) long before their time is up. For this reason, courts are often willing
to release people early from their probation. For more information about
probation terms and conditions, see the PAROLE & PROBATION CHAPTER, on
PG. 130.
You can request early release from probation whether you are on informal
probation (also called court probation), formal probation, or mandatory
2668
supervision. The process is the same for all three.
However. early release
from supervision in order to get your conviction expunged ONLY applies if you
are on informal or formal PROBATION or Mandatory Supervision. It does NOT
apply if you are on parole or PRCS. Although you CAN get off parole and PRCS
early, you still CANNOT get your conviction expunged because you will have
served a prison sentence for it.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
CAL. HEALTH & SAFETY CODE §§ 11361.5, 11361.7. Note: Even if the records are not physically destroyed, they will
no longer have any legal effect after 2 years.
2666
CAL. HEALTH & SAFETY CODE § 11357(b).
2667
CAL. PENAL CODE § 1203.3(a) (“The court may at any time when the ends of justice will be served thereby, and
when the good conduct and reform of the person so held on probation shall warrant it, terminate the period of
probation, and discharge the person so held.”).
2668
CAL. PENAL CODE § 1203.3(a).
2665

PAGE 1062 OF 1210

ROADMAP TO REENTRY

For more information about the difference between formal and informal
probation, PRCS, and parole, see the PAROLE & PROBATION CHAPTER, on
PG. 130. For more information about getting released early from PRCS, see
PG. 1064, or see also the PAROLE & PROBATION CHAPTER, on PG. 130.

WHAT IS THE PROCESS FOR REQUESTING AN EARLY RELEASE
FROM PROBATION SO THAT I CAN PURSUE EXPUNGEMENT?
To request early release from probation, you will need to file a Motion for Early
Termination of Probation in the court where you were convicted. Because this
process requires drafting a formal court pleading with accompanying
documents, we recommend that you ask a lawyer for help. Ideally, you should
contact the lawyer who represented you when you were sentenced, but any
private criminal defense lawyer or Public Defender should be able to
help you.
NEED HELP WITH
YOUR COURT
Requesting an early release from probation will involve filing a
FORMS?
Motion for Early Termination of Probation. You will have a hearing
Remember,
it is
where you will need to convince the judge that you deserve to be
recommended
that
discharged from your probation term early.
For complete details on each step of the process for requesting an
early release from probation, see APPENDIX P, on PG. 1135.
You will have the best chance of getting released early from
probation early if:
•
•
•

2669

You have not violated your probation in any way;
You have completed the requirements of your probation (finished
2670
all classes, paid all restitution and fines, etc.);
AND
You are at least halfway through your probationary period (i.e. 1
2671
½ years of a 3-year probation).

For more information about probation conditions and requirements,
see the PAROLE & PROBATION CHAPTER, on PG. 130. For more
information about paying court-ordered restitution and fines, see the
COURT-ORDERED DEBT CHAPTER, on PG. 755.

ask a lawyer to help
you with your
Motion for Early
Termination forms.
But if you cannot
get a lawyer or want
to do it on your own,
you can find helpful
information on the
California Courts
website:

• Cleaning up your
record—
http://www.courts.
ca.gov/1070.htm
• Understanding
the basics of court
forms—
http://www.courts.
ca.gov/1078.htm.

Courts also often consider other positive efforts that you have made
2672
in your life, such as:
•
•
•

2673

Employment or efforts to find a job;
2674
Community service or volunteer work;
and
2675
Educational pursuits and school accomplishments.

For this reason, you should make every effort to look for a job, volunteer, or go
back to school, and you should emphasize these efforts and accomplishments in

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

People v. Guillen, 218 Cal. App. 4th 975, 982-83 (2013); People v. Hawley, 228 Cal. App. 3d 247, 249 (Ct. App.
1991).
2670
People v. Hawley, 228 Cal. App. 3d 247 (Ct. App. 1991); People v. Guillen, 218 Cal. App. 4th 975 (2013); People v.
Holman, 214 Cal. App. 4th 1447-48 (2013).
2671
People v. Hawley, 228 Cal. App. 3d 247 (Ct. App. 1991); People v. Guillen, 218 Cal. App. 4th 975 (2013). See also
Early Termination of Probation in California, CALIFORNIA EXPUNGEMENT HELP,
http://californiaexpungementhelp.com/early-termination-of-probation/.
2672
Motion for Early Termination of Probation, AVVO, http://www.avvo.com/legal-guides/ugc/terminating-probation.
2673
People v. Guillen, 218 Cal. App. 4th 975 (2013); People v. Holman, 214 Cal. App. 4th 1447-48 (2013).
2674
People v. Guillen, 218 Cal. App. 4th 975 (2013).
2675
People v. Holman, 214 Cal. App. 4th 1447-48 (2013).
2669

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ROADMAP TO REENTRY

your Motion for Early Termination. For more information on finding work and
getting a job, see the EMPLOYMENT CHAPTER, on PG. 625. For more
information on educational opportunities, see the EDUCATION CHAPTER, on
PG. 906.
Finally, the judge may consider:
1)
2)
3)
4)

The severity of your conviction and conduct;
Your complete criminal history (i.e., other convictions on your record);
the prosecutor’s opinion; and
how much hardship it will cause you to remain on probation (for example,
whether being on probation is making it difficult for you to find work,
2676
reconnect with your family, apply for loans, or go back to school).

BECAUSE I AM STILL ON POST-RELEASE COMMUNITY
SUPERVISION (PRCS), AND NEED TO BE OFF TO HAVE MY
CONVICTION EXPUNGED, IS THERE ANYTHING I CAN DO TO GET
OFF EARLY?
Yes. Under the Realignment law, the maximum amount of time that you can be
on Post-Release Community Supervision is 3 years (not including any time that
2677
your PRCS was revoked or suspended).
However, you can be released early
in 2 situations:
Six months/No violations—If you have been on PRCS for 6 straight months
2678
with no violations, you may ask for an early release.
The process for
requesting early release from PRCS is very similar to the process for
requesting early release from regular probation (see APPENDIX P, on
2679
PG. 1135):
a. You will need to write a motion requesting an early release from
2680
PRCS, and file it in court in the county where you are on PRCS.
The main difference when you request an early release from PRCS is
that the court will ask your probation officer for a probation report
2681
and use it to decide whether or not to release you early.
If you
have been on PRCS for less than one year, it is entirely up to the
judge whether or not to release you early, based on your motion and
2682
on what is in your probation report.
2) One year/No violations—If you have been on PRCS continuously for 1 year
with no violations, you will automatically be discharged early, within 30 days
2683
after your 1-year anniversary.
a. the probation department does NOT discharge you automatically
after If this time, you may need to file a motion in court asking the
judge to discharge you. Ask a lawyer for help if you are in this
situation. For a list of legal aid organizations that may be able to
help, see PG. 1190.
1)

!

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

People v. Guillen, 218 Cal. App. 4th 975 (2013). See also Motion for Early Termination of Probation, AVVO,
http://www.avvo.com/legal-guides/ugc/terminating-probation.
2677
CAL. PENAL CODE §§ 1203.2(b), 3455(c), 3456(a)(1).
2678
CAL. PENAL CODE §§ 1203.2(b), 3456(a)(2).
2679
CAL. PENAL CODE § 1203.2(b).
2680
CAL. PENAL CODE §§ 1203.2(b), 3456(a)(2).
2681
CAL. PENAL CODE § 1203.2(b).
2682
CAL. PENAL CODE §§ 1203.2(b) & 3456(a)(2).
2683
CAL. PENAL CODE § 3456(a)(3).
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A Note About Early Release From Probation & Getting a Conviction
Expunged in Court at The Same Time:
Generally, early release from probation and expungement of the underlying
conviction go hand in hand. They usually happen at the same court appearance,
one right after the other. You will file both a Motion for Early Termination of
Probation (see APPENDIX P, on PG. 1135) and a Petition for Dismissal (see
APPENDIX K, on PG. 1125). If the judge grants your Early Release from Probation
motion, he or she will probably grant your Dismissal Petition also (as long as you
meet all the other expungement requirements), so you could be off probation
AND have your conviction expunged by the end of the day!

REDUCING FELONIES TO MISDEMEANORS
Certain felony convictions can be reduced to misdemeanors on your record. You
can do this as part of getting the conviction expunged, or you may be able to do
it separately, even if you DON’T get the conviction expunged.
Whether or not you get the conviction expunged, reducing your felony to a
misdemeanor will help you to clean up your record, and has other benefits,
including:
•
•
•

making the conviction look less serious on your criminal record;
allowing you to say that you’ve never been convicted of a felony on certain
job, housing, and other applications; AND
restoring some of the rights you may have lost due to your conviction—such
as the right to possess a gun and the right to serve on a jury.

This section explains the benefits of having your felony conviction reduced to a
misdemeanor, what penalties may still affect you afterward, and the steps for
getting your felony conviction reduced to a misdemeanor.

WHICH FELONY CONVICTIONS CAN BE REDUCED TO
MISDEMEANORS?
If you were convicted of a felony, your conviction can be reduced to a
misdemeanor if ALL of the following apply:
2684

1)

You were NOT sentenced to state prison
OR county jail instead of state
2685
prison under California’s Realignment Act
(in other words, your felony
was a “wobbler” offense); AND
2686
2) You were sentenced to PROBATION.
NOTE THAT CERTAIN OFFENSES, referred to as “straight felonies,” can
NEVER be reduced to misdemeanors. These “straight felonies” can only
2687
ever be charged and sentenced as felonies.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

People v. Mauch, 163 Cal. App. 4th 669, 676 (Ct. App. 2008).
CAL. PENAL CODE § 1170(h); see Criminal Justice Realignment Frequently Asked Questions, CAL. JUDICIAL BRANCH,
(rev. Apr. 2014), http://www.courts.ca.gov/partners/documents/cjr_faq.pdf. See Criminal justice Realignment Will
Affect Felony Sentencing, County Jail Credit, Postrelease Supervision and Parole, CALIFORNIA CONTINUING EDUCATION
OF THE BAR, http://ceb.com/lawalerts/Criminal-Justice-Realignment.asp.
2686
CAL. PENAL CODE § 17(b)(3).
2684
2685

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WHAT IS A “WOBBLER” AND WHY IS IT IMPORTANT FOR
EXPUNGEMENT?
If you were convicted of a felony, but were NOT sentenced to a state prison term
(or county jail under California’s Realignment Act), your offense is called a
“wobbler.” A wobbler is an offense that can be charged as either a misdemeanor
or a felony, so the offense “wobbles” between the two offense categories. You
can find out if your conviction is a wobbler by reading the California Penal Code
section that is listed on your RAP sheet. If it says that the offense is punishable
by a fine or time in the county jail (misdemeanor sentences) OR time in state
2688
prison or “imprisonment pursuant to subdivision (h) of Section 1170”
(felony
2689
sentence), your offense is considered a wobbler.
Remember, felony “wobblers” are eligible for reduction and ultimately
2690
expungement if:
•
•
•
•
•
•

You were NOT sentenced to prison time for the offense;
You were NOT sentenced to county jail instead of prison
under Realignment;
You were NOT sent to prison for a violation while on probation for the
offense;
You were NOT convicted of an offense that is NEVER eligible for
expungement (see PG. 1055); AND
You otherwise meet the requirements for expungement (for more information
on these requirements, see PG. 1054).

For more information on expunging a felony “wobbler” conviction, see PG. 1055.
Although the law does not require you to be off probation, you will have a better
chance of getting your conviction reduced if you have successfully completed
probation first. For information on how to get off probation early, see PG. 1063.

!

IMPORTANT: Felonies that CANNOT be reduced to misdemeanors. If you were
sentenced to state prison OR sentenced to county jail for a straight felony under
Realignment—even if the judge suspended your sentence so you never spent
any time in custody—your conviction is NOT eligible to be reduced to a
2691
misdemeanor.
However, if you never spent any time in prison and you were not sentenced to
county jail instead of prison because of Realignment, you may still qualify to
2692
have your felony conviction expunged (see PG. 1055).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
See People v. Mauch, 163 Cal. App. 4th 669, 676 (Ct. App. 2008).
California Realignment Act, CAL. PENAL CODE § 1170(h).
People v. Mauch, 163 Cal. App. 4th 669, 675 (Ct. App. 2008); (There are a small number of felonies where the
legislature has prescribed a fine as an alternative to state prison. For these crimes, CAL. PENAL CODE section 18
permits the court to sentence a person to county jail, thus making the conviction a misdemeanor although the
legislature in the original writing of the statute, did not permit this alternative. According to the court in People v.
Mauch, “By providing for incarceration in the county jail instead of prison, section 18 authorizes a reduction to a
misdemeanor for certain felonies even though the Legislature did not provide for misdemeanor treatment in the
statutory provisions defining those particular crimes. Because the Legislature has not elsewhere expressly declared
any of these particular felonies may qualify as misdemeanors, section 18 creates, to coin a phrase, "stealth
wobblers." Section 18's misdemeanor option, however, is limited to felonies the Legislature has specified are
punishable by imposition of a fine as an alternative to state prison. People v. Isaia (1989) 206 Cal. App. 3d 1558, 1564.
2690
People v. Moomey, 194 Cal. App. 4th 850, 857 (Ct. App. 2011) (citing to authorities stating that “the commission
of a wobbler is a felony at the time it is committed and remains a felony unless and until the principal is convicted
and sentenced to something less than imprisonment in state prison (or the crime is otherwise characterized as a
misdemeanor).
2691
CAL. PENAL CODE § 1170(h); see Criminal Justice Realignment Frequently Asked Questions, CAL. JUDICIAL BRANCH,
(Rev. Apr. 2014), http://www.courts.ca.gov/partners/documents/cjr_faq.pdf.
2692
See People v. Parker, 217 Cal. App. 4th 498 (2013).
2687
2688
2689

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I WANT TO GET MY FELONY “WOBBLER” EXPUNGED. WHAT ARE
THE STEPS TO GETTING IT REDUCED TO A MISDEAMEANOR SO
THAT IT IS THEN ELIGIBLE FOR EXPUNGEMENT?
Having a felony conviction on your record (even after the conviction has been
expunged) can be much more damaging than having only a misdemeanor.
Reducing your felony “wobbler” conviction to a misdemeanor, whether or not
you have it expunged, changes your criminal record so that—going forward—you
2693
no longer have a felony conviction on your record.
Here are the benefits of reducing your felony “wobbler” to a misdemeanor:
•
•
•
•

You can say that you were never convicted of a felony when applying for
2694
most jobs, housing, public benefits, loans, etc.;
You will no longer be disqualified from getting most professional and
2695
occupational licenses because of a felony conviction;
2696
You may get back your state gun rights back;
AND
2697
You will get back your right to serve on a jury.

IMPORTANT: Felony Reductions and Immigration Issues

!

As of January 1, 2015, the maximum jail time that a person can be sentenced to
for a misdemeanor is 364 days--one day short of a full year. This could have
significant meaning for you if you are at risk of being deported because of a
felony conviction, and your conviction can be reduced to a misdemeanor under
Penal Code section 17(b). When you get your felony conviction reduced, it is
suggested that you ask the judge to say on the record that the maximum
sentence for your conviction is now 364 days. This could possibly help you avoid
certain negative immigration consequences that are tied to a sentence of 365
2698
days or more.
It is recommended that you contact a lawyer immediately for
help in this situation. The Immigrant Post-Conviction Relief Project, run by the
Lawyers’ Committee for Civil Rights, offers free help to people with immigration
issues related to their criminal convictions. Contact the Lawyer’s Committee by
phone at (415) 543-9444 or email at info@lccr.com.

ARE THERE PENALTIES THAT WILL STILL AFFECT ME EVEN IF MY
FELONY IS REDUCED TO A MISDEMEANOR?
Yes. Unfortunately, reducing your felony conviction to a misdemeanor doesn’t
get you completely off the felony hook. Some penalties will carry over and

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

People v. Gilbreth (2007) 156 Cal. App. 4th 53, 57. ("[O]nce a court has reduced a wobbler to a misdemeanor
pursuant to . . . [CAL. PENAL CODE] section 17, the crime is thereafter regarded as a misdemeanor 'for all purposes.'
This unambiguous language means what it says, and unless the Legislature states otherwise, a person such as
[defendant] stands convicted of a misdemeanor, not a felony, for all purposes upon the court so declaring.")
2694
A few licensing boards/agencies can still consider a conviction as a felony, even after the conviction has been
reduced to misdemeanor under 17(b). For example: Cal. Bus. & Prof. Code § 6102 (Cal. State Bar—licensing of
attorneys) and CAL. GOV’T CODE § 1029(a)(3) (disqualification from employment as peace officer).
2695
CAL. PENAL CODE § 1203.4; see, e.g., 10 CAL. CODE REGS. § 3723(a)(3) (discipline of real estate appraisers—criteria
of rehabilitation includes “[j]udicial relief from the consequences of criminal conviction”).
2696
CAL. PENAL CODE § 29800 imposes a lifetime ban on owning or acquiring a firearm for individuals with felony
convictions. It also imposes a 10-year firearm ban for certain misdemeanor convictions. If your conviction is reduced
to a misdemeanor that does not carry the 10-year ban, your firearm ban will be automatically lifted. If your
conviction is reduced to a misdemeanor that carries a 10-year ban, your prohibition will be lifted after the 10-year
period. See People v. Gilbreth, 156 Cal. App. 4th 53, 57 (2007) (a reduction of a felony offense to a misdemeanor
precludes its use as a predicate offense under the felon-in-possession statutes).
2697
CAL. CIV. PROC. CODE § 203(a)(5).
2698
Telephone interview with Rose Cahn, Project Leader, Immigrant Post-Conviction Relief Project, Lawyers’
Committee for Civil Rights in the San Francisco Bay Area.
2693

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continue to affect you, even after your felony conviction is reduced to a
misdemeanor. These include:
•
•
•
•

If your conviction was for a serious or violent felony, it will still count as a
2699
prior “strike” under California’s Three Strikes Law;
If your conviction requires you to register as a sex offender under Penal Code
2700
section 290, you will still have to register after your felony is reduced;
2701
You may still be subject to federal firearms restrictions;
2702
Some state licensing agencies may still consider your conviction a felony.

Also, please note that getting your felony conviction reduced to a misdemeanor
under Penal Code section 17(b) does NOT give you any legal rights to be
compensated for any time that you served that is more than what you could
have been sentenced to if you had been convicted of a misdemeanor originally.

WHAT IS THE PROCESS FOR GETTING A FELONY “WOBBLER”
CONVICTION REDUCED TO A MISDEMEANOR, AND THEN
EXPUNGED?
If you want to reduce your felony conviction to a misdemeanor AND get your
conviction expunged, it is generally very easy to do both at the same time! In
fact, the Petition for Dismissal (Form CR—180) that you must file to get your
conviction expunged has a box that you can check to say that your conviction is
also eligible to be reduced and to request it.
Then, when you have your court hearing for your expungement, the judge will
consider both requests—first your request to reduce the conviction to a
misdemeanor, and then your request to have it expunged. If you meet all the
requirements, the judge usually will grant both of your requests together. (For a
list of the requirements for reducing a felony to a misdemeanor, see PG. 1065.
For a list of requirements to get your conviction expunged, see PG. 1054.)
For more details on how to get your felony conviction reduced to a
misdemeanor, see APPENDIX R, on PG. 1144.
If the judge does NOT reduce your felony to a misdemeanor, or if your felony is
only eligible for reduction but not expungement, you may need to file a separate
petition to get it reduced. It is recommended that you ask a lawyer to help you
with this. For more information about filing a separate petition to ask for your
felony conviction to be reduced, see APPENDIX R, on PG. 1144.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Gebremicael v. Cal. Com'n on Teacher Credentialing (2004) 118 Cal. App. 4th 1477, 1486 ("Similarly, for
purposes of the "Three Strikes law", the Legislature has declared a prior felony conviction proven by the
prosecution as a prior strike retains its status as a felony even if it had been reduced after initial sentencing to a
misdemeanor under Penal Code section 17. CAL. PENAL CODE, § 667, subd. (d)(1), 1170.12, subd. (b)(1)."). However, a
reduced felony cannot act as a "prior" crime for a future offense that requires a predicate (that is, preexisting) felony
conviction. See People v. Gilbreth 156 Cal. App. 4th 53, 57 (2007).
2700
CAL. PENAL CODE § 17(e).
2701
18 U.S.C. 921-930. Under federal law, most domestic violence convictions trigger a lifetime firearms ban,
regardless of what state you were convicted in. Most people convicted of a crime of domestic violence in California
will never be able to own a gun legally anywhere in the United States.
2702
See, for example, Cal. Bus. & Prof. Code §§ 6100, 6102 (for purposes of attorney discipline or disbarment, a
felony conviction remains a felony regardless of post-conviction proceedings under CAL. PENAL CODE § 17(b)).
2699

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MY CONVICTION WAS FOR A FELONY AND I WAS SENTENCED
TO STATE PRISON. WHAT, IF ANTHING, COULD I DO TO GET IT
EXPUNGED?
Unfortunately, if you were sentenced to state prison, or spent any time in a
CDCR facility (including a prison camp or hospital) for your conviction (for any
reason), your conviction does NOT qualify for expungement OR for reduction to
2703
a misdemeanor.
BUT, your conviction may still be eligible for Reclassification or Resentencing
under Proposition 47, or you may be eligible for a Certificate of Rehabilitation
and/or a Governor’s Pardon. (For information on Reclassification and
Resentencing under Proposition 47, see PG. 1069. For information on
Certificates of Rehabilitation, see PG. 1075. For information on Governor’s
Pardons, see PG. 1079.)

PROPOSITION 47: RECLASSIFICATION AND
RESENTENCING UNDER THE NEW LAW
WHAT IS PROPOSITION 47 AND HOW COULD IT HELP ME?
Proposition 47 (Prop 47) is a new law that was passed by voters in California and
2704
took effect in November of 2014.
Prop 47 changed the law so that certain
non-violent offenses that previously could be charged as “wobblers” or straight
felonies now can only be charged as straight misdemeanors. Prop 47 also
applies to past convictions, which means that you might be able to get your past
felony convictions changed to misdemeanors if they meet the requirements
under the new law. If you are still serving a sentence for a conviction that
qualifies for Prop 47, you may be able to get your sentence reduced.

WHAT CONVICTIONS DOES PROP 47 HELP TO REDUCE?
In general, Prop 47 applies to the following offenses:
•
•
•
•
•
•
•
•
•

Second Degree Burglary—Penal Code Section 459
Forgery—Penal Code Sections 470, 475, 476
Forgery, writing bad checks—Penal Code Section 476a
Grand Theft—Penal Code Section 487
Receiving Stolen Property—Penal Code Section 496(a)
Petty Theft with a Prior—Penal Code Section 666
Possession of Drugs for Personal Use—Health & Safety Code Section 11350
Possession of Concentrated Cannabis—Health & Safety Code Section
11357(a)
Possession of Meth—Health & Safety Code Section 11377

As of November 2014, anyone charged with one of these offenses can only be
charged with a misdemeanor—NOT a felony. If you have a felony conviction for

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE §§ 17(b), 1203.4; People v. Borja (1980) 110 Cal. App. 3d 378, 381–82; People v. Mendez, 234 Cal.
App. 3d 1773, 1780 (1991); People v. Jones, 176 Cal. App. 3d 120, 130–31 (1985).
2704
CAL. CONST., art. 2, § 10(a); CAL. PENAL CODE § 1170.18.
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any of these offenses from before November of 2014, you may be able to get it
changed to a misdemeanor under Prop 47 (called “reclassification”). If you are
currently serving a felony sentence for a conviction of any of these offenses
from before November 2014, you may be able to get your sentence reduced to a
misdemeanor sentence (called “resentencing”). (For more information about
how Prop 47 changes each of these offenses, see PG. 1071.)

!

IMPORTANT: Your conviction will NOT qualify for Prop 47 if you also
have a conviction for certain serious felony offenses. Below is a list of
offenses that will disqualify you from using Prop 47 to get your felony
conviction reduced to a misdemeanor.

WHO CANNOT GET PROP 47 REMEDIES?
Unfortunately, you CANNOT use Prop 47 to clean up your record if you have
also been convicted of any of the following offenses:
1)

A “serious” or “violent” felony that qualifies as a “super strike” under
California Penal Code section 667(e)(2)c(iv):
a. A “sexually violent offense” under the Sexually Violent Predator
2705
Law;
2706
2707
2708
b. Oral copulation,
sodomy,
or sexual penetration
with a
person under 14 and more than 10 years younger;
2709
c. A lewd or lascivious act involving a person under 14;
2710
d. Any homicide offense, including attempted homicide;
2711
e. Solicitation to commit murder;
2712
f. Assault with a machine gun on a peace officer or firefighter;
2713
g. Possession of a weapon of mass destruction;
h. Any serious or violent felony punishable in California by life
imprisonment or death;
2) Any offense that requires you to register as a sex offender under California
Penal Code section 290c.

WHAT CAN GET PROP 47 REMEDIES?
Prop 47 can reduce prior felony convictions to misdemeanors (reclassification)
AND can reduce any felony sentence that you’re currently serving to a
misdemeanor sentence (resentencing).
If you were convicted of one of the offenses covered by Prop 47 (see PG. 1069),
and you don’t have any of the disqualifying convictions on your record, here’s
what the new law could do for you:
•

If you are currently incarcerated or on parole, you may be immediately
resentenced to a misdemeanor sentence.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

A felony violation of CAL. PENAL CODE §§ 261, 262, 264.1, 269, 286, 288, 288a, 288.5, or 289, or any felony violation
of CAL. PENAL CODE §§ 207, 209, or 220, committed with the intent to commit a violation of CAL. PENAL CODE §§ 261,
262, 264.1, 286, 288, 288a, or 289. CAL. WELF. & INST. CODE § 6600(b).
2706
As defined in CAL. PENAL CODE § 288a.
2707
As defined in CAL. PENAL CODE § 286.
2708
As defined in CAL. PENAL CODE § 289.
2709
As defined in CAL. PENAL CODE § 288.
2710
As defined in CAL. PENAL CODE §§ 187-191.5.
2711
As defined in CAL. PENAL CODE § 653a.
2712
As defined in CAL. PENAL CODE § 245(d)(3).
2713
As defined in CAL. PENAL CODE § 11418(a)(1).
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•
•
•
•

!

If you are incarcerated, you could be immediately released based on time
served;
If you are on parole or PRCS, you could be immediately discharged, or your
2714
parole could be reduced to probation.
If you have already completed your sentence and are off parole, you may be
able to have your prior conviction reclassified as a misdemeanor.
If you are currently on felony probation, it is unclear whether you can be
resentenced immediately or whether you must wait until the end of your
probation term and have your conviction reclassified.

IMPORTANT: Felony Reductions and Immigration Issues
As of January 1, 2015, the maximum jail time that a person can be sentenced to
for a misdemeanor is 364 days--one day short of a full year. This could have
significant meaning for you if you are at risk of being deported because of a
felony conviction, and your conviction can be reclassified or resentenced as a
misdemeanor under Prop 47. When you get your felony conviction reclassified
or resentenced, it is suggested that you ask the judge to say on the record that
the maximum sentence for your conviction is now 364 days. This could possibly
help you avoid certain negative immigration consequences that are tied to a
2715
sentence of 365 days or more.
It is recommended that you contact a lawyer
immediately for help in this situation. The Immigrant Post-Conviction Relief
Project, run by the Lawyers’ Committee for Civil Rights, offers free help to
people with immigration issues related to their criminal convictions. Contact the
Lawyer’s Committee by phone at (415) 543-9444 or email at info@lccr.com.

WHAT DOES PROP 47 NOT DO?
The main limitation of Prop 47 is that it WILL NOT give you back your gun rights
2716
if you lost these rights due to your conviction.
Prop 47 also does not remove
the conviction from your record, it simply reduces it to a lesser offense.
Also, please note that getting your felony conviction reclassified or resentenced
as a misdemeanor under Prop 47 does NOT give you any legal rights to be
compensated for any time that you served that is more than what you could
have been sentenced to if you had been convicted of a misdemeanor originally.

HOW DOES PROP 47 CHANGE A CONVICTION ON MY CRIMINAL
RECORD?
Prop 47 affects eligible offenses in the following ways:
Shoplifting (Penal Code section 459.5)—Prop 47 adds a new offense,
misdemeanor shoplifting. If you enter a business, during regular business hours
and steal something worth less than $950, it is now shoplifting instead of
second-degree burglary. If you are charged with shoplifting, now you cannot
also be charged with petty theft or burglary. If you have a conviction for felony
second-degree burglary (California Penal Code section 459), you may be able to
get it reduced to misdemeanor shoplifting.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 1170.18(c).
Telephone interview with Rose Cahn, Project Leader, Immigrant Post-Conviction Relief Project, Lawyers’
Committee for Civil Rights in the San Francisco Bay Area.
2716
CAL. PENAL CODE § 1170.18(k).
2714
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Forgery (Penal Code sections 470, 471, 472, 475)—Prop 47 changes the laws
for several forgery offenses that previously could be charged as either
misdemeanors or felonies. Now, all of these offenses are straight misdemeanors
only. However, Prop 47 does NOT apply if you are convicted of both forgery and
identity theft (CAL. PENAL CODE section 530.5). If you have a felony conviction for
an eligible forgery offense, you may be able to get it reduced to a misdemeanor.
Forgery/Writing Bad Checks (Penal Code section 476a)—Prop 47 changes this
offense from a “wobbler” to a straight misdemeanor if the amount of the check
is less than $950. Beware, however, that Prop 47 does not apply if you have
three or more prior forgery convictions. If you have a felony conviction for
writing a bad check, you may be able to get it reduced to a misdemeanor.
Theft (Penal Code section 490.2)—Before Prop 47, an offense was classified as
either GRAND THEFT (a felony) or PETTY THEFT (a misdemeanor) based on (1)
the value of the property stolen, (2) the type of property stolen (i.e. guns or cars),
OR (3) the manner in which the property was stolen (for example, from
someone’s immediate possession). After Prop 47, the offense is classified based
ONLY on whether the value of the property is more or less than $950. So, now if
you steal something that is worth less than $950, you can only be charged with
misdemeanor petty theft, regardless of what type of property you took or how
you took it. If you have a felony grand theft conviction, you may be able to get it
reduced to misdemeanor petty theft.
Receiving Stolen Property (Penal Code Section 496)—Prop 47 changes this
offense to a straight misdemeanor if the value of the stolen property is under
$950. If you have a felony conviction for receiving stolen property, you may be
able to get it reduced to a misdemeanor.
Petty Theft with a Prior (Penal Code Section 666)—Before Prop 47, if you were
charged with petty theft and had three or more previous theft convictions, you
could have been charged with a felony. Now, for most people, you cannot be
charged with a felony for petty theft, no matter how many prior petty theft
convictions you have. The only way that you can be charged with felony petty
theft under section 666 now is if you are already excluded from Prop 47 (see
above for convictions that can exclude you), and you also have a previous
conviction for petty theft, grand theft, elder financial abuse, joyriding, burglary,
2717
carjacking, robbery or felony receiving stolen property,
OR you are required
to register as a sex offender. If you have a felony conviction for petty theft based
on prior theft convictions, you may be able to get it reduced to a misdemeanor.
Simple Drug Possession (Health & Safety Code Sections 11350, 11357, &
11377)—Under Prop 47, simple possession of pretty much any controlled
2718
substance is a straight misdemeanor.
If you have a felony conviction for
simple drug possession, you may be able to get it reduced to a misdemeanor.

HOW DO I GET MY CONVICTION REDUCED UNDER PROP 47?
The process for getting a felony conviction reduced to a misdemeanor under
Prop 47 depends on whether you are currently still serving your sentence
(“under sentence”) for the conviction, or if you have already completed your
sentence.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2717
2718

CAL. PENAL CODE § 667(e)(2)(C)(iv).
CAL. PENAL CODE § 1170.18.

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ROADMAP TO REENTRY

•

•
•

If you are currently still serving your sentence (meaning you are incarcerated
OR on parole or PRCS for the qualifying conviction—also called being “under
2719
sentence”),
you must ask to be “resentenced.” (See PG. 1073 for
information on resentencing.)
If you have already completed your sentence, you must ask to have your
conviction “reclassified.” (See PG. 1074 for information on reclassification.)
If you are currently on felony probation for the qualifying offense, the courts
are still figuring out whether you must ask for resentencing or
reclassification. Some lawyers have been successful in convincing judges
that you qualify for resentencing, which would could mean that you would be
released from probation, so it is worthwhile to first ask to be resentenced if
2720
you’re still on felony probation.

HELPFUL HINT—TALK TO A LAWYER! If you think you qualify for resentencing
or reclassification, it is recommended that you talk to a lawyer for help. You can
start with the lawyer who represented you in your case or your local Public
Defender. See also the list of expungement legal aid providers on PG. 1190.

!

IMPORTANT: In general, you must apply for resentencing or
reclassification before November 2017 (within 3 years of when the new
law was passed), but this time limit can be waived (excused) if you have a
good reason for not applying sooner.2721
RESENTENCING:
If you are currently serving your sentence (“under sentence”) for an offense that
qualifies under Prop 47, and you are NOT excluded by one of the disqualifying
2722
convictions, you may be eligible for RESENTENCING.
You will need to fill out and file a Petition for Resentencing, and you may need to
request a hearing to convince the judge that you qualify for resentencing under
Prop 47. If you qualify, the judge MUST resentence you unless s/he thinks you
pose an “unreasonable risk to public safety.” If you have already served the
amount of time that you would have served if you were originally convicted of a
misdemeanor, you will be released or discharged from supervision.
For information and instructions on how to petition for resentencing, including
what “unreasonable risk to public safety” means, see APPENDIX T, on PG. 1152.
Each local court has created its own version of this petition, so it’s
recommended that you go to the court where you were convicted to request
one.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 1170.18. See also J. Richard Couzens & Tricia Bigelow, Proposition 47, The Safe
Neighborhoods and Schools Act, (Dec. 2014); Orange County Superior Court Form L-0929, Petition/Application to
Have Felony Violation(s) Designated as Misdemeanor(s) and Resentencing, Information and Instructions, Nov. 5,
2014.
2720
CAL. PENAL CODE § 1170.18; see also J. Richard Couzens & Tricia Bigelow, Proposition 47, The Safe
Neighborhoods and Schools Act, (Dec. 2014).
2721
CAL. PENAL CODE § 1170.18(j).
2722
CAL. PENAL CODE § 1170.18. (a).
2719

PAGE 1073 OF 1210

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RECLASSIFICATION:
If you already completed your sentence (including any parole or probation term)
for an offense that qualifies under Prop 47, and you are NOT excluded by one of
the disqualifying convictions, you may be eligible to have your felony
RECLASSIFIED as a misdemeanor. Unfortunately, you cannot get back the time
that you served for the felony, but you can change your criminal record to show
a misdemeanor conviction instead of a felony conviction. (For information on the
benefits of reducing a felony conviction to a misdemeanor, see PG. 1067.)
Just as for resentencing, you will need to fill out and file a Petition for
Reclassification (in most courts this is the same form as for resentencing). The
judge will then review your petition to make sure that you qualify for
reclassification. Generally, you will not need to request a hearing for a
reclassification, however, in some circumstances you may need to.
If you meet the requirements, the judge MUST reclassify your conviction as a
misdemeanor.
For information and instructions on how to petition for reclassification, including
when you might need to request a hearing, see APPENDIX T, on PG. 1152.

IF I GET MY FELONY REDUCED UNDER PROP 47, HOW DO I THEN
GET IT EXPUNGED?
Possibly. Generally, if you served any time in state prison for a felony conviction,
2723
you are not eligible to get your conviction expunged.
However, many lawyers
believe that this is an oversight by the drafters of Prop 47, and feel that if your
felony conviction is eligible to be reduced to a misdemeanor under Prop 47, it
should be eligible for expungement (like most misdemeanors) as well. Some
lawyers have had success getting discretionary expungements for Prop 47
convictions under California Penal Code section 1203.4a (which allows
expungement of misdemeanor convictions with sentences other than
2724
probation).

!

PROP 47 AND FEDERAL SENTENCES
Even though Prop 47 only applies to state convictions, it may still help you if you
are serving time for a federal conviction. If your federal sentence was increased
because you had a prior state conviction, and that state conviction can be
reduced to a misdemeanor under Prop 47, that conviction should no longer have
as much impact on your federal sentence, which may mean that your total
2725
federal sentence can be reduced.
If you are serving a federal sentence and you have prior state convictions, it is
recommended that you contact the federal lawyer who represented you, the
federal public defender, or the county public defender where you were
convicted immediately.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 1203.4.
Interview with Eleanor Miller, attorney, Pepperdine Legal Aid Clinic (Feb. 26, 2015); Email from Eliza Hersh,
Attorney, Clean Slate Practice, East Bay Community Law Center, Berkeley, CA (Apr. 16, 2015).
2725
Email from David Wasserman, Deputy Federal Public Defender, Federal Public Defender, Central Dist. of Cal.
(Mar. 17, 2015).
2723
2724

PAGE 1074 OF 1210

ROADMAP TO REENTRY

CERTIFICATES OF REHABILITATION
A Certificate of Rehabilitation (COR) is another way to clean up your criminal
record. Although it does NOT remove anything from your record, it can restore
certain rights that you may have lost, and can help improve your chances of
success when you’re applying for work, housing, and professional or
occupational licenses.

!

IMPORTANT: If you have a felony or misdemeanor sex conviction that is
eligible for expungement (meaning you were not sent to prison), under
law you must get the conviction expunged first, BEFORE you will be
eligible to apply for a Certificate of Rehabilitation (COR).2726

WHAT IS A CERTIFICATE OF REHABILITATION AND HOW COULD IT
HELP ME?
A Certificate of Rehabilitation (COR) is a court order saying that someone who
2727
was previously convicted of a crime is now officially rehabilitated.
A COR can
restore some of the rights you lost as a result of your conviction. A COR may
help you in the following ways:
•
•
•

•

When you apply for a job or housing, a COR serves as official
2728
proof of your rehabilitation;
If you apply for a professional or occupational license, a COR
2729
improves your chances of getting approved;
If you were required to register as a “sex offender” under
California Penal Code section 290, a COR may eliminate your
2730
registration requirement;
A COR serves as an automatic application and recommendation
2731
for a full pardon from the Governor.

However, there are many things that a COR does NOT do—for
example, it does NOT erase or seal your conviction; it does NOT
restore all of the rights you may have lost due to your conviction; and
you will still have to disclose the conviction when you apply for jobs,
housing, and professional licenses. (For more information on what a
COR does NOT do, see PG. 1077.)

WHO CAN GET A CERTIFICATE OF REHABILITATION?
You may be eligible to apply for a Certificate of Rehabilitation if you
2732
fall into any of the following 3 categories:
1)

CATEGORY ONE: Felony, Released Before 1943—You are in
Category One if all of the following are true:

AM I ELIGIBLE FOR
A CERTIFICATE OF
REHABILITATION IF
I AM STILL ON
PAROLE,
PROBATION, OR
PRCS?
NOT YET. BEFORE you
can apply for a COR,
you must have
completed any term of
probation, parole, or
PRCS that was part of
your sentence or a
condition of your
release.
You will also have to
complete a waiting
period (which begins
when you are released
from custody) BEFORE
you can apply for a
COR. However, any
time that you spend on
parole, probation, or
PRCS will count
toward this period. For
more information on
when you can get a
COR, see PG. 1078.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 4852.01(c).
CAL. PENAL CODE § 4852.06. See also Certificate of Rehabilitation & Pardon Packet, San Diego County Superior
Court, Aug. 2014.
2728
Cal. Lab. Code § 432.7. 24 C.F.R. §§ 982.552(c)(2), 5.852; HUD, C.F.R.Occupancy Requirements Of Subsidized
Multifamily Housing Programs ¶ 4-7(C)(4) (Rev. November 2013).
2729
CAL. BUS. & PROF. CODE § 480(b).
2730
CAL. PENAL CODE § 290.5.
2731
CAL. PENAL CODE § 4852.16.
2732
CAL. PENAL CODE § 4852.01.
2726
2727

PAGE 1075 OF 1210

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a. You were convicted of a felony;
b. You served your sentence in a California state prison (or some other
CDCR facility, such as a prison camp or hospital);
c. You completed your sentence and were released from prison or you
were released on parole before May 13, 1943;
d. You have NOT been incarcerated in any California state prison (or
other CDCR facility) since your release; AND
e. You have lived in California for the last 3 years.
2) CATEGORY TWO: 1203.4 Dismissals—You are in Category Two if all of the
following are true:
a. You were convicted of a felony OR convicted of a misdemeanor sex
2733
offense;
b. Your conviction was expunged under California Penal Code section
1203.4 (see PG. 1050);
c. You have NOT been incarcerated ANYWHERE (in ANY prison, jail, or
correctional institution) since getting your conviction expunged;
d. You are NOT on probation for any other felony; AND
e. You have lived in California for the last 5 years.
3) CATEGORY THREE: Felony, Released After 1943—You are in Category Three
if all of the following are true:
a. You were convicted of a felony;
b. You were sent to state prison (or some other CDCR facility) for this
conviction, or you already were in state prison on May 13, 1943 for
the conviction; AND
c. You have lived in California for the last 5 years.
You will also need to complete a waiting period BEFORE you can apply for a
COR, which will be based on your conviction offense. To figure out how long you
must wait before applying for a Certificate of Rehabilitation, see APPENDIX U,
on PG. 1155.

WHO CANNOT GET A CERTIFICATE OF REHABILITATION?
Unfortunately, people in certain situations and with certain convictions are
NEVER eligible for a Certificate of Rehabilitation.
You are NEVER eligible for a COR if:
•
•

•
•
•

You were convicted of certain serious sex offenses (listed in California Penal
Code sections 269, 286c, 288, 288ac, 288.5, 288.7, or 289(j));
You are on mandatory lifetime parole (for more information on the length of
state parole and who must serve mandatory lifetime parole, see the PAROLE
& PROBATION CHAPTER, PG. 154);
You have been sentenced to the death penalty (and your sentence has not
been overturned);
You are serving in the military; or
2734
You no longer live in California.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 290.
CAL. PENAL CODE § 4852.06; A Certificate of Rehabilitation is an official court order declaring that you have been
rehabilitated. Cal. Pen. Code § 4852.13(a). See also State of Cal., Office of Governor, Office of Gov. Edmund G.
Brown Junior, How to Apply for a Pardon at 3 (rev’d Sept. 5, 2013),
http://gov.ca.gov/docs/How_To_Apply_for_a_Pardon.pdf (certificate of rehabilitation “[s]erve[s] as an official
document to demonstrate a felon’s rehabilitation).
2733
2734

PAGE 1076 OF 1210

ROADMAP TO REENTRY

IF YOU NO LONGER LIVE IN CALIFORNIA…
This manual focuses on how to clean up your criminal record if you live in
California. If you have a California conviction but no longer live in California, you
may be eligible for a Governor’s Pardon (see PG. 1079).
If your conviction is from another state, you will not be eligible to clean up your
record using the California remedies described in this chapter. However, many
other states provide similar remedies, so you should find out what “cleaning”
remedies are available in the state where your conviction is from.
If you have a federal conviction, possible remedies for cleaning up federal
criminal records start on PG. 1092.
NOTE: If you ONLY have misdemeanor convictions on your criminal record, you
are NOT eligible for a Certificate of Rehabilitation. Instead, it is recommended
that you try to get your conviction(s) dismissed under California’s expungement
statute (see PG. 1050).
BUT there is one exception—if you were convicted of a misdemeanor sex
offense (listed in California Penal Code Section 290), then you may be eligible
for a Certificate of Rehabilitation AFTER you get your conviction expunged. (You
must also meet the expungement requirements to be eligible, see PG. 1054.)

WHAT CAN’T A CERTIFICATE OF REHABILITATION DO
FOR ME?
Although there are many benefits to obtaining a COR, it is a
limited remedy.
Here are some of the things that a COR does NOT do for you:
•
•
•

•

It does NOT erase a felony conviction or seal your criminal
2735
record;
It does NOT prevent your conviction from being considered a
2736
“prior” if you are later convicted of a new offense;
It will NOT necessarily eliminate your registration requirement,
if you are required to register as a “sex offender” under
2737
California Penal Code section 290;
It does NOT allow you to say that you’ve never been convicted
of a felony—in other words, you must still disclose your
2738
conviction on job and professional licensing applications.

CERTIFICATES OF
REHABILITATION &
VOTING RIGHTS
A COR does NOT
restore your right to
vote if you lost this
right due to your
1
conviction. However,
you will get your
voting rights back
automatically once
you are out of prison
and OFF parole, so
you do not need a
COR to get your
voting rights back.
(For more information
about voting rights,
see the BUILDING
BLOCKS OF
REENTRY: ID &
VOTING CHAPTER,
on PG. 68).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. LABOR CODE § 26; How to Apply for a Pardon, STATE OF CAL. OFFICE OF THE GOVERNOR EDMUND G. BROWN, JR.,
(rev’d Sep. 5, 2015), http://gov.ca.gov/docs/How_To_Apply_for_a_Pardon.pdf; see also CAL. PENAL CODE § 4852.15,
11105. Cal. Bus. & Prof. Code § 480(b).
2736
CAL. PENAL CODE § 290.5; How to Apply for a Pardon, STATE OF CAL. OFFICE OF THE GOVERNOR EDMUND G. BROWN,
JR., (rev’d Sep. 5, 2015), http://gov.ca.gov/docs/How_To_Apply_for_a_Pardon.pdf.
2737
CAL. PENAL CODE § 290.5.
2738
How to Apply for a Pardon, STATE OF CAL. OFFICE OF THE GOVERNOR EDMUND G. BROWN, JR., (rev’d Sep. 5, 2015),
http://gov.ca.gov/docs/How_To_Apply_for_a_Pardon.pdf; see also Cal. Bus. & Prof. Code § 480(b). CAL. PENAL CODE
§§ 4852.15, 11105.
2735

PAGE 1077 OF 1210

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WHEN CAN I GET A CERTIFICATE OF REHABILITATION?
Before you can apply for a Certificate of Rehabilitation, you must
2739
complete a “period of rehabilitation”
to show that you have improved
your life and avoided involvement in any more criminal activity since your
release from prison or jail. In general, you must wait a minimum of five
years before you can apply for a COR. In addition, you will have to wait an
extra period of time after the initial five years (the amount of time will
depend on what your conviction was for). You must also have completed
your parole or probation term, but your period of rehabilitation starts
running as soon as you are released from prison or jail and includes any
time you spent on supervision.

!

To figure out
the length of
your Period of
Rehabilitation,
see
APPENDIX U,
on PG. 1155.

IMPORTANT: Even if you have not completed your entire period
of rehabilitation, you are allowed to request a COR early (as long
as you are NOT required to register as a sex offender under
California Penal Code Section 290). The judge may grant you a
COR early, if s/he finds that it is “in the interests of justice” to do
so.2740 The judge will consider your good conduct, rehabilitation
efforts, and how important getting a COR is to your success in the
future.
The process for requesting a Certificate of Rehabilitation is the same, regardless
of whether you are requesting it early or at the end of your period of
rehabilitation.

I’VE HAD A NEW CONVICTION SINCE MY ORIGINAL OFFENSE?
CAN I STILL APPLY FOR A CERTIFICATE OF REHABILITATION FOR
THE ORIGINAL OFFENSE?
You are allowed to apply for a COR if you have a new conviction during your
period of rehabilitation. However, the judge can (and likely will) use the new
conviction as a reason to deny your COR, and can require you to
complete a new period of rehabilitation starting from when your first
CORS &
2741
COR is denied.
In addition, even if you get the new conviction
PARDONS:
expunged, the judge can still consider the conduct that led to the
If the judge grants
2742
conviction when deciding whether to grant your COR.
your Certificate of

HOW DO I GET A CERTIFICATE OF REHABILITATION?
If you meet all of the eligibility requirements for a Certificate of
Rehabilitation (see PG. 1075) AND you have completed your period
of rehabilitation (or you want to request a COR early), you will need to
file papers (called a Petition for Certificate of Rehabilitation) in the
court in the county where you currently live. Your petition will explain
why you deserve a COR, and should include letters of support and
proof of your accomplishments. The judge may ask the DA to do an
investigation and prepare a report on your life since your release.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2739
2740
2741
2742

CAL. PENAL CODE § 4852.03.
CAL. PENAL CODE § 4852.22.
CAL. PENAL CODE § 4852.11; People v. Failla, 140 Cal. App. 4th 1514, (App. 4 Dist. 2006) (review denied).
People v. Zeigler, 211 Cal. App. 4th 638 (2012).

PAGE 1078 OF 1210

Rehabilitation, this
will automatically
serve as your
application to the
Governor for a
pardon, so you will
not have to do
anything more to
apply for a pardon.
(For more
information about
Governor’s pardons,
see PG. 1079.)

ROADMAP TO REENTRY

Then you will have a hearing where you will have to convince the judge that you
are rehabilitated and ready to be a responsible member of society.
NOTE: You must request a Certificate of Rehabilitation from the court in the
county where you currently live. This is different from most other remedies (such
as expungement, reducing your felony to a misdemeanor, and Prop 47), which
require you to request them from the court where you were convicted.

!

IMPORTANT: You have the right to a lawyer to help you with your
request for a COR. You can hire a lawyer of your choice, or if you cannot
afford a lawyer, the court will assign a public defender or another lawyer
to help you.2743 If you are just getting started and don’t yet have a lawyer,
you should start by contacting the Public Defender’s Office in the county
where you live, or look for a local expungement clinic in your area.
You also have the right to get help with your request from the county
probation department, state parole officers, the California Youth
Authority (if you are under 30 years old), and any other rehabilitative
agency.2744
For complete information and instructions on how to request a Certificate of
Rehabilitation, including a sample application, see APPENDIX V, on PG. 1156.

GOVERNOR’S PARDON
WHAT IS A GOVERNOR’S PARDON?
A governor’s pardon is an official forgiveness for your conviction, granted by the
Governor of California. A pardon can potentially restore all of the rights you lost
due to your conviction—including your gun rights and your right to serve on a
jury—as well as eliminate your requirement to register as a sex offender. It is the
best thing you can do to reduce the impact of your criminal record on your life,
but it is still not a complete remedy because it does not make it as if the
conviction never happened. (For more information on what a pardon does and
does NOT do for you, see PG. 1081.)
A California Governor’s pardon is an honor traditionally granted only to
individuals who have demonstrated exemplary behavior following conviction for
2745
a felony.”
A pardon by the Governor is an official acknowledgement of your
rehabilitation, by the state’s highest elected official. A Governor’s pardon
provides significant relief from the collateral civil consequences of a criminal
conviction. Both the California Penal Code and the California Constitution give

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 4852.08.
CAL. PENAL CODE § 4852.04; cf. People v. Norton, 80 Cal. App. 3d Supp. 14 (App. Dep't Super Ct. 1978) (pardon
does not obliterate record of conviction); People v. Mendez, 234 Cal. App. 3d 1773, 1784 (Ct. App. 1991), reh'g
denied and opinion modified (Nov. 4, 1991) (same).
2745
State of Cal., Office of Governor, Office of Gov. Edmund G. Brown Junior, How to Apply for a Pardon at 3 (rev’d
Sept. 5, 2013), http://gov.ca.gov/docs/How_To_Apply_for_a_Pardon.pdf.
2743
2744

PAGE 1079 OF 1210

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the Governor the authority to grant a pardon, and that authority is entirely
2746
discretionary.
Unfortunately, Governor’s pardons are difficult to get and are NOT granted very
often, so you should try to clean up your record using other remedies first—such
as an expungement or a Certificate of Rehabilitation.

Pardons vs. Reclassification, Resentencing, and Reducing a Felony to
a Misdemeanor
In most cases, you are NOT eligible for a Governor’s pardon if you ONLY have
misdemeanor convictions on your criminal record. (In other words, you must
have a felony conviction to get a pardon.) If you reduce your felony conviction to
a misdemeanor under California Penal Code section 17(b) (see PG. 1065), or
have it reclassified or resentenced as a misdemeanor under Prop 47 (see
PG. 1069), you could become ineligible for a Governor’s pardon (unless you also
have other felony convictions on your record).

!
However,
in most cases it’s still better to have your felony conviction reduced to
a misdemeanor—even if that makes you ineligible for a Governor’s pardon—for
these reasons:
• It is MUCH easier to get your felony conviction reduced to a misdemeanor
than it is to get a Governor’s pardon. Governor’s pardons are very rare, and
you should not count on getting one.
• Getting your felony conviction reduced to a misdemeanor removes the felony
from your criminal record and allows you to say that you were never
convicted of a felony for that offense. But a Governor’s pardon does NOT
remove, erase, or seal the conviction on your record, so you will still have to
disclose that you have a felony conviction even if you have been pardoned.

!

IMPORTANT: If your conviction is eligible for a Certificate of
Rehabilitation, you should absolutely apply for a Certificate of
Rehabilitation first, BEFORE seeking a pardon. Getting a Certificate of
Rehabilitation almost ensures your chance of getting a pardon AND will
automatically serve as your application for one (so you will not have to do
anything else to apply!)

WHO CAN GET A GOVERNOR’S PARDON?
Anyone who has been convicted of a felony OR certain misdemeanor sex
2747
offenses is eligible for a pardon.
Your conviction must be from California—
you cannot get a Governor’s pardon for a conviction from another state, or for a
2748
federal conviction.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 4800; CAL. CONST., art. V, § 8; compare CAL. PENAL CODE § 4852.17 (governor’s pardon based
on certificate of rehabilitation does restore right to vote); How to Apply for a Pardon, STATE OF CAL. OFFICE OF THE
GOVERNOR EDMUND G. BROWN, JR., (rev’d Sep. 5, 2015), http://gov.ca.gov/docs/How_To_Apply_for_a_Pardon.pdf.
2747
CAL. PENAL CODE § 4852.01.
2748
How to Apply for a Pardon, STATE OF CAL. OFFICE OF THE GOVERNOR EDMUND G. BROWN, JR. (rev’d Sep. 5, 2015),
http://gov.ca.gov/docs/How_To_Apply_for_a_Pardon.pdf.
2746

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ROADMAP TO REENTRY

WHO CANNOT GET A GOVERNOR’S PARDON?
You are NOT eligible for a pardon if you ONLY have misdemeanor convictions
(that are NOT sex offenses) on your California criminal record.
Note: If you have a felony conviction from another state or for a federal
conviction, you still do NOT qualify for a California Governor’s pardon. Your
felony or misdemeanor sex offense conviction must be from California to qualify.

HOW COULD A GOVERNOR’S PARDON HELP ME?
A Governor’s Pardon can restore many of the rights and benefits that you lost
because of your conviction. A pardon MAY:
2749

1) Restore your right to serve on a jury;
2) Restore your California gun rights (UNLESS you were convicted
2750
of a felony involving the use of a dangerous weapon);
3) Permit you to work as a county probation officer or state parole
2751
agent*;
4) Relieve certain people of their duty to register as “sex offenders,”
who would otherwise still be required to register after getting a
2752
Certificate of Rehabilitation (see PG. 1077).

HOW CAN’T A GOVERNOR’S PARDON HELP ME?

PARDONS & GUN
RIGHTS
BEWARE: A pardon
may restore your
California gun
rights, but it will not
necessarily restore
your federal gun
rights (because
federal gun laws are
much stricter).

Like a Certificate of Rehabilitation, a pardon is still a limited remedy. There are
certain things that a pardon does NOT do for you:
2753
• A pardon does NOT seal or erase the record of your conviction
o (But you may still get the conviction expunged, if you meet all the other
requirements– see PG. 1054);
• A Pardon does NOT allow you to say that you’ve never been convicted of a
felony on applications for employment, housing, or professional licenses—
2754
you must still disclose the conviction
o (But you may still get the felony reduced to a misdemeanor or
reclassified under Prop 47, if you meet all the other requirements for
these remedies—see PG. 1069);
• A Pardon does NOT prevent your conviction from being considered a “prior”
2755
if you are convicted of a new offense in the future;
• A Pardon does NOT restore your gun rights if you were convicted of a felony
2756
involving the use of a dangerous weapon;
• A Pardon is NOT a remedy for any convictions from another state or for
2757
federal convictions;
2758
• A Pardon does NOT prevent you from being deported.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. CIV. PROC. CODE § 203(a)(5).
CAL. PENAL CODE §§ 4852.17, 4854. A pardon by the Governor may restore your California firearm privileges,
however, it will not necessarily restore your federal firearm privileges, which contain stricter prohibitions.
2751
CAL. GOV’T CODE § 1203. However, you still will not be eligible for any other peace officer positions.
2752
CAL. PENAL CODE § 290.5.
2753
CAL. PENAL CODE § 4852.17; How to Apply for a Pardon, STATE OF CAL. OFFICE OF THE GOVERNOR EDMUND G. BROWN,
JR., (Sep. 5, 2015), http://gov.ca.gov/docs/How_To_Apply_for_a_Pardon.pdf.
2754
How to Apply for a Pardon, STATE OF CAL. OFFICE OF THE GOVERNOR EDMUND G. BROWN, JR., (Sep. 5, 2015),
http://gov.ca.gov/docs/How_To_Apply_for_a_Pardon.pdf.
2755
How to Apply for a Pardon, STATE OF CAL. OFFICE OF THE GOVERNOR EDMUND G. BROWN, JR., (Sep. 5, 2015),
http://gov.ca.gov/docs/How_To_Apply_for_a_Pardon.pdf.
2756
CAL. PENAL CODE §§ 4852.17, 4854.
2757
How to Apply for a Pardon, STATE OF CAL. OFFICE OF THE GOVERNOR EDMUND G. BROWN, JR., (Sep. 5, 2015),
http://gov.ca.gov/docs/How_To_Apply_for_a_Pardon.pdf.
2749
2750

PAGE 1081 OF 1210

ROADMAP TO REENTRY

IF I AM ELIGIBLE, HOW COULD I GET A PARDON?
There are 3 different ways to get a pardon:
•

Certificate of Rehabilitation—By getting a Certificate of Rehabilitation first, a
request for your pardon is automatically sent to the Governor. This is the best
way to get a pardon, if your conviction is eligible for a COR. (For more
information about getting a Certificate of Rehabilitation, see PG. 1075.)

Remember, once you receive your COR, it automatically becomes your
application for a pardon also. The COR also serves as the judge’s official
recommendation that the Governor should grant your pardon.
Traditional Pardon—A traditional pardon is when you submit your request for
a pardon directly to the Governor (also called a direct pardon). This is the
best way to get a pardon if you are NOT eligible for a Certificate of
Rehabilitation. You must also apply for a traditional pardon directly from the
Governor if any of the following apply to you:
o Your conviction is from California but you do NOT currently live in
California;
o You were released from prison or onto parole before May 13, 1943; OR
o You are serving a life sentence without the possibility of parole, and you
2759
have more than 1 felony conviction.
# Board of Parole Hearings Recommendation—If the Board of Parole Hearings
(BPH) recommends you for a pardon while you’re still in prison,
based on your good conduct, unusual sentence, or another good
reasons (for example, you committed your offense because you
2760
were a victim of domestic violence).
•

IF I AM ELIGIBLE, WHEN COULD I APPLY FOR A PARDON?
When you can/ should apply for a pardon depends on the type of pardon you
are seeking.

1.

Pardon with Certificate of Rehabilitation

Since a Certificate of Rehabilitation acts as an automatic application for a
pardon, as soon as you are granted your COR, it will be forwarded straight to the
Governor as a pardon request —and you don’t need to do anything else! If you
do NOT have a Certificate of Rehabilitation yet, but your conviction is eligible for
one, you can apply for a COR as soon as you’ve completed your period of
rehabilitation. (For more information on getting a Certificate of Rehabilitation,
see PG. 1075.)

2. Traditional or Direct Pardon (without Certificate of Rehabilitation)
You can apply for a pardon directly from the Governor after you have been off
2761
probation or parole for 10 years, with NO criminal activity during that period.
The 10 year requirement will only be waived (excused) in very rare situations
(under “extraordinary and compelling circumstances”).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
8 U.S.C. § 1227(a)(2)(A)(vi); How to Apply for a Pardon, State of California Office of Governor Edmund G. Brown,
Jr., (Sep. 5, 2015), http://gov.ca.gov/docs/How_To_Apply_for_a_Pardon.pdf.
2759
15 CAL. CODE REGS. § 2816.
2760
CAL. PENAL CODE § 4801; 15 CAL. CODE REGS. § 2830.
2761
How to Apply for a Pardon, STATE OF CAL. OFFICE OF THE GOVERNOR (Sept. 5, 2013),
http://gov.ca.gov/docs/How_To_Apply_for_a_Pardon.pdf.
2758

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3. BPH-Recommended Pardon
The BPH can only recommend you for a pardon while you are still incarcerated.
There is no specific time frame for when the BPH can recommend you for a
pardon, but it would likely be after the BPH has a chance to consider information
about your case (for example, after you’ve had at least one BPH hearing).
•

•

If (or when) you have a BPH hearing, you can bring any evidence showing
why you deserve to receive a pardon, based on your good conduct,
accomplishments, the circumstances of your conviction, or your sentence.
If you are no longer in prison, you are not eligible for a BPH recommendation
for a pardon.

WHAT IS THE PROCESS FOR GETTING A PARDON?
How you go about getting a pardon depends on the type of pardon you are
seeking.

1.

Pardon With Certificate of Rehabilitation

You DO NOT have to do anything once you have your Certificate of
Rehabilitation! When the judge grants your COR, he will also send a copy of your
COR directly to the Governor’s Office. This will serve as your automatic
application for a pardon AND as an official recommendation from the judge that
the Governor should grant your pardon. You will not need to do anything else to
2762
apply.
Once the Governor receives a copy of your COR, s/he can do any of
the following:
•
•
•

Grant your pardon immediately (if you have no more than 1 felony
2763
conviction);
Do an investigation and review your case to decide whether to grant your
pardon; OR
Ask the Board of Parole Hearings (BPH) to investigate your case and make a
recommendation about whether you should receive a pardon (see below
2764
under “Traditional or Direct Pardon”).

2. Traditional or Direct Pardon (without a Certificate of Rehabilitation)
You need to complete a formal application for a pardon –called an “Application
for Gubernatorial Pardon.” If you are not eligible for a Certificate of
Rehabilitation, or if any of the following apply to you, this is the only way to
apply for a pardon from the Governor:
•
•
•

Your conviction is from California but you do NOT currently live in California;
You were released from prison or onto parole before May 13, 1943; OR
You are serving a life sentencing without the possibility of parole, and you
2765
have 2 or more felony convictions.

For instructions on how to complete a formal application for a traditional or
direct pardon, see APPENDIX W, on PG. 1159.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2762
2763
2764
2765

CAL. PENAL CODE § 4852.13(a).
CAL. PENAL CODE § 4852.16.
CAL. PENAL CODE § 4812.
15 CAL. CODE REGS. § 2816.

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3. BPH-Recommended Pardon
You cannot apply for a BPH-recommended pardon yourself—the BPH must
2766
recommend you to the Governor on its own.
However, you may be able to
show the BPH that you deserve to be recommended for a pardon. If you have a
BPH hearing, it’s recommended that you bring evidence (such as documents,
certificates, or letters) showing:
• That you were a victim of domestic violence and it led to your offense;
• Your extraordinarily good conduct or amazing accomplishments while
incarcerated; or
• Other special and unusual circumstances surrounding your conviction or
sentence.

HOW DO I APPLY FOR A TRADITIONAL PARDON DIRECTLY FROM
THE GOVERNOR (WITHOUT A CERTIFICATE OF
REHABILITATION)?
Here is a summary of the steps to apply for a Traditional Pardon directly from
the Governor. For a more detailed explanation of each step, see APPENDIX W,
PG. 1159.
STEP 1:

The Application

You will need to fill out the “Application for Gubernatorial Pardon” with
information about the conviction you want pardoned, any other convictions on
your record, and why you deserve a pardon.
•

You can get the application online at:
http://gov.ca.gov/s_pardonsandcommutations.php, or request an application
by mail from the Governor’s office:
Governor’s Office
State Capitol
ATTN: Legal Affairs
Sacramento, CA 95814

STEP 2: Notice to the District Attorney
•

•

Before sending your application to the Governor, you must notify
the District Attorney in the county where your conviction is from
2767
that you intend to request a pardon.
There is a special form to
use for this, which is included in the Application for Gubernatorial
Pardon.
You must deliver your notice for to the DA(s) at least 10 days
2768
before you submit your application to the Governor.

If you are requesting
a pardon for
multiple convictions
from DIFFERENT
counties, you must
notify the DA in
EVERY county
where you have a
conviction.

STEP 3: Submitting your Application to the Governor’s Office
•

At least 10 days after sending your notice to the DA(s), you can mail your
2769
completed Application for Gubernatorial Pardon to the Governor’s Office:
Governor’s Office
State Capitol
ATTN: Legal Affairs
Sacramento, CA 95814

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 4801(a).
CAL. PENAL CODE § 4802; 18 U.S.C. § 921 et seq.
2768
CAL. PENAL CODE § 4802.
2769
See How to Apply for a Pardon, STATE OF CAL. OFFICE OF THE GOVERNOR (Sept. 5, 2013),
http://gov.ca.gov/docs/How_To_Apply_for_a_Pardon.pdf.
2766
2767

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ONCE I HAVE APPLIED FOR A PARDON, WHAT HAPPENS?
What happens next will be different, depending on how you applied for a
Pardon:

1.

Pardon With Certificate of Rehabilitation

When the judge grants your COR, he will also send a copy of your COR
2770
directly to the Governor’s Office.
Once the Governor receives your
COR, s/he can do any of the following:
•
•
•

Grant your pardon immediately (if you have only 1 felony
2771
conviction);
Do an investigation and review your case to decide whether to
grant your pardon; OR
Ask the Board of Parole Hearings (BPH) to investigate your case
and make a recommendation about whether you should receive a
2772
pardon (see below under “Traditional or Direct Pardon”).

2. Traditional Or Direct Pardon (without Certificate of
Rehabilitation)
If you applied directly to the Governor for a Traditional Pardon, the
Governor will review of your case to decide whether you deserve a
pardon. The Governor may ask the judge of the court where you
were convicted and the DA who prosecuted you for information
about your case and recommendations about whether you should
2773
get a pardon.
In most cases, the Governor will also send your application to the
Board of Parole Hearings for its recommendation about whether you
2774
deserve a pardon.
The BPH may investigate your application by
looking at documents and transcripts from your case, talking to
witnesses, or doing anything else to evaluate your application. The
BPH will then make a recommendation to the Governor about whether
2775
you should get a pardon.

IF YOU HAVE 2
OR MORE
FELONY
CONVICTIONS
If you were
convicted of more
than one felony, the
Governor is required
to have the Board of
Parole Hearings
review your case,
regardless of
whether you were
issued a Certificate
of Rehabilitation.
Also, if you have
two or more felony
convictions, the
Governor cannot
grant you a pardon
without a
recommendation
from the California
Supreme Court,
however, the
Governor is not
required to send
your application to
the Supreme Court
for review.

REMEMBER: If you were convicted of 2 or more felonies, the Governor MUST
send your application to the Board of Parole Hearings for review, AND also
CANNOT grant your pardon without getting a recommendation from the
California Supreme Court. (However, the Governor does not have to send your
2776
application to the Supreme Court for review in the first place.)

3. BPH-Recommended Pardon
If the BPH recommends you for a pardon, it will conduct its own investigation of
your case first, before making its recommendation to the Governor. If the BPH

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 4852.13(a).
CAL. PENAL CODE § 4852.16; CAL. PENAL CODE § 667(d); cf. CAL. PENAL CODE § 3045; cf. People v. Laino, 32 Cal. 4th
878, 895 (2004); see also How to Apply for a Pardon, STATE OF CAL. OFFICE OF THE GOVERNOR (Sept. 5, 2013),
http://gov.ca.gov/docs/How_To_Apply_for_a_Pardon.pdf.
2772
CAL. PENAL CODE § 4812.
2773
CAL. PENAL CODE § 4803.
2774
How to Apply for a Pardon, STATE OF CAL. OFFICE OF THE GOVERNOR (Sept. 5, 2013),
http://gov.ca.gov/docs/How_To_Apply_for_a_Pardon.pdf.
2775
CAL. PENAL CODE § 4812.
2776
CAL. PENAL CODE § 4852.16.
2770
2771

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investigates your case, but decides NOT to recommend you for a pardon, it must
2777
tell you its reasons for not recommending you.

WHAT HAPPENS IF MY PARDON IS GRANTED?
What happens when the Governor grants your pardon is the same regardless of
whether you received the pardon based on your Certificate of Rehabilitation,
applied for a Traditional Pardon directly from the Governor, or were
recommended for a pardon by the BPH. Here is the process:
1)

The Governor’s Office will notify the CA Department of Justice (DOJ) and the
Federal Bureau of Investigation (FBI) to update their records.
2) The Governor will file your pardon with the CA Secretary of State and report
it to the CA State Legislature.
3) The pardon will become a public record, along with your Certificate of
Rehabilitation (if you received one) or your direct Application for
Gubernatorial Pardon. (However, any sensitive personal information will
2778
remain confidential and hidden from the public.)

WHAT CAN I DO IF MY PARDON IS DENIED?
If your pardon is denied, the only thing you can do is start over and file a new
application. However, just as with a Certificate of Rehabilitation, you should not
file a new application until AFTER you fix or improve whatever problems caused
2779
your first application to be denied.

SEALING CALIFORNIA STATE ADULT
ARREST RECORDS

WHAT HAPPENS
TO MY RAP
SHEET IF MY
ARREST RECORD
IS SEALED?

WHAT DOES IT MEAN TO HAVE AN ARREST RECORD
“SEALED” IN CALIFORNIA?

If your arrest record
is sealed, all
information about
the arrest is deleted
from your RAP
sheet, and a new
RAP sheet is issued
without any
information about
the arrest. ALL
records from the
arrest are
destroyed, including
your fingerprint
card.

Although California law limits who can consider your arrest record
and for what purposes, it is always a good idea to have an arrest
cleared from your record, if possible. This process is called “sealing”
the arrest record. It means that ALL documents related to your
arrest—including your fingerprints—are confidentially sealed for 3
2780
years, and then destroyed.
The benefit of having your arrest record sealed is that it deletes the
information from your RAP sheet (your official criminal record),
meaning NOT even law enforcement officers will see the
information in most cases. Once your arrest record is sealed, it is as

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

When your arrest
record is sealed, the
arrest (and anything
associated with it) is
considered NEVER
to have happened.

15 CAL. CODE REGS. § 2818.
How to Apply for a Pardon, STATE OF CAL. OFFICE OF THE GOVERNOR (Sept. 5, 2013),
http://gov.ca.gov/docs/How_To_Apply_for_a_Pardon.pdf.
2779
CAL. CODE REGS. tit. 15, § 2818.
2780
CAL. PENAL CODE § 851.8(a) & (b); People v. Christiansen, B252804, LA Superior Court No. SA 075027 (certified for
publication).
2777
2778

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if the arrest (and any related proceedings) never happened.
information on who can see your RAP sheet, see PG. 1039.)

2781

(For more

WHAT ARREST RECORDS CAN BE SEALED BY THE COURT?
Any arrest that did NOT lead to a conviction is eligible to be sealed. You can ask
to have your arrest record sealed if you were arrested, but:
•
•
•
•
•
•

2782

The DA NEVER filed charges against you in court;
OR
The DA offered you a diversion program instead of filing charges (and you
2783
successfully completed it);
OR
2784
The DA filed charges against you, but the case was dismissed;
The DA filed charges, but the judge sent you to a diversion program instead
2785
(and you successfully completed it);
OR
The DA filed charges against you, but you were acquitted at
2786
WHAT IS
trial;
“FACTUAL
The DA filed charges, you were convicted at trial, but the judge set
INNOCENCE”?
aside your conviction.

ARE THERE OTHER LEGAL REQUIREMENTS FOR
GETTING AN ARREST RECORD SEALED?
Yes. In order to have your arrest record sealed, you must fit into one
of the following situations:
•

You are found to be Factually Innocent
o If you were arrested but:
# You were never charged;
# Your charges were dismissed;
# You were acquitted at trial; OR
# You were convicted, but your conviction was set aside.
o And you meet the following requirements:
# A judge finds you “factually innocent” of the charges for
which you were arrested. A person is considered
“factually innocent” when a court finds that “no
reasonable cause exists to believe that the person
committed the offense for which the arrest was
2787
made;”
# You were an adult when you were arrested. (If you were
a juvenile when you were arrested, see PG. 1089 for
2788
information on cleaning up juvenile records);
# The arrest was for a misdemeanor or felony (NOT an
2789
infraction);
AND

“Factual innocence”
means that “no
reasonable cause
exists” for a judge to
think that you did
what you were
arrested for. It is a
very high and
difficult standard to
meet. In most cases,
even if your case
was dismissed or
you were acquitted
by a jury, a judge is
still not likely to find
you “factually
innocent.”
Examples of factual
innocence include:
the police arrested
you because they
thought you were
someone else; what
you did was not
actually illegal; or
your arrest was the
result of police
misconduct.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 851.8(f). (Note: although sealed records are physically destroyed in most circumstances, the
records remain in a confidential file in the DOJ computer and can be released under very limited circumstances.)
2782
CAL. PENAL CODE § 851.8(a).
2783
CAL. PENAL CODE § 851.87.
2784
CAL. PENAL CODE § 851.8(c) & (d).
2785
CAL. PENAL CODE § 851.90.
2786
CAL. PENAL CODE § 851.8(e).
2787
CAL. PENAL CODE § 851.8.
2788
CAL. PENAL CODE § 851.8.
2789
CAL. PENAL CODE § 851.8(n).
2781

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#

•

You were not convicted of any other crime connected to that same
2790
arrest.
You were Ordered to do a Diversion Program
o If you were arrested and
# The DA offered you a diversion program instead of charging you;
OR
# You were charged, but the judge sent you to a diversion program.

WHEN COULD I GET MY ARREST RECORD SEALED?
Generally, you must file a request to have your arrest record sealed within 2
years after the date of your arrest OR the date that charges were filed against
you (whichever is later). However, the judge can waive (excuse) the 2-year time
2791
limit if you can show “good cause” —meaning you can give the judge a really
good reason why you could not or did not file your petition within the 2-year
limit.
Since many people will be beyond the 2-year time limit, these are some
examples of reasons that may qualify as “good cause:”
•
•
•

If the charges are dismissed or you are acquitted more than 2 years after the
date of your arrest or charging;
If the DA waited more than 2 years after the arrest, and then decided not to
file charges;
In some cases, if you were trying to resolve your case informally, but were
2792
unsuccessful (but don’t wait too long afterward!).

Keep in mind, however, that it will be up to the judge to decide whether your
reason is good enough to waive the 2-year limit.

WHAT IS THE PROCESS FOR GETTING MY ARREST RECORD
SEALED?
The process for getting your arrest record sealed varies slightly, depending on
your situation:
1)

If you were arrested but never charged, you will need to start with the law
enforcement agency that arrested you, and ask to have your records sealed.
If the law enforcement agency refuses to seal your records (or doesn’t
respond), you can file your request in court; OR
2) If you were arrested and charges were filed, you should take your request
straight to the court first.
Either way, your claim will be reviewed, and you may have a hearing to convince
the judge that you are factually innocent. If you are found factually innocent by
either the law enforcement agency or the court, the records of your arrest will be
sealed and eventually destroyed.
For information and instructions for each step of this process, see APPENDIX X,
on PG. 1161.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Superior Court of California, County of Orange, Petition to Seal and Destroy Arrest Records, Information and
Instructions, http://www.occourts.org/forms/local/l348.pdf.
2791
CAL. PENAL CODE § 851.8(l).
2792
Cf. People v. Bermudez, 215 Cal. App. 3d 1226, 1230 (Ct. App. 1989), reh'g denied and opinion modified (Dec.
23, 1989).
2790

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SEALING CALIFORNIA STATE JUVENILE
RECORDS
It is a common misperception that juvenile criminal records are automatically
sealed when you turn 18. Unfortunately, this is not the case. If you have a
juvenile record in California, you must ask the court to have it sealed, otherwise
this information may find its way into your background check.
NOTE: This section refers only to sealing juvenile records from California. Every
2793
state has different laws for handling juvenile records.
If you have a juvenile
record from another state, you will need to find out what remedies are available
2794
in that state.
Additionally, federal juvenile records can be sealed only under
2795
the very limited circumstances (the same as federal adult convictions).
If you
have a federal juvenile record, it is recommended that you speak to a Federal
Public Defender. (For information on sealing federal adult records, see PG.
1092.)

WHAT COULD SHOW UP IN MY JUVENILE RECORD?
Your juvenile record is made up of all documents, exhibits, judge’s rulings,
orders, and reports associated with any trouble you got into before you turned
18. These are mostly contained in your juvenile court file, but may also be kept
by other agencies such as the Department of Justice (DOJ), the county
Probation Department, police, sheriff, or other law enforcement agencies, and
2796
the District Attorney.
Your record also includes any documents or records
made by these other agencies.

WHO CAN SEE MY JUVENILE RECORD?
Under the law, juvenile court and police records are generally confidential and
2797
NOT visible to the public or other people except in certain cases.
Also,
juvenile cases are considered “adjudications”—NOT “convictions”—so legally,
2798
you can say that you have NO convictions from your juvenile cases.
However, juvenile records sometimes DO show up on background checks, and
certain employers such as law enforcement and health care agencies are
2799
allowed to ask about unsealed juvenile records.
Once your juvenile record is sealed however, NO one can see it. All records kept
by the court, DOJ, probation department, and other law enforcement agencies
2800
are sealed, and it’s as if your case never happened.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Sealing Juvenile Court Records, NOLO, http://www.nolo.com/legal-encyclopedia/sealing-juvenile-courtrecords-32228.html.
2794
See How can my federal juvenile records be used against me?, NOLO CRIMINAL DEFENSE LAWYER,
http://www.criminaldefenselawyer.com/can-i-expunge-my-federal-juvenile-record.htm.
2795
18 U.S.C. § 3607; see also How can my federal juvenile records be used against me?, NOLO CRIMINAL DEFENSE
LAWYER, http://www.criminaldefenselawyer.com/can-i-expunge-my-federal-juvenile-record.htm.
2796
CAL. WELF. & INST. CODE § 781; see also Sealing Your Juvenile Records, PUBLIC COUNSEL (2013),
http://www.publiccounsel.org/tools/publications/files/Sealing-your-Juvenile-Record.pdf.
2797
CAL. WELF. & INST. CODE § 825 et seq; CAL. RULE OF COURT, Rule 5.552(b).
2798
CAL. WELF. & INST. CODE § 203.
2799
CAL. WELF. & INST. CODE § 432.7; CAL. PENAL CODE § 851.8(b), (c); People v. Adair, 29 Cal. 4th 895 (2003).
2800
CAL. WELF. & INST. CODE § 781.
2793

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WHO CAN GET THEIR JUVENILE RECORDS SEALED?
Like everything else, it depends. You must meet 5 basic criteria in
2801
order to get your juvenile record sealed:
1)

You are over 18 years old, OR it has been 5 years since you were
last arrested or completed your juvenile probation (whichever is
later);
You do NOT have any convictions as an adult for a felony OR for
a misdemeanor involving “moral turpitude.” (“Moral turpitude”
2802
means the offense involved dishonest or immoral behavior,
such as theft, fraud, certain sex and drug offenses, and offenses
causing significant bodily injury);
Your case started and ended in juvenile court (not in some other
court, such as probate court or adult criminal court);
You can demonstrate (and convince the judge) that you have
been rehabilitated; AND
There is NO open civil lawsuit based on your juvenile offense.

2)

3)
4)
5)

“CONVICTIONS
AS AN ADULT”:
A conviction as an
adult means you
were charged as an
adult in criminal
court (NOT in
juvenile court) and
convicted (either by
plea bargain or trial).

If you do not meet ALL of the above requirements, you will not be able to get
your juvenile record sealed.

WHO CANNOT GET THEIR JUVENILE RECORD SEALED?
You CANNOT get your juvenile record sealed if you committed any of the
following offenses AND you were 14 or older at the time:
•
•
•
•
•
•
•
•

Murder, attempted murder, or voluntary manslaughter.
Assault with a firearm, other weapons, or any means of force likely to
produce great bodily injury.
Rape, sodomy, or other sexual offenses, while using force, violence, or threat
of great bodily harm.
Using a firearm while committing a felony (or attempted felony)
Arson.
Robbery.
Various kidnapping offenses.
Any other serious or violent offense listed in California Welfare & Institutions
2803
Code section 707(b).

WHAT IS THE PROCESS FOR GETTING MY JUVENILE RECORD
SEALED?
To get your juvenile record sealed, you will need to file a request (called a
Petition to Seal Juvenile Records) in the juvenile court where your case was
adjudicated. You will have a hearing where the judge will review your petition
and ask for a recommendation from the probation department. You will need to
answer any questions the judge has, and you can bring people to testify on your
behalf. The judge will then decide whether or not to grant your request. If the

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. WELF. & INST. CODE § 781.
See Nunez v. Holder, 594 F.3d 1124, 1124 (2010) (“Once again we face the question of what is moral turpitude
[for purposes of criminal immigration law]: a nebulous question that we are required to answer on the basis of
judicially established categories of criminal conduct.”); see also In re Craig, 12 Cal.2d 93, 97 (1938) (“Moral turpitude
[a key concept in criminal immigration law] has been defined by many authorities as an act of baseness, vileness or
depravity in the private and social duties which a man owes to his fellowmen, or to society in general, contrary to the
accepted and customary rule of right and duty between man and man.”).
2803
CAL. WELF. & INST. CODE § 781; see also § 707(b) (Serious offenses include murder, arson, robbery, rape, and
kidnapping, among others).
2801
2802

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judge decides to seal you record, s/he will also order all other agencies that
have juvenile records on you to seal their records as well. If the judge does not
decide to seal your record, you are allowed to refile your petition (the judge will
tell you when).
For more information and instructions on how to seal your juvenile record, see
APPENDIX Y, on PG. 1163.)
For more information about sealing juvenile records in general, see Sealing Your
Juvenile Records—a helpful guide from Public Counsel, available online at
http://www.publiccounsel.org/tools/publications/files/Sealing-your-JuvenileRecord.pdf.

!

IMPORTANT: As of January 1, 2015, California Welfare & Institutions
Code section 786 changed so that juveniles who successfully complete
probation, and otherwise qualify to have their record sealed, will have
their juvenile record automatically sealed by the judge, without having to
file a petition in court or do anything else.2804
However, this DOES NOT apply to juveniles who completed their
probation BEFORE January 1, 2015. If you completed your juvenile
probation BEFORE January 1, 2015, you will still need to file a petition in
court to have your juvenile record sealed.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2804

CAL. WELF. & INST. CODE § 786.

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FEDERAL EXPUNGEMENTS & DISMISSALS
WHAT TYPES OF FEDERAL EXPUNGEMENT ARE AVAILABLE, AND
HOW COULD THEY HELP ME?
Convictions for federal offenses (meaning violations of U.S. law) often
have broader consequences beyond California law. Federal
convictions can cause some people to become ineligible for
2805
2806
government-assisted housing,
federal student loans,
and
prohibit you from participating in foster care or adoption
2807
programs.
so getting them expunged can benefit you in
reapplying to these program.s
Unfortunately, most federal convictions cannot be expunged or
dismissed. Unlike in California (and most other states), there is NO
general federal law that offers expungements for federal convictions.
However, there are a few federal laws that offer expungements and
dismissals in certain limited situations.
There are only a few options for cleaning up federal convictions on
your criminal record:
• If your federal conviction is for certain drug offenses and you were
UNDER 21 when you committed the offense, you may be eligible
for a federal expungement. (See Situation 1, below.)
• If your federal conviction is for certain drug offenses and you were
OVER 21 when you committed the offense, you may be eligible for
a federal dismissal, but not an expungement. (See Situation 2,
below).
• It is possible but very difficult to get your conviction expunged by
a federal judge (this is called a judicial expungement). However,
this is very rare, and depends on which federal court you were
convicted in. (See Situation 3, below).

WHO CAN GET A FEDERAL EXPUNGEMENT OR
DISMISSAL?
If you have a federal drug conviction (Situation 1 or 2, below), you
may qualify for an expungement or dismissal of your conviction if ALL
of the following are true:
•

•

FEDERAL
EXPUNGEMENT
& DISMISSAL:
A federal
expungement is
different than an
expungement under
California law.
Federal law allows
for complete
expungement of
your conviction. The
entire record of your
conviction is
completely erased
along with any
information
associated with it.
The offense is
removed from your
criminal record as if
it never happened.
This only applies in
very limited
situations, but it is a
true expungement
(see Situation 1).
A federal dismissal
is more like a
California
expungement, in
that the conviction
is NOT completely
erased from your
record, but it is still
hidden from public
view (see
Situation 2).

You were convicted of only one drug-related offense.
o You are NOT eligible if you have any other drug-related convictions
(state or federal), OR if you have had any previous drug convictions
2808
expunged under the statute.
You were in possession of only certain types of drugs.
o The federal expungement statute ONLY covers convictions for
marijuana, cocaine and cocaine-based substances, heroine, and
methamphetamines (along with a few other less common drugs). To be

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Dep’t of Hous. & Urban Dev. v. Rucker, 535 U.S. 135 (2002).
20 U.S.C. § 1091(r).
2807
42 U.S.C. § 671(20)(a) (requiring states to comply with the requirements of the Adoption and Safe Families Act of
1997 (ASFA) in order to receive ASFA funding).
2808
18 U.S.C. § 3607.
2805
2806

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•

•

eligible, your conviction must have involved one of these drugs (NOT
2809
any other drug).
You were convicted of “simple possession” only.
o You are NOT eligible if your conviction was for any other offense
besides possession of a small amount of drugs consistent with personal
use. This means no sales, transportation, or distribution offenses will
2810
qualify.
The judge “suspended” entry of judgment of conviction for the offense.
o This means that you were found guilty of the offense, but the judge
basically put your conviction on hold, and did not enter it into the official
record. (This is to give you a chance to complete probation or a
treatment program instead of going to prison.);
o The judge put you on probation for no more than 1 year; AND
o You successfully completed probation with NO violations.

I MEET ALL OF THE REQUIREMENTS FOR FEDERAL
EXPUNGEMENT. WHAT ARE MY NEXT STEPS FOR PURSUING
THE EXPUNGEMENT?
SITUATION 1: IF YOU WERE UNDER 21 AT THE TIME OF THE DRUG OFFENSE.
When your probation term ends, you can ask the judge to expunge your
conviction. If you have successfully completed your probation with NO
violations, and you meet all the other requirements, the judge is required to
grant your expungement. This means that ALL official records of your conviction,
all references to your arrest, and the results of any criminal proceedings against
you will be destroyed. You will get back any rights that you lost because of your
conviction, and you can say that you have never been arrested, prosecuted, or
2811
convicted of the offense.
SITUATION 2: IF YOU WERE OVER 21 AT THE TIME OF THE DRUG OFFENSE.
If you were over the age of 21 at the time of your offense, your conviction will
not be completely expunged (i.e. erased). However, if you successfully complete
your probation with NO violations, and you meet all the other requirements
described above, the judge is required to dismiss your conviction at the end of
your probation term. You can also ask the judge to dismiss your conviction and
release you from probation early (before the end of your probation), but it will be
up to the judge whether or not to grant this early.
Once your conviction is dismissed, the record will be sealed—meaning the
record will still exist, but it will NOT be public, and it will NOT show on your
criminal record that you were ever convicted of the offense. You will also get
2812
back any rights that you lost because of your conviction.
NOTE: If your conviction is expunged (Situation 1) or dismissed (Situation 2), the
U.S. Department of Justice will keep a confidential, non-public record of your
conviction in case you try to get another conviction expunged or dismissed in
the future. Remember: You can only get a federal expungement once in a
2813
lifetime!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2809
2810
2811
2812
2813

These substances are listed in § 404 of the Controlled Substances Act. 18 U.S.C. § 3607; 21 U.S.C. §§ 841, 844.
18 U.S.C. § 3607, 21 U.S.C. §§ 844, 844a.
18 U.S.C. § 3607(c).
18 U.S.C. § 3607(a)(b).
18 U.S.C. § 3607 (b).

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IS THERE ANY OTHER WAY TO GET MY FEDERAL CONVICTION EXPUNGED?
(SITUATION 3)
Maybe. It is sometimes possible to convince a federal judge to ORDER that your
conviction be expunged. This is called a “judicial expungement.” However,
judicial expungements are VERY, VERY rare—and some courts won’t do them at
2814
all.
Many federal courts only grant judicial expungements when it is
necessary to correct an error in a criminal case that amounts to a violation of
your basic rights (i.e. a “miscarriage of justice”). In these courts your only chance
of being granted a judicial expungement is if your conviction was the result of
illegal or invalid conduct by the government, such as an unlawful arrest, an
2815
unconstitutional law, or a gross administrative error.
•

The federal courts in California follow this rule—so if your federal conviction
happened in California, you will need to show that your conviction was
caused by a “miscarriage of justice,” otherwise the judge will NOT grant you
2816
a judicial expungement.

Other federal courts will grant a judicial expungement only under specific and
extraordinary circumstances, when they determine that it is necessary in all
2817
fairness.
These courts balance the harm that you suffer because of your
criminal record (for example, if you are denied public housing or benefits, you
cannot be with your family, or you are disqualified from certain jobs), against the
2818
public’s interest in preserving the record of your conviction.
•

If your federal conviction is from a state where the federal courts allow the
judge to balance the factors of your situation, you will still have to convince
the judge that the expungement is necessary to preserve your basic
2819
rights.

THE BOTTOM LINE:
The only circumstances under which you are likely to get a judicial expungement
of your federal conviction are:
1)

When your conviction is based on a law that was later found to be
unconstitutional; or
2) If a judge finds that your conviction was the result of police or government
misconduct.
If you want to request a judicial expungement of your federal conviction, it is
recommended that you talk to a lawyer. You can contact the lawyer who
represented you in your criminal case or a federal public defender.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Federal courts are divided into thirteen “circuits” across the country, comprised of district trial courts and circuit
courts of appeals. Each of these circuit courts decides how the law should be interpreted within that circuit, which
the district courts below must follow. This means that there are often discrepancies in the law at the federal circuit
level—in other words, the same law can mean different things depending on where you live. These differences
persist until the Supreme Court rules on which interpretation is correct. This is the current state of federal
expungement law. Several federal circuit courts have ruled that the courts should be allowed to order
expungements based on their inherent equitable powers—their duty to make things fair. Others have decided that
expungements are beyond the scope of the court’s duties and that they infringe on the powers allocated to the
other branches of government. The Supreme Court has not resolved the dispute. See U.S. v. Mitchell, 683 F. Supp.
2d 427 (2010).
2815
Courts of Appeal in the First, Third, Sixth, Eighth, and Ninth Circuits, as well as some district courts in the
Eleventh Circuit, do not allow expungements based on equitable grounds (i.e. to reward rehabilitation) and will not
even hear these motions. See U.S. v. Meyer, 439 F.3d 855 (8th Cir. 2006), U.S. v. Coloian, 480 F.3d 47 (1st Cir. 2007);
U.S. v. Sumner, 226 F.3d 1005 (9th Cir. 2000).
2816
U.S. v. Sumner, 226 F.3d 1005 (9th Cir. 2000).
2817
Federal U.S. courts in the Second, Fourth, Fifth, Seventh, Tenth, and D.C. Circuits allow judicial expungements
for equitable purposes under extraordinary circumstances. See U.S. v. Flowers, 389 F.3d 737 (7th Cir. 2004), U.S. v.
Schnitzer, 567 F.2d 536 (2nd Cir. 1977), Camfield v. City of Oklahoma City, 248 F.3d 1214 (10th Cir. 2001).
2818
U.S. v. Flowers, 389 F.3d 737 (7th Cir. 2004).
2819
Livingston v. U.S. Dep’t of Justice, 759 F.2d 74, 78 (D.C. Cir. 1985).
2814

PAGE 1094 OF 1210

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U.S. PRESIDENTIAL PARDONS
WHO CAN GET A PRESIDENTIAL PARDON OF A FEDERAL
CONVICTION?
It depends. Presidential pardons are even more difficult to get than
federal judicial expungements (see PG. 1094). U.S. Presidential
Pardons are generally only given in high-profile, highly public
cases—for example, to certain public figures or politicians, or to
friends and relatives of the President.
Technically, any federal conviction is eligible for a presidential
pardon, but you must first complete your sentence (including any
parole or probation term) AND a 5-year waiting period before you
can request a Pardon. The 5-year waiting period starts when you are
released from custody, or from the date of your conviction if you
2820
were never incarcerated (whichever is later).
During this time, you
will need to show that you have led a responsible and productive
life, made significant efforts toward rehabilitation, and taken
responsibility for your offense.
In deciding whether to grant your pardon, the President will consider
the following factors, so you should emphasize your efforts and
accomplishments in these areas:
•
•
•
•
•
•
•

Employment, including stable work and financial situation;
Family responsibility;
Community service, volunteer work, or other charitable activities;
Reputation in the community;
Military service (if applicable);
Any other accomplishments; AND
Your efforts to take responsibility for your offense and make
2821
restitution to any victims.

WHO GETS
PRESIDENTIAL
PARDONS?
Here are some
examples of people
who have received a
Presidential Pardon:
• Former President
Richard Nixon
• George
Steinbrenner
(former owner of
the New York
Yankees)
• Roger Clinton, Jr.
(half-brother of
former President
Bill Clinton)
• Marc Richard
(billionaire
businessman)
• Jimmy Hoffa
(former union
leader)
• Patty Hearst

Here are some other things you should include or mention:
•

•

•

Letters of support, reports, and recommendations—particularly official
reports or recommendations from people involved in your criminal case, such
as the judge, the prosecutor, or your federal probation officer.
Any hardships caused by your conviction—for example, if your conviction is
preventing you from getting certain jobs or professional licenses; or making it
difficult for you to reunite with your children and family; or if you cannot get
certain public benefits, public housing, loans, or other services because of
your conviction.
The amount of time that has passed since your conviction—The more serious
your offense, the more time you will need to put between your conviction and
your request in order to demonstrate your rehabilitation and convince the
2822
president that you deserve a pardon.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2820
2821
2822

28 C.F.R. § 1.2.
Standards for Consideration of Clemency Petitioners, U.S. DEP’T OF JUSTICE, § 1-2.113.
Standards for Consideration of Clemency Petitioners, U.S. DEP’T OF JUSTICE, § 1-2.113.

PAGE 1095 OF 1210

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HOW DO I GO ABOUT APPLYING FOR A PRESIDENTIAL
PARDON?
To apply for a presidential pardon, you must complete a “Petition for
Executive Clemency” and file it with the Office of the Pardon Lawyer
within the U.S. Department of Justice. Application forms and
instructions can be found on the U.S. Department of Justice website
at: http://www.justice.gov/pardon/.
For more information on requesting a Presidential Pardon, see
http://www.justice.gov/pardon/rules-governing-petitions-executiveclemency.

!

For most people, a presidential pardon is NOT a realistic
solution for cleaning up your criminal record.

PAGE 1096 OF 1210

REMEMBER:
You must complete
your sentence
(including any
probation, parole, or
supervision) AND a
5-year waiting
period before you
can request a
pardon.

ROADMAP TO REENTRY

VI. REGISTRATION
REQUIREMENTS—SEX,
ARSON, DRUGS
HOW WILL CLEANING UP MY RECORD AFFECT MY REGISTRATION
REQUIREMENT?
Like with most other questions about cleaning up your record, the answer will
depend on the type of registration requirement you have, your conviction
offense, and which remedy(ies) you use to clean up your record. For specific
answers, it is recommended that you discuss your individual situation with a
lawyer.

SEX REGISTRATION
Registration as a sex offender under California Penal Code section 290 is the
most severe and permanent type of registration. However, under limited
circumstances, cleaning up your record can remove your registration
requirement.

WILL THE REMEDY REMOVE MY REGISTRATION REQUIREMENT?
•

•

Expungement—NO, an expungement alone does NOT remove your sex
2823
registration requirement.
2824
o However, if you also get a Certificate of Rehabilitation
AND
o You qualify for relief from registration under California Penal Code
2825
section 290.5 (which has additional requirements and restrictions),
you may no longer have to register.
Certificate of Rehabilitation (COR)—Maybe, but it will depend on what
offense you were convicted of.
o A COR WILL remove your sex registration requirement if you were not
convicted of one of the disqualifying offenses under Penal Code section
2826
290.5(2).
o For the serious (felony) sex offenses listed in Penal Code section
290.5(2), a COR will NOT remove your sex registration requirement
2827
(unless you also get a pardon).
o Remember, a COR is available for misdemeanor sex offense convictions
that are expunged under California’s expungement statute (Penal Code
2828
section 1203.4).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 290.007, 1203.4; see also CAL. PENAL CODE § 290.5.
Remember, misdemeanor sex offense convictions are eligible for Certificates of Rehabilitation. See CAL. PENAL
CODE § 4852.01.
2825
CAL. PENAL CODE § 290.007; see also CAL. PENAL CODE § 290.5.
2826
CAL. PENAL CODE § 290.5(a).
2827
CAL. PENAL CODE § 290.5(b).
2828
CAL. PENAL CODE § 4852.01
2823
2824

PAGE 1097 OF 1210

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•

o If your conviction was for certain sex offenses involving children (Cal.
Penal § 288 or 288.5 ONLY), you received probation, AND you received
a COR before 1998, a judge may remove your sex registration
2829
requirement after 10 years with no new felony convictions.
Pardon—YES, this will remove your sex registration requirement.
o A full pardon from the governor will remove your sex registration
requirement, BUT a pardon is VERY difficult to get and granted only in
2830
“extraordinary circumstances.”

Sex Registration & Megan’s Law
Under “Megan’s Law,” the California Department of Justice is required to keep a
public website with personal and criminal history information about anyone who
is required to register as a sex offender under California Penal Section 290. The
website is available to the public, and includes information about your conviction
offense, certain other information about your criminal history, a photograph and
description of what you look like, and other personal information (name, date of
birth, the community and zip code or county where you live, and in some cases
2831
even your address).

!

IMPORTANT: In some cases, you may be able to get your information
removed from the Megan’s Law website. If your conviction was for a less
serious sex offense, AND you do NOT have any other convictions for
more serious sex offenses, you can ask the DOJ to remove (“exclude”)
your information from the public website. If you meet all of the other
requirements (listed in Cal. Penal 290.46(e)), the DOJ is required to
remove your information.2832 BUT even if your information is removed
from the DOJ website, you are still required to register under section 290
(unless you get your registration requirement legally lifted).

ARSON REGISTRATION
WILL THE REMEDY REMOVE MY REGISTRATION REQUIREMENT?
•

•
•

Expungement—YES, an expungement will remove your arson registration
requirement if:
o Your conviction was for a misdemeanor arson offense AND you get the
2833
conviction dismissed under California’s expungement statute.
Certificate of Rehabilitation—YES, this will remove your arson registration
2834
requirement, even if you had a lifetime registration requirement!
2835
Pardon—YES, this will remove your arson registration requirement.
o BUT remember, a pardon is very difficult to get and granted only in
“extraordinary circumstances.”

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 290.5(b)(3).
CAL. PENAL CODE § 4852.01(e).
CAL. PENAL CODE § § 290.46(a)-(d).
2832
CAL. PENAL CODE § 290.46(e).
2833
CAL. PENAL CODE § 457.1; see also CAL. PENAL CODE § 1203.4.
2834
CAL. PENAL CODE § 457.1.
2835
CAL. PENAL CODE §§ 457.1, 4852.01, 4853.
2829

2830
2831

PAGE 1098 OF 1210

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DRUG REGISTRATION
WILL THE REMEDY REMOVE MY REGISTRATION REQUIREMENT?
2836

Your drug registration requirement will end automatically after 5 years.
(The
5-year period starts when you are released from prison or jail, or when you are
discharged from probation or parole.) In many cases, your registration
requirement will end on its own, even before you clean up your record.
•

•

•

2837

Expungement—YES, this will remove your drug registration requirement.
o Getting your conviction expunged under California’s expungement
statute will remove your requirement to register as a drug offender.
Certificate of Rehabilitation—YES, this will remove your drug registration
requirement.
o If you get a Certificate of Rehabilitation, you no longer have to register
2838
as a drug offender.
However, most people have to wait more than 5
years before applying for a COR. By this time you will no longer have to
register anyway.
Pardon—YES, this will remove your drug registration requirement.
o BUT remember, a pardon is very difficult to get and granted only in
“extraordinary circumstances.” Most people have to wait more than 5
years before applying for a pardon, by which time you will no longer
2839
have to register anyway.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. HEALTH & SAFETY CODE § 11594.
CAL. HEALTH & SAFETY CODE § 11594; see also CAL. PENAL CODE § 1203.4.
2838
CAL. PENAL CODE §§ 4852.17, 4852.19.
2839
CAL. PENAL CODE § 4853; see also How to Apply for a Pardon, STATE OF CALIFORNIA OFFICE OF GOVERNOR EDMUND G.
BROWN, JR., http://gov.ca.gov/docs/How_To_Apply_for_a_Pardon.pdf.
2836
2837

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VII. DNA EXPUNGEMENT
WHAT IS A DNA EXPUNGEMENT?
In California, anyone convicted of a felony, anyone convicted of a misdemeanor
with a prior felony conviction, anyone on probation, parole, or supervision for a
felony or with a prior felony conviction, and anyone required to register under
California Penal Code sections 290 (sex offense) or 457.1 (arson), is required to
2840
give a DNA sample.
Previously, DNA samples were also collected from
anyone who was even arrested for certain felonies—but the California courts are
still working out whether or not it is constitutional to take DNA samples from
2841
someone who has only been arrested and not convicted.
These DNA samples
are kept in a state and national database, and then used by law enforcement
agencies to identify suspects involved in other crimes.
Usually when a sample of your DNA is taken, it will be kept in the California state
database (CAL-DNA program), and the information may be shared with the
national database (kept by the FBI), which can be searched by law enforcement
2842
agencies around the country.
If you had to give a DNA sample because of your arrest or conviction, you may
want to consider getting your DNA expunged from the state and/or national
databases. As long as your DNA remains in the database, law enforcement
agencies can use your DNA to try to connect you (even incorrectly) to other
crimes. Getting your DNA expunged from a database means that your DNA
sample will be destroyed and all related information (your DNA profile) will be
2843
completely removed from that database.

CALIFORNIA DNA EXPUNGEMENT
WHO CAN GET THEIR DNA EXPUNGED FROM THE CALIFORNIA
DATABASE?
You may qualify to have your DNA expunged from the California database if you
meet the following requirements:
1)

Your DNA was collected after you were arrested BUT NO charges were ever
filed against you; OR
2) Your DNA was collected after you were arrested and charges were filed
against you, but the charges were dismissed, or you were acquitted; OR
3) Your DNA was collected after you were arrested and criminal charges were
filed against you, BUT your conviction was overturned;
AND
4) You have NO felony convictions (or juvenile felony adjudications) on your
criminal record. (NOTE: Even if you get your felony conviction expunged or
reduced to a misdemeanor, it will still count as a felony for purposes of DNA

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2840
2841
2842
2843

CAL. PENAL CODE § 295 et seq.
People v. Buza, 342 P.3d 415 (Cal. 2015) (granting petition for review).
CAL. PENAL CODE §§ 297, 299.6.
CAL. PENAL CODE § 299.

PAGE 1100 OF 1210

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collection, so you will NOT qualify to have your DNA expunged from the
2844
database.);
AND
2845

5) You are NOT required to register as a sex or arson offender.

If you meet all of the legal requirements, your DNA MUST be expunged from the
database once you submit your request for expungement.

HOW CAN I GET MY DNA EXPUNGED FROM THE CALIFORNIA
DATABASE?
You can request to have your DNA expunged from the California database
directly from the DOJ, or you can file a petition in court asking for a court order
to expunge it. It is easier and faster to request expungement directly from the
DOJ because, if you meet the requirements, the DOJ is required to expunge
your DNA records. If you are denied by the DOJ, and have to file in court, this
generally means you do not meet one of the requirements. If you file in court,
you will have to convince a judge to order expungement of your DNA.
For more details on both processes for requesting expungement of your DNA
from the California database, APPENDIX Z, on PG. 1165.
For more information about DNA expungement in California in general, see
Getting Expunged or Removed from the CAL-DNA Data Bank on the California
DOJ’s website at: https://oag.ca.gov/bfs/prop69/faqs.

FBI (NATIONAL) DNA EXPUNGEMENT
WHO CAN GET THEIR DNA EXPUNGED FROM THE NATIONAL
DATABASE?
If your DNA sample was taken for a federal arrest or conviction, you
may qualify to have your DNA expunged from the FBI’s national
database if:
1)

Your federal arrest did NOT result in a conviction, because NO
charges were filed against you, or the charges were dismissed, or
you were acquitted;

The national DNA
database is also
called “CODIS,”
which stands for
Combined DNA
Index System

OR
2) Your federal conviction has been overturned.
In order to get your DNA expunged, you will need to provide an official court
order showing the final outcome of your arrest, case, or overturned
2846
conviction.
For details on how to get your DNA expunged from the federal database, see
APPENDIX Z, on PG. 1165.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2844
2845
2846

CAL. PENAL CODE § 299(f).
CAL. PENAL CODE § 299.
42 U.S.C. § 14132(d)(1).

PAGE 1101 OF 1210

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NOTE: If you want to get your California DNA sample expunged from the
national
database, you will need to contact the California DOJ and follow the
!
instructions in APPENDIX Z, on PG. 1165 for expungement from the California
2847
DNA database.
For more information on expungement of DNA from the national database, visit
the FBI’s website on CODIS—Expungement Policy, available at
http://www.fbi.gov/about-us/lab/biometric-analysis/codis/codis_expungement.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CODIS—Expungement Policy, Expungement of DNA Records in Accordance with 42 U.S.C. 14132(d)(1)(A), THE
FED. BUREAU INVESTIGATION.
2847

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VIII. CONCLUSION
Hopefully this Chapter has given you a better understanding of your criminal
records, how to correct errors early in your reentry.
Later in reentry, if you become eligible, we hope this Chapter has also shown
you the many options that are available to help you “clean up” your record and
minimize its impact on your life.

!

PAGE 1103 OF 1210

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EXPUNGEMENT
APPENDIX
APPENDIX A.

Getting Your California (DOJ) RAP sheet – PG. 1106

APPENDIX B.

Request for Live Scan Service (form BCIA 8016) &
Instructions – PG. 1108

APPENDIX C.

Sample Letter and Declaration for Fee Waiver—California
(DOJ) RAP Sheet – PG. 1111

APPENDIX D.

Getting Your FBI (Federal) RAP Sheet – PG. 1113

APPENDIX E.

FBI RAP Sheet Request Checklist – PG. 1115

APPENDIX F.

Fixing Errors in Your California (DOJ) RAP Sheet – PG. 1116

APPENDIX G.

Fixing Errors in Your FBI (Federal) RAP Sheet – PG. 1118

APPENDIX H.

Fixing Errors in Your Background Check – PG. 1120

APPENDIX I.

Sample Letter to Challenge Information in Your Background
Check – PG. 1123

APPENDIX J.

Sample Statement of Dispute – PG. 1124

APPENDIX K.

Petition for Dismissal (California Expungement – PG. 1125

APPENDIX L.

Tips for Writing a Declaration – PG. 1130

APPENDIX M.

Sample Declaration – PG. 1131

APPENDIX N.

Tips for Gathering Letters of Support – PG. 1132

APPENDIX O.

Sample Letter of Support – PG. 1134

APPENDIX P.

Motion for Early Termination of Probation – PG. 1135

APPENDIX Q.

Sample Motion for Early Termination of Probation – PG. 1137

APPENDIX R.

How to Reduce Your Felony Conviction to a Misdemeanor –
PG. 1144

APPENDIX S.

Sample Petition to Reduce Felony Conviction to
Misdemeanor – PG. 1146

APPENDIX T.

Resentencing & Reclassification Under Prop 47 – PG. 1152

APPENDIX U.

Certificates Of Rehabilitation—Period Of Rehabilitation –
PG. 1155

APPENDIX V.

Certificate Of Rehabilitation—Petition For Certificate Of
Rehabilitation – PG. 1156

APPENDIX W.

Governor’s Pardon—Application For Traditional Pardon
Directly From Governor (Without Certificate Of
Rehabilitation) – PG. 1159

PAGE 1104 OF 1210

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APPENDIX X.

How to Seal Your Adult Arrest Record (California State
Records) – PG. 1161

APPENDIX Y.

How to Seal Juvenile Records – PG. 1163

APPENDIX Z.

How to Get DNA Expungement – PG. 1165

APPENDIX AA.

Sample California RAP Sheet – PG. 1167

APPENDIX BB.

FBI Applicant Information Form – FBI RAP Sheet – PG. 1168

APPENDIX CC.

FBI-Approved Channelers – PG. 1170

APPENDIX DD.

Petition for Dismissal (CR-180) & Order for Dismissal (CR-181)
– PG. 1171

APPENDIX EE.

Prop 47 – Sample Petitions – PG. 1175

APPENDIX FF.

How to Apply for Governor’s Pardon – PG. 1183

APPENDIX GG.

Petition & Order to Seal and Destroy Adult Arrest Records –
PG. 1187

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APPENDIX A
Getting Your California (DOJ) RAP sheet
STEP 1:

Get and Fill out the “Request for Live Scan Service” (Form BCIA
8016).

This form can be downloaded from the DOJ website at:
2848
http://oag.ca.gov/fingerprints/security.
The form should also be available at
2849
any public Live Scan Site.
For a listing of public Live Scan Sites throughout
California, visit the DOJ’s website at: https://oag.ca.gov/fingerprints/locations.
(See APPENDIX B, on PG. 1106 for a sample Request for Live Scan Services form
and instructions for filling it out.)

!

IMPORTANT INFORMATION ABOUT FILLING OUT THE REQUEST FOR
LIVE SCAN SERVICES FORM:
• The DOJ is very particular about how this form is filled out. When
you’re filling out the form, make sure you:
• Where the form says “Type of Application,” check the box for “Record
Review.”
• Where the form says “Reason for Application,” write “Record Review”
on the line.
STEP 2: Find a Live Scan Site near you.
Live Scan services are available at most local police departments and sheriff’s
2850
offices.
There are also hundreds of Public Live Scan sites around the state.
To find a public Live Scan location near you, check your local yellow pages, or
visit the DOJ website at: https://oag.ca.gov/fingerprints/locations. The fees and
hours vary from site to site (and change often), and some sites require
appointments whereas others allow walk-ins. For this reason, it is always
recommended that you call the site you want to visit beforehand to make sure
you they’re open and know how much it costs. (Note: Most Live Scan sites
charge between $20-40 for fingerprinting, but there is a lot of variation from one
location to another.)
STEP 3: Get Fingerprinted.
Take your completed “Request for Live Scan Service” with you to the Live Scan
site when you go to get fingerprinted.
STEP 4: Mail your Live Scan fingerprints, along with a $25 fee, to:
California Department of Justice: Record Review Unit
P.O. Box 903417
Sacramento, CA
94203-4170.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Request for Live Scan Service, STATE OF CALIFORNIA DEPARTMENT OF JUSTICE,
http://oag.ca.gov/sites/all/files/agweb/pdfs/fingerprints/forms/bcia_8016RR.pdf?.
2849
Applicant Live Scan Fingerprint Services Location and Hours of Operation, STATE OF CALIFORNIA DEPARTMENT OF
JUSTICE, https://oag.ca.gov/fingerprints/locations.
2850
California Department of Justice, Office of the Attorney General, Criminal Records – Request Your Own,
http://oag.ca.gov/fingerprints/security.
2848

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Fee waivers: If you cannot afford the $25 fee…
If you cannot afford the $25 fee, you can request a “fee waiver”—meaning you
will NOT have to pay to get your RAP sheet. To request a fee waiver, you can fill
out an “Application for Fee Waiver” form or attach a separate letter that requests
a waiver of the fee (see a sample fee waiver letter in Appendix C, on PG. 1111).
You will need to give a reason why you can’t afford the fee—for example, you
receive public benefits (such as CalWORKS, CalFRESH (food stamps), MediCal,
or unemployment insurance); or your expenses (such as rent, utilities, food and
medicine, child support, and other bills) are more than you earn. If possible, you
may want to send copies (not the originals!) of your pay stubs, bank account
records, or other documents showing your income and expenses.

How long will I have to wait for my California RAP sheet?
Once you send in your forms, it can take up to 2 months (anywhere from 1—8
weeks) to get a copy of your California (DOJ) RAP sheet, depending on how long
your RAP sheet is (i.e., how much information it contains). If your RAP sheet is
fairly long (in other words, if you have had many encounters with law
enforcement and/or the criminal justice system), it takes longer for the DOJ to
process your request, because they have to research and verify all of the
2851
information.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2851

Telephone call with Department of Justice Record Review Unit, Mar. 26, 2015.

PAGE 1107 OF 1210

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APPENDIX B
Request for Live Scan Service (form
BCIA 8016) & Instructions
See next page

!

PAGE 1108 OF 1210

ROADMAP TO REENTRY
STATE OF CALIFORNIA
BCIA 8016RR
(orig. 04/2001; rev. 10/2014)

DEPARTMENT OF JUSTICE
Page 1 of 2

REQUEST FOR LIVE SCAN SERVICE
(Record Review or Foreign Adoption)

Applicant Submission
Type of Application (Check One Only)

Record Review

Foreign Adoption

ORI (Code assigned by DOJ)
Reason for Application

Contributing Agency Information:
Agency Authorized to Receive Criminal Record Information

Mail Code (five-digit code assigned by DOJ)

Street Address or P.O. Box

Contact Name (mandatory for all school submissions)

City

State

ZIP Code

Contact Telephone Number

Applicant Information:
Last Name
Other Name
(AKA or Alias)

First Name

Sex

Date of Birth
Weight

Place of Birth (State or Country)

Male

Eye Color

Female

Hair Color

Social Security Number

Driver's License Number
Misc. Number (Other Identification Number)
Telephone Number
City

Street Address or P.O. Box

Level of Service:

Suffix
Suffix

First

Last

Height

Middle Initial

State

ZIP Code

DOJ Only

If re-submission, list original ATI number (Must provide proof of rejection):
Original ATI Number

Foreign Government Embassy: (Mandatory for Foreign Adoption requests pursuant to Penal Code section 11105(c)(12))
Designee -- Do not include Employer: (Optional for individual designated by applicant to Penal Code section 11124)
Designee or Embassy Name
Street Address or P.O. Box
City

State

Country

ZIP Code

Telephone Number

Live Scan Transaction Completed By:

Name of Operator

Transmitting Agency

Date

LSID

ATI Number
ORIGINAL - Live Scan Operator

SECOND COPY - Applicant

Amount Collected/Billed

PAGE 1109 OF 1210

ROADMAP TO REENTRY
STATE OF CALIFORNIA
BCIA 8016RR
(orig. 04/2001; rev. 10/2014)

!

DEPARTMENT OF JUSTICE
Page 2 of 2

REQUEST FOR LIVE SCAN SERVICE
(Record Review or Foreign Adoption)

Privacy Notice
Collection and Use of Personal Information. The Record Review Unit in the Department of Justice collects the information
requested on this form as authorized by Penal Codes 11121 and 11105(C)(12). The Record Review Unit uses this information
to process applications pertaining to Live Scan service for record review or foreign adoption. In addition, any personal
information collected by state agencies is subject to the limitations in the Information Practices Act and state policy. The
Department of Justice's general privacy policy is available at: http://oag.ca.gov/privacy-policy.
Providing Personal Information. All the personal information requested in the form must be provided.
Access to Your Information. You may review the records maintained by the Record Review Unit in the Department of Justice
that contain your personal information, as permitted by the Information Practices Act. See below for contact information.
Possible Disclosure of Personal Information. In order to process applications pertaining to Live Scan service for record
review or foreign adoption, we may need to share the information you give us with other government agencies.
The information you provide may also be disclosed in the following circumstances:
•

In response to a Public Records Act request, as allowed by the Information Practices Act;

•

To another government agency as required by state or federal law;

•

In response to a court or administrative order, a subpoena, or a search warrant.

Contact Information. For questions about this notice or access to your records, you may contact the Record Review Unit via
telephone at (916) 227-3835 or by mail at:
Department of Justice
Bureau of Criminal Information & Analysis
Record Review Unit
P.O. Box 903417
Sacramento, CA 94203-4170

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APPENDIX C
Sample Letter and Declaration for Fee
Waiver—California (DOJ) RAP Sheet
PLEASE NOTE: To request a fee waiver, send (1) a fax cover sheet (sample letter
below for this prupose), (2) a fee waiver declaration form (see next page for a
copy of this form), AND (3) proof of public benefits to the California Department
of Justice by fax to 916-227-1964, or by mail to Bureau of Criminal Identification
and Information, Attention: Record Review Unit, P.O. Box 903417, Sacramento,
CA 94201-4170.
Bureau of Criminal Identification and Information
Attention: Record Review Unit
P.O. Box 903417
Sacramento, CA 94201-4170
Dear Record Review Unit,
Enclosed with this letter, please find a request for waiver of the fee for criminal
history record and proof of public benefits. Please send the Request for Live
Scan form to the following address:

[YOUR NAME]
[YOUR STREET ADDRESS]
[CITY, STATE, ZIP CODE]

Sincerely,
[SIGN NAME]

PAGE 1111 OF 1210

10/01/2810

10:12

9162271364

RECORDREVIEW

PAQE

01/82

ROADMAP TO REENTRY

Edmund G. Brown Jr.
Attorney General

State of California
DEPARTMENT OF JUSTICE
BUREAU OF CRIMINAL IDENTIFICATION AND INFORMATION
P.O. BOX 903417
SACRAMENTO, CA 94203-4170

APPLICATION AND DECLARATION FOR WAIVER OF FEE
FOR OBTAINING CRIMINAL HISTORY RECORD

I, the undersigned, declare that I am unable to pay the fee
to obtain a copy of my criminal history record without
impairing my obligation to meet the common necessities of
life.

I declare under the penalty of perjury that the forgoing
is true and correct and was signed at
,
California, on
, 20
.

Attached is verification of proof of indigence as required by
Peaal Code Section 11123.

DECLARANT

BCII 8690

PAGE 1112 OF 1210

(Rev. 01/07)

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APPENDIX D
Getting Your FBI (Federal) RAP Sheet
There are two ways to get a copy of your FBI (federal) RAP sheet:

OPTION 1: Request your “Identity History Summary” (RAP sheet)
from the FBI directly2852
2853

STEP 1: Fill out BOTH the FBI’s “Applicant Information Form”
(see
APPENDIX BB, on PG. 1168) AND the “Request for Live Scan Service” (Form
2854
BCIA 8016RR) (See APPENDIX B, on PG. 1108).
•
•
•
•

Print the forms and fill them out by hand, OR fill out the forms online and then
print them.
Where the form says: “Type of Application,” check the box for “Record
Review.”
Where the form says: “Reason for Application,” write “Record Review” on the
line.
Review the Identity History Summary checklist (see APPENDIX E, on PG.
2855
1106) to make sure you don’t miss any of the steps.

STEP 2: Take the completed “Request for Live Service Scan” form to a Public
Live Scan Site to get fingerprinted.
•

Live Scan services are available at most local police departments and
2856
sheriff’s offices.
There are also hundreds of Public Live Scan sites around
the state. To find a public Live Scan location near you, check your local
yellow pages, or visit the DOJ website at:
https://oag.ca.gov/fingerprints/locations.

STEP 3: Make your payment to the FBI.
•
•

2857

The charge is $18 per copy of your Identity History Summary.
You can pay by credit card, money order, or certified check made out to the
“Treasury of the United States.”

STEP 4: Mail all forms and your $18 payment to:
FBI CJIS Division—Record Request;
1000 Custer Hollow Road
Clarksburg, West Virginia
26306
Note: It can take up to 3 months (or more!) to get a copy of your FBI RAP sheet
2858
once you send in your forms and payment.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

28 C.F.R. § 16.32.
Identity History Summary Checks, FED. BUREAU INVESTIGATION, https://forms.fbi.gov/identity-history-summarychecks-review/q384893984839334.pdf.
2854
Request for Live Scan Service, STATE OF CALIFORNI DEPARTMENT OF JUSTICE,
http://oag.ca.gov/sites/all/files/agweb/pdfs/fingerprints/forms/bcia_8016RR.pdf?.
2855
42 U.S.C. § 14132(d)(1)(A). See also CODIS- Expungement Policy, FED. BUREAU INVESTIGATION,
http://www.fbi.gov/about-us/cjis/identity-history-summary-checks/identity-history-summary-request-checklist-1.
2856
California Department of Justice, Office of the Attorney General, Criminal Records – Request Your Own,
http://oag.ca.gov/fingerprints/security.
2857
28 C.F.R. § 16.33.
2852
2853

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For more information, visit Frequently Asked Questions about Identity History
Summary checks on the FBI’s website at: http://www.fbi.gov/aboutus/cjis/identity-history-summary-checks/faqs.

OPTION 2: Ask an FBI-approved “Channeler”
Note: This is a faster process, but may include extra fees.
An FBI-approved “Channeler” is a private business that has contracted with the
FBI to be the “middle-man” when you request a copy of your FBI RAP sheet. The
Channeler will collect your all of your fingerprints, personal data, and fee(s), and
then send everything to the FBI for you. Afterward, the FBI will send your RAP
sheet to the Channeler, and the Channeler will forward the RAP sheet to
you. This is a faster process than requesting your RAP sheet from the FBI
directly, but channelers generally charge extra fees. Contact each Channeler to
learn more about their specific procedures and instructions, processing times,
and costs.
STEP 1: Find an FBI-approved Channeler.
•
•

A list of FBI-approved Channelers is provided in APPENDIX CC, on PG. 1170.
This list is also available on the FBI’s website at http://www.fbi.gov/aboutus/cjis/identity-history-summary-checks/list-of-fbi-approved-channelers.

STEP 2: Contact the Channeler directly for specific instructions, fees, and
processing times.

• For more information about getting your FBI RAP sheet through an FBI-

approved Channeler, see http://www.fbi.gov/about-us/cjis/identity-historysummary-checks/fbi-approved-channelers.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
Identity History Summary Checks, FED. BUREAU INVESTIGATION, http://www.fbi.gov/about-us/cjis/identity-historysummary-checks.
2858

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APPENDIX E
FBI RAP Sheet Request Checklist
Please check the boxes below to ensure that you have included
everything needed to process your request.
❏ Include a completed application form.
❏ Sign your application. Note: If for a couple, family, etc., all must
sign the application.
❏ Include a completed fingerprint card. A completed fingerprint card
includes the following:
❏ 1. Name
❏ 2. Date of Birth
❏ 3. Descriptive Data
❏ 4. All 10 rolled fingerprint impressions.
❏ 5. The plain impressions including thumbs of both hands.
❏ Include a credit card payment form, certified check*, or money
order for $18.00 per request.
Note:&This&
amount&must&be&
exact.&&

❏ If using a credit card, please ensure the credit card payment form
is filled out completely.
Don’t forget to include the expiration date of the credit card that you
are using.
❏ If paying with a certified check or money order, make it payable to
the Treasury of the United States.

CASH OR PERSONAL/BUSINESS CHECKS
ARE NOT AN ACCEPTED FORM OF PAYMENT.
❏ Include a form of contact information (i.e., e-mail, telephone
number) in case we need to contact you.
*To issue a certified check, the bank verifies that sufficient funds
exist in the requestor’s account to cover the check and so certifies
payment at the time the check is written. Those funds are then set
aside in the bank’s internal account until the check is cashed or
returned to the payee.
PAGE 1115 OF 1210

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APPENDIX F
Fixing Errors in Your California
(DOJ) RAP Sheet
STEP 1:

Get the form to request a RAP sheet correction.

When you received your RAP sheet, you should have also received a
form called a “Claim of Alleged Inaccuracy or Incompleteness” (DOJ
form BCIA 8706). This is the form you must fill out to challenge
information in your state RAP sheet. If you do not have this form for
any reason, you must contact the Department of Justice to request
another copy. This form is not available online, or from any source
other than the DOJ. If you cannot get the form, you can send a letter
2859
to the DOJ instead.
STEP 2: Fill out your claim.
Fill out the “Claim of Alleged Inaccuracy or Incompleteness” form, or
write your letter. Whether you are filling out the form or writing a
letter, you need to explain, as specifically as possible, what the error
is—why and how your record is inaccurate or incomplete. Examples
2860
of common errors include:
1)
2)

3)
4)
5)

!

Mismatched names. If your RAP sheet contains arrests,
convictions, or other information that is unrelated to your past,
your name may have been confused with another person’s name.
Leaving out important information about a case. Sometimes,
even if a case against you has been resolved, your RAP sheet
may not reflect the updated information. For example, if you
were found innocent of the charges, but your RAP still says,
“case pending.”
Revealing sealed information. Your RAP may contain records
that should have been destroyed or can only be released by
special court order, such as sealed arrests or juvenile offenses.
Providing misleading information. It is possible that a single
charge may appear multiple times on your RAP, making it look
like you are a multiple offender.
Misclassifying your offenses. If a misdemeanor conviction shows up as a
felony on your RAP sheet, this is a serious problem!

HOW TO
CONTACT THE
DOJ RECORD
REVIEW UNIT:
You can call the
DOJ Record Review
unit at (916) 2273835 for the latest
information on how
to challenge what’s
in your RAP sheet or
to check on the
status of a
challenge that you
have filed. This is an
automated system
(a recording) that
contains information
on many DOJrelated issues.
Follow the prompts
that ask you if you
want to “verify or
challenge the
accuracy of your
criminal history” or
“check the status of
a previously
submitted request.”
If you are asked to
leave a message,
make sure that your
information is clear
so that the right
person can call you
back.

IMPORTANT! Make sure to fill out all of your personal information clearly
and accurately, so the DOJ properly identifies you and investigates the
right record!
STEP 3: Include proof of your claim.
You should give the DOJ any proof you have that the information in your RAP
sheet is wrong, such as court records, transcripts, court orders, court minutes, a
copy of the plea agreement, police records, or other paperwork or evidence that
2861
supports your claim.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Recorded message, Cal. Dep’t. of Justice, Records Review Unit (Apr. 9, 2015); see also Criminal Records—
Request Your Own, CAL. DEP’T. OF JUSTICE, OFFICE OF THE ATTORNEY GENERAL, http://oag.ca.gov/fingerprints/security.
2860
Broken Records, National Consumer Law Center, https://www.nclc.org/issues/broken-records.html.
2861
CAL. PENAL CODE § 11126(a).
2859

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!

IMPORTANT: Sending court records and documents. The Department of
Justice does NOT have access to your court documents. If you need
copies of court documents to give to the DOJ in order to prove your
claim, you must get them from the court where your case was heard and
send them to the DOJ yourself.
NOTE: The DOJ assumes that its records are correct. When the DOJ looks into a
challenge like this, it often simply checks its version of your record against the
copy of your RAP sheet that it sent you. If there is no difference between the
two, the DOJ will assume that your RAP sheet is accurate. This is why you must
provide proof that the DOJ’s version of your record is wrong!
STEP 4: Mail in your claim and proof.
Send the following documents to the DOJ: Your completed “Claim of Alleged
Inaccuracy or Incompleteness” form or letter; a copy of your RAP sheet (keep a
copy for yourself!); and any documents or other evidence to prove your claim.
You should use the address on the claim form, as it will be the most current
address. As of publication of this manual, your claim and supporting documents
should be sent to:
Department of Justice
Bureau of Criminal Investigation and Identification
Record Review Unit
P.O. Box 903417
Sacramento, CA 94203-4170
STEP 5: Wait for the DOJ’s Review.
After the DOJ has received your paperwork, it will review your claim and decide
whether it agrees that your RAP sheet is wrong. If the DOJ agrees that the
information in your record is wrong, it will make the changes and send you a
2862
new, corrected copy of your RAP sheet.
It can take 2-4 weeks (or sometimes
longer) for the DOJ to review all of your paperwork and get back to you with its
decision.
STEP 6: Appeal the DOJ’s Decision.
If the DOJ does not agree that your record is wrong, you have the right to
2863
request an administrative hearing to challenge the decision.
You should talk
to a lawyer if you want to take the next step and request a hearing to challenge
the DOJ.
If you have any additional questions about fixing errors in your RAP sheet, you
can call the DOJ’s Record Review Unit at (916) 227-3835.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2862
2863

CAL. PENAL CODE § 11126.
CAL. PENAL CODE § 11126(c); see also CAL. GOV’T CODE § 11500.

PAGE 1117 OF 1210

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APPENDIX G
Fixing Errors in Your FBI (Federal) RAP
Sheet
The FBI gets all of its criminal history information from other law enforcement
and criminal justice agencies as well as courts throughout the U.S. The FBI can
only change your information if the original agency or court (i.e., the one that
sent the information to the FBI in the first place) tells the FBI to change it. If you
think your FBI RAP sheet is inaccurate or incomplete, there are 2 ways to correct
the information:

OPTION 1: Contact the court or agency that sent your information
to the FBI
Note: Each entry on your FBI RAP sheet should list the specific agency that
provided the information. This is how you can tell which agency sent the
incorrect or incomplete information on your RAP sheet.

•

If the incorrect or missing information is from a
CALIFORNIA agency or court:

If the incorrect or missing information is from a CALIFORNIA law enforcement
agency or court (for example, a local police department, county sheriff,
California state agency, or California state court), contact the California Bureau
of Criminal Information and Analysis, and ask them to send the FBI corrected or
updated information for your Identity History Summary.

How to contact the California Bureau of Criminal Information and
Analysis:
By mail: Bureau of Criminal History Information & Analysis
California Department of Justice, Room G-118
4949 Broadway; Sacramento, CA 95820-1528
By phone: (916) 227-3849
2864
By email: appagencyquestions@doj.ca.gov.

•

If the incorrect or missing information is from an agency
or court in ANOTHER STATE:

If the incorrect or missing information is from a law enforcement agency, court,
or criminal justice agency in ANOTHER STATE (for example, a local police
department, county sheriff, court, or state agency in another state), you will
need to contact the state Identification Bureau for that state, and ask them to
send the FBI corrected or updated information for your Identity History
Summary.
You can find contact information for the Identification Bureau in every U.S. state
on the FBI’s website at: http://www.fbi.gov/about-us/cjis/identity-historysummary-checks/state-identification-bureau-listing.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

State Identification Bureau Listings, FEDERAL BUREAU OF INVESTIGATION, http://www.fbi.gov/about-us/cjis/identityhistory-summary-checks/state-identification-bureau-listing.
2864

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If the incorrect or missing information is from a FEDERAL
agency or court:

•

If the incorrect or missing information is from a FEDERAL law enforcement
agency, court, or criminal justice agency, you will need to contact the specific
agency that sent in your information—for example, the federal agency that
arrested you, the federal prosecutor’s office that charged you, or the federal
court that processed your case—and ask them to send the FBI corrected or
updated information for your Identity History Summary.
The easiest way to find contact information for federal agencies and courts is to
search on the Internet using search engines like Google.com or Yahoo.com.

OPTION 2: Go through the FBI directly.2865
If you don’t know where the incomplete or incorrect information on your RAP
sheet came from, you can contact the FBI directly to challenge it, and ask them
to correct it.
STEP 1:

Write your challenge letter.

In your letter, you should: (1) clearly state that you think there is inaccurate or
missing information in your Identity History Summary; (2) clearly identify what
information you think is wrong; and (3) clearly explain why the information is
wrong. (For a list of common RAP sheet errors, see APPENDIX F, on PG. 1116.)
STEP 2: Include proof of the correct information.
You should also send the FBI any proof you have that the particular information
in your RAP sheet is wrong—such as court records, transcripts, court orders,
court minutes, copy of a plea agreement, police records, or other paperwork or
evidence that support your claim. For example, if your RAP sheet is missing
information about the final outcome of a case, you should send court documents
showing the final disposition.
STEP 3: Mail your written challenge request.
Send your challenge letter and all your proof (supporting documents and
evidence) to:
FBI Criminal Justice Information Services Division
Attention: Criminal History Analysis Tad
Clarksburg, WV 26306
STEP 4: Wait for the FBI’s review.
The FBI will investigate whether the information in your RAP sheet is incomplete
or incorrect by contacting the agencies that supplied it as well as other agencies
that might have additional information about your case. If the FBI decides that
your RAP sheet is wrong or incomplete, it will correct the mistake(s) and let you
know.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
28 C.F.R. § 16.34.

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APPENDIX H
Fixing Errors in Your Background Check
In California, if you want to challenge information found in your background
2866
check, these are the steps you will need to take:
STEP 1:

CHALLENGE the background check company’s incorrect information.

You must notify the background check company that ran your background
check that there was a mistake in the information included in your background
check report.
•

•

•

Send the background check company a letter to notify them in writing that
you are disputing (challenging) the information in your background check. (A
sample challenge letter is included in APPENDIX I, on PG. 1123.)
You should explain why the information is incorrect, and include any proof
(documents, facts, and other evidence) to support your claim. Make copies of
important documents and include them with your letter.
You can find the name and address of the background check company in 2
places:
o BEFORE someone runs a background check on you (such as an
employer, private landlord, or creditor), they are supposed to tell you
and get your PERMISSION. They must also give you the name, address,
phone number, and website of the background check company that
2867
they are going to use.
o If someone takes any negative action against you (such as refusing to
hire you, rent an apartment to you, or give you benefits) based on
information in your background check, they must give you an “ADVERSE
ACTION LETTER” that also includes the name, address, and phone
number of the background check company that did the background
2868
check.

STEP 2: The background check company INVESTIGATES your
claim.
Once the company receives your letter, it MUST investigate your
2869
claim free of charge.
•
•
•

During the investigation, the company MUST review ALL the
evidence you sent in and consider any relevant information.
The company must notify whoever provided the information that
2870
you are challenging it.
Based on its investigation, the company MUST update, confirm, or
remove the challenged within 30 days (see Step 3 for more
2871
information).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

You have the right
to know what
internal procedures
the background
company uses to
investigate your
claim. You can ask
the company for this
information and
they MUST provide
it to you.

CAL. CIV. CODE § 1786.24; Fair Credit Reporting Act § 611, 15 U.S.C. § 1681i.
CAL. CIV. CODE § 1786.16.
CAL. CIV. CODE § 1786.40.
2869
CAL. CIV. CODE § 1786.24(a).
2870
CAL. CIV. CODE § 1786.24, Fair Credit Reporting Act, § 611(a)(1)(A), 15 U.S.C. § 1681i. Within 5 days of receiving
your notice, the agency must notify the person or government entity that provided the information that you claim is
incorrect.
2871
CAL. CIV. CODE § 1786.24, Fair Credit Reporting Act, § 611(a)(1)(A), 15 U.S.C. § 1681i. Before 30 days is up, if you
give more information that affects the investigation, the agency can extend the investigation for 15 extra days.
2866
2867
2868

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STEP 3: AFTER the background check company finishes its investigation…
The background check company will make a decision about the information you
challenged, and must respond to you within 30 days. If you give the company
more information that affects the investigation during the 30-day period, the
agency can extend the investigation for an extra 15 days. Based on its
investigation, the company MUST:
•
•
•
•

•

Correct or remove any information that is inaccurate, incomplete, or can’t be
confirmed as true;
Notify the person or agency that provided the information that it has been
corrected or removed from your background check;
Keep in any information that the company confirms is complete and accurate;
End the investigation (without making any changes) if the company finds that
your claim is “frivolous” or “irrelevant.” This usually means that you have not
provided enough information for the company to investigate your claim.
o If the company ends the investigation, it must notify you, explain the
reasons for its decision, AND tell you what information it needs in order
2872
to continue the investigation.
Notify you when the investigation is complete, tell you the results of the
2873
investigation, AND send you a new copy of your background check.

STEP 4: FOLLOW UP after the background check company’s decision!
•

•

If the background check company DOESN’T remove the information, or if
there is still information in your background check that you think is incorrect
or incomplete, you can add a STATEMENT OF DISPUTE saying that you
2874
disagree with the information in your file.
Mail this statement to the
background check company, and tell them to include it in your file. (See
APPENDIX J, on PG. 1124 for a sample statement of dispute.)
The company MUST include your statement of dispute in any
If an employer,
future background checks it runs AND clearly state that the
2875
private landlord,
information is “in dispute” (being challenged as incorrect).

STEP 5: NOTIFY anyone who has received a copy of your
background check.
If the agency corrects or removes any information in your
background check, or if you add a statement of dispute to your file,
you should ask the background check company to send a notice of
the change to ANYONE who received your background check in the
2876
last 2 years.
STEP 6: If the background check company later puts information
BACK into your background check that it previously
removed…
If a background check company REMOVES challenged information
from your background check, it can REINSERT (put back) the
information if the company later finds that the information is true.
•

government agency,
or anyone else ran a
background check
on you within the
past 2 years that
contained
information that you
believe was wrong
or incomplete, you
should make sure to
have the
background check
company notify
them that the
information is wrong
or is in dispute.

If this happens, the background check company MUST:
o Notify you the information has been put back in your file;

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2872
2873
2874
2875
2876

CAL. CIV. CODE § 1786.24; Fair Credit Reporting Act, § 611(a)(1)(A), 15 U.S.C. § 1681i.
CAL. CIV. CODE § 1786.24(g).
CAL. CIV. CODE § 1786.24.
CAL. CIV. CODE § 1786.24(j).
CAL. CIV. CODE § 1786.24(k).

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o Give you the name, address, and phone number of anyone the company
talked to when deciding to put the information back in; AND
o Give you the phone number of the person or agency that provided the
2877
information that the company put back in.
You also have the right to challenge any information the company puts back
into your background check.
o You have can ask the background check company to RE-investigate any
information that it has put back in your background check. The company
must conduct another investigation of the information, tell you the
results, make any corrections, and give you a new copy of your
background check report (just like in Steps 2-3).

•

Why would a background check company PUT BACK information
that it previously removed?
Sometimes a background check company will REMOVE information from your
!
background check—for example, because it could not confirm whether or not
the information was true—but later, the company will found out that the
information was true. It will want to PUT the information back into you
background check to make the report complete.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2877

CAL. CIV. CODE § 1786.24(f).

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APPENDIX I
Sample Letter to Challenge Information in
Your Background Check
REQUEST

[Date]
TO:

[Name of background check company]
[Address of company]

Dear Sir or Madam,
I hereby request that you reinvestigate the following information
contained in your files on me: [description of information that is
incorrect or incomplete].
This information is disputed for the following reasons: [describe why
the information is wrong].
Please advise me of the results of your reinvestigation.
If the reinvestigation does not resolve our differences concerning the
foregoing, I shall provide you with a brief statement for inclusion in
any subsequent investigative consumer report concerning me.
This request is made pursuant to Civ. Code, § 1786.24.
Very truly yours,
[Your signature]
[Your name]
[Your address]

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APPENDIX J
Sample Statement of Dispute
STATEMENT OF DISPUTE
[Date]
I hereby dispute the following information in my files: [description of
information that is incorrect or incomplete].
This information is disputed for the following reasons: [describe why
the information is wrong].
This statement of dispute is made pursuant to Civ. Code, § 1786.24.
Signed,
[Your signature]
[Your name]
[Your address]

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APPENDIX K
Petition for Dismissal (California
Expungement)
In most cases, you will need to file papers in court and ask a judge to expunge
your conviction. This process is called a Petition for Dismissal. The process is
almost the same for requesting mandatory or discretionary dismissal, but there
are a few small differences. Remember, it is always good to ask a lawyer for
assistance, especially if you are requesting discretionary dismissal.
STEP 1:

•
•

•

!

Get the court forms you will need to request an
expungement from the court: the Petition for Dismissal
(form CR-180) and the Order for Dismissal (form CR-181)

The “Petition for Dismissal” (form CR-180) is the formal document
you use to ask the court to expunge your conviction.
If the judge approves your expungement, s/he will sign the
“Order for Dismissal” (form CR-181) to make your expungement
an official court order.
You can get these forms from several places, including.
o The Clerk of the court where you were convicted;
o The California Courts’ official website
(http://www.courts.ca.gov/documents/cr180.pdf); or
o From your lawyer.
o A sample form CR-180 and form CR-181 are included in
APPENDIX DD, on PG. 1171 for reference. BUT it is always
better to get the most current version from an official source,
in case there have been any recent changes to the form.

IMPORTANT: If you have convictions from multiple cases, you
will need to file a separate petition for each case.
2878

STEP 2: Fill out your court forms (Petition AND Order)
Here are some tips for filling out the forms:
•

•

•

THE COURT
CLERK:
The court clerk is
the person who
oversees all of the
court’s records,
legal documents,
and administration.
Some courts may
have a separate
clerk for each
department of the
court (e.g., criminal
court, traffic court,
probate court, etc.).
If this is the case,
you will need to get
help from the
criminal court clerk.
Usually, the clerk
will have a separate
office, counter, or
window at the
courthouse. When
you go to the
courthouse, ask
someone where the
clerk’s office is if
you can’t find it.

Petition —Fill in ALL the information that the forms ask for. You
will need the information from your RAP sheet (or court records from all of
your cases) in order to fill out the forms.
Petition question #1—If you are filing a petition to have a felony “wobbler”
expunged, you will need to mark “Yes” in the box that asks if the felony is
eligible for reduction to a misdemeanor under Penal Code Section 17(b).
(See PG. 1068 for more information about expungement of felony
“wobblers.”)
Bottom of Petition —If your sentence included probation, check the box for
“1203.4.” If your sentence did NOT include probation, check the box for
“1203.4a.” If you were convicted of a felony under California’s Realignment
Act, check the box for “1203.41.” (See PG. 1056 for more information about
expungement of felonies that were sentenced under Realignment.)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See also Dealing With Criminal Records in Alameda County Self-Help Manual, EAST BAY COMMUNITY LAW CENTER
(2005), http://ebclc.org/documents/AlamedaCountyCriminalRecords-SelfHelpManual-SP2005.pdf.
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•
•

•

•

Bottom of Petition—Don’t forget to sign the form and put the date!
Order—Only fill out the top boxes (for “Lawyer or Party Without Lawyer,”
“People of the State of California v. Defendant,” and “Case Number”), and
leave the rest of the form blank (all of the numbered questions). Make sure
the information is the same as the top boxes on the Petition form! The judge
will fill in all the other information after deciding whether or not to grant your
expungement.
Petition AND Order—If you are filling out the forms for yourself, you are
BOTH the “petitioner” AND the “defendant,” so you should fill in your
information wherever you see these terms.
If your conviction qualifies for mandatory dismissal, you only need to fill out
the Petition (CR-180) and Order (CR-181) forms. However, if your conviction
only qualifies for discretionary dismissal, you will need to include a few more
documents in addition to your petition. (See PG. 1057 for more information
on the difference between mandatory and discretionary expungement, and
to figure out which type of expungement you qualify for.)

FOR DISCRETIONARY EXPUNGEMENT, GO TO STEP 3. FOR MANDATORY
EXPUNGEMENT, SKIP TO STEP 4.
STEP 3:

(FOR DISCRETIONARY PETITIONS ONLY) Gather additional
supporting documents to include with your Petition.

If you are requesting a discretionary dismissal, you will also need to include the
following documents. (Note: Make a photocopy of any documents you send with
your petition, and keep the original for yourself!)
A Declaration. A declaration is a statement that you write under penalty of
perjury, that explains why expungement of your conviction is “in the
interests of justice.” Your declaration should say why you deserve to get an
2879
expungement, and how it will help you succeed in the future:
a. How have you changed since your conviction? What was going on in
your life at the time of the conviction? What has changed in your life
since then?
b. What efforts have you made toward rehabilitation? What are you
doing to improve yourself and your situation (such as treatment
programs, work or school, connecting with family, finding religion)?
c. What are your goals for the future (for example, getting a job or
promotion, getting your GED or a college degree, connecting with
family, starting a business)?
d. How will getting an expungement help you to achieve your goals?
e. You can use the official Declaration form (MC-031) published by the
Judicial Council of California which is available from the court clerk,
or on the California Courts website at:
http://www.courts.ca.gov/documents/mc031.pdf.
f. For tips for what to write in your Declaration, see APPENDIX L, on
PG. 1130. For a sample Declaration, see APPENDIX M, on PG. 1131.
2) Letters of Support. Letters of support serve as character references and
emphasize the positive impact that granting your dismissal will have. You
should ask for letters from people who know you well, and who can talk
about your positive qualities, your accomplishments, and your rehabilitation
efforts. These can be from your rabbi, priest, or pastor; your employer
(current or previous); your teachers; your sponsor or mentor; your counselor
or case manager; community leaders and other members of community
1)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See also Dealing With Criminal Records in Alameda County Self-Help Manual, EAST BAY COMMUNITY LAW CENTER
(2005), http://ebclc.org/documents/AlamedaCountyCriminalRecords-SelfHelpManual-SP2005.pdf.
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organizations that you are involved in; and your friends, family, and
neighbors. When you ask someone for a letter of support, you can remind
them of your accomplishments and explain what you would like them to
write about (for example, how you have changed since your conviction, your
efforts at rehabilitation, your good character, your efforts to improve yourself
and help others around you, and why you deserve to have your conviction
expunged). For more information on how to write a Letter of Support and
tips for what to write, see APPENDIX N, on PG. 1132. A sample Letter of
Support is included in APPENDIX O, on PG. 1134.
3) Proof of Accomplishments. If you have completed any classes or training
programs since your conviction (such as vocational training or job readiness
programs; GED classes, or other schooling; mentorship courses, reentry
programs, restorative justice workshops, or any other treatment programs),
or if you have earned any certificates, awards, or degrees, or if there are any
other accomplishments that you’re proud of, you should make sure to
include this information with your petition! This can be anything you
accomplished while you were incarcerated or since you’ve been released.
(Note: Make a photocopy of any documents you send with your petition, and
keep the originals for yourself!)
4) Letter to Request a Hearing. If you are asking for a discretionary
expungement, you should ALWAYS ask for a hearing in front of a judge, so
that you have the best chance to convince him/her to grant your request. To
ask for a hearing, write a very brief letter saying that you would like to
request a hearing on your Petition for Dismissal. Make sure to include your
name and case number, and address your letter to “The Honorable Judge”
(with the judge’s name, if you know it). Turn in this letter with your Petition
and other documents.
5) Other Documents: Each court may have local rules about what additional
documents you can include with your petition and what documents you
should bring to the hearing. Check with the court clerk about what to do
with any other documents that you would like the judge to consider.
STEP 4: Make copies of your petition and supporting documents.
After you have filled out your petition and attached your supporting documents,
you will need to make several copies of everything. Ask the court clerk how
many copies are required by the court in your county. If you can’t talk to the
clerk, make at least five copies to be safe.
Generally, the original petition goes in the court’s file (the “docket”), one copy
goes to the District Attorney, one copy goes to the probation department, and
one “courtesy” copy is saved for the judge (if he or she wants one). But these
procedures may vary by county, so it’s important to ask the clerk how many
copies you need to make.
STEP 5:

“Serve” the Court Papers

What is “service” and how do I do it?2880
Service is the formal process of giving copies of the documents in a court case
to the other people connected with the case. It is a very important step because
it lets the other people know 1) that your court case exists, and 2) what actions
have been taken in the case so far. A case CANNOT go forward until the court
documents are properly served (delivered). The most common methods of

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. CIV. PROC. CODE §§ 414.10, 415.10-415.95, 417.10-417.40, 684.110-684.140, 684.210-684.220, 1010-1020; see
also Personal Service: Deliver Court Papers to the Other Party, SACRAMENTO COUNTY PUBLIC LAW LIBRARY (Mar. 2014),
http://www.saclaw.org/Uploads/files/Step-by-Step/PersonalService.pdf.
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service are in person or by mail, although in come situations, service can be by
fax or email also.
In general, for an expungement petition, your papers have to be served on the
District Attorney and the county probation department. Ask the court clerk
whether there is anyone else who needs to get the papers also.
STEP 6: File Your Petition and “Proof of Service” with the Court Clerk.
•

•

After your papers have been “served” on all of the other parties, bring the
following documents to the court clerk: Your original Petition; your additional
supporting documents (if you are requesting a discretionary dismissal); one
set of copies for your records; AND the Proof of Service for your Petition. The
clerk will stamp your papers with the date and give you a stamped copy.
o Remember, the court clerk will usually have an office or counter at the
courthouse, so that’s where you will need to go to file your papers.
The clerk may or may not give you a court date for a hearing before a judge.
o FOR MANDATORY EXPUNGEMENTS: In some counties, mandatory
expungements are granted without any hearing on your Petition. Other
counties require a formal hearing before an expungement is granted.
o FOR DISCRETIONARY EXPUNGEMENTS: If you are requesting a
discretionary expungement, you should ALWAYS ask for a hearing
before a judge, so that you have the best chance to convince him/her to
grant your expungement. Tell the court clerk that you would like to
request a hearing and show him/her your letter requesting a hearing,
which you should include with your other documents.

STEP 7: Go to Your Court Date/Hearing
•
•

•

If you are given a hearing date to have your petition heard by a judge, you or
your lawyer MUST go to court for the hearing.
FOR MANDATORY EXPUNGEMENTS: If you qualify for a mandatory
expungement, the judge will grant your petition, and dismiss your case. You
should not have to do anything if there is a hearing. You should receive
something in the mail from the court within a few weeks confirming that your
record has been officially changed.
FOR DISCRETIONARY EXPUNGEMENTS: If you are requesting a
discretionary dismissal, the hearing is your chance to explain your case to the
judge and persuade him or her that dismissing your conviction is “in the
interests of justice.” You will need to show the judge why you deserve to
have your conviction expunged, and how an expungement will help you
2881
succeed and achieve your goals.
You should be prepared to explain the
information in your Declaration and in any supporting documents that you
included with your Petition. Make sure you bring extra copies of these
documents to the hearing! In general, the judge will tell you right there at the
hearing whether or not your expungement is granted.

STEP 8: Follow up!
•

After the judge grants your expungement and signs the Order making it
official, the court will send the information to the Department of Justice and
other law enforcement agencies. It may take a few months for these agencies
to correct your official criminal record (RAP sheet) to show that your
conviction was expunged. You should follow up with the Department of
Justice in 3-4 months to confirm that the changes were made.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See also Dealing With Criminal Records in Alameda County Self-Help Manual, EAST BAY COMMUNITY LAW CENTER
(2005), http://ebclc.org/documents/AlamedaCountyCriminalRecords-SelfHelpManual-SP2005.pdf.
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•

o Remember, expungement does NOT erase the conviction from your
criminal record. Instead, your RAP sheet will state that your case has
been “dismissed [in] furtherance of justice (DISM, FURTH OF JUST)” OR
“dismissed pursuant to PC 1203.4.”
If the DOJ has NOT corrected your record after several months, you may
need to ask them to do so by filing a “Claim of Alleged Inaccuracy or
Incompleteness” (form BCIA 8706). The process for challenging and
correcting information in your RAP sheet is detailed in APPENDIX F, on
PG. 1116.

STEP 9: If your petition is denied, re-file it
If your petition for expungement is denied, you are allowed to file it again (“refile”). At the end of your hearing, ask the judge to explain the reason why s/he
did not grant your request for an expungement, so that you can take steps to fix
the problem before you re-file your Petition. If you forget to ask or cannot get
this information from the judge for some reason, try calling the court clerk to see
if he or she can help you figure out what to do to make sure your Petition is
2882
granted the next time.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2882

See Cleaning Your Record, California Courts, http://www.courts.ca.gov/1070.htm.

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APPENDIX L
Tips for Writing a Declaration
The declaration is your chance to present evidence to convince the judge that
you deserve an expungement. Here are some tips for writing your
2883
declaration:
1)
2)
3)

4)
5)

First, explain the basic information about your conviction and sentence. Tell
the judge why your conviction meets the requirements for discretionary
expungement (see PG. 1058 for a list of requirements).
Next, explain why granting your expungement would be “in the interest of
justice”—meaning why you deserve to have your conviction expunged, and
how the expungement will help you succeed in the future.
Here are some examples of things you may want to talk about (but only if
they are true for your situation!):
a. If there were circumstances that made your life especially difficult at
time of your conviction;
b. How you are turning your life around;
c. Your work and/or school history (including any vocational training,
GED or other classes, and other programs you’ve participated in);
d. Current opportunities for work, school, and other activities to enrich
your life, and how expungement will help you take advantage of
these opportunities;
e. Your family situation and needs, and how an expungement will help
you reconnect with, support, or otherwise benefit your family; and
f. Any problems you have had completing probation, and what you are
doing to address those problems.
You should be specific and honest, and include as many details as possible
to give the judge a concrete picture of what happened. But you should not
include irrelevant or unnecessary information that might distract him/her.
Finally, it is recommended that you ask a lawyer to look over your
declaration before you turn it in, if possible.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Adapted from Santa Clara Law Library, Expunging Adult Criminal Records in Santa Clara County,
http://www.sccll.org/1070.pdf.
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APPENDIX M
Sample Declaration
SAMPLE DECLARATION IN SUPPORT OF 1203.4 PETITION
NAME
ADDRESS
SUPERIOR COURT OF CALIFORNIA
COUNTY OF _______
PEOPLE OF THE STATE OF CALIFORNIA,
Plaintiff

Case No.:
DECLARATION IN SUPPORT OF

VS.

PETITION UNDER P.C. 1203.4

NAME
Defendant
--------------------------------------------------------------------------------------------------------------------------------I, NAME, declare:
I believe the following facts justify my petition for expungement:
1. I was convicted of violating California Penal Code, (describe offense), committed on DATE. (Briefly describe
circumstances of cases)
2. (Describe life circumstances at time of conviction, e.g.: In 1997, after this conviction for possession of
methamphetamines, I was literally “scared straight. I realized that I needed to change my life entirely; I decided to get
clean. Although it was difficult, I stopped doing drugs on my own.)
3. (Describe life circumstances since incident/conviction, e.g.: I have not had alcohol for over 10 years. I have not done
any drugs for five years. Over the past year, I have participated in Alcoholics Anonymous to get support for staying
“clean and sober,” and in order to get my drivers license back to help with finding
and retaining a job. I am in the process of joining a labor union of cement masons in order to find work. I am living at a
shelter until I can find employment.)
4. (Describe/explain any other contacts with law enforcement since the incident/conviction, e.g. since the 1997
convictions, I have had one contact with law enforcement. I was cited and released for driving on a suspended license.
Currently, I am working with the DMV and the courts to get my drivers license
back and clear this violation from my record.)
5. (Describe why you need an expungement, e.g., my prior conviction is greatly limiting my job opportunities and an
expungement would allow me to work and achieve my goal of self- sufficiency and continued sobriety. I respectfully
request that the court use its discretion to expunge my misdemeanor conviction and grant me a second chance to work
and support myself. I declare under penalty of perjury of the laws of the State of California that the above is true and
correct to the best of my knowledge.

Executed on DATE, at CITY, California

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APPENDIX N
Tips for Gathering Letters of Support
WHO SHOULD I ASK?
•
•
•
•
•
•
•
•

Current and previous employer(s)
Friends and family
Mentors or sponsors
Faith-based leaders
Teachers
Counselors
Community leaders and members of community organizations
Anyone else who can speak to your character and rehabilitation efforts, and
will be seen as credible by the court

WHAT SHOULD MY REFERENCES WRITE IN THE LETTER?
•

•

For a Character Letter from an Employer or Previous Employer the person
should:
o Define their relationship with you. Give specific details about who they
are, how they know you, and how long they have known you.
o Give the reader a reason to respect their letter of support (through their
career, community involvement, education, etc.). They need to establish
their own credibility.
o Give specific information and details about your employment (wages,
length of time employed, responsibilities, manner of performance, etc.).
o Provide how they will continue or increase their support for you.
o Thank the reader for consideration of their letter. They may also want to
mention that they are available to provide further information, and
provide their phone number or other contact information.
For a Character Letter from anyone else they should:
o Define their relationship with you. Give specific details about who they
are, how they know you, and how long they have known you.
o Give the reader a reason to respect their letter of support (through their
career, community involvement, education, etc.). They need to establish
their own credibility.
o Give specific information and details about you, focusing on how they
have experienced your positive personal assets.
o Provide how they will continue or increase their support of you.
o Thank the reader for consideration of their letter. They may also want to
mention that they are available to provide further information, and
provide their phone number or other contact information.

HERE ARE SOME GENERAL GUIDELINES ON ASKING FOR LETTERS OF
SUPPORT.
General Reminders:
•

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Make it as easy for people as possible! People are busy and letters of
support can take time to write. Some ways you can make it easier for the
people you are asking to help you are:

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•

•

o Give them plenty of time. Don’t ask them 2 days before you need to turn
in the letter. Give them plenty of time to work on it so they don’t feel
rushed and can put thought into what they’re writing.
o Give them plenty of information. Make sure to remind them of things
they can write about, such as your accomplishments or your positive
impact on them.
o Give them friendly reminders. If someone hasn’t responded to you or
hasn’t given you a letter by the date you asked to have it done by, try
writing them a quick email or calling them. Be polite and not demanding.
Your message should be along the lines of “I know you are busy, but I
was curious if you will have any time to work on that letter of support I
asked you about?”
Have a variety of people write letters for you. You should have letters from
people who know as many different aspects of you as possible. Don’t get all
of your letters from people who all know you from the same activity or area of
your life.
Keep it Short. It is best to keep the letters short, about 1–2 pages. This will
make them easier to read and also less time consuming to write.

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APPENDIX O
Sample Letter of Support
Date

To Whom It May Concern:

Name has been a wonderful position or volunteer with name of organization or
company since date. (Include a description of the organization or company and
the work they do).

Name volunteers/works an average of # hours per week with varied duties.
(Describe nature of work performed, e.g. filing and light clerical, coaching a
boys’ basketball team, or assisting with youth programming. Also include ways
that the petitioner excels and other commentary on the petitioner’s commitment
to volunteering or working).

Name genuinely enjoys helping people, and she/he has actively sought out ways
to get more involved with the work of name of organization or company. (Include
any examples of ways the petitioner has gone the extra mile, e.g. available in a
pinch, covers for others, represented the organization at an event).

(Closing remarks to reinforce the quality of the work/volunteer efforts of the
petitioner, e.g., it has been a delight having X volunteer at our office; his/her
assistance is truly appreciated.).

Sincerely,

Your name Title

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APPENDIX P
Motion for Early Termination of Probation
To request early release from probation, you will need to file a Motion for Early
Termination of Probation in the court where you were convicted. Because this
process requires drafting a formal court pleading with accompanying
documents, it is recommended that you ask a lawyer for help. Ideally, you should
contact the lawyer who represented you when you were sentenced, but any
private criminal defense lawyer or Public Defender should be able to help you.
The process for filing a Motion for Early Termination of Probation is as follows:
STEP 1:

Write your Motion and Supporting Documents.

There is no official court form for this motion, so you or your lawyer
will have to write your own motion. Your motion will consist of these
2884
5 parts:
1) Notice of Motion—This tells the judge what you want to him or
her to do. In other words, it tells the judge that you want to be
released early from probation.
2) Memorandum of Points and Authorities—This section explains
the law (California Penal Code section 1203.3(a)), the facts about
your individual situation, and the evidence you have to justify
your request for early release.
3) Declaration—This is your sworn statement that all the facts about
your individual situation are true. Your Declaration must include
ALL of the facts that you use to make your points in your
Memorandum and all the information that you want to tell the
judge to convince him or her to grant your request.
4) Proposed Order—This is the document the judge signs if s/he
grants your early discharge and terminates your probation.
5) Proof of Service—You will need to give copies of your court
papers to the other people involved in your case (generally the
District Attorney and the probation department—ask the court
clerk if there is anyone else). The Proof of Service proves that
you gave copies to everyone who was supposed to get them.
STEP 2: Make Copies & File your Motion
1)

Once your motion and other papers are all ready, make copies for
everyone who will receive it. Check with the court clerk to see
how many copies you will need. Generally, you will need one
copy for the DA, one for the Probation Department, and one for
your own records, but you should ask the clerk if there is anyone
else. You may also want to make a courtesy copy for the judge.
2) Bring the original motion and all copies to file with the clerk in the
court where you were convicted. The clerk will file your Motion,
keep the original copy for the court file, and give you back the
copies you need for yourself and the other parties (DA, probation
department, etc).
3) After you file your motion, the clerk will give you a court date for a
hearing before a judge. Ask the clerk what room your hearing will
be in.

NEED HELP WITH
YOUR COURT
FORMS?
Remember, it is
recommended that
you ask a lawyer to
help you with your
Motion for Early
Termination of
Probation. But if you
cannot get a lawyer or
want to do it on your
own, you can find
helpful information on
the California Courts
website:
• Cleaning up your
record
http://www.courts.ca
.gov/1070.htm
• Understanding the
basics of court
forms
http://www.courts.ca
.gov/1078.htm.

COURT FEES:
Be aware that the clerk
will charge you fees for
filing documents with
the court. The amount
of the fees will vary by
county. If you cannot
afford to pay the fees,
you can request a fee
waiver (meaning you
do not have to pay the
fees). Ask the clerk
how much the fees are
and how to request a
fee waiver.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2884

CAL. R. OF COURT, Rule 3.1112.

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STEP 3: Serve your court papers on the other parties
1)

Service is the official process of giving copies of your court documents to
other people connected with the case.
2) Ask the court clerk whether you are responsible for serving your court
papers, or whether the clerk will do it directly. If the clerk gives you back
more than 1 copy when you file your court papers (see Step 3), this most
likely means that you are responsible for service!
3) If the clerk says that you are responsible for service, this means that you
must make sure that all necessary parties (DA, probation department, and
anyone else the clerk tells you) get a copy of your papers motion in the
proper manner.
4) If you are responsible for service, make sure to have your papers served on
(delivered to) the DA at least 2 days before the court date for your hearing!
The law requires you to give the DA at least 2 days notice of your Motion so
2885
he or she can prepare for the hearing as well.
STEP 4: Attend The Hearing
1)

When you file your Motion for Early Termination of Probation, the clerk will
give you a court date for your motion to be heard by a judge. You MUST go
to court for the hearing on that date and time!
2) At the hearing, you will explain to the judge all the reasons why releasing
you from probation early is “in the interests of justice”—in other words, why
you deserve to be released early from probation, and why being off
probation will help you to achieve your goals and avoid further hardships.
You should talk about all of the factors discussed above, including (1) your
successful fulfillment of your probation requirements and satisfaction of all
conditions; (2) your good conduct, efforts at rehabilitation, and other
accomplishments (work, school, volunteer efforts, family responsibilities,
etc.); (3) what you have learned and how you have changed since your
offense; and (4) why staying on probation will cause you hardship (for
example, preventing you from finding work, attending school, traveling to
2886
see your family, etc.).
3) If the judge grants you early release from probation or changes your
probation in any other way, he or she must explain the reasons for doing so.
Also, before the judge signs the Order to officially end your probation, s/he
2887
must first notify your probation officer.
STEP 5: Re-filing Your Motion
1)

Remember, a decision to terminate your probation early is entirely up to the
judge to decide. However, if the judge denies your motion, you can re-file it.
Make sure you find out why the judge denied your request so that you can
fix the problem before you re-file. If there is something the judge wants you
to include with your motion next time, make sure you include it. If there is
something the judge wants you to do before he or she is willing to grant
your request, make sure you do it!
2) Finally, although there is no limit to how often or how many times you can
re-file, do not be a nuisance! The last thing you want to do it put the decision
in the hands of an annoyed judge!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
CAL. PENAL CODE § 1203.3(b)(1).
CAL. PENAL CODE § 1203.3(a).
2887
CAL. PENAL CODE § 1203.3(b).
2885
2886

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APPENDIX Q
Sample Motion for Early Termination of
Probation

YOUR NAME
STREET ADDRESS
CITY, STATE, ZIP
PHONE NUMBER WITH AREA CODE

YOUR NAME, IN PRO PER

SUPERIOR COURT OF THE STATE OF CALIFORNIA
FOR THE COUNTY OF SACRAMENTO

PEOPLE OF THE STATE OF
CALIFORNIA,
Plaintiff,
vs.
YOUR NAME,

Defendant

)
)
)
)
)
)
)
)
)
)

Case No.: INSERT CASE NUMBER
C.I.I. No.: INSERT CRIMINAL
IDENTIFICATION NUMBER
NOTICE OF MOTION AND MOTION TO
TERMINATE PROBATION
Date:
Time:
Dept:

TO THE DISTRICT ATTORNEY OF SACRAMENTO COUNTY AND/OR HIS REPRESENTATIVE:

PLEASE TAKE NOTICE that on INSERT DATE, at INSERT TIME, or as soon
thereafter as the matter may be heard, in the courtroom of Department
INSERT DEPARTMENT NUMBER of the above-entitled court, the defendant will
move for an order terminating the defendant’s grant of probation and
discharge the defendant.
This motion will be made on the ground that the ends of justice will
be served thereby because the good conduct and reform of the defendant
warrant it.
This motion will be based on this notice of motion, the attached

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declaration and memorandum of points and authorities served and filed
herewith, on such supplemental declarations, affidavits, memoranda of
points and authorities as may hereafter be filed with the court, on all
the papers and records on file in this action, and on such oral and
documentary evidence as may presented at the hearing of the motion.

Pursuant to Local Rule 1.06 (A) the court will make a tentative ruling on
the merits of this matter by 2:00 p.m., the court day before the hearing.
The complete text of the tentative rulings for the department may be
downloaded off the court’s website. If the party does not have online
access, they may call the dedicated phone number for the department as
referenced in the local telephone directory between the hours of 2:00 p.m.
and 4:00 p.m. on the court day before the hearing and receive the
tentative ruling. If you do not call the court and the opposing party by
4:00 p.m. the court day before the hearing, no hearing will be held.

Dated: INSERT DATE

YOUR NAME
In Pro Per

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YOUR NAME
STREET ADDRESS
CITY, STATE, ZIP
PHONE NUMBER WITH AREA CODE

YOUR NAME, IN PRO PER

SUPERIOR COURT OF THE STATE OF CALIFORNIA
FOR THE COUNTY OF SACRAMENTO

PEOPLE OF THE STATE OF
CALIFORNIA,

)
)
)
)
)
)
)
)
)
)

Plaintiff,

vs.
YOUR NAME,

Defendant

Case No.: INSERT CASE NUMBER
C.I.I. No.: INSERT CRIMINAL
IDENTIFICATION NUMBER
POINTS AND AUTHORITIES IN SUPPORT
OF MOTION TO TERMINATE PROBATION

Defendant submits the following points and authorities in support of the
motion to terminate probation and discharge the defendant:

I.
THE APPLICABLE LAW
“The court shall have authority at any time during the term of
probation ...when the ends of justice will be subserved thereby, and when
the good conduct and reform of the person so held on probation shall
warrant it, terminate the period of probation and discharge the person so
held.” Penal Code § 1203.3(a)

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II.
THE DEFENDANT’S CONDUCT ON PROBATION AND
DEMONSTRATED REFORM MERIT TERMINATION

STATE THE FACTUAL BASIS WHICH JUSTIFY TERMINATING PROBATION EARLY

Dated: INSERT DATE

YOUR NAME
In Pro Per

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YOUR NAME
STREET ADDRESS
CITY, STATE, ZIP
PHONE NUMBER WITH AREA CODE

YOUR NAME, IN PRO PER

SUPERIOR COURT OF THE STATE OF CALIFORNIA
FOR THE COUNTY OF SACRAMENTO

PEOPLE OF THE STATE OF
CALIFORNIA,
Plaintiff,
vs.
YOUR NAME,

Defendant

)
)
)
)
)
)
)
)
)
)

Case No.: INSERT CASE NUMBER
C.I.I. No.: INSERT CRIMINAL
IDENTIFICATION NUMBER
DECLARATION IN SUPPORT OF MOTION
TO TERMINATE PROBATION

I, INSERT YOUR NAME, declare:

I am the defendant in the above-entitled case, I was convicted of a
violation of INSERT CODE NAME Code § INSERT SECTION NUMBER, a FELONY/
MISDEMEANOR on INSERT DATE OF CONVICTION.
Since my conviction, the following facts have arisen to justify my
application for termination of probation: INSERT FACTS JUSTIFYING
TERMINATION OF PROBATION, SUCH AS SUCCESSFUL COMPLETION OF PROBATION SO
FAR, PROSPECTS OF BETTER EMPLOYMENT UPON TERMINATION OF PROBATION, AND OR
OTHER FACTS CONSTITUTING GOOD CAUSE.

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I declare under penalty of perjury that the forgoing is true and correct.

Executed on INSERT DATE, at INSERT CITY, California.

YOUR NAME
In Pro Per

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YOUR NAME
STREET ADDRESS
CITY, STATE, ZIP
PHONE NUMBER WITH AREA CODE

YOUR NAME, IN PRO PER

SUPERIOR COURT OF THE STATE OF CALIFORNIA
FOR THE COUNTY OF SACRAMENTO

PEOPLE OF THE STATE OF
CALIFORNIA,
Plaintiff,
vs.
YOUR NAME,

Defendant

)
)
)
)
)
)
)
)
)
)

Case No.: INSERT CASE NUMBER
C.I.I. No.:INSERT CRIMINAL
IDENTIFICATION NUMBER
ORDER TERMINATING PROBATION

GOOD CAUSE APPEARING THEREFORE,
IT IS HEREBY ORDERED that the probation imposed on the above-named
defendant on INSERT DATE OF CONVICTION is hereby terminated.

Dated: _________________
_____________________________________
Judge of the Superior Court

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APPENDIX R
How to Reduce Your Felony Conviction to
a Misdemeanor
As Part of Your Expungement Petition:
If you want to reduce your felony conviction to a misdemeanor AND get your
conviction expunged, it is very easy to do both at the same time When you have
your court hearing for your expungement, the judge will consider both
requests—first your request to reduce the conviction to a misdemeanor, and
then your request to have it expunged. If you meet all the requirements, usually
the judge will grant both of your requests together. (For a list of the
requirements for reducing a felony to a misdemeanor, see PG. 1065. For
expungement requirements, see PG. 1054.)
There are two main steps to this process:
•

•

File Your Petition for Dismissal:
o The Petition for Dismissal (form CR-180) that you must file to get your
conviction expunged has a box to check if your conviction is also eligible
to be reduced. When you are filling out your Petition for Dismissal, mark
the box on question # 1 to show that the conviction is eligible for
reduction under California Penal Code section 17(b). (For more
information on getting and filling out form CR-180, see APPENDIX K, on
PG. 1125.)
o File the petition in the county where you were convicted. The same
petition now serves as both your request to have your conviction
expunged AND your request to have it reduced to a misdemeanor. (For
details on how to file a Petition for Dismissal, see APPENDIX K, on
PG. 1125.)
Go to Your Court Hearing: When you have your court hearing, the judge will
usually consider both requests at the same hearing—first your request to
reduce the conviction to a misdemeanor, and then your request to have it
expunged. At the hearing, the judge will consider the following:
o The nature of the offense;
o The facts of the case;
o Whether you fulfilled the conditions of your probation;
o Your full criminal record and personal conduct record;
o Any objections from the district attorney.

Again, usually the judge will make a decision on both of your requests together.

As a Separate Petition:
If the judge does NOT reduce your felony conviction to a misdemeanor, or if
your felony is eligible for reduction but not expungement, you may need to file a
separate petition to get it reduced. Your petition will need to show the judge that
your felony conviction meets all the requirements to be reduced to a
misdemeanor (see PG. 1065 for a list of these requirements), and explain why
you deserve to have your conviction reduced. It will be entirely up to the judge
to decide whether your conviction should be reduced.

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NOTE: This is a formal court document, not just a form you fill out, so it is
recommended that you ask a lawyer to help you.
Your petition will have of 3 parts:
The Petition—This is your formal request to the court explaining that you are
asking to have your felony conviction reduced to a misdemeanor.
2) The Memorandum of Points and Authorities—This is where you state that
your felony conviction meets all the requirements to be reduced to a
misdemeanor under the law (California Penal Code section 17(b)(3)), and
explain why you deserve to have your conviction reduced to a misdemeanor
(based on the factors that the judge will consider, listed below).
3) The Declaration—Here, you state all the important facts about your situation
and swear that they are true. Your Declaration must include ANY and ALL of
the facts that you have included in the Petition and Memorandum sections.
1)

Factors the Judge May Consider:
When the judge decides whether or not to reduce your felony to a misdemeanor,
here are some of the things s/he will consider. You should emphasize these in
your petition:
•
•
•
•
•
•

The nature and circumstances of your offense (for example, how old you
were at the time; your role in the offense; the specific details of the offense);
Whether you have taken responsibility for your conviction and learned from
it;
Your attitude in court;
Your efforts at rehabilitation;
Your ability to successfully complete your parole;
Your individual situation—why you deserve to have your conviction reduced
to a misdemeanor (for example, your work, school, and/or family situation;
your accomplishments since your conviction; how you have changed since
your conviction; and why reducing your felony to a misdemeanor is
2888
necessary in order for you to succeed).

As we said, you should ask a lawyer to help you prepare your petition, however,
we have included an example in this appendix for your reference.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
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People v. Superior Court (Alvarez), 14 Cal. 4th 968 (1997).

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APPENDIX S
Sample Petition to Reduce Felony
Conviction to Misdemeanor
APPENDIX K – PETITION: REDUCTION OF FELONY TO MISDEMEANOR;

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MEMORANDUM IN SUPPORT OF 17 (b) PETITION

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APPENDIX T
Resentencing & Reclassification Under
Prop 47
RESENTENCING:
If you are currently serving your sentence (“under sentence”) for an
offense that qualifies under Prop 47, and you are NOT excluded by
one of the disqualifying convictions, you may be eligible for
2889
RESENTENCING.
STEP 1:

Obtain and fill out a Prop 47 petition

You will need to get the court forms from the clerk at the court where
you were convicted. These forms are straightforward and simple to
fill out—you just need to fill in information about your conviction (date
of conviction, penal code section, and sentence), and check the box
indicating that you are currently “under sentence” and requesting to
be resentenced. (Sample petitions from SF, LA, and Sacramento
Counties are included in APPENDIX EE, on PG. 1175.)
STEP 2: File your Petition and Serve your Court Papers
You will need to file your petition with the court clerk of the court
where you were convicted, and then serve (deliver) copies of your
court papers on the District Attorney and any other people who are
part of the case. (Ask the court clerk who you need to serve with your court
papers).

There is no
universal statewide
petition for
resentencing and
reclassification
under Prop 47. Each
local court has
created its own
version of the
petition, so you will
have to get the local
form from the clerk
of the court where
you were convicted.
Most courts have
created a single
form that covers
both resentencing
and reclassification.

STEP 3: The Judge Reviews Your Petition to See if You are Eligible
After you file your petition, a judge will review it to make sure you are eligible
2890
(qualify) for resentencing.
Remember, in order to qualify for resentencing,
you must meet all of the following requirements:
Your conviction must be for one of the qualifying convictions under Prop 47
(see PG. 1069); AND
2891
You must NOT have any of the disqualifying convictions (see PG. 1070);
AND
You are currently “under sentence” for the qualifying conviction (incarcerated
OR on parole or PRCS).

•
•
•

STEP 4: Qualification Hearing—if Requested
1)

When you petition for resentencing under Prop 47, you do not automatically
get a hearing in front of a judge, but you may request one. If your conviction
was for shoplifting, theft, receiving stolen property, or forgery/bad checks,
you may want to request a hearing so you can prove to the judge that the
value of property involved in your crime was under $950—and therefore
qualifies under Prop 47.
2) The DA can also request a hearing to contest (challenge) your petition.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2889
2890
2891

CAL. PENAL CODE § 1170.18(a).
CAL. PENAL CODE § 1170.18.
CAL. PENAL CODE § 1170.18.

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3) If there is a hearing on your petition, you should attend if you can. Whether
or not you are able to attend, make sure that the judge has as much
evidence as you can find to support your request for resentencing, including
evidence of rehabilitation, proof of your accomplishments since
your conviction, and letters of support. (See APPENDIX N, on
WHAT ARE
PG. 1132 for tips on how to write a letter of support. See
DISQUALIFYING
APPENDIX O, on PG. 1134 for a sample Letter of Support.)
“SUPER STRIKE”
4) If you meet all of the requirements for resentencing, you are
FELONIES?
entitled to be resentenced UNLESS the judge decides that you
The following
pose an “unreasonable risk to public safety.” This means that the
“super strike”
judge specifically thinks that if you are released, you will commit
offenses disqualify
one of the violent “super strike” felonies listed in California Penal
you from
2892
Code section 667(e)(2)c(iv)).
In making this decision, the judge
resentencing and/or
will consider:
reclassification
2893
under Prop 47:
a. your complete conviction history including:
i. the type of crime(s) you committed in the past;
a. A “sexually
ii. the amount of injury to your victim(s);
violent offense”
iii. the length of time you spent in prison in the past;
under the Sexually
and
Violent Predator
Law;
iv. how long ago you committed the crime(s).
b. your disciplinary record and record of rehabilitation while
b. Oral copulation,
you were in prison;
sodomy, or sexual
c. anything else the judge thinks is relevant.
penetration with a
person under 14 and
d. You should provide as much evidence as possible that
more than 10 years
you do not pose any risk to society.
younger;

STEP 5: Resentencing
If your conviction is eligible, your criminal history does not disqualify
you, and the judge does not think you pose an unreasonable risk to
public safety, you are entitled to be resentenced to a misdemeanor
sentence. This means that your felony sentence will be reduced to a
misdemeanor sentence instead! You will get credit for the time
you’ve already served, so if you have already served the equivalent
of a misdemeanor sentence, you can be released from custody right
2894
away.
•

•

If you were still in prison at the time of resentencing, the judge will
likely put you on parole for one year. However, depending on the
facts of your situation, you may be able to convince the judge not
2895
to give you parole at all.
If you were on parole or PRCS at the time of resentencing, you
could be discharged right away (if you have already completed
the equivalent of a misdemeanor sentence), or the judge may
reduce your supervision to probation.

RECLASSIFICATION:
If you already completed your sentence (including any parole or
probation term) for an offense that qualifies under Prop 47, and you

c. A lewd or
lascivious act
involving a person
under 14;
d. Any homicide
offense, including
attempted
1
homicide;
e. Solicitation to
commit murder;
f. Assault with a
machine gun on a
peace officer or
firefighter;
g. Possession of a
weapon of mass
destruction;
h. Any serious or
violent felony
punishable in
California by life
imprisonment or
death.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 1170.18(c).
CAL. PENAL CODE § 1170.18(b)(1).
CAL. PENAL CODE § 1170.18.
2895
CAL. PENAL CODE § 1170.18 (d) (“a person who is resentenced pursuant to subdivision (b)…shall be subject to
parole for one year following completion of his or her sentence, unless the court, in its discretion, as part of its
resentencing order, releases the person from parole”).
2892
2893
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are NOT excluded by one of the disqualifying convictions, you may be eligible to
have your felony RECLASSIFIED as a misdemeanor. Unfortunately, you cannot
get back the time that you served for the felony, but you can change your
criminal record to show a misdemeanor conviction instead of a felony
conviction.
STEP 1:

Obtain and fill out your Petition for Reclassification

Just as for resentencing, you will need to fill out and file a petition for
reclassification. Most courts use a single form for resentencing and
reclassification, which you should get from the clerk at the court where you were
convicted. When you fill out the form, you will need to fill in basic information
about your conviction (such as the date of conviction, penal code section, and
your sentence), and then check the box indicating that you are requesting
reclassification.
STEP 2: File your petition and Serve your court papers
File your petition with the clerk of the court where you were convicted, and then
serve (deliver) copies of your court papers on the District Attorney and any other
people who are part of the case. Ask the court clerk who else you need to serve
with your court papers.
STEP 3: Eligibility Determination
Once your petition is filed, a judge will review it to make sure you qualify for
2896
reclassification.
The judge will check to see whether your conviction offense
qualifies under Prop 47 (see PG. 1069) and whether you have any prior
2897
convictions that disqualify you (see PG. 1070).
Generally, you will not need to
request a hearing for reclassification, however, it is possible that you will need
one if you have to prove the value of the property involved in your offense to
make sure it qualifies.
If you meet the requirements, the judge MUST reclassify your conviction as a
misdemeanor.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2896
2897

CAL. PENAL CODE § 1170.18.(f).
CAL. PENAL CODE § 1170.18.

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APPENDIX U
Certificates Of Rehabilitation—Period Of
Rehabilitation
To figure out your period of rehabilitation, you add the base term of 5 years plus
2898
an additional amount of time based on your conviction offense:
•

•

•

Base 5 years + 2 years = 7 years if your conviction was for:
o California Penal Code sections 311.2(b), (c), or (d), 311.3, 311.10, or 314;
o Any offense not listed here that does NOT carry a life sentence.
Base 5 years + 4 years = 9 years if your conviction was for:
o California Penal Code sections 187, 209, 219, 4500, or 18755;
o Military & Veterans Code section 1672(a); or
o Any other offense that carries a life sentence;
Base 5 + 5 years = 10 years if your conviction was for:
o Any offense that requires you to register as a Sex Offender under
California Penal Code section 290 (including any conviction for an
attempted offense);
o Exception: If your conviction was for sections 311.2(b), (c), or (d), 311.3,
311.10, 314, you only need to wait 7 years (see above).

In addition to the above requirements, you must have completed any term of
probation or parole that was part of your sentence or was a condition of your
release. HOWEVER, the time you spend on probation or parole counts toward
your total “period of rehabilitation.”
NOTE: If you served consecutive prison terms, the judge may think that you
should wait for a longer period of rehabilitation. If this happens, the judge will
deny your COR the first time you apply, and will tell you how much additional
2899
time you must wait before you can re-apply.
NOTE: It is possible to apply for a Certificate of Rehabilitation before the end of
your period of rehabilitation. You must convince the judge that granting your
2900
Certificate of Rehabilitation early serves the “interests of justice.”
In other
words, you’d better have a really good reason why you should get a COR early.
The judge may consider your good conduct, rehabilitation efforts, and how
important getting a COR is to your success in the future. (This option is not
available to you if you are required to register as a sex offender under California
Penal Code section 290.)

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 4852.03(a).
CAL. PENAL CODE § 4852.03(a)(4). See also People v. Blocker, 190 Cal. App. 4th 438 (2010) (Refusal to admit guilt of
the underlying crime can be a reason for a court to deny a certificate of rehabilitation).
2900
CAL. PENAL CODE § 4852.22.
2898
2899

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APPENDIX V
Certificate Of Rehabilitation—Petition For
Certificate Of Rehabilitation
If you meet all of the eligibility requirements for a Certificate of Rehabilitation
(see PG. 1075) AND you have completed the period of rehabilitation (see
APPENDIX U, on PG. 1155) (or you want to request a COR early), you will need to
file papers (called a Petition for Certificate of Rehabilitation) in the criminal court
in the county where you currently live. Just like in your criminal case, you have
the right to a lawyer to help you with the process of requesting a COR.
NOTE: You must request a Certificate of Rehabilitation from the court in the
county where you currently live.
STEP 1:

Get and Fill out the Court forms

You will need to get and fill out 2 forms for your petition (together, they are
called an Application for Certificate of Rehabilitation & Pardon):
o Notice of Filing for Certificate of Rehabilitation; and
o Petition for Certificate of Rehabilitation.
o You will also need to get a Proof of Service form—but don’t fill it out yet.
You can get these forms (and instructions for how to fill them out) from:
o The court clerk;
o The county Probation Department, or
o The Public Defender’s Office.
o You may also be able to download them from the website of your county
court (or the court any other county, since the forms are the same
statewide).

•

•

WHAT SHOULD I SAY IN MY PETITION?
The judge wants to know that you are truly rehabilitated. You will need to show
that since your release from prison or jail:
1)
2)
3)
4)

You have lived “an honest and upright life,”
You have behaved with “sobriety and industry,”
You have shown “good moral character,” AND
2901
You have obeyed all laws.

The judge will consider all of these factors when deciding whether or not to
grant your COR. Your petition should:
Emphasize all of the positive things that you’ve done since your conviction
(both while you were incarcerated and since your release), such as:
o your efforts at rehabilitation (treatment or behavioral programs, period
of sobriety, etc.)
o what you’ve learned and how you’ve changed since your conviction;
o successful completion of your sentencing and supervision (parole or
probation) requirements; AND
o any other accomplishments since your conviction, such as employment,
school achievements (including any classes, GED, or degree that you’ve

•

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2901

CAL. PENAL CODE § 4852.05.

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•

•

•

•

completed), volunteer work, community involvement (church, youth
groups, mentoring), and family life.
If you are requesting a COR to help improve your employment opportunities
or for getting a professional or occupational license, make sure you say this
in your petition!
If you have had any new convictions or violations while on supervision, make
sure you explain them—why the conviction happened, what you are doing
differently now, and why you will not have the same problems again in the
future.
If you are currently required to register as a sex offender for your conviction,
you must also convince the judge that you do not pose any threat of
2902
committing any sex offenses against children.
You should include as many letters of support and proof of your
accomplishments as possible. (See APPENDIX N, on PG. 1132 for tips on
getting letters of support).

STEP 2: File Your Petition with the Court clerk
•

•

Once you have filled out your court forms, make at least 5 copies and take
everything to the court clerk to be filed. Remember, you will need to file your
forms with the criminal court in the county where you currently live.
When you file your forms, the clerk will stamp them, give you back the
copies, and give you a court date for your hearing. Make sure the date is at
least 30 days away.

STEP 3: Serve your Papers on the other parties
•

•
•

•

You will need to serve your court papers on all of the following people:
o The District Attorney in the county where you live;
o The District Attorney(s) in every county(s) where you were convicted (if
you have convictions in counties other than the one you live in now);
o The Governor’s Office.
You can serve your papers in person or by mail.
You must make sure that all of your papers are served on everyone at least
30 days before your hearing (or 35 days if you are sending them by mail). If
2903
you do not serve your papers in time, your petition will be dismissed.
After you have served all your court papers, fill out the Proof of Service and
file it with the court clerk in the county where you live (the same place you
filed your Notice and Petition papers in Step 2).

STEP 4: Investigation by DA
•
•

•

After you file your petition, the judge may ask the DA to do an investigation
of your life, conduct, and rehabilitation since your release.
As part of the investigation, the DA may contact you directly; may talk to your
family, employer, and neighbors; and may also get any records or reports
related to your conviction, including trial documents, prison records, and
probation/parole reports.
Afterward, the DA will prepare a report for the judge, which will help the
judge decide whether to grant your COR.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2902
2903

CAL. PENAL CODE § 4852.13.
CAL. PENAL CODE § 4852.07.

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STEP 5: The Court Hearing
•

•

•

Make sure you attend your court hearing on the date and time the clerk gave
you! Remember, the hearing is your chance to make a good impression on
the judge!
During the hearing, the judge will consider your criminal history, your
behavior in custody, and your conduct since your release. The judge will look
at any reports or records from the District Attorney’s investigation, and may
2904
also ask you or other people to answer questions.
You should be
prepared to answer any questions from the judge about your conviction, your
life and conduct since then, and any information in your petition. Just like in a
criminal case, make sure to stay calm and respectful no matter what is said
about you or your past.
In order to grant your COR, the court must find that you are rehabilitated and
ready to be a responsible member of society—in other words, that you are
ready to have all the civil and political rights of citizenship. If you are required
to register as a sex offender due to your conviction, the judge must also find
that you do not pose any threat of committing any sex offenses against
2905
children.

STEP 6: Success!
If the judge grants your request for a Certificate of Rehabilitation, s/he will give
you your certificate, and will also send a copy to the Governor’s Office. The COR
serves as an official recommendation from the judge that the Governor grant
you a full pardon. The COR also automatically serves as your application to the
Governor for a pardon, so you will not have to do anything more to apply for
2906
one.
(For information about Governor’s pardons, see PG. 1079, and
APPENDIX W, on PG. 1159.)
STEP 7: If Denied, The Appeal
•

•

If the judge decides not to grant your Certificate of Rehabilitation, you can re2907
apply for a COR any time in the future.
However, pay attention to the
judge’s reasons for denying your request so that you can fix or improve them
before you re-file. This will increase your chances of being granted a COR the
next time.
If the judge set a new period of rehabilitation for you (because you served
consecutive prison terms, or you have a new conviction), you will need to
wait out this additional period before you can re-apply for a COR.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 4852.10; see also People v. Zeigler, 149 Cal. Rptr.3d (2012).
(court could consider facts of offense for which petitioner had received Proposition 36 drug treatment).
2905
CAL. PENAL CODE § 4852.13.
2906
CAL. PENAL CODE § 4852.13.
2907
See People v. Lockwood, 66 Cal. App. 4th 222 (1998).
2904

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APPENDIX W
Governor’s Pardon—Application For
Traditional Pardon Directly From Governor
(Without Certificate Of Rehabilitation)
STEP 1:

The Application

You will need to fill out the “Application for Gubernatorial Pardon”
with information about the conviction you want pardoned, any
other convictions on your record, and why you deserve a pardon.
You can get the application online at:
http://gov.ca.gov/s_pardonsandcommutations.php, or
request an application by mail from the Governor’s office:
Governor’s Office
State Capitol
ATTN: Legal Affairs
Sacramento, CA 95814
(There is a sample application in included in APPENDIX FF, on
PG. 1183, however, you should try to get a new copy from the
Governor’s Office or online, in case there are recent changes).
To complete the application, you will need to the following
information:
•
•
•
•
•

•

Your personal information (name, date of birth, address, etc);
Information about all of your prior convictions, including those
in other states/countries;
The circumstances of the crime you are requesting a pardon
for;
Why you are requesting the pardon;
Why you think you should be granted a pardon (such as your
excellent conduct, accomplishments, responsibilities, and
rehabilitation since your conviction);
The names of anyone you paid or gave a gift to for helping you
with the application.

STEP 2: Notice to the District Attorney
•

•

IMPORTANT:
If you are
applying for a
Traditional
Pardon directly
from the
Governor, you
may want to
emphasize and
explain the
following:
• Your excellent
conduct since
your conviction;
• You have led an
honest and
upstanding life
since your
conviction;
• You have
contributed to
your community
and been a
responsible
member of
society;
• Your
responsibilities
and
accomplishments,
including work,
school,
volunteering,
family situation,
community
involvement,
and/or religion;
• You have avoided
any further
criminal activity.

After you fill out your application, you must notify the District
Attorney in the county where your conviction is from that you
intend to request a pardon. If you are requesting a pardon for
several convictions, you must notify the DAs in every county
2908
where you have a conviction.
You must use a special form to notify the DAs. The form is
included in the Application for Gubernatorial Pardon, along with instructions
on how to complete the form and deliver it to the DA(s).

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2908

CAL. PENAL CODE § 4802.

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•
•

You must deliver your notice for to the DA(s) at least 10 days before you
2909
submit your application to the Governor.
Once the DA has received your notice, he/she will complete the bottom
section of the form to confirm that he/she received the notice, and then
return it directly to the Governor’s Office.

STEP 3: Submitting your Application to the Governor’s Office
At least 10 days after you have sent your notice to the DA(s) in every county
where you have convictions to be pardoned, you will mail your completed
2910
Application for Gubernatorial Pardon to the Governor’s Office:
Governor’s Office
State Capitol
ATTN: Legal Affairs
Sacramento, CA 95814
STEP 4: The Review
After you have submitted your application, the Governor will begin a review of
your case. S/he may request that the judge of the court in which you were
convicted, or the DA who prosecuted you, provide a summary of the facts of
your case as well as a recommendation on whether or not your pardon should
2911
be granted. The Governor will also typically forward your application to the
2912
Board of Parole Hearings for its opinion.
The BPH may then investigate your
application by reviewing transcripts and documents from your trial (or any other
proceedings in our case), examining witnesses, taking testimony, or whatever
else it finds necessary to evaluate your application. The BPH will then make a
2913
recommendation to the Governor.
Remember, if you were convicted of more
than one felony, the Governor MUST forward your application to the BPH for
2914
review.

!

IMPORTANT: If you were convicted of more than one felony, the
Governor CANNOT grant your pardon without a recommendation from
the California Supreme Court.2915 However, the Governor does not have
to send your application to the Supreme Court to get its recommendation
in the first place!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 4802.
See How to Apply for a Pardon, STATE OF CAL. OFFICE OF THE GOVERNOR (Sept. 5, 2013),
http://gov.ca.gov/docs/How_To_Apply_for_a_Pardon.pdf.
2911
CAL. PENAL CODE § 4803.
2912
How to Apply for a Pardon, STATE OF CAL. OFFICE OF THE GOVERNOR (Sept. 5, 2013),
http://gov.ca.gov/docs/How_To_Apply_for_a_Pardon.pdf.
2913
CAL. PENAL CODE § 4812.
2914
CAL. PENAL CODE §§ 4802, 4813.
2915
CAL. PENAL CODE § 4852.16.
2909
2910

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APPENDIX X
How to Seal Your Adult Arrest Record
(California State Records)
To get your arrest record sealed, you will need to go through the law
enforcement agency and/or court in the county where you were arrested,
depending on your situation.
STEP 1:

Get and Fill Out the Forms

You will first need to get and fill a “Petition and Order to Seal and Destroy Adult
Arrest Records.” Some counties have their own local forms to use for this, but
2916
you can always use the standard Department of Justice form.
To find your county’s local forms (if your county has them), you can
check with the county court or on the court’s website, or contact the law
enforcement agency that arrested you.
You can find the standard Department of Justice form on the DOJ
website at: http://ag.ca.gov/idtheft/forms/bcii_8270.pdf.
To complete the petition, you will need the following information:
•
•

•
•
•

The exact date you were arrested;
The name of the law enforcement agency that arrested you (for example, the
city police department, county sheriff, California Highway Patrol, or other law
enforcement agency);
The case number or booking number that the arresting law enforcement
agency assigned to your case;
What offense or charges you were arrested for; AND
The outcome (disposition) of those charges (i.e. what happened in your case).
You will also need to get copies of any documents or other evidence in
support of your petition. This may include declarations, affidavits, police
reports, or anything else that you can use to prove your factual
innocence. These will become part of your petition.
Make extra copies of your Petition and all supporting documents (at
least 4 copies)
A sample petition is available in APPENDIX GG, on PG. 1187.

STEP 2: File the Petition and Order (plus Supporting Documents)
After you have completed the forms, you will need to file your petition and any
supporting documents, with the correct agency. Where you file your petition
depends on your situation:
•

OPTION 1: If NO charges (complaint) were ever filed against you—in other
words, if you never had to appear in court after your arrest—you will give
your petition directly to the law enforcement agency that arrested you.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 851.8(g); see Form BCII 8270, STATE OF CAL. DEP’T OF JUSTICE RECORD MANAGEMENT/RECORD
SEALING UNIT, http://ag.ca.gov/idtheft/forms/bcii_8270.pdf.
2916

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•

o You will also need to serve a copy of the petition on the District Attorney
of the county in which you were arrested.
OPTION 2: If charges (a complaint) were filed against you, and you appeared
in court, you must file your petition with the clerk of the court where you
appeared for the case. (If possible, it is recommended that you ask a lawyer
to help you with your case.
o When you file your petition with the court clerk, the clerk will set a
hearing date for your petition.
o You will also need to serve copies of your petition on the law
enforcement agency that arrested you AND the District Attorney of the
county in which you were arrested. You must serve your petition on the
2917
DA at least 10 days before your hearing date.

STEP 3: Review/Court Hearing
•

•

OPTION 1: If you gave your petition directly to the law enforcement agency
that arrested you, the law enforcement agency has 60 days to review and
respond to your petition. If neither the law enforcement agency nor the
District Attorney responds to your petition within the 60 days, the petition is
2918
considered denied.
o If your petition is denied—either because the law enforcement agency
tells you they are denying your petition, OR because they failed to
respond—you can then file your petition with the court and request that
the court order your record sealed (follow steps for OPTION 2 above).
o NOTE: You MUST file your original petition with the court. This means
that you will have to get your original petition back from the law
2919
enforcement agency that you gave it to, and then file it with the court.
OPTION 2: If you filed your petition with the court (either first, or after it was
denied by the law enforcement agency), there will be a hearing in front of a
2920
judge who will decide whether or not to grant your petition.
At the
hearing, you (or your lawyer) will present evidence of your factual innocence,
and try to convince the court to grant your petition to have your arrest record
sealed. The District Attorney may present evidence and argument against
2921
you.

STEP 4: The Decision
If the court finds that you are factually innocent, the judge will grant your
petition and order that your arrest record and all related information be sealed
for three years and then destroyed. If the judge does not find you factually
innocent (denies your petition), you can appeal the decision.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 851.8(c).
CAL. PENAL CODE § 851.8. (“If…the law enforcement agency and prosecuting lawyer do not respond to the
petition by accepting or denying the petition within 60 days of the running of the relevant statute of limitations or
within 60 days after the receipt of the petition in cases where the statute of limitations has previously lapsed, then
the petition shall be deemed to be denied.”).
2919
Form BCII 8270, STATE OF CAL. DEP’T OF JUSTICE RECORD MANAGEMENT/RECORD SEALING UNIT,
http://ag.ca.gov/idtheft/forms/bcii_8270.pdf.
2920
CAL. PENAL CODE § 851.8(b).
2921
CAL. PENAL CODE § 851.8(b).
2917
2918

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APPENDIX Y
How to Seal Juvenile Records
STEP 1:

Get a copy of your Juvenile Records

It is very important that you get a copy of your juvenile record and know exactly
what is in it, because you will need this information to fill out your court forms
properly. You can get a copy of your juvenile from the Clerk’s Office of the
2922
Juvenile Court where your case was adjudicated.
Make sure you bring a
photo ID with you, or you will not be able to get your record.
STEP 2: Get and Fill out a Petition to Seal Juvenile Records
When you go to the clerk’s office to get a copy of your juvenile record, you
should also ask the clerk for a copy of the proper form, called a Petition to Seal
Juvenile Records, and any instructions that go with it. Follow the instructions
carefully, especially when you are asked to list the arrests or charges that you
want sealed. ONLY THE ONES YOU LIST WILL BE SEALED! This is why it is
important to have a copy of your juvenile record with you so you do not miss
2923
anything.
STEP 3: File your Petition
•
•

•

Take your completed petition back to the Clerk’s Office of the juvenile court
you were adjudicated in and file it with the clerk.
Ask the clerk if the petition needs to be served on any other parties (such as
the District Attorney or the Probation Department). If it does, be sure to ask
the clerk if the clerk’s office will serve it, or if you have to serve the papers
yourself.
After you have filed your petition, you will get a court date for a hearing. The
clerk may set the hearing date when you file your petition, or you may
receive a Notice of Hearing in the mail (it can take several weeks to get your
Notice of Hearing by mail).

STEP 4: The Hearing
•

•

•

At the hearing, the judge will consider your petition AND get a
recommendation from the probation department about whether your record
should be sealed.
You are not required to attend the hearing, but it is a good idea to go so that
you can answer any questions that the judge might have. You are also
allowed to bring witnesses to testify on your behalf (such as a pastor,
teacher, employer, counselor, or other people who know you and can speak
positively about you).
After the hearing, the judge will rule on (decide) whether or not to seal your
records. If the judge grants your petition and seals your records, s/he will also
order all other agencies that have juvenile records on you (such as the police,
probation department, DOJ, and DA) to seal their records also.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

See Sealing Your Juvenile Records, PUBLIC COUNSEL (2013),
http://www.publiccounsel.org/tools/publications/files/Sealing-your-Juvenile-Record.pdf.
2923
See Sealing Your Juvenile Records, PUBLIC COUNSEL (2013),
http://www.publiccounsel.org/tools/publications/files/Sealing-your-Juvenile-Record.pdf.
2922

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STEP 5: Appeal
If the judge denies your petition, ask the judge if and when you will be able to refile your petition. You should also ask the judge for the reasons why s/he denied
your petition, so that you can fix or address any problems before you re-file.

!

IMPORTANT: As of January 1, 2015, California Welfare & Institutions
Code Section 786 changed so that juveniles who successfully complete
probation, and otherwise qualify to have their record sealed, will have
their juvenile record automatically sealed by the judge, without having to
file a petition in court or do anything else.2924
However, this DOES NOT apply to juveniles who completed their
probation BEFORE January 1, 2015. If you completed your juvenile
probation BEFORE January 1, 2015, you will still need to file a petition in
court to have your juvenile record sealed.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2924

CAL. WELF. & INST. CODE § 786.

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APPENDIX Z
How to Get DNA Expungement
$ CALIFORNIA
STEP 1:

Request expungement directly from the California DOJ

(Note: this is the fastest and easiest way to get your DNA expunged)
If you meet all of the requirements for California DNA expungement,
you should:
•
•

•

Get and fill out the California DOJ’s Streamlined DNA
Expungement Application form;
Include the required documents to prove that you qualify for DNA
expungement (the Application form will tell you which documents
to include, since it will be different depending on your specific
situation); AND
Mail your completed Application form and all documents to the following
address:

The DOJ’s
Streamlined DNA
Expungement
Application form is
available online at
https://oag.ca.gov/si
tes/all/files/agweb/p
dfs/bfs/expungemen
t_app.pdf?

California Department of Justice
CAL-DNA Data Bank Program
Attn: Expungement Requests
1001 W. Cutting Blvd., Suite 110
Richmond, CA 94804
If you meet all of the requirements and have included all required documents,
2925
your DNA MUST be expunged from the California database.
The process
2926
usually takes about 2-4 weeks for your DNA to be removed.
If your request for DNA expungement is denied, you can still file a new request
for DNA expungement in court. (However, if your first request is denied, you may
want to talk to a lawyer before filing a new request in court, since this may mean
that you have another conviction on your record that disqualifies you from DNA
expungement.)
STEP 2: Requesting DNA expungement in court
(Note: You can do this if your direct request to the DOJ was denied)
To request DNA expungement in court, you will need to:
•

•

Get and complete the Petition for Expungement of DNA Samples & Profiles
(form CR-185/JV-796);
o The form is available online at
http://www.courts.ca.gov/documents/cr185.pdf, or ask the court clerk for
a copy (or where to get a copy) of the form.
File your form with the court clerk in the county where you were arrested or
where your case was held;

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 299(c)(2).
BFS DNA Frequently Asked Questions, STATE OF CALIFORNIA DEPARTMENT OF JUSTICE OFFICE OF THE ATTORNEY
GENERAL, https://oag.ca.gov/bfs/prop69/faqs.
2925
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•

•

Serve copies of your Petition on the DOJ’s DNA Lab (CAL-DNA Program) and
District Attorney in the county where you were arrested or where your case
was held; AND
Have a hearing before a judge. You will need to show that you meet all of the
legal requirements for DNA expungement (described above), and it will be up
2927
to the judge to decide whether to grant your DNA expungement.

For more information about DNA expungement in California in general, see
Getting Expunged or Removed from the CAL-DNA Data Bank on the California
DOJ’s website at: https://oag.ca.gov/bfs/prop69/faqs.

$ FEDERAL:
If you meet all of the requirements to expunge your DNA from a federal
arrest or conviction (PG. 1101), you must:
•

•

•

Get a certified copy of the final court order from your case, with
the following information:
o If you were arrested—The court order must show that NO
charges were filed against you, or the charges were
dismissed, or you were acquitted of the charges.
o If you were convicted—The court order must show that your
conviction was overturned.
Send a written letter to the FBI to ask that your DNA be expunged
from the National DNA Index System.
o Include all of your personal information (including your full
name, social security number, and/or date of birth).
o Include as much information as possible about your arrest or
conviction (date or arrest or conviction; case or docket number;
date of dismissal, acquittal, or overturning of conviction).
• Most importantly: Include the certified court order from Step 1!
Mail your letter and the certified court order to:
Federal Bureau of Investigation
Laboratory Division
2501 Investigation Parkway
Quantico, VA 22135
Attention: Federal Convicted Offender Program Manager

•

WHAT IS A
"CERTIFIED
COURT ORDER”?
You will need to get
the court order from
the federal court
where your case
was heard. The
court order must be
certified by the
court clerk (meaning
it is a true and
accurate copy of the
original court order),
and must include
enough personal
information to
identify you as the
defendant in the
case (including your
full name, social
security number,
and/or date of birth).
Both the judge and
the clerk must sign
and date the
certified copy of the
court order.

The FBI is required to expunge your DNA from the national
database if you meet all the requirements and include the proper court
2928
order.

For more information on expungement of DNA from the national database, visit
the FBI’s website on CODIS—Expungement Policy, available at
http://www.fbi.gov/about-us/lab/biometric-analysis/codis/codis_expungement.

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

CAL. PENAL CODE § 299(c)(1).
42 U.S.C. 14132(d)(1); CODIS—Expungement Policy, Expungement of DNA Records in Accordance with 42 U.S.C.
14132(d)(1)(A), THE FED. BUREAU INVESTIGATION, http://www.fbi.gov/about-us/lab/biometricanalysis/codis/codis_expungement.
2927
2928

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APPENDIX AA
Sample California RAP Sheet
!

Sample DOJ Rap Sheet
The following CII record, NUMBER 99 000 015, IS FOR OFFICIAL USE ONLY

ARRESTED
OR RECEIVED

DEPARTMENT AND
NUMBER

8-9-82

PD LOS ANGELES
388555t, 89894371

1

2

NAME

CHARGE

DOE, JOHN

489PC-GRAND
THEFT 8-10-82

DISPOSITION

3

10-21-86

PD WALNUT CREEK

DOE, JOHN

459PC-BURG

1-19-87

SO LOS ANGELES
2000000

DOE, JOHN

1135 & S-POSS NARC
CONT SUB FOR SALE
496PC-REC STOL PROP

9-15-82, #31134000 4 , 489 PC,
FELS, CONV, 36MOS PROB, 365 DS
JL5-31-84, #3249604, 17(b)(3),
1203.4, DISM,FURTH OF JUST 5
10-14-84, #A395487, CERT OF
REHABILITATION 6
12-28-86, #52149801602(L) PC,
MISD, CONV, 24 MOS PROB, 30 DS
JL 7
2-21-88, #223019821203.4, DISM,
FURTH OF JUST

3-20-87 9 , #A-400000,
11350H…S, 496PC, FELS, 10
CONV 11 , 36MOS PROB,180DS JL
8-16-87,PROB REV, SENT
1YR 4MOS ST PRIS 8

Key To Sample DOJ Rap Sheet
This sample rap sheet contains information on 4 arrests.
1) Arrest date
2) Arresting agency
3) Arrest charges, including a description of each charge and its criminal code number
4) Index or docket number
5) The “DISM, FURTH OF JUST” notation indicates that DOJ has expunged the entry
6) Whether a Certificate of Rehabilitation has been issued and details
7) Corrections date, including parole and probation information
8) Sentence
9) Date of disposition
10) Offense convicted of
11) Disposition of case

8

Legal Action Center, How to Get and Clean Up Your California RAP Sheet (2002).

PAGE 1167 OF 1210

ROADMAP TO REENTRY

APPENDIX BB
FBI Applicant Information Form – FBI RAP
Sheet
!

PAGE 1168 OF 1210

ROADMAP TO REENTRY

PAGE 1169 OF 1210

ROADMAP TO REENTRY

APPENDIX CC
FBI-Approved Channelers
!

3M Cogent Systems
www.cogentid.com
(614) 718-9691

MorphoTrust
www.IdentoGO.com/FBICheck
(877) 783-4187

Accurate Biometrics
www.accuratebiometrics.com
(773) 685-5699

National Background Check, Inc.
www.nationalbackgroundcheck.com
(877) 932-2435

Biometrics4All, Inc.
www.applicantservices.com
(714) 568-9888

National Credit Reporting
www.myFBIreport.com
(800) 441-1661

Daon Trusted Identity Services, Inc.
www.daontis.com/fl/index.html
(703) 797-2562

Telos Identity Management Solutions, LLC
https://enroll.idvetting.com
(800) 714-3557

Eid Passport, Inc.
www.eidpassport.com
(855) 531-5827

TRP Associates, LLC dba ID Solutions
www.trpassociates.net
(877) 885-1511

Fieldprint, Inc.
www.fieldprint.com/FBI
(877) 614-4364

VetConnex
www.vetconnex.com
(952) 224-865

Inquiries, Inc.
www.inquiriesinc.com
(866) 987-3767

PAGE 1170 OF 1210

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APPENDIX DD
Petition for Dismissal (CR-180) & Order for
Dismissal (CR-181)
!

PAGE 1171 OF 1210

ROADMAP TO REENTRY

CR-180
ATTORNEY OR PARTY WITHOUT ATTORNEY (Name, State Bar number, and address):

TELEPHONE NO.:

FOR COURT USE ONLY

FAX NO.:

E-MAIL ADDRESS:
ATTORNEY FOR (Name):

PEOPLE OF THE STATE OF CALIFORNIA
v.
DEFENDANT:

DATE OF BIRTH:
CASE NUMBER:

PETITION FOR DISMISSAL

FOR COURT USE ONLY

(Pen. Code, §§ 17(b), 1203.4, 1203.4a, 1203.41)

Date:
Time:
Department:

1. On (date):
following:

, the petitioner (the defendant in the above-entitled criminal action) was convicted of a violation of the

Offense
(Specify each offense in the case noted above.)

Code

Section

Type of offense: (Felony;
Misdemeanor; Infraction)

Eligible for reduction to
misdemeanor under
Penal Code § 17(b) (Yes
or No)

If additional space is needed for listing offenses, use Attachment to Judicial Council Form (form MC-025).

2.

Felony or misdemeanor with probation granted (Pen. Code, § 1203.4)
Probation was granted on the terms and conditions set forth in the docket of the above-entitled court; the petitioner is not
serving a sentence for any offense, nor on probation for any offense, nor under charge of commission of any crime, and
the petitioner (check all that apply):
a.

3.

has fulfilled the conditions of probation for the entire period thereof;

b.

has been discharged from probation prior to the termination of the period thereof;

c.

should be granted relief in the interests of justice. (Please note: You must explain why granting a dismissal would
be in the interests of justice. You may complete and attach the Attached Declaration (form MC-031) or submit other
relevant documents.)

Misdemeanor or infraction with sentence other than probation (Pen. Code, § 1203.4a)
Probation was not granted; more than one year has elapsed since the date of pronouncement of judgment. The petitioner
has complied with the sentence of the court and is not serving a sentence for any offense or under charge of commission of
any crime; and the petitioner (check one):
a.

has lived an honest and upright life since pronouncement of judgment and conformed to and obeyed the laws of
the land; or

b.

should be granted relief in the interests of justice. (Please note: You must explain why granting a dismissal would
be in the interests of justice. You may complete and attach the Attached Declaration (form MC-031) or submit
other relevant documents.)
Page 1 of 2

Form Approved for Optional Use
Judicial Council of California
CR-180 [Rev. January 1, 2015]

PAGE 1172 OF 1210

PETITION FOR DISMISSAL

Penal Code, §§ 17(b),
1203.4, 1203.4a, and 1203.41
www.courts.ca.gov

ROADMAP TO REENTRY

PEOPLE OF THE STATE OF CALIFORNIA v. DEFENDANT:

4.

CASE NUMBER:

Felony county jail sentence under Penal Code section 1170(h)(5) (Pen. Code, § 1203.41)
The petitioner is not under supervision under Penal Code section 1170(h)(5)(B) and is not serving a sentence for, on
probation for, or charged with the commission of any offense, and should be granted relief in the interests of justice, and
(check one:)
more than one year has elapsed since petitioner completed the felony county jail sentence with a period of
a.
mandatory supervision imposed under Penal Code section 1170(h)(5)(B); or
b.
more than two years have elapsed since petitioner completed the felony county jail sentence without a period of
mandatory supervision imposed under Penal Code section 1170(h)(5)(A).
(Please note: You must explain why granting a dismissal would be in the interests of justice. You may complete and attach
the Attached Declaration (form MC-031) or submit other relevant documents.)

Petitioner requests that the eligible felony offenses listed above be reduced to misdemeanors under Penal Code section 17(b).
Petitioner requests that he/she be permitted to withdraw the plea of guilty, or that the verdict or finding of guilt be set aside
1203.4,
1203.4a , or
1203.41
and a plea of not guilty be entered and the court dismiss this action under section
of the Penal Code.

I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct.
Executed on:
(DATE)

(SIGNATURE OF PETITIONER OR ATTORNEY)

(ADDRESS, PETITIONER)

CR-180 [Rev. January 1, 2015]

(CITY)

(STATE)

PETITION FOR DISMISSAL

For your protection and privacy, please press the Clear
ATTORNEY
OR PARTY
WITHOUT ATTORNEY
(Name, State Bar number, and address):
This Form button after you
have
printed
the form.
Print

this form

(ZIP CODE)

Page 2 of 2

PAGE 1173 OF 1210
CR-181
Save this form
Clear this form
FOR COURT USE ONLY

ROADMAP TO REENTRY

PEOPLE OF THE STATE OF CALIFORNIA v. DEFENDANT:

CASE NUMBER:

6. If the order is granted under the provisions of either Penal Code section 1203.4, 1203.4a, or 1203.41, the petitioner is released
from all penalties and disabilities resulting from the offense except as provided in Penal Code sections 29800 and 29900 (formerly
sections 12021 and 12021.1) and Vehicle Code section 13555. In any subsequent prosecution of the petitioner for any other
offense, the prior conviction may be pleaded and proved and shall have the same effect as if probation had not been granted or
the accusation or information dismissed. The dismissal does not permit a person to own, possess, or have in his or her control a
firearm if prevented by Penal Code sections 29800 or 29900 (formerly sections 12021 and 12021.1). Dismissal of a conviction
does not permit a person prohibited from holding public office as a result of that conviction to hold public office.
7. In addition, as required by Penal Code section 299(f), relief under Penal Code sections 17(b), 1203.4,
1203.4a, or 1203.41 does not release petitioner from the separate administrative duty to provide
specimens, samples, or print impressions under the DNA and Forensic Identification Database and
Data Bank Act (Pen. Code, § 295 et seq.) if petitioner was found guilty by a trier of fact, not guilty by
reason of insanity, or pled no contest to a qualifying offense as defined in Penal Code section 296(a).

FOR COURT USE ONLY

Date:
(JUDICIAL OFFICER)

CR-181 [Rev. January 1, 2015]

PAGE 1174 OF 1210

For your protection and privacy, please press the Clear
This Form button after you have printed the form.

ORDER FOR DISMISSAL

Print this form

Save this form

Page 2 of 2

Clear this form

ROADMAP TO REENTRY

APPENDIX EE
Prop 47 – Sample Petitions for San
Francisco, Sacramento, and Los Angeles
$ SAN FRANCISCO
See next page

PAGE 1175 OF 1210

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SUPERIOR COURT OF CALIFORNIA, COUNTY OF SAN FRANCISCO
FOR COURT USE ONLY

Name:
Address:

SBN:

Phone:
Attorney for Petitioner
PEOPLE OF THE STATE OF CALIFORNIA
Date:
Time:
PETITIONER

Department:
PETITION FOR RESENTENCING OR
RECLASSIFICATION
(PENAL CODE §1170.18)

SUPERIOR COURT CASE NUMBER
Court#

Petitioner in the above-entitled case hereby files a petition for:
Resentencing
Reclassification
of the felony count(s) of __________________________________ pursuant to Penal Code §1170.18.
Petitioner:
Has completed his/her sentence and petitions to have the felony count(s) designated as a misdemeanor(s).
Has a pending case and/or is still serving a sentence on the felony count(s) and petitions for resentencing.

Executed on: ____________________

_____________________________________
Name
Attorney at Law

PETITION FOR RESENTENCING AND RECLASSIFICATION – RESPONSE AND ORDER (PC §1170.18)

PAGE 1176 OF 1210

2/4/15

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SUPERIOR COURT OF CALIFORNIA, COUNTY OF SAN FRANCISCO
FOR COURT USE ONLY

Name:
Address:

SBN:

Phone:

Attorney for Petitioner
PEOPLE OF THE STATE OF CALIFORNIA

PETITIONER
ORDER

SUPERIOR COURT CASE NUMBER

PENAL CODE §1170.18

Court#
The court finds from the records on file in this case, and from the foregoing petition, that the petitioner is eligible for the
following requested relief:
The court denies the petition.
The court grants the petition. The court finds that the petitioner is eligible for the following relief:
The court reduces count/s___________ a felony offense of _______________________________ to a misdemeanor.
Formal probation is converted to court probation, same terms and conditions.
Formal probation is converted to court probation, modified as follows:_______________________________________
Formal probation continues as ordered, same terms and conditions.
Formal probation is modified as follows: ______________________________________________________________
Petitioner faces a maximum potential sentence of 364 days or less.

Petitioner has completed a sentence of 364 days or less.

Probation is hereby terminated successful unsuccessful.
The restitution fine is reduced to $150.
Other: ________________________________________________________________________________________
Having been convicted of a misdemeanor, and having completed the sentence for this conviction, Petitioner is therefore
not subject to supervision by the California Department of Corrections and Rehabilitation.
This Order shall be set aside upon request of Petitioner.
Any felony conviction that is recalled and resentenced under §1170.18 subdivision (b) or designated as a
misdemeanor under subdivision (g) shall be considered a misdemeanor for all purposes, except that such
resentencing shall not permit that person to own, possess, or have in his or her custody or control any firearm or
prevent his or her conviction under Chapter 2 (commencing with Section 29800) of Division 9 of Title 4 of Part 6.
Executed on: __________________________

_________________________________________________
JUDGE OF THE SUPERIOR COURT

CLERK’S CERTIFICATE
The foregoing document, consisting of _____ page(s), is a full, true and correct copy of the
this office.
Date:__________________
Clerk of the Superior Court

original copy on file in

By _____________________________________

PETITION FOR RESENTENCING AND RECLASSIFICATION – ORDER (PC §1170.18)

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PROOF OF SERVICE

I, the undersigned, say:
I am over eighteen years of age and not a party to the above action. My business address
is_______________________, California 94____.

I personally served copies of the attached on the following:

San Francisco District Attorney, 3rd Floor
850 Bryant Street
San Francisco, CA 94103
Attn: ________________________________

I declare under penalty of perjury that the foregoing is true and correct.

Executed on _________________ in San Francisco, California.

Print Name

PAGE 1178 OF 1210

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$ SACRAMENTO
See next page

PAGE 1179 OF 1210

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Superior Court of California, County of Sacramento
Petition for Re-designation of Sentence (Proposition 47)
For Court Use Only

Case
Number:
Court Date:

Court Time:

Court Dept.:

PAGE 1180 OF 1210

Petition for Re-designation of Sentence

a.m.
p.m.

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$ LOS ANGELES
See next page

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SUPERIOR COURT OF CALIFORNIA, COUNTY OF LOS ANGELES
FOR COURT USE ONLY

ATTORNEY OR PARTY WITHOUT ATTORNEY (Name, State Bar Number and Address)

TELEPHONE NO.:

FAX NO. (Optional):

E-MAIL ADDRESS (Optional):
ATTORNEY FOR (Name):

PEOPLE OF THE STATE OF CALIFORNIA
vs.
CASE NUMBER:

DEFENDANT

APPLICATION/PETITION FOR RESENTENCING AND PEOPLE’S RESPONSE
(Penal Code § 1170.18, subsections (b) and (g))
DEFENDANT’S APPLICATION/PETITION
On ______________, defendant was convicted in the above-captioned case of a felony violation of a crime that has now been made a misdemeanor
pursuant to Proposition 47. He/she was convicted of the following felony: _________________________________________
code section(s), including subsection(s)
Defendant does not have any conviction for an offense listed in Penal Code § 667(e)(2)(C)(iv) or which requires registration as a sex
offender pursuant to Penal Code § 290(c).
For Penal Code convictions only:
The amount in question is not more than $950.
For Penal Code § 666 convictions only:
Defendant is not required to register under any portion of the Sex Offender Registration Act (Penal Code §§ 290 through 290.024).
Applications Only
Defendant has completed his/her sentence for the offense and requests that the felony conviction be designated a misdemeanor conviction
pursuant to Penal Code § 1170.18(f)-(i).
Petitions Only
Defendant requests that the felony sentence be recalled and that he/she be resentenced to a misdemeanor pursuant to Penal Code
§ 1170.18(a)-(e).
Defendant is still on supervision even though he/she has
completed the jail or prison term.
Defendant requests that he/she be released from parole per
Penal Code § 1170.18(d).

OR

Defendant is currently serving a sentence for the offense in
________________________________________________
(name of jail or prison)

Resentencing the defendant would not pose an unreasonable risk of danger to public safety, as defined in Penal Code § 1170.18(c).

Date

Defendant or Attorney for the Defendant
DISTRICT ATTORNEY’S RESPONSE

People do not oppose. Defendant has completed his/her sentence and is eligible to have the felony conviction designated as a misdemeanor
conviction.
People do not oppose. Defendant is still serving his/her sentence and is eligible and suitable for resentencing. The People recommend the
following sentence: ________________________________________________________________________________
People waive presence at resentencing.
People oppose. Defendant is ineligible for the relief requested:
Defendant’s current conviction for ___________________________________________________does not qualify for Proposition 47 relief.
Defendant is required to register pursuant to Penal Code § 290(c), or pursuant to Penal Code §§ 290 to 290.024 if the conviction is for Penal
Code § 666.
Defendant has a prior conviction for an offense listed in Penal Code § 667(e)(2)(C)(iv): _________________________________________
People oppose. Defendant is eligible, but unsuitable for resentencing because resentencing the defendant poses an unreasonable risk of danger to
public safety pursuant to Penal Code § 1170.18(c). People request that a suitability hearing be set.

Date

Deputy District Attorney

PAGE 1182 OF 1210

APPLICATION/PETITION FOR RESENTENCING, RESPONSE (PC § 1170.18(b) and (g))

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APPENDIX FF
How to Apply for Governor’s Pardon

PAGE 1183 OF 1210

ROADMAP TO REENTRY

Governor Edmund G. Brown Jr. · Sttate Capitol · SSacramento, Caalifornia 95814
4

APPLICATION FOR GUBERNATO RIAL PARDON
Complete this applicattion to requesst a pardon fro
om the Governor. A pardonn is the forgivveness of a crime. If you are eligible for a
he superior
Certificaate of Rehabiliitation, do not complete this application; instead obtaain a Certificatte of Rehabili tation from th
court in your county of
o residence. (See Penal Co
ode, § 4852.01
1.) If a pardo n is granted, this application will becom
me a public
however speccific personal information will
w be redactted (hidden) b
before it is maade available to the publicc.
record, h
APPLICAN
NT INFORMATI ON
Name: ____________
____________
_____________
__ Date of Birth: _________
_____ E mail A
Address: _______________________
Address:: ___________
_____________
____________
_____________
_________________ Phone N
Number:
1.

Conviction Summary:
List all priorr convictions,, including an
ny in other sttates or coun
ntries. Attach
h additional p
pages if neceessary.
Offense(s):
Date of offense(s):
Countty of conviction
n(s):
Sentence(s):

Briefly describ
be the circumsstances of the crime(s) for which
w
you are rrequesting a paardon (attach additional pagges as
2.
necessarry):
____________________
____________
_____________
____________
_______________________________________________________________
__
____________________
____________
_____________
____________
_______________________________________________________________
__
____________________
____________
_____________
____________
_______________________________________________________________
__
____________________
____________
_____________
____________
_______________________________________________________________
__
3.

Explain why you
y are requessting a pardon (attach additional pages as necessary):

____________________
____________
_____________
____________
_______________________________________________________________
__
____________________
____________
_____________
____________
_______________________________________________________________
__
____________________
____________
_____________
____________
_______________________________________________________________
__
____________________
____________
_____________
____________
_______________________________________________________________
__
4.
Provide a brie
ef statement explaining whyy you should be
e granted a paardon (attach aadditional pagges if necessaryy):
____________
_____________
____________
_______________________________________________________________
__
____________________
____________________
____________
_____________
____________
_______________________________________________________________
__
____________________
____________
_____________
____________
_______________________________________________________________
__
5.

If you have pa
aid any moneyy or given any gift
g to anyone to assist in th
he preparation of this applicaation, list theirr name,
address, and amount
a
paid or
o given (requiired by Penal Code
C
section 44807.2):

____________
_____________
____________
_______________________________________________________________
__
____________________

PAGE 1184 OF 1210

Rev. 09/25/20
013
Applicaation for Gubernattorial Pardon, Page
e1

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STATEMENT OF NOTICE TO DISTRICT ATTORNEY AND DECLARATION UNDER PENALTY OF PERJURY

This application may be submitted to the Board of Parole Hearings for investigation and recommendation pursuant to Penal
Code section 4812. This application may also be submitted to law enforcement or other agencies for investigation or recommendation.
Penal Code sections 4804 and 4805 require that you give the District Attorney in the county of conviction written notice of your
intention to apply for a pardon. You must complete the Notice of Intent to Apply for Executive Clemency (attached) and mail it to the
District Attorney before submitting this application to the Governor’s Office. If you are requesting a pardon for more than one
conviction involving more than one county, each District Attorney must be given notice.

I, _________________________________, declare under penalty of perjury under the laws of the State of California that I
(Print Full Name)
have served the District Attorney of the County of ____________________________ with notice of my intent to apply for a pardon.
(Name of County*)
I further declare under penalty of perjury under the laws of the State of California that the information I have provided on this
application is true and correct. I understand that any omission or misstatement of facts may result in the denial of the application and
the filing of perjury charges against me.

Applicant’s Signature

Date

*If Applicable, List Additional Counties Here (Send Notice of Intent to Apply for Executive Clemency to All Counties Listed)

Rev. 09/25/2013
Application for Gubernatorial Pardon, Page 2

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NOTICE OF INTENT TO APPLY FOR EXECUTIVE CLEMENCY
This notice is required by Penal Code sections 4804 and 4805.

To the District Attorney of __________________ County: Please take notice that I, _________________________________ ,

was convicted of the crime of ___________________________________________________________________________________ ,

committed in ______________________________________ County, California, on the date of ____________________________ .

I will submit this application to the Governor of the State of California.

Applicant’s Signature

Date

DISTRICT ATTORNEY ACKNOWLEDGEMENT
This section to be completed by the District Attorney only.

I, ____________________________________________ , District Attorney of the County of __________________________ ,

do hereby acknowledge receipt of notice from _____________________________________________________________________ ,

that he/she intends to apply to the Governor of the State of California for a pardon.

Signed ____________________________________________

Date

____________________________________________

District Attorney: Please Return this Notice to the Governor’s Office, Attn: Legal Affairs, State Capitol, Sacramento, CA 95814.

PAGE 1186 OF 1210

Rev. 09/25/2013
Notice of Intention to Apply for Gubernatorial Pardon

ROADMAP TO REENTRY

APPENDIX GG
Petition & Order to Seal and Destroy Adult
Arrest Records

PAGE 1187 OF 1210

ROADMAP TO REENTRY
State of California
Record Management/Record Sealing Unit
FORM BCII 8270 (Rev. 7/06)

Department of Justice

Record Sealing Unit
P.O. Box 903417, Sacramento, CA 94203-4170

PETITION TO SEAL AND DESTROY ADULT ARREST RECORDS (Penal Code 851.8)
Print or Type required information
FULL NAME OF PETITIONER

Last

First

ALIASES

Date of Birth

STREET NUMBER

DRIVER LICENSE NUMBER

SOCIAL SECURITY (OPTIONAL)

STREET NAME

CITY

COUNTY

DATE(s) OF ARREST

Middle

NAME OF ARRESTING AGENCY

APARTMENT OR UNIT NUMBER

STATE

ZIP CODE

AGENCY CASE NUMBER

CHARGE(S)

DISPOSITION

DATE

SIGNATURE OF PETITIONER

SECTION TO BE COMPLETED BY LAW ENFORCEMENT AGENCY/COURT WITH JURISDICTION FOR OFFENSE(S)

I have verified the above information to be accurate.
SIGNATURE OF AGENCY OR COURT OFFICER

DATE

NAME OF LAW ENFORCEMENT AGENCY OR COURT

LAW ENFORCEMENT AGENCY CASE NUMBER OF COURT CASE NUMBER

CII NUMBER OF PETITIONER

FBI NUMBER OF PETITIONER

SECTION TO BE COMPLETED BY LAW ENFORCEMENT AGENCY (851.8(a) PC)

PETITION GRANTED
PRINT OR TYPE NAME OF AGENCY
SIGNATURE OF AGENCY

PETITION DENIED
DATE
DATE

SECTION TO BE COMPLETED BY COURT OF JURISDICTION (851.8 (b), (c), or (d) PC)

PETITION GRANTED
PRINT NAME OF JUDGE

PETITION DENIED
DATE

SIGNATURE OF JUDGE

WAIVER: TIME RESTRICTION ON FILING WAIVED (851.8 (l) PC)
PRINT NAME OF AGENCY OFFICER OR JUDGE

DATE

SIGNATURE OF AGENCY OFFICER OR JUDGE

Distribution: Department of Justice, Record Sealing Unit, PO Box 903417, Sacramento, CA 94203-4170
District Attorney
Petitioner
(SEE REVERSE SIDE FOR MORE INFORMATION ON PENAL CODE § 851.8)
PAGE 1188 OF 1210

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PETITION TO SEAL AND DESTROY ADULT ARREST RECORDS – 851.8 PC
PETITIONER:
Penal Code section 851.8 PC provides that a person who has been arrested or detained and is
determined to be factually innocent may petition the law enforcement agency or the court having
jurisdiction over the matter to provide for the sealing and destruction of the record of that arrest.
Petitions concerning arrests occurring on or after January 1, 1981, or accusatory pleadings filed on
after January 1, 1981, may be filed for up to two years following the arrest filing date. Until January
1, 1983, petitions can be filed for arrests which occurred or accusatory pleadings which were filed
up to five years prior to the statute’s effective date of September 29, 1980.

PETITION THE ARRESTING AGENCY (851.8(a) PC
Penal Code section 851.81(a) PC provides in part: “In any case where a person has been arrested
and no accusatory pleadings has been filed, the person arrested may petition the law enforcement
agency having jurisdiction over the offense to destroy its record of the arrest. A copy of such
petition shall be served upon the district attorney of the county having jurisdiction over the offense.”

PETITION DENIED OR NO RESPONSE TO PETITION (851.8(b) PC
Penal Code section 851.8(b) PC provides in part: “If, after receipt by both the law enforcement
agency and the district of a petition for relief under subdivision (a), the law enforcement agency and
district attorney do not respond to the petition by accepting or denying such petition within 60 days
after the running of the relevant statute of limitations or within 60 days after receipt of the petition in
cases where the statute of limitations has previously lapsed, then the petition shall be deemed to
be denied. In any case where the petition of an arrestee to the law enforcement agency to have an
arrest record destroyed is denied, petition may be made to the municipal or justice court. A copy
such petition shall be served on the district attorney of the county having jurisdiction over the
offense at least 10 days prior to the hearing.” Note: the petitioner shall be responsible for
obtaining the original petition from the law enforcement agency and submission to the court of
jurisdiction.

PETITITON TO THE COURT OF JURISDICTION (851.8(C)
Penal Code section 851.8(c) provide in part: “In any case where a person has been arrested, and
an accusatory pleading has been filed, but where no conviction has occurred, the defendant, may,
at any time after dismissal of the action, petition the court which dismissed the action for a finding
that the defendant is factually innocent of the charges for which the arrest was made. A copy of
such petition shall be served on the district attorney of the county in which the accusatory pleading
was filed at least 10 days prior to the hearing on the petitioner’s factual innocence.”
It is the responsibility of the petitioner to submit any declarations, affidavits, police reports or other
evidence, which may exist to support the petition to appropriate the arresting agency or court and
to serve a copy of the petition and supporting papers on the district attorney.

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LEGAL AID PROVIDERS
IN CALIFORNIA (by Chapter)
This is a list of legal aid providers across the state of California (and even a few national organizations that
may be able to help you with your legal issue).
•

The list is organized first by Chapter (and note that we have added a couple of additional issue areas
that many people need legal help in, even though not covered in The Roadmap to Reentry in detail:
prison conditions, immigration and disability rights).

•

Within each Chapter/issue area, the legal aid organizations are further broken up by region of California.

PLEASE FIND LISTED CALIFORNIA LEGAL AID ORGANIZATIONS THAT PROVIDE SERVICES AND COUNSEL IN
THE FOLLOWING AREAS:
(1) Getting Identification & Key Documents, Voting Rights
(2) Parole & Probation
(3) Housing
(4) Public Benefits
(5) Employment
(6) Court-ordered Debt
(7) Family & Children
(8) Education
(9) Expungement & Cleaning Up Your Record
+ (10) Prison Conditions
+ (11) Immigration Consequences
To find a legal aid organization near you, you can also try the following resources:
• Call 2-1-1,
• Contact the Local County Bar Association or Ethnic Bar Association in your areas, OR
• Look at the California State Bar legal aid listings: http://lawhelpca.org/find-legal-help.

1 | LEGAL AID FOR GETTING ID & KEY DOCUMENTS, VOTING RIGHTS
QUESTIONS
Northern California
•

Legal Services of Northern California — License Suspension
Locations and Phone: Eureka (707) 445-0866, Toll-Free: (800) 972-0002; Ukiah, CA (707) 462-1471, Toll-Free:
(877) 529-7700
Website: http://www.about.lsnc.net

Bay Area
•

•

•

Lawyers Committee for Civil Rights: Second Chance Legal Clinic
Location: San Francisco, CA
Phone: (415) 814-7610
Website: http://www.lccr.com
Legal Services of Northern California — License Suspension
Location: Vallejo, CA
Phone: (707) 643-0054
Website: http://www.about.lsnc.net
Root & Rebound
Location: Oakland, CA
Phone: (510) 279-4662
Website: http://www.rootandrebound.org

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Central Valley & Central Coast
•

•

Legal Services of Northern California — License Suspension
Locations and Phone: Sacramento (916) 551-2150; Auburn (530) 823-7560; Chico (530) 345-9491, Toll-Free:(800)
345-9491; Redding (530) 241-3565, Toll-Free: (800) 822-9687; Woodland, CA (530) 662-1065
Website: http://www.about.lsnc.net
Voluntary Legal Services Program of Northern California — License Reinstatement Clinic
Location: Sacramento, CA
Phone: (916) 551-2102
Website: http://www.vlsp.org

Southern California
•

Pepperdine Legal Aid Clinic
Location: Los Angeles, CA
Phone: (213) 347-6300 ext. 4413
Website: http://urm.org/services/clinics/#PepperdineLegal

VOTING RIGHTS:
Bay Area
•

•

ACLU of Northern California
Location: San Francisco, CA
Phone: English Legal Assistance (415) 621-2488; Spanish Legal Assistance (415) 293-6356)
Website: https://www.aclunc.org/vote
East Bay Community Law Center
Location: Berkeley, CA
Phone: (510) 548-4040
Website: http://www.ebclc.org

2 | LEGAL AID FOR PAROLE & PROBATION ISSUES
PAROLE & PROBATION CONDITIONS, TRANSFERS & OTHERS ISSUES:
•

•

Root & Rebound
Location: Oakland, CA
Phone: (510) 279-4662
Website: http://www.rootandrebound.org
State and Federal Public Defenders Offices

PAROLE RELEASE:
Bay Area
•

Uncommon Law
Location: Oakland, CA
Phone: (510) 271-0310
Website: http://uncommonlaw.org

3 | LEGAL AID FOR HOUSING ISSUES
Northern California
•

Legal Services of Northern California
Locations and Phone: Eureka (707) 445-0866, Toll-Free: (800) 972-0002; Ukiah, CA (707) 462-1471, Toll-Free:
(877) 529-7700
Website: http://www.about.lsnc.net
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Bay Area
•

•
•

•

•

•

Bay Area Legal Aid
Locations & Phone: Toll-Free: (800) 551-5554; Alameda County (510) 250-5270; Contra Costa County West (510)
250-5270; Contra Costa County East (925) 219-3325; Marin County (415) 354-6360; Napa County (707) 320-6348;
San Francisco (415) 354-6360; San Mateo County (650) 472-2666; Santa Clara County (408) 850-7066
Website: http://www.baylegal.org
California Rural Legal Assistance
Locations & Phone: Gilroy (831) 724-2253, (831) 688-6535; Santa Rosa, CA (707) 528-9941
Website: http://www.crla.org
East Bay Community Law Center
Location: Berkeley, CA
Phone: (510) 548-4040
Website: http://www.ebclc.org
Law Foundation of Silicon Valley: Fair Housing Law Project
Location: San Jose, CA
Phone: (408) 293-4790
Website: http://www.lawfoundation.org
Lawyers Committee for Civil Rights: Second Chance Legal Clinic
Location: San Francisco, CA
Phone: (415) 814-7610
Website: http://www.lccr.com
Legal Services of Northern California
Location: Vallejo, CA
Phone: (707) 643-0054
Website: http://www.about.lsnc.net

Central Valley & Central Coast
•

•
•

•

California Rural Legal Assistance
Locations & Phone: Main Office (415) 777-2752; Arvin (661) 854-3839; Coachella (760) 398-7261; Delano (661) 7254350; Fresno (559) 441-8721; Hollister (831) 724-2253; Madera (559) 674-5671; Marysville (530) 742-5191; Modesto
(209) 577-3811; Salinas (831) 757-5221; Seaside (intakes on Mondays only) (831) 757-5221; San Luis Obispo (805)
544-7997; Santa Cruz (831) 688-6535; Stockton (209) 946-0605; Watsonville, CA (831) 724-2253, (831) 688-6535
Website: http://www.crla.org
Central California Legal Services
Locations & Phone: Fresno, (559) 570-1200, Merced (209) 723-5466; Visalia, CA (209) 723-5466
Website: http://www.centralcallegal.org
Legal Services of Northern California
Locations and Phone: Sacramento (916) 551-2150; Auburn (530) 823-7560; Chico (530) 345-9491, Toll-Free:(800)
345-9491; Redding (530) 241-3565, Toll-Free: (800) 822-9687; Woodland, CA (530) 662-1065
Website: http://www.about.lsnc.net
Watsonville Law Center
Location: Watsonville, CA
Phone: (831) 722-2845
Website: http://www.watsonvillelawcenter.org

Southern California
•

•

•

California Rural Legal Assistance
Locations & Phone: Coachella (760) 398-7261; El Centro (760)-353-0220; Oxnard (805) 483-8083; Santa Barbara
(805) 963-5982; Santa Maria (805) 922-4563; Vista, CA (760) 966-0511
Website: http://www.crla.org
Neighborhood Legal Services of Los Angeles County
Locations: Glendale; Pacoima; El Monte, CA
Phone: (800) 433-6251
Website: http://www.nlsla.org
Pepperdine Legal Aid Clinic
Location: Los Angeles, CA
Phone: (213) 347-6300 ext. 4413
Website: http://urm.org/services/clinics/#PepperdineLegal

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4 | LEGAL AID FOR PUBLIC BENEFITS
Northern California
•

Legal Services of Northern California
Locations and Phone: Eureka (707) 445-0866, Toll-Free: (800) 972-0002; Ukiah, CA (707) 462-1471, Toll-Free:
(877) 529-7700
Website: http://www.about.lsnc.net

Bay Area
•

•
•

•
•

•

•

•

•

•

•

Bay Area Legal Aid
Locations & Phone: Toll-Free: (800) 551-5554; Alameda County (510) 250-5270; Contra Costa County West (510)
250-5270; Contra Costa County East (925) 219-3325; Marin County (415) 354-6360; Napa County (707) 320-6348;
San Francisco (415) 354-6360; San Mateo County (650) 472-2666; Santa Clara County (408) 850-7066
Website: http://www.baylegal.org
California Rural Legal Assistance
Locations & Phone: Gilroy (831) 724-2253, (831) 688-6535; Santa Rosa, CA (707) 528-9941
Website: http://www.crla.org
East Bay Community Law Center
Location: Berkeley, CA
Phone: (510) 548-4040
Website: http://www.ebclc.org
Homeless Action Center
Locations & Phone: Oakland (510) 836-3260 ext. 301, Berkeley, CA (510) 540-0878
Website: http://www.homelessactioncenter.org
Law Foundation of Silicon Valley: Health Legal Services
Location: San Jose, CA
Phone: (408) 293-4790
Website: http://www.lawfoundation.org
Legal Aid Society of San Mateo
Location: Redwood City, CA
Phone: (650) 558-0915, Toll-Free (800) 381-8898
Website: http://www.legalaidsmc.org
Legal Assistance for Seniors
Location: Oakland, CA
Phone: (510) 832-3040
Website: http://www.lashicap.org
Legal Assistance to the Elderly
Location: San Francisco, CA
Phone: (415) 538-3333
Website: http://www.laesf.org
Legal Services of Northern California
Location: Vallejo, CA
Phone: (707) 643-0054
Website: http://www.about.lsnc.net
Positive Resource Center
Location: San Francisco, CA
Phone: (415) 777-0333
Website: http://www.positiveresource.org
Senior Adults Legal Assistance
Location: San Jose, CA
Phone: Main Office (408) 295-5991; North County Toll-Free (650) 969-8656; South County Toll-Free (408) 8477252
Website: http://www.s393914827.initial-website.com

Central Valley & Central Coast
•

California Rural Legal Assistance
Locations & Phone: Main Office (415) 777-2752; Arvin (661) 854-3839; Coachella (760) 398-7261; Delano (661) 7254350; Fresno (559) 441-8721; Hollister (831) 724-2253; Madera (559) 674-5671; Marysville (530) 742-5191; Modesto
(209) 577-3811; Salinas (831) 757-5221; Seaside (intakes on Mondays only) (831) 757-5221; San Luis Obispo (805)
544-7997; Santa Cruz (831) 688-6535; Stockton (209) 946-0605; Watsonville, CA (831) 724-2253, (831) 688-6535
Website: http://www.crla.org
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•
•
•

•
•

Central California Legal Services
Locations & Phone: Fresno, (559) 570-1200, Merced (209) 723-5466; Visalia, CA (209) 723-5466
Website: http://www.centralcallegal.org
Legal Services for Seniors
Locations & Phone: Salinas (831) 442-770; Seaside, CA (831) 899-0492
Website: http://www.legalservicesforseniors.org
Legal Services of Northern California
Locations and Phone: Sacramento (916) 551-2150; Auburn (530) 823-7560; Chico (530) 345-9491, Toll-Free:(800)
345-9491; Redding (530) 241-3565, Toll-Free: (800) 822-9687; Woodland, CA (530) 662-1065
Website: http://www.about.lsnc.net
Senior Citizens Legal Services
Locations & Phone: Santa Cruz (831) 426-8824; Watsonville (831) 728-4711; Hollister, CA (831) 637-5458
Website: http://www.seniorlegal.org
Voluntary Legal Services Program of Northern California — License Reinstatement Clinic
Location: Sacramento, CA
Phone: (916) 551-2102
Website: http://www.vlsp.org

Southern California
•

•

•

•

•

•

•

•

•

Bet Tzedek
Location: Los Angeles, CA
Phone: (323) 939-0506
Website: http://www.bettzedek.org
California Rural Legal Assistance
Locations & Phone: Coachella (760) 398-7261; El Centro (760)-353-0220; Oxnard (805) 483-8083; Santa Barbara
(805) 963-5982; Santa Maria (805) 922-4563; Vista, CA (760) 966-0511
Website: http://www.crla.org
Inner City Law Center
Location: Los Angeles, CA
Phone: (213) 891-2880
Website: http://www.innercitylaw.org
Legal Aid Foundation of Orange County & Community Legal Services of Southeast Los Angeles County
Locations & Phone: Anaheim (714) 571-5200, Toll-Free: (800) 834-5001, Compton (310) 631-7382, Norwalk (562)
864-9935, Toll-Free: (800) 834-5001, Santa Ana, CA (714) 571-5200, Toll-Free: (800) 834-5001
Website: http://www.legal-aid.com
Legal Aid Foundation of Los Angeles
Location: Los Angeles, CA
Phone: (800) 399-4529
Website: http://www.lafla.org
Legal Aid Society of San Diego
Location: San Diego, CA
Phone: (877) 534-2524
Website: http://www.lassd.org
Mental Health Advocacy Services
Location: Los Angeles, CA
Phone: (213) 389-2077
Website: http://www.mhas-la.org
Neighborhood Legal Services of Los Angeles County
Locations: Glendale; Pacoima; El Monte, CA
Phone: (800) 433-6251
Website: http://www.nlsla.org
Pepperdine Legal Aid Clinic
Location: Los Angeles, CA
Phone: (213) 347-6300 ext. 4413
Website: http://urm.org/services/clinics/#PepperdineLegal

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5 | LEGAL AID FOR EMPLOYMENT ISSUES
Northern California
•

Legal Services of Northern California
Locations and Phone: Eureka (707) 445-0866, Toll-Free: (800) 972-0002; Ukiah, CA (707) 462-1471, Toll-Free:
(877) 529-7700
Website: http://www.about.lsnc.net

Bay Area
•

•
•

•

•

Bay Area Legal Aid
Locations and Phone: Toll-Free: (800) 551-5554; Alameda County (510) 250-5270; Contra Costa County West
(510) 250-5270; Contra Costa County East (925) 219-3325; Marin County (415) 354-6360; Napa County (707) 3206348; San Francisco (415) 354-6360; San Mateo County (650) 472-2666; Santa Clara County (408) 850-7066
Website: http://www.baylegal.org
California Rural Legal Assistance
Locations & Phone: Gilroy (831) 724-2253, (831) 688-6535; Santa Rosa, CA (707) 528-9941
Website: http://www.crla.org
Lawyers Committee for Civil Rights of the San Francisco Bay Area
Location: San Francisco, CA
Phone: (415) 814-7610
Website: http://www.lccr.com/
Legal Aid Society — Employment Law Center
Location: San Francisco, CA
Phone: (415) 864-8208, Toll-Free (866) 864-8208
Website: https://las-elc.org
Legal Services of Northern California
Location: Vallejo, CA
Phone: (707) 643-0054
Website: http://www.about.lsnc.net

Central Valley & Central Coast
•

•

•

California Rural Legal Assistance
Locations & Phone: Main Office (415) 777-2752; Arvin (661) 854-3839; Coachella (760) 398-7261; Delano (661) 7254350; Fresno (559) 441-8721; Hollister (831) 724-2253; Madera (559) 674-5671; Marysville (530) 742-5191; Modesto
(209) 577-3811; Salinas (831) 757-5221; Seaside (intakes on Mondays only) (831) 757-5221; San Luis Obispo (805)
544-7997; Santa Cruz (831) 688-6535; Stockton (209) 946-0605; Watsonville, CA (831) 724-2253, (831) 688-6535
Website: http://www.crla.org
Legal Services of Northern California
Locations and Phone: Sacramento (916) 551-2150; Auburn (530) 823-7560; Chico (530) 345-9491, Toll-Free:(800)
345-9491; Redding (530) 241-3565, Toll-Free: (800) 822-9687; Woodland, CA (530) 662-1065
Website: http://www.about.lsnc.net
Watsonville Law Center
Location: Watsonville, CA
Phone: (831) 722-2845
Website: http://www.watsonvillelawcenter.org

Southern California
•

•

•

A New Way of Life Reentry Project
Location: Los Angeles, CA
Phone: (323) 563-3575
Website: http://www.anewwayoflife.org
California Rural Legal Assistance
Locations & Phone: Coachella (760) 398-7261; El Centro (760)-353-0220; Oxnard (805) 483-8083; Santa Barbara
(805) 963-5982; Santa Maria (805) 922-4563; Vista, CA (760) 966-0511
Website: http://www.crla.org
Neighborhood Legal Services of Los Angeles County
Locations: Glendale; Pacoima; El Monte, CA
Phone: (800) 433-6251
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Website: http://www.nlsla.org

6 | LEGAL AID FOR COURT-ORDERED DEBT
Northern California
•

Legal Services of Northern California
Locations and Phone: Eureka (707) 445-0866, Toll-Free: (800) 972-0002; Ukiah, CA (707) 462-1471, Toll-Free:
(877) 529-7700
Website: http://www.about.lsnc.net

Bay Area
•

•

•

Bay Area Legal Aid
Locations & Phone: Toll-Free: (800) 551-5554; Alameda County (510) 250-5270; Contra Costa County West (510)
250-5270; Contra Costa County East (925) 219-3325; Marin County (415) 354-6360; Napa County (707) 320-6348;
San Francisco (415) 354-6360; San Mateo County (650) 472-2666; Santa Clara County (408) 850-7066
Website: http://www.baylegal.org
Legal Assistance to the Elderly
Location: San Francisco, CA
Phone: (415) 538-3333
Website: http://www.laesf.org
Legal Services of Northern California
Location: Vallejo, CA
Phone: (707) 643-0054

Central Valley & Central Coast
•

•

Legal Services of Northern California
Locations and Phone: Sacramento (916) 551-2150; Auburn (530) 823-7560; Chico (530) 345-9491, Toll-Free:(800)
345-9491; Redding (530) 241-3565, Toll-Free: (800) 822-9687; Woodland, CA (530) 662-1065
Website: http://www.about.lsnc.net
Watsonville Law Center
Location: Watsonville, CA
Phone: (831) 722-2845
Website: http://www.watsonvillelawcenter.org
Website: http://www.about.lsnc.net

Southern California
•

•

•

•

•

Bet Tzedek
Location: Los Angeles, CA
Phone: (323) 939-0506
Website: http://www.bettzedek.org
Legal Aid Foundation of Los Angeles & Community Legal Services of Southeast Los Angeles County
Locations & Phone: Anaheim (714) 571-5200, Toll-Free: (800) 834-5001, Compton (310) 631-7382, Norwalk (562)
864-9935, Toll-Free: (800) 834-5001, Santa Ana, CA (714) 571-5200, Toll-Free: (800) 834-5001
Website: http://www.legal-aid.com
Legal Aid Society of San Diego
Location: San Diego, CA
Phone: (877) 534-2524
Website: http://www.lassd.org
Neighborhood Legal Services of Los Angeles County
Locations: Glendale; Pacoima; El Monte, CA
Phone: (800) 433-6251
Website: http://www.nlsla.org
Pepperdine Legal Aid Clinic
Location: Los Angeles, CA
Phone: (213) 347-6300 ext. 4413
Website: http://urm.org/services/clinics/#PepperdineLegal

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7 | LEGAL AID FOR FAMILY & CHILDREN ISSUES
A Resource in You’ll Find in Almost Every County in California:
•

Family Law Facilitator in Your County! NOTE: Every family court should have a Family Law Facilitator, which is
someone who can help you with court forms, answer questions, provide general information about family law
issues, and walk you through the steps of your case if you do not have a lawyer. (However, the Family Law
Facilitator cannot give you legal advice or answer questions about your specific case. To find your local Family
Law Facilitator go to http://www.courts.ca.gov/selfhelp-facilitators.htm.

Northern California
•

Legal Services of Northern California
Locations and Phone: Eureka (707) 445-0866, Toll-Free: (800) 972-0002; Ukiah, CA (707) 462-1471, Toll-Free:
(877) 529-7700
Website: http://www.about.lsnc.net

Bay Area
•

•

Legal Services of Northern California
Location: Vallejo, CA
Phone: (707) 643-0054
Website: http://www.about.lsnc.net
Pro Bono Project
Location: San Jose, CA
Phone: (408) 998-5298
Website: http://www.probonoproject.org

Central Valley & Central Coast
•

Legal Services of Northern California
Locations and Phone: Sacramento (916) 551-2150; Auburn (530) 823-7560; Chico (530) 345-9491, Toll-Free:(800)
345-9491; Redding (530) 241-3565, Toll-Free: (800) 822-9687; Woodland, CA (530) 662-1065
Website: http://www.about.lsnc.net

Southern California
•

•

•

•

Harriet Buhai Center for Family Law
Location: Los Angeles, CA
Phone: (213) 388-7515
Website: http://www.hbcfl.org
Inland Empire Latino Lawyers Association Legal Aid (wage garnishment due to unpaid child support)
Location: Riverside, CA
Phone: (951) 369-3009
Website: http://www.iella.org
Pepperdine Legal Aid Clinic
Location: Los Angeles, CA
Phone: (213) 347-6300 ext. 4413
Website: http://urm.org/services/clinics/ - PepperdineLegal
San Diego Volunteer Lawyer Program
Location: San Diego, CA
Phone: (619) 235-5656
Website: http://www.sdvip.org

8 | LEGAL AID FOR EDUCATION
Northern California
•

Legal Services of Northern California
Locations and Phone: Eureka (707) 445-0866, Toll-Free: (800) 972-0002; Ukiah, CA (707) 462-1471, Toll-Free:
(877) 529-7700
Website: http://www.about.lsnc.net
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Bay Area
•

•

Bay Area Legal Aid – Federal student loan consolidation and disability discharge assistance
Locations & Phone: Toll-Free: (800) 551-5554; Alameda County (510) 250-5270; Contra Costa County West (510)
250-5270; Contra Costa County East (925) 219-3325; Marin County (415) 354-6360; Napa County (707) 320-6348;
San Francisco (415) 354-6360; San Mateo County (650) 472-2666; Santa Clara County (408) 850-7066
Website: http://www.baylegal.org
California Rural Legal Assistance
Locations & Phone: Gilroy (831) 724-2253, (831) 688-6535; Santa Rosa, CA (707) 528-9941
Website: http://www.crla.org

Central Valley & Central Coast
•

California Rural Legal Assistance
Locations & Phone: Main Office (415) 777-2752; Arvin (661) 854-3839; Coachella (760) 398-7261; Delano (661) 7254350; Fresno (559) 441-8721; Hollister (831) 724-2253; Madera (559) 674-5671; Marysville (530) 742-5191; Modesto
(209) 577-3811; Salinas (831) 757-5221; Seaside (intakes on Mondays only) (831) 757-5221; San Luis Obispo (805)
544-7997; Santa Cruz (831) 688-6535; Stockton (209) 946-0605; Watsonville, CA (831) 724-2253, (831) 688-6535
Website: http://www.crla.org

Southern California
•

California Rural Legal Assistance
Locations & Phone: Coachella (760) 398-7261; El Centro (760)-353-0220; Oxnard (805) 483-8083; Santa Barbara
(805) 963-5982; Santa Maria (805) 922-4563; Vista, CA (760) 966-0511
Website: http://www.crla.org

9 | LEGAL AID FOR EXPUNGEMENT & CLEANING UP YOUR CRIMINAL
RECORD
Northern California
•

Public Defender’s Office, Yolo County
Location: Woodland, CA
Phone: (530) 666-8165
Website: http://www.yolocounty.org/law-justice/public-defender

Bay Area
•

•

•

•

•

•

East Bay Community Law Center: Clean Slate Practice
Location: Berkeley, CA
Phone: (510) 548-4040
Website: http://www.ebclc.org
Lawyers Committee for Civil Rights: Second Chance Legal Clinic
Location: San Francisco, CA
Phone: (415) 814-7610
Website: http://www.lccr.com
Public Defender’s Office, Alameda County
Locations & Phone: Main Office (510) 272-6600; Oakland (510) 268-7400; Hayward (510) 670-5000; Fremont (510)
795-2600; Pleasanton, CA (925) 551-6863
Website: http://www.co.alameda.ca.us/defender
Public Defender’s Office, San Francisco City and County
Location: San Francisco, CA
Phone: (415) 553-1671
Website: http://sfpublicdefender.org
Record Clearance Project at San Jose State University
Location: San Jose, CA
Phone: (408) 924-2758
Website: http://www.sjsu.edu/justicestudies/programs-events/rcp
Rubicon — Rubicon legal services are provided to existing clients of their social services programs (career
coaching, parenting classes, financial coaching)
Location: Richmond, CA
Phone: (510) 412-1725
Website: http://www.rubiconprograms.org

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Central Valley & Central Coast
•

•

Voluntary Legal Services Program of Northern California
Location: Sacramento, CA
Phone: (916) 551-2102
Website: http://www.vlsp.org
Watsonville Law Center
Location: Watsonville, CA
Phone: (831) 722-2845
Website: http://www.watsonvillelawcenter.org

Southern California
•

•

•
•

•

•

A New Way of Life Reentry Project
Location: Los Angeles, CA
Phone: (323) 563-3575
Website: http://www.anewwayoflife.org
Inland Empire Latino Lawyers Association Legal Aid
Location: Riverside, CA
Phone: (951) 369-3009
Website: http://www.iella.org
Legal Aid Foundation of Santa Barbara County - Legal Resource Center
Locations & Phone: Santa Barbara (805) 568-3303; Santa Maria (805) 349-1289; Lompoc, CA (805) 737-5452
Website: http://www.lafsbc.org
Neighborhood Legal Services of Los Angeles County
Locations: Glendale; Pacoima; El Monte, CA
Phone: (800) 433-6251
Website: http://www.nlsla.org
Pepperdine Legal Aid Clinic
Location: Los Angeles, CA
Phone: (213) 347-6300 ext. 4413
Website: http://urm.org/services/clinics/#PepperdineLegal
Public Defender’s Office, Orange County
Location: Santa Ana, CA
Phone: (714) 834-2144
Website: http://www.pubdef.ocgov.com/main.htm

OTHER ISSUES | LEGAL AID FOR:
• PRISON CONDITIONS
• IMMIGRATION CONSEQUENCES

LEGAL AID FOR PRISON CONDITIONS:
PLEASE NOTE: Most of the organizations listed under this category of “Legal Aid for Prison Conditions” will do
statewide work, even if their headquarters is located in a particular region of California, so you should contact
any and all of these organizations with questions related to prison conditions.
Bay Area
•

Prison Law Office
Location: San Quentin, CA; Berkeley, CA
Phone: n/a (Note: Due to the high volume of inquiries they receive, the Prison Law Office requests that people get
in touch with them by mail at: Prison Law Office General Delivery, San Quentin, CA 94964)
Website: http://www.prisonlaw.com

Southern California
•

Center for Human Rights
Location: Los Angeles, CA
Phone: (213) 388-8693
Website: http://www.centerforhumanrights.org

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Central Valley & Central Coast
•

UC Davis, Prison Law Clinic
Location: Davis, CA
Phone: (530) 752-6942
Website: http://www.law.ucdavis.edu/clinics

•

University of the Pacific McGeorge School of Law, Prisoner Civil Rights Mediation Clinic
Location: Sacramento, CA
Phone: Michael Colatrella, Clinical Professor – (916) 739-7303
Website:
http://www.mcgeorge.edu/Students/Academics/Experiential_Learning/Legal_Clinics/Prisoner_Civil_Rights_Mediat
ion_Clinic.htm

LEGAL AID FOR POST-CONVICTION IMMIGRATION CONSEQUENCES:
Bay Area
•

Immigrant Legal Resource Center (counsels about immigration consequences of criminal records)
Location: San Francisco, CA
Phone: 415-255-9499
Website: http://www.ilrc.org

•

Lawyers’ Committee for Civil Rights of the San Francisco Bay Area
Immigrant Post-Conviction Relief Project; Second Chance Legal Clinic
Location: San Francisco, CA
Phone: (415) 814-7610
Website 1: http://www.lccr.com
Website 2: http://www.lccr.com/programs/immigrant-justice/immigrant-post-conviction-relief-project/

Throughout California:
•

Public Defenders Offices

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ROADMAP TO REENTRY

COMMUNITY RESOURCE GUIDES
IN CALIFORNIA (by Region)
This is a list of Community Resource Guides from across the state of California that can help you or a loved one
find resources that you need in your local area, including housing, benefits, and other forms of support.
To find a community service provider near you, you can always try the following:
•

Call 2-1-1 or visit www.211database.org

NORTHERN CALIFORNIA:
•

•

•

•

•

•

•

•

•

•

People’s Guide to Health, Welfare and Other Services
Location: Sacramento, CA
Phone: (211)
Website: http://www.sachousingalliance.org/wp-content/uploads/2012/10/Peoples-Guide-FINAL-Draft-7-2114.pdf
Placer County Senior Resource Guide (2013-2014)
Location: Placer County, CA
Phone: (800) 889-9500 or (530) 889-9500 – ext. 216 or ext. 214
Website: http://www.seniorsfirst.org/wordpress2014/wp-content/uploads/2014/09/Placer-County-SeniorResource-Guide-20132014.pdf
North Lake Tahoe & Truckee Resource Directory (2008)
Location: North Lake Tahoe and Truckee, CA
Phone: 530.587.1776
Website: http://www.mynevadacounty.com/nc/hhsa/ph/docs/website%20items/ccttresourceguide0108.pdf
People of Progress
Location: Shasta County, CA
Phone: (530) 243-3811
Website: http://www.peopleofprogress.org/resource.htm
A Resource Guide for Parents & Families (Winter 2013)
Location: Del Norte County, CA
Phone: (707) 464-5500
Website: http://www.delnortekids.org/downloads/first5.pdf
Glenn County Resource Guide
Location: Glenn County, CA
Website: http://www.countyofglenn.net/govt/departments/cicc/documents/CRG.Feb.pdf
Nevada County 211 – Resources
Location: Nevada County, CA
Phone: 211
Website: http://www.mynevadacounty.com/Pages/Dial211.aspx
Community Resources – Sources of Assistance in Sonoma
Location: Sonoma, CA
Phone: (707) 584-1579
Website: http://www.svdp-sonoma.org/community-resources/
Sonoma County Homeless Resource Guide (2014-2015)
Location: Sonoma, CA
Phone: (800) 325-9604, (211)
Website: http://sonomacountyhomeless.org/sonoma-county-homeless-resource-guide/
Yolo County Services Guide
Location: Yolo, CA
Phone: (888) 965-6647
Website: http://www.yolocounty.org/home/showdocument?id=1212
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ROADMAP TO REENTRY

•

•

•

•

•

•

Senior Link of Yolo County – Resource Guide 2012
Location: Yolo County, CA
Phone: (877) 883-4927 or (530) 207-4250
Website: http://slh.lsnc.net/wp-content/blogs.dir/15/files/2012/11/2012-Senior-Link-Resource-Guide-forDistribution.pdf
2014 Davis Senior Resource Guide
Location: Davis, CA
Phone: (530) 757-5626
Website: http://communityservices.cityofdavis.org/Media/CommunityServices/Documents/PDF/CS/SeniorServices/res%20guide%2014.
pdf
UCP of Sacramento and Northern California
Location: Sacramento, CA
Phone: (916) 565-7700
Website: http://ucpsacto.org/resources/one-stop-resource-guide/
DEGREES Project Resource Guide (Fall 2014) (p.28-35)
Location: Sacramento, CA
Website: http://www.csus.edu/degreesproject/DPResourceGuide.pdf
Older Adult Services – Community Resources
Location: Sacramento, CA
Website: http://portal.cityofsacramento.org/ParksandRec/Recreation/older-adult-services/Services-andResources/Community-Resources
Community Support Services – Sacramento County
Location: Sacramento County, CA
Phone: (916) 369-0191 or 2-1-1
Website: http://www.childaction.org/families/publications/docs/community/Handout21Sac_County_Community_Support_Services.pdf

BAY AREA
(ALAMEDA, CONTRA COSTA, SAN FRANCISCO, & SANTA CLARA
COUNTIES):
•

•

•

•

•

•

•

City of Berkeley Homeless Services – Emergency Services
Location: Berkeley, CA
Phone: (510) 981-5400
Website: http://www.ci.berkeley.ca.us/ContentDisplay.aspx?id=5554
San Francisco Homeless Resource
Location: San Francisco, CA
Website: http://sfhomeless.wikia.com/wiki/Category:Housing_-_Shelters_/_Transitional_Housing
San Francisco Department of Public Health Homeless Services
Location: San Francisco, CA
Website: https://www.sfdph.org/dph/comupg/oservices/homeless/
Project Homeless Connect
Location: San Francisco, CA
Phone: (855) 588-7968
Website: http://www.projecthomelessconnect.org
San Francisco helps! Resource Guide
Locations and Phone: San Francisco, CA
Website: http://www.sanfranciscohelps.com
No/Low income
Locations and Phone: San Francisco, CA (415) 701-2311
Website: http://www.sf311.org/index.aspx?page=398
Sunnyvale Community Resource Guide
Location: Sunnyvale, CA
Phone: (408) 523-4870
Website:http://www.sesd.org/education/components/sectionlist/default.php?sectiondetailid=6585

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ROADMAP TO REENTRY

•

•

•

•

•

•

•

Oakland Unified School District: Community Resource Directory
Location: Oakland, CA
Phone: (510) 434-7790
Website: http://www.ousd.k12.ca.us/OCRD
Getting Out, Staying Out Guide
Location: San Francisco, CA
Phone: (415) 241-4254
Website: http://sfgov2.org/ftp/_gfx/reentry/documents/Getting-Out-Staying-Out.pdf
Ending Homelessness
Locations and Phone: Santa Clara, CA (408) 510-7600
Website: http://www.sanjoseca.gov/index.aspx?NID=738
East Contra Costa County Resource Guide
Location: East Contra Costa County, CA
Phone: (211)
Website: http://www.crisis-center.org/wp-content/uploads/East_Resource_Guide.pdf
Senior Resource Guide for Central County
Location: Hayward, CA San Leandro, CA San Lorenzo, CA
Phone: (800) 510-2020; (510) 577-3530
Website:
http://www.alamedasocialservices.org/public/services/elders_and_disabled_adults/docs/Resource_Guide_C
entral_English_October_2012.pdf
CalWORKs Resource Guide
Location: Santa Clara, CA
Phone: (211)
Website: http://www.sccgov.org/sites/ssa/Department%20of%20Employment%20%20Benefit%20Services/Where%20Do%20I%20Apply-/Documents/calworks_resource_guide.pdf
Marin Community Resource Guide (2014)
Location: Marin, CA
Phone: (415) 459-0134
Website: http://www.marinpartnership.org/Resources%20&%20Links/resources%20&%20linksdefault.html

CENTRAL VALLEY & CENTRAL COAST:
•

•

•

•

Monterey County Homeless Services Resource Guide (2014)
Location: Marina, CA
Phone: (831) 883-3080
Website: http://mcdss.co.monterey.ca.us/cap/download/MC_CAP_HSRG_2014.pdf
Homeless Resource Guide
Location: Santa Cruz, CA, Monterey, CA
Phone: (831) 458-6020
Website: http://empowerment.scshelter.org/content/resource-index
Fresno Police Department Resource Guide for Youth and Families (2014)
Phone: (559) 621-7000
Website: http://www.fresno.gov/NR/rdonlyres/441C5AC3-DE62-4CE8-85EAF893B3CC4042/29943/WebReadyPDResourceGuide1.pdf
Community Connection: A Resource Directory for San Joaquin County (2013-2014)
Location: San Joaquin, CA
Phone: (209) 954-5151 ext. 6200
Website: http://www.co.san-joaquin.ca.us/hsa/pdf/Community_Connections_2012-2013.pdf

SOUTHERN CALIFORNIA:
•

Housing Resource Guide (2015)
Location: Camarillo, CA
Phone: (805) 388-5630
PAGE 1203 OF 1210

ROADMAP TO REENTRY

•

•

•

•

•

•

•

•

•

•

•

•

•

•

Website: http://www.ci.camarillo.ca.us/docs/Housing%20Resources%20Guide.pdf
Homeless Health Care Los Angeles, Resources and Referral for the Service Provider
Location: Los Angeles, CA
Phone: (213) 381-0512, (800) 339-6993
Website: http://hhcla.org/wp-content/uploads/2013/08/HHCLA-Resource-Guide-07-12.pdf
Housing Directory – International Index
Location: Los Angeles, CA
Phone: (211)
Website: http://www.homeless.org.au/directory/us-california-los-angeles.htm
Los Angeles Homeless Services Authority
Location: Los Angeles, CA
Phone: (213) 225-6581
Website: http://www.lahsa.org/gethelp
Los County Helps!
Location: Los Angeles, CA
Phone: (213) 225-6581
Website: http://lacountyhelps.org/
LA Homeless Resource
Location: Los Angeles, CA
Website: http://www.lahomeless.org/
Ex-Offender Re-Entry Resource
Location: Los Angeles, CA
Website: http://www.publiccounsel.org/tools/publications/files/Ex-Offender-Reentry-Resources.pdf
Orange County Social Services Agency, Homeless Resource
Location: Orange County, CA
Phone: (855) 886-5400
Website: http://ssa.ocgov.com/community/homeless
Help for Hard Times: Orange County’s Community Resource Guide
Location: Orange County, CA
Phone: (211)
Website: http://www.ci.santa-ana.ca.us/cda/documents/OCUWResourceGuide-HelpforHardTimes.pdf
Shelter and Homeless Services
Location: San Diego, CA
Phone: (211)
Website: http://www.211sandiego.org/shelter-and-homeless-services
Housing Resources Directory (2013-2015)
Location: San Diego, CA
Phone: (211)
Website: http://www.sandiegocounty.gov/sdhcd/docs/housing_resource.pdf
County of Santa Barbara, Community Links
Location: Santa Barbara, CA
Phone: (805) 681-4200
Website: http://cosb.countyofsb.org/living.aspx?id=476
Resource Family Guide to Services (2014-2015)
Location: Kern, CA
Phone: (661) 631-6000
Website: http://www.kcdhs.org/pdf/caregiver_resource_guide.pdf
Guide to Homeless Service Providers
Location: San Bernadino, CA
Phone: (211)
Website: http://www.sbcounty.gov/Uploads/DBH/SBCHP/LinkDocuments/Directory-of-Homeless-ServicesProviders.pdf
Los Angeles County Department of Mental Health: Community Resource Directory
Location: LA, CA
Phone: (800) 854-7771
Website: http://crg.lacounty.gov/dmh/

PAGE 1204 OF 1210

ROADMAP TO REENTRY

STATEWIDE (CALIFORNIA)
•

•

•

•

•

•

211
Location: CA
Phone: 2-1-1 (note: phone service may not be available in all communities yet)
Website: http://www.211.org
California Homeless Shelters and Social Services for the Needy
Location: CA
Phone: (211)
Website: http://www.homelessshelterdirectory.org/california.html
Homeless Shelter listings and Supportive Housing
Location: CA
Website: http://www.shelterlistings.org/state/california.html
Homeless Directory – International Index (California)
Location: CA
Phone: (211)
Website: http://www.homeless.org.au/directory/us-california.htm
Your Guide to Public Benefits in California
Location: CA
Phone: (211)
Website: http://www.aarp.org/content/dam/aarp/aarp_foundation/public-benefitsguides/PublicBenefitsGuide_California.pdf
Office of Community Partnerships, CDCR
Location: CA
Website: http://www.cdcr.ca.gov/Community_Partnerships/SearchBy.aspx

NATIONAL
•

Directory of Local Homeless Service Organizations
Location: CA
Phone: (211)
Website: http://www.nationalhomeless.org/directories/directory_local.pdf

PAGE 1205 OF 1210

ROADMAP TO REENTRY

ROOT & REBOUND SURVEY
Root & Rebound is a reentry advocacy center in Oakland, CA. We produce statewide reentry legal information to
educate, empower, and support people who are in reentry or preparing for release, and those who support them in
the community. By filling out this survey and providing us with feedback, you are helping us to improve this resource.
Thank you for your time!
PRIVACY OF INFORMATION: This is a voluntary and anonymous survey. Your feedback is very important to us, as
is confidentiality and privacy. Your information will be anonymously used to help us improve the manual and raise
awareness of needs of people in reentry.
INSTRUCTIONS: Please answer the following questions on the next page:

PAGE 1206 OF 1210

ROADMAP TO REENTRY

QUESTIONS ABOUT YOU:
4. Which of the best describes your level of education? Please circle the ONE answer that best
describes you.
Elementary School

Middle School

High School / GED

Some College

Completed College

Graduate Degree

Vocational / Certificate Program

5. Is English your first language? Please circle the answer that best describes you
YES

NO

If not, what is your first or preferred language? ____________________________

6. Which of these best describes you? Please circle more than one answer that best describes you. Be
as specific as you can.
Currently Incarcerated Person, Preparing for Release
$

How long is your sentence? ___________________________________

$

When is your expected release date? ____________________________

Formerly Incarcerated Person
$

$

If formerly incarcerated, please specify:
o

On Probation/PRCS/Mandatory Supervision

o

On State Parole

o

On Federal Probation/Supervised Release

o

On Federal Parole

o

Off Supervision

o

Other: ______________________________________________

How long were you incarcerated for? _____________________________

Service Provider for Formerly Incarcerated Person
$

If service provider, please specify:
o

Attorney

o

Social Worker

o

Case Manager

o

Educator

o

Other: ______________________________________________

Family Member or Friend of Person in Reentry
$

If so, what is your relationship to the person in reentry? _______________

Supervising Officer (i.e., parole agent or probation officer)
Other (please explain) _______________________________
PAGE 1207 OF 1210

ROADMAP TO REENTRY

7. What is your racial/ethnic background? Please fill in the blank with how you identify.
___________________________________

8. What is your sex/ gender identity? Please fill in the blank with how you identify.
___________________________________

9. How old are you? Please fill in your age
___________________________________

QUESTIONS ABOUT THE GUIDE:
10. Which Section(s) of the “Roadmap to Reentry” DID YOU READ? Please circle ALL that apply.
ID & VOTING

PAROLE & PROBATION

CLEANING UP YOUR RECORD

HOUSING

PUBLIC BENEFITS

EMPLOYMENT

COURT-ORDERED DEBT

FAMILY & CHILDREN

EDUCATION

11. Which Section(s) in the “Roadmap to Reentry” Guide WERE MOST HELPFUL TO YOU? Please circle
ALL that apply.
ID & VOTING

PAROLE & PROBATION

CLEANING UP YOUR RECORD

HOUSING

PUBLIC BENEFITS

EMPLOYMENT

COURT-ORDERED DEBT

FAMILY & CHILDREN

EDUCATION

Please Explain—Why did you find this/these section(s) the most helpful?
_____________________________________________________________________________
_____________________________________________________________________________

12. How easy was it FOR YOU to understand the material in the “Roadmap to Reentry” Guide? Please
circle the ONE answer that best describes your experience.
VERY DIFFICULT (I did not understand almost anything)
DIFFICULT (I only understood a few things)
OK (I understood half)
EASY (I understood almost everything)
VERY EASY (I understood everything)
Please Explain: _______________________________________________________________
____________________________________________________________________________!

PAGE 1208 OF 1210

ROADMAP TO REENTRY

13. BEFORE reading the “Roadmap to Reentry” Guide, which of these statements best describes your
KNOWLEDGE about and CONFIDENCE in overcoming barriers in reentry*? Please circle the ONE
answer that best describes your experience BEFORE reading.
NONE

I did not know about any barriers in reentry, and I did not feel at all confident in overcoming them.

SOME

I knew about some of the barriers in reentry, and I felt a little bit confident in overcoming them.

MODERATE

I knew about half of the barriers in reentry, and felt somewhat confident in overcoming them.

HIGH

I knew about most of the barriers in reentry, and I felt quite confident in navigating them.

VERY HIGH

I knew a lot about the barriers in reentry, and I felt very confident in navigating them.

14. AFTER reading the “Roadmap to Reentry,” what answer best describes your KNOWLEDGE about
and CONFIDENCE in overcoming barriers in reentry*? Please circle the ONE answer that best
describes you NOW.
NONE

I still do not know about any barriers in reentry, and I do not feel at all confident in overcoming them.

SOME

I know about some of the barriers in reentry, and I feel a little bit confident in overcoming them.

MODERATE

I know about half of the barriers in reentry, and I feel somewhat confident in overcoming them.

HIGH

I know about most of the barriers in reentry, and I feel quite confident in overcoming them.

VERY HIGH

I know a lot about the barriers in reentry, and I feel very confident in overcoming them.

15. AFTER reading any part of the “Roadmap to Reentry” Guide, which of the following statements are
true? Please circle any and all that apply to you.
I better understand what a person’s rights are in reentry.
I have more information about what is true and what are myths about challenges in reentry.
I feel more confident about my ability to overcome (or help someone else overcome) challenges in reentry.
Because of the Legal Guide, I have access to information I never otherwise would have had in reentry.
This Legal Guide will make the process of reentry easier for me.
This Legal Guide will make it easier for me to help a person through reentry.
I better understand WHEN I need to get legal advice (or tell someone to get legal advice) to help with challenges
in reentry.
I better understand WHERE I can go (or the person I am supporting can go) for legal advice to help with
challenges in reentry.
I have issues right now that this Legal Guide has helped me to resolve. Please explain, if comfortable:
I feel comfortable contacting Root & Rebound for follow up support.
This Legal Guide is a resource I will turn to time and again in times of challenge or crisis.
I feel more hopeful about my future.
I feel more hopeful about my ability to support a person through reentry.
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ROADMAP TO REENTRY

16. Would you recommend the “Roadmap to Reentry” Guide to others? Please circle the answer that
best describes you.
YES

NO

MAYBE

Please Explain Why or Why Not: _______________________________

17. Root & Rebound offers follow-up support through a phone hotline one day every week, an online
portal on its website, and through e-mail.
Are you likely to use this service for follow-up support? Please circle the answer that best describes you.
YES

NO

MAYBE

Please Explain Why or Why Not: _______________________________

18. Which of the services would be easiest for you to access? Please circle ALL that apply.
PHONE ONLINE/WEBSITE PORTAL

E-MAIL

19. Would an in-person training on the material be helpful to you? Please circle the ONE answer that
best describes you.
YES

NO

MAYBE

Please Explain Why or Why Not: ________________________________

20. What material or information would you like to better understand through an in–person training?
__________________________________________________________

ANY OTHER COMMENTS/FEEDBACK:
21. Please tell us about things you liked, did not like, and how we can make the “Roadmap to Reentry:
A California Legal Guide” better!
_________________________________________________________________________________________
_________________________________________________________________________________________
_________________________________________________________________________________________

!

PAGE 1210 OF 1210

Roadmap to Reentry: A California Legal Guide
KEY UPDATES, CORRECTIONS & ADDITIONS TO 2015 EDITION
November 2015
This document provides key updates, corrections, and additions to the
2015 edition of Root & Rebound’s Roadmap to Reentry.
IF YOU HAVE MORE QUESTIONS, PLEASE CONTACT ROOT & REBOUND IN ONE OF THE FOLLOWING WAYS:
1)
2)
3)

Email roadmap@rootandrebound.org
Call our Reentry Hotline any Friday, 9AM – 5PM for Roadmap to Reentry and other reentry questions
Write us at Root & Rebound, 1730 Franklin Street, Suite 300, Oakland, CA 94612

CHAPTER 1: THE BUILDING BLOCKS OF REENTRY: Getting ID & Other Key
Documents, Voting & Civic Participation (p. 13)
Chapter 1—Key Updates:
CHAPTER 1- UPDATE 1.
CHAPTER 1- UPDATE 2.

CHAPTER 1- UPDATE 3.

PROGRAM UPDATE: Cal-ID Program Expanded to All 36 California
State Prisons (update to pg. 41, Building Blocks of Reentry Chapter)
PROGRAM UPDATE: New Traffic Amnesty Program for Suspended
CA Driver Licenses (Update to pgs. 51-55, Building Blocks of
Reentry Chapter)
LEGAL UPDATE: New Law on Voting Rights (update to pgs. 69, 70
(chart), 127, Building Blocks of Reentry Chapter)

------------------------------------------------------------------------------------

CHAPTER 1- UPDATE 1:
PROGRAM UPDATE: Cal-ID Program Expanded to All 36 California State Prisons (update to
pg. 41, Building Blocks of Reentry Chapter)
As of July 2015, the Cal-ID program has now been expanded to all 36 state prison facilities. However, CDCR staff
has informed us that the Cal-ID Program is NOT available at CDCR’s contracted facilities (called “Community
Correctional Facilities”), which include Golden State Modified Community Correctional Facility (GSMCCF), Desert
View Modified Community Correctional Facility (DVMCCF), Central Valley Modified Community Correctional
Facility (CVMCCF), Shafter Modified Community Correctional Facility (SMCCF), Taft Modified Community
Correctional Facility (TMCCF), Delano Modified Community Correctional Facility (DMCCF), Female Community
Reentry Facility (FCRF). The Cal-ID program is also NOT available at CDCR’s conservation camps (also known as
“fire camps”). This is because CDCR and the California Department of Motor Vehicles (DMV) do not consider
1
contracted facilities and fire camps to be “state prisons.” This interpretation has not yet been challenged.

1

See Cal. Penal Code § 3007.05 (“CDCR and DMV shall ensure that all eligible inmates released from state prisons have valid identification cards”).

Roadmap to Reentry | Key Updates, Corrections & Additions | Nov. 2015
Page 1 of 11

SCREENING: It is important to note that there are eligibility requirements for the Cal-ID program and not all people
are eligible. Find the eligibility requirements on pgs. 41-42 of the Roadmap to Reentry guide. In the 36 CDCR state
prisons that now offer the Cal-ID program, CDCR has informed us that Correctional Counselors I (“CC I”) screen
prisoners for eligibility. CDCR has informed us that the screening process takes place during the Release Program
Study (RPS), which is usually performed 120-240 days prior to the prisoner’s release. CDCR has also informed us
that a Parole Services Associate (PSA) collects the Cal-ID applications, sends them to CDCR headquarters, and
monitors each prisoner’s progress in the Cal-ID program via an electronic tracking log.
ADDITIONAL QUESTIONS: For questions about the program, please call Nikita Singh, Cal-ID Coordinator, InPrison Unit, Division of Rehabilitative Programs, California Department of Corrections and Rehabilitation, at
(916) 327-3352.
CDCR FACT SHEET: If you have Internet Access, you can view CDCR’s updated fact sheet online here:
http://www.cdcr.ca.gov/rehabilitation/docs/Factsheets/OS-IP-Factsheet-CalID-July2015.pdf

CHAPTER 1- UPDATE 2:
PROGRAM UPDATE: New Traffic Amnesty Program for Suspended CA Driver Licenses and
Traffic Court Fines (update to pgs. 51-55, Building Blocks Chapter)
Introduction to the new Traffic Amnesty Program:
On pg. 52 of the Roadmap to Reentry (2015), we discuss what people can do if their California Driver License was
suspended. Now, if you are in this situation, you may qualify for the brand new Traffic Amnesty Program—to
reduce the fines owed on traffic court debts and/or get your Driver License reinstated. If you want to understand
more about the program, read the questions and answers below.
What is California’s new Traffic Amnesty Program?
The Traffic Amnesty Program is a one-time opportunity to reduce overall fines on old traffic tickets that are
2
eligible for the program. It applies to not just driving tickets, but any tickets or fines handled in traffic court. This
can help you get your California Driver License back if it was suspended for failure to appear in court (called
3
4
“FTA”), OR for failure to pay traffic tickets/traffic fines (called “FTP”).
Each county is handling the program slightly differently. It is best to check with the local traffic court in your county
for details.
Where do I file for relief under the Traffic Amnesty Program?
You file for relief for EACH ticket in the traffic court in the county in which your ticket was given. To find contact
information for your local court to see what tickets might qualify, visit: http://www.courts.ca.gov/find-my-court.htm.
How long will the Traffic Amnesty Program last?
The program began on October 1, 2015, and ends on March 31, 2017 (as of now). You may choose to participate in
5
the program during that period of time.
What types of tickets qualify for the Traffic Amnesty Program?
6
7
The Traffic Amnesty Program applies to all adult and juvenile vehicle code infractions (minor driving violations)
8
due to be paid on or before January 1, 2013, as long as they were handled by a traffic court.
ANY person who is eligible to have a CA Driver License, including undocumented persons who are eligible for an
“AB 60 Driver License,” can apply for and get relief under the law (so long as the ticket qualifies).

See CAL. VEH. CODE § 42008.7.
CAL. VEH. CODE § 42008.7(e)(2).
4
CAL. VEH. CODE § 42008.7(c)(2).
5
See TRAFFIC TICKETS / INFRACTIONS AMNESTY PROGRAM, http://www.courts.ca.gov/trafficamnesty.htm.
6
STATEWIDE TRAFFIC TICKETS / INFRACTIONS AMNESTY PROGRAM, Amnesty Program Guidelines, http://www.courts.ca.gov/partners/documents/rcamnesty2015-Amnesty-Program-Guidelines.pdf
7
See CAL. VEH. CODE § 42008.7; see also TRAFFIC TICKETS / INFRACTIONS AMNESTY PROGRAM, http://www.courts.ca.gov/trafficamnesty.htm.
8
See TRAFFIC TICKETS / INFRACTIONS AMNESTY PROGRAM, http://www.courts.ca.gov/trafficamnesty.htm.
2
3

Roadmap to Reentry | Key Updates, Corrections & Additions | Nov. 2015
Page 2 of 11

Other non-traffic infractions that were unrelated to driving could also qualify (like tickets for sleeping on the
9
sidewalk, jaywalking, loitering, or turnstile jumping) but this all depends on the county. Some misdemeanors may
10
also qualify depending on your county.
What could make me ineligible/ NOT qualify for the Traffic Amnesty Program?
11
12
There are some tickets that do not qualify for the Traffic Amnesty Program. For example, parking tickets,
13
14
DUIs, and reckless driving tickets (like road-rage, speeding, racing, etc.), are not eligible for the Traffic Amnesty
Program.
Additionally, you are not eligible to participate if you owe restitution (money damages) on any case in the county
15
where the traffic violation was filed.
You are also not eligible for the program if you have any outstanding misdemeanor or felony warrants in the
16
same county where the ticket(s) was issued.

!

*** IMPORTANT WARNING FOR PEOPLE WITH OPEN WARRANTS ***
If there’s ANY possibility that you might have an outstanding warrant for your arrest—for ANY reason
(including new charges against you or a failure to appear in court) from ANY county—it is recommended that
you call the public defender or a private lawyer to check on your warrant status first, before trying to see if
you are eligible for the Traffic Amnesty Program.
17

What kind of help can I get through the Traffic Amnesty Program?
•
You may be eligible to have BOTH your traffic court fines reduced on a ticket (by 50% or 80%
depending on your income) AND get your CA Driver License reinstated if . . .
1. You have an unpaid ticket that is covered by the program, and your fines were originally
due to be paid on or before January 1, 2013; AND
2. You have not made any payment on your ticket after September 30, 2015.
PAYMENT PLAN OPTION: It is important to note that the amount your fines will be reduced depends on
18
your income. If you cannot afford to pay the full amount of the fine, even after the reduction, you can
19
sign up for a monthly payment plan option. The payment plan will be based on your ability to pay the
fine. If you receive public benefits or are very low-income, make sure to have written proof of this before
applying! More information about payment plans will be posted to the California Courts’ website here:
http://www.courts.ca.gov/trafficamnesty.htm.
•

You may be able to just get your California Driver License reinstated (but not reduce the fines you
owe on a ticket) if . . .
1. You sign up and comply with a payment plan (including paying any court fees, which can
be added to your balance and paid over time through the payment plan); OR
20
2. You made a payment on your ticket after September 30, 2015.

Do I have to pay a court fee to participate in the Traffic Amnesty Program?
21
Yes. The courts can collect a maximum fee of $50 to cover program administration costs. The fee can be added
to the overall amount you pay, and does not have to be paid up front. It can be added to your balance and be paid
through your payment plan. The DMV will also charge a $55 fee for reinstating (giving back) your California Driver
22
License, as it does for all license reinstatements.
TRAFFIC TICKETS / INFRACTIONS AMNESTY PROGRAM, http://www.courts.ca.gov/trafficamnesty.htm.
CAL. VEH. CODE § 42008.7(d).
11
CAL. VEH. CODE § 42008.7(d); see also, TRAFFIC TICKETS / INFRACTIONS AMNESTY PROGRAM, http://www.courts.ca.gov/trafficamnesty.htm.
12
CAL. VEH. CODE § 42008.7(d).
13
CAL. VEH. CODE § 42008.7(d).
14
CAL. VEH. CODE §42008.7(d).
15
CAL. VEH. CODE § 42008.7(e)(5).
16
CAL. VEH. CODE § 42008.7(e)(6).
17
See TRAFFIC TICKETS / INFRACTIONS AMNESTY PROGRAM, http://www.courts.ca.gov/trafficamnesty.htm.
18
TRAFFIC TICKETS / INFRACTIONS AMNESTY PROGRAM, http://www.courts.ca.gov/trafficamnesty.htm.
19
TRAFFIC TICKETS / INFRACTIONS AMNESTY PROGRAM, http://www.courts.ca.gov/trafficamnesty.htm.
20
See TRAFFIC TICKETS / INFRACTIONS AMNESTY PROGRAM, http://www.courts.ca.gov/trafficamnesty.htm
21
TRAFFIC TICKETS / INFRACTIONS AMNESTY PROGRAM, http://www.courts.ca.gov/trafficamnesty.htm.
22
TRAFFIC TICKETS / INFRACTIONS AMNESTY PROGRAM, http://www.courts.ca.gov/trafficamnesty.htm.
9

10

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•
•

If you live in San Francisco County: The Department of Human Services is paying the $50 court fee (but
not the $55 DMV fee) for any county cash aid recipients.
If you live in Los Angeles County: The Los Angeles County superior courts are waiving the court fee (but
not the $55 DMV fee) for people who are receiving public benefits or very low-income (below 125% of
the Federal Poverty Line).

How do I enroll?
Call your local court. You can contact the superior court where you received your ticket(s) and ask about the
23
Traffic Amnesty Program. Once you start the process by visiting your local court, the court will provide you with
24
an application to enroll in the program; you will not have to see a judge. The court is then supposed to contact
25
the DMV to notify them that you are enrolled in the program. To find the contact information for all superior
courts in California, visit: http://www.courts.ca.gov/find-my-court.htm.
DMV PRINTOUT: While you wait, it may be helpful to get a printout from DMV of what’s causing your Driver
License suspension. Many of the details of how the application process will work have not yet been established by
each county. While we wait for specific details, it is helpful to get a printout from the DMV that shows what is
causing your license suspension.
FOR MORE INFORMATION: Learn more about the Traffic Amnesty Program on this easy-to-use website about the
program: http://www.backontheroadca.org/. You can also use this website to report any issues or complaints you
are having with the program.

CHAPTER 1- UPDATE 3:
LEGAL UPDATE: New Legal Ruling about Voting Rights (update to pgs. 69, 70 (chart), 127,
Building Blocks Chapter)
Since the publishing of the Roadmap to Reentry, a new ruling in the court case Scott v. Bowen has confirmed that
people on Mandatory Supervision and Post-Release Community Supervision (PRCS) for a felony conviction do
NOT lose the right to vote.
While people currently in prison or on parole for a felony conviction, or serving a felony sentence in county jail
under Realignment DO lose the right to vote, the court’s decision made clear that you do NOT lose the right to
26
vote if you are on other forms of community supervision (including probation, Mandatory Supervision, or PRCS).
For more information on your voting rights, see the ACLU’s updated voting rights website at
https://www.aclunc.org/our-work/know-your-rights/california-voting.

CAL. VEH. CODE § 42008.7(b).
TRAFFIC TICKETS / INFRACTIONS AMNESTY PROGRAM, http://www.courts.ca.gov/trafficamnesty.htm.
25
CALIFORNIA DEPARTMENT OF MOTOR VEHICLES, TRAFFIC TICKETS / INFRACTIONS AMNESTY PROGRAM
https://www.dmv.ca.gov/portal/dmv/detail/home/trafficamnestyprogram
26
Scott v. Bowen, Case No. RG14-712570, Order (1) Granting Petition of Petitioners for Writ of Mandate and (2) Setting Hearing on Issue of Remedy
(Apr. 2, 2014, Cal. Dist. Ct.), appeal dismissed Aug. 6, 2015 (Cal. Ct. App.).
23
24

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CHAPTER 2: PAROLE & PROBATION (pg. 130)
Chapter 2—Key Updates:
CHAPTER 2- UPDATE 1.

CHAPTER 2- UPDATE 2.
CHAPTER 2- UPDATE 3.

LEGAL UPDATE: Change in Law & Parole Policy Regarding
Residency Restrictions for People Convicted of Certain Sex
Offenses (update to pg. 174, Parole & Probation Chapter)
CORRECTION: Corrections to Information about County Probation
(update to pgs. 196-207, Parole & Probation Chapter)
ADDITION: CDCR Form 22, “Inmate/Parolee Request for Interview,
Item or Service” (update to pgs. 308-309, Parole & Probation
Chapter)

------------------------------------------------------------------------------------

CHAPTER 2- UPDATE 1:
UPDATE: Change in Law & Parole Policy Regarding Residency Restrictions for People
Convicted of Certain Sex Offenses (update to pg. 174, Parole & Probation Chapter)
In March 2015, in an important court case called In re Taylor, the California Supreme Court
determined that certain residency restrictions (restrictions on where people can live) are
unconstitutional in as they were being applied to ALL sex offender parolees in San Diego County.
These residency restrictions had been put in place by a law called “Proposition 83,” also called
27
“Jessica’s Law.”
Although the California Supreme Court determined that Proposition 83 (“Jessica’s Law”) was
unconstitutional because it had been applied too broadly to ALL sex offenders in San Diego County, it
also decided that CDCR may still require parole conditions on individual sex offenders on a case-by28
case basis, including residency restrictions that may be more or less restrictive than Proposition 83.
This has statewide implications, and much of the effects of the case are still unfolding.
Since the March 2015 decision, CDCR has informed us that it is reviewing residency restrictions of sex
offender parolees on a case-by-case basis, looking at individualized case factors. In April and May of
2015, parole officials reviewed ALL sex offender parolees’ files to determine whether any other
statutory residency restriction or special condition of parole should be applied, and made
29
adjustments at that time. For sex offender parolees who think there restrictions may still be
unconstitutional, it is best to talk to your public defender or file an administrative appeal through the
602 process (read more about filing a 601 appeal on pgs. 178-179 and 156-160 of the guide).
The Prison Law Office published an updated information letter about Proposition 83 and sex offender laws. Find
this letter online at http://prisonlaw.com/pdfs/SexOffender-Prop83,May2015.pdf, or send a letter requesting this
resource to: Prison Law Office, General Delivery, San Quentin, CA 94964.
If you are required to register as a sex offender on parole, you can contact your local county Public
Defender’s office for more information, or call our Reentry Hotline with questions (any Friday, 9 am-5
pm, at 510-279-4622. We accept Collect Calls).

In re Taylor, 60 Cal.4th 1019 (2015).
As of mid-March 2015, it is unclear how CDCR will respond to the In reTaylor decision. We also do not know if the CDCR will try to impose special
residency restriction conditions on many sex offender parolees.
29
Prison Law Office, Proposition 83 Update, available online at: http://prisonlaw.com/pdfs/SexOffender-Prop83,May2015.pdf.
27
28

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CHAPTER 2- UPDATE 2:
CORRECTION: Correction to Information about County Probation (update to pg. 196-207,
Parole & Probation Chapter)
In the original printing of the Roadmap to Reentry guide, we identified the two main types of county-level
probation in California as “felony probation” and “misdemeanor probation,” which is misleading. What we call
misdemeanor probation is more accurately referred to as “informal probation,” and what we call felony probation
is more accurately referred to as “formal probation.”

•

Below is a corrected explanation:
30
People convicted of a misdemeanor in California could be placed on informal OR formal probation. For more
information on informal probation, read pgs. 198-202 in the guide, and for more information on formal probation,
read pgs. 203-207, which are otherwise accurate. Whether a person convicted of a misdemeanor receives formal
or informal probation depends on the circumstances of the individual’s case, any prior conviction history, prior
31
performance on supervision, the judge’s discretion, and the county’s local rules. This was not clear in the original
printing.
For example, certain county probation departments have informed us that they are keeping people who get
eligible felony convictions reduced to misdemeanors under Prop. 47 relief (for more information on Prop 47, see
pgs. 1070-1075 in the “Understanding & Cleaning Up Your Criminal Record Chapter” of the guide) on formal
probation, and not automatically reducing their supervision to informal probation.

•

People convicted of a felony in California could be placed on many different types of supervision or none at all,
depending on the person’s offense, past conviction history, and individual circumstances. For a felony conviction,
someone may be released onto state parole (see pgs. 147-195 of the guide for specifics), PRCS (see pgs. 208-214
of the guide for specifics), Mandatory Supervision (see pgs. 215-219 of the guide for specifics), formal probation
(see pgs. 203-207 of the guide for specifics), OR may be released without any supervision in certain cases.
For someone convicted of a felony who is sentenced directly to formal probation or jail time followed by formal
probation, his or her supervision level may be eventually reduced to informal probation if the person is
successful on formal probation and it is recommended by the county probation office and granted by the criminal
court judge. This was not clear in the original printing. For more information on formal probation, read pgs. 203207 in the guide, and for more information on informal probation, read pgs. 198-202 in the guide, which are
otherwise accurate.

CHAPTER 2- UPDATE 3:
ADDITION: CDCR Form 22, “Inmate/Parolee Request for Interview, Item or Service” (update
to pg. 308-309, Parole & Probation)
The “Parole & Probation Chapter” of the Roadmap to Reentry guide was missing Appendix I — CDCR Form
22, “Inmate/Parolee Request for Interview Item or Service.” Please find CDCR Form 22 on the next page.

See Cal. Penal Code sections 1203 - 1203.1 (eligibility for probation); Cal. Rules of Court section 4.413 and 4.414 (factors to consider in granting or
denying probation).
31
See Cal. Penal Code sections 1203 - 1203.1 (eligibility for probation); Cal. Rules of Court section 4.413 and 4.414 (factors to consider in granting or
denying probation).
30

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STATE OF CALIFORNIA

DEPARTMENT OF CORRECTIONS AND REHABILITATION

INMATE/PAROLEE REQUEST FOR INTERVIEW, ITEM OR SERVICE
CDCR 22 (10/09)

SECTION A: INMATE/PAROLEE REQUEST
NAME (Print):

(LAST NAME)

HOUSING/BED NUMBER:

(FIRST NAME)

CDC NUMBER:

ASSIGNMENT:

SIGNATURE:

TOPIC (I.E. MAIL, CONDITION OF CONFINEMENT/PAROLE, ETC.):

HOURS FROM_______ TO_______
CLEARLY STATE THE SERVICE OR ITEM REQUESTED OR REASON FOR INTERVIEW:

METHOD OF DELIVERY (CHECK APPROPRIATE BOX )

**NO RECEIPT WILL BE PROVIDED IF REQUEST IS MAILED **

SENT THROUGH MAIL: ADDRESSED TO:__________________________________________________________________________________ DATE MAILED: _____/_____/_____
DELIVERED TO STAFF (STAFF TO COMPLETE BOX BELOW AND GIVE GOLDENROD COPY TO INMATE/PAROLEE):
RECEIVED BY: PRINT STAFF NAME:

DATE:

SIGNATURE:

FORWARDED TO ANOTHER STAFF?
(CIRCLE ONE)

IF FORWARDED – TO WHOM:

DATE DELIVERED/MAILED:

YES

NO

METHOD OF DELIVERY:
(CIRCLE ONE)

IN PERSON

BY US MAIL

SECTION B: STAFF RESPONSE
RESPONDING STAFF NAME:

DATE:

SIGNATURE:

DATE RETURNED:

SECTION C: REQUEST FOR SUPERVISOR REVIEW
PROVIDE REASON WHY YOU DISAGREE WITH STAFF RESPONSE AND FORWARD TO RESPONDENT'S SUPERVISOR IN PERSON OR BY US MAIL. KEEP FINAL CANARY
COPY.

SIGNATURE:

DATE SUBMITTED:

SECTION D: SUPERVISOR’S REVIEW
RECEIVED BY SUPERVISOR (NAME):

DATE:

SIGNATURE:

DATE RETURNED:

Distribution: Original - Return to Inmate/Parolee; Canary - Inmate/Parolee's 2nd Copy; Pink - Staff Members Copy; Goldenrod - Inmate/Parolee's 1st Copy.

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CHAPTER 7: FAMILY & CHILDREN CHAPTER (pg. 823)
Chapter 7—Key Update:
CHAPTER 7- UPDATE 1.

UPDATE: Child Support “Automatic Stop” Law Has Been Extended
until July 1, 2020 (update to pg. 873, Family & Children Chapter)
------------------------------------------------------------------------------------

CHAPTER 7- UPDATE 1:
UPDATE: Child Support “Automatic Stop” Law Has Been Extended until July 1, 2020
(update to pg. 873)
The law that required an automatic stopping of monthly child support payments when a person becomes
32
incarcerated was recently extended until July 1, 2020. This means that through July 1, 2020, child support
orders that were issued on or after July 1, 2011, where the person is incarcerated for 90 days or more, will be
automatically stopped during the period of incarceration.
For child support orders issued before July 1, 2011, there is no change in law: the person ordered to pay child
support must still proactively go and ask the judge to stop child support payments and reduce them to $0
during the period of incarceration. See the helpful chart below (originally printed on pg. 873 of the guide) for a
summary of this recently extended law.

WILL MY CHILD SUPPORT PAYMENTS STOP AUTOMATICALLY WHILE I’M INCARCERATED?
IF your child
support order was
issued before July
1, 2011, your
payments WILL
NOT stop
automatically.

1.

IF your child
support order was
issued on or after
July 1, 2011, AND
you are
incarcerated for
90 days or more,
your payments
SHOULD stop
automatically.

1.

2.
3.

2.
3.

If your current child support order was issued before July 1, 2011, your child support
payments will NOT stop automatically while you’re incarcerated.
You will continue to owe child support payments while you are incarcerated, unless you
get the judge to change your child support order.
To stop your child support payments while you are incarcerated, you will need to ask
the judge to reduce your payments to $0 because you do not have any income (unless
you have an outside source of income to make your payments). See PG. 60 of the
Roadmap to Reentry guide to learn how to do this.
If your current child support order was issued on or after July 1, 2011 AND you are
incarcerated for 90 days or more, your child support payments will be automatically
33
paused (suspended) while you are incarcerated.
This means that you will not owe any child support during the time you are
incarcerated, and you will not have to do anything to make this to happen. But your
34
child support payments will automatically continue again after you are released.
This special law applies to child support orders issued (i.e., made and/or35changed) on or
after July 1, 2011, for parents who are incarcerated for 90 days or more. However, it
may not apply if you are incarcerated for domestic violence, harassment, or for violating
a previous child support order, OR if you have outside income and can afford to make
36
payments while you’re incarcerated.

CAL. FAM. CODE § 4007.5(a)(1). The law applies to child support orders issued on or after July 1, 2015, and remains in effect until July 1, 2020. §
4007.5(g), (h).
33
CAL. FAM. CODE § 4007.5(a)(1). The law applies to child support orders issued on or after July 1, 2015, and remains in effect until July 1, 2020. §
4007.5(g), (h).
34
CAL. FAM. CODE § 4007.5(a)(2).
35
CAL. FAM. CODE § 4007.5(g), (i).
36
CAL. FAM. CODE § 4007.5(a)(1), (d).
32

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CHAPTER 8: EDUCATION CHAPTER (pg. 907)
Chapter 8—Key Update:
CHAPTER 8- UPDATE 1.

UPDATE: Changes to Federal Student Aid for Prisoners: New Pell
Grant pilot project (PG. 975-79)

------------------------------------------------------------------------------------

CHAPTER 8- UPDATE 1:
UPDATE: Changes to Federal Student Aid for Prisoners: New Pell Grant pilot project (PG. 97579)
The U.S. Department of Education recently announced a new program, the Second Chance Pell Pilot
Program, which will allow individuals incarcerated in certain facilities to receive federal Pell Grants to cover
many of their college costs (tuition, fees, books and supplies). Before this new Second Chance Pell Pilot
Program was announced, incarcerated people were not eligible for Federal Pell Grants—so this is a big step
in the right direction!
Specifics of the program are not yet available. We know that the pilot program will focus on getting funding
for students eligible for release, particularly students who are likely to be released within 5 years of getting
their college education. The Pell Grants can only be used to pay for tuition, fees, books and supplies required
37
by the education program. The pilot program will only be available at certain state and federal facilities that
38
apply to participate, but unfortunately the specific facilities have not been announced yet.

CHAPTER 9: UNDERSTANDING & CLEANING UP YOUR CRIMINAL RECORD (pg. 1021)
Chapter 9—Key Updates:
CHAPTER 9- UPDATE 1.

CHAPTER 9- UPDATE 2.

UPDATE: New Legal Ruling on 1203.4 dismissals for people who
owe victim’s restitution (update to pages 1047, 1058-1061, 1064-66,
Understanding & Cleaning Up Your Criminal Records Chapter)
(Cross-referenced in Court-Ordered Debt Chapter, PG. 759-792)
UPDATE & ADDITIONS: New Resources & A New Legal Ruling on
Prop 47 (update to pgs. 1070-75, Understanding & Cleaning Up
Your Criminal Record Chapter)

See U.S. DEPARTMENT OF EDUCATION, “U.S. Department of Education Launches Second Chance Pell Pilot Program for Incarcerated Individuals,” (Jul.
31. 2015), http://www.ed.gov/news/press-releases/us-department-education-launches-second-chance-pell-pilot-program-incarcerated-individuals.
38
See FEDERAL REGISTER, 2015-18994, Aug. 3, 2015, https://s3.amazonaws.com/public-inspection.federalregister.gov/2015-18994.pdf; U.S. DEPARTMENT
OF EDUCATION , “U.S. Department of Education Launches Second Chance Pell Pilot Program for Incarcerated Individuals,” (Jul. 31. 2015),
http://www.ed.gov/news/press-releases/us-department-education-launches-second-chance-pell-pilot-program-incarcerated-individuals.
37

Roadmap to Reentry | Key Updates, Corrections & Additions | Nov. 2015
Page 9 of 11

------------------------------------------------------------------------------------

CHAPTER 9- UPDATE 1:
UPDATE: New legal ruling on 1203.4 dismissals for people who owe victim’s restitution
(update to pgs. 1047, 1058-1061, 1064-66) (Cross-referenced in Court-Ordered Debt
Chapter, pgs. 759-792)
In People v. Seymour, a California Court of Appeal clarified California’s “expungement” law, deciding that a
person who is entitled to a mandatory dismissal of a conviction under Cal. Penal Code § 1203.4 due to early
termination of his/her probation cannot be denied the dismissal because he or she still owes victim
39
restitution. This means that if you victim restitution, you would still have the RIGHT to a mandatory dismissal
of the conviction.
IMPORTANT NOTE ABOUT VICTIM RESTITUTION: This ruling does not mean the victim restitution is
forgiven—just that it cannot be the reason for denying a mandatory 1203.4 dismissal for which someone is
otherwise qualified.

CHAPTER 9- UPDATE 2:
UPDATE & ADDITIONS: New Resources & A New Legal Ruling on Prop 47 (update to pgs.
1070-75, Understanding & Cleaning Up Your Criminal Record Chapter)
•
UPDATE: New legal ruling—
A Court of Appeal in California decided that the new Prop 47 reclassification law, which reduces felonies to
40
misdemeanors for certain offenses, applies equally to juveniles with offenses covered by Prop 47. This
means that both juveniles AND adults can get eligible felonies reduced under Prop 47. For more details about
Prop 47 eligibility and the process, read pgs. 1070-1075 of the guide. You can also call your local Public
Defender’s office for more information about Prop 47 in your county.
•
ADDITION: New Prop 47 Resources—
41
The California Courts has added new information to its website explaining Proposition 47, including:
o A list of Frequently Asked Questions (FAQs) such as, “What is the procedure for obtaining
reclassification of a crime?” http://www.courts.ca.gov/documents/Prop47FAQs.pdf
o Prop 47 facts and information in English and Spanish, available here: http://myprop47.org/
o A clickable county map to easily locate contact information for your local county Public
Defender’s offices and county courthouses, available here: http://www.safeandjust.org/countymap/

BACK OF GUIDE: LIST OF LEGAL AID PROVIDERS IN CALIFORNIA (pgs. 1191-1201)
ADDITIONS:
We have added many additional resources to our List of Legal Aid Providers in California:
> General Listing:
•

Greater Bakersfield Legal Assistance (GBLA): GBLA provides legal services in the following areas:
Housing, Public Benefits, Court-Ordered Debt, and Family & Children. GBLA can be added to the List of
Legal Aid Providers on pg. 1193 (Housing), pgs. 1194-1195 (Public Benefits), pg. 1197 (Court-Ordered Debt),
and pg. 1198 (Family & Children), in the Central Valley & Central Coast region.

See People v. Seymour, Case No. H040560 (Santa Clara County, Super. Ct. No. CC955665).
Alejandro N. v. Superior Court of San Diego Cnty., 238 Cal. App. 4th 1209 (2015), review filed (Sept. 2, 2015) (“Thus, section 1170.18 concerns the very
same offenses that are incorporated into the juvenile wardship proceedings via Cal. Welf. & Inst. § 602, and it follows that § 1170.18's offense
reclassification provisions are equally applicable to juvenile offenders.”). The court further held that if the offense was reclassified as a misdemeanor
under Proposition 47, then the superior court must also expunge any DNA it retained in the court bank, unless there is another basis to retain it apart
from the reclassified misdemeanor offense. See id.
41
See JUDICIAL COUNCIL OF CAL., “Proposition 47: The Safe Neighborhoods and Schools Act,” http://www.courts.ca.gov/prop47.htm.
39
40

Roadmap to Reentry | Key Updates, Corrections & Additions | Nov. 2015
Page 10 of 11

Location: Bakersfield, CA
Phone: (661) 325-5943
Website: http://gbla.org/
> Legal Aid for Immigration Consequences:
•

Asian Americans Advancing Justice - Asian Law Caucus: AAAJ’s Immigrant Rights Program provides
legal services for immigration consequences. They should be included in the List of Legal Aid Providers
for Post-Conviction Immigration Consequences on PG. 1201, in the Bay Area and Los Angeles regions.
Immigrant Rights Program (consultations and full representation)
Location: San Francisco, CA
Phone: (415) 896-1701
Website: http://www.advancingjustice-alc.org/
Advancing Justice – LA
Location: Los Angeles, CA
Phone: (213) 977-7500
Website: http://www.advancingjustice-la.org/

•

Centro Legal de la Raza: Centro Legal de la Raza provides legal services for immigration consequences.
They should be included in the List of Legal Aid Providers for Post-Conviction Immigration Consequences
on PG. 1201, in the Bay Area region.
Location: Oakland, CA
Phone: (510) 437-1554
Website: http://centrolegal.org/

•

Dolores Street Community Services: Dolores Street Community Services provides legal services for
immigration consequences. They should be included in the List of Legal Aid Providers for Post-Conviction
Immigration Consequences on PG. 1201, in the Bay Area region.
Location: San Francisco, CA
Phone: (415) 282-6209
Website: http://www.dscs.org/

•

Immigration Law Clinic at UC Davis School of Law: The Immigration Law Clinic provides legal services
for immigration consequences. They should be included in the List of Legal Aid Providers for PostConviction Immigration Consequences on PG. 1201.
Location: Davis, CA
Phone: (530) 752-6942
Website: https://law.ucdavis.edu/clinics/immigration-law-clinic.html or
https://law.ucdavis.edu/clinics/ilc-programs-and-projects.html

IF YOU HAVE MORE QUESTIONS, PLEASE CONTACT ROOT & REBOUND IN ONE OF THE FOLLOWING WAYS:
1)
2)
3)

Email roadmap@rootandrebound.org
Call our Reentry Hotline any Friday, 9AM – 5PM for Roadmap to Reentry and other reentry questions
Write us at Root & Rebound, 1730 Franklin Street, Suite 300, Oakland, CA 94612

Roadmap to Reentry | Key Updates, Corrections & Additions | Nov. 2015
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