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State of California - Corrections Corporation of America Contract, 2008

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STATE OF CALIFORNIA

STANDARD AGREEMENT AMENDMENT
STD. 213 A (Rev 6/03)

~ CHECK HERE IF ADDITIONAL PAGES ARE ATIACHED

287

Pag"s

AGREEMENT NUMBER

AMENDMENT NUMBER

5600000770

7

REGISTRATION NUMBER

C07.247-7
1.

eP 1046444

This Agreement 1s entered into between the State Agency and Contractor named below:
STATE AGENCY"S NAME

California Department of Corrections and Rehabilitation
CONTRACTOR'S NAME

2.
3.

4.

Corrections Corporation of America
The term of this
January 7, 2008
through
June 30, 2019
Agreement is
The maximum amount of this
$2,283,229,789.46
Agreement after this amendment is:
Two Billion Two Hundred Eighty Three Million Two Hundred Twenty Nine
Thousand Seven Hundred Eighty Nine Dollars and Forty Six Cents
The parties mutually agree to this amendment as follows. All actions noted below are by this reference made a part
of the Agreement and incorporated herein:
This Agreement is entered into under the authority of the Three Judge Panel Court Order for the purposes
of prison capacity reduction.
Effective upon approval, Agreement Number 5600000770, approved on January 7, 2008, amended on
April 30, 2008, amended on December 23, 2009, amended on March 11 , 2011 , amended on December 31, 2012,
amended on June 23, 2013, and amended on September 30, 2015, for Out of State Housing, is hereby amended
to add $464,631, 137.46 to this Agreement, extend the term of this Agreement through June 30, 2019, and revise
various Exhibits and Attachments as detailed below. The total amount of this Agreement will not exceed
$2,283,229, 789.46.

The following is now incorporated herein:
1. STD 213 Page 1, Item 2 of the original Agreement is hereby amended to read: "The term of this
Agreement is January 7, 2008 through June 30, 2019".

Additional Exhibits Listed on Page 2 of 2
All other terms and conditions shall remain the same.
IN WITNESS WHEREOF, this Agreement has been executed by the parties hereto.
CALIFORNIA
Department of General Services
Use Only

CONTRACTOR

AGENCY NAME

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PRINTED NAME AND TITLE OF PERSON SIGNING

Arlene Sakazaki, Associate Director, Office of Business Services
ADDRESS

9838 Old Placerville Rd., Suite 8-2, Sacramento, CA 95827

Date:

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Exempt per:

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STATE OF CALIFORNIA

STANDARD AGREEMENT
STD 213 (Rev 06/03)

AGREEMENT NUMBER

Page 2of2

5600000770

2.

STD 213 Page 1, Item 3 of the original Agreement is hereby amended to read: "The maximum amount of this
Agreement after this amendment is: $2,283,229, 789.46. Two Billion Two Hundred Eighty Three Million Two
Hundred Twenty Nine Thousand Seven Hundred Eighty Nine Dollars and Forty Six Cents".

3.

Exhibit A, Scope of Work, has been replaced with Exhibit A, Scope of Work, Amendment 7, and is attached
hereto.

4.

Attachment 1, Plata-Coleman Link, Amendment 7, is made a part of this Agreement and attached hereto.

5.

Attachment 2, Armstrong Link, Amendment 7, is made a part of this Agreement and attached hereto.

6.

Attachment 3, Daily Movement Sheet, Amendment 7, is made a part of this Agreement and attached hereto.

7.

Attachment 4, Staff Deployment by Category, Amendment 7, is made a part of this Agreement and attached
hereto.

8.

Attachment 5, Master Roster Template, Amendment 7, is made a part of this Agreement and attached
hereto.

9.

Attachment 6, Daily Sign-in Sheets, Amendment 7, is made a part of this Agreement and attached hereto.

10. Attachment C, Distribution of Inmate Death Reports, has been replaced with Attachment 7, Distribution of
Inmate Death Reporting and Review Policy, Effective September 5, 2008, Amendment 7, and is attached
hereto.
11. Attachment D, Program Participation Chart has been replaced with Attachment 8, Offender Program
Participation Table, Amendment 7, and is attached hereto.
12. Attachment 9, ACA Standards, Amendment 7, is made a part of this Agreement and attached hereto.
13. Attachment 10, FDCR Template, Amendment 7, is made a part of this Agreement and attached hereto.
14. Exhibit B, Budget Detail and Payment Provisions, has been replaced with Exhibit B, Budget Detail and
Payment Provisions, Amendment 7, and is attached hereto.
15. Exhibit B-1, Budget Rate Sheets, has been replaced with Exhibit B-1, Rate Sheet, Amendment 7, and is
attached hereto.
16. Exhibit B-2, Rate Sheet, Amendment 7, is made a part of this Agreement and attached hereto.
17. Exhibit B-3, Rate Sheet, Amendment 7, is made a part of this Agreement and attached hereto.
18. Exhibit B-4, Rate Sheet, Amendment 7, is made a part of this Agreement and attached hereto.
19. Exhibit B-5, Rate Sheet, Amendment 7, is made a part of this Agreement and attached hereto.
20. Exhibit C, General Terms and Conditions, GTC 307, has been replaced with Exhibit C, General Terms and
Conditions, GTC 610, effective June 9, 2010, which is incorporated by reference and made a part of this
Agreement as if attached hereto. This document can be viewed at the following website:
http://www. dgs. ca. gov/ols/Resources/StandardContractLang uage. aspx.
21. Exhibit F, Business Associates Agreement (HIPAA), Amendment 6, has been replaced with Exhibit F,
Business Associates Agreement (HIPAA), Amendment 7, and is attached hereto.

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

OFFENDER RELOCATION/HOUSING
AGREEMENT BETWEEN:
STATE OF CALIFORNIA
AND
CORRECTIONS CORPORATION OF AMERICA
This Contract is entered into between the State of California Department of Corrections and
Rehabilitation (hereinafter “STATE” or “CDCR”) and Corrections Corporation of America (CCA),
10 Burton Hills Blvd., Nashville, Tennessee, 37215 (hereinafter “CONTRACTOR”). Exhibit A,
Scope of Work of this contract amendment replaces and supersedes Exhibit A, Scope of Work
of Contract # C07.247, Amendment #6.
WHEREAS, the STATE requires correctional bed space and services for STATE Offenders due
to continuing in-state crowding issues and has the lawful authority to enter into this Contract.
WHEREAS, the CONTRACTOR operates or has access to correctional facilities (“Facilities”) in
the states of Arizona, Mississippi, and Oklahoma deemed suitable by CDCR for the housing and
care of CDCR Offenders and has the lawful authority to enter into this Contract and perform or
have performed the required services as set forth herein.
THEREFORE, in consideration of the mutual promises and covenants contained herein, the
parties hereby agree as follows:
Article I.
DEFINITIONS
Additional Services – means those additional operational and management services required
to be furnished by the CONTRACTOR because of changes in American Correctional
Association (ACA) Standards, state or federal laws, government regulations, or judicial
decisions that cause an increase in the cost of operating and managing the Facilities.
CBU – means the Contract Beds Unit.
CCR Title 15 - means the California Code of Regulations, Title 15, “Crime Prevention and
Corrections” including all subsequent amendments thereto.
CDCR Contract Monitor – The designated representative of the CDCR or his/her
designee/delegate serving as liaison between CDCR and the CONTRACTOR and who monitors
the CONTRACTOR’s performance under this Agreement. This shall also apply to any monitor
on behalf of the federally appointed receiver’s office in the Federal Court case of Plata v. Brown
monitoring health care.
COCF – means the California Out-of-State Correctional Facility program.
Coleman – refers to the Federal Court case of Coleman v. Brown, pertaining to care of mentally
ill Offenders through the mental health services delivery system.
Contract – means this Agreement, or where referenced the prior Agreement between the
parties hereto.

Page 1 of 51

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

Contract Year – means the twelve consecutive month period commencing on the date of
execution of this Agreement with a new Contract Year beginning in each consecutive twelve
month period thereafter until the expiration or termination of this Agreement.
Critical positions - means those positions that are filled by a specific individual. Staff members
are hired into the facility to fill a specific role, unlike a correctional officer that is trained and may
fill a variety of posts. If these positions are not filled on the 61st day of vacancy the
CONTRACTOR may be assessed an amount equal to the salary and benefits for such position
beginning on the 61st day for as long as the position is vacant.
Court with Jurisdiction – is any court which has jurisdiction over the transfer of Offenders
pursuant to this Agreement; including but not limited to, the courts in Coleman v. Brown (U.S.
District Court, Eastern District of California, Case No. CIV S-90-0520), Perez v. Cate (U.S.
District Court, Northern District of California, Case No. C055241 JSW), Armstrong v. Brown
(U.S. District Court, Northern District of California, Case No. C94-2397 CW), and Plata v. Brown
(U.S. District Court, Northern District of California, Case No. C01-1351 TEH).
Department/CDCR – means the California Department of Corrections and Rehabilitation.
Day – means calendar day, unless otherwise defined, in this Agreement.
DOM – means the CDCR Departmental Operations Manual.
Facilities – means the correctional institutions operated by the CONTRACTOR in the states of
Arizona, Mississippi, and Oklahoma, known as the Tallahatchie County Correctional Facility,
North Fork Correctional Facility, Florence Correctional Center, and La Palma Correctional
Center, and any other CONTRACTOR Facilities added by mutual agreement pursuant to
Exhibit A, Scope of Work, Section 3.01, Offender Housing.
HIPAA – means the Federal Health Insurance Portability and Accountability Act.
Indigent Offender – means an Offender who is wholly without funds at the time they were
eligible for withdrawal of funds for canteen purchases.
In-patient Care – means care received in a free standing, non-correctional hospital on an inpatient basis, including any and all physician or consulting professional services provided to the
Offender in the hospital.
Lockdown – The restriction of all Offenders to their cells/dormitory beds encompassing no less
than a Facility. True lockdowns are rare occasions, generally following very serious threats to
institutional security and the safety of staff and Offenders. The movement of any Offender to an
assignment or resumption of any program would change the lockdown status of the program,
returning the institution/facility to a diminished level of modified program or to normal program.
Mandatory ACA Standards – means those standards identified as being mandatory in the
American Correctional Association’s Standards for Adult Correctional Institutions, 4th Edition.
Some mandatory standards may be modified, amended, or supplemented in the future.
Mandatory posts – means those posts that will be filled each shift as delineated.
Modified Program – The suspension of any operation, procedure, service, or function to
prevent, isolate, contain, or control a disruption of orderly operations, caused by an Offender

Page 2 of 51

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

initiated disturbance, natural disaster, or external stimulus. The modified program definition
encompasses any restrictions or modifications which do not constitute a lockdown. The term
“partial lockdown” is contained within the modified program definition and should no longer be
used.
Note: The routine and temporary restrictions on Offender movement or yard activities during
alarm response and/or immediately following an accident are not considered a program
modification.
National Commission on Correctional Health Care Standards (NCCHC) – those standards
of health care services as defined and established by the NCCHC in the 2003 Edition of
Standards for Health Services in State Prisons.
Offender – means any adult male person incarcerated pursuant to applicable California laws,
and assigned to the Facility for housing under this Agreement.
Offender Day – means each day, including the first day, but not the last, that an Offender is
admitted to the Facility as determined by the Midnight Count.
Operating Requirements – means applicable federal, state, and local laws, court orders,
constitutional standards, and CDCR regulations made applicable to the Facility by this
Agreement.
Post – A post is an assignment or area to be covered by a staff person, and does not have to
be designated to a specific staff member.
UHR – means Unit Health Record.
Warden – means the Administrative Head who manages operations at the Facility.
Article II
TERM OF THE AGREEMENT
Section 2.01 Option to Extend Term.
The parties agree that should they desire to extend the term of this Agreement they shall notify
one another of their desire to extend the term not less than 180 days prior to the expiration of
the initial term. The provisions of this Contract, as amended if so amended during that time,
shall apply to any extended term, except that the compensation for the extended term shall be
subject to negotiation between the parties. Should the parties not agree on a new rate of
compensation to apply to the extended term, this Agreement shall expire on the original term
end date.
Section 2.02 Termination for Non-Appropriation.
Notwithstanding anything set forth in the provisions of Exhibit A, Article VIII, Default and
Termination, it is understood and agreed that the State is a government entity and that the State
reserves the right to terminate this Contract if, in the judgment of the State, the Legislature of
the State of California, at any time during its duly convened Legislative process, fails, neglects,
or refuses to appropriate or continue appropriation of sufficient funds as may be required for the
State to continue the payments required hereunder.

Page 3 of 51

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

Section 2.03 Responsibility Hearing.
If this Agreement is terminated for cause, CDCR reserves the right to conduct a responsibility
hearing to determine if the CONTRACTOR is a responsible bidder before an award of future
Agreements can be made.
Article III
CDCR OFFENDERS
Section 3.01 Offender Housing.
The CONTRACTOR shall confine and supervise CDCR Offenders that are transferred to the
Facilities pursuant to the terms and conditions of this Agreement. CDCR Offenders shall only be
housed in housing units consistent with the Offenders’ classification and security needs, subject
to the prior written approval of the CDCR Contract Monitor or designee.
CONTRACTOR agrees to make available, and CDCR agrees to utilize, beds at the Facilities.
Provided, however, nothing herein shall prevent the CONTRACTOR and CDCR from mutually
agreeing to reallocate beds among the Facilities, add additional Facilities, delete Facilities, and
increase or decrease the total number of contracted beds, as necessary, to meet CDCR needs.
Subject to mutual agreement, the CONTRACTOR may reallocate the CDCR population among
the Facilities in such a manner as to improve the efficiency of overall Facility operations. All
such costs associated with such a reallocation among the Facilities shall be borne by the
CONTRACTOR. The staffing levels necessary to support the reallocated populations are
subject to mutual agreement. This provision shall not apply in the event that such vacancies are
caused by an act of contract default on the part of the CONTRACTOR, or in the event that
CONTRACTOR has requested that such beds remain vacant.
CDCR minimum payment shall be based on actual occupancy.
Section 3.02 Selection and Placement Process.
The CDCR Offenders to be housed in the Facilities shall be selected on the basis of compliance
with all applicable state statutes or other applicable laws or regulations of the state in which the
Facilities are located, relating to the housing of out of state Offenders as may apply, and in
addition thereto, the following criteria and conditions:
3.02.1 CDCR and CONTRACTOR shall mutually agree on suitable Offenders to be housed in
the CONTRACTOR Facilities. In the event that CDCR requests that the CONTRACTOR
accept Offenders with serious or significant mental health or physical problems, included
but not limited to physical disability, CDCR and the CONTRACTOR shall mutually agree
to an appropriate plan of care for the population and the allocation of costs associated
therewith. If the overall percentage of Offenders in CONTRACTOR Facilities requiring
Hepatitis C treatment exceeds the overall percentage of Offenders requiring Hepatitis C
treatment in the CDCR system, CDCR agrees to pay the treatment costs for those
Offenders in excess of the percentage of Offenders requiring Hepatitis C treatment in the
CDCR system.
3.02.2 Offenders assigned to the Facilities shall be males, eighteen years of age or older.

Page 4 of 51

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

3.02.3 CONTRACTOR may reject any Offender found not to meet the receiving state’s criteria
or otherwise deemed by the CONTRACTOR, with CDCR’s concurrence, to be
unsuitable for assignment to a particular Facility. In the event the initially considered
Facility is deemed unsuitable for a particular Offender, the CONTRACTOR shall make
all due effort to assign Offenders to an alternate, appropriate Facility under this
Agreement.
Upon arrival of any CDCR Offender to a Facility, the CDCR shall provide to the Facility’s
Warden, without charge, copies of pertinent data from institutional files, commitment or other
judicial orders, and medical records of each CDCR Offender to be housed at the Facility. The
CONTRACTOR shall assume any costs associated with a review of Offender central files to
determine the impact to CDCR of the receiving state’s statutory requirements. All CDCR
Offender information shall be subject to statutory limitations on disclosure, including but not
limited to State privacy laws, and provisions of the federal requirements imposed by the HIPAA
or other federal privacy laws. The CONTRACTOR shall release information only in accordance
with CDCR direction.
A duly authenticated copy of the CDCR Offender’s commitment papers and any other official
papers or documents authorizing detention, case file materials, and medical/dental/psychiatric
records shall be delivered at the same time a CDCR Offender arrives at the transfer point. After
the Agreement is executed and CONTRACTOR becomes familiar with CDCR Offender files, the
CONTRACTOR may make reasonable requests for additional papers, or documents, to be
delivered to CONTRACTOR. CDCR understands that the safe and secure management of the
Facilities is dependent upon the CONTRACTOR’s receipt of complete Offender files and shall
not unreasonably withhold requested documents.
The CONTRACTOR will work collaboratively with CDCR to implement any newly available
Electronic Database Software, including but not limited to the Strategic Offender Management
System (SOMS) to enhance operationally necessary transfer of information.
The CDCR reserves the right to modify the Offender eligibility screening criteria on an asneeded basis without amending the Agreement. Modifications become effective upon written
notification from the CDCR.
Section 3.03 Transfer/Delivery of Offenders.
At the request of CDCR, the CONTRACTOR shall be responsible for the transporting of
Offenders to and from CDCR to the Facilities. The parties agree to cooperate and coordinate
their procedures regarding transport so as to minimize the expense associated with such
transfers. All required Offender local transportation to and from the Facilities within a 150 mile
radius (e.g., for offsite medical care both urgent or emergent and routine) shall also be provided
and paid for by the CONTRACTOR. Upon the request of the CONTRACTOR and with prior
written approval of the CDCR Contract Monitor, CONTRACTOR shall be entitled to transfer a
CDCR Offender from one Facility to another, provided the Facility receiving the transferred
CDCR Offender is operated by CONTRACTOR pursuant to an Agreement between CDCR and
CONTRACTOR or between CDCR and an entity with which CONTRACTOR has an operating
contract. CONTRACTOR agrees to follow CDCR staffing requirements on any CCA provided
transport.
CDCR will provide CONTRACTOR an Offender Transport Manifest for each requested
transport. Upon completion of the transport, CCA will sign the Manifest confirming delivery of
the Offender and property, and email or fax a copy to CDCR.

Page 5 of 51

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

Section 3.04 Costs of Transport of Offenders.
Except as otherwise provided below, CDCR shall reimburse CONTRACTOR for the cost of
transporting Offenders from the transfer point in California to the Facility, from the Facility to the
transfer point in California, and from Facility to Facility, pursuant to the following pricing
schedule:
A. Cost of airframe and crew ("charter costs") at actual costs. CONTRACTOR agrees to
provide CDCR with the cost quote for any air transfer and CDCR shall have 48 hours to
approve or reject that quote. If CDCR rejects a quote, CDCR shall cooperate with
CONTRACTOR to obtain a replacement service provider to provide the same service at
a rate acceptable to CDCR. If a better quote cannot be obtained through these efforts,
CDCR shall determine a competitive alternative transportation provider. The cost of
guarding shall be reimbursed to the CONTRACTOR and is determined by the
CONTRACTOR’s actual cost of salary and fringe benefits for each guard accompanying
the transportation of Offenders. Salary and fringe benefits are defined for this section as
actual salary, plus 26 percent of salary in addition thereto, to cover the fringe benefits. In
addition, CONTRACTOR shall be entitled to administrative overhead on said amounts
calculated for guarding at a rate of 15 percent of the base salary
B. CONTRACTOR shall be reimbursed for ground transportation of Offenders pursuant to
the following pricing schedule:
Tallahatchie County Correctional Facility to Arizona Facilities or Arizona Facilities to
Tallahatchie County Correctional Facility
 1st - Offender - $1089.36 per Offender (1513 miles at $0.72 per mile)
 2nd - 4th Offender - $932.01 per Offender (1513 miles at $0.62 per mile)
 5th - 30th Offender- $823.07 per Offender (1513 miles at $0.54 per mile)
North Fork Correctional Facility to Arizona Facilities or Arizona Facilities to North Fork
Correctional Facility
 1st Offender - $599.04 per Offender (832 miles at $0.72 per mile)
 2nd -4th Offender - $512.51 per Offender (832 miles at $0.62 per mile)
 5th -30th Offender- $452.61 per Offender (832 miles at $0.54 per mile)
Tallahatchie County Correctional Facility to North Fork Correctional Facility or North Fork
Correctional Facility to Tallahatchie County Correctional Facility
 1st Offender - $444.96 per Offender(618 miles at $0.72 per mile)
 2nd -4th Offender - $380.69 per Offender (618 miles at $0.62 per mile)
 5th -30th Offender- $336.19 per Offender (618 miles at $0.54 per mile)
Included in the price schedule above are the costs of guarding.
C. In the event the CONTRACTOR is required to move a vehicle carrying no Offenders into
position at a Facility for the purpose of completing a one-way ground transport of
Offenders, CONTRACTOR shall be reimbursed for the one-way ground transport
pursuant to the following pricing schedule:

Page 6 of 51

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work
Total Cost includes:
Repairs & Maintenance
Depletion
Per Diem
Fuel

Agreement Number 5600000770
Exhibit A
Amendment 7

$0.28 multiplied by the number of one-way miles
$1.10 multiplied by the number of one-way miles
$36.00 multiplied by the number of days multiplied by the
number of staff
Actual fuel cost per gallon multiplied by the number of oneway miles at a rate of 7 miles per gallon

D. In the event CONTRACTOR requests the return of an Offender to California, or the
transfer of an Offender to another Facility, who otherwise meets the criteria of the
receiving state, meets the criteria of the CDCR, and has been placed in a Facility with
the initial Agreement of the CONTRACTOR, then in such event CONTRACTOR shall be
responsible for the transportation and property costs associated with said return.
E. Notwithstanding any other provisions of Exhibit A, Scope of Work, Section 3.04, Costs of
Transport of Offenders, CONTRACTOR shall be responsible for up to the first
$500,000.00 for the cost of transportation between California and all Arizona Facilities
annually.
F. Transportation of Offender Property:
1) Each CDCR Offender is allowed six (6) cubic feet of personal property per CCR Title
15.
2) One property box (not to exceed 24 inches x 16 inches x 12 inches) may be
transported on the CONTRACTOR's vehicle for each Offender. Additional property
boxes may be transported subject to the availability of space. CDCR will provide
CONTRACTOR shipping labels to ship, at CDCR's expense, excess property boxes
that cannot be transported on the vehicle.
3) When an Offender’s property is being prepared to be shipped to California, property
in excess of six (6) cubic feet should be disposed of as detailed in CCR Title 15. No
additional personal property is to be transported.
In the event an Offender's personal property is not at the specified transfer point at the
time of pick up by CDCR, the CONTRACTOR shall be responsible to ship, at the
CONTRACTOR'S expense, one property box (not to exceed 24 inches x 16 inches x 12
inches) to the CDCR institution.
G. The terms contained herein do not provide the CONTRACTOR exclusive rights to
transport CDCR Offenders.
Section 3.05 Offender Funds.
Funds of an individual CDCR Offender shall be provided to CONTRACTOR by CDCR within
seven (7) working days of the CDCR Offender’s transfer. These funds shall be held and
managed pursuant to CDCR policies, procedures, and practices, which shall be provided to
CONTRACTOR prior to Offender arrival.

Page 7 of 51

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

Section 3.06 Offender Work/Program Assignment Payment.
CONTRACTOR shall pay all Offenders assigned to the work incentive program Offender wages
equal to the amount paid to other Offenders housed at the particular Facility at the time of
transfer. Provided, however, CDCR shall inform CONTRACTOR of the applicable pay scales
utilized by CDCR, and inform CONTRACTOR of any changes occurring thereto during the term
of this Agreement. CONTRACTOR will review the CDCR pay scale to ensure that it keeps with
the Facility pay scales currently in place. In the event of a discrepancy, CONTRACTOR will
make a recommendation to CDCR for a solution – recognizing the need to treat CDCR
Offenders housed out of state in a similar manner to CDCR Offenders in state, taking into
account CONTRACTOR’s need for similar treatment for all jurisdictions in the Facility. In the
event CDCR Offenders are housed in a Facility with other jurisdictions where a pay scale
discrepancy exists, CONTRACTOR will provide a report initially and annually.
Section 3.07 Return of Offenders to the CDCR.
3.07.1 Upon demand by the CDCR, Offenders will be delivered to the custody of the CDCR
pursuant to the terms as set forth in Exhibit A, Scope of Work, Section 3.03,
Transfer/Delivery of Offenders.
3.07.2 Within 14 days of receiving a good faith request from the CONTRACTOR (based on the
diagnosis of a serious medical condition, on-going or serious disciplinary reasons, or
inability to provide a level of custody consistent with the safety and security of the
Offender and/or staff), the CDCR and CONTRACTOR will develop a mutually agreed
upon plan to address the matter.
3.07.3 CONTRACTOR and CDCR agree that in the case of Offenders who are members of the
Coleman class, returns shall be accomplished in strict accordance with Coleman return
guidelines.
3.07.4 No Offender who completes his sentence, is released by court order, or is placed on
probation or parole shall be released in a state, other than California, unless that State
has a detainer on the Offender, or has accepted custody of the Offender pursuant to an
interstate compact, unless the Offender is released to the custody of another federal or
state agency. In every other case, prior to release from custody, Offenders shall be
returned to the CDCR, or to the custody of such jurisdiction as has agreed to take the
Offender, pursuant to the terms as set forth in Exhibit A, Scope of Work, Section 3.03,
Transfer/Delivery of Offenders.
3.07.5 When a CDCR Offender returns to CDCR, the CONTRACTOR shall provide that
Offender’s funds in the form of a check payable to CDCR, in the amount due to the
CDCR Offender, for credit to the CDCR Offender’s account, within seven (7) business
days of the CDCR Offender’s transfer unless an alternate location is directed by CDCR.
3.07.6 When a CDCR Offender is identified to return to CDCR, the CONTRACTOR will ensure
the field file is current, with documentation to include, but not limited to, program
activities (work, education, etc.), classification endorsement and action, infraction
history, and other items deemed necessary by CDCR. In addition, the CONTRACTOR
will provide a medical summary and ensure the UHR is current with relevant medical
documentation. In addition, upon transfer, the CONTRACTOR will provide the current
field file, medical summary, and UHR.

Page 8 of 51

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

Article IV
OPERATION OF FACILITY
Section 4.01 General Duties.
The CDCR Offenders in the Facilities shall be confined and supervised in accordance with the
CCR Title 15, DOM, and receiving states’ existing state law. The CONTRACTOR shall maintain
mutually agreed upon staffing levels at the Facilities in accordance with ACA standards, in
sufficient numbers and rank to maintain the safety of the public, staff, and Offenders, and to
adequately carry out the provisions of this Agreement. CONTRACTOR shall not seek additional
reimbursement from CDCR in excess of the per diems stated hereunder in instances where the
CONTRACTOR increases staff in order to perform the services required under this Agreement.
Provided, however, this shall not apply in instances where CDCR requests or requires additional
services, or services for a different Offender population than originally contemplated hereunder.
The CONTRACTOR shall provide CDCR with staffing levels for each Facility where CDCR
Offenders are housed prior to execution of this Agreement. Said staffing levels are attached
hereto as Attachment 4, Staff Deployment by Category. In the event of any change to the
staffing levels for the staff assigned to the particular CDCR housing units during the term of this
Agreement, revised levels shall be provided to CDCR in advance of any change, and shall be
subject to CDCR approval, which shall not be unreasonably withheld and shall be granted or
withheld within ten (10) business days, or a reasonably agreed upon time frame for the request.
In advance of any change, the CONTRACTOR will exercise authority to ensure that the daily
operations of the Facility are in compliance with the provisions of this Agreement. Subject to the
provisions of this Agreement, the CONTRACTOR shall provide CDCR Offenders care and
treatment, including the furnishing of subsistence and routine and emergency medical care
consistent with the requirements of ACA standards, NCCHC standards, CCR Title 15, and
constitutionally appropriate and/or court imposed guidelines. CONTRACTOR shall also provide
for their physical needs of CDCR Offenders, make work, education, training and treatment
programs available, retain CDCR Offenders in safe, supervised custody, maintain proper
discipline and control, make certain that any applicable court orders are complied with, provide
reasonable access to the courts, and otherwise comply with all applicable law. Additionally,
CONTRACTOR shall provide case management of CDCR Offenders, consistent with CCR Title
15, including classification, monitoring earned/good time, disciplinary activity, programming, and
other Offender activity.
CDCR Offenders shall be provided with a copy of the Facility rules and procedures (orientation
guide) upon arrival. The orientation information must include the process for obtaining
medical/mental health care, the disciplinary process, the request for reasonable accommodation
under ADA, and the Offender appeal/grievance process. A verbal orientation shall also be
provided upon arrival of CDCR Offenders. CONTRACTOR shall ensure effective
communication during orientation. Where appropriate this may include, but is not limited to, use
of interpreters or ADA approved communication devices.
Section 4.02 Minimum Required Staffing.
4.02.1 CDCR may assess liquidated damages if the CONTRACTOR fails to maintain minimum
staffing for mandatory posts as mutually agreed by the CONTRACTOR and CDCR in
writing. The mandatory post and critical position designations and any revisions thereto
shall be made in writing and shall be signed on behalf of CDCR by its Chief or designee
and on behalf of the CONTRACTOR by its Vice President of Operations. To the extent
any housing, program, or other area is not occupied, as a result of a reduction in

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

Offender population, CONTRACTOR shall not be required to staff any mandatory posts
for that area and shall not be subject to liquidated damages for vacant mandatory posts
in such unoccupied area. The CONTRACTOR may use contract staff and overtime to
fulfill its mandatory post staffing requirements. The CONTRACTOR shall exercise due
diligence in filling staffing vacancies and, to the fullest extent possible, the duties of the
vacant post(s). This shall be performed through the use of overtime, contract staff, or
other mutually agreed upon alternative means for the CONTRACTOR to not be deemed
in breach of this Contract and to not be subject to an assessment of liquidated damages.
For each shift that a mandatory shift is not covered, CDCR may assess damages in an
amount equal to the daily rate (salary and benefits) per post, per day as long as the
deficiency continues.
CONTRACTOR shall have 60 calendar days to fill a vacant Critical Position. To the extent any
housing, program, or other area is not occupied as a result of a reduction in Offender
population, CONTRACTOR shall not be required to staff any critical positions for that area
according to Attachment 5, Master Roster Template, and shall not be subject to liquidated
damages for vacant critical positions in such unoccupied area. A Critical Position shall not be
deemed vacant in the event that the CONTRACTOR is using contract staff, overtime, or other
mutually agreed upon alternative means to fulfill the duties of the Critical Position. Beginning on
the 61st calendar day that a Critical Position remains vacant, CDCR may assess liquidated
damages in an amount equal to the daily rate (salary and benefits) for such Critical Position per
day as long as the Critical Position remains vacant. CONTRACTOR agrees to not circumvent
the imposition of liquidated damages by multiple short term staff assignments.
Recognizing that the CONTRACTOR will incur certain costs to recruit new employees, and
costs to cover the vacancies through contract staff and overtime, the first monthly assessment
of liquidated damages per Contract Year, per CONTRACTOR Facility, will be subject to a
maximum of $10,000.00 and the second monthly assessment of liquidated damages per
Contract Year, per CONTRACTOR Facility, will be subject to a maximum of $20,000.00. The
third and each subsequent monthly assessment of liquidated damages per Contract Year, per
CONTRACTOR Facility, will not be subject to a maximum amount. It is agreed that this amount
is to be paid as liquidated damages, and not as a penalty, as it is difficult to affix the amount of
actual damages. The CONTRACTOR shall not be liable for liquidated damages for a failure that
results from an occurrence beyond its control. Assessment of liquidated damages shall not
preclude CDCR from terminating this Contract for breach as provided herein. Withholding of
payment as liquidated damages shall not relieve the CONTRACTOR of any of its obligations
under the Contract.
Section 4.03 ACA Accreditation.
CONTRACTOR shall obtain, and maintain, ACA accreditation of each of the Facilities occupied
by CDCR under this Agreement. It is understood that a facility shall have been fully operational
for 18 months before ACA accreditation becomes available, and CONTRACTOR shall seek
accreditation of any such newly constructed or re-opened facility within the earliest practical
time. This requirement may be waived in circumstances where the actions of, or needs of,
CDCR prevent such accreditation.
Section 4.04 Contract Monitors.
4.04.1 In administering this Agreement, the CDCR shall designate a CDCR Contract Monitor, to
monitor the CONTRACTOR’s performance under this Agreement.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

4.04.2 The CONTRACTOR shall designate a person who shall act as the Facility’s contact
person for the purposes of the administration of this Agreement.
4.04.3 Any change in the Contract Monitor or the CONTRACTOR’s designated contact person
shall be effective upon 10 days prior written notice of such change to the other party.
4.04.4 Unless otherwise provided, the CONTRACTOR shall permit the CDCR, court appointed
Receiver or Special Master, and any other duty authorized agent or governmental
agency, to monitor all activities conducted by the CONTRACTOR pursuant to the terms
of the Agreement. Specifically included in this provision is the right of the federally
appointed receiver in the case of Plata v. Brown to monitor healthcare services within
the Facilities. Such monitoring may consist of internal procedures evaluation,
examination of program data, special analysis, on-site checking, formal audit
examinations or any other reasonable procedures as CDCR or the Receiver may in their
sole discretion deem necessary or appropriate. All such monitoring shall be performed in
a manner that shall not unduly interfere with Agreement work. Also specifically included
in this provision is the right of the Special Master in the pending case of Coleman v.
Brown to monitor the provision of constitutionally adequate mental health care for all
plaintiff class Offenders. Former class members may be transferred pursuant to this
Agreement and some transferred Offenders may become members of the plaintiff class
during their stay in the CONTRACTOR’s Facilities. The contracting parties acknowledge
that the Special Master or his designee(s) may make inquiries involving policies and
procedures for care of plaintiff class members and shall have the right, if a dispute about
the adequacy of provided mental health services arises, to visit and assess the mental
health services provided by the CONTRACTOR to plaintiff class members. Also
specifically included in this provision is the right of the CDCR Dental Program to monitor
the provision of dental services within the institution, including the preparation and
submission to CDCR of periodic reports as determined by the Dental Liaison to COCF.
CONTRACTOR shall cooperate with such visits, which shall not interfere unduly with
Agreement work.
4.04.5 The Receiver appointed in the Federal Court case of Plata v. Brown, may, in his
discretion, appoint a Healthcare Monitor to either be housed at the Facilities, or to make
periodic inspection visits to the Facilities consistent with the provisions of this section.
The same information as is provided by CDCR to CONTRACTOR for its Contract
Monitor shall also be provided to CONTRACTOR for the Healthcare Monitor.
Section 4.05 Medical/Mental Health/Dental.
The CONTRACTOR shall provide essential health services, including medical, dental, and
mental health services, while meeting the applicable standards and levels of quality established
by the ACA, NCCHC, and CCR Title 15. In addition, the CONTRACTOR shall provide services
consistent with all applicable federal, state, local laws and regulations governing the delivery of
Offender health services, any applicable court orders, including, but not limited to, orders issued
in the case of Plata v. Brown and Coleman v. Brown, and establish the necessary quality
controls to ensure all policies and procedures are designed and implemented in a manner to
promote orderly and efficient delivery and management of health care services to CDCR
Offenders. Compliance with applicable court orders, as set forth above, shall not be deemed to
be submission to the jurisdiction of the ordering court, and is a contractual obligation only.
•

CDCR Offenders shall be provided health services consistent with the services provided
by the CDCR under applicable CDCR Offender health services policies and procedures.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

Services – All Offender medical services shall be provided at the Facilities when possible. For
cases requiring emergency care or care that is medically necessary but outside the capability of
the providers at the Facility, e.g. specialty physician or hospital-based services, existing
arrangements with local health care providers shall be utilized to obtain the required services. At
the inception of this Agreement, a listing of all existing contractual arrangements with local
healthcare providers, including, but not limited to, acute care hospitals and clinics, shall be
made available to CDCR by CONTRACTOR. Any change to this list shall be communicated to
CDCR. This list shall be provided on an annual basis or as changes occur.
CONTRACTOR will have a contracted hospital provider in its off-site network for Offenders
requiring inpatient psychiatric admission, including crisis counseling. All Offenders suspected of
being sexually assaulted shall be sent to the local emergency room for treatment, and a rape kit
will be sent to the hospital with the transferring officers, consistent with CDCR Prison Rape
Elimination Act (PREA) protocols.
The CONTRACTOR shall have policies and procedures for providing routine and urgent
medical, dental, and mental health services. The policies and procedures shall include, but not
be limited to, the following:
 24 hour care, seven (7) days a week emergency medical, dental, and mental health
care;
 Initial health screening;
 Health appraisal examination;
 Daily triaging of complaints;
 Sick call procedures with a health practitioner, including offering this service at least five
(5) days per week;
 Outpatient medical, dental, and mental health service, including diagnostics and physical
therapy;
 Inpatient medical services;
 Special medical programs and services for, but not limited to, Offenders with chronic
needs or requiring convalescent care;
 Mental health and substance abuse services;
 Adequate staffing of trained professional health services staff and support staff;
 Pharmaceutical services and supplies;
 No cost to CDCR Offender for medication refills and renewals;
 Optometric services;
 Health education;
 Medical diets;
 Infection control; and
 Quality control/peer reviews.
Initial/Preliminary Screening – All screening will be conducted by trained and licensed
healthcare personnel on all Offenders upon the Offender’s arrival at the Facilities. Screening will
include, but not be limited to:
 An inquiry into the Offender’s health care history, including status of current modalities
and medications;
 An observation of the Offender’s behavior, physical limitations and capabilities, and
current physical condition;
 An immediate referral to appropriate health care professionals, for emergency care,
prescription management, or modality authorization.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

At the initial screening, all Offenders will receive orientation about the Health Services Unit,
including the procedures for accessing care.
Full Health Appraisal (Intake) – During the initial occupancy phase of this contract, all
Offenders will receive a full health appraisal in compliance with CDCR and Inmate Medical
Services Policies and Procedures. This health appraisal will include, but not be limited to:
 Review of the earlier screening;
 Review of the CDCR health care record, including documented history and problem list,
medications ordered, conditions requiring ongoing treatment, and modalities authorized;
 Collection of a more detailed health services history;
 Medical examination, including review of mental health and dental health status if not
previously examined at CDCR in the previous six (6) months;
 Laboratory or diagnostic tests to detect communicable disease if not documented in the
previous 12 months;
 Other tests and diagnostics, as indicated by exam;
 Initiation of treatment, as indicated;
 Development and implementation of a treatment plan, including recommendations
concerning physical limitations and restrictions that effect programming, housing, and
job assignment;
 Referral to mental health or dental specialist as indicated; and
 Offender education, particularly of the treatment plan initiated by CDCR is modified or
changed. Any change to an existing treatment plan shall be approved by CDCR.
In the event CONTRACTOR’s staff are unable to provide the requisite screenings in the time
allowed due to the volume of screenings to be conducted, CONTRACTOR may seek approval
to extend the time for such screenings, consistent with the approval of CDCR and the Receiver,
and if such extension of time is disallowed, CONTRACTOR may utilize outside contracted
services to accomplish said screenings. CDCR shall be given advance notification of the identity
and qualifications of said individuals, and review the proposed rate of compensation to be paid
to such persons. CDCR shall not unreasonably withhold its consent to such proposed
screeners, and shall reimburse CONTRACTOR for their additional costs incurred in complying
with this provision in such event.
Dental Screening, Examination and Treatment – The CONTRACTOR shall have written
policies and procedures to assure dental screenings, exams, radiographs, and treatments are
rendered consistent with the CDCR and ACA standards. Comprehensive dental examinations
shall be completed within 30 days of arrival from California. The CDCR records sent to the
facility will be reviewed for dental history and to identify current dental care that should be
continued. Offender transfers between CONTRACTOR Facilities shall include a review of dental
records to ensure continuity of care at the arriving Facility.
Mental Health Screening, Examination and Treatment – The CONTRACTOR shall have
written policies and procedures to assure mental health screenings, evaluations, and treatments
are rendered consistent with the CDCR and ACA standards. The CDCR records sent to the
Facility will be reviewed for mental health history and to identify current mental health care
needs. Any patient having demonstrated mental health needs shall be identified to CDCR, and
CDCR shall have the right to request a return of that Offender to CDCR custody.
Infectious Diseases – The CONTRACTOR shall have written policies and procedures to
support the management and prevent the spread of infectious diseases. A copy of said policies
shall have been provided to CDCR prior to the execution of this Agreement.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

CONTRACTOR Formulary – The CONTRACTOR shall adhere to the CONTRACTOR
formulary. When the only medically appropriate and medically necessary pharmaceutical for an
Offender is not on the CONTRACTOR formulary, the CONTRACTOR Medical Director and/or
the Health Services Administrator will follow the CONTRACTOR’s procedures for obtaining a
waiver.
Initial Provisioning Of Medications – At the time of initial transfer, and at the time of any
return of an Offender to or from the Facility, the CDCR or CONTRACTOR, depending on who is
releasing custody at the time of transfer, shall provide, at the time the Offender is transferred
between the custody of CDCR and CONTRACTOR, a seven (7) day supply of any medications
prescribed for that Offender.
Utilization Review/Prior Authorization - CONTRACTOR shall follow the CDCR Utilization
Review procedures and, unless the required care is necessitated by an emergency, shall seek
advance approval for any non-routine care outside the Facility.
Health Care Records – The CONTRACTOR shall have written policies and procedures to
ensure appropriate and confidential management of Offenders’ health care records and health
care information. These policies and procedures shall support standardization of preparation,
format, documentation, release, and maintenance of the health care record. The health care
record created at the Facility is the property of the CDCR and shall be forwarded to CDCR when
the Offender is transferred from the Facility. Release of information, including copying charges,
shall be conducted in accordance with CDCR policy and only upon approval by CDCR.
Credentialing, Privileging, and Peer Review – Licensed Independent Practitioners (LIPs),
which includes physicians, nurse practitioners, and physician assistants, hired by the
CONTRACTOR must be approved by California Correctional Health Care Services (CCHCS)
Credentialing Review Committee prior to commencement of services. Additionally, CCHCS may
conduct clinical performance appraisals of all CONTRACTOR LIP’s providing services to CDCR
Offenders, and review all peer reviews of contracted LIPs.
Mid-Level Protocols – The CONTRACTOR must have established protocols and provisions for
supervision of mid-level providers. Mid-level providers include nurse practitioners and physician
assistants.
Staffing – The Health Care Unit shall be adequately staffed with trained health care
professionals and support staff to provide the level and the quality of care defined by the ACA,
NCCHC, CCR Title 15, and any court orders. The responsibilities of these staff shall be clearly
defined in their job description and shall be consistent with any applicable scope of practice for
which they are licensed to function, as appropriate. Appropriate supervisory staff shall monitor
performance of these responsibilities. Ultimate responsibility of staff performance lies with the
Facility Medical Director and/or the Health Services Administrator.
Staff Training – The Health Services Administrator/Manager of the health services unit shall
maintain current copies of licenses, accreditation, and certifications of the professional health
care staff as appropriate. All health care services staff shall participate in facility orientation and
training in accordance with Facility, ACA, and NCCHC standards.
The Health Care Administrator/Manager shall maintain records of staff participation in facility
orientation and annual training, and mandatory Continuing and Professional Education
requirements.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

4.05.1 Costs – The costs of providing on-site medical, mental health, or dental services through
Facility staff or contracted services, shall be considered normal costs incidental to the
operation of the Facility and is included in the CDCR Offender per diem rates, except
that the CDCR shall pay for:
a)

All expenses in excess of $2,500.00 annually, per Offender, for medically
necessary, off-site hospital or emergency care. This includes, but is not limited
to, medical, surgical, mental health, and dental care delivered in an Emergency
Room, practitioner's office, or inpatient or outpatient hospital setting. Provided,
however, CONTRACTOR shall be responsible for the costs of any off-site
medical care if such care should have been provided on-site through the
CONTRACTOR's provision of routine medical, dental, and mental health
services.

b)

CONTRACTOR accepts the risk for the first $2,500.00 annually per Offender for
medically necessary, off site hospital, or emergency care. The $2,500.00 annual
per Offender limit shifts ongoing costs for typical, routine off-site services from
CDCR to the CONTRACTOR (thereby simplifying the reimbursement for such
claims and allowing CDCR relief with respect to these routine costs) while limiting
the CONTRACTOR's liability for off-site hospital and emergency care. The
parties do not anticipate that every CDCR Offender will incur $2,500.00 in off-site
hospital or emergency care, therefore, the per diem does not include $2,500.00
per Offender, per year for this care and there is no pool of funds established
based upon $2,500.00 per Offender, per year from which CONTRACTOR retains
unspent funds. CONTRACTOR is able to competitively price coverage of off-site
medical care by relying on historical Offender medical data and making an
assessment of a reasonable annual budget for off-site expenses, knowing that in
no event will the liability exceed $2,500.00 per Offender annually. Accordingly,
the CONTRACTOR’s off-site limit is a risk balancing mechanism only.

c)

All HIV or AIDS related inpatient and outpatient medical costs and the costs of
providing AZT or other medications therapeutically indicated and medically
necessary (as defined in the UHR) for the treatment of Offenders with HIV or
AIDS. CONTRACTOR shall notify the CDCR of any Offender diagnosed with HIV
or AIDS within three (3) working days.

d)

Any costs associated with DNA testing of Offenders. Incidental costs associated
with routine blood testing done as part of the disciplinary process or periodic
testing required by the CONTRACTOR, or state where the Facility is located, are
included as part of the per diem rate.

4.05.2 A co-pay in the amount of $5.00 may be charged to CDCR Offenders for certain
medical, dental, and/or vision services requested/initiated by the Offender in accordance
with CCR Title 15, Section 3354.2. The co-pay fee will be retained by the
CONTRACTOR.
4.05.3 The CDCR shall not be responsible for the payment of elective or experimental medical
procedures or for medical care required as a result of negligence or intentional
misconduct on the part of the CONTRACTOR, its employees, or subcontractors, or for
care which could have been prevented.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

4.05.4 Third Party Medical Billing – The CONTRACTOR will work with the CDCR and CCHCS
to establish an electronic processing system for all outside medical claims. This process
will create a direct connection between the medical provider and CCHCS (i.e.: a Third
Party Administrator). The electronic processing system must meet or exceed the
industry standard.
4.05.5 Upon return of a CDCR Offender to the CDCR, the CONTRACTOR shall provide the
copy of the health records of all health care delivered while under CONTRACTOR’s
jurisdiction, including, but not limited to, all Facility health records, dental records,
community hospital records, radiology reports and films, consultant reports, and
laboratory results. In addition, the CONTRACTOR will provide a health summary
prepared by one (1) or more practitioners, appropriate to the complexity of the case.
4.05.6 The parties hereto expressly acknowledge and agree that:
a)

The Offenders to be transferred pursuant to this Agreement to the Facilities
owned and/or operated by CONTRACTOR are members of a class of plaintiffs in
an action pending in the United States District Court for the Northern District of
California Entitled, Marciano Plata et al. v. Brown et al. No.C01-1351 TEH(the
Plata Action);

b)

The CDCR is a named defendant in the Plata Action;

c)

The plaintiffs in the Plata Action have alleged that the health care delivered to
Offenders in the California prison system is constitutionally inadequate and
violates their rights guaranteed by the Eighth and Fourteenth Amendments to the
U.S. Constitution;

d)

By order, dated February 14, 2006 (the “February 14 Order”), the Court in the
Plata Action (the “Plata Court”) appointed the Receiver (“Receiver”) for the
California prison health care system and set forth in detail the duties and
responsibilities of the Receiver;

e)

Pursuant to the February 14 Order, the CDCR and “all persons in concert of
participation” with the CDCR are required to cooperate fully with the Receiver in
the discharge of his duties;

f)

The Offender-class members transferred pursuant to this Agreement are entitled
to receive constitutionally adequate health care while housed in the Facilities and
shall not, by reason of the transfers, lose their status as members of the plaintiff
class in the Plata Action; and,

g)

The transfers of Offenders contemplated by this Agreement are not designed or
intended to thwart, delay, or interfere with the Plata Court’s orders or with the
Receiver’s exercise of his duties pursuant to the February 14 Order.

CONTRACTOR expressly acknowledges and agrees that it:
a)

Intends to and will provide constitutionally adequate health care to the Offenderclass members while they are housed in the Facilities;

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

b)

Is a “person in concert and participation with” the CDCR within the meaning of,
and subject to, paragraph VI.A. of the February 14 Order, and has been provided
with a copy of the February 14 Order; and

c)

Will cooperate fully with the Receiver and will provide the Receiver access to the
Facilities and to documents, personnel, and Offender-class members in the
Facilities to the same extent as the Receiver is provided access to CDCR
facilities, personnel, and prisoners pursuant to paragraph II.E. of the February 14
Order provided, however, the Receiver’s access to documents and personnel
pursuant to this Section shall relate only to such documents and personnel as
are directly related to the delivery of medical care to California Offenders in the
Facilities and shall not include information related to other jurisdiction’s Offenders
or facility information unrelated to the provision of medical care to California
Offenders.
The parties hereto acknowledge and expressly agree that with respect to the
provisions of Exhibit A, Section 4.05, Medical/Mental Health/Dental, and all
subsections of said section, the Receiver is a third party beneficiary of this
Agreement and hereby consent to the jurisdiction of the United States District
Court for the Northern District of California with respect to any action or
proceeding brought by the Receiver to enforce the provisions of such sections.

4.05.7 The parties agree that in the event a court appearance is required before the Honorable
Thelton Henderson in San Francisco, California by employees of CONTRACTOR that
the expenses incurred by CONTRACTOR in making the employees available for said
hearing shall be reimbursed to CONTRACTOR by CDCR. Reimbursement shall include
costs of transportation as well as salary costs, increased by 26% to cover fringe benefit.
Should the court impose monetary sanctions against CONTRACTOR, CDCR and
CONTRACTOR agree to evaluate the circumstances leading to the imposition of said
sanctions and in the event it is determined that CONTRACTOR had performed within the
scope and requirements of this Agreement and that sanctions were issued in spite
thereof, CDCR shall agree to reimburse CONTRACTOR for any sanctions imposed.
Should CDCR not agree that CONTRACTOR’s performance, which resulted in
sanctions, was consistent with the obligations imposed under this contract, CDCR may
refuse to reimburse CONTRACTOR for the sanctions imposed. In such event
CONTRACTOR may seek a judicial determination of the obligation for the payment of
sanctions pursuant to the provisions set forth in this paragraph.
4.05.8 In the event that CDCR transfers Correctional Clinical Case Management System
(CCCMS) Offenders to the CONTRACTOR's Facilities, the following shall apply:
a)

Unless mutually agreed otherwise between CONTRACTOR and CDCR, the total
number of CCCMS Offenders shall not exceed 1,000 Offenders across the
CONTRACTOR Facilities.

b)

The allocation of the CCCMS Offenders between the CONTRACTOR Facilities
shall be decided in mutual agreement between the CONTRACTOR and CDCR to
allow optimization of CONTRACTOR resources, including staffing.

c)

CONTRACTOR’s agreement to house CCCMS Offenders is based upon the
staffing requirements of the Mental Health Service Delivery System Program
Guide as amended and supplemented, and as interpreted by the CDCR Director

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

of Mental Health. In the event that such guidelines are modified, amended, or
replaced in such a way as to modify or increase the services, including staffing,
required from the CONTRACTOR, the CONTRACTOR shall not be required to
make such modifications unless the CONTRACTOR agrees that such
modifications are operationally feasible and CDCR agrees to pay for any
increased costs, including any and all staffing related costs. In the event
CONTRACTOR finds modifications operationally infeasible, CONTRACTOR and
CDCR shall come to a mutual agreement in regards to costs associated with the
transfer of Offenders back to California or to another mutually agreed upon site.
d)

CONTRACTOR agrees to provide monitoring data and reports as required by
CDCR.

Section 4.06 Death of an Offender.
4.06.1 In the event of the death of a CDCR Offender, the CONTRACTOR will immediately
notify the CDCR Contract Monitor or designee, local coroner, and local law enforcement
via telephone and shall have the cause and circumstances of the death reviewed by the
coroner of the local jurisdiction. If requested by CDCR, the CONTRACTOR shall obtain
an independent autopsy. This autopsy shall be paid for by the CDCR. A certified copy of
the death certificate and the Offender’s file and medical records will be forwarded to the
CDCR.
4.06.2 The CONTRACTOR shall furnish all information requested by the CDCR, and follow the
instructions of the CDCR with regard to disposition of the body. The CDCR will notify the
designated next of kin of the deceased Offender, if any, as soon as practicable after
death.
4.06.3 All expenses relative to any necessary preparation and shipment of the body shall be the
responsibility of the CDCR.
4.06.4 The CONTRACTOR’s Chief Medical Officer will communicate on a regular basis with the
Office of the Receiver and actively participate in Mortality and Morbidity clinical reviews
in the Death Review Committee and other Quality Improvement activities. At all times
documentation will be protected by the Medical Peer Review process. The
CONTRACTOR will assist COCF in the collection of documents required to be submitted
to the Death Review Committee as delineated in the CCHCS September 5, 2008,
Memorandum titled "Distribution of Inmate Death Reporting and Review Policy, Effective
September 5, 2008," (Attachment 7) and any subsequent death review documentation
requirements imposed by the Plata Court.
Section 4.07 Offender Work and Programs.
4.07.1 All eligible Offenders shall be afforded the opportunity to participate in programs,
occupational training, and work at the Facilities, unless otherwise medically or
administratively precluded. No CDCR Offender shall participate in any program, training,
or work outside the fenced Facilities unless approved in writing by the CDCR Contract
Monitor or designee.
4.07.2 Eligible Offenders will be productively occupied in work, education, vocational, and/or
major habilitation programs, consistent with CCR Title 15, and in accordance with the
Offender Program Participation Table (Attachment 8).

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

4.07.3 Programs shall include: Educational programs (basic literacy, adult basic education,
General educational development, ESL (English as a Second Language); recreational
programs; cognitive behavioral programs; self-help programs (Alcoholics Anonymous/
Narcotics Anonymous (AA/NA)); and vocational/technical programs, as available.
4.07.4 Offenders shall be required to work or participate in educational or vocational programs,
consistent with CCR Title 15. However, Offenders shall not be allowed or required to
participate in any training or work contrary to the laws of California.
4.07.5 The CONTRACTOR may dispose of, or consume, all products produced by any
Offender participating in work or vocational programs. The CONTRACTOR will bear all
costs and retain all proceeds there from.
4.07.6 The CONTRACTOR shall daily record the actual hours worked/participated for each
Offender (those in work/programs/education/training) on the Work Supervisor’s Time
Log (CDC Form 1697) in order that work credit can be calculated by CDCR in
accordance with CCR Title 15 (§3045). The forms shall be provided at CDCR expense.
The completed forms (white copy) shall be collected and mailed to the Contract Monitor
by the 15th of the following month, or CONTRACTOR shall collect and forward other
documentation as deemed appropriate by CDCR.
4.07.7 In case of hobby craft programs, the crafts may be sold and proceeds of any sale
retained by the Offender.
4.07.8 In accordance with the expectations of CDCR, CONTRACTOR shall provide the below
detailed annual goals for Offender programs. The CONTRACTOR shall provide reports
to CDCR with respect to these goals as detailed below. In the event that, after reviewing
these reports and discussing any concerns with the appropriate CONTRACTOR staff,
CDCR determines that deficiencies exist in meeting the goals stated herein, CDCR may
request that CONTRACTOR provide a Corrective Plan of Action for resolving these
deficiencies and updates of these Plans of Action shall be provided to the CDCR
Contract Monitor on a monthly basis until such deficiencies are resolved. The annual
goals and associated reports shall be as follows:
4.07.8.01 Provide Chaplain and Religious Services for the CDCR population in order to
fulfill the Facility’s responsibility of ensuring that all Offenders can voluntarily
exercise their constitutional rights to religious freedom. Each Facility chaplain
will submit a monthly report detailing religious services provided, Offender
attendance, and volunteers utilized to provide religious services.
4.07.8.02 Provide a mechanism for assessment and admission into appropriate
modality of treatment for therapeutic substance abuse. Each Facility will
submit a quarterly report of assessments, intakes, discharges, and
completers in addictions treatment programs, or CONTRACTOR shall collect
and forward other documentation as deemed appropriate by CDCR.
4.07.8.03 Demonstrate Offender progress by tracking “phase-ups” in addiction
treatment programs. Each Facility will submit a quarterly report of “phaseups” or CONTRACTOR shall collect and forward other documentation as
deemed appropriate by CDCR.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

4.07.8.04 Assess CDCR Offenders interested in educational programming to determine
appropriate placement. Each Facility will submit a quarterly report of
assessment results for education programs, or CONTRACTOR shall collect
and forward other documentation as deemed appropriate by CDCR.
4.07.8.05 CDCR Offenders enrolled in academic education programs shall be
reassessed using an appropriate instrument every 120 days. Each Facility
will submit a quarterly report detailing reassessment results, or
CONTRACTOR shall collect and forward other documentation as deemed
appropriate by CDCR.
4.07.8.06 Each Facility will maintain a vocational advisory committee. Each Facility will
submit a quarterly report summarizing the activity of the vocational advisory
committee.
4.07.9

Offenders are eligible for workers’ compensation benefits consistent with
CCR Title 15, Section 3046 for injuries sustained while performing assigned
work while imprisoned. The CONTRACTOR shall provide Offenders with
access and copies (upon request) of the CDCR’s guidelines covering
workers’ compensation. At a minimum, the CDCR’s guidelines shall be
available at the Offender assignment office (or office of person responsible
for Offender assignments) and at, or near, the work location (via the work
supervisor). CDCR shall be responsible for payment of any benefits for
CDCR Offender workers compensation claims as required by California law,
including, but not limited to, California Labor Code section 3370(a).
CONTRACTOR shall not be responsible for the payment of any workers
compensation benefits to CDCR Offenders.

Section 4.08 Religious Opportunity.
The CONTRACTOR will provide reasonable time, accommodations, and space for religious
services in keeping with facility security and other necessary institutional operations and
activities. Religious services should be provided in accordance with CCR Title 15.
Section 4.09 Recreation/Library/Quarterly Packages and Canteen - Barber.
Offenders shall be provided indoor and outdoor recreational opportunities on a daily basis
except for Offenders in lockdown/modified program/Administrative Segregation status. The
CONTRACTOR shall provide recreation for Offenders in Administrative Segregation in
accordance with CCR Title 15. Offenders will be personally observed by staff during these
recreational opportunities. Offenders will be provided with commissary service in accordance
with established CDCR policies. CDCR shall reserve the right to disapprove any canteen items
for CDCR Offenders. CONTRACTOR shall endeavor to supply canteen items similar in price
and nature to those provided to California Offenders by CDCR. CONTRACTOR reserves the
right to exclude any canteen item it deems to be a security risk. Revenues may be used to pay
all operating expenses of the canteen including, but not limited to, commissary worker salaries
and benefits on a pro rata basis, based on the ratio of the total sales to CDCR Offenders to the
total canteen sales to all Offenders. Any profits from the commissary sales to CDCR Offenders
operation shall be deposited in the Offender Welfare Fund, to be administered in accordance,
and in a manner consistent with established CDCR policies. CONTRACTOR will implement a
quarterly package program in accordance to CCR Title 15. CONTRACTOR shall supply
quarterly package items similar in price and nature to those provided to California Offenders by

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

CDCR. CONTRACTOR and CDCR reserve the right to exclude any quarterly package item
deemed to be a security risk.
4.09.1 The CONTRACTOR shall establish and maintain a plan of operation for on-site Offender
barber services. Barber service procedures must provide for the safety, security, and
maintenance of the designated area, tools, solutions, equipment, and comply with all
applicable health and sanitation codes. The number of Offender barber assignments
shall be consistent with the need to readily service the Offender population. The
CONTRACTOR should strive to maintain an ethnically diverse barber’s service in both
Offenders assigned and services provided. The CONTRACTOR shall ensure that barber
services are directly available and accessible to the Offender population. Hours of
operation must therefore be scheduled in correlation to other facility programs, activities,
and Offender assignments. The barber service shall comply with acceptable and
applicable codes, practices, standards, and requirements established by the appropriate
state regulatory agency in the state where the Facility is located and ACA standards.
The CONTRACTOR shall be responsible for developing a plan of operation for Offender
barber services that, at a minimum, must: (a) ensure that tools are properly inventoried,
maintained and accounted for at all times; (b) provide for trained Offender barbers that
are hired consistent with Facility policy and ACA standards; and (c) ensure that Offender
barbers and services are provided to serve an ethnically diverse Offender population.
The CONTRACTOR shall provide a designated barber area, centrally located within the
Facility and adjacent to the Offender population, which is readily accessible to all
Offenders for the personal maintenance of hair grooming standards in accordance with
CDCR requirements. The CONTRACTOR may also provide multiple designated
Offender barber areas equitably located within various areas of the Facility to achieve
the same purpose within the framework of safety and security. In either case, the barber
area(s) shall be centrally located and of sufficient size and dimensions to adequately
service the entire Offender population. Clear lines of sight shall be provided from
designated staff/posts. The CONTRACTOR shall ensure that CDCR principles of proper
tool control is incorporated and adhered to by Offenders and staff alike. At a minimum,
the barber area shall be equipped with a sink, power outlets, and a chair.
4.09.2 The CONTRACTOR shall maintain an Offender library in the Facilities consistent with
DOM Section 101120.1. The library shall include a logical organization of materials to
satisfy the needs of the user; information services to locate facts as needed; a reader’s
advisory service that provides users with suitable materials; promotions of the library
materials through publicity, a list of books, special programs and other appropriate items;
and a congenial library atmosphere.
The library stock formula shall comply with established departmental requirements (i.e.:
Fiction: .55 x population x seven (7) books; Non-Fiction: .55 x population x five (5)
books). Additionally, the library must have the following material available to general
population Offenders: California Penal Codes; California State Prisoner’s Handbook
(published by the Prison Law Office); CCR Title 15, Division 3, Chapter 1 “Rules and
Regulations of the Director of Corrections” (English and Spanish versions); and the
CDCR DOM.
At a minimum, the library services shall be coordinated by a person (CONTRACTOR’s
staff) who must ensure that the library is operating in accordance with the CDCR
requirements. This person shall possess, at a minimum, the ability and knowledge of
how to organize and run a small library, using the standard classification scheme (i.e.:
Dewey Decimal System for nonfiction), and an effective circulation (book tracking)

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

method. Library materials must comply with DOM and should be augmented by
reference materials necessary to meet the needs of the facility education programs,
consistent with the accepted library practices contained in CCR Title 15. The term
“Facility librarian” refers to a person (CONTRACTOR’s staff) meeting the requirements
in this Agreement. CONTRACTOR shall provide some reference material and books in
Spanish.
Additional guidelines are as follows:
1) A library shall be provided at the Facility at the CONTRACTOR’s expense and in
accordance with DOM and the Agreement. The CONTRACTOR shall replace library
stock consistent with this section.
2) The CONTRACTOR should provide, at a minimum, one (1) Offender work
assignment position with duties to include checking out and obtaining return of library
books and materials. One (1) typewriter, manual or electric, should be provided for
this work position.
3) Library volumes should be made available on shelving sufficient to display all titles.
4) Library hours are to be scheduled to maximize accessibility to the Offenders for a
minimum of 30 hours a week.
5) The CONTRACTOR shall provide a legal law library at the Facility consistent with
DOM Section 101120.9 et al and CCR Title 15 Chapter 3124.
6) The CONTRACTOR shall provide security coverage consistent with minimum
custody requirements and supervision of Offenders during library hours.
Section 4.10 Inmate Advisory Committee.
The CONTRACTOR agrees that the Facility Wardens will establish an Inmate Advisory
Committee at each Facility housing CDCR Offenders consistent with CDCR regulations. Copies
of the meeting minutes will be provided to the Contract Monitor or designee on a monthly basis.
Section 4.11 Telephone.
Access to telephone service shall be provided to CDCR Offenders in accordance with CCR Title
15 (§ 3018, 3044, 3045). CONTRACTOR, nor any third party, shall profit from Offender
telephone service systems; however, should CDCR require CONTRACTOR to provide video
visiting, CONTRACTOR and CDCR shall come to a mutual agreement regarding an increase in
charges for the Offender telephone system to offset the cost of providing video visiting. All
telephone commissions, revenue, etc. shall be forwarded directly to CDCR for processing
pursuant to DOM.
Section 4.12 Clothing.
The CONTRACTOR will be responsible for laundry, repair, and replacement of Offender
clothing during the CDCR Offender’s incarceration at the Facility to ensure clean clothes and
bedding on a weekly basis.
Upon admission, each Offender shall be issued the following:
 Work shoes, one (1) pair.
 Sheets, two (2).
 Pillow case, one (1).
 Towels, two (2).
 Blankets, two (2).
 Pants (uniform or jeans), three (3).

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

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




Agreement Number 5600000770
Exhibit A
Amendment 7

Shirts (uniforms or chambray), three (3).
Undershirts, four (4).
Socks, six (6) pair.
Undershorts, four (4) pair.
Jacket, one (1).
Belt, one (1) (if jeans are issued).
The distinctive, protective and/or extra clothing required by the climate and/or the
Offender’s job assignment.

Other clothing and linen items shall also be issued to the Offender as detailed within CCR Title
15. CONTRACTOR shall provide laundry services to the Offender at no charge to the Offender
in accordance with established CDCR policies and CCR Title 15.
Section 4.13 Meals.
The CONTRACTOR will provide all CDCR Offenders with nutritional meals consistent with
established CDCR policies. Food service will meet established governmental and safety codes,
while adhering to American Dietetic Association, National Academy of Sciences, ACA
standards, and local, state, and federal requirements. The CONTRACTOR’s Facility will have a
four (4) week, five (5) week, or six (6) week cycle menu. Therapeutic/special diets shall be
provided as prescribed by appropriate clinicians. Religious diets will be provided for Offenders
whose religious beliefs requires adherence to religious dietary law. Religious diets shall be
approved by the recognized Facility religious authority. CONTRACTOR shall provide meat that
has been certified as Halal as a religious meat alternative (RMA) at the dinner meal.
CONTRACTOR shall procure RMA meat from a vendor(s) capable of providing meat that has
been certified as Halal. A Registered Dietician or Nutritionist shall approve all menus, and meals
shall be prepared in compliance with the approved menus. Menus shall be submitted to the
Contract Monitor for review on a monthly basis.
Section 4.14 Mail.
Offenders will be provided with mail service. Indigent Offenders shall be provided with supplies
for correspondence for up to the price of twenty, one (1) ounce first class letters per month.
However, no request for mailing of verified legal pleading will be denied under this provision
regardless of postage limit or financial status of the Offender. The CONTRACTOR is entitled to
recoup postage fees when the Offender has sufficient funds in his account. Pursuant to the
DOM, all non-confidential Offender mail, incoming or outgoing, is subject to being read by
designated staff. This reading of mail shall be for cause only. All incoming and outgoing mail
and packages shall be searched for contraband.
Section 4.15 Visitation.
The CONTRACTOR shall provide space, opportunity, furniture, and equipment for visitation.
Contact visitation shall be provided unless individual security concerns dictate otherwise. The
CONTRACTOR shall adopt flexible visiting policies for visitors traveling from out of state.
Visitors on CDCR’s approved visitors list shall be approved by the CONTRACTOR unless
security concerns indicate otherwise. Minimum hours of visitation shall be consistent with CDCR
regulations. If space is available at the Facility and at the request of CDCR, CONTRACTOR
shall provide space appropriate for conjugal visits. The provisioning of said space shall be the
expense and obligation of CONTRACTOR.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

Section 4.16 Offender Property.
CDCR Offenders shall be allowed to possess personal property as outlined in CCR Title 15.
Exclusions may be granted based on facility security requirements. CONTRACTOR shall
provide the CDCR allowable property lists prior to the implementation of this Agreement. With
the consent of CDCR, CONTRACTOR may permit items of property not allowable in California
facilities. It shall be the responsibility of CONTRACTOR to ensure that any such property is not
returned with the Offender to California. CONTRACTOR will follow CDCR regulations on
disposition of property. CONTRACTOR shall compensate Offenders for loss or damaged
property due to the negligence of the CONTRACTOR in accordance with applicable remedies in
CCR Title 15. CONTRACTOR shall not unduly delay resolution of property issues.
Section 4.17 Offender Appeals.
The CONTRACTOR will handle all CDCR Offender appeals/grievances related to CDCR
Offenders consistent with CDCR Policy. CDCR shall retain final authority on all issues of
appeal. The CONTRACTOR shall provide a monthly summary of appeals by volume and type to
the CDCR Contract Monitor.
Section 4.18 Access to Courts.
The CONTRACTOR will ensure all CDCR Offender court related access is in compliance and
consistent with the provisions of DOM and CCR Title 15. Regardless of housing, the
CONTRACTOR will provide opportunity for meaningful access to federal and California State
legal materials at the Facility in accordance with CCR Title 15. On rare occasions, when direct
access cannot be provided, the CONTRACTOR shall provide access consistent with DOM and
CCR Title 15. The CONTRACTOR shall provide CDCR Offenders legal materials required to
meet constitutional standards via computer and appropriate software including California
specific material. The CONTRACTOR shall provide a secure and monitored location to house
said computer and associated peripherals. The CONTRACTOR shall provide federal law
material sufficient to meet constitutional standards, such as: typewriters, including ribbons and
typing paper; notary services (fees apply as per CCR Title 15); copying services, including
copier paper; and legal size envelopes. Items such as paper and typewriters shall be provided
and shall be available free of charge to indigent CDCR Offenders. CDCR Offenders need not be
afforded access to copiers; however, the CONTRACTOR shall provide a copy of specific
information, such as a page from a law book, upon request by a CDCR Offender. A reasonable
and consistent copy fee shall be set by the CONTRACTOR. The CONTRACTOR shall provide
access to law material when staff has scheduled absences due to vacations, extended leave, or
training.
Section 4.19 Offender Records and Progress Reports.
4.19.1 The CONTRACTOR will handle all CDCR Offender Records and ensure compliance
consistent with the provisions of DOM and CCR Title 15. Offender institutional records
regarding CDCR Offenders while at the Facility shall be collected and maintained on-site
by the CONTRACTOR in accordance with CDCR record keeping practices and
operating requirements governing confidentiality. The Offender files will not be
maintained inside housing units or be easily accessible to the Offender population. Upon
request, all records, reports, and documents related to CDCR Offenders, including
Offender work/education vocation records, shall be made available immediately to the
CDCR Contract Monitor for review. When an Offender is transferred from the Facility,
the record provided by the CDCR and additional information compiled while the CDCR

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

Offender was at the Facility will be updated and transported with the CDCR Offender to
his new location. The record consists of reports, timesheets, staff memos,
correspondence, and other documentation relating to behavior of the CDCR Offender.
4.19.2 All warrants/holds/detainers received by the CONTRACTOR for a CDCR Offender shall
be forwarded to the CDCR Contract Monitor within 24 hours.
4.19.3 CONTRACTOR will provide approved, selected CDCR medical personnel electronic
access to the CONTRACTOR’s Electronic Medical Record (IMS 2). All access will
comply with HIPAA.
Section 4.20 Transportation & Security.
The CONTRACTOR will provide security for Offenders assigned to the Facility whether in the
Facility or elsewhere. The CONTRACTOR will provide transportation and transportation staffing
consistent with CCR Title 15 and DOM to and from medical appointments, urgent and emergent
medical care, and local, state, and federal court appearances within a 150 mile radius of the
Facility at CONTRACTOR’s expense.
Section 4.21 Removal of Offenders from the Facility.
Except for emergency health care needs, CDCR Offenders shall not be assigned away from the
Facility for work, programing, etc. without prior written authorization from the CDCR Contract
Monitor.
Section 4.22 Use of Force.
The CONTRACTOR’s use of force policy and training program for CONTRACTOR staff shall be
approved by the CDCR prior to Offenders being transferred to the Facility and consistent with
the CDCR Use of Force Policy as well as any other applicable use of force law applicable to the
Facility or its operations. Following any use of force, an incident report shall be prepared and
the CDCR staff shall be notified pursuant to Exhibit A, Scope of Work, Section 4.24, Notification
of Incidents, Emergencies, Escapes, and Discipline. Video copies of Use of Force incidents and
all applicable reports will be provided to CDCR within timeframes set forth in CDCR policy or as
mutually agreed upon. Any incidents of inappropriate or excessive force will be immediately
reported to CDCR and local law enforcement.
4.22.1 CONTRACTOR shall utilize only those weapons, munitions, and equipment authorized
by CDCR
Section 4.23 Escapes.
In the event of an escape by a CDCR Offender(s) from the Facility’s physical custody, the
CONTRACTOR shall, in addition to efforts to apprehend such CDCR Offender(s), immediately
notify the CDCR Administrative Officer of the Day (AOD), CDCR I.D./Warrants Unit, and the
local law enforcement agencies as required by state statute in the same manner it uses for any
other Facility escapees. CONTRACTOR is responsible for reasonable costs associated with an
escape, including the cost to dispatch CDCR personnel to assist in the apprehension, or
conduct an after action review, and including all costs associated with any such escape which
are assessed against CDCR by third parties. Annually, or upon revision, the CONTRACTOR
shall provide CDCR Contract Monitor or designee with a listing of emergency contacts;
including, but not limited to, AOD contact information.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

Section 4.24 Notification of Offender Incidents, Emergencies, Escapes, and Discipline.
4.24.1 The CONTRACTOR will handle all CDCR Offender related incidents, emergencies, and
escapes in compliance with the provisions of DOM and CCR Title 15 unless it conflicts
with state laws, in which case state laws control. Incidents involving/impacting CDCR
Offenders are to be reported using the established CDCR-approved reporting format.
Such incidents are to be reported to the CDCR Contract Monitor as soon as reasonably
practical after the incident occurrence. The CONTRACTOR and CDCR will provide each
other with a list of names, phone numbers, e-mail addresses, and fax numbers for
personnel to whom inquiries regarding fiscal, medical, and operational matters should be
directed. For incidents involving any Offender, the CONTRACTOR will send to the
CDCR Contract Monitor reports on the incident on a timely basis, consistent with CDCR
policy.
4.24.2 The CONTRACTOR will handle all CDCR Offender disciplinary related matters
according to the applicable provisions of DOM and CCR Title 15. Upon the CDCR
Contract Monitor’s request, within 14 calendar days following any incident, a critical
incident review will be conducted to evaluate any deficiencies or training needs, and a
plan of action will be completed on any items requiring corrective action.
4.24.3 The CONTRACTOR will notify the CDCR Contract Monitor or COCF AOD immediately
(24 hours a day) by telephone for any:
a) Offender escape;
b) Any use of force (including use of deadly force);
c) Assault, including sexual assault, by an employee, Offender, or civilian;
d) Disturbance involving three (3) or more Offenders;
e) Death of an Offender;
f) Rape of an Offender;
g) Property destruction rendering a living unit or support service area unusable;
h) Hostage situation;
i) Any serious interruptions to institutional services;
j) Felony behavior by staff or Offenders involving CDCR.
All other incident reports, medical pre-authorizations, notices of emergency, medical
treatments, and removal of Offenders from the Facility shall be provided to the CDCR
Contract Monitor within 24 hours of the incident. In addition to those incidents listed
above, all non-routine Offender movement from the Facility, including emergency
medical moves and removals from population to a Facility deemed appropriate and
operated by the CONTRACTOR, and other such moves shall also be reported as soon
as possible, but not longer than 24 hours of the incident.
4.24.4 Disciplinary reports, reclassification requests, or diagnoses that an Offender has a
serious medical condition shall be provided to the CDCR Contract Monitor and
Receiver’s Healthcare Monitor, if designated, weekly. Additionally, the CONTRACTOR
shall forward to the CDCR Contract Monitor a monthly report detailing the disciplinary
actions taken on CDCR Offenders. The content and form of the report will be mutually
agreed upon by both parties to this Agreement. Daily Offender movement sheets and
daily activity reports shall be provided to the Contract Monitor as well.
4.24.5 The CONTRACTOR will provide a monthly FDCR report to the CDCR Contract Monitor
that chronicles/summarizes significant activities occurring during the preceding month.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

4.24.6 The CONTRACTOR shall furnish copies of any regularly generated reports that are
requested by the CDCR except for those reports which contain confidential financial or
company proprietary information unrelated to CDCR Offender case, custody, or housing.
Section 4.25 Earned Time/Good Time.
The CONTRACTOR shall furnish specific information consistent with CCR Title 15 to the CDCR
for purposes of award or forfeiture of earned/good time for eligible Offenders. The final decision
on awarding or forfeiture of earned/good time rests with the CDCR.
Section 4.26 Sentence Computation.
The CONTRACTOR will furnish the CDCR with the following information for sentence
computation purposes: infractions, work assignments, program assignments, and performance.
The CONTRACTOR will assist in providing documents as necessary to ensure compliance with
CCR Title 15. The final decision with respect to sentence computation rests with CDCR.
Sentence computation will be done by the CDCR. The CDCR will furnish adjusted release dates
to the CONTRACTOR as necessary.
Section 4.27 Classification.
The CONTRACTOR will participate, as required, in all CDCR Offender classification matters
and ensure compliance consistent with the applicable provisions of DOM and CCR Title 15.
CONTRACTOR must adhere to all ACA, NCCHC, Court mandates, and CDCR regulations
concerning CDCR Offender placement into administrative segregation including, but not limited
to, those specific guidelines applicable in the Coleman class action as applied to Coleman class
members placed in administrative segregation. In the event of a conflict in application of the
above, the CDCR Contract Monitor shall be consulted for appropriate action. Should CDCR find
that it is in the best interest of CDCR and CDCR determines that CONTRACTOR’s staff is
sufficiently trained, CDCR reserves the right to delegate some or all classification matters to
CONTRACTOR.
Section 4.28 Facility Space for Hearings, Inspections, Audits, and Contract/Healthcare
Monitors.
4.28.1 Adequate facilities for any hearings, inspections, audits, and related CDCR case
management activities including: furniture, equipment, on-site clerical support, and
security staff, shall be made available to CDCR employees or designated
representatives.
4.28.2 Unless required more frequently by law, standard and/or corporate/local policy, the
CONTRACTOR will complete documented formal inspections of the following areas,
according to stipulated schedule: Security per shift, Sanitation monthly, Fire/Safety
quarterly, and Environmental Health annually.
Copies of the inspection reports, including Quality Assurance (QA) reports and plans of
correction, including action taken to correct noted deficiencies to date, will be submitted
to the CDCR Contract Monitor,. Plans of Correction will be updated monthly until action
item(s) are resolved. Proof of practice may be requested by CDCR.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

4.28.3 The Facility will complete audits in accordance with CCA policy and ACA standards.
CDCR may also conduct audits, and a copy of any such audits shall be provided to
CONTRACTOR. CDCR may make a request for a Plan of Correction from
CONTRACTOR to be provided within 30 days.
4.28.4 Financial Audit - The CDCR and/or its designee may conduct audits or reviews of the
CONTRACTOR’s financial records as they relate to the contract whenever deemed
necessary or appropriate by the CDCR. The CONTRACTOR shall be responsible for
ensuring auditors have access to the Facility (including areas where records are kept),
providing an appropriate work area, providing necessary staff escorts, and facilitating
availability of CONTRACTOR staff for purposes of discussions related to the purpose of
the audit.
Section 4.29 Public Information.
The CONTRACTOR will process all CDCR Offender publicity issues or requests for information
consistent with the applicable provisions of DOM and CCR Title 15. CONTRACTOR shall not be
authorized to release publicity concerning CDCR Offenders. They shall not release personal
histories or photographs of CDCR Offenders or information concerning their arrivals or
departures, except as provided herein. All requests shall be forwarded to the CDCR Office of
Communications. CONTRACTOR shall notify COCF of any known or anticipated significant
media issues involving any Offenders housed in CONTRACTOR’s Facilities.
Section 4.30 Inspections.
The CDCR and/or the Receiver shall have the right to inspect and/or audit the Facility at its
discretion with or without advance notice. CONTRACTOR reserves the right to deny access
during off hours (defined as the period between 8PM and 8AM) to individuals not identified
previously to them either in this contract or otherwise in writing. In such event, prior to denying
authorization, CONTRACTOR shall first contact the CDCR Contract Monitor for direction and/or
approval authority. CONTRACTOR reserves the right to request proper identification prior to
admission in all cases.
Section 4.31 Offender Account Deductions (Restitution) Collection and Accounting.
CONTRACTOR shall be responsible for collecting restitution from the wages and account
deposits of Offenders who owe restitution, pursuant to Penal Code § 2085.5, as further detailed
in CCR Title 15, Section 3097. As of the date of this contract, that amount is 50% or the balance
owing, whichever is less. In addition, an administrative fee of 10% of the deduction shall be
deducted to reimburse administrative costs, for a maximum deduction of 55% of the Offender’s
wages and deposits. By entering into this Agreement, CONTRACTOR acknowledges that
CONTRACTOR is responsible for satisfying CDCR’s restitution obligations under such
regulations as they currently exist and as they may be amended in the future.
CONTRACTOR shall collect restitution fines beginning with the oldest first. CONTRACTOR
shall collect direct orders of restitution when notified by CDCR to activate the direct order, in
which case it shall be collected upon as first priority, above any restitution fines, as expressed in
penal code § 2085.5.
CONTRACTOR shall hold such funds in an interest-bearing account in trust for the State for the
purposes set forth in said statute and regulations, and shall not commingle such funds with
CONTRACTOR’s own funds or with any other funds.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

The CONTRACTOR shall also ensure that the restitution collections and administrative fees are
not commingled and are submitted to the Department separately (by separate checks).
Note – fines and direct orders may have the same case number but must be accounted for
separately.
CONTRACTOR shall at all times keep an accurate and up-to-date accounting of all such funds
and restitution information and shall remit the Offender fund collections and associated Offender
case information to CDCR as directed. By the 10th of each month following collections,
CONTRACTOR shall forward the amount of restitution and administrative fees to:
Inmate Accounting Branch,
P.O. Box 276088,
Sacramento, CA 95827
The remittance shall include an itemized statement which includes the CDCR number, Offender
name, case number, sentencing date, sentencing county, designation of fine or direct order,
original fine/order amount, amount of restitution collected, date(s) of deductions, amount of
administrative fees collected, and balance still owing. The remittance must be subtotaled by
restitution fines and direct order amounts. In addition, CONTRACTOR shall timely provide an
accounting of all such funds to CDCR at any time upon request. Any such restitution funds
remaining in CONTRACTOR’s possession at the end of the contract shall be remitted to the
State for proper disposition pursuant to said Statute and regulations. Upon mutual agreement or
as deemed necessary by CDCR for the efficient management of Offender restitution the
CONTRACTOR shall receive and transmit the restitution collection data though an electronic
interface with CDCR, Restitution, Accounting and Canteen System (RACS). The design, testing,
and documentation of the CONTRACTOR’s interface shall be subject to CDCR’s approval and
must be utilized and supported without additional cost to CDCR.
Section 4.32 Policy and/or Procedure Changes.
The CONTRACTOR will process all policy and procedural changes consistent with the
applicable provisions of DOM and CCR Title 15. The Warden or designee shall be responsible
for the posting and distribution, as necessary, of CDCR regulatory or court mandated notices to
Offenders and shall substantiate such postings/distributions on the applicable CDCR form.
Section 4.33 Quality Assurance and Initial Security Audit.
The CONTRACTOR shall perform customary and usual Quality Control Audits of the Facility as
well as associated Corrective Plans of Action and provide those to CDCR upon completion.
CONTRACTOR agrees to include in those audits, such items for review, in addition to those
reviewed in the previous audit, such items shall be provided by to CDCR upon completion.
CDCR shall be responsible for providing such reports and Corrective Plans of Action to the
Receiver and Special Masters upon request and shall advise CONTRACTOR when providing
such reports. CONTRACTOR shall have a routine physical plant maintenance schedule and
review of the compliance with scheduled maintenance shall be a part of the QA process. Any
significant issues will be reported to the Contract Monitor.
Section 4.34 Tobacco – Prohibitions.
No CDCR Offender will be allowed to use, possess, or purchase any tobacco products. Nor
shall they be subject to second hand smoke from staff or offenders from other jurisdictions who

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

may be housed in the Facility. However, consistent with CCR Title 15, the use of tobacco
products may be approved by CDCR for use in the CONTRACTOR’s Facilities for Offender
religious ceremonies.
Section 4.35 Lockdown/Modified Program.
CONTRACTOR must report any lockdowns or modifications of programs for the CDCR
Offender populations, including compilation of CDCR documentation in accordance with CCR
Title 15. CONTRACTOR must submit a written unlock plan utilizing approved forms for approval
by Contract Monitor prior to resuming the normal or modified program. CONTRACTOR shall not
unduly delay return to normal program for any population that is placed on lockdown or modified
program.
Section 4.36 Research.
No research on CDCR Offenders shall be conducted without prior written CDCR approval.
CONTRACTOR shall comply with CDCR research requests regarding CDCR Offenders to the
extent such requests do not result in increased costs to CONTRACTOR or cause staff to
deviate from primary duties.
Section 4.37 Inmate Welfare Fund
The CONTRACTOR shall establish an Inmate Welfare Fund (IWF) account system for the
benefit of the Offenders housed at the Facility in accordance with Penal Code Section 5006,
DOM Sections 23010 and 53110, and CCR Title 15, Subchapter 3, Article 4. The
CONTRACTOR shall deposit IWF funds into a separate, interest bearing account that is insured
by the Federal Deposit Insurance Corporation (FDIC). IWF balances exceeding $100,000.00
shall be placed into another additional FDIC insured account. The IWF funds shall only be used
for the benefit, education, and welfare of all Facility Offenders such as, but not limited to: (a)
establishment and operation of a canteen; (b) purchase of canteen products; and (c)
establishment and operation of a facility hobby shop program. All net proceeds from the
canteen, hobby shop, hair styling area, vending machines, or funds assigned by Offenders shall
be deposited in the IWF in accordance with DOM. Expenditure(s) from the IWF must be in
compliance with DOM. Each Facility shall budget IWF expenditures so that expenditures shall
not exceed budget allocations and revenues from IWF activities.
The IWF shall act as a trust account for the benefit and welfare of Offenders. The
CONTRACTOR may deduct 10% from Offender donations for deposit in the IWF to offset
transaction processing costs. Moneys collected from sales of products, commodities, or
services shall be subject to the deduction based on gross sales. No form of coercion shall be
used on any Offender to participate in a fund raising campaign or make a non-voluntary
donation.
Annual IWF Budget: The CONTRACTOR shall prepare and submit an annual IWF budget to
the CBU for review and approval by May 1st, beginning May 1, 2016, for the upcoming fiscal
year. In accordance with DOM Section 23010.8 the CONTRACTOR must prepare quarterly
IWF fund statements and submit to the CBU Chief. All entries to the IWF must be supported by
source documentation. All IWF expenditures must be in accordance with DOM.
Upon deletion of any CONTRACTOR Facility pursuant to this Agreement, or termination of this
Agreement, all IWF funds will be returned to CDCR for processing pursuant to DOM.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

Section 4.38 Inmate Trust Fund
The CONTRACTOR shall establish an Inmate Trust Fund (ITF) accounting system for recording
and maintaining all transactions affecting Offender trust accounts (in accordance with applicable
DOM Sections 51120.12, 51121.15, 53110.5.3, 54070.4 and 54070.5). All transactions and
reconciliations shall be supported by sufficient and relevant source documentation. The
accounting system shall maintain individual Offender accounts and moneys shall not be
commingled with any other funds. ITF shall be deposited into an interest bearing account
guaranteed by the FDIC. ITF balances exceeding $100,000.00 shall be placed into another
interest bearing FDIC insured account. The CONTRACTOR shall not utilize Offender trust
funds for Facility expenditures without the authorization of the Offender and/or the CBU Chief or
designee through the disciplinary process.
Additionally, the CONTRACTOR is responsible for the following Trust Fund transactions:
1) Upon an Offender’s transfer to another Facility or CDCR prison to forward the individual
Offender trust funds to the transfer location;
2) To handle unclaimed Offender trust fund balances in accordance with CCR Title 15.
3) Restitution shall be calculated, deducted, and processed according to Exhibit A, Scope
of Work, Section 4.31, Offender Account Deductions (Restitution) Collection and
Accounting.
Section 4.39 Written Mutual Aid Agreements
The CONTRACTOR must have CBU approved Written Mutual Aid Agreements with local and
State law enforcement (pursuant to CCR Title 15 and PC Sections 5004 and 5004.5) and
related criminal justice agencies for assistance in emergency situations at the Facility. These
agreements must, at a minimum, identify the procedures for initiating the agreements and the
cooperative emergency measures to be taken to prepare for, or respond to, emergency
situations. (Employee job action procedures must be identified as a separate plan.)
Development of these agreements shall be the responsibility of the CONTRACTOR. All written
mutual aid agreements shall be forwarded to the CBU Chief or designee for approval. Mutual
aid agreements must not jeopardize the Facility or violate minimum safety standards. All
agreements must, at a minimum, be approved by CBU (in concert with the CDCR’s Emergency
Operations Unit and Office of Business Services) prior to activation and revised/updated on an
annual basis thereafter. The CBU Chief or authorized designee shall be the designated CDCR
approval authority required for all mutual aid agreements. A copy of the current signed Mutual
Aid Agreements must be submitted to the CBU Chief.
The CDCR may seek reimbursement from the CONTRACTOR for actual costs of all or part of
any mutual aid services rendered as a result of CONTRACTOR negligence, error, or failure to
perform. Memorandum of Understanding(s) may be developed pending formal contract
agreement.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

Article V
FACILITY EMPLOYEES
Section 5.01 Independent Contractor.
The CONTRACTOR and its employees are associated with CDCR only for the purposes, and to
the extent, set forth in this Agreement. With respect to the performance of the services setout
herein, the CONTRACTOR is and shall be an independent CONTRACTOR and, subject to the
terms of this Agreement, shall have the sole right to manage the operations of the Facility. The
CONTRACTOR shall perform its duties hereunder as an independent CONTRACTOR and not
as an employee. Neither the Facility nor any agent or employee of the CONTRACTOR has the
authority, actual or implied, to bind, incur liability, or act on behalf of the CDCR or the State.
Neither the CONTRACTOR nor any agent or employee of the CONTRACTOR shall accrue
leave, retirement, insurance, bonding or any other benefit afforded to the employees of
California as a result of this Agreement.
Section 5.02 Personnel.
Personnel shall be retained to deliver 24 hour care and supervision to incarcerated individuals,
as well as administrative and support service personnel for the overall operation of the Facility,
in accordance with CONTRACTOR operating requirements. All personnel hired shall be subject
to background checks to include both federal and state criminal records checks and a federal
criminal search based on social security number and residence to include a records search
based on any discovered undisclosed addresses, as well as an assets control search. All
background checks shall be completed prior to CDCR Offender contact. Such policies and
procedures, including a position description that clearly states the experience and skill
requirements of the position, shall be provided for all Facility management positions. CDCR
shall be notified in the event of a vacancy in a management position affecting CDCR
populations. CONTRACTOR shall take under advisement legitimate CDCR requests that
specific staff, contractors, or volunteers not be allowed to work with, or in proximity of, CDCR
Offenders. CONTRACTOR shall make all efforts to reasonably comply with such requests.
CONTRACTOR shall require all employees and applicants to document current relationships
with CDCR Offenders and/or parolees. Additionally, it is required that CONTRACTOR requires
employees to report any newly developed relationships with CDCR Offenders and/or parolees
as the relationships arise. CONTRACTOR shall require all employees and applicants to report
any negative law enforcement contact. CONTRACTOR shall provide CDCR Contract Monitor all
such documents and reports.
Section 5.03 Training.
All personnel shall be trained in accordance with CONTRACTOR personnel policies and
procedures. CDCR will provide, at least annually, training regarding their policies and
procedures and Security Threat Groups to CONTRACTOR's personnel at a mutually agreed
upon site, as CDCR or CONTRACTOR may request.
CONTRACTOR shall be responsible for all expenses associated with the transporting of
CONTRACTOR's employees to that site for training and for CDCR staff as mutually agreed
upon.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

CONTRACTOR agrees to run simulated drills (i.e. alarm response drills, man-down drills,
Special Operations Response Team training, escape pursuit drills, and staff accountability drills)
as needed to ensure the safe operation of the Facilities.
CONTRACTOR will report to CDCR Contract Monitor or designee through mutually agreed
upon procedure to track these drills.
Section 5.04 Worker’s Compensation.
CONTRACTOR hereby represents and warrants that CONTRACTOR is currently and shall, for
the duration of this Agreement, carry workers’ compensation insurance, at CONTRACTOR’s
expense, or that it is self-insured through a policy acceptable to the CDCR, for all of its
employees who will be engaged in the performance of this Agreement. Such coverage will be a
condition of CDCR’s obligation to pay for services provided under this Agreement.
Prior to approval of this Agreement and before performing any work, CONTRACTOR shall
furnish to the State evidence of valid workers’ compensation coverage. CONTRACTOR agrees
that the workers’ compensation insurance shall be in effect at all times during the term of this
Agreement. In the event said insurance coverage expires or is canceled at any time during the
term of this Agreement.
CONTRACTOR agrees to give at least 30 days prior notice to CDCR before said expiration
date, or immediate notice of cancellation. Evidence of coverage shall not be for less than the
remainder of the term of the Agreement or for a period of not less than one (1) year. The State
reserves the right to verify the CONTRACTOR’s evidence of coverage. In the event the
CONTRACTOR fails to keep workers’ compensation insurance coverage in effect at all times,
the State reserves the right to terminate this Agreement and seek any other remedies afforded
by the laws of this State.
CONTRACTOR also agrees to indemnify, defend, and save harmless the State, its officers,
agents, and employees from any and all of CONTRACTOR’s workers’ compensation claims and
losses by CONTRACTOR’s officers, agents, and employees related to the performance of this
Agreement. CDCR Offenders are not the CONTRACTOR’s officers, agents, or employees.
Section 5.05 CDCR Non-Liability for Injuries Caused by Offenders.
Neither the State nor any State employee will be liable to the CONTRACTOR or its staff for
injuries inflicted by Offenders or parolees of the State. The State agrees to disclose to the
CONTRACTOR any statement(s), known to State staff, made by any Offender or parolee, which
indicate(s) violence that may result in any specific situation. The same responsibility will be
shared by the CONTRACTOR in disclosing such statement(s) to the State.
Article VI
COMPENSATION AND ADJUSTMENTS
Section 6.01 Compensable Offenders.
The terms of this Agreement apply only to CDCR Offenders. Nothing in this Agreement shall be
construed to impose upon the CDCR any financial or other obligations for any non-CDCR
Offender housed in the Facility. The CONTRACTOR’s costs of operations including start-up
expenses, legal services, and the risks of physical damage to the Facility incurred as a direct

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

result of the placement of a CDCR Offender in the Facility shall be considered usual costs
incidental to the operation of the Facility and part of the compensation set forth herein.
Section 6.02 Payment.
6.02.1 CDCR shall reimburse the CONTRACTOR a per Offender, per day (per diem) rate
pursuant to Exhibits B1, B-2, B-3, and B-4.
6.02.2 CDCR shall reimburse the CONTRACTOR as set forth in Sections 3.03, 3.04, and
4.05.1 of this Agreement or such other sections that may set forth a CDCR cost
reimbursement obligation.
6.02.3 Nothing herein shall prevent the CONTRACTOR from seeking a per diem increase
during any contract renewal year. Such per diem increase shall be subject to legislative
appropriation.
Section 6.03 Change in Governing Standards.
If, during the course of this Agreement, changes are made to any governing policies,
procedures, protocols, or other governing standards referenced herein and CDCR requests that
the CONTRACTOR make revisions to its operations to comply with said change,
CONTRACTOR shall be given the opportunity to review the impact of the requested change,
with respect to cost and operational practices, prior to implementing the change. Unless such
compliance is required by statute or court order, CONTRACTOR shall not be required to make
changes during the contract term that increase its costs or impact its operational practices
unless the parties negotiate in good faith a modification to this Agreement for CDCR to provide
adequate reimbursement or other compensation to the increased cost and/or to define the
agreed implementation plan with corresponding timeline for those changes impacting
operational practices. Provided further, the parties recognize that they have entered into this
Agreement based upon currently existing operating requirements. Should a change in any of
these requirements occur which necessitates a change in the scope of services and/or
necessitates additional services so as to increase or decrease the cost of operating or
performing other services as contemplated by this Agreement, either party may present
documentation to support an increase or decrease to the per diem rate. Thereafter, the parties
will use their best efforts to arrive at a mutually accepted increase or decrease in the per diem
rate. Specifically it is understood that CDCR may require additional medical and healthcare
staffing above that as shown in the staffing information provided by CONTRACTOR. In said
event CDCR agrees to bear the actual cost incurred by CONTRACTOR in providing those
additional medical and healthcare services.
Section 6.04 Billings.
CONTRACTOR will submit detailed invoices for payment of the compensation payable by
CDCR to CONTRACTOR pursuant to the terms of Exhibit A, Scope of Work, Section 6.02,
Payment, with supporting documentation to CDCR, in arrears on a monthly basis within five (5)
business days of month end, though the failure to do so shall not negate the obligation of CDCR
to pay such invoice. CDCR will make payment within 45 days of receipt of the invoice.
Section 6.05 Taxes/Utilities.
CONTRACTOR shall pay all local, state, federal taxes, and all utilities charged, incurred, or
imposed with respect to the Facility.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

Article VII
LEGAL PROCEEDINGS, INDEMNIFICATION & INSURANCE
Section 7.01 Indemnification.
The CONTRACTOR hereby assumes entire responsibility and liability for any and all damages
or injury of any kind or nature, including death resulting there from, to all persons, whether
employees of the CONTRACTOR or otherwise, and to all property caused by, resulting from,
arising out of, or occurring in connection with any action of the CONTRACTOR, including its
officers, directors, employees, subcontractors, or agents, in performance of the duties of this
Agreement. If any claims for such damage or injury, including death resulting there from, be
made or asserted, whether or not such claims are based upon the CONTRACTOR’s, including
its officers, directors, employees, subcontractors, or agents, active or passive negligence or
participation in the wrong or upon any alleged breach of any statutory duty or obligation on the
part of the above parties, the CONTRACTOR agrees to indemnify, defend, and hold harmless,
the State and CDCR, their officers, agents, servants, and employees, and the Receiver
appointed in the Federal Court case of Plata v. Brown, from and against any and all such
claims, and further from and against any and all loss, cost, expense, liability, damage, or injury,
including legal fees and disbursements, that the State and CDCR, their officers, agents,
servants, or employees may directly or indirectly sustain, suffer, or incur as a result, and the
CONTRACTOR agrees to and does hereby assume, on behalf of the State and CDCR, their
officers, agents, servants, and employees, the defense of any action at law or in equity which
may be brought against the State, CDCR, or their contractors (if any), their officers, agents,
servants, or employees, arising by reason of such claims and to pay on behalf of the State and
CDCR, their officers, agents, servants and employees, upon demand of either of them, the
amount of any judgment that may be entered against them, individually, jointly or severally, their
officers, agents, servants, or employees in any such action. Notwithstanding any provision
herein to the contrary, the CONTRACTOR’s responsibility and liability under this Section 7.01
does not include any responsibility or liability for CDCR Offender workers compensation claims.
As part of the CONTRACTOR’s assumption of all responsibility and liability for any and all
damage or injury as detailed above, the CONTRACTOR further agrees to hold harmless,
defend, and indemnify the State and CDCR for any loss, expense, recovery, or settlement,
including counsel fees and costs of defense, which arise from any demand, claim, whether
frivolous or not, or suit which may be asserted or brought against the State, CDCR, or the
CONTRACTOR as a result of any injury or damage to any person or persons, including death,
or property (i) allegedly caused by, resulting from, arising out of, or occurring in connection with
the furnishing of any goods, equipment, or services or the performance or preparation for
performance of any of the work or any duties of the CONTRACTOR hereunder, or incidental or
pertaining thereto, and (ii) whether or not such injury or damage is due to or chargeable to the
site owner or any CONTRACTOR or subcontractor under a contract for which the goods or
services herein ordered are required, including, but not limited to, any claim based on liability
without fault for injury caused by defective goods supplied by the CONTRACTOR.
The CONTRACTOR also agrees to assume responsibility for, hold harmless, defend, and
indemnify the State and CDCR for payment of any expenses, costs (including delay costs),
direct and consequential damages, penalties, taxes, or assessments (including punitive
damages), including counsel fees and costs of defense, which may be imposed or incurred (a)
under any federal, state, or local law, ordinance or regulation upon or with respect to any
compensation of any person employed by the CONTRACTOR, and (b) under any federal, state,
or local law, ordinance or regulation upon or with respect to discrimination in employment
against any individual employed by the CONTRACTOR on the basis of race, color, religion, sex,

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

or national origin, and (c)under any federal, state, or local law, ordinance or regulation upon or
with respect to any compensation of any person for claims or civil actions alleging deprivation of
right, privilege, or immunity secured by the United States Constitution and laws pursuant to 42
USC Section 1983 or similar statutes as well as claims for attorney’s fees brought pursuant to
42 USC Section 1988 or similar statutes.
Section 7.02 Legal Proceedings.
The CONTRACTOR shall not be responsible for defending any post-conviction action, including
appeals and writs of habeas corpus, by any Offender challenging the underlying judgment of
conviction or the administration of the sentence imposed.
Section 7.03 Insurance.
The CONTRACTOR is responsible for obtaining and maintaining adequate insurance coverage
as required herein. The CONTRACTOR shall obtain and provide proof of general liability
insurance coverage (broad form coverage), which shall specifically include fire and legal liability,
in an amount not less than $2,000,000.00 for each occurrence within a yearly aggregate of at
least $10,000,000.00, and civil rights claims in an amount not less than $2,000,000.00 for each
occurrence within a yearly aggregate of at least $5,000,000.00. The State of California and its
respective agencies shall be included as additional insured’s under the policy of general liability
insurance coverage issued to the CONTRACTOR. Coverage for civil rights liability may be
issued under a separate policy, but shall also include the State and its agencies as additional
insured’s. Vehicle liability coverage for all vehicles used by the CONTRACTOR shall be
provided in an amount of not less than $2,000,000.00 per occurrence. Coverage shall also
specifically be provided to protect against employee dishonesty in an amount of not less than
$50,000.00.
The CONTRACTOR shall obtain and provide proof of workers' compensation insurance
coverage, including employer liability, in the amount and manner required by law for all
employees of the CONTRACTOR.
The CONTRACTOR shall obtain and/or provide proof of professional liability insurance
coverage, including medical malpractice liability and errors and omissions coverage, to cover all
professional services to be provided by the CONTRACTOR to the State under this Contract.
The amount of coverage obtained shall be $2,000,000.00 per occurrence with a $5,000,000.00
yearly aggregate. If occurrence coverage is not available, claims-made coverage with a three
(3) year tail coverage shall be provided for the same amounts and aggregate as detailed above.
The CONTRACTOR shall obtain and provide proof of contractual liability insurance coverage to
cover all liability assumed by the CONTRACTOR under this Contract and for which the
CONTRACTOR may be liable to the State or CDCR under the indemnification provisions of this
Contract (intermediate form coverage). Such coverage may be provided by separate coverage
or as an additional endorsement to a general liability policy, but shall be in the same amounts
and limits of coverage as that required for general liability coverage.
All insurance coverage shall be obtained by the CONTRACTOR through an insurance agent
licensed in the state where the Facility is located and such coverage shall be provided by an
insurance company licensed to issue such coverage in such state. No "self-insurance" coverage
shall be acceptable unless the CONTRACTOR is licensed or authorized to self-insure for a
particular coverage in the state where the Facility is located, or is an insured member of a self-

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

insurance group that is licensed to self-insure in such state. All policies shall include a provision
requiring at least 30 days' prior written notice of cancellation to the State and CDCR.
All insurance coverage required to be obtained by the CONTRACTOR shall continue in full force
and effect during the term of the Contract and any extension thereof. Proof of insurance policies
must be delivered prior to the date on which the services of the CONTRACTOR shall
commence.
All insurance coverage is to be provided by insurance carriers admitted to do business in the
state where the Facility is located and coverage issued by surplus lines companies shall not be
acceptable with the exception of civil rights liability coverage. All insurance carriers shall be, at
the minimum, rated "A VII" by A.M. Best or an equivalent rating by a similar insurance rating
service.
The CONTRACTOR may choose the amount of deductible for any of the insurance coverage
required (above) to be obtained by the CONTRACTOR, but in no event shall such deductible for
each occurrence exceed five (5) percent of the required yearly aggregate limit of coverage.
The CONTRACTOR is responsible for first dollar defense coverage. All general liability and
professional liability policies shall provide defense in addition to the policy limits.
The limits required herein are the minimum acceptable. However, these limits are not to be
construed as being the maximum, the CONTRACTOR may wish to purchase additional
coverage for its own benefit.
With respect to the total limits of liability required, any combination of primary and/or umbrella
coverage may satisfy those totals. However, if an umbrella is used, coverage must be at least
as broad as the primary coverage.
Section 7.04 Certificate of Insurance and Cancellation.
During the performance of the management services hereunder, the CONTRACTOR shall
maintain the plan of insurance and submit a Certificate of Insurance to CDCR for the mutual
protection and benefit of it and CDCR, naming CDCR as co-insured and entitled to all notices
issued under the policy, to cover claims that may arise out of or result from the
CONTRACTOR`s operation and management services hereunder, whether same be by the
CONTRACTOR or a subcontractor or by anyone directly or indirectly employed by any of them,
or by anyone for whose acts any of them may be liable. CDCR shall be notified at least 30 days
in advance of cancellation, non-renewal or adverse change in the coverage. New Certificates of
Insurance are to be provided to CDCR within 15 days of receipt by CONTRACTOR.
Section 7.05 Defense/Immunity.
By entering into the Contract, neither the State, CDCR, nor the CONTRACTOR waives any
immunity defense which may be extended to them by operation of law including limitation of
damages, excepting only that the CONTRACTOR may not assert the defense of sovereign
immunity.
Section 7.06 Notice of Claims.
Within 10 business days after receipt by CDCR, or of any agent, employee or officer of CDCR,
of a summons in any action, or within 10 business days of receipt by CDCR, or of any agent,

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California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

employee or officer thereof, of notice of claim, CDCR, or any agent, employee, or officer, shall
notify the CONTRACTOR in writing of the commencement thereof. The notice requirement is
intended to ensure that the CONTRACTOR’s defense of the claim is not harmed by failure to
comply with the notice requirements. Failure to comply with the notice requirements may result
in the CONTRACTOR’s refusal to indemnify CDCR or any agent, employee, or officer, but only
if such failure to notify results in a prejudice to the CONTRACTOR, CDCR, or any agent,
employee, or officer. The CONTRACTOR will provide CDCR similar notice of claims.
Section 7.07 Prior Occurrences.
The CONTRACTOR shall not be responsible for any losses or costs resulting from Offender
litigation pending at the effective date of this Agreement or for lawsuits based on acts or
omissions occurring prior to the effective date of the Agreement.
Section 7.08 Waiver.
No waiver of any breach of any of the terms or conditions of the Agreement shall be held to be a
waiver of any other or subsequent breach; nor shall any waiver be valid or binding unless the
same shall be in writing and signed by the party alleged to have granted the waiver.
Section 7.09 Risk of Physical Damage to Facility.
The risks and costs of physical damage to the Facility shall be considered usual costs incidental
to the operation of the Facility and part of the costs reimbursed by the fixed rate per Offender
day as provided in Exhibit A, Article VI, Operation of Facility. This does not preclude
CONTRACTOR from taking action against an Offender who causes such damages.
Article VIII.
DEFAULT AND TERMINATION
Section 8.01 CDCR Default.
Each of the following shall constitute an Event of Default on the part of the CDCR:
8.01.1 Failure to pay any payment required to be paid pursuant to this Agreement within 45
days after payment is due, provided such failure to pay shall not constitute an Event of
Default if CDCR has withheld any payment to CONTRACTOR pursuant to statutory
authority.
8.01.2 Failure by CDCR to keep, observe, perform, meet, or comply with any covenant,
agreement, term, or provision of this Agreement required to be kept, observed, met,
performed, or complied with by CDCR hereunder, which such failure continues for a
period of 30 days after CDCR has received a written notice of deficiency from the
CONTRACTOR.
Section 8.02 CONTRACTOR Default.
Each of the following shall constitute an Event of Default on the part of the CONTRACTOR:
8.02.1 The failure to keep, observe, perform, meet, or comply with any covenant, agreement,
term, or provision of this Agreement to be kept, observed, met, performed, or complied

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

with by CONTRACTOR hereunder, which such failure continues for a period of 30 days
after CONTRACTOR has received a written notice of deficiency from the Contract
Monitor.
8.02.2 The failure of CONTRACTOR to meet or comply with any applicable federal or state
requirement or law, which such failure continues for a period of 30 days after
CONTRACTOR has received a written notice of deficiency from the Contract Monitor.
8.02.3 The failure of CONTRACTOR to comply with any applicable CDCR policy for which
CONTRACTOR has not received a prior written waiver from CDCR, when such failure
continues for a period of 30 days after CONTRACTOR has received a written notice of
deficiency from the Contract Monitor. Provided, however, the Contract Monitor shall not
unilaterally provide written notices of deficiency regarding any areas where there is a
conflict between Governing Standards, pursuant to Exhibit A, Scope of Work, Section
9.24, Governing Standards, and until the CONTRACTOR and CDCR have had an
opportunity to mutually agree upon the appropriate Governing Standard pursuant to
Exhibit A, Scope of Work, Section 9.24, Governing Standards.
8.02.4 If CONTRACTOR (a) admits in writing its inability to pay its debts; (b) makes a general
assignment for the benefit of creditors; (c) suffers a decree or order appointing a receiver
or trustee for it or substantially all of its property to be entered and, if entered without its
consent, not to be stayed or discharged within 60 days;(d) suffers a proceedings under
any law relating to bankruptcy, insolvency, or the reorganization or relief of debtors to be
instituted by or against it and if contested by it, not to be dismissed or stayed within 60
days; or (e) suffers any judgment, writ of attachment or execution, or any similar process
to be issued or levied against a substantial part of its property.
8.02.5 The discovery by CDCR that any statement, representation, or warranty in this
Agreement on the part of CONTRACTOR is false, misleading, or erroneous in any
material respect.
Section 8.03 Notice of Breach.
No breach of this Agreement by either party shall constitute an Event of Default and no action
with regard to same may be instituted unless and until the party asserting a breach specifies
that a deficiency or deficiencies exist(s) that, unless corrected or timely cured, will constitute a
material breach of this Agreement on the part of the party against which a breach is asserted.
Nothing in this section is intended to prevent any party from terminating this Agreement
pursuant to Exhibit A, Scope of Work, Section 2.02, Termination for Non-Appropriation of this
Agreement.
Section 8.04 Time to Cure.
If any material breach of this Agreement by either party remains uncured more than 30 days
after written notice thereof by the party asserting this breach, this shall be an Event of Breach,
provided, however, if within 30 days after such notice, a substantial good faith effort to cure
breach shall not be an Event of Default if it is cured within a reasonable time thereafter.
Section 8.05 Remedy for Default.
Upon the occurrence of an Event of Default, either party shall have the right to pursue any
remedy it may have at law or equity, including but not limited to: reducing its claim to judgment,

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California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

including seeking an award of attorney’s fees and costs, taking action to cure the Event of
Default, and termination of the Contract.
Section 8.06 Waiver.
No waiver of any breach of any terms or conditions of this Agreement shall be held to be a
waiver of any other or subsequent breach; nor shall any waiver be valid or binding unless the
same shall be in writing and signed by the party alleged to have granted the waiver.
Section 8.07 Termination for Immediate Threat.
The requirement of written notice and opportunity to cure as provided in Exhibit A, Scope of
Work, Sections 8.02, 8.03, and 8.04 will not apply if the CDCR, in its sole discretion, determines
that a CONTRACTOR default has occurred, which creates an immediate threat of imminent
harm to the safety, health, or welfare of the public, employees, or Offenders. In such event the
parties shall mutually cooperate for an immediate return of CDCR Offenders consistent with the
availability of transportation and housing.
Section 8.08 Force Majeure.
Neither party shall be liable for failure to perform under this Contract if such failure to perform
arises out of causes beyond the control and without the fault or negligence of the nonperforming
party. Such causes may include, but are not limited to, acts of God or the public enemy, fires,
floods, epidemics, quarantine restrictions, freight embargoes, and unusually severe weather.
This provision shall become effective only if the party failing to perform immediately notifies the
other party of the extent and nature of the event resulting in the delay, limits delay in
performance to that required by the event and takes all reasonable steps to minimize delays.
Article IX
MISCELLANEOUS
Section 9.01 Integration.
This Agreement is intended as the complete integration of all understandings between the
parties. No prior or contemporaneous addition, deletion, or other amendment hereto shall have
any force or affect whatsoever, unless embodied herein by writing. No subsequent innovation,
renewal, addition, or other amendment hereto shall have any force unless embodied in a written
agreement executed and approved pursuant to State of California laws, rules and policies.
Section 9.02 Disputes Contract or Billing Disputes.
As a condition precedent to CONTRACTOR’s right to institute and pursue litigation or other
legally available dispute resolution process, if any, CONTRACTOR agrees that all disputes
and/or claims of CONTRACTOR arising under or related to the Agreement shall be resolved
pursuant to the following processes. CONTRACTOR’s failure to comply with said dispute
resolution procedures shall constitute a failure to exhaust administrative remedies.
Pending the final resolution of any such disputes and/or claims, CONTRACTOR agrees to
diligently proceed with the performance of the Agreement, including the delivering of goods or

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California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

providing of services. CONTRACTOR’s failure to diligently proceed shall constitute a material
breach of the Agreement.
The Agreement shall be interpreted, administered, and enforced according to the laws of the
State of California. The parties agree that any suit brought hereunder shall have venue in
Sacramento, California, the parties hereby waiving any claim or defense that such venue is not
convenient or proper.
a.

Final Payment
Unless provided otherwise at the time of payment, the acceptance by CONTRACTOR of
final payment shall release the CDCR from all claims, demands, and liability to
CONTRACTOR for everything done or furnished in connection with this work and from
every act and neglect of CDCR and others relating to or arising out of this work except
for any claim previously accepted and/or in process of resolution.

b.

Informal Appeal
CONTRACTOR and the program or institution contract liaison, or other designated
CDCR employee of the unit for which the goods are being delivered or the service is
being performed, shall first attempt, in good faith, to resolve the dispute or claim by
informal discussion(s). CONTRACTOR shall identify the issues and the relief sought.
The program or institution contract liaison shall issue an informal written statement to
CONTRACTOR regarding the dispute within 15 calendar days following settlement or an
impasse in the informal discussion(s) process. The written statement shall either: (1)
document the dispute settlement and what, if any, conditions were reached; or, (2)
document the reason(s) the dispute could not be resolved informally and provide
notification to CONTRACTOR of its option to file a formal appeal within 30 days of the
informal statement. One (1) copy of the informal statement and the discussion(s) on
which it is based shall be forwarded immediately to the Office of Business Services
(OBS) for inclusion in the Agreement file.

c.

Formal Appeal
If the dispute or claim is not resolved to CONTRACTOR’s satisfaction by the informal
appeal process, CONTRACTOR may file with the Associate Director, Procurement and
Contracts Branch (PCB), OBS, a formal written appeal within 30 calendar days of the
date of CDCR’s informal written decision. The formal written appeal shall be addressed
as follows:
Associate Director
Procurement and Contracts Branch
Office of Business Services
California Department of Corrections and Rehabilitation
P.O. Box 942883
Sacramento, California 94283-0001
CONTRACTOR shall specify in the formal written appeal the issue(s) in dispute, the
particular relief or remedy sought, the factual basis for CONTRACTOR’s claim or
dispute, and CONTRACTOR’s legal, technical, and/or other authority upon which
CONTRACTOR bases its claim or dispute.
The formal written appeal shall include a written certification signed by a knowledgeable
company official under the penalty of perjury according to the laws of the State of

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California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

California pursuant to California Code of Civil Procedure, Section 2015.5, that the
dispute, claim, or demand is made in good faith, and that the supporting data are
accurate and complete. If an Agreement adjustment is requested, the written certification
shall further state under penalty of perjury that the relief requested accurately reflects the
Agreement adjustment for which the CDCR is responsible.
If CONTRACTOR is a corporation, the written certification shall be signed by an officer
thereof. If CONTRACTOR is a sole proprietorship or partnership, it shall be signed by an
owner or full partner. If CONTRACTOR is other than a corporation, sole proprietorship or
partnership, it shall be signed by a principal of the company with authority to bind the
company.
The Associate Director, PCB, OBS, shall issue a formal written decision on behalf of
CDCR within 30 calendar days of receipt of the properly addressed formal written
appeal. If mutually agreed by the parties, the date for the issuance of CDCR’s final
written decision may be extended.
d. Further Resolution
If the dispute is not resolved by the formal appeal process to CONTRACTOR’s
satisfaction, or CONTRACTOR has not received a written decision from the Associate
Director, PCB, OBS, after 30 calendar days, or other mutually agreed extension,
CONTRACTOR may thereafter pursue its right to institute other dispute resolution
process(es) if any, available under the laws of the State of California.
Section 9.03 Computer Software Management Memo.
CONTRACTOR certifies that it has appropriate systems and controls in place to ensure that
state funds will not be used in the performance of this Agreement for the acquisition, operation,
or maintenance of computer software in violation of copyright laws.
Section 9.04 Accounting Principles – No Dual Compensation.
The CONTRACTOR will adhere to generally accepted accounting principles as outlined by the
American Institute of Certified Public Accountants. Dual compensation is not allowed; a
CONTRACTOR cannot receive simultaneous compensation from two (2) or more funding
sources for the same services performed even though both funding sources could benefit.
Section 9.05 Subcontractor/Consultant Information.
CONTRACTOR is required to identify all subcontractors and consultants who will perform labor
or render services in the performance of this Agreement. Additionally, the CONTRACTOR shall
notify the CDCR, OBS, in writing, within 10 working days, of any changes to the subcontractor
and/or consultant information.
Section 9.06 Employment of Ex-Offenders.
CONTRACTOR cannot, and shall not, either directly, or on a subcontract basis, employ in
connection with this Agreement:
a) Ex-Offenders on active parole or probation;

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California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

b) Ex-Offenders at any time if they are required to register as a sex offender pursuant to
Penal Code, Section 290, or if such ex-Offender has an offense history involving a
“violent felony” as defined in subparagraph (c) of Penal Code, Section 667.5; or
c) Any ex-felon in a position which provides direct supervision of parolees.
Ex-Offenders who can provide written evidence of having satisfactorily completed parole or
probation may be considered for employment by the CONTRACTOR subject to the following
limitations:
a) CONTRACTOR shall obtain the prior written approval to employ any such ex-Offender
from the Out-of-State Administration Unit; and
b) Any ex-Offender whose assigned duties are to involve administrative or policy decisionmaking; accounting, procurement, cashiering, auditing, or any other business-related
administrative function shall be fully bonded to cover any potential loss to the State of
California.
Section 9.07 Electronic Waste Recycling.
The CONTRACTOR certifies that it complies with the requirements of the Electronic Waste
Recycling Act of 2003, Chapter 8.5, Part 3 of Division 30, commencing with Section 42460 of
the Public Resources Code, relating to hazardous and solid waste. CONTRACTOR shall
maintain documentation and provide reasonable access to its records and documents that
evidence compliance.
Section 9.08 Excise Tax.
The State of California is exempt from federal excise taxes; no payment will be made for any
taxes levied on employees’ wages. The State will pay for any applicable State of California or
local sales or use taxes on the services rendered or equipment or parts supplied pursuant to
this Agreement. California may pay any applicable sales and use tax imposed by another state.
Section 9.09 Licenses and Permits.
The CONTRACTOR shall be an individual or firm licensed to do business in the state in which
the Facilities are located and shall obtain at CONTRACTOR’s expense all license(s) and
permit(s) required by law for accomplishing any work required in connection with this
Agreement. In the event any license(s) and/or permit(s) expire at any time during the term of
this Agreement, CONTRACTOR agrees to provide the CDCR with a copy of the renewed
license(s) and/or permit(s) within 30 days following the expiration date. In the event the
CONTRACTOR fails to keep in effect at all times all required license(s) and permit(s), the State
may, in addition to any other remedies it may have, terminate this Agreement upon occurrence
of such event.
Section 9.10 Conflict of Interest.
The CONTRACTOR and their employees shall abide by the provisions of: Government Code
(GC) Sections 1090, 81000 et seq., 82000 et seq., 87100 et seq., and 87300 et seq.; Public
Contract Code (PCC) Sections 10335 et seq. and 10410 et seq.; California Code of Regulations
(CCR), Title 2, Section 18700 et seq.; CCR Title 15, Section 3409, and; the Department
Operations Manual (DOM) Section 31100 et seq. regarding conflicts of interest.

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California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

Former State Employees
1) For the two (2) year period from the date he or she left state employment, no former
state officer or employee may enter into an agreement in which he or she is engaged in
any of the negotiations, transactions, planning, arrangements, or any part of the decision
making process relevant to the agreement while employed in any capacity by any state
agency.
2) For the 12-month period from the date he or she left state employment, no former state
officer or employee may enter into an agreement with any state agency if he or she was
employed by that state agency in a policy-making position in the same general subject
area as the proposed agreement within the 12 month period prior to his or her leaving
state service.
In addition to the above, the CONTRACTOR shall avoid any conflict of interest whatsoever with
respect to any financial dealings, employment services, or opportunities offered to Offenders or
parolees. The CONTRACTOR shall not itself employ or offer to employ Offenders or parolees
either directly or indirectly through an affiliated company, person, or business unless specifically
authorized in writing by the CDCR. In addition, the CONTRACTOR shall not, either directly or
indirectly, through an affiliated company, person, or business, engage in financial dealings with
Offenders or parolees, except to the extent that such financial dealings create no actual or
potential conflict of interest, are available on the same terms to the general public, and have
been approved in advance in writing by the CDCR. For the purposes of this paragraph,
“affiliated company, person, or business” means any company, business, corporation, nonprofit
corporation, partnership, limited partnership, sole proprietorship, or other person or business
entity of any kind which has any ownership or control interest whatsoever in the
CONTRACTOR, or which is wholly or partially owned (more than 5% ownership) or controlled
(any percentage) by the CONTRACTOR or by the CONTRACTOR’s owners, officers, principals,
directors, and/or shareholders, either directly or indirectly. “Affiliated companies, persons, or
businesses” include, but are not limited to, subsidiary, parent, or sister companies or
corporations, and any company, corporation, nonprofit corporation, partnership, limited
partnership, sole proprietorship, or other person or business entity of any kind that is wholly or
partially owned or controlled, either directly or indirectly, by the CONTRACTOR or by the
CONTRACTOR’s owners, officers, principals, directors, and/or shareholders.
The CONTRACTOR shall have a continuing duty to disclose to the State, in writing, all interests
and activities that create an actual or potential conflict of interest in performance of the
Agreement.
The CONTRACTOR shall have a continuing duty to keep the State timely and fully apprised, in
writing, of any material changes in the CONTRACTOR’s business structure and/or status. This
includes any changes in business form, such as a change from sole proprietorship or
partnership into a corporation or vice-versa; any changes in company ownership; any
dissolution of the business; any change of the name of the business; any filing in bankruptcy;
any revocation of corporate status by the Secretary of State; and any other material changes in
the CONTRACTOR’s business status or structure that could affect the performance of the
CONTRACTOR’s duties under the Agreement.
If the CONTRACTOR violates any provision of the above paragraphs, such action by the
CONTRACTOR shall render this Agreement void at the option of CDCR.

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California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

Section 9.11 CONTRACTOR Employee Misconduct.
During the performance of this Agreement, it shall be the responsibility of the CONTRACTOR,
whenever there is an allegation of employee misconduct associated with and directly impacting
Offender and/or parolee rights, to immediately notify the CDCR of the incident(s), to cause an
investigation to be conducted, and to provide CDCR with all relevant information pertaining to
the incident(s). All relevant information includes, but is not limited to: a) investigative reports; b)
access to Offenders/parolees and the associated staff; c) access to employee personnel
records; d) that information reasonably necessary to assure CDCR that Offenders and/or
parolees are not or have not been deprived of any legal rights as required by law, regulation,
policy, and procedures; and e) written evidence that the CONTRACTOR has taken such
remedial action, in the event of employee misconduct with Offenders and/or parolees, as will
assure against a repetition of the incident(s). Notwithstanding the foregoing, and without waiving
any obligation of the CONTRACTOR, CDCR retains the power to conduct an independent
investigation of any incident(s). Furthermore, it is the responsibility of the CONTRACTOR to
include the foregoing terms within any and all subcontracts, requiring that subcontractor(s)
agree to the jurisdiction of CDCR to conduct an investigation of their Facility and staff, including
review of subcontractor employee personnel records, as a condition of the Agreement. Nothing
contained in this paragraph shall be deemed to constitute a waiver of any attorney/client
privilege or of the work product doctrine privilege.
The CONTRACTOR shall report all suspected felonies to the appropriate law enforcement
agency for investigation. In addition, the CONTRACTOR shall report any crime committed by an
employee in the course and scope of that employee’s work, any crime committed on the
grounds of the CONTRACTOR’s Facility, and any sex offense, drug offense, or violent offense
by an employee wherever committed to an appropriate law enforcement agency, provided the
CONTRACTOR has evidence-based, reasonable suspicion of the crime or offense.
Section 9.12 Equal Employment Opportunity.
CONTRACTOR agrees to comply with all Equal Employment Opportunity laws applicable to the
operation of the Facility in their respective State.
Section 9.13 Invalidity and Severability.
To the extent that this Agreement may be executed and performance of the obligations of the
parties may be accomplished within the intent of the Agreement, the terms of this Agreement
are severable, and should any term or provision hereof be declared invalid or become
inoperative for any reason, such invalidity or failure shall not affect the validity of any other term
or provision hereof. In the event that any provision of this Agreement is held invalid, that
provision shall be null and void. However, the validity of the remaining provisions of the
Agreement shall not be affected thereby. In the event that this entire Agreement is held invalid
or unenforceable, all obligations of the parties hereunder shall cease as of that date, except with
respect to claims for services rendered.
Section 9.14 Jurisdiction and Venue.
The laws of the State of California and rules and regulations issued pursuant thereto shall be
applied in the interpretation, execution, and enforcement of this Agreement. Venue(s) for any
legal action related to performance or interpretation of this Agreement shall be in the City of
Sacramento, California.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

Section 9.15 Subcontracting and Assignment.
Nothing contained in this Agreement, or otherwise, shall create any contractual relation between
the CDCR and any subcontractors, and no subcontract shall relieve the CONTRACTOR of
CONTRACTOR’s responsibilities and obligations hereunder. The CONTRACTOR agrees to be
as fully responsible to CDCR for the acts and omissions of its subcontractors and of persons
either directly or indirectly employed by any of them as it is for the acts and omissions of
persons directly employed by the CONTRACTOR. The CONTRACTOR’s obligation to pay its
subcontractors is an independent obligation from the CDCR’s obligation to make payments to
the CONTRACTOR. As a result, the CDCR shall have no obligation to pay or to enforce the
payment of any moneys to any subcontractor.
Section 9.16 Notices.
Any notice provided for in this Agreement shall be in writing and served by personal delivery,
designated CDCR electronic mail system, or United States Mail, postage prepaid, at the
addresses listed in Exhibit A, Scope of Work, Section 11, Contact Information, until such time as
written notice of change of address is received from either party. Any notice so mailed, and any
notice served by electronic mail or personal delivery, shall be deemed delivered and effective
upon receipt or upon attempted delivery. This method of notification will be used in all instances,
except for emergency situations when immediate notification is required pursuant to the
appropriate sections of this Agreement. CDCR and CONTRACTOR will be provided information
on where to send notices prior to occupancy of Facilities.
Section 9.17 Confidentiality of Records.
CDCR and CONTRACTOR agree that all Offender records and Offender/patient record
information is identified as confidential, shall be held in trust and confidence, and shall be used
only for the purposes contemplated under this Agreement. CONTRACTOR, by acceptance of
this Agreement, is subject to all of the requirements of the federal regulations implementing the
Health Insurance Portability and Accountability Act of 1996 (Code of Federal Regulations 9cfr),
Title 45, Sections 164.501 et seq.); the California Government Code Sections 1798, et seq.;
regarding the collections, maintenance, and disclosure of personal and confidential information
about individuals.
Section 9.18 Ownership of Material
Documentation, Studies and Evaluations.

Information,

Data,

Computer

Software

Unless otherwise provided, and when appropriate, CONTRACTOR agrees that all material,
information, data, documentation, studies, and evaluations produced in the performance of this
Agreement is the property of CDCR and the CONTRACTOR.
Section 9.19 Reporting.
CONTRACTOR shall submit to the CDCR Contract Monitor, on a quarterly basis, a written
program report specifying progress made for each activity identified in the CONTRACTOR’s
duties and obligations, regarding the performance of this Agreement. Such written analysis shall
be in accordance with the procedures developed and prescribed by the CDCR. The preparation
of reports in a timely manner shall be the responsibility of the CONTRACTOR and failure to
comply may result in delay of payment of funds. Required reports shall be submitted to the
CDCR not later than 30 days following the end of each calendar quarter, or at such time as
otherwise specified.

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California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

9.19.1 Facility Data Compilation Report (FDCR) - Each Contracted facility shall complete and
submit the FDCR template (Attachment 10) on a monthly basis; all FDCR reports are to
be completed in their entirety. Reports are to be submitted on the 15th of the following
month to the Chief of CBU or designee.
Section 9.20 Records.
Unless otherwise provided CONTRACTOR shall compile and maintain a complete file of each
CDCR Offender, including all records, communications, and other written materials which
pertain to the operation of Offender programs or the delivery of services to Offenders under this
Agreement, including medical, counseling, classification, and disciplinary documents, in
individual files. Further, the CONTRACTOR shall permit the CDCR, or its designated
representative, to audit, inspect, and copy such files and records during the term of this
Agreement to assure compliance with the terms hereof or to verify actual costs subject to
reimbursement under this Agreement. Such files and records will be deemed to be the property
of the CDCR and shall be available for inspection by the CDCR and shall be returned to the
CDCR upon discharge of a CDCR Offender from Facility. The CONTRACTOR may keep copies
of said documents as may be necessary to resolve any matters that may be pending. Upon
resolution of the matter said copied records shall be destroyed by CDCR. No files or records in
which a CDCR Offender is individually identifiable by name, shall be released to any third party
without express, advance authorization of CDCR, except in medical emergencies.
9.20.1 The CONTRACTOR shall maintain a complete file of all records, documents,
communications, and other materials which pertain to the operation of programs or the
delivery of services under this Agreement. Such materials shall be sufficient to properly
reflect all direct and indirect costs of labor, materials, equipment, supplies, services, and
other costs of whatever nature for which an Agreement payment was made. These
records shall be maintained according to generally accepted accounting principles and
shall be easily separable from other Facility records. The CDCR’s access to records
pursuant to this provision shall be limited to those documents necessary to monitor
contract compliance or to verify specific costs for which the CONTRACTOR sought
reimbursement under this Agreement.
9.20.2 All such records, documents, communications, and other materials shall be the property
of CDCR and shall be maintained by the CONTRACTOR, in a central location with a
designated custodian, on behalf of CDCR, for a period of three (3) years from the final
payment of this Agreement, or until an audit has been completed with the following
qualification: If an audit by or on behalf of the Federal Government had begun but is not
completed at the end of the three (3) year period, the materials shall be retained until the
resolution of the audit finding.
9.20.3 CONTRACTOR shall permit the CDCR to audit and/or inspect its records during the
term of this Agreement and for a period of three (3) years following the termination of the
Agreement to assure compliance with the terms hereof or to verify actual costs subject
to reimbursement under this Agreement.
Section 9.21 No Third Party Benefit Except As Provided.
This Agreement shall benefit and burden the parties hereto in accordance with its Terms and
Conditions and is not intended, and shall not be deemed or construed, to confer rights, powers,
benefits, or privileges on any person or entity other than the parties to this Agreement and the
Receiver as provided in Exhibit A, Scope of Work, Section 4.05.6. This Agreement is not

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California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

intended to create any rights, liberty interests, or entitlements in favor of any CDCR Offender.
The Agreement is intended only to set forth the contractual rights and responsibilities of the
Agreement parties. CDCR Offenders shall have only those entitlements created by federal or
state constitutions, statutes, regulations, case law, or applicable court orders.
Section 9.22 Survival of Certain Terms.
Notwithstanding anything herein to the contrary, the parties understand and agree that all Terms
and Conditions of this Agreement and any appendixes or attachments hereto, which may
require continued performance or compliance beyond the termination date of the Agreement,
shall survive such termination date and shall be enforceable by the CDCR as provided herein in
the event of such failure to perform or comply by CONTRACTOR.
Section 9.23 Amendment.
This Agreement shall not be altered, changed, or amended except by mutual consent of the
parties in writing.
Section 9.24 Governing Standards.
In the event of a conflict between any of the governing standards, rules, regulations, policies, or
procedures referenced herein, including, but not limited to ACA, NCCHC, CCR Title 15,
CONTRACTOR policy and procedure, CDCR DOM, and CDCR rules, regulations, and policies,
then the CONTRACTOR and CDCR shall mutually agree upon the standard, rule, regulation,
policy, or procedure to be followed. If the CDCR Contract Monitor and Facility Warden are
unable to reach an agreement within three (3) days, the conflict shall be resolved by the
CONTRACTOR Chief Corrections Officer and Chief of CBU, or designee. The parties shall
make a good faith effort to resolve the conflict and neither party shall unreasonably withhold
their approval. In resolving the conflict, the parties shall take into account Facility issues such
as: security and uniformity of polices as well as specific needs of CDCR Offender management.
This provision shall not apply if compliance with a standard, rule, policy, or procedure is required
by court order.
Section 9.25 ADA.
CONTRACTOR agrees that by signing this Agreement, it is assuring CDCR that it complies with
the Americans with Disabilities Act of 1990 (ADA), 42 U.S.C. Section 12101 et seq., as
applicable, which prohibits discrimination on the basis of disability, and with applicable
regulations and guidelines pursuant to the A.D.A.
Section 9.27 RIGHT TO TERMINATE
The State reserves the right to terminate this Agreement subject to 30 calendar day’s written
notice to the Contractor. Contractor may submit a written request to terminate this Agreement
only if the State should substantially fail to perform its responsibilities as provided herein.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

Article X
ATTACHMENTS
Attachment 1
Attachment 2
Attachment 3

Plata-Coleman Link
Armstrong Link
Daily Movement Sheet Template (CONTRACTOR to use existing
CONTRACTOR version)
Attachment 4 Staff Deployment by Category
Attachment 5 Master Roster Template
Attachment 6 Daily Sign-in Sheets (CONTRACTOR to use existing shift roster)
Attachment 7 Distribution of Inmate Death Reporting and Review Policy, Effective
September 5, 2008
Attachment 8 Offender Program Participation Table
Attachment 9 ACA Standards
Attachment 10 FDCR Template
Article XI
CONTACT INFORMATION
Section 11.01 CDCR CONTACT INFORMATION.
Should questions or problems arise during the term of the Agreement, the CONTRACTOR
should contact the following offices:
Contract Monitor:
Brian Coates
10961 Sun Center Drive
Rancho Cordova, CA 95670
(916)464-4001
Contract Beds Unit:
10961 Sun Center Drive
Rancho Cordova, CA 95670
(916) 464-5130 - Main Fax
(916) 464-3766 - Records Fax
(916) 464-3768 - Field Operations Fax
(916) 464-3769 - Medical
Healthcare Contract Monitor:
John Dovey, Director
Field Operations, Corrections Services
California Correctional Health Care Services
8280 Longleaf Dr., D3
Elk Grove, CA 95758
(916) 691-4928

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work
Deputy Director:
Donald Meier
Field Operations, Corrections Services
California Correctional Health Care Services
8280 Longleaf Dr., D3-723
Elk Grove, CA 95758
(916) 691-4828
Chief Medical Officer:
Ricki Barnett, MD
9260 Laguna Springs Dr., E2-308
Elk Grove, CA 95758
(916) 691-9574
Statewide Chief Nurse Executive:
Cheryl Schutt, RN
CCHCS
9260 Laguna Springs Dr., Bldg E
Elk Grove, Ca 95758
(916) 691-9939
Mental Health Coordinator:
Dr. Robert Smith
Senior Psychologist
(916) 508-1727
Dental Liaison for COCF:
Thaddous Archie, DDS
9272 Laguna Springs Dr., G2-416
Elk Grove, CA 95758
(916) 691-0240
Escape/Incident Reporting (I.D./Warrants):
Phone 24 Hour Notification (916) 323-4087
FAX (916) 322-4038
Restitution/Victim Services Unit:
Department of Corrections & Rehabilitation
P.O. Box 1046
Folsom, CA 95763-1046
Office of Communications:
Deborah Hoffman
1515 S Street, Suite 502-S
Sacramento, CA 95814
Phone: (916) 445-4950
Fax: (916) 442-2637

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Agreement Number 5600000770
Exhibit A
Amendment 7

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number 5600000770
Exhibit A
Amendment 7

Office of Correctional Safety:
Bill Kunz, Special Agent
1515 S Street
Sacramento, CA 95811
(916) 323-9717
Office of Correctional Safety:
Derrick Marion, Chief
1515 S Street
Sacramento, CA 95811
(916) 327-4456
Section 11.02 CONTRACTOR CONTACTS.
Should questions or problems arise during the term of the Agreement, CDCR should contact the
following CONTRACTOR contacts:
Company Representative
Natasha Metcalf
Vice President, Partnership Development
10 Burton Hills Boulevard, Nashville, TN 37215
Tallahatchie County Correctional Facility
415 US Highway 49N
Tutwiler, MS 38963
(662) 345-6567
Warden Fred Figueroa
North Fork Correctional Facility
1605 East Main
Sayre, OK 73662
(580) 928-8200
Warden Anastacio Perez
La Palma Correctional Center
5501 North La Palma Road
Eloy, AZ 85231
(520) 464-3200
Warden James Macdonald
Florence Correctional Center
1100 Bowling Road
Florence, AZ 95232
(520) 868-5862
Warden Brian Koehn

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Plata-Coleman Link

Agreement Number 5600000770
Attachment 1
Amendment 7

Plata v. Brown (Schwarzenegger) and Coleman v. Brown (Schwarzenegger), is hereby incorporated

by reference and made part of this agreement as if attached hereto. These documents can be
viewed at: http://www.caed.uscourts.gov/caed/Documents/90cv520o10804.pdf

Page 1 of 1

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Armstrong Link

Agreement Number 5600000770
Attachment 2
Amendment 7

Armstrong is hereby incorporated by reference and made part of this agreement as if attached

hereto. These documents can be viewed at: http://www.cdcr.ca.gov/OACC/docs/Armstrong-vBrown-BPH-Remedial-Plan-12-1-10.pdf

Page 1 of 1

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Daily Movement Sheet

Agreement Number 5600000770
Attachment 3
Amendment 7

[Facility Name]
CDCR Daily Movement Sheet
DATE:

DMS #:

Agency #

Inmate Last Name

FACILITY DEPARTURES
Inmate First Name
From

Agency #

Inmate Last Name

Inmate First Name

To

Race

To

Race

To

Race

From

To

Race

From

To

Race

To

Race

From

To

Race

From

To

Race

FACILITY ARRIVALS
From

TEMPORARY RELEASES
Agency #

Inmate Last Name

Inmate First Name

Agency #

Inmate Last Name

Inmate First Name

Agency #

Inmate Last Name

Inmate First Name

From

TEMPORARY RETURNS

BED MOVES

JOB ASSIGNMENT CHANGES
Agency #

Inmate Last Name

Agency #

Inmate Last Name

Inmate First Name

From

CUSTODY ASSIGNMENT CHANGES
Inmate First Name

FAMILY VISITS
Agency #

Inmate Last Name

Inmate First Name

Page 1 of 2

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Daily Movement Sheet

Agreement Number 5600000770
Attachment 3
Amendment 7

[Facility Name]
CDCR Daily Movement Sheet
DATE:

DMS #:

ETHNIC BREAKDOWN
A

B

C

D

E

F

AMERICAN INDIAN OR ALASKAN
ASIAN OR PACIFIC ISLANDER
BLACK
HISPANIC
OTHER (USED FOR CALIFORNIA ONLY)
WHITE
Total

SUMMARY
STARTING COUNT
DEPARTURES
ARRIVALS
ENDING COUNT

OFF-SITE HOSPITAL

IN

OUT

TOTAL

TOTAL

Moving Thru R&D

No Housing
A
B
C
D
E
F
G
H
I
MED
TOTAL

FACILITY CAPACITY

Page 2 of 2

G

H

J

MED

TOTAL

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Staff Deployment by Category

Agreement Number 5600000770
Attachment 4
Amendment 7

TALLAHATCHIE COUNTY CORRECTIONAL FACILITY
Tutwiler, Mississippi
2464 Bed Capacity

STAFF DEPLOYMENT BY CATEGORY
Management / Support
Security / Operations
Unit Management
Maintenance
Services
Programs
Health Services
Education

22.00
132.00
265.00
9.00
6.00
15.00
54.50
47.00

TOTAL

552.50

LA PALMA CORRECTIONAL FACILITY
Eloy, Arizona
3060 Bed Capacity

STAFF DEPLOYMENT BY CATEGORY
Management / Support
Security / Operations
Unit Management
Maintenance
Services
Programs
Health Services
Education

28.00
157.00
282.00
10.00
7.00
19.00
64.00
33.00

TOTAL

600.00

Page 1 of 2

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Staff Deployment by Category

Agreement Number 5600000770
Attachment 4
Amendment 7

NORTH FORK CORRECTIONAL FACILITY
Sayre, Oklahoma
2400 Bed Capacity

STAFF DEPLOYMENT BY CATEGORY
Management / Support
Security / Operations
Unit Management
Maintenance
Services
Programs
Health Services
Education

27.00
160.00
219.00
9.00
6.00
23.00
44.50
47.00

TOTAL

529.50

FLORENCE CORRECTIONAL FACILITY
Florence, Arizona
600 Bed Capacity

STAFF DEPLOYMENT BY CATEGORY
Management / Support
Security / Operations
Unit Management
Maintenance
Services
Programs
Health Services
Education

TOTAL

Page 2 of 2

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Master Roster Template
Corrections Corporations of America
[Facility Name]
[Facility Capacity]
[Shift] Master Roster

EFFECTIVE DATE:
DATE PRINTED:
POST#

POSITION DESCRIPTION
EMPLOYEE NAME
WATCH OFFICE

Agreement Number 5600000770
Attachment 5
Amendment 7

TYPE
WATCH

CUSTODY STAFF/SECURITY STAFF ONLY

COV

MON
DAY

TUES
DAY

WEDNES
DAY

THURS
DAY

FRI
DAY

Page 1 of 2

SIGNATURE

SATUR
DAY

SUN
DAY

ETH

GEN

SEN DATE NO

REGULAR

COMMENT

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Master Roster Template

EFFECTIVE DATE:
DATE PRINTED:
POST#

POSITION DESCRIPTION
EMPLOYEE NAME
WATCH OFFICE

Agreement Number 5600000770
Attachment 5
Amendment 7

Corrections Corporations of America
[Facility Name]
[Facility Capacity]
[Shift] Master Roster

TYPE
WATCH

CUSTODY STAFF/SECURITY STAFF ONLY

COV

MON
DAY

TUES
DAY

WEDNES
DAY

THURS
DAY

FRI
DAY

Page 2 of 2

SIGNATURE

SATUR
DAY

SUN
DAY

ETH

GEN

SEN DATE NO

REGULAR

COMMENT

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Daily Sign-in Sheets

Agreement Number 5600000770
Attachment 6
Amendment 7

MODIFIED COMMUNITY CORRECTIONAL FACILITY
DATE:___________________________
SHIFT: ___________________________

Sign-In Sheet for Posted Positions

Print Name*

Signature

Hours

Print Name*

Signature

* Employees are expected to complete the shift as required in the Post Assignment Schedule.
For personnel who do not complete the shift, provide the Name and Signature of the relief who completes the shift.

Page 1 of 1

Hours

Corrections Corporation of America
Agreement Number 5600000770
California Department of Corrections and Rehabilitation
Attachment 7
Distribution of Inmate Death Reporting and Review Policy, Effective Spetember 5, 2008
Amendment 7

Page 1 of 20

Corrections Corporation of America
Agreement Number 5600000770
California Department of Corrections and Rehabilitation
Attachment 7
Distribution of Inmate Death Reporting and Review Policy, Effective Spetember 5, 2008
Amendment 7

Page 2 of 20

Corrections Corporation of America
Agreement Number 5600000770
California Department of Corrections and Rehabilitation
Attachment 7
Distribution of Inmate Death Reporting and Review Policy, Effective Spetember 5, 2008
Amendment 7

Page 3 of 20

Corrections Corporation of America
Agreement Number 5600000770
California Department of Corrections and Rehabilitation
Attachment 7
Distribution of Inmate Death Reporting and Review Policy, Effective Spetember 5, 2008
Amendment 7

Page 4 of 20

Corrections Corporation of America
Agreement Number 5600000770
California Department of Corrections and Rehabilitation
Attachment 7
Distribution of Inmate Death Reporting and Review Policy, Effective Spetember 5, 2008
Amendment 7

Page 5 of 20

Corrections Corporation of America
Agreement Number 5600000770
California Department of Corrections and Rehabilitation
Attachment 7
Distribution of Inmate Death Reporting and Review Policy, Effective Spetember 5, 2008
Amendment 7

Page 6 of 20

Corrections Corporation of America
Agreement Number 5600000770
California Department of Corrections and Rehabilitation
Attachment 7
Distribution of Inmate Death Reporting and Review Policy, Effective Spetember 5, 2008
Amendment 7

Page 7 of 20

Corrections Corporation of America
Agreement Number 5600000770
California Department of Corrections and Rehabilitation
Attachment 7
Distribution of Inmate Death Reporting and Review Policy, Effective Spetember 5, 2008
Amendment 7

Page 8 of 20

Corrections Corporation of America
Agreement Number 5600000770
California Department of Corrections and Rehabilitation
Attachment 7
Distribution of Inmate Death Reporting and Review Policy, Effective Spetember 5, 2008
Amendment 7

Page 9 of 20

Corrections Corporation of America
Agreement Number 5600000770
California Department of Corrections and Rehabilitation
Attachment 7
Distribution of Inmate Death Reporting and Review Policy, Effective Spetember 5, 2008
Amendment 7

Page 10 of 20

Corrections Corporation of America
Agreement Number 5600000770
California Department of Corrections and Rehabilitation
Attachment 7
Distribution of Inmate Death Reporting and Review Policy, Effective Spetember 5, 2008
Amendment 7

Page 11 of 20

Corrections Corporation of America
Agreement Number 5600000770
California Department of Corrections and Rehabilitation
Attachment 7
Distribution of Inmate Death Reporting and Review Policy, Effective Spetember 5, 2008
Amendment 7

Page 12 of 20

Corrections Corporation of America
Agreement Number 5600000770
California Department of Corrections and Rehabilitation
Attachment 7
Distribution of Inmate Death Reporting and Review Policy, Effective Spetember 5, 2008
Amendment 7

Page 13 of 20

Corrections Corporation of America
Agreement Number 5600000770
California Department of Corrections and Rehabilitation
Attachment 7
Distribution of Inmate Death Reporting and Review Policy, Effective Spetember 5, 2008
Amendment 7

Page 14 of 20

Corrections Corporation of America
Agreement Number 5600000770
California Department of Corrections and Rehabilitation
Attachment 7
Distribution of Inmate Death Reporting and Review Policy, Effective Spetember 5, 2008
Amendment 7

Page 15 of 20

Corrections Corporation of America
Agreement Number 5600000770
California Department of Corrections and Rehabilitation
Attachment 7
Distribution of Inmate Death Reporting and Review Policy, Effective Spetember 5, 2008
Amendment 7

Page 16 of 20

Corrections Corporation of America
Agreement Number 5600000770
California Department of Corrections and Rehabilitation
Attachment 7
Distribution of Inmate Death Reporting and Review Policy, Effective Spetember 5, 2008
Amendment 7

Page 17 of 20

Corrections Corporation of America
Agreement Number 5600000770
California Department of Corrections and Rehabilitation
Attachment 7
Distribution of Inmate Death Reporting and Review Policy, Effective Spetember 5, 2008
Amendment 7

Page 18 of 20

Corrections Corporation of America
Agreement Number 5600000770
California Department of Corrections and Rehabilitation
Attachment 7
Distribution of Inmate Death Reporting and Review Policy, Effective Spetember 5, 2008
Amendment 7

Page 19 of 20

Corrections Corporation of America
Agreement Number 5600000770
California Department of Corrections and Rehabilitation
Attachment 7
Distribution of Inmate Death Reporting and Review Policy, Effective Spetember 5, 2008
Amendment 7

Page 20 of 20

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Offender Program Participation Table

Agreement Number 5600000770
Attachment 8
Amendment 7

TA
LL
AH
AT

RE
D

RO
C

K

RK
FO
RT
H
NO

PA
LM
A
LA

PROGRAM PARTICIPATION TABLE

CH
IE

Programs Participation Chart

PROGRAM/WORK ASSIGNMENTS¹
Academic Education ²
Career Technical Education ²
Work

22%
4%
58%

25%
14%
42%

29%
6%
42%

41%
7%
34%

Addictions Treatment ³
Cognitive Habilitation ³

110
55

110
110

110
110

100
100

1

Programs offered may vary based upon fluctuation in inmate population, resources available
and programmatic need of the population

2

Education Enrollment could fluctuate +/- 20%

³ These programs are based in housing units. The numbers represent beds available for eligible offenders. If
there are not enough eligible offenders for the available beds based on a reduction in offender population,
availability of the program will be re-evaluated.

Page 1 of 1

Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards

1. Administration and Management

Agreement Number 5600000770
Attachment 9
Amendment 7

Section A: General Administration
Principle:

A written body of policy and procedure establishes the institution's goals,
objectives, and standard operating procedures and establishes a system of
regular review.

Purpose and Mission
4-4001
(Ref. 3-4001)

The institution or parent agency is established as an integral part of a
correctional department or system by means of statutes that set its purpose.
Comment: Effective administration depends on carefully formulated constitutional or
legislative statutes that define the institution's mission and goals.

4-4002
(Ref. 3-4002)

There is a written document delineating the institution's mission within the
context of the total correctional system. This document is reviewed at least
annually and updated as needed.
Comment: The mission statement should address whatever programs and services
are available in the institution. Programs include receiving and diagnostic units,
prerelease units, separate units for special offenders, and so forth.

Policy and Goal Formulation
4-4003
(Ref. 3-4003)

Written policy, procedure, and practice provide that the warden/superintendent
formulates goals for the institution at least annually and translates them into
measurable objectives.
Comment: Goals facilitate decision making, especially in an atmosphere of change.
Measurable objectives facilitate the process of program review, monitoring, and
evaluation.

4-4004
(Ref. 3-4004)

Written policy, procedure, and practice demonstrate that employees
participate in the formulation of policies, procedures, and programs.
Comment:
Employee participation can be achieved through staff meetings,
suggestion programs, employee councils, and similar formats.

4-4005
(Ref. 3-4005)

Written policy, procedure, and practice demonstrate that related community
agencies with which the institution has contact participate in policy
development, coordinated planning, and interagency consultation.
Comment: The conduct of the institution affects and is affected by agencies and
groups within and outside the criminal justice system. Interaction with these
organizations creates a forum for coordination and cooperation.

Appointed Personnel

Warden/Superintendent

Page 1 of 175

Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
4-4006
(2010 Supplement)

Agreement Number 5600000770
Attachment 9
Amendment 7

Written policy, procedure, and practice provide that each institution is headed
by a warden/superintendent, appointed by the administrator or governing
board of the parent agency, who is in charge of all inmates, personnel,
volunteers, programs, and activities connected with the institution.
Comment: The warden/superintendent’s chain of command should extend directly to
all staff. Similarly, all employees and units within the institution should ultimately be
responsible to this individual.

4-4006
(Ref. 3-4006)

Written policy, procedure, and practice provide that each institution is headed
by a warden/superintendent who is in charge of all inmates, personnel,
volunteers, programs, and activities connected with the institution.
Comment: The warden/superintendent's chain of command should extend directly to
all staff. Similarly, all employees and units within the institution should ultimately be
responsible to this individual.

4-4007
(2010 Supplement)

Deleted.

4-4007
(Ref. 3-4007)

The warden/superintendent is appointed by the administrator or governing
board of the parent agency.
Comment: None.

Qualifications
4-4008
(Ref. 3-4008)

The qualifications, authority, and responsibilities of the warden/superintendent
and other appointed personnel who are not covered by merit systems, civil
service regulation, or union contract are specified in writing by statute or by
the parent agency.
Comment: Explicit position descriptions for institutional appointments ensure that
personnel meet minimum standards and reduce opportunities for political
interference in appointments.

4-4009
(2010 Supplement)

Revised August 2003. To be considered qualified, a warden/superintendent at
a minimum must possess the following: a bachelor’s degree in an appropriate
discipline, five years of related administrative experience, and demonstrated
administrative ability and leadership. The degree requirement may be satisfied
by completion of a career development program that includes work-related
experience, training, or college credits at a level of achievement equivalent to
the bachelor’s degree.
Comment: Establishing high qualifications ensures that only qualified individuals are
recruited and hired.
It is the agency’s responsibility to see that potential
administrators receive the required education.

4-4009
(Ref. 3-4009)

The qualifications for the position of warden/superintendent include at a
minimum the following: a bachelor's degree in an appropriate discipline; five
years of related administrative experience; and demonstrated administrative
ability and leadership. The degree requirement may be satisfied by completion
of a career development program that includes work-related experience,
training, or college credits at a level of achievement equivalent to the
bachelor's degree.

Page 2 of 175

Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

Comment: Establishing high qualifications ensures that only qualified individuals are
recruited and hired.
It is the agency's responsibility to see that potential
administrators receive the required education.

Table of Organization
4-4010
(Ref. 3-4011)

There is a written document describing the institution's organization. The
description includes an organizational chart that groups similar functions,
services, and activities in administrative subunits. This document is reviewed
annually and updated as needed.
Comment: A current organizational chart is necessary for providing a clear
administrative picture. The chart should reflect the grouping of functions, the
effective span of control, lines of authority, and orderly channels of communication.

Role of Outside Agencies
4-4011
(2010 Supplement)

Revised August 2009. The role and functions of employees of other public or
private agencies providing a service to the institution are covered by written
policy and procedure that specify their relation to the authority and the
responsibility of the warden/superintendent.
Comment: The duties and responsibilities of personnel employed by other public or
private agencies should be specific in a contract or other type of agreement.

4-4011
(Ref. 3-4012)

The role and functions of employees of other public or private agencies
providing a service to the institution are covered by written policy and
procedure that specify their relation to the authority and responsibility of the
warden/superintendent. These policies and procedures are reviewed at least
annually and updated as needed.
Comment: The duties and responsibilities of personnel employed by other public or
private agencies should be specified in a contract or other type of agreement.

Policy and Procedure Manuals
4-4012
(Ref. 3-4013)

The policies and procedures for operating and maintaining the institution and
its satellites are specified in a manual that is accessible to all employees and
the public. This manual is reviewed at least annually and updated as needed.
Comment: A government agency has an obligation to make public its philosophy,
goals, and objectives. A program should be conducted to familiarize employees with
the manual.

4-4013
(Ref. 3-4014)

Each department and major administrative unit in the institution maintains and
makes available to employees a manual of standard operating procedures that
specifies how policies are to be implemented. These procedures are reviewed
at least annually and are updated as needed.
Comment: Detailed manuals of standard operating procedures assist employees in
successfully carrying out their assignments and help ensure overall conformance to
institutional policy and procedure. All employees should be thoroughly familiar with
the sections concerning their particular assignments.

Page 3 of 175

Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
4-4014
(Ref. 3-4015)

Agreement Number 5600000770
Attachment 9
Amendment 7

Written policy, procedure, and practice provide that new or revised policies
and procedures are disseminated to designated staff and volunteers and,
when appropriate, to inmates prior to implementation.

Comment:
Rapid dissemination of policies and procedures increases the
effectiveness of the institution's communication system.

Channels of Communication
4-4015
(Ref. 3-4016)

Written policy, procedure, and practice provide for regular meetings between
the warden/superintendent and all department heads and between department
heads and their key staff members. Such meetings are to be conducted at
least monthly.
Comment: Regular channels of communication are necessary for delegating
authority, assigning responsibility, supervising work, and coordinating efforts.

4-4016
(Ref. 3-4017)

Written policy, procedure, and practice provide for a system of two-way
communication between all levels of staff and inmates.
Comment: None.

Monitoring and Assessment
4-4017
(2010 Supplement)

Revised January 2003. Written policy, procedure, and practice provide for a
system to monitor operations and programs through inspections and reviews.
This monitoring is conducted by the warden/superintendent or designated
staff at least annually and by qualified professionals not affiliated with the
facility or system at least every three years.
Comment: Timely and periodic assessment can reveal how well an institution’s
operation and programs are complying with policy and procedure. This internal
administrative audit should be separate from any external or continuous inspection
conducted by other agencies.

4-4017
(Ref. 3-4018)

Written policy, procedure, and practice provide for a system to monitor
operations and programs through inspections and reviews. This monitoring is
conducted by the warden/superintendent or designated staff at least annually.
Comment: Timely and periodic assessment can reveal how well an institution’s
operations and programs are complying with policy and procedure. This internal
administrative audit should be separate from any external or continuous inspection
conducted by other agencies.

4-4018
(Ref. 3-4019)

Written policy, procedure, and practice demonstrate that the institution reports
its activities at least quarterly to the parent agency. These reports are in
writing and include major developments in each department or administrative
unit, major incidents, population data, assessment of staff and inmate morale,
and major problems and plans for solving them.
Comment: Routine reporting by individual institutions enables the parent agency to
stay informed about programs, activities, and problems throughout the system. The
exchange of reports among institutions offers opportunities for solving problems
jointly.

Page 4 of 175

Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
Public Information
4-4019
(Ref. 3-4020)

Agreement Number 5600000770
Attachment 9
Amendment 7

Written policy, procedure, and practice provide that requests from federal,
state, and local legislators and executives for information about operations or
specific inmates are responded to promptly by facility staff and with due
regard to privacy protection statutes.
Comment: Full and prompt cooperation with requests from legislative and executive
offices is necessary if the institution is to maintain its integrity and credibility with
other elements of government.

4-4020
(Ref. 3-4021)

Written policy, procedure, and practice provide for a public information
program that encourages interaction with the public and the media.
Comment: A continuing public information program helps to communicate the
institution's goals and objectives and to foster community involvement and support.

4-4021
(2010 Supplement)

Revised August 2008. Written policy, procedure, and practice establish the
facility’s commitment to informing the public and the media of events within
the facility’s areas of responsibility. The procedures address emergency and
nonemergency responses to the media and, at a minimum, include the
following:







the identification of areas in the facility that are accessible to media
representatives, consistent with preserving inmates’ right to privacy
and maintaining order and security
the contact person for routine requests for information
identification of data and information protected by federal or state
privacy laws, or federal and state freedom of information laws
special events coverage
news release policy
the designation of individuals or positions within the facility
authorized to speak with the media on behalf of the facility

Comment: The complexity of the policy statement should be consistent with the size
and complexity of the operation.
4-4021
(Ref. 3-4021-1)

Written policy, procedure, and practice establish the facility's commitment to
informing the public and the media of events within the facility's areas of
responsibility.
The procedures address emergency and nonemergency
responses to the media and, at a minimum, include the following:







the identification of areas in the facility that are accessible to media
representatives
the contact person for routine requests for information
identification of data and information protected by federal or state
privacy laws, or federal and state freedom of information laws
special events coverage
news release policy
the designation of individuals or positions within the facility authorized
to speak with the media on behalf of the facility

Comment: The complexity of the policy statement should be consistent with the size
and complexity of the operation.

Page 5 of 175

Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
Media Access

Agreement Number 5600000770
Attachment 9
Amendment 7

4-4022
(2010 Supplement)

Deleted.

4-4022
(Ref. 3-4022)

Written policy, procedure, and practice grant representatives of the media
access to the institution consistent with preserving inmates' right to privacy
and maintaining order and security.
Comment: None.

Legal Counsel
4-4023
(Ref. 3-4023)

Written policy and procedure specify the circumstances and methods for the
warden/superintendent and other staff to obtain legal assistance as needed in
the performance of their duties.
Comment: Qualified legal assistance is necessary to ensure that policies and
procedures are consistent with relevant court decisions. Legal counsel can also
advise on meeting statutory and court requirements, advise on institutional
operations and individual cases, and provide representation before courts and other
bodies. Counsel should be available promptly and continuously.

Political Practices
4-4024
(Ref. 3-4024)

There is a written policy regarding campaigning, lobbying, and political
practices. This policy conforms with governmental statutes and regulations
and is known and available to all employees.
Comment: None.

Section B: Fiscal Management
Principle: A written body of policy and procedure establishes the institution's fiscal planning,
budgeting, and accounting procedures, and establishes a system of regular
review.
Fiscal Control
4-4025
(Ref. 3-4025)

Consistent with policy, the warden/superintendent is responsible for fiscal
policy, management, and control. Management of fiscal operations may be
delegated to a designated staff person.
Comment: The warden/superintendent should have authority over all the institution's
fiscal matters. Agency and institutional fiscal personnel should maintain close
coordination.

Page 6 of 175

Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
4-4026
(Ref. 3-4026)

Agreement Number 5600000770
Attachment 9
Amendment 7

The fiscal officer has appropriate professional qualifications, including at a
minimum a bachelor's degree in business administration or a related field and
three or more years of demonstrated supervisory and administrative
experience. The degree requirement may be satisfied by completion of a
career development program that includes work-related experience, training,
or college credits at a level of achievement equivalent to the bachelor's
degree.
Comment: None.

4-4027
(Ref. 3-4027)

Written policy, procedure, and practice cover, at a minimum, the following
fiscal areas: internal controls, petty cash, bonding for all appropriate staff,
signature control on checks, and the issuing or use of vouchers.
Comment: None.

Budget Preparation
4-4028
(Ref. 3-4028)

The institution's budget request complies with the policies, procedures, and
instructions of the jurisdiction of which the institution is a part. Institution
staff participate in preparing the institution's written budget request.
Comment: Staff participation in budget development helps define needed resources
and provides staff with a better understanding of budgetary constraints and priorities.

4-4029
(Ref. 3-4029)

The warden/superintendent participates in budget deliberations conducted by
the parent agency or the next higher level of government. This participation
includes requests for funds for maintaining the institution's daily operations,
financing capital projects, and supporting long-range objectives, program
development, and additional staff requirements.
Comment: None.

4-4030
(Ref. 3-4030)

Written policy, procedure, and practice provide for budget revisions.
Comment: Because it is a guideline for anticipated revenues and expenditures, a
budget may be revised periodically. Significant revisions should be approved by the
parent agency and any other appropriate government agency.

Accounting Procedures
4-4031
(2010 Supplement)

Revised August 2009. Written policy, procedure, and practice demonstrate
that the procedures for the collecting, safeguarding, and disbursing of monies
comply with the accounting procedures established by the governing
jurisdiction.
Comment: The institution’s fiscal policies and procedures should be patterned after
those of the governing authority and should be compatible with the state’s central
accounting system. These include policies and procedures for fiscal recordkeeping,
reports, reviews, audits, disbursements, position allocations, payroll, cash
transactions, commissary/canteen operations, and inmates’ personal funds, if any.

Page 7 of 175

Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
4-4031
(Ref. 3-4031)

Agreement Number 5600000770
Attachment 9
Amendment 7

Written policy, procedure, and practice demonstrate that the procedures for
the collecting, safeguarding, and disbursing of monies comply with the
accounting procedures established by the governing jurisdiction. These
procedures are reviewed annually and updated, as needed.
Comment: The institution's fiscal policies and procedures should be patterned after
those of the governing authority and should be compatible with the state's central
accounting system. These include policies and procedures for fiscal recordkeeping,
reports, reviews, audits, disbursements, position allocations, payroll, cash
transactions, commissary/canteen operations, and inmate's personal funds, if any.

4-4032
(Ref. 3-4032)

The institution's accounting system is designed to show the current status of
appropriations and expenditures.
Comment: Current information is needed to meet objectives, prevent budget
discrepancies, respond to emerging needs, and ensure that the flow of funds is
proceeding as planned.

Cash Management
4-4033
(Ref. 3-4033)

Written policy, procedure, and practice provide that all monies collected at the
institution are placed in an officially designated and secure location daily.
Comment: None.

4-4034
(Ref. 3-4034)

Written policy, procedure, and practice provide that reports of all monies
collected and disbursed are distributed to the parent agency and other
designated authorities.
Comment: None.

Internal Monitoring
4-4035
(Ref. 3-4035)

Written policy, procedure, and practice provide for ongoing monitoring of the
institution's fiscal activities. The results are reported in writing at least
quarterly and are forwarded to the parent agency.
Comment: Internal monitoring allows an institution to determine whether internal
control procedures are being followed and to strengthen them where needed.

Independent Audit
4-4036
(Ref. 3-4036)

Written policy, procedure, and practice provide for an independent financial
audit of the facility. This audit is conducted annually or as stipulated by
statute or regulation, but at least every three years. If the facility is a part of a
state system, an internal audits section or department of the agency's central
administration and/or statutory agency shall be considered independent of the
facility to be audited.
Comment: None.

Inventory

Page 8 of 175

Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
4-4037
(Ref. 3-4037)

Agreement Number 5600000770
Attachment 9
Amendment 7

Written policy and procedure govern inventory control of property, supplies,
and other assets. Inventories are conducted at time periods stipulated by
applicable statutes but at least every two years.

Comment: Current and complete inventory records should be maintained for all
property and equipment. Property records should include the following information:
purchase date and price; source of funds; current value (if applicable); unit and
location to which assigned; and name of person charged with custody.

Purchasing

Supplies and Equipment
4-4038
(Ref. 3-4038)

Written policy and procedure govern the requisition and purchase of supplies
and equipment, including, at a minimum, the purchasing procedures and
criteria for the selection of bidders and vendors.
Comment: All supplies and equipment for the institution should be procured on a
competitive bid basis, preferably through a central purchasing agency. Provision
should be made for warehousing when economically desirable.

Community Services
4-4039
(Ref. 3-4039)

Funds are available for purchasing community services to supplement
existing programs and services.
Comment: Needed programs and service - for example, vocational training or
specialized health care for inmates - that are not available from the institution should
be purchased from appropriate community sources.

Position Control
4-4040
(Ref. 3-4040)

Written policy and procedure regulate position control regarding position
allocation, budget authorization, personnel records, and payroll.
Comment: Information on the number and type of positions filled and vacant should
be available at all times. The fiscal office should verify that all payroll positions are
authorized in the budget, that all persons on the payroll are legally employed, that
attendance records support the payroll, and that needed funds are available. The
payroll should be based on timekeeping records.

Institutional Insurance
4-4041
(Ref. 3-4041)

Written policy, procedure, and practice provide for institutional insurance
coverage, including, at a minimum, the following: worker's compensation,
civil liability for employees, liability for official vehicles, and a public employee
blanket bond.
Comment: Coverage can be provided by private companies, a self-insurer’s
program, or state indemnification.

Commissary/Canteen

Page 9 of 175

Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
4-4042
(Ref. 3-4042)

Agreement Number 5600000770
Attachment 9
Amendment 7

An inmate commissary or canteen is available where inmates can purchase
approved items that are not furnished by the facility.
The
canteen/commissary's operations are strictly controlled using standard
accounting procedures.
Comment: To minimize differences in individual spending power, restrictions should
be placed on purchases and means of purchase other than cash should be
considered.

4-4043
(Ref. 3-4043)

Commissary/canteen funds are audited independently following standard
accounting procedures, and an annual financial status report is available as a
public document.
Comment: An annual report outlining the commissary/canteen's financial status
helps to safeguard the integrity of these operations.

Inmate Funds
4-4044
(Ref. 3-4044)

Written policy and procedure govern the operation of any fund established for
inmates. Any interest earned on monies other than operating funds accrues to
the benefit of the inmates.
Comment: When money is available from donations, commissary/canteen profits, or
other sources, a fund should be established for the benefit of the inmates. The
responsibility for administering such a fund should be fixed, and specific guidelines
and controls should be established for collecting, safeguarding, and spending these
monies.

4-4045
(Ref. 3-4045)

Inmates' personal funds held by the institution are controlled by accepted
accounting procedures.
Comment: The responsibility for the control and accounting of inmates' personal
funds usually is delegated to the institution's business manager. Inmates should
receive receipts for all financial transactions.

4-4046
(Ref. 3-4046)

Written policy, procedure, and practice provide that inmates can deposit
personal funds in interest-bearing accounts and accrue the interest earned on
those accounts.
Comment: Inmates should have the opportunity to deposit and withdraw funds in
their accounts unless substantial reasons justify otherwise. Any interest earned,
whether the individual's funds are in a personal account or are consolidated in a
centralized account, should accrue to the inmate.

4-4047
(Ref. 3-4047)

Written policy, procedure, and practice provide that any financial transactions
permitted between inmates must be approved by staff.
Comment: Uncontrolled financial transactions between inmates can foster illegal
activities.

Section C: Personnel
Principle:

A written body of policy and procedure establishes the institution's staffing,
recruiting, promotion, benefits, and review procedures for employees.
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Corrections Corporation of America
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ACA Standards
Personnel Policy Manual
4-4048
(Ref. 3-4048)

Agreement Number 5600000770
Attachment 9
Amendment 7

A personnel policy manual is available for employee reference and covers at a
minimum the following areas:












organization chart (table of organization)
recruitment and promotion, including equal employment opportunity
provisions
job descriptions and qualifications, including salary determinations
physical fitness policy
benefits, holidays, leave, and work hours
personnel records and employee evaluations
staff development, including in-service training
retirement, resignation, and termination
employee-management relations, including disciplinary procedures
and grievance and appeals procedures
statutes relating to political activities
insurance/professional liability requirements

New staff are informed in writing of the institution's hostage policy in regard to
staff roles and safety.
Comment: Written personnel regulations help ensure equitable and consistent
treatment of all employees. Every employee should have the opportunity to review
the personnel manual at the time of employment and thereafter, and employees
should be encouraged to ask questions about personnel policies.
4-4049
(Ref. 3-4049)

The warden/superintendent reviews the institution’s internal personnel
policies annually and submits to the parent agency any recommended
changes that are relevant to the parent agency’s policies.
Comment: None.

Staffing Requirements
4-4050
(Ref. 3-4050)

The staffing requirements for all categories of personnel are determined on an
ongoing basis to ensure that inmates have access to staff, programs, and
services.
Comment: Staffing requirements should be determined on more than inmate
population figures and should include review of staffing needs for health care,
academic, vocational, library, recreation, and religious programs and services.
Workload ratios should reflect such factors as goals, legal requirements, character
and needs of the inmates supervised, and other duties required of staff. Workloads
should be sufficiently low to provide access to staff and effective services.

4-4051
(Ref. 3-4051)

The institution uses a formula to determine the number of staff needed for
essential positions. The formula considers, at a minimum, holidays, regular
days off, annual leave, and average sick leave.
Comment: Additional factors that can be included in the formula are time off duty for
training, military leave time, and factors specific to the institution and jurisdiction.
Positions requiring staffing for more than one shift and/or more than five days per
week should be budgeted for the full staffing needed.

Page 11 of 175

Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
4-4052
(Ref. 3-4052)

Agreement Number 5600000770
Attachment 9
Amendment 7

The warden/superintendent can document that the overall vacancy rate among
the staff positions authorized for working directly with inmates does not
exceed 10 percent for any 18-month period.

Comment: Wardens/superintendents should ensure that a pool or register of eligible
candidates is available to fill or keep to a minimum any vacancies among staff who
work directly with inmates (correctional officers, counselors, teachers, chaplains,
librarians, and so on). Position vacancies that are frozen by legislative or fiscal
controls should not be considered in the 10 percent vacancy rate specified in the
standard. When unusual conditions cause an excessive number of vacancies, the
warden/superintendent should notify the central agency in writing about the disparity
between positions authorized and filled, documenting the reasons and alerting the
agency to the potential problems.

Equal Employment Opportunity
4-4053
(Ref. 3-4053)

Written policy specifies that equal employment opportunities exist for all
positions. When deficiencies exist regarding the employment of minority
groups and women, the institution can document the implementation of an
affirmative action program that is approved by the appropriate government
agency and can document annual reviews and the changes needed to keep the
program current.
Comment: Equal employment opportunity is a public policy goal. All qualified
persons should be able to compete equally for entry into and promotion within the
institution, and the affirmative action program should actively encourage the
participation of members of minority groups, individuals with a disability, and women
in the institution’s staff development program. The affirmative action program also
should include corrective actions, when needed, in policies regarding pay rate,
demotion, transfer, layoff, termination, and upgrades.

4-4054
(Ref. 3-4053-1)

Written policy, procedure, and practice provide a mechanism to process
requests for reasonable accommodation to the known physical and/or mental
impairments of a qualified individual with a disability, either an applicant or an
employee. The accommodation need not be granted if it would impose an
undue hardship or direct threat.
Comment: Reasonable accommodation refers to modifications or adjustments which
enable qualified applicants with disabilities to access the job application process or
which enable qualified employees with disabilities to perform the essential functions
of the job and to enjoy the same terms, conditions, and privileges of employment that
are available to persons without disabilities. Terms, conditions, and privileges
include, but are not limited to:







recruitment, selection, and hiring
salary and compensation
benefits, holidays, leave, and work hours
promotion and advancement
staff development, including in-service training
retirement, resignation, and termination

An undue hardship means significant difficulty or expense. Direct threat means a
significant risk of substantial harm to the health or safety of any person, including the
applicant or employee with a disability, that cannot be eliminated or reduced by
reasonable accommodation. A qualified individual with a disability means an

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

individual with a disability who satisfies the requisite skill, experience, education,
and other job-related requirements for the employment position such individual holds
or desires, and who, with or without reasonable accommodation, can perform the
functions of such position.

4-4055
(Ref. 3-4054)

Written policy, procedure, and practice provide for the employment of qualified
ex-offenders.
Comment: Ex-offenders can be a valuable personnel resource and should not be
discriminated against when they seek employment. Qualified applicants should be
assured equal employment opportunity.

4-4056
(Ref. 3-4054-1)

Written policy, procedure, and practice prohibit sexual harassment.
Comment: Facility administrators should have as their objective the creation of a
workplace that is free from all forms of discrimination, including sexual harassment.
Facility policy clearly indicates that sexual harassment, either explicit or implicit, is
strictly prohibited. Employees and agents of the facility, including volunteers,
contractors, and vendors, must be advised that they are subject to disciplinary
action, including dismissal and termination of contracts and/or services, if found
guilty of sexual harassment charges brought by employees or inmates.

Selection and Promotion
4-4057
(Ref. 3-4055)

Written policy, procedure, and practice provide that all personnel
covered by merit systems, civil service regulations, or union contracts
are selected, retained, and promoted on the basis of merit and specified
qualifications. New employees receive credit for their prior training.
Comment: All hiring policies and employment qualifications should be
examined with the assistance of equal employment specialists from outside
the agency to ensure that the personnel system is open and fair with no
artificial barriers to employment. Qualifications should be demonstrably
related to the skills needed to perform the work.

4-4058
(Ref. 3-4056)

Written policy, procedure, and practice provide for lateral entry as well
as promotion from within the institution.
Comment: Anyone with the required education, experience, and background
should be eligible for consideration for a position at the level at which he or
she is qualified. Provisions for lateral entry enable the institution to obtain
the best qualified persons for positions even though the institution’s
personnel policies may emphasize promotion from within.

Probationary Term
4-4059
(Ref. 3-4057)

Written policy, procedure, practice provide that employees covered by
merit systems, civil service regulations, or union contract are
appointed initially for a probationary term of at least six months but no
longer than one year.
Comment: Employee performance during the probationary term should be
evaluated at least every two months using forms developed for that purpose,
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Agreement Number 5600000770
California Department of Corrections and Rehabilitation
Attachment 9
ACA Standards
Amendment 7
and all employees should have the opportunity to discuss their evaluations.
Those not performing satisfactorily should be terminated during their
probationary period. Employees transferring from one facility to another
within the same system should not be required to repeat a probationary term.
Provisional Appointments
4-4060
(Ref. 3-4058)

Written policy, procedure, and practice provide for provisional appointments
to ensure that short-term personnel, both full-time and part-time, can be
available during emergencies.
Comment: Civil service, merit system, and union requirements should be modified to
allow the short-term employment of additional personnel during vacations, rises in
the inmate population, or other situations that leave the institution understaffed.
While provisional personnel should meet the minimum requirements for the positions
they fill, they should not be considered permanent replacements for permanent
personnel.

Criminal Record Check
4-4061
(2010 Supplement)

Revised August 2007. A criminal record check is conducted on all new
employees, contractors, and volunteers prior to assuming their duties to
identify whether there are criminal convictions that have a specific relationship
to job performance.
This record will include comprehensive identifier
information to be collected and run against law enforcement indices. If
suspect information on matters with potential terrorism connections is
returned on a desirable applicant, it is forwarded to the local Joint Terrorism
Task Force (JTTF) or another similar agency.
Comment: The institution’s administrators should know of any criminal conviction
that could directly affect an employee’s job performance in an institutional setting.
Comprehensive identifiers may include current name, birth name, date of birth, social
security number, address, phone number, copy of driver’s license, copy of passport
(if any), and similar information. Such information is run against NCIC criminal
histories, criminal indices, and “wants and warrants.”

4-4061
(Ref. 3-4059)

A criminal record check is conducted on all new employees in accordance
with state and federal statutes. The purpose of the check is to detect any
criminal convictions that relate specifically to job performance.
Comment: The institution’s administrators should know of any criminal conviction
that could directly affect an employee’s job performance in an institutional setting.

Physical Examination
4-4062
(Ref. 3-4060)

Written policy, procedure, and practice provide that employees who have
direct contact with inmates receive a physical examination prior to job
assignment. All other employees receive a medical screening prior to job
assignment. Employees receive reexaminations according to a defined need
or schedule.
Comment: Staff whose responsibilities include security and control or regular direct
contact with inmates must have physical examinations to protect their health and
ensure that they can carry out their assignments effectively. The basic health status
of all employees should be evaluated against the specific requirements of their

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

assignments. Physical examination and screening procedures may be established
by the appropriate medical authority in accordance with applicable laws and
regulation.

Drug-free Workplace
4-4063
(2010 Supplement)

Revised August 2009. There is a written policy and procedure that specifies
support for a drug-free workplace for all employees. This policy includes at a
minimum the following:






prohibition of the use of illegal drugs
prohibition of possession of any illegal drug except in the performance
of official duties
the procedures to be used to ensure compliance
the opportunities available for treatment and/or counseling for drug
abuse
the penalties for violation of the policy

Comment: None.

4-4063
(Ref. 3-4061)

There is a written policy and procedure that specifies support for a drug-free
workplace for all employees. This policy, which is reviewed at least annually,
includes, at a minimum, the following:






prohibition of the use of illegal drugs
prohibition of possession of any illegal drug except in the performance
of official duties
the procedures to be used to ensure compliance
the opportunities available for treatment and/or counseling for drug
abuse
the penalties for violation of the policy

Comment: None.

Performance Reviews
4-4064
(Ref. 3-4062)

Written policy, procedure, and practice provide for an annual written
performance review of each employee. The review is based on defined
criteria, and the results are discussed with the employee.
Comment: Performance reviews should be an ongoing process with written
evaluations completed at least annually. Reviews should be objective and based on
specific job criteria and explicit performance standards.

Compensation and Benefits
4-4065
(Ref. 3-4063)

Compensation and benefit levels for all institutional personnel are comparable
to those for similar occupational groups in the state or region.
Comment: Competitive salaries and attractive benefits are necessary to recruit and
retain staff of high caliber. Occupational fields with positions similar to those in the
correctional field include education, social work, accounting, and office management.

4-4066
(Ref. 3-4064)

Written policy, procedure, and practice provide for employees to be
reimbursed for all approved expenses incurred in the performance of their

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
duties.

Agreement Number 5600000770
Attachment 9
Amendment 7

Comment: Funds should be available for approved reimbursements.

Personnel Files
4-4067
(Ref. 3-4065)

The institution maintains a current, accurate, confidential personnel record on
each employee.
Information obtained as part of a required medical
examination (and/or inquiry) regarding the medical condition or history of
applicants and employees is collected and maintained on separate forms and
in separate medical files and treated as a confidential medical record.
Comment: The personnel record should contain the following: initial application;
reference letters; results of employment investigation; verification of training and
experience; wage and salary information; job performance evaluations; incident
reports; if any; and commendations and disciplinary actions, if any.

4-4068
(Ref. 3-4066)

Written policy, procedure, and practice provide that employees may challenge
the information in their personnel file and have it corrected or removed if it is
proved inaccurate.
Comment: Employees should be allowed to review their personnel files to see that
they are current and to check for omissions or inaccuracies. Procedures should
specify the means for correcting discrepancies.

Code of Ethics
4-4069
(2010 Supplement)

Revised January 2003. A written code of ethics shall require employees to
conduct themselves and perform their duties in such a way as to set a good
example for prisoners and thereby command their respect. The code of ethics
shall prohibit employees from using their official position to secure privileges
for themselves or others and from engaging in activities that constitute a
conflict of interest. This code is available to all employees.
Comment: To protect the integrity of the institution, its staff, and the parent agency,
all personnel must be thoroughly familiar with the code of ethics, and the code must
be strictly enforced.

4-4069
(Ref. 3-4067)

A written code of ethics prohibits employees from using their official position
to secure privileges for themselves or others and from engaging in activities
that constitute a conflict of interest. This code is available to all employees.
Comment: To protect the integrity of the institution, its staff, and the parent agency,
all personnel must be thoroughly familiar with the code of ethics and the code must
be strictly enforced.

Confidentiality of Information
4-4070
(Ref. 3-4068)

Written policy, procedure, and practice provide that consultants and contract
personnel who work with inmates are informed in writing about the
institution’s policies on confidentiality of information and agree to abide by
them.
Comment: The written policies should specify what types of information are
confidential between worker and inmate, what types should be shared with other

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Corrections Corporation of America
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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

institutional personnel, and what types can be communicated to persons outside the
institution.

Employee Assistance Program
4-4071
(Ref. 3-4069)

Written policy, procedure, and practice provide for an employee assistance
program that is approved by the parent agency.
Comment: An employee assistance program provide counseling and/or referral to
any employee with a personal problem that is affecting or has the potential to affect
the individual’s work performance. The program assists the employee in identifying
the problem and locating sources of treatment or rehabilitative help.
[NOTE: There is no number 4-4072. The next number is 4-4073.]

Section D: Training and Staff Development
Principle: A written body of policy and procedure establishes the institution’s training and
staff development programs, including training requirements for all categories of
personnel.
Program Coordination and Supervision
4-4073
(Ref. 3-4070)

Written policy, procedure, and practice provide that the institution’s employee
staff development and training programs are planned, coordinated, and
supervised by a qualified supervisory employee. The training plan is reviewed
annually.
Comment:
The training plan should include all preservice, in-service, and
specialized training curriculums, with specific timelines for completing each training
unit. The plan should consider the institution’s mission, physical characteristics, and
specific inmate populations.

4-4074
(Ref. 3-4071)

The qualified individual coordinating the staff development and training
program has specialized training for that position. Full-time training personnel
have completed at least a 40-hour training-for-trainers course.
Comment: None.

Training Plan
4-4075
(Ref. 3-4072)

The training plan is developed, evaluated, and updated based on an annual
assessment that identifies current job-related training needs.
Comment: Training should be responsive to position requirements, professional
development needs, current correctional issues, and new theories, techniques, and
technologies. The annual needs assessment may require information from many
sources: observation and analysis of job components; staff surveys regarding
training needs; reviews of agency/facility operations; staff reports; and evaluations
and findings from sources within and outside the jurisdiction.

4-4076
(Ref. 3-4073)

The institution’s training plan is developed by an advisory training committee
composed of the institution’s training coordinator and representatives from
other institutional departments. The committee meets at least quarterly to

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

review progress and resolve problems, and a written record of these meetings
is forwarded to the warden/superintendent.
Comment: None.

Training Evaluation
4-4077
(Ref. 3-4074)

The institution’s training plan provides for ongoing formal evaluation of all
preservice, in-service, and specialized training programs. A written report is
prepared annually.
Comment: Ongoing evaluation should include appraisals from trainees, supervisors,
and inmates.

Training Resources
Reference Services
4-4078
(Ref. 3-4075)

Library and reference services are available to complement the training and
staff development program.
Comment:
Reference materials should be readily accessible to employees.
Materials not usually available at the institution should be acquired through other
sources, such as criminal justice clearinghouses and interlibrary loans.

Outside Resources
4-4079
(Ref. 3-4076)

Space and Equipment
4-4080
(Ref. 3-4077)

The training and staff development program uses the resources of public and
private agencies, private industry, colleges, universities, and libraries.
Comment: Outside guidance and assistance for the institution’s training program
can take the form of materials, equipment, course development, and evaluation
techniques.
Numerous resources exist, including the National Institute of
Corrections (NIC) and the NIC Academy Division, the National Institute of Justice,
large corporations, and professional groups.
The necessary space and equipment for the training and staff development
program are available.
Comment: Facilities for classroom instruction should be easily accessible, free from
distracting noise or observation by inmates, large enough to accommodate 20 to 30
students, and appropriate for audiovisual presentations. Separate spaces should be
provided for specialized training (for example, use of firearms and/or chemical
agents, physical training).

Reimbursement
4-4081
(Ref. 3-4078)

The institution’s budget includes funds to reimburse staff for their time when
training is conducted during off-duty hours.
Comment: Because it is not always practical to release correctional officers and
other staff for training during their regular duty hours, staff should be compensated
for their off-duty time spent in training. When officers are taken off the job for
training, there should be sufficient funds for replacement personnel.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
Training Requirements

Agreement Number 5600000770
Attachment 9
Amendment 7

Orientation

4-4082
(Ref. 3-4079)

Written policy, procedure, and practice provide that all new full-time
employees must complete a formalized 40-hour orientation program before
undertaking their assignments. At a minimum, the orientation program should
include instruction in the following: the purpose, goals, policies, and
procedures for the facility and parent agency; security and contraband
regulations; key control; appropriate conduct with offenders; responsibilities
and rights of employees; universal precautions; occupational exposure;
personal protective equipment; biohazardous waste disposal; and an overview
of the correctional field.
Comment: None.

Administrative Staff
4-4083
(Ref. 3-4080)

Written policy, procedure, and practice provide that all administrative and
managerial staff receive 40 hours of training in addition to orientation training
during their first year of employment and 40 hours of training each year
thereafter, in areas relevant to their position.
Comment: Ongoing training in topics relevant to an employee’s position enhances
skill and job performance.

Correctional Officers
4-4084
(2010 Supplement)

Revised August 2005. Written policy, procedure, and practice provide that all
new correctional officers receive 120 hours of training during their first year of
employment. At a minimum, this training covers the following areas:














security and safety procedures
emergency and fire procedures
supervision of offenders
suicide intervention/prevention
use of force
offender rights
key control
interpersonal relations
communication skills
standards of conduct
cultural awareness
sexual abuse/assault intervention
code of ethics

Additional topics may be added at the discretion of the agency or facility.
Comment:
Since the duties of correctional officers frequently involve most
institutional operations, their training should be comprehensive.
4-4084
(Ref. 3-4081)

Written policy, procedure, and practice provide that all new correctional
officers receive an added 120 hours of training during their first year of
employment and an added 40 hours of training each subsequent year of
employment. At a minimum, this training covers the following areas:

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards


















Agreement Number 5600000770
Attachment 9
Amendment 7

security procedures
supervision of offenders
signs of suicide risks
suicide precautions
use-of-force regulations and tactics
report writing
offender rules and regulations
rights and responsibilities of offenders
fire and emergency procedures
safety procedures
key control
interpersonal relations
social/cultural lifestyles of the offender population
communication skills
first aid/CPR
counseling techniques
cultural diversity

Comment:
Since the duties of correctional officers frequently involve most
institutional operations, their training should be comprehensive. Ongoing training
during subsequent years of employment enables employees to sharpen skills and
keep abreast of changes in operational procedures.
4-4084-1
(2010 Supplement)

Added August 2005. Written policy, procedure, and practice provide that all
correctional officers receive at least 40 hours of annual training. This training
shall include at a minimum the following areas:





standards of conduct/ethics
security/safety/fire/medical/emergency procedures
supervision of offenders including training on sexual abuse and
assault
use of force

Additional topics shall be included based upon a needs assessment of both
staff and institution requirements.
Comments: This training will enable employees to sharpen skills, maintain
certification, and keep abreast of changes in policies, procedures, and legislative,
judicial, or executive actions.
Specialist Employees
4-4085
(Ref. 3-4082)

Written policy, procedure, and practice provide that all professional specialist
employees who have inmate contact receive 40 hours of training in addition to
orientation training during their first year of employment and 40 hours of
training each year thereafter.
Comment: Case managers, chaplains, teachers, medical personnel, and other
specialists whose backgrounds include considerable training for their positions
should receive specific training in their field as it relates to the institutional setting.

Support Staff
4-4086

Written policy, procedure, and practice provide that all support employees who

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Corrections Corporation of America
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ACA Standards
(Ref. 3-4083)

Agreement Number 5600000770
Attachment 9
Amendment 7

have regular or daily contact with inmates receive 40 hours of training in
addition to orientation training during their first year of employment and 40
hours of training each year thereafter.

Comment: Food service employees, industry supervisors, and other support
personnel whose work requires day-to-day contact with inmates should receive basic
training in inmate supervision and security as well as specialized training in their field
as it relates to the institutional setting.
4-4087
(Ref/ 3-4084)

Written policy, procedure, and practice provide that all clerical/support
employees who have minimal contact with inmates receive 16 hours of training
in addition to orientation training during their first year of employment and 16
hours of training each year thereafter.
Comment: Clerical and support personnel who are not in continuous contact with
inmates should receive training relevant to their particular job assignments.

Part-time Staff
4-4088
(Ref. 3-4085)

All part-time staff and contract personnel receive formal orientation
appropriate to their assignments and additional training as needed.
Comment: Part-time staff should receive orientation to institutional rules, security,
and operational procedures.

Specialized Training
Emergency Unit

4-4089
(2010 Supplement)

Revised August 2007. Written policy, procedure, and practice provide that
correctional officers assigned to an emergency unit have at least one year of
corrections and 40 hours of specialized training before undertaking their
assignments. Other staff must have at least one year of experience in their
specialty within a correctional setting. The specialized training may be part of
their first year training program. Officers and staff assigned to emergency
units receive 40 hours of training annually, at least 16 of which are specifically
related to the emergency unit assignment.
Comment: None.

4-4089
(Ref. 3-4086)

Written policy, procedure, and practice provide that correctional officers
assigned to an emergency unit have at least one year of experience as a
correctional officer and 40 hours of specialized training before undertaking
their assignments. The specialized training may be part of the officer’s firstyear training program. Officers on emergency units receive 40 hours of
training annually, at least 16 of which are specifically related to the emergency
unit assignment.
Comment: None.

Use of Force
4-4090
(Ref. 3-4087)

All security and custody personnel are trained in approved methods of selfdefense and the use of force as a last resort to control inmates.
Comment: All security and custody personnel should be trained in the techniques of
using physical force to control and/or move inmates with minimal harm and

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ACA Standards

discomfort to both inmates and staff.

Agreement Number 5600000770
Attachment 9
Amendment 7

Use of Firearms
4-4091
(Ref. 3-4088)

(MANDATORY) Written policy, procedure, and practice provide that all
personnel authorized to use firearms receive appropriate training before being
assigned to a post involving the possible use of such weapons. Firearms
training covers the use, safety, and care of firearms and the constraints on
their use.
All personnel authorized to use firearms must demonstrate
competency in their use at least annually.
Comment: Firearms training should be thorough, conducted using a systematic
curriculum, and documented. The word annually in the standard refers specifically to
a 12-month period rather than a calendar year.

Use of Chemical Agents
4-4092
(Ref. 3-4089)

(MANDATORY) All personnel authorized to use chemical agents receive
thorough training in their use and in the treatment of individuals exposed to a
chemical agent.
Comment: A special training curriculum should be established that includes both
individual and group instruction by competent authorities.

Continuing Education
4-4093
(Ref. 3-4090)

Written policy, procedure, and practice encourage employees to continue their
education.
Comment: Employees who wish to continue their education should be given the
opportunity to do so. Every effort should be made to coordinate educational
activities with staff responsibilities. The institution’s staff development and training
program should promote and support employee participation in outside workshops,
seminars, and other formal educational programs.

4-4094
(Ref. 3-4091)

The institution encourages and provides administrative leave and/or
reimbursement for employees attending approved professional meetings,
seminars, and similar work-related activities.
Comment: The institution should encourage participation in outside training and
educational programs, including membership in local, state, and national
professional organizations. Adequate funds for this purpose should be included in
the budget.

Section E: Case Records
Principle: A written body of policy and procedure establishes the institution’s management of
case records, including security, right of access, and release of information.
Case Record Management
4-4095
(2010 Supplement)

Revised August 2009. Written policy and procedure govern case record
management, including at a minimum the following areas: the establishment,
use, and content of inmate records; right to privacy; secure placement and
preservation of records; and schedule for retiring or destroying inactive

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Corrections Corporation of America
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ACA Standards
records.

Agreement Number 5600000770
Attachment 9
Amendment 7

Comment: An orderly and timely system for recording, maintaining, and using data
about offenders increases the efficiency and effectiveness of the program and
service delivery and the transfer of information to the courts and release authorities.
4-4095
(Ref. 3-4092)

Written policy and procedure govern case record management, including, at a
minimum, the following areas: the establishment, use, and content of inmate
records; the right to privacy; secure placement and preservation of records;
and schedule for retiring or destroying inactive records. The policies and
procedures are reviewed annually.
Comment: An orderly and timely system for recording, maintaining, and using data
about offenders increases the efficiency and effectiveness of the program and
service delivery and the transfer of information to the courts and release authorities.

Transfer of Records
4-4096
(Ref. 3-4093)

Written policy, procedure, and practice provide that an updated case file for
any inmate transferred from one institution to another is transferred
simultaneously or, at the latest, within 72 hours.
Comment: Continuity of correctional programming for inmates transferred from other
institutions requires that staff have the benefit of a complete cumulative case record
as soon as possible. The same policy and procedure should apply to the transfer of
medical files.

Computation of Time Served
4-4097
(Ref. 3-4094)

Written policy, procedure, and practice provide that inmate time is accurately
computed and recorded in conformance with applicable statutes and
regulations.
Comment: The accurate computation and recording of any “good time” earned or
time forfeited is vital for incarcerated persons. Each inmate’s case file should
include an up-to-date record of time served and time remaining.

Inmate Access to Records
4-4098
(Ref. 3-4095)

Written policy and procedure govern inmates’ access to information in their
case records.
Comment: Inmates should have access to their case records and files consistent
with applicable statutes regarding the procedures and conditions for reviewing these
materials. Exceptions should be based on possible harm to the inmate or others.

Release of Information
4-4099
(Ref. 3-4096)

The institution uses a “release of information consent form” that complies with
applicable federal and state regulations. Unless the release of information is
required by statute, the inmate signs the consent form prior to the release of
information and a copy of the form is maintained in the inmate’s case record.
Comment: The confidentiality of information regarding inmates is protected by law.
The consent form may include the following items: name of person and agency or

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Corrections Corporation of America
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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

organization requesting information; name of institution releasing information;
specific information to be disclosed and purpose of disclosure; signature of inmate
and date of signature; and signature of employee witnessing the inmate’s signature.
Where statutes direct, consent forms should not be required for release of
information to judicial, law enforcement, correctional, and social service authorities
involved with the individual case.

Section F: Information Systems and Research
Principle: A written body of policy and procedure establishes the institution’s procedures for
information storage and retrieval, master indexes, daily reports, evaluation, and
research.
Information System
4-4100
(Ref. 3-4097)

The institution contributes to, has access to, and uses an organized system of
information storage, retrieval, and review. The information system is part of
an overall research and decision-making capacity relating to both inmate and
operational needs.
Comment: Correctional information systems facilitate decision making, research,
and timely responses to offender needs and outside inquiries. In large correctional
systems, information systems often are the responsibility of the parent agency. If the
parent agency does not provide this function, the institution should train and assign
specific personnel to this function.

4-4101
(Ref. 3-4098)

All staff who have direct access to information in the information system are
trained in and responsive to the system’s security requirements.
Comment: Written policy should specify which persons have direct access to the
information system.

Sharing of Information
4-4102
(Ref. 3-4099)

The institution or parent agency collaborates with criminal justice and service
agencies in information gathering, exchange, and standardization.
Comment: Systemwide collaboration is critical to effective management and timely
decision making and helps prevent or reduce duplication of effort and costs.
Institutions should share information among themselves while respecting the
confidentiality and privacy of offender records.

Master Index and Daily Reports
4-4103
(Ref. 3-4100)

The institution maintains a single master index identifying all inmates who are
assigned to the institution.
Comment: Staff should maintain an up-to-date master index that indicates the status
and whereabouts of each inmate, including those on the institutional grounds, those
temporarily off the grounds or in satellite units, and any escapees. This information
should be readily available to administrative and supervisory personnel.

4-4104
(Ref. 3-4101)

The institution maintains a daily report on inmate population movement.

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Corrections Corporation of America
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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

Comment: The daily report should indicate the number of inmates in the institution
and their names, identifying numbers, and housing assignments. Official daily
movement sheets should detail the number and types of admissions and releases
each day and the count at the close of the day.

Management Information
4-4105
(Ref. 3-4102)

The institution’s criteria for evaluating overall institutional performance are
specific and defined in writing.
Comment: The evaluation criteria should consider the nature of events to be
counted, the categorization of behaviors and degrees of seriousness to be included,
and the duration of the follow-up period. The system for measuring the degree of
internal order should include the following: escape rate; frequency and number of
assaults on staff; group disturbances by inmates; assaults and homicides by
inmates; weapons and/or illegal drugs found; and major and minor disciplinary
actions. Management data on offenders should permit categorization by age, sex,
race, offense, and prior record.

4-4106
(Ref. 3-4103)

The effectiveness of the information system as it relates to overall institutional
management is evaluated in writing at least annually.
Comment: The warden/superintendent should have the opportunity to comment on
and offer recommendations regarding the system’s usefulness.

Program Information
4-4107
(Ref. 3-4104)

Institutional programs are analyzed and evaluated at least every two years to
determine their contribution to the institution’s mission.
Comment: Institutional programs should be clearly defined in terms of their
objectives, costs, and relation to the institution’s overall philosophy and goals.
Periodic program analyses and evaluations help the institution to identify which
programs are productive and determine needed changes and/or the need for
reordering priorities.

Research Activities
Institutional Support
4-4108
(Ref. 3-4105)

The institution or parent agency supports and engages in research activities
relevant to its programs, services, and operations.
Comment: Research can assist in planning and establishing goals and objectives.
Controlled studies, evaluations, and policy research, by developing new knowledge,
can contribute to more efficient and effective institutional operations, programs, and
services and help increase public safety.

4-4109
(Ref. 3-4106)

Written policy, procedure, and practice provide that the warden/superintendent
encourages and uses research conducted by outside professionals.
Comment: Because of time and personnel constraints, few institutions can carry out
internally all of the research needed. Institutions therefore should contract with
responsible outside professionals to conduct needed research.

4-4110

Operational personnel assist research personnel in carrying out research and

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
(Ref. 3-4107)

evaluation.

Agreement Number 5600000770
Attachment 9
Amendment 7

Comment: A partnership between operations and research personnel is needed to
determine research needs, establish priorities, and assist in the research design,
data collection, assessment, and evaluation.

Conduct of Research
4-4111
(Ref. 3-4108)

Written policy and procedure govern the conduct of research in the institution,
including compliance with professional and scientific ethics and with state and
federal guidelines for the use and dissemination of research findings.
Comment: Researchers working in the institution should be informed about all
policies relating to their research, especially those regarding confidentiality of
information. Research results should be available to the warden/superintendent for
review and comment before dissemination or publication.

4-4112
(Ref. 3-4109)

The warden/superintendent review and approves all institutional research
projects prior to implementation to ensure they conform to the policies of the
parent agency.
Comment: The research design and the requirements that will be made of staff
should be fully understood and agreed upon before any research project proceeds.

Inmate Participation
4-4113
(Ref. 3-4110)

Written policy and procedure govern voluntary inmate participation in
nonmedical, nonpharmaceutical, and noncosmetic research programs.
Comment: None.

Section G: Citizen Involvement and Volunteers
Principle: A written body of policy and procedure establishes the responsibility, screening,
training, and operating procedures for a citizen involvement and volunteer
program.
Program Coordination
4-4114
(2010 Supplement)

Deleted August 2007.

4-4114
(Ref. 3-4111)

There is a staff member who is responsible for operating a citizen involvement
and volunteer service program for the benefit of inmates.
Comment: A citizen involvement and volunteer service program can generate a
wide variety of services for offenders during confinement and after release – for
example, information on and referrals to work and study release programs and
recreational and cultural activities in the community. The staff member responsible
for the program may be full-time or part-time, and the position may be filled by
volunteer or contract personnel. The responsible person should have or receive
appropriate training. Some jurisdictions mandate a citizen advisory board for each
institution.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
4-4415
(2010 Supplement)

Agreement Number 5600000770
Attachment 9
Amendment 7

Revised August 2007.
Written policy and procedure specify who is
responsible for operating a citizen involvement and volunteer service program,
and their lines of authority, responsibility, and accountability.
Comment: Written policy should provide direction for the program, listing the goals
and objectives, types of services offered, population served, and so forth. Clear
lines of accountability and authority should be established and communicated to staff
and volunteers. Any volunteer activity that is shown to threaten the institution’s order
and security or the safety of a volunteer should be limited or discounted until the
problem is resolved.

4-4115
(Ref. 3-4112)

Written policy and procedure specify the lines of authority, responsibility, and
accountability for the institution’s citizen involvement and volunteer services
program.
Comment: Written policy should provide direction for the program, listing the goals
and objectives, types of services offered, population served, and so forth. Clear
lines of accountability and authority should be established and communicated to staff
and volunteers. Any volunteer activity that is shown to threaten the institution’s order
and security or the safety of a volunteer should be limited or discontinued until the
problem is resolved.

Screening and Selection
4-4116
(Ref. 3-4113)

The screening and selection of volunteers allows for recruitment from all
cultural and socioeconomic parts of the community.
Comment: Efforts should be made to recruit volunteers from all segments of society.
Volunteers should be selected on the basis of a uniform screening process that is
consistent with security concerns.

Registration
4-4117
(Ref. 3-4114)

There is an official registration and identification system for volunteers.
Comment: All volunteers should be registered with the institution or parent agency
for insurance purposes, and each volunteer should be issue an identification card.
The institution should maintain an identification record for volunteer that includes a
photograph, address, current telephone number, and other relevant information.

Offer of Professional Services
4-4118
(Ref. 3-4115)

Written policy specifies that volunteers may perform professional services
only when they are certified or licensed to do so.
Comment: Volunteers who wish to offer professional services should be asked to
cite their credentials and/or certificate status in their initial application. Tutoring or
sponsorship of a craft or hobby program is not considered a professional service.

Orientation and Training
4-4119
(Ref. 3-4116)

Written policy, procedure, and practice provide that each volunteer completes
an appropriate, documented orientation and/or training program prior to
assignment.

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ACA Standards
Comment: None.

4-4120
(Ref. 3-4117)

Agreement Number 5600000770
Attachment 9
Amendment 7

Volunteers agree in writing to abide by all facility policies, particularly those
relating to the security and confidentiality of information.
Comment: Confidentiality of records and of other privileged information is critical to
institutional security. The institution should develop written policies and procedures
specifying that volunteers respect all institutional policies.

Schedule of Services
4-4121
(Ref. 3-4118)

A current schedule of volunteer services is available to all inmates and is
posted in appropriate areas of the institution.
Comment: Inmates should be aware of the volunteer services available. Before
volunteer services are provided, inmates should understand the role of volunteers,
including the limits of their authority, and should understand the mutual
responsibilities of the inmate and the volunteer.

Participation in Policy Making
4-4122
(Ref. 3-4119)

There is provision for volunteers to contribute suggestions regarding the
establishment of policy and procedure for the volunteer services program.
Comment: None.

2. Physical Plant

Unless otherwise noted, each standard applies to existing institutions, renovations, additions, and/or new plant
construction. “New construction” is for final plans approved after January 1, 1990.

Section A: Building and Safety Codes
Principle: Compliance with professional building and fire safety codes helps to ensure the
safety of all persons within the facility.
Building Codes
4-4123
(Ref. 3-4120)

The institution conforms with applicable federal, state, and/or local building
codes. (Renovation, Addition, New Construction Only)
Comment: Conformance with codes is indicated by licensing or, in cases where a
license is not issued, by letters or certificates of compliance. If the agency is not
subject to local building codes, appropriate state or national codes must be applied.

Fire Codes
4-4124
(Ref. 3-4121)

(MANDATORY) The institution conforms with applicable federal, state, and/or
local fire safety codes. Compliance is documented by the authority having
jurisdiction. A fire alarm and automatic detection system are required, as
approved by the authority having jurisdiction, or there is a plan for addressing
these or other deficiencies within a reasonable time period. The authority
approved any variances, exceptions, or equivalencies that do not constitute a
serious life safety threat to the occupants or the facility.

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Corrections Corporation of America
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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

Comment: The applicable fire safety code(s) must be comprehensive, ensure basic
protection of life, and include the use of fire detection and alarm systems in all
habitable areas of the facility. The applicable code(s) should be applied to all areas
of the facility. Reports of periodic inspections and any actions taken in respect to
those inspections must be available.

Section B: Size, Organization, and Location
Principle: The question of facility size is most accurately approached from the perspective of
the individual units that make up the institution. This approach encourages
flexibility, creativity, and innovation in meeting concerns for safety and quality of
life.
Staff/Inmate Interaction
4-4125
(Ref. 3-4122)

Physical plant design facilitates personal contact and interaction between staff
and inmates. (Renovation, Addition, New Construction Only)
Comment: Separation of supervising staff from inmates reduces interpersonal
relationships and staff awareness of conditions on the housing unit.
Staff
effectiveness is limited if the only staff available are isolated in control centers as
observers or technicians in charge of electronic management systems.

Facility Size
4-4126
(2010 Supplement)

Revised August 2003. The facility should encourage staff/inmate interaction.
The facility has a management system that provides staff with the authority to
make decisions, the ability to make recommendations regarding security,
classification, services, and programs for inmates.
Comment: None.

4-4126
(Ref. 3-4123)

Institutions are divided into distinct, semiautonomous management units that
encourage positive staff/inmate interactions and effective communication.
Staff within each management unit are delegated the authority to make
decisions regarding security classification, services, and programs for
inmates within the unit.
Comment: None.

Unit Size
4-4127
(2010 Supplement)

Revised August 2003. The maximum size of a single management unit is
variable and is based on the characteristics of its inmate population. The
exact size of each management unit is determined by (1) the security
classification of the inmate occupants (higher security levels require smaller
unit size), and (2) the ability of staff to complete regular security checks,
maintain visual and auditory contact, maintain personal contact and
interaction with inmates, and be aware of unit conditions.
Comment: The scale of management unit should facilitate and encourage the
involvement of all staff in decision making.

4-4127

The maximum size of a single management unit is variable and is based on the

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
(Ref. 3-4124)

Agreement Number 5600000770
Attachment 9
Amendment 7

characteristics of its inmate population but does not exceed 500 inmates. The
exact size of each management unit is determined by (1) the security
classification of the inmate occupants (higher security levels require smaller
unit size), and (2) the ability of staff to complete regular security checks,
maintain visual and auditory contact, maintain personal contact and
interaction with inmates, and be aware of unit conditions.
Comment: The scale of the management unit should facilitate and encourage the
involvement of all staff in decision making.

4-4128
(Ref. 3-4125)

Single-cell living units shall not exceed 80 inmates. (New Construction Only)
Comment: None.

Rated Capacity
4-4129
(2010 Supplement)

Revised January 2008. The number of inmates does not exceed the maximum
allowable inmate population as based on the Standards Compliant Bed
Capacity (SCBC) formula.
SCBC FORMULA FOR ADULT CORRECTIONAL INSTITUTIONS
Step No. 1: Calculation to be used for all cells (multiple occupancy and single) in
general population (Ref. #4-4132).
Sq. ft. total of unencumbered space in housing
25 sq. ft.

=

Answer #1

Step No. 2: Calculation to be used for single cells in general population for
special management purposes (Ref. #4-4133) and segregation (Ref. #4-4141).
Sq. ft. total of unencumbered space in all single cells
35 sq. ft.

=

Answer #2

Sq. ft. total of all single cells
80 sq. ft.

=

Answer #3

Place lowest number of Answer #2 and Answer #3

=

Answer #4

=

________

Step No. 3: Determination of SCBC for the entire facility.
Answer #1 + Answer #4

Comment: The maximum allowable inmate population may fluctuate between audit
cycles due to the necessity to single-cell inmates for special management purposes.
4-4129
(Ref. 3-4126)

The number of inmates does not exceed the facility’s rated bed capacity.
Comment: Rated bed capacity is considered to be the original design capacity, plus
or minus capacity changes resulting from building additions, reductions, or revisions.

Location
4-4130

Deleted August 2004.

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Corrections Corporation of America
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ACA Standards
(2010 Supplement)
4-4130
(Ref. 3-4127)

Agreement Number 5600000770
Attachment 9
Amendment 7

The institution is located within 50 miles of a civilian population center of at
least 10,000 people, or minimally within one hour’s driving time of a hospital,
fire protection, and public transportation. (New Construction Only)
Comment: Proximity to a civilian population center is essential in order to augment
the services provided directly by the institution, to provide greater recruitment and
training opportunities for staff, to accommodate visitors, and to provide educational
and employment opportunities for inmates on work or study release.

Section C: Inmate Housing
Principle: Inmate housing areas are the foundation of institutional living and must promote
the safety and well-being of both inmates and staff.
Inmate Sleeping Areas

Occupancy and Space Requirements
4-4131
(2010 Supplement)

Deleted August 2005.

4-4131
(Ref. 3-4128)

Single cells are required for inmates assigned to maximum custody. All cells
in which inmates are confined conform to the following requirements:
1. There must be 35 square feet of unencumbered space for the single
cell occupant.
2. When confinement exceeds 10 hours per day, there is at least 80
square feet of total floor space for the occupant.
3. “Unencumbered space” is usable space that is not encumbered by
furnishing or fixtures. At least one dimension of the unencumbered
space is no less than seven feet. In determining unencumbered space,
all fixtures must be in operational position and must provide the
following minimum areas per person: bed, plumbing fixtures, desk,
and locker.
4. Supervision is consistent with standard 4-4177.
Comment: This standard encourages design flexibility and creativity by relating cell
size to the amount of unencumbered or free space provided.

4-4132
(2010 Supplement)

Revised January 2007. Cells/rooms used for housing inmates shall provide at
a minimum, 25 square feet of unencumbered space per occupant.
Unencumbered space is usable space that is not encumbered by furnishings
or fixtures. At least one dimension of the unencumbered space is no less than
seven feet. In determining unencumbered space in the cell or room, the total
square footage is obtained and the square footage of the fixtures and the
equipment is subtracted. All fixtures and equipment must be in operational
position and must provide the following minimums per person:






bed
plumbing fixtures (if inside the cell/room)
desk
locker
chair or stool

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Corrections Corporation of America
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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

Comment: None.
4-4132
(Ref. 3-4128-1)

Single cells/rooms and multiple-occupancy cells/rooms may be used for
housing inmates in medium/minimum custody when the classifications
system, cell/room size, and level of supervision meet the following
requirements:
1. Number of occupants
1
2-50

Amount of Unencumbered Space*
35 square feet per occupant
25 square feet

* “Unencumbered space” is usable space that is not encumbered by
furnishings or fixtures. At least one dimension of the unencumbered
space is no less than seven feet. In determining unencumbered space
in the cell or room, the total square footage is obtained and the square
footage of fixtures and equipment is subtracted. All fixtures and
equipment must be in operational position and must provide the
following minimums per person: bed, plumbing fixtures (if inside the
cell/room), desk, locker, and chair or stool.
2. When confinement exceeds ten hours per day, there are at least 80
square feet of total floor space per occupant.
3. Housing is in compliance with American Correctional Association
standards 4-4137, 4-4138, 4-4139, 4-4142, 4-4151 and 4-4295. Mediumsecurity inmates housed in multiple-occupancy cells/rooms require
direct supervision.
A classification system is used to divide the occupants into groups
that reduce the probability of assault and disruptive behavior. At a
minimum, the classification system evaluates the following:







mental and emotional stability
escape history
history of assaultive behavior
medical status
age
enemies of record

Male and female inmates are housed in separate cells/rooms.
Comment: None.
4-4133
(2010 Supplement)

Revised August 2005. Written policy, procedure, and practice provide that
single-occupancy cells/rooms, measuring a total of 80 square feet, of which 35
square feet is unencumbered space, shall be available, when indicated, for the
following:







inmates with severe medical disabilities
inmates suffering from serious mental illness
sexual predators
inmates likely to be exploited or victimized by others
inmates who have other special needs for single housing
maximum custody inmates

Comment: The standard permits housing inmates of all security levels in multiple

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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

cells/rooms unless there is a need for single cells/rooms for an inmate in one of the
groups listed. The caveat “when indicated” refers to determinations made by the
classification system, medical diagnosis, or other professional conclusions.

4-4133
(Ref. 3-4128-2)

Written policy, procedure, and practice provide that single-occupancy
cells/rooms shall be available, when indicated, for the following:






inmates with severe medical disabilities
inmates suffering from serious mental illness
sexual predators
inmates likely to be exploited or victimized by others
inmates who have other special needs for single housing

Comment: While the standard permits the housing of medium-security inmates in
multiple cells/rooms, there is a need for single cells/rooms for the inmate groups
listed.
The caveat “when indicated” refers to determinations made by the
classification system, medical diagnosis, or other professional conclusions.

Cell Furnishings
4-4134
(Ref. 3-4129)

Each inmate confined to a cell/room for ten or more hours daily is provided a
sleeping area with the following: a sleeping surface and mattress at least 12
inches off of the floor; a writing surface and proximate area to sit; storage for
personal items; and adequate storage space for clothes and personal
belongings.
Each inmate confined to a cell/room for less than ten hours daily is provided a
sleeping area with the following: a sleeping surface and mattress at least 12
inches off of the floor; storage for personal items; and adequate storage space
for clothes and personal belongings.
Comment: The words “writing surface” refer to a fixed or free-standing surface under
which a person can sit.

Dayrooms

Space Requirements
4-4135
(Ref. 3-4130)

Dayrooms with space for varied inmate activities are situated immediately
adjacent to the inmate sleeping areas. Dayrooms provide a minimum of 35
square feet of space per inmate (exclusive of lavatories, showers, and toilets)
for the maximum number of inmates who use the dayroom at one time, and no
dayroom encompasses less than 100 square feet of space (exclusive of
lavatories, showers, and toilets).
Comment: While the standard establishes a minimum square footage for any
dayroom, total square footage is calculated for the maximum number of users at one
time rather than the total number of inmates served.

Dayroom Furnishings
4-4136
(Ref. 3-4131)

Dayrooms provide sufficient seating and writing surfaces.
Dayroom
furnishings are consistent with the custody level of the inmates assigned.
Comment: The standard provides managers and designers with flexibility in
designing and furnishing dayrooms and takes into consideration the range of

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

activities that may occur (for example, dayroom activities usually include television
viewing, reading, recreation, conversation, and games, and sometimes include
eating and work). In lower security settings, the use of “normalized” furnishings
should be considered.

Toilets
4-4137
(Ref. 3-4132)

Inmates have access to toilets and hand-washing facilities 24 hours per day
and are able to use toilet facilities without staff assistance when they are
confined in their cells/sleeping areas.
Toilets are provided at a minimum ratio of 1 for every 12 inmates in male
facilities and 1 for every 8 inmates in female facilities. Urinals may be
substituted for up to one-half of the toilets in male facilities. All housing units
with 3 or more inmates have a minimum of 2 toilets. These ratios apply unless
national or state building or health codes specify a different ratio.
Comment: The standard ensures the availability of toilets and requires a measure of
privacy and control for users. At the same time, the standard provides flexibility for
designers and managers, who have increased options for “dry” cells if toilet facilities
are accessible by other means (for example, push-button locks on cells for use
during night hours). Creative design approaches that increase privacy and decrease
management problems associated with congregate facilities (for example, the
creation of a series of “single occupancy” toilet areas) are encouraged. The
requirement of an approved ratio is designed to assure that inmates have adequate
access to meet their basic personal hygiene needs.

Washbasins
4-4138
(Ref. 3-4133)

Inmates have access to operate washbasins with hot and cold running water in
the housing units at a minimum ratio of 1 basin for every 12 occupants, unless
national or state building or health codes specify a different ratio.
Comment: Provision must be made for inmate access in cells or sleeping areas,
dayrooms, and other parts of the facility. The requirement of an approved ratio is
designed to assure that inmates have adequate access to meet their basic personal
hygiene needs.

Showers
4-4139
(Ref. 3-4134)

Inmates have access to operable showers with temperature-controlled hot and
cold running water, at a minimum ratio of one shower for every eight inmates,
unless national or state building or health codes specify a different ratio.
Water for showers is thermostatically controlled to temperatures ranging from
100 degrees Fahrenheit to 120 degrees Fahrenheit to ensure the safety of
inmates and to promote hygienic practices.
Comment:
Offenders can use scalding showers as a weapon against, or
punishment for, other inmates. Also, accidental injury could occur when cold water
is drawn in other areas, thereby unexpectedly elevating the hot water in showers to
scalding temperatures. Water temperatures below 100 degrees Fahrenheit are
uncomfortable and may deter an individual from pursuing good hygienic practices.
The temperature controls should not preclude the use of water at higher
temperatures, if needed, in other areas of the institution, such as kitchens.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
Special Management Housing
4-4140
(Ref. 3-4135)

Agreement Number 5600000770
Attachment 9
Amendment 7

Segregation housing units provide living conditions that approximate those of
the general inmate population; all exceptions are clearly documented.
Segregation cells/rooms permit the inmates assigned to them to converse with
and be observed by staff members.
Comment: None.

4-4141
(2010 Supplement)

Interpretation August 2004.
The Standards Committee determined that
segregation housing does not have to be single celled.

4-4141
(Ref. 3-4136)

All cells/rooms in segregation provide a minimum of 80 square feet, of which
35 square feet is unencumbered space.
Comment: Segregated inmates are confined in cells/rooms for more extended
periods during the day. Therefore the cell/room must provide additional space for incell activity.

Housing for the Disabled
4-4142
(Ref. 3-4137)

Inmates with disabilities are housed in a manner that provides for their safety
and security. Housing used by inmates with disabilities is designed for their
use and provides for integration with other inmates. Programs and services
are accessible to inmates with disabilities who reside in the facility.
Comment: If the facility accepts individuals with disabilities, it must provide for their
housing and use of facility resources. Housing includes, but is not limited to, rooms,
sleeping areas, furnishings, dayrooms, toilets, washbasins, showers, and other
common elements. An offender with a disability should not be placed in a special
unit (for example, the infirmary, security room, or protective custody) that cannot
accommodate the offender’s disability. Program and service areas include, but are
not limited to, exercise and recreation areas, visiting rooms, classrooms, dining
rooms, commissary/canteen, telephone facilities, library, reception and classification
areas, chapel, and administrative areas where appropriate.

4-4143
(New)

Written policy, procedure, and practice provide for the assignment of
appropriately trained individuals to assist disabled offenders who cannot
otherwise perform basic life functions.
Comment: None.

4-4144
(New)

Written policy, procedure, and practice provide education, equipment and
facilities, and the support necessary for inmates with disabilities to perform
self-care and personal hygiene in a reasonably private environment.
Comment: A “reasonably private” environment will vary, depending on individual and
institutional circumstances, but is one which will maintain the dignity of the disabled
individual in light of that person’s disability.

Section D: Environmental Conditions
Principle:

Environmental conditions significantly influence the overall effectiveness of
institutional operations. Standards for lighting, air quality, temperature, and
noise levels are designed to preserve the health and well-being of inmates and
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Corrections Corporation of America
Agreement Number 5600000770
California Department of Corrections and Rehabilitation
Attachment 9
ACA Standards
Amendment 7
staff members and to promote institutional order and security.
Light Levels
General

4-4145
(Ref. 3-4138)

Lighting throughout the facility is determined by the tasks to be performed,
interior surface finishes and colors, type and spacing of light sources, outside
lighting, and shadows and glare.
Comment: None.

Inmate Rooms/Cells
4-4146
(2010 Supplement)

Revision January 2008. Lighting in inmate rooms/cells is at least 20 footcandles at desk level and in personal grooming areas, as documented by a
qualified source, and is checked at least once per accreditation cycle.
Comment: None.

4-4146
(Ref. 3-4139)

Lighting in inmate rooms/cells is at least 20 footcandles at desk level and in
personal grooming areas, as documented by an independent, qualified source.
Comment: None.

Natural Light

Inmate Rooms/Cells
4-4147
(2010 Supplement)

Revision August 2006. (Existing only) All inmate rooms/cells provide access
to natural light.
Comment: None.

4-4147
(Ref. 3-4140)

All inmate rooms/cells provide access to natural light. (Existing, Renovation,
Addition Only)
Comment: None.

4-4147-1
(2010 Supplement)

Added August 2006. (Renovation, Addition, New Construction) All inmate
rooms/cells provide inmates with access to natural light by means of at least
three square feet of transparent glazing, plus two additional square feet of
transplant glazing per inmate in rooms/cells with three or more inmates.
Comment: None.

4-4148
(2010 Supplement)

Deleted January 2003.

4-4148
(Ref. 3-4141)

Inmates in general population who are confined in their rooms/cell for ten or
more hours daily have access to natural light by means of an opening or a
window of at least three square feet with a view to the outside. Inmates in
general population who are confined in their rooms/cells for less than ten
hours daily have access to natural light through an opening or window as
described above or through an opening or a window of at least three square
feet between their room/cell and an adjacent space. (New Construction Only)

Page 36 of 175

Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

Comment: Natural light should be available from an opening or window that has a
view to the outside or from a source within 20 feet of the room/cell.

Dayrooms
4-4149
(2010 Supplement)

Revised January 2003. (New Construction Only) Each dayroom provides
inmates with access to natural light by means of at least 12 square feet of
transparent glazing in the dayroom, plus two additional square feet of
transparent glazing per inmate whose room/cell is dependent on access to
natural light through the dayroom.
Comment: Many inmates spend most daylight hours outside of their cells, often in
their dayroom, and the standard gives designers increased options for providing
natural light.

4-4149
(Ref. 3-4142)

Each dayroom provides a minimum of 12 square feet of transparent glazing
with a view to the outside, plus two additional square feet of glazing per
inmate whose room/cell does not contain an opening or window with a view to
the outside. (New Construction Only)
Comment: Many inmates spend most daylight hours outside of their cells, often in
their dayroom, and the standard gives designers increased options for providing
natural light.

Noise Levels
4-4150
(Ref. 3-4143)

Noise levels in inmate housing units do not exceed 70 dBA (A Scale) in
daytime and 45 dBA (A Scale) at night.
Comment: None.

4-4150-1
(2010 Supplement)

Added August 2008. (New Construction Only) Noise levels in housing areas
(in other words, dayrooms with adjacent cells or dorms) shall not exceed the
following:



Unoccupied – 45 dba (A Scale), building service systems shall be on
and in normal operating condition.
Mid-frequency average
reverberation time (T 60) must be less than 1.0 sec.
Occupied – 70 dba (A Scale) for a minimum of 15 seconds of
continuous average measurement in normal operating conditions.

All monitoring shall be conducted in close proximity to the correctional
officer’s post. If a correctional officer’s post is not identified, then monitoring
shall be conducted at a location considered best to monitor housing noise
levels.
Measurements shall be conducted a minimum of once per
accreditation cycle be a qualified source.
Comment: Noise levels in housing areas should be contained to achieve a safe and
secure environment for staff and inmates. Building service systems noise within
housing areas are sometimes constant and may be difficult to eliminate.
Consideration should be given to maintenance of the building systems and use of
absorptive treatment materials that meet applicable fire codes.
Control of
operational noise (in other words, televisions, recreation and group activities, and so
forth) should be accomplished administratively.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
Indoor Air Quality
4-4151
(2010 Supplement)

Agreement Number 5600000770
Attachment 9
Amendment 7

Revised August 2007.
(Renovation, Addition, New Construction Only)
Circulation is at least 15 cubic feet of outside or re-circulated filtered air per
minute per occupant for cells/rooms, officer stations, and dining areas, as
documented by a qualified technician and should be checked not less than
once per accreditation cycle.
Interpretation August 2002. The words “accreditation cycle” are interpreted as
within the past three years.
Comment: Mechanical ventilation may provide for recirculation of outside air except
when prohibited by codes. The outside air requirements may be reduced to a
minimum of 33 percent of the specified ventilated air quality if adequate temperature
control is provided in addition to filtering equipment so that the maximum
concentration of particles entering the space is reduced to acceptable limits. In no
case should the outdoor air quantity be less than five cubic feet per minute per
person.

4-4151
(Ref. 3-4144)

Circulation is at least 15 cubic feet of outside or recirculated filtered air per
minute per occupant for cells/rooms, officer stations, and dining areas, as
documented by an independent, qualified source. (Renovation, Addition, New
Construction Only)
Comment: Mechanical ventilation may provide for recirculation of outside air except
where prohibited by codes. The outside air requirements may be reduced to a
minimum of 33 percent of the specified ventilated air quantity if adequate
temperature control is provided in addition to filtering equipment so that the
maximum concentration of particles entering the space is reduced to acceptable
limits. In no case should the outdoor air quantity be less than five cubic feet per
minute per person.

4-4152
(2010 Supplement)

Revised August 2007. (Existing) Circulation is at least ten cubic feet of fresh
or re-circulated filtered air per minute per occupant for inmate rooms/cells,
officer stations, and dining areas, as documented by a qualified technician and
should be checked not less than once per accreditation cycle.
Interpretation August 2002. The words “accreditation cycle” are interpreted as
within the past three years.
Comment: None.

4-4152
(Ref 3-4145)

Circulation is at least ten cubic feet of fresh or recirculated filtered air per
minute per occupant for inmate rooms/cells, officer stations, and dining areas,
as documented by an independent, qualified source. (Existing)
Comment: None.

Heating and Cooling
4-4153
(2010 Supplement)

Revised August 2006. Temperatures in indoor living and work areas are
appropriate to the summer and winter comfort zones.
Comment: Temperatures should be capable of being mechanically raised or
lowered to an acceptable comfort level.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
4-4153
(Ref. 3-4146)

Agreement Number 5600000770
Attachment 9
Amendment 7

Temperatures in indoor living and work areas are appropriate to the summer
and winter comfort zones.
Comment: Temperature and humidity should be capable of being mechanically
raised or lowered to an acceptable comfort level.

Section E: Program and Service Areas
Principle:

Adequate space must be provided for the various program and service functions
conducted within the institution. Spatial requirements are best determined by
careful assessment of how, when, and by how many inmates such spaces are
used.

Exercise and Recreation
4-4154
(Ref. 3-4147)

Both outdoor and covered/enclosed exercise areas for general population
inmates are provided in sufficient number to ensure that each inmate is offered
at least one hour of access daily. Use of outdoor areas is preferred, but
covered/enclosed areas must be available for use in inclement weather.
Covered/enclosed areas can be designed for multiple uses as long as the
design and furnishings do not interfere with scheduled exercise activities.
The minimum space requirements for exercise areas are as follows:








Outdoor exercise areas in facilities where 100 or more inmates utilize
one recreation area-15 square feet per inmate for the maximum number
of inmates expected to use the space at one time, but not less than
1,500 square feet of unencumbered space
Outdoor exercise areas in facilities where less than 100 inmates have
unlimited access to an individual recreation area-15 square feet per
inmate for the maximum number of inmates expected to use the space
at one time, but not less than 750 square feet of unencumbered space
Covered/enclosed exercise areas in facilities where 100 or more
inmates utilize one recreation area-15 square feet per inmate for the
maximum number of inmates expected to use the space at one time,
with a minimum ceiling height of 18 feet, but not less than 1,000 square
feet of unencumbered space
Covered/enclosed exercise areas in facilities where less than 100
inmates utilize one recreation area-15 square feet per inmate for the
maximum number of inmates expected to use the space at one time,
with a minimum ceiling height of 18 feet, but not less than 500 square
feet of unencumbered space

Comment: Exercise/recreation spaces are not the same as dayrooms, although
dayrooms can provide added opportunities for some exercise and recreation
activities. The standard establishes performance requirements for exercise spaces,
offering design and operational flexibility. It allows facilities in some climates to
cover and/or enclose a yard, while others will have to provide indoor space; these
spaces do not have to be “indoor” but must be fully functional when the outdoor
areas are not feasible for use.
4-4155
(2010 Supplement)

Revised August 2004. Segregation units have either outdoor uncovered or
outdoor covered exercise areas. The minimum space requirements for

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

outdoor exercise areas for segregation units are as follows:



group yard modules: 15-square feet per inmate expected to use the
space at one time, but not less than 500-square feet of unencumbered
space
individual yard modules: 180-square feet of unencumbered space

In cases where cover is not provided to mitigate the inclement weather,
appropriate weather-related equipment and attire should be made available to
the inmates who desire to take advantage of their authorized exercise time.
Comment: None.
4-4155
(Ref. 3-4148)

Segregation units have both outdoor and covered/enclosed exercise areas.
The minimum space requirements for outdoor and covered/enclosed exercise
areas for segregation units are as follows:



group yard module-15 square feet per inmate expected to use the
space at one time, but not less than 500 square feet of unencumbered
space.
individual yard modules-180 square feet of unencumbered space.

Comment: None.

Visiting
4-4156
(Ref. 3-4149)

Sufficient space is provided for a visiting room or area for contact visiting and,
if necessary, noncontact visiting. There is adequately designed space to
permit screening and searching of both inmates and visitors. Space is
provided for the proper storage of visitor’s coats, handbags, and other
personal items not allowed into the visiting area.
Comment: None.

Classrooms
4-4157
(Ref. 3-4150)

In institutions offering academic and vocational training programs, classrooms
are designed in consultation with school authorities. (Renovation, Addition,
New Construction Only)
Comment: Space requirements that afford safety and mobility are necessary in both
the educational and vocational areas.

Dining
4-4158
(Ref. 3-4151)

Dining space should be large enough to allow for meals to be served, affording
each inmate the opportunity to have at least 20 minutes of dining time for each
meal.
Comment: None.

Food Service

Food Preparation Areas

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
4-4159
(Ref. 3-4152)

Agreement Number 5600000770
Attachment 9
Amendment 7

The food preparation area includes a space for food preparation based on
population size, type of food preparation, and methods of meal service.
Comment: None.

Food Storage
4-4160
(Ref. 3-4153)

There are sanitary, temperature-controlled facilities for the storage of foods.
Comment: None.

Sanitation and Hygiene
4-4161
(Ref. 3-4154)

Toilet and washbasin facilities are available to food service personnel and
inmates in the vicinity of the food preparation area.
Comment: None.

Housekeeping
4-4162
(Ref. 3-4155)

Adequate space is provided for janitorial closets accessible to the living and
activity areas. The closets are equipped with a sink and cleaning implements.
Comment: None.

Clothing and Supplies
4-4163
(Ref. 3-4156)

Space is provided in the institution to store and issue clothing, bedding,
cleaning supplies, and other items required for daily operations.
Comment: None.

Personal Property
4-4164
(Ref. 3-4157)

Space is provided for storing the personal property of inmates safely and
securely.
Comment: None.

Mechanical Equipment
4-4165
(Ref. 3-4158)

Separate and adequate space is provided for mechanical and electrical
equipment.
Comment: None.

Commissary/Canteen
4-4166
(Ref. 3-4159)

Space is provided for an inmate commissary or canteen, or provisions are
made for a commissary service.
Comment: None.

Section F: Administrative and Staff Areas
Page 41 of 175

Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
Principle:

Agreement Number 5600000770
Attachment 9
Amendment 7

All levels of staff must be provided with adequate space to carry out their
responsibilities safely and effectively.

Administrative Areas
4-4167
(Ref. 3-4160)

Adequate space is provided for administrative, security, professional, and
clerical staff; this space includes conference rooms, storage room for records,
a public lobby, and toilet facilities.
Comment: None.

Staff Areas
4-4168
(Ref. 3-4161)

Staff needs are met through providing adequate spaces in locations that are
convenient for use. Staff are provided with the following:







an area to change clothes and to shower
an area, room, and/or employee lounge that offers privacy from
inmates and provides space for meals
access to exercise/physical training facilities and equipment
space for training
space for shift-change briefings
toilets and washbasins that are not used by inmates

Comment: None.

Accessibility for the Disabled
4-4169
(Ref. 3-4162)

Reasonable accommodation is made to ensure that all parts of the facility that
are accessible to the public are accessible and usable by staff and visitors
with disabilities.
Comment: None.

Section G: Security
Principle: The physical plant supports the orderly and secure functioning of the institution.
Control Center
4-4170
(2010 Supplement)

Deleted January 2007.

4-4170
(Ref. 3-4163)

Space is provided for a 24-hour control center for monitoring and coordinating
the institution’s security, safety, and communications systems. The control
center provides access to a washbasin and toilet.
Comment: The control center should contain sufficient space for monitoring and
coordinating all internal and external security systems, communications systems,
safety alarms and detection systems, and other mechanical and electrical systems.

Perimeter Security
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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
4-4171
(Ref. 3-4164)

Agreement Number 5600000770
Attachment 9
Amendment 7

The institution’s perimeter is controlled by appropriate means to provide that
inmates remain within the perimeter and to prevent access by the general
public without proper authorization.
Comment: The means chosen to ensure perimeter security should reflect the
facility’s needs based on size and the degree of security required. Perimeter
surveillance can be maintained through watchtowers, mechanical surveillance
devices (for example, electronic, pressure, or sound detection systems), mobile
patrols, or some combination of these techniques. All areas adjacent to the
perimeter should be visible under all conditions.

Entrances and Exits
4-4172
(Ref. 3-4165)

Pedestrians and vehicles enter and leave at designated points in the perimeter.
Safety vestibules and sally ports constitute the only breaches in the perimeter
of maximum security institutions.
Comment: None.

Security Equipment Storage
4-4173
(Ref. 3-4166)

Firearms, chemical agents, and related security items are stored in a secure
but readily accessible depository outside of inmate housing and activity areas.
Comment: None.

3. Institutional Operations
Section A: Security and Control
Principle: The institution uses a combination of supervision, inspection, accountability, and
clearly defined policies and procedures on use of weapons and force to promote
safe and orderly operations.
Security Manual
4-4174
(2010 Supplement)

Revised August 2009. There is a manual containing all procedures for
institutional security and control, with detailed instructions for implementing
these procedures. The manual is available to all staff.
Comment: The manual should contain information on physical plant inspection,
inmate counts, weapons and chemical agent control, contraband, key control, tool
and equipment control, and emergency procedures.

4-4174
(Ref. 3-4167)

There is a manual containing all procedures for institutional security and
control, with detailed instructions for implementing these procedures. The
manual is available to all staff and is reviewed at least annually and updated if
necessary.
Comment: The manual should contain information on physical plant inspection,
inmate counts, weapons and chemical agent control, contraband, key control, tool
and equipment control, and emergency procedures.

Page 43 of 175

Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

Control Center
4-4175
(2010 Supplement)

Revised January 2007. Space is provided for a 24-hour continuously staffed
secure control center for monitoring and coordinating the institution’s
security, life, safety, and communications systems. Staff assigned to a control
center have access to a toilet and washbasin. There is a communication
system between the control center and inmate living areas.
Comment: None.

4-4175
(Ref. 3-4168)

The institution maintains a control center to provide order and security.

4-4176
(2010 Supplement)

Deleted January 2007.

4-4176
(Ref. 3-4169)

The facility has a communication system between the control center and
inmate living areas.

Comment: The control center should be staffed 24 hours per day and should
monitor and take responsibility for inmate counts, key control, and coordination of
internal and perimeter security.
It should also serve as the institution’s
communications center and monitor the operation of various systems: fire alarm,
public address, smoke and thermal detection, radio, teletype, computer, surveillance
alarms, walk and perimeter lighting, and other mechanical and electrical systems.

Comment: A mechanical or audio communication system should be used to
supplement direct staff supervision activities (for example, to advise staff of
emergency needs), not as a substitute for staff supervision.

Correctional Officer Assignments
4-4177
(Ref. 3-4170)

Correctional officer posts are located in or immediately adjacent to inmate
living areas to permit officers to hear and respond promptly to emergency
situations.
Comment: The presence of correctional officers within hearing distance of inmate
living quarters can help prevent inmate misbehavior and avoid disturbances.

4-4178
(Ref. 3-4171)

There are written orders for every correctional officer post. These orders are
reviewed annually and updated if necessary.
Comment: Written orders should specify the duties of each post and the procedures
to be followed to carry out the assignment. Copies of the post orders should be
available for all employees.

4-4179
(Ref. 3-4172)

Written policy, procedure, and practice provide for personnel to read the
appropriate post order each time they assume a new post and to sign and date
the post order.
Comment: None.

4-4180
(Ref. 3-4173)

Written policy, procedure, and practice facilitate personal contact and
interaction between staff and inmates.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

Comment: Staff effectiveness is limited if the only staff available are placed in
isolated control centers during periods of inmate activity in the housing units.

4-4181
(Ref. 3-4174)

Written policy, procedure, and practice require that when both males and
females are housed in the facility, at least one male and one female staff
member are on duty at all times.
Comment: None.

4-4182
(Ref. 3-4175)

Written policy, procedure, and practice provide that no inmate or group of
inmates is given control or authority over other inmates.
Comment: None.

Permanent Log
4-4183
(Ref. 3-4176)

Written policy, procedure, and practice require that correctional staff maintain
a permanent log and prepare shift reports that record routine information,
emergency situations, and unusual incidents.
Comment: Adequate supervision of inmates requires a formal written reporting
system. Each correctional officer in each housing unit on each shift should maintain
detailed records of pertinent information regarding individual inmates and groups of
inmates.

Patrols and Inspections
4-4184
(Ref. 3-4177)

Written policy, procedure, and practice provide that supervisory staff conduct
a daily patrol, including holidays and weekends, of all areas occupied by
inmates and submit a daily written report to their supervisor. Unoccupied
areas are to be inspected weekly.
Comment: Matters requiring further attention (for example, staff and inmate
concerns; faulty, unsafe, or dirty conditions) should be reported in writing for review
and further action.

4-4185
(Ref. 3-4178)

Written policy, procedure, and practice require that the warden/superintendent
or designee, assistant warden/superintendent(s), and designated department
heads visit the institution’s living and activity areas at least weekly to
encourage informal contact with staff and inmates and to informally observe
living and working conditions.
Comment: Arrangements should be made for inmates to have informal access to
key staff. This can be achieved through staff visits to the housing units, work areas,
educational and recreational areas, and other areas in the institution where inmates
can be contacted during the day or evening. Policy should specify which department
heads are expected to make at least weekly visits and should encourage other
department heads and supervisory staff to visit these areas as often as practical.

4-4186
(2010 Supplement)

Revised August 2007. Written policy, procedure, and practice require that the
chief security officer or qualified designee conduct at least weekly inspections
of all security devices, noting the items needing repair or maintenance. The
inspections are reported in writing to the warden/superintendent and/or chief
security officer.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

Comment: There should be a scheduled maintenance procedure to ensure that all
bars, locks, windows, doors, and other security devices are fully operational.
Emergency keys should be checked at least quarterly to ensure they are in working
order. The results of all inspections should be submitted in writing to the
warden/superintendent and/or the officer in charge of security.

4-4186
(Ref. 3-4179)

Written policy, procedure, and practice require that the chief security officer or
qualified designee conduct at least weekly inspections of all security devices
needing repair or maintenance and report the results of the inspections in
writing.
Comment: There should be a scheduled maintenance procedure to ensure that all
bars, locks, windows, doors, and other security devices are fully operational.
Emergency keys should be checked at least quarterly to ensure they are in working
order. The results of all inspections should be submitted in writing to the
warden/superintendent and/or the officer in charge of security.

Inmate Counts
4-4187
(Ref. 3-4180)

The institution has a system for physically counting inmates. The system
includes strict accountability for inmates assigned to work and educational
release, furloughs, and other approved temporary absences.
Comment: There should be at least one inmate count per shift. Counts should be
scheduled so that they do not conflict with activity programs and normal operating
procedures. The officer responsible for maintaining the master count record should
have up-to-the-minute information regarding all inmate housing moves, work
assignment changes, hospital admissions, and so on. Adequate checks should be
instituted to allow for human error. All inmates in legal custody should be accounted
for in the master count; all temporary absences from the facility should be explained
in writing.

Inmate Movement
4-4188
(Ref. 3-4181)

Written policy, procedure, and practice provide that staff regulate inmate
movement.
Comment: All inmate movement from one location to another should be controlled
and supervised by staff, including individual and group inmate movement to and from
work and program assignments. A master pass list for each day can assist in
accounting for movement without restricting or discouraging participation in program
activities.

4-4189
(Ref. 3-4182)

Written policy and procedure govern the transportation of inmates outside the
institution and from one jurisdiction to another.
Comment: Guidelines for transporting inmates should emphasize safety and should
be made available to all personnel involved in transporting inmates. The institution
should have policies governing the use of restraints.

Use of Restraints
4-4190
(Ref. 3-4183)

Written policy, procedure, and practice provide that instruments of restraint,
such as handcuffs, irons, and straitjackets, are never applied as punishment
and are applied only with the approval of the warden/superintendent or

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ACA Standards
designee.

Agreement Number 5600000770
Attachment 9
Amendment 7

Comment: Instruments of restraint should be used only as a precaution against
escape during transfer, for medical reasons, by direction of the medical officer, or to
prevent self-injury, injury to others, or property damage. Restraints should not be
applied for more time than is absolutely necessary.
4-4191
(Ref. 3-4183-1)

(MANDATORY) Written policy, procedure, and practice provide that when an
offender is placed in a four/five-point restraint (arms, head and legs secured),
advance approval must be obtained from the warden/superintendent or
designee. Subsequently, the health authority or designee must be notified to
assess the inmate’s medical and mental health condition, and to advise
whether, on the basis of serious danger to self or others, the inmate should be
placed in a medical/mental health unit for emergency involuntary treatment
with sedation and/or other medical management, as appropriate. If the
offender is not transferred to a medical/mental health unit and is restrained in
a four/five-point position, the following minimum procedures will be followed:
1. Direct visual observation by staff must be continuous prior to
obtaining approval from the health authority or designee;
2. Subsequent visual observation must be made at least every fifteen
minutes; and,
3. Restraint procedures are in accordance with guidelines endorsed by
the designated health authority.
Comment: Four/five-point restraints should be used only in extreme instances and
only when other types of restraints have proven to be ineffective. Restraint
guidelines should include consideration of an individual’s physical condition, such as
body weight.

Control of Contraband
4-4192
(Ref. 3-4184)

Written policy, procedure, and practice provide for searches of facilities and
inmates to control contraband and provide for its disposition. These policies
are made available to staff and inmates; policies and procedures are reviewed
at least annually and updated if necessary.
Comment: The institution’s search plans and procedures should include the
following:
 unannounced and irregularly times searches of cells, inmates, and inmate
work areas
 inspection of all vehicular traffic and supplies coming into the institution
 use of metal detectors at compound gates and entrances into housing units
 complete search and inspections of each cell prior to occupancy by a new
inmate
 avoidance of unnecessary force, embarrassment, or indignity to the inmate
 staff training in effective search techniques that protect both inmates and
staff from bodily harm
 use of nonintensive sensors and other techniques instead of body searches
whenever feasible
 conduct of searches only as necessary to control contraband or to recover
missing or stolen property
 respect of inmates’ rights to authorized personal property
 use of only those mechanical devices absolutely necessary for security
purposes

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ACA Standards
4-4193
(Ref. 3-4185)

Agreement Number 5600000770
Attachment 9
Amendment 7

Written policy, procedure, and practice provide that manual or instrument
inspection of body cavities is conducted only when there is reason to do so
and when authorized by the warden/superintendent or designee.
The
inspection is conducted in private by health care personnel or correctional
personnel trained by health care personnel.
Comment: None.

4-4194
(Ref. 3-4186)

Written policy, procedure, and practice provide that, except in emergency
situations, visual inspections of inmate body cavities are conducted by
officers of the same sex, in private, and based on reasonable belief that the
inmate is carrying contraband or other prohibited material. Reasonable belief
is not required when inmates return from contact with the general public or
from outside the institution. In all cases, this inspection is conducted by
trained personnel.
Comment: None.

Controlled Access and Use
Keys

4-4195
(Ref. 3-4187)

(MANDATORY) Written policy, procedure, and practice govern the control and
use of keys.
Comment: None.

Tools and Equipment
4-4196
(Ref. 3-4188)

(MANDATORY) Written policy, procedure, and practice govern the control and
use of tools, culinary, and medical equipment.
Comment: None.

Vehicles
4-4197
(Ref. 3-4189)

Written policy and procedure govern the use and security of institution
vehicles.
Comment: Written policies and procedures should state the conditions under which
inmates may drive vehicles. Responsibility and keys for certain vehicles may be
assigned to specific staff, but the pool of vehicles should be controlled by one
person.

4-4198
(Ref. 3-4190)

Written policy and procedure govern the use of personal vehicles for official
purposes and include provisions for insurance coverage.
Comment: Written policy should specify the conditions for the official use of personal
vehicles and the limits of institutional liability.

Security Equipment

General Policies and Practice
4-4199
(Ref. 3-4191)

Written policy and procedure govern the availability, control, and use of
chemical agents, electrical disablers, and related security devices and specify

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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

the level of authority required for their access and use. Chemical agents and
electrical disablers are used only with the authorization of the
warden/superintendent or designee.
Comment: Based on an analysis of the physical plant and the size and profile of the
inmate population, designated staff should determine what firearms, chemical
agents, electrical disablers, and other security devices (such as shields, batons,
helmets, gloves, and body protectors) the institution needs. Written policies and
procedures should specify the level of authority required for access to and use of
security devices.

4-4200
(2010 Supplement)

Revised January 2008. Written policy, procedure, and practice govern the
inventory, issuance and accountability of routine and emergency distributions
of security equipment.
Comment: Written policy should delineate the process by which security equipment
is distributed from the primary issue point to control points for both routine and
emergency issuance. The policy should address how the facility tracks the issuance
of security equipment (written log, chit system, and so forth) and the accountability of
security equipment at the end of the shift.

4-4200
(Ref. 3-4192)

4-4201
(Ref. 3-4193)

Written policy, procedure, and practice provide that the institution maintains a
written record of routine and emergency distributions of security equipment.
Comment: The written record should detail who receives security equipment and
what equipment they receive.
Firearms, chemical agents, and related security equipment are inventoried at
least monthly to determine their condition and expiration dates.
Comment: Written policy should specify who has access to the depository where the
security equipment is stored.

4-4202
(Ref. 3-4194)

Written policy, procedure, and practice provide that written reports are
submitted to the warden/superintendent or designee no later than the
conclusion of the tour of duty when any of the following occur:





discharge of a firearm or other weapon
use of chemical agents to control inmates
use of force to control inmates
inmate(s) remain in restraints at the end of the shift

Comment: All incidents involving use of force that have the potential for injury
should be recorded to establish the identities of the staff, inmate(s), or others
involved and to describe the nature of the incident.
4-4203
(Ref. 3-4195)

(MANDATORY) Written policy, procedure, and practice provide that all persons
injured in an incident receive immediate medical examination and treatment.
Comment: Immediate medical examination and treatment should be required in all
instances involving the use of a weapon or chemical agent.

Use of Firearms
4-4204

(MANDATORY) Written policy and procedure govern the use of firearms,

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Corrections Corporation of America
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ACA Standards
(Ref. 3-4196)

including the following:





Agreement Number 5600000770
Attachment 9
Amendment 7

Weapons are subject to stringent safety regulations and inspections.
Except in emergency situations, employees carrying firearms are
assigned only to watchtowers, gun walks, mobile patrols, or other
positions that are inaccessible to inmates.
Employees supervising inmates outside the institution’s perimeter
follow specific procedures for ensuring the security of the weapons.
Employees are instructed to use deadly force only after other actions
have been tried and found ineffective, unless the employee believes
that a person’s life is immediately threatened.

Comment: Personnel who spend most of their time in direct personal contact with
inmates should not carry firearms. Any personnel authorized to use firearms must
be properly trained and demonstrate competency in their use.
4-4205
(Ref. 3-4197)

(MANDATORY) Written policy, procedure, and practice provide for the safe
unloading and reloading of firearms.
Comment: None.

Use of Force
4-4206
(Ref. 3-4198)

(MANDATORY) Written policy, procedure, and practice restrict the use of
physical force to instances of justifiable self-defense, protection of others,
protection of property, prevention of escapes, and to maintain or regain
control, and then only as a last resort and in accordance with appropriate
statutory authority. In no event is physical force justifiable as punishment. A
written report is prepared following all uses of force and is submitted to
administrative staff for review.
Comment: None.

Preservation of Physical Evidence
4-4207
(Ref. 3-4198-1)

Written policy, procedure, and practice provide for the preservation, control,
and disposition of all physical evidence obtained in connection with a violation
of law and/or institutional regulation. At a minimum, the procedures shall
address the following:




chain of custody
evidence handling
location and storage requirements

Comment: Strict accountability of physical evidence collected in connection with a
crime must be established to preserve the integrity of the disciplinary and/or legal
process. Minor rule violations should be exempt from the procedural requirements of
evidence control, preservation, and disposition.

Canine Units
4-4208
(Ref. 3-4198-2)

Where a canine unit exists, policy, procedure, and practice provide for the
following:


a mission statement, including goals and objectives

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ACA Standards


Agreement Number 5600000770
Attachment 9
Amendment 7

emergency plans that are integrated into the overall emergency plans
of the facility

Comment: None.
4-4209
(Ref. 3-4198-3)

Where a canine unit exists, policy, procedure, and practice for training of
handlers/dog teams and upkeep and care of animals provide for the following:




criteria for selection, training, and care of animals
criteria for selection and training requirements of handlers
an approved sanitation plan which covers inspection, housing,
transportation, and daily grooming for dogs

Each handler/dog team should be trained, certified, and recertified annually by
a nationally recognized accrediting body or a comparable internal training and
proficiency testing program.
Comment: None.
4-4210
(Ref. 3-4198-4)

Where a canine unit exists, policy, procedure, and practice provide daily and
current records on training, care of dogs, and significant events.
Comment: None.

Section B: Safety and Emergency Procedures
Principle: The institution adheres to all applicable safety and fire codes and has in place the
equipment and procedures necessary in the event of a major emergency.
Fire Safety
4-4211
(Ref. 3-4199)

(MANDATORY) Written policy, procedure, and practice specify the institution’s
fire prevention regulations and practices. These include, but are not limited to,
the following:





provision for an adequate fire protection service
a system of fire inspection and testing of equipment at least quarterly
or at intervals approved by the authority having jurisdiction, following
the procedures stated for variances, exceptions, or equivalencies
an annual inspection by local or state fire officials or other qualified
person(s)
availability of fire protection equipment at appropriate locations
throughout the institution

Comment: Institutional administrators should plan and execute all reasonable
procedures for the prevention and prompt control of fire. The use of national codes,
such as The Life Safety Code, can help to ensure the safety of staff, inmates, and
visitors. The use of a volunteer or an internal fire department is acceptable for
compliance, assuming that the fire station is readily accessible in case of fire and
that it is the primary alternative available. If the fire station is not continually staffed,
fire alarm notification must be made to a local law enforcement unit or equally
reliable source.
4-4212
(2010 Supplement)

Revised August 2009. Written policy, procedure, and practice provide for a
comprehensive and thorough monthly inspection of the institution by a

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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

qualified fire and safety officer for compliance with safety and fire prevention
standards. There is a weekly fire and safety inspection of the institution by a
qualified departmental staff member.

Comment: The “qualified departmental staff member” who conducts the weekly
inspections may be an institutional staff member who has received training in and is
familiar with the safety and sanitation requirements of the jurisdiction. At a minimum,
it is expected that the safety/sanitation specialist will provide on-the-job training
regarding applicable regulations and inspections, including the use of checklists and
the methods of documentation.
4-4212
(Ref. 3-4200)

(MANDATORY) Written policy, procedure, and practice provide for a
comprehensive and thorough monthly inspection of the institution by a
qualified fire and safety officer for compliance with safety and fire prevention
standards. There is a weekly fire and safety inspection of the institution by a
qualified departmental staff member. This policy and procedure is reviewed
annually and updated as needed.
Comment: The “qualified departmental staff member” who conducts the weekly
inspections may be an institutional staff member who has received training in and is
familiar with the safety and sanitation requirements of the jurisdiction. At a minimum,
it is expected that the safety/sanitation specialist will provide on-the-job training
regarding applicable regulations and inspections, including the use of checklists and
the methods of documentation.

4-4213
(Ref. 3-4201)

(MANDATORY) Specifications for the selection and purchase of facility
furnishings indicate the fire safety performance requirements of the materials
selected.
Comment: Furnishings, mattresses, cushions, or other items of foamed plastics or
foamed rubber (for example, polyurethane, polystyrene) can pose a severe hazard
due to high smoke production, rapid burning once ignited, and high heat release.
Such materials should be subjected to careful fire safety evaluation before purchase
or use. All polyurethane should be removed from living areas unless its use is
approved in writing by the fire authority having jurisdiction. The fire authority should
consider the flammability and toxicity characteristics of the products being evaluated.
Facility furnishings include draperies, curtains, furniture, mattresses and bedding,
upholstered or cushioned furniture, wastebaskets, decorations, and similar materials
that can burn. “Furnishings” applies to all living quarters. The standard requires that
specifications be known, if available, at the time of selection; there are no standards
mandating knowledge of fire performance characteristics of furnishings in the facility
prior to implementation of the policy relating to this standard.

4-4214
(Ref. 3-4202)

(MANDATORY) Institution facilities are equipped with noncombustible
receptacles for smoking materials and separate containers for other
combustible refuse at accessible locations throughout living quarters in the
institution. Special containers are provided for flammable liquids and for rags
used with flammable liquids. All receptacles and containers are emptied and
cleaned daily.
Comment: None.

Flammable, Toxic, and Caustic Materials

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ACA Standards
4-4215
(Ref. 3-4203)

Agreement Number 5600000770
Attachment 9
Amendment 7

(MANDATORY) Written policy, procedure, and practice govern the control and
use of all flammable, toxic, and caustic materials.

Comment: The following definitions apply to this standard: flammable materialsliquids with a flash point below 100 degrees F; toxic materials-substances that
through chemical reaction or mixture can produce possible injury or harm to the body
by entering through the skin, digestive tract, or respiratory tract (for example, zinc
chromate paint, ammonia, chlorine, antifreeze, herbicides, pesticides); caustic
materials-substances that can destroy or eat away by chemical reaction (for
example, lye, caustic soda, sulfuric acid). If a substance possesses more than one
of the above properties, the safety requirements for all applicable properties should
be considered.
All flammable, toxic, and caustic materials should be stored in secure areas that are
inaccessible to inmates, and a prescribed system should be used to account for their
distribution. Inmates should never possess such items unless they are under the
close supervision of qualified staff.
Substances that do not contain one or more of the above properties but that are
labeled “Keep Out of the Reach of Children” or “May Be Harmful If Swallowed” are
not prohibited; their use and control, however, should be addressed in agency policy.

Emergency Power and Communications
4-4216
(Ref. 3-4204)

The institution has the equipment necessary to maintain essential lights,
power, and communications in an emergency.
Comment: The institution should have emergency power units, either battery or
motor driven, to provide essential lighting and life-sustaining functions within the
institution and to maintain outside communications in an emergency.

4-4217
(Ref. 3-4205)

Written policy, procedure, and practice provide for a communications system
within the institution and between the institution and community in the event
of urgent, special, or unusual incidents, or emergency situations.
Comment: The facility should have available walkie-talkies and/or a radio base
station, receivers and transmitters or other independent mechanical means of
communication to maintain constant contact with the outside community if
conventional means of communication are disrupted. Institutions located in areas
subject to severe storms, tornadoes, or hurricanes should maintain a ready means of
voice communication with the community.

4-4218
(Ref. 3-4206)

There is a written plan for preventive maintenance of the physical plant; the
plan includes provisions for emergency repairs or replacement in lifethreatening situations.
Comment: Regular care and inspection of equipment is essential for safe and
efficient operations. The preventive maintenance plan should be implemented by
qualified staff or maintenance professionals.

4-4219
(Ref. 3-4207)

Emergency equipment and systems are tested at least quarterly. Power
generators are inspected weekly and load tested quarterly at a minimum or in
accordance with manufacturer’s recommendations and instruction manuals.
Comment:

Emergency equipment, such as standby lighting, batteries, power

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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

generators, fire fighting apparatus, communications systems, and alarms should be
checked frequently to ensure their reliability.

Emergency Plans
Staff Training

4-4220
(2010 Supplement)

Revised August 2007. (Mandatory) All institution personnel are trained in the
implementation of written emergency plans.
Work stoppage plans are
communicated only to appropriate supervisory or other personnel directly
involved in the implementation of those plans.
Comment: Review of all emergency plans should be an essential element of
personnel training and retraining programs. New employees should be familiar with
all emergency plans prior to their permanent work assignments.

4-4220
(Ref. 3-4208)

(MANDATORY) All institution personnel are trained in the implementation of
written emergency plans. Work stoppage and riot/disturbance plans are
communicated only to appropriate supervisory or other personnel directly
involved in the implementation of those plans.
Comment: Review of all emergency plans should be an essential element of
personnel training and retraining programs. New employees should be familiar with
all emergency plans prior to their permanent work assignment.

Evacuation Procedures
4-4221
(Ref. 3-4209)

(MANDATORY) There is a written evacuation plan to be used in the event of
fire or major emergency. The plan is certified by an independent, outside
inspector trained in the application of national fire safety codes and is
reviewed annually, updated if necessary, and reissued to the local fire
jurisdiction. The plan includes the following:






location of building/room floor plans
use of exit signs and directional arrows for traffic flow
location of publicly posted plan
at least quarterly drills in all institution locations, including
administrative areas
staff drills when evacuation of extremely dangerous inmates may not
be included

Comment: The evacuation plan should specify evacuation routes, subsequent
disposition and housing of inmates, and provision for medical care or hospital
transportation for injured inmates and/or staff. Fire drills should include evacuation
of all inmates except when there is clear and convincing evidence that institutional
security is jeopardized; upon such showing, actual evacuation during drills is not
required, although staff supervising such inmates should be required to perform their
roles/activity in quarterly drills.
4-4222
(Ref. 3-4210)

(MANDATORY) Written policy, procedure, and practice specify the means for
the immediate release of inmates from locked areas in case of emergency and
provide for a backup system.
Comment: The responsibilities of personnel in an emergency situation should be
clearly defined. Staff should be aware of the location and identification of keys and
be knowledgeable about all evacuation routes. Inmates should receive instructions

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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

concerning emergency procedures. The authority having jurisdiction must certify
that locking arrangements allow for prompt release and/or that sufficient staff are
available to operate locking devices when necessary. A “backup system” means
that there is a manual backup if power-operated locks fail. A control station or other
locations removed from the inmate living areas should be equipped with reliable,
manual means for releasing locks on swinging and sliding doors to permit prompt
release. If the facility has only a manual locking system, a staff plan for manually
releasing locks must be in place.

Work Stoppage
4-4223
(Ref. 3-4211)

There is a written plan that provides for continuing operations in the event of a
work stoppage or other job action. Copies of this plan are available to
appropriate supervisory personnel.
Comment: A contingency plan for maintaining essential services might involve
agreements with other law enforcement agencies, such as local or state police.

Threats to Security
4-4224
(2010 Supplement)

Revised August 2009. There are written plans that specify the procedures to
be followed in situations that threaten institutional security. Such situations
include but are not limited to riots, hunger strikes, disturbances, and taking of
hostages. These plans are made available to all applicable personnel.
Comment: The plans should designate the personnel who are to implement the
procedures, when and which authorities and media should be notified, how the
problem should be contained, and the procedures to be followed after the incident is
quelled. The plans presuppose regular inspection and maintenance of any
specialized equipment necessary to implement the procedures. All personnel should
be familiar with the plans. Hospital and medical personnel should be involved in the
formulation of the plans, since they are responsible for the safety of their patients.

4-4224
(Ref. 3-4212)

(MANDATORY) There are written plans that specify the procedures to be
followed in situations that threaten institutional security. Such situations
include but are not limited to riots, hunger strikes, disturbances, and taking of
hostages. These plans are made available to all applicable personnel and are
reviewed at least annually and updated as needed.
Comment: The plans should designate the personnel who are to implement the
procedures, when and which authorities and media should be notified, how the
problem should be contained, and the procedures to be followed after the incident is
quelled. The plans presuppose regular inspection and maintenance of any
specialized equipment necessary to implement the procedures. All personnel should
be familiar with the plans. Hospital and medical personnel should be involved in the
formulation of the plans, since they are responsible for the safety of their patients.

Escapes
4-4225
(2010 Supplement)

Revised August 2009. There are written procedures regarding escapes.
Comment: Specific procedures that can be used quickly when an escape occurs
should be made available to all personnel. Procedures should include the following:
prompt reporting of the escape to the warden/superintendent; mobilizing of
employees; implementing of a predetermined search plan; notifying of law

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Agreement Number 5600000770
Attachment 9
Amendment 7

enforcement agencies, community groups, and relevant media; preparing of escape
circulars for distribution and mailing; and, after apprehension of the escapee,
promptly notifying all who were previously alerted to the escape.

4-4225
(Ref. 3-4213)

There are written procedures regarding escapes; these procedures are
reviewed at least annually and updated if necessary.
Comment: Specific procedures that can be used quickly when an escape occurs
should be made available to all personnel. Procedures should include the following:
prompt reporting of the escape to the warden/superintendent; mobilizing of
employees; implementing of a predetermined search plan; notifying of law
enforcement agencies, community groups, and relevant media; preparing of escape
circulars for distribution and mailing; and, after apprehension of the escapee,
promptly notifying all who were previously alerted to the escape.

4-4225-1
(2010 Supplement)

Added January 2003. Written policy, procedure, and practice define critical
incidents for the facility and provide for a debriefing to be conducted after
each such incident. The debriefing process includes coordination and
feedback about the incident with designated staff of the facility as soon as
possible after the incident. A debriefing includes, but is not limited to:





a review of staff and offender actions during the incident
a review of the incident’s impact on staff and offenders
a review of corrective actions taken and still needed
plans for improvement to avoid another incident

Comment: A “critical incident” is any event or situation that threatens staff or
offenders in their community (criminal justice setting). While debriefings should
occur as soon as possible, some information may not be available until later. All
staff impacted by a critical incident should be included in the debriefings and referred
to appropriate services to mitigate the stress associated with these events. All
critical incidents should be reviewed by the administration, security, and health
services. A two-week follow-up debriefing should occur to review the validity and
appropriateness of all policies, plans, and information used during the critical incident
and immediately after.

Section C: Rules and Discipline
Principle: The institution’s rules of conduct and sanctions and procedures for violations are
defined in writing and communicated to all inmates and staff. Disciplinary
procedures are carried out promptly and with respect for due process.
Rules of Conduct
4-4226
(2010 Supplement)

Revised August 2009. Written rules of inmate conduct specify acts prohibited
within the institution and penalties that can be imposed for various degrees of
violation.
Comment: The rules should prohibit only observed behavior that can be shown
clearly to have a direct, adverse effect on an inmate or on institutional order and
security. The rules also should specify the range of penalties that can be imposed
for violations. Penalties should be proportionate to the importance of the rule and
the severity of the violation.

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ACA Standards
4-4226
(Ref. 3-4214)

Agreement Number 5600000770
Attachment 9
Amendment 7

Written rules of inmate conduct specify acts prohibited within the institution
and penalties that can be imposed for various degrees of violation; the written
rules are reviewed annually and updated if necessary.

Comment: The rules should prohibit only observed behavior that can be shown
clearly to have a direct, adverse effect on an inmate or on institutional order and
security. The rules also should specify the range of penalties that can be imposed
for violations. Penalties should be proportionate to the importance of the rule and
the severity of the violation.
4-4227
(2010 Supplement)

Revised August 2009. There is a written set of disciplinary procedures
governing inmate rule violations.
Comment: None.

4-4227
(Ref. 3-4215)

There is a written set of disciplinary procedures governing inmate rule
violations. These are reviewed annually and updated if necessary.
Comment: None.

4-4228
(Ref. 3-4216)

A rulebook that contains all chargeable offenses, ranges of penalties, and
disciplinary procedures is given to each inmate and staff member and is
translated into those languages spoken by significant numbers of inmates.
Signed acknowledgment of receipt of the rulebook is maintained in the
inmate’s file. When a literacy or language problem prevents an inmate from
understanding the rulebook, a staff member or translator assists the inmate in
understanding the rules.
Comment: Written procedures should specify how the rules and regulations are
issued and presented to new inmates. Rules and regulations governing inmate
conduct are of limited value unless the inmate understands them. “Posting” the
rulebook is unnecessary provided there is evidence each inmate receives a copy of
the rules.

4-4229
(Ref. 3-4217)

All personnel who work with inmates receive sufficient training so that they are
thoroughly familiar with the rules of inmate conduct, the rationale for the rules,
and the sanctions available.
Comment: All institutional personnel who work with inmates in any way should
receive continuous in-service training to prevent discrepancies among staff members
in interpretation or implementation of rules of conduct.

Resolution of Minor Infractions
4-4230
(Ref. 3-4218)

There are written guidelines for resolving minor inmate infractions, which
include a written statement of the rule violated and a hearing and decision
within seven days, excluding weekends and holidays, by a person not involved
in the rule violation; inmates may waive their appearance at the hearing.
Comment: None.

Criminal Violations
4-4231
(Ref. 3-4219)

Written policy, procedure, and practice provide that, where an inmate allegedly
commits an act covered by criminal law, the case is referred to appropriate

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court or law enforcement officials for consideration for prosecution.

Comment: Corrections and court or law enforcement officials should agree on the
categories of offenses that are to be referred to them in order to eliminate minor
offenses or those of no concern.

Disciplinary Reports
4-4232
(Ref. 3-4220)

Written policy, procedure, and practice provide that when rule violations
require formal resolution, staff members prepare a disciplinary report and
forward it to the designated supervisor.
Comment: None.

4-4233
(Ref. 3-4221)

Disciplinary reports prepared by staff members include, but are no limited to,
the following information:








specific rule(s) violated
a formal statement of the charge
any unusual inmate behavior
any staff witnesses
any physical evidence and its disposition
any immediate action taken, including the use of force
reporting staff member’s signature and date and time of report

Comment: All relevant information should be recorded on a disciplinary report form
and should be as specific and comprehensive as possible.

Prehearing Action
4-4234
(Ref. 3-422)

Written policy, procedure, and practice specify that, when an alleged rule
violation is reported, an appropriate investigation is begun within 24 hours of
the time the violation is reported and is completed without reasonable delay,
unless there are exceptional circumstances for delaying the investigation.
Comment: Investigations of alleged rule violations should be commenced as soon
as possible after the incident is reported. The investigating officer should be a staff
member but not the officer who reported the incident.

4-4235
(Ref. 3-4223)

Within the disciplinary procedures document there is provision for prehearing
detention of inmates who are charged with a rule violation. The inmate’s prehearing status is reviewed by the warden/superintendent or designee within 72
hours, including weekends and holidays.
Comment: Prehearing detention is the confinement of an inmate in an individual cell
until an investigation is completed or a hearing scheduled. Such detention should
not be punitive and should be used only when necessary to ensure the inmate’s
safety or the security of the institution. Documentation should be provided as to the
reason for detention, and no inmate should remain in prehearing detention longer
than necessary.

4-4236
(Ref. 3-4224)

Written policy, procedure, and practice provide that an inmate charged with a
rule violation receives a written statement of the charge(s), including a
description of the incident and specific rules violated. The inmate is given the
statement at the same time that the disciplinary report is filed with the

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disciplinary committee but no less than 24 hours prior to the disciplinary
hearing. The hearing may be held within 24 hours with the inmate’s written
consent.
Comment: None.

4-4237
(Ref. 3-4225)

Written policy, procedure, and practice provide that an inmate may waive the
right to a hearing provided that the waiver is documented and reviewed by the
chief executive officer or designee.
Comment: When inmates feel that a hearing is unnecessary, they should have the
opportunity to waive this right. The disciplinary committee should follow stated
guidelines for determination of sanctions.

Disciplinary Hearing
Scheduling

4-4238
(2010 Supplement)

Revised January 2008. Written policy, procedure, and practice provide that
inmates charged with rule violations are scheduled for a hearing as soon as
practicable but no later than seven days, excluding weekends and holidays,
after being charged with a violation. Inmates are notified of the time and place
of the hearing at least 24 hours in advance of the hearing.
Comment: To ensure fairness and the integrity of the disciplinary process, inmates
charged with rule violations should receive hearings as soon as possible unless the
hearing is prevented by exceptional circumstances, unavoidable delays, or
reasonable postponements. Reasons for all delays should be documented.

4-4238
(Ref. 3-4226)

Written policy, procedure, and practice provide that inmates charged with rule
violations are scheduled for a hearing as soon as practicable but no later than
seven days, excluding weekends and holidays, after the alleged violation.
Inmates are notified of the time and place of the hearing at least 24 hours in
advance of the hearing.
Comment: To ensure fairness and the integrity of the disciplinary process, inmates
charge with rule violations should receive hearings as soon as possible unless the
hearing is prevented by exceptional circumstances, unavoidable delays, or
reasonable postponements. Reasons for all delays should be documented.

4-4239
(Ref. 3-4227)

Written policy, procedure, and practice provide for postponement or
continuance of the disciplinary hearing for a reasonable period and good
cause.
Comment: Hearing postponement or continuance may be granted for such cause as
preparation of a defense, illness or unavailability of the inmate, further investigation
of factual matters relevant to the hearing, or pending criminal court prosecution.
Delaying a hearing is also justifiable on the basis of factual recording of an inmate’s
unacceptable behavior during the hearing process or the inmate’s refusal to
participate in a reasonable manner.

Conduct of Hearing
4-4240
(Ref. 3-4228)

Written policy, procedure, and practice provide that disciplinary hearings on
rule violations are conducted by an impartial person or panel of persons. A
record of the proceedings is made and maintained for at least six months.

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Comment: To ensure objectivity, hearings for rule violations should be conducted by
persons who were not directly involved in the incident.

4-4241
(Ref. 3-4229)

Written policy, procedure, and practice provide that inmates charged with rule
violations are present at their hearings unless they waive that right in writing
or through their behavior. Inmates may be excluded during the testimony of
any inmate whose testimony must be given in confidence; the reasons for the
inmate’s absence or exclusion are documented.
Comment: None.

4-4242
(Ref. 3-4230)

Written policy, procedure, and practice provide that inmates have an
opportunity to make a statement and present documentary evidence at the
hearing and can request witnesses on their behalf; the reasons for denying
such a request are stated in writing.
Comment: None.

4-4243
(Ref. 3-4231)

Written policy, procedure, and practice provide that a staff member or agency
representative assists inmates at disciplinary hearings if requested. A
representative is appointed when it is apparent that an inmate is not capable of
collecting and presenting evidence effectively on his or her own behalf.
Comment: Staff members or agency representatives designated to assist inmates
should be trained in and knowledgeable about facility rules and discipline,
disciplinary procedures, and due process requirements. Some agencies designate a
legal assistant or staff representative to assist inmates in hearings. While this meets
due process safeguards, an additional intent is to provide staff assistance from a
person with whom inmates are comfortable and who they feel they can trust.
Therefore, inmates should be allowed to choose persons to represent them from an
approved list of facility staff members. At all times, the burden is on the agency to
indicate reasons for not allowing a particular staff member to represent an inmate in
a specific situation. Inmates may not cross-examine witnesses, but staff may
question witnesses who have been requested by an inmate to present evidence.

Hearing Decisions
Basis for Decision
4-4244
(Ref. 3-4232)

Written policy, procedure, and practice provide that the disciplinary
committee’s decision is based solely on information obtained in the hearing
process, including staff reports, the statements of the inmate charged, and
evidence derived from witnesses and documents.
Comment: Witnesses requested by the inmate may be questioned by both the
inmate’s representative and committee members. Witnesses who cannot respond to
questions in person can be asked to submit written statements. The inmate should
be permitted to obtain and submit any relevant documents.

Hearing Record
4-4245
(Ref. 3-4233)

Written policy, procedure, and practice provide that a written record is made of
the decision and the supporting reasons, and that a copy is given to the
inmate. The hearing record and supporting documents are kept in the
inmate’s file and in the disciplinary committee’s records.
Comment:

The disciplinary hearing record should include the decision, the

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disposition, and the reason for the action, unless doing so would jeopardize
institutional security.

4-4246
(Ref. 3-4234)

Written policy, procedure, and practice provide that if an inmate is found not
guilty of an alleged rule violation, the disciplinary report is removed from all of
the inmate’s files.
Comment: When an inmate is found guilty of only some of the rule violations he or
she was originally charged with in connection with a single incident, and when that
incident is described in a single disciplinary report, the inmate’s record should show
clearly the violations that were not proved. All disciplinary reports, regardless of
disposition, may be kept and used for statistical or research purposes providing all
identification is removed. Where there are multiple incidents, alleged rule violations
for which an inmate is found not guilty must be separated and removed from the
inmate’s file. When multiple incidents/charges are listed on a single report, charges
resulting in not-guilty findings may be marked over or blacked out.

Review
4-4247
(Ref. 3-4235)

Written policy, procedure, and practice provide for review of all disciplinary
hearings and dispositions by the warden/superintendent or designee to assure
conformity with policy and regulations.
Comment: At the conclusion of the disciplinary hearing, the hearing record should
be forwarded to the warden/superintendent or designee for review. This review
should ensure that the hearing was conducted in accordance with stated procedures
and that the action taken conforms with institutional regulations.

Appeal
4-4248
(Ref. 3-4236)

Written policy, procedure, and practice grant inmates the right to appeal
decisions of the disciplinary committee to the warden/superintendent or
designee. Inmates have up to 15 days of receipt of the decision to submit an
appeal. The appeal is decided within 30 days of its receipt, and the inmate is
promptly notified in writing of the results.
Comment: The appeal process should consider three factors: whether there was
substantial compliance with institutional standards and procedures in handling
inmate discipline; whether the disciplinary committee’s decision was based on
substantial evidence; and whether, under the circumstances, the sanction imposed
was proportionate to the rule violation.

Section D: Special Management

Note: “Segregation” is the generic term used to encompass administrative segregation, protective custody, and disciplinary
detention. (See glossary definitions.)

Principle: Inmates who threaten the secure and orderly management of the institution may be
removed from the general population and placed in special units.
General Policy and Practice
4-4249
(Ref. 3-4237)

When segregation units exist, written policy and procedure govern their
operation for the supervision of inmates under administrative segregation,
protective custody, and disciplinary detention.

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Comment:
Administrative segregation: The classification committee or, in an emergency, the
warden/superintendent may place in administrative segregation an inmate whose
continued presence in the general population poses a serious threat to life, property,
self, staff, or other inmates, or to the security or orderly running of the institution.
Inmates in administrative segregation because of behavioral problems should be
provided with programs conducive to their well-being. Inmates pending investigation
for a trial on a criminal act or pending transfer can also be placed in administrative
segregation; this segregation may be for relatively extensive periods of time.
Protective custody: Inmates requesting or requiring protection from the general
population may be placed in protective custody. Inmates in protective custody
should be allowed to participate in as many as possible of the programs afforded the
general population, providing such participation does not threaten institutional
security. Each protective custody case should be reviewed frequently with the goal
of terminating the separate housing assignment as soon as possible.
Disciplinary detention: The disciplinary committee may place inmates with serious
rule violations in disciplinary detention only after an impartial hearing has determined
(1) that other available alternative dispositions are inadequate to regulate the
inmate’s behavior within acceptable limits and (2) that the inmate’s presence in the
general inmate population poses a serious threat to the orderly operation or security
of the institution.
Total isolation as punishment for a rule violation is not an acceptable practice; when
exceptions occur, they should be justified by clear and substantiated evidence and
should be fully documented.
4-4250
(Ref. 3-4238)

The warden/superintendent or shift supervisor can order immediate
segregation when it is necessary to protect the inmate or others. The action is
reviewed within 72 hours by the appropriate authority.
Comment: None.

Admission and Review of Status
4-4251
(Ref. 3-4239)

Written policy, procedure, and practice provide that an inmate is admitted to
the segregation unit for protective custody only when there is documentation
that protective custody is warranted and no reasonable alternatives are
available.
Comment: Protective custody should be used only for short periods of time, except
when an inmate needs long-term protection and the facts are well documented.
Admission to protective custody should be fully documented with a consent form
signed by the inmate.

4-4252
(Ref. 3-4240)

Written policy, procedure, and practice provide that an inmate is placed in
disciplinary detention for a rule violation only after a hearing by the
disciplinary committee or hearing examiner.
Comment: None.

4-4253
(Ref. 3-4241)

Written policy, procedure, and practice provide for a review of the status of
inmates in administrative segregation and protective custody by the

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classification committee or other authorized staff group every seven days for
the first two months and at least every 30 days thereafter.

Comment: A hearing should be held to review the status of any inmate who spends
more than seven continuous days in administrative segregation and protective
custody to determine whether the reasons for the placement still exist.
4-4254
(Ref. 3-4242)

Written policy, procedure, and practice specify the review process used to
release an inmate from administrative segregation and protective custody.
Comment: An inmate should be released by action of the appropriate authority.

4-4255
(2010 Supplement)

Revised August 2008. There is a sanctioning schedule for institutional rule
violations. Continuous confinement for more than 30 days requires the review
and approval of the warden/superintendent or designee. Inmates held in
disciplinary detention for periods exceeding 60 days are provided the same
program services and privileges as inmates in administrative segregation and
protective custody.
Comment: The time an inmate spends in disciplinary detention should be
proportional to the offense committed, taking into consideration the inmate’s prior
conduct, specific program needs, and other relevant factors.

4-4255
(Ref. 3-4243)

There is a sanctioning schedule for institutional rule violations. Continuous
confinement for more than 30 days requires the review and approval of the
warden/superintendent. Inmates held in disciplinary detention for periods
exceeding 60 days are provided the same program services and privileges as
inmates in administrative segregation and protective custody.
Comment: The time an inmate spends in disciplinary detention should be
proportional to the offense committed, taking into consideration the inmate’s prior
conduct, specific program needs, and other relevant factors.

4-4256
(Ref. 3-4244)

Written policy, procedure, and practice provide that a qualified mental health
professional personally interviews and prepares a written report on any inmate
remaining in segregation for more than 30 days. If confinement continues
beyond 30 days, a mental health assessment by a qualified mental health
professional is made at least every three months – more frequently if
prescribed by the chief medical authority.
Comment: Inmates whose movements are restricted in segregation units may
develop symptoms of acute anxiety or other mental problems; regular psychological
assessment is necessary to ensure the mental health of any inmate confined in such
a unit beyond 30 days.

Supervision
4-4257
(Ref. 3-4245)

Written policy, procedure, and practice require that all special management
inmates are personally observed by a correctional officer at least every 30
minutes on an irregular schedule. Inmates who are violent or mentally
disordered or who demonstrate unusual or bizarre behavior receive more
frequent observation; suicidal inmates are under continuing observation.
Comment: None.

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4-4258
(Ref. 3-4246)

Agreement Number 5600000770
Attachment 9
Amendment 7

Written policy, procedure, and practice provide that inmates in segregation
receive daily visits from the senior correctional supervisor in charge, daily
visits from a qualified health care official (unless medical attention is needed
more frequently), and visits from members of the program staff upon request.
Comment: Because they are restricted from normal movement within the institution,
it is imperative that inmates in segregation are visited regularly by key staff members
who can ensure that their health and well-being are maintained.

4-4259
(Ref. 3-4247)

Written policy and procedure govern the selection criteria, supervision, and
rotation of staff who work directly with inmates in segregation on a regular and
daily basis.
Comment: Procedures should be established to supervise and evaluate the on-thejob performance of all staff who work with inmates in segregation, and there should
be administrative procedures for promptly removing ineffective staff. Officers
assigned to these positions should have completed their probationary period. The
need for rotation should be based on the intensity of the assignment.

4-4260
(Ref. 3-4248)

Written policy, procedure, and practice
segregation units maintain a permanent log.

provide

that

staff

operating

Comment: The log should contain the following information for each inmate admitted
to segregation: name, number, housing location, date admitted, type of infraction or
reason for admission, tentative release date, and special medical or psychiatric
problems or needs. The log also should be used to record all visits by officials who
inspect the units or counsel the inmates, all unusual inmate behavior, and all
releases.

General Conditions of Confinement
4-4261
(Ref. 3-4249)

Written policy, procedure, and practice provide that all inmates in segregation
are provided prescribed medication, clothing that is not degrading, and access
to basic personal items for use in their cells unless there is imminent danger
that an inmate or any other inmate(s) will destroy an item or induce self-injury.
Comment: Inmates in segregation should be provided basic items needed for
personal hygiene as well as items such as eyeglasses and writing materials.
Clothing should be that of the general population unless an adjustment is necessary
for self-protection, such as removal of a belt to prevent a suicide attempt, and any
clothing adjustment should be justified in writing by an appropriate official. If a
supervisor judges that there is imminent danger that an inmate will destroy an item
or use it to induce self-injury, the inmate may be deprived of the item; in such cases,
every effort should be made to supply a substitute for the item or to permit the
inmate to use the item under the supervision of an officer.

4-4262
(Ref. 3-4250)

Written policy, procedure, and practice provide that inmates in segregation
have the opportunity to shave and shower at least three times per week.
Comment: Inmates in segregation should have the opportunity to maintain an
acceptable level of personal hygiene unless these procedures cause an undue
security hazard. If conditions permit, the inmates should be able to shower daily.

4-4263
(Ref. 3-4251)

Written policy, procedure, and practice provide that inmates in segregation
receive laundry, barbering, and hair care services and are issued and

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exchange clothing, bedding, and linen on the same basis as inmates in the
general population. Exceptions are permitted only when found necessary by
the senior officer on duty; any exception is recorded in the unit log and
justified in writing.
Comment: None.

4-4264
(Ref. 3-4252)

Alternative meal service may be provided to an inmate in segregation who
uses food or food service equipment in a manner that is hazardous to self,
staff, or other inmates. Alternative meal service is on an individual basis, is
based on health or safety considerations only, meets basic nutritional
requirements,
and
occurs
with
the
written
approval
of
the
warden/superintendent and responsible health authority. The substitution
period shall not exceed seven days.
Comment: None.

4-4265
(Ref. 3-4253)

Written policy, procedure, and practice provide that whenever an inmate in
segregation is deprived of any usually authorized item or activity, a report of
the action is filed in the inmate’s case record and forwarded to the chief
security officer.
Comment: The report should identify the inmate, item or activity deprived of, and the
reasons for the action. The report should be forwarded to the chief security officer
as soon as possible; approval for removing all of an inmate’s personal items should
be obtained in advance from the warden/superintendent or designee. No item or
activity should be withheld for the purpose of punishment or for longer than
necessary to ensure the safety and well-being of the inmate and others.

Programs and Services
Mail

4-4266
(Ref. 3-4254)

Written policy, procedure, and practice provide that inmates in segregation
can write and receive letters on the same basis as inmates in the general
population.
Comment: Letters should be delivered promptly. Any item rejected consistent with
policy and procedure should be returned to the sender, and the inmate should be
advised of the reason for the rejection.

Visiting
4-4267
(Ref. 3-4255)

Written policy, procedure, and practice provide that inmates in segregation
have opportunities for visitation unless there are substantial reasons for
withholding such privileges.
Comment: Every effort should be made to notify approved visitors of any restrictions
on visiting; if time allows, the burden of this notification may be placed on the inmate.

Access to Legal and Reading Materials
4-4268
(Ref. 3-4256)

Written policy, procedure, and practice provide that inmates in segregation
have access to legal materials.
Comment: To ensure legal rights, inmates in segregation should have access to

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both personal legal materials and available legal reference materials. Reasonable
arrangements should be made to assist the inmates in meeting court deadlines.

4-4269
(Ref. 3-4257)

Written policy, procedure, and practice provide that inmates in segregation
have access to reading materials.
Comment: Inmates in segregation should be provided a sufficient quantity of reading
materials and have an opportunity to borrow reading materials from the institution’s
library.

Exercise Outside of Cell
4-4270
(Ref. 3-4258)

Written policy, procedure, and practice provide that inmates in segregation
receive a minimum of one hour of exercise per day outside their cells, five
days per week, unless security or safety considerations dictate otherwise.
Comment: Inmates in segregation should be provided with the opportunity to
exercise in an area designated for this purpose, with opportunities to exercise
outdoors, weather permitting, unless security or safety considerations dictate
otherwise. A written record should be kept of each inmate’s participation in the
exercise program. Reasons for the imposition of constraints should be documented.

Telephone Privileges
4-4271
(2010 Supplement)

Revised August 2005. Written policy, procedure, and practice provide that
inmates in administrative segregation and protective custody are allowed
telephone privileges.
Comment: None.

4-4271
(Ref. 3-4259)

Written policy, procedure, and practice provide that inmates in administrative
segregation and protective custody are allowed telephone privileges.
Comment: This standard also applies to inmates held in disciplinary detention for
more than 60 days.

4-4272
(Ref. 3-4260)

Written policy, procedure, and practice provide that, unless authorized by the
warden/superintendent or designee, inmates in disciplinary detention are
allowed limited telephone privileges except for calls related specifically to
access to the attorney of record.
Comment: None.

Administrative Segregation/Protective Custody
4-4273
(Ref. 3-4261)

Written policy, procedure, and practice provide that inmates in administrative
segregation and protective custody have access to programs and services
that include, but are limited to, the following:
educational services,
commissary services, library services, social services, counseling services,
religious guidance, and recreational programs.
Comment: Although services and programs cannot be identical to those provided to
the general population, there should be no major differences for reasons other than
danger to life, health, or safety. Inmates in administrative segregation and protective
custody should have the opportunity to receive treatment from professionals such as

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social workers, psychologists, counselors, and psychiatrists. The standard also
applies to inmates held in disciplinary detention for more than 60 days.

Section E: Inmate Rights
Principle: The institution protects the safety and constitutional rights of inmates and seeks a
balance between expression of individual rights and preservation of institutional
order.
Access to Courts
4-4274
(Ref. 3-4262)

Written policy, procedure, and practice ensure the right of inmates to have
access to courts.
Comment: The right of access to the courts minimally provides that inmates have
the right to present any issue, including the following: challenging the legality of their
conviction or confinement; seeking redress for illegal conditions or treatment while
under correctional control; pursuing remedies in connection with civil legal problems;
and asserting against correctional or other government authority any other rights
protected by constitutional or statutory provision or common law. Inmates seeking
judicial relief are not subjected to reprisals or penalties because of the decision to
seek such relief.

Access to Counsel
4-4275
(Ref. 3-4263)

Written policy, procedure, and practice ensure and facilitate inmate access to
counsel and assist inmates in making confidential contact with attorneys and
their authorized representatives; such contact includes, but is not limited to,
telephone communications, uncensored correspondence, and visits.
Comment: Institutional authorities should assist inmates in making confidential
contact with attorneys and their authorized representatives; these representatives
may include law students, special investigators, lay counsel, or other persons who
have a legitimate connection with the legal issue being pursued. Provision should be
made for visits during normal institutional hours, uncensored correspondence,
telephone communications, and after-hours visits requested because of special
circumstances.

Access to Law Library
4-4276
(Ref. 3-4264)

Written policy, procedure, and practice provide for the right of inmates to have
access to an appropriate law library and to paper, typewriters or typing
services, and other supplies and services related to legal matters. The law
library includes, at a minimum, relevant and up-to-date constitutional,
statutory, and case law materials, applicable court rules, and practice
treatises. When an inmate is unable to make meaningful use of the law library
on his or her own, the additional assistance necessary for effective access is
provided.
Comment: The constitutional right of access to the courts requires that inmates who
request assistance in preparing and filing legal papers receive the assistance
necessary. This should include assistance from persons with legal training, law
school legal assistance programs, public defender’s offices, and law library facilities.
State court rulings suggest that the law library should include, at a minimum, state

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and federal constitutions, state statutes and decisions, procedural rules and
decisions and related commentaries, federal case law materials, court rules and
practice treatises, and legal periodicals and indices.

Access to Programs and Services
4-4277
(Ref. 3-4265)

Written policy, procedure, and practice prohibit discrimination based on an
inmate’s race, religion, national origin, sex, disability, or political views in
making administrative decisions and in providing access to programs.
Comment: Inmates should be assured equal opportunities to participate in all
institutional programs.

4-4278
(Ref. 3-4266)

Written policy, procedure, and practice provide that male and female inmates
housed in the same institution have separate sleeping quarters but equal
access to all available services and programs. Neither sex is denied
opportunities solely on the basis of their smaller number in the population.
Comment: Institutions housing males and females should be smaller than other
institutions. Coeducational programming is not desirable in any maximum-security
institution.

Access to Media
4-4279
(Ref. 3-4267)

Written policy, procedure, and practice provide for reasonable access between
inmates and the communications media, subject only to the limitations
necessary to maintain order and security and protect inmates’ privacy. Media
requests for interviews and the inmate’s consent are in writing.
Comment: Except in emergencies such as disorders and escapes, inmates should
have free access to the general public through the communications media or other
legitimate intermediary.

4-4280
(Ref. 3-4267-1)

Written policy, procedure, and practice provide that foreign nationals have
access to the diplomatic representative of their country of citizenship.
Comment: Staff assistance should be provide to enable foreign nationals to contact
their diplomatic representative.

Protection from Harm
4-4281
(Ref. 3-4268)

(MANDATORY) Written policy, procedure, and practice protect inmates from
personal abuse, corporal punishment, personal injury, disease, property
damage, and harassment.
Comment: In situations where physical force or disciplinary detention is required,
only the least drastic means necessary to secure order or control should be used.
Administrative segregation should be used to protect inmates from themselves or
other inmates.

4-4281-1
(2010 Supplement)

Added August 2002. Written policy, procedure, and practice ensure that
information is provided to offenders about sexual abuse/assault including:



prevention/intervention
self-protection

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


reporting sexual abuse/assault
treatment and counseling

Agreement Number 5600000770
Attachment 9
Amendment 7

The information is communicated orally and in writing, in a language clearly
understood by the offender, upon arrival at the facility.
Comment: None.
4-4281-2
(2010 Supplement)

Added January 2003. Inmates are screened within 24 hours of arrival at the
facility for potential vulnerabilities or tendencies of acting out with sexually
aggressive behavior. Housing assignments are made accordingly.
Comment: None.

4-4281-3
(2010 Supplement)

Added January 2003. Written policy, procedure, and practice require that an
investigation is conducted and documented whenever a sexual assault or
threat is reported.
Comment: The agency should report occurrences/allegations of sexual assault or
threat in accordance with the laws of the jurisdiction. The investigation may be
limited by what is allowed by the laws of the jurisdiction.

4-4281-4
(2010 Supplement)

Added January 2003. Written policy, procedure, and practice require that
inmates identified as high risk with a history of sexually assaultive behavior
are assessed by a mental health or other qualified professional. Inmates with
a history of sexually assaultive behavior are identified, monitored, and
counseled.
Comment: None.

4-4281-5
(2010 Supplement)

Added January 2003. Written policy, procedure, and practice provide that
inmates identified as at risk for sexual victimization are assessed by a mental
health or other qualified professional. Inmates at risk for sexual victimization
are identified, monitored, and counseled.
Comment: None.

4-4281-6
(2010 Supplement)

Added January 2003. Written policy, procedure, and practice ensure that
sexual conduct between staff and inmates, volunteers, or contract personnel
and inmates, regardless of consensual status, is prohibited and subject to
administrative and criminal disciplinary sanctions.
Comment: None.

4-4281-7
(2010 Supplement)

Added January 2003. Written policy, procedure, and practice provide that
inmates who are victims of sexual abuse have the option to report the incident
to a designated staff member other than an immediate point-of-contact line
officer.
Comment: None.

4-4281-8
(2010 Supplement)

Added January 2003. Written policy, procedure, and practice provide that all
case records associated with claims of sexual abuse, including incident
reports, investigative reports, offender information, case disposition, medical
and counseling evaluation findings, and recommendations for post-release
treatment and/or counseling are retained in accordance with an established

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ACA Standards
schedule.

Agreement Number 5600000770
Attachment 9
Amendment 7

Comment: None.

Protection from Unreasonable Searches
4-4282
(Ref. 3-4269)

Written policy, procedure, and practice govern all searches and preservation
of evidence when an inmate is suspected of a new crime. Such searches are
authorized only by the warden/superintendent or designee unless immediate
action is necessary; in such cases the warden/superintendent or designee is
fully informed as soon as possible after the search.
Comment: Searches directed at solving a possible new crime should include
provisions for the preservation of evidence as well as the legal protection of
individual rights afforded under the Fourth Amendment. Regulations should specify
the circumstances and manner in which such searches are to be conducted.

Freedom in Personal Grooming
4-4283
(Ref. 3-4270)

Written policy, procedure, and practice allow freedom in personal grooming
except when a valid interest justifies otherwise.
Comment: Inmates should be permitted freedom in personal grooming as long as
their appearance does not conflict with the institution’s requirements for safety,
security, identification, and hygiene. All regulations concerning personal grooming
should be the least restrictive necessary.

Grievance Procedures
4-4284
(Ref. 3-4271)

There is written inmate grievance procedure that is made available to all
inmates and that includes at least one level of appeal.
Comment: A grievance procedure is an administrative means for the expression and
resolution of inmate problems. The institution’s grievance mechanism should include
provisions for the following: written responses to all grievances, including the
reasons for the decision; response within a prescribed, reasonable time limit, with
special provisions for responding to emergencies; supervisory review of grievances;
participation by staff and inmates in the procedure’s design and operation; access by
all inmates, with guarantees against reprisals; applicability over a broad range of
issues; and means for resolving questions of jurisdiction.

4. Institutional Services
Section A: Reception and Orientation
Principle: All incoming inmates undergo thorough screening and assessment at admission
and receive a thorough orientation to the institution’s procedures, rules, programs,
and services.
Admission
4-4285
(Ref. 3-4272)

Written policies and procedures govern the admission of inmates new to the
system. These procedures include, at a minimum, the following:

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Corrections Corporation of America
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ACA Standards















Agreement Number 5600000770
Attachment 9
Amendment 7

determining that the inmate is legally committed to the institution
thorough searching of the individual and possessions
disposing of personal property
showering and hair care, if necessary
issuing of clean, laundered clothing as needed
photographing and fingerprinting, including notation of identifying
marks or other unusual physical characteristics
medical, dental, and mental health screening
assigning to housing unit
recording basic personal data and information to be used for mail and
visiting list
explaining mail and visiting procedures
assisting inmates in notifying their next of kin and families of
admission
assigning of registered number to the inmate
giving written orientation materials to the inmate
documenting any reception and orientation procedure completed at a
central reception facility

Comment: Staff should explain the procedures being undertaken at each step in the
admissions process. When necessary, these procedures should be reviewed for
inmates transferred from within the system.
4-4286
(Ref. 3-4273)

Written policy, procedure, and practice require the preparation of a summary
admission report for all new admissions. The report includes, at a minimum,
the following information:












legal aspects of the case
summary of criminal history, if any
social history
medical, dental, and mental health history
occupational experience and interests
educational status and interests
vocational programming
recreational preference and needs assessment
psychological evaluation
staff recommendations
preinstitutional assessment information

Comment: The summary admission report is the first document in the inmate’s
cumulative case record and identifies areas for follow-up. This document may be
duplicated and used by the classification committee and other staff in developing the
inmate’s program

Reception and Orientation
4-4287
(2010 Supplement)

Revised January 2006. Written policy, procedure, and practice provide for a
reception program for new inmates upon admission to the correctional
system. Except in unusual circumstances, initial reception and orientation of
inmates is completed within 30 calendar days after admission.
Comment: The daily program in the reception unit should include interviews, tests,
and other admissions-related activities, including distribution of information on
programs and services. New inmates should be provided reading materials, be

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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

permitted to attend religious services, receive exercise on the same schedule as the
general population, and perform work assignments on the reception unit.

4-4287
(Ref. 3-4274)

There is a program for inmates during the reception period.
Comment: The daily program in the reception unit should include interviews, tests,
and other admissions-related activities, including distribution of information on
programs and services. New inmates should be provided reading materials, be
permitted to attend religious services, receive exercise on the same schedule as the
general population, and perform work assignments on the reception unit.

New Inmates
4-4288
(Ref. 3-4275)

Written policy, procedure, and practice provide that new inmates receive
written orientation materials and/or translations in their own language. When a
literacy problem exists, a staff member assists the inmate in understanding
the material. Completion of orientation is documented by a statement signed
and dated by the inmate.
Comment: Orientation should include formal classes, distribution of written materials
about the institution’s programs, rules, and regulations, and discussion. Orientation
should also be used to observe inmate behavior and to identify special problems.

4-4289
(2010 Supplement)

Deleted January 2006.

4-4289
(Ref. 3-4276)

Written policy, procedure, and practice provide that, except in unusual
circumstances, initial reception and orientation of inmates is completed within
four weeks after admission.
Comment: Inmates should be removed from the reception unit as soon as possible.

Transfers
4-4290
(2010 Supplement)

Revised January 2006. Written policy, procedure, and practice ensure that
inmates transferred from other institutions within the correctional system
receive an orientation to the new institution. Except in unusual circumstances,
reception and orientation for inmates transferred from another institution
within the system is completed within seven calendar days after admission.
Comment: Every institution has procedures, rules, and regulations unique to its
purposes, physical plant, and security status. Inmates transferred within the
correctional system should be provided with the necessary information about the
new institution.

4-4290
(Ref. 3-4277)

Inmates transferred from other institutions receive an orientation to the new
institution.
Comment: Every institution has procedures, rules, and regulations unique to its
purposes, physical plant, and security status. Inmates transferred within the
correctional system should be provided with the necessary information about the
new institution.

4-4291
(2010 Supplement)

Deleted January 2006.

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ACA Standards
4-4291
(Ref. 3-4278)

Agreement Number 5600000770
Attachment 9
Amendment 7

Written policy, procedure, and practice provide that, except in unusual
circumstances, reception and orientation for inmates transferred from another
institution within the correctional system is completed within one week after
admission.
Comment: None.

Personal Property
4-4292
(Ref. 3-4279)

Written policy and procedure govern the control of personal property and
funds belonging to inmates; these policies and procedures are reviewed
annually and updated as needed and are made available to inmates upon
admission and when updated.
Comment: None.

4-4293
(Ref. 3-4280)

Written policy, procedure, and practice specify the personal property inmates
can retain in their possession.
Comment: Policy should allow inmates to keep personal property items that do not
threaten institutional order, safety, or security.

4-4294
(Ref. 3-4281)

Written policy and procedure govern the control and safeguarding of inmate
personal property. Personal property retained at the institution is itemized in a
written list that is kept in the permanent case file; the inmate receives a current
copy of this list.
Comment: All personal property retained at the institution should be accurately
inventoried and securely stored. The inventory list should be signed by the inmate
and a receipt given to the inmate for all funds and possessions stored. The property
should be available if required by the inmate and should be returned at the time of
release, with a receipt signed by the inmate acknowledging return of the property.

Section B: Classification
Principle: Inmates are classified to the most appropriate level of custody and programming
both on admission and upon review of their status.
Classification Plan
4-4295
(2010 Supplement)

Revised August 2009. Written policy, procedure, and practice provide for a
written inmate classification plan. The plan specifies the objectives of the
classification system and methods for achieving them, and it provides a
monitoring and evaluation mechanism to determine whether the objectives are
being met.
Comment: The classification system should consider an assessment of risk and the
efficient management of the inmate population. No inmate should receive more
surveillance or assistance than required or be kept in a more secure status than
potential risk requires.

4-4295
(Ref. 3-4282)

Written policy, procedure, and practice provide for a written inmate
classification plan. The plan specifies the objectives of the classification

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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

system and methods for achieving them, and it provides a monitoring and
evaluation mechanism to determine whether the objectives are being met. The
plan is reviewed at least annually and updated as needed.

Comment: The classification system should consider an assessment of risk and the
efficient management of the inmate population. No inmate should receive more
surveillance or assistance then required or be kept in a more secure status then
potential risk requires.
4-4296
(Ref. 3-4283)

The classification system specifies the level of custody required and provides
for a regular review of each classification.
Comment: A correctional system should provide at least three levels of custodial
control. All inmates should be assigned to the least restrictive custody level
necessary.

4-4297
(Ref. 3-4284)

The classification plan provides for maximum involvement of representatives
of relevant institutional programs and the inmate concerned in classification
reviews.
Comment: The classification process requires the cooperation and input of both the
inmate and the institution’s program personnel. Inmates should participate in
assessing their needs and selecting programs to meet those needs.

4-4298
(Ref. 3-4285)

The institution or parent agency solicits and uses preinstitutional assessment
information regarding the inmate’s progress and adjustment.
Comment: Information on any inmate who has had contact with the criminal justice
system (for instance, in local detention facilities or work release programs) should be
solicited and incorporated in the institution’s classification decision.

4-4299
(Ref. 3-4286)

At initial classification, each inmate is assigned to a staff member to ensure
supervision and personal contact; a unit management team may perform this
function.
Comment: Each inmate should be assigned to a staff member such as a counselor
or to a unit management team to be assured access to at least one employee for
advice and assistance. The staff member or team is expected to maintain continuing
personal contact with the inmate.

Classification Status Reviews
4-4300
(Ref. 3-4287)

The written plan for inmate classification specifies that each inmate’s
classification status is reviewed at least every 12 months.
Comment: The classification (program) review includes review of all matters
affecting the inmate’s status, including custody. Schedules for classification reviews
vary according to the type of institution, inmate population profile, average length of
sentence, and so on. Institutions serving younger individuals and those with
relatively short sentences should conduct classification reviews at least every three
months.

4-4301
(Ref. 3-4288)

The classification plan specifies criteria and procedures for determining and
changing an inmate’s program status; the plan includes at least one level of
appeal.

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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

Comment: Program status decisions include level of custody, transfer to another
institution, and other program changes but do not include disciplinary action.
4-4302
(Ref. 3-4289)

Written policy, procedure, and practice require that unless precluded for
security or other substantial reasons, all inmates appear at their classification
hearing and are given notice 48 hours prior to the hearing; such notice may be
waived by the inmate in writing.
Comment: Inmates should have sufficient time and assistance, if requested, to
prepare for their classification hearings.

4-4303
(Ref. 3-4290)

Written policy, procedure, and practice specify the conditions under which an
inmate can initiate a review of progress and program status.
Comment: Inmates should be allowed to initiate reviews that determine the extent of
their progress and the effectiveness of their programming.

Preparole Progress Report
4-4304
(Ref. 3-4291)

The classification plan specifies that prior to a parole hearing a progress
report is made available to the paroling authority. The report includes a
current and complete history of the inmate’s activities in the institution and a
proposed parole plan.
Comment: The progress report should include the inmate’s plans for parole.

Special Needs Inmates
4-4305
(Ref. 3-4292)

Written policy, procedure, and practice provide for identification of special
needs inmates.
Comment: Special needs inmates include, but are not limited to, drug addicts and
drug abusers, alcoholics and alcohol abusers, inmates who are emotionally
disturbed or suspected of being mentally ill, the mentally retarded, and those who
pose a high risk or require protective custody. Procedures should identify the
number, type, and frequency of commitment for special needs inmates, and special
programs should be instituted for their appropriate management when the numbers
or frequency of commitment warrant. Every possible effort should be made to place
the mentally ill and mentally retarded in a noncorrectional setting.

Adjudicated Youth and Status Offenders
4-4306
(Ref. 3-4293)

(MANDATORY) Written policy, procedure, and practice provide that
adjudicated delinquent offenders and youths charged with offenses that would
not be crimes if committed by adults do not reside in the institution.
Comment: None.

Youthful Offenders
4-4307
(Ref. 3-4293-1)

If youthful offenders are housed in the facility, written policy, procedure, and
practice provide that they are housed in a specialized unit for youthful
offenders except when:

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ACA Standards



Agreement Number 5600000770
Attachment 9
Amendment 7

a violent, predatory youthful offender poses an undue risk of harm to
others within the specialized unit; and/or
a qualified medical or mental-health specialist documents that the
youthful offender would benefit from placement outside the unit.

Written policy, procedure, and practice provide for the preparation of a written
statement of the specific reasons for housing a youthful offender outside the
specialized unit and a case-management plan specifying what behaviors need
to be modified and how the youthful may return to the unit. The statement of
reasons and case-management plan must be approved by the warden or his or
her designee. Cases are reviewed at least quarterly by the case manager, the
warden or his or her designee, and the youthful offender to determine whether
a youthful offender should be returned to the specialized unit.
Comment: ACA policy prohibits confinement of youthful offenders in an adult facility;
however, where the laws of the jurisdiction require such confinement, the provisions
of the standard must be met.
4-4308
(Ref. 3-4293-2)

Written policy, procedure, and practice provide for the direct supervision of
youthful offenders housed in the specialized unit to ensure safety and
security.
Comment: None.

4-4309
(Ref. 3-4293-3)

Written policy, procedure, and practice provide
youthful offenders that determine level of
developmentally appropriate for adolescents.
include consideration of physical, mental, social,
the youthful offender.

for classification plans for
risk and program needs
Classification plans shall
and educational maturity of

Comment: None.
4-4310
(Ref. 3-4293-4)

Written policy, procedure, and practice require that adequate program space
be provided to meet the physical, social, and emotional needs of youthful
offenders and allows for their personal interactions and group-oriented
activities.
Comment: None.

4-4311
(Ref. 3-4293-5)

Written policy, procedure, and practice provide that youthful offenders in the
specialized unit for youthful offenders have no more than incidental sight or
sound contact with adult offenders from outside the unit living, program,
dining, or other common areas of the facility. Any other sight or sound
contact is minimized, brief, and in conformance with applicable legal
requirements.
Comment: This standard generally precludes sight or sound contact between
youthful offenders and adult offenders in living, program, dining, or other common
areas of the facility. Any other sight or sound contact is minimized, brief, and in
conformance with applicable legal requirements.
The standard permits incidental contact between youthful and adult offenders in
certain limited situations, such as when adult offenders who work in the kitchen
serve food to youthful offenders. In addition, unavoidable sound contact between
youthful and adult offenders might, in some circumstances, not violate the standard.

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ACA Standards
4-4312
(Ref. 3-4293-6)

Agreement Number 5600000770
Attachment 9
Amendment 7

Written policy, procedure, and practice require that program personnel who
work with youthful offenders from the specialized unit be trained in the
developmental, safety, and other specific needs of youthful offenders. Written
job descriptions and qualifications require training for staff specifically
assigned to the unit or staff who are responsible for programming of youthful
offenders in the specialized unit before being assigned to work with youthful
offenders. The training should include but not be limited to the following
areas:
















adolescent development
educational programming
cultural awareness
crisis prevention and intervention
legal issues
housing and physical plant
policies and procedures
the management of, and programming for, sex offenders
substance-abuse services
cognitive-behavioral interventions, including anger management,
social-skills training, problem solving, and resisting peer pressure
suicide prevention
nutrition
mental-health issues
gender-specific issues
case-management planning and implementation

Comment: None.
4-4312-1
(2010 Supplement)

Added August 2005. Written policy, procedure, and practice provide for a
system that identifies and monitors the movements and activities of inmates
who pose a significant concern to the safety, security, and orderly
management of correctional institutions. This system should ensure that
appropriate staff are made aware of these inmates and that procedures exist to
ensure information is current and communicated in a timely fashion.
Comment: Inmates who pose a significant concern include but are not limited to
disruptive gang members, domestic and international terrorists, and other inmates
the facility determines are security threats.

Section C: Food Service
Principle: Meals are nutritionally balanced, well-planned, and prepared and served in a
manner that meets established governmental health and safety codes.
Food Service Management
4-4313
(Ref. 3-4294)

Food service operations are supervised by a full-time staff member who is
experienced in food service management.
Comment: The food service manager should have the resources, authority, and
responsibility to provide complete food service for the institution, including three
nutritionally adequate, palatable, and attractive meals a day produced under sanitary
conditions and at reasonable costs. The food service manager should have a
minimum of three years’ experience in food service management.

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Agreement Number 5600000770
Attachment 9
Amendment 7

Budgeting and Purchasing
4-4314
(Ref. 3-4295)

Written policy, procedure, and practice specify the food service budgeting,
purchasing, and accounting practices including, but not limited to, the
following systems:






food expenditure cost accounting designed to determine cost per meal
per inmate
estimation of food service requirements
purchase of supplies at wholesale and other favorable prices and
conditions, when possible
determination of and responsiveness to inmate eating preferences
refrigeration of food, with specific storage periods

Comment: None.
4-4315
(Ref. 3-4296)

Written policy, procedure, and practice require that accurate records are
maintained of all meals served.
Comment: A uniform system should be established to record the number, cost, and
type of meals served inmates, employees, guests, and visitors. Employees, guests,
and visitors should be served the same food inmates are served. Food service
records should include published menus, information on waste, food costs, and
nutritional accounting, and notation of food products raised or produced in the
system.

Dietary Allowances
4-4316
(Ref. 3-4297)

(MANDATORY) There is documentation that the institution’s dietary
allowances are reviewed at least annually by a qualified nutritionist or dietician
to ensure that they meet the nationally recommended allowances for basic
nutrition. Menu evaluations are conducted at least quarterly by institution
food service supervisory staff to verify adherence to the established basic
daily servings.
Comment: Dietary allowances, as adjusted for age, sex, and activity, should meet or
exceed the recommended dietary allowances published by the National Academy of
Sciences. A qualified nutritionist or dietician is a person registered or eligible for
registration by the American Dietetic Association or who has the documented
equivalent in education, training, or experience, with evidence of relevant continuing
education.

Menu Planning
4-4317
(Ref. 3-4298)

Written policy, procedure, and practice require that food service staff plan
menus in advance and substantially follow the plan and that the planning and
preparing of all meals take into consideration food flavor, texture, temperature,
appearance, and palatability.
Comment: All menus, including special diets, should be planned, dated, and
available for review at least one week in advance. Any substitutions in the meals
actually served should be noted and should be of equal nutritional value. A file of
tested recipes adjusted to a yield appropriate for the facility’s size should be

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Agreement Number 5600000770
Attachment 9
Amendment 7

maintained on the premises. Food should be served as soon as possible after
preparation and at an appropriate temperature. Clinical diets should be approved by
a qualified nutritionist or dietician and documented accordingly.

Therapeutic Diets
4-4318
(2010 Supplement)

Revised August 2004. Therapeutic diets are provided as prescribed by
appropriate clinicians. A therapeutic diet manual is available in health
services and food services for reference and information. Prescriptions for
therapeutic diets should be specific and complete, furnished in writing to the
food service manager, and rewritten annually, or more often as clinically
indicated.
Comment: Therapeutic diets are prepared and served to offenders according to the
orders of the treating clinician or as directed by the responsible health authority.
Therapeutic diets should be kept as simple as possible and should conform as
closely as possible to the foods served other offenders.

4-4318
(Ref. 3-4299)

(MANDATORY) Therapeutic diets are provided as prescribed by appropriate
clinicians. A therapeutic diet manual is available in the health services and
food services areas for reference and information.
Comment: Therapeutic diets are prepared and served to offenders according to the
orders of the treating clinician or as directed by the responsible health authority.
Prescriptions for therapeutic diets should be specific and complete, furnished in
writing to the food service manager, and rewritten quarterly. Therapeutic diets
should be kept as simple as possible and should conform as closely as possible to
the foods served other offenders.

4-4319
(Ref. 3-4300)

Written policy, procedure, and practice provide for special diets for inmates
whose religious beliefs require the adherence to religious dietary laws.
Comment: Religious diets should be approved by the chaplain. Religious diet
prescriptions should be specific and complete, furnished in writing to the food service
manager, and rewritten monthly. Special diets should be kept as simple as possible
and should conform as closely as possible to the foods served other inmates.

4-4320
(Ref. 3-4301)

Written policy precludes the use of food as a disciplinary measure.
Comment: All inmates and staff except those on special medical or religious diets
should eat the same meals. Food should not be withheld, nor the standard menu
varied, as a disciplinary sanction for an individual inmate. The standard does not
preclude rewarding groups of inmates with special foods in return for special
services or under special circumstances.

Health and Safety Regulations
4-4321
(Ref. 3-4302)

(MANDATORY) There is documentation by an independent, outside source that
food service facilities and equipment meet established governmental health
and safety codes; corrective action is taken on deficiencies, if any.
Comment: Food service facilities and equipment should meet all standards and
requirements set by qualified professional and/or governmental bodies. Food
service personnel should be trained in accident prevention, first aid, use of safety
devices, floor care, knife storage, and use of fire extinguishers. They should attend

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Agreement Number 5600000770
Attachment 9
Amendment 7

regular meetings to discuss accident prevention and analyze major accidents to
prevent recurrence.

4-4322
(Ref. 3-4303)

(MANDATORY) Written policy, procedure, and practice provide for adequate
health protection for all inmates and staff in the institution, and inmates and
other persons working in the food service, including the following:







Where required by the laws and/or regulations applicable to food
service employees in the community where the facility is located, all
persons involved in the preparation of food receive a preassignment
medical examination and periodic reexaminations to ensure freedom
from diarrhea, skin infections, and other illnesses transmissible by
food or utensils; all examinations are conducted in accordance with
local requirements.
When the institution’s food services are provided by an outside agency
or individual, the institution has written verification that the outside
provider complies with the state and local regulations regarding food
service.
All food handlers are instructed to wash their hands upon reporting to
duty and after using toilet facilities.
Inmates and other persons working in food service are monitored each
day for health and cleanliness by the director of food services (or
designee).

Comment: All food service personnel should be in good health and free from
communicable disease and open infected wounds; have clean hands and fingernails;
wear hair nets or caps; wear clean, washable garments; and employ hygienic foodhandling techniques. Federal facilities should apply appropriate regulations such as
those of the U.S. Public Health Service.

Inspections

Food Products
4-4323
(Ref. 3-4304)

When required by statue, food products that are grown or produced within the
system are inspected and approved by the appropriate government agency.
There is a distribution system that ensures prompt delivery of foodstuffs to
institution kitchens.
Comment: All such foodstuffs should meet or surpass government inspection levels,
and the distribution system should ensure that they are delivered when fresh and in
a condition for optimum food service.
Government inspection of food grown in inmate gardens and used in food service is
not required where the garden is not part of a larger agriculture operation and the
inmate does not work full-time at food production for use by the inmate population;
all garden-grown food should, however, be inspected by food service personnel prior
to use.

Facilities and Equipment
4-4324
(Ref. 3-4305)

(MANDATORY) Written policy, procedure, and practice require weekly
inspections of all food services areas, including dining and food preparation
areas and equipment, by administrative, medical, or dietary personnel; these
may include the person supervising food service operations or his/her
designee.
Refrigerator and water temperatures are checked daily by

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ACA Standards

administrative, medical, or dietary personnel.

Agreement Number 5600000770
Attachment 9
Amendment 7

Comment: All areas and equipment related to food preparation (for instance,
ranges, ovens, refrigerators, mixers, dishwashers, garbage disposals) require
frequent inspections to ensure their sanitary and operating condition. Water
temperature on the final dishwasher rinse should be 180 degrees Fahrenheit;
between 140 degrees Fahrenheit and 160 degrees Fahrenheit is appropriate if a
sanitizer is used on the final rinse. The person conducting the inspection should
have some training in food service operations.
4-4325
(Ref. 3-4306)

Written policy, procedure, and practice provide that stored shelf goods are
maintained at 45 degrees to 80 degrees Fahrenheit, refrigerated foods at 35
degrees to 40 degrees Fahrenheit, and frozen foods at 0 degrees Fahrenheit or
below, unless national or state health codes specify otherwise.
Comment: None.

Meal Service
4-4326
(Ref. 3-4307)

Written policy, procedure, and practice provide that meals are served under
conditions that minimize regimentation, although there should be direct
supervision by staff members.
Comment: Cafeteria facilities are preferable to inmate waiter service. The dining
area should provide normal group eating facilities, and conversation should be
permitted during dining hours. When possible, there should be “open” dining hours,
thus eliminating traditional waiting lines and forced seating by housing, assignment,
and so on. Full cutlery services should be provided based on a control system. All
meals should be served under the direct supervision of staff.

4-4327
(Ref. 3-4308)

Space is provided for group dining except when security or safety
considerations justify otherwise.
Comment: Meals should not be served in cells unless necessary for safety and
security. When a meal must be served in a cell, a small table or shelf and some type
of seating should be provided.

4-4328
(Ref. 3-4309)

Written policy, procedure, and practice require that at least three meals
(including two hot meals) are provided at regular meal times during each 24hour period, with no more than 14 hours between the evening meal and
breakfast. Variations may be allowed based on weekend and holiday food
service demands provided basic nutritional goals are met.
Comment: When inmates are not routinely absent from the institution for work or
other purposes, at least three meals should be provided at regular times during each
24-hour period.

Section D: Sanitation and Hygiene
Principle: The institution’s sanitation and hygiene program complies with applicable
regulations and standards of good practice to protect the health and safety of
inmates and staff.
Sanitation Inspections
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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
4-4329
(Ref. 3-4310)

Agreement Number 5600000770
Attachment 9
Amendment 7

(MANDATORY) The facility complies with all applicable health codes and
regulations of the governing jurisdiction, and there is documentation by an
independent, outside source that any past deficiencies noted in annual
inspections have been corrected. Copies of all inspections will be forwarded
to both the facility or program administrator and the health authority. The
following facility inspections are required:




weekly sanitation inspections of all facility areas by a qualified
departmental staff member
comprehensive and thorough monthly inspections by a safety or
sanitation specialist
at least annual inspections by federal, state, and/or local sanitation and
health officials or other qualified person(s)

Comment: The safety/sanitation specialist responsible for conducting monthly
inspections may be an institutional staff member who is trained in the application of
jurisdictional codes and regulations. Periodically and on an as-needed basis, this
individual is provided assistance from specialists regarding safety and sanitation
requirements and inspections. Training for this individual may be provided through
the agency’s central office specialist(s) or by other applicable agencies.

Water Supply
4-4330
(Ref. 3-4311)

(MANDATORY) The institution’s potable water source and supply, whether
owned and operated by the public water department or the institution, is
certified by an independent, outside source to be in compliance with
jurisdictional laws and regulations.
Comment: None.

Waste Disposal
4-4331
(Ref. 3-4312)

(MANDATORY) The institution provides for a waste disposal system, in
accordance with an approved plan by the appropriate regulatory agency.
Comment: Liquid and solid wastes should be collected, stored, and disposed of in a
manner that will avoid nuisance and hazards and protect the health and safety of
inmates and staff.

Housekeeping
4-4332
(Ref. 3-4313)

(MANDATORY) The institution provides for the control of vermin and pests.

4-4333
(Ref. 3-4314)

A written housekeeping plan for all areas of the facility’s physical plant
provides for daily housekeeping and regular maintenance by assigning
specific duties and responsibilities to staff and inmates.

Comment: Pest control professionals should be readily available to the institution to
conduct regular monthly inspections and eradicate by whatever means is effective
any insects, rodents, or vermin found.

Comment: Effective housekeeping requires the development of a definite cleaning
schedule with personnel and inmates assigned specific duties. Cleaning activities
should be supervised at all times to ensure that the work performed is proper and
thorough.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

Clothing and Bedding Supplies
4-4334
(Ref. 3-4315)

The store of clothing, linen, and bedding exceeds that required for the facility’s
inmate population.
Comment: More clothing, linen, and bedding should be available then needed at any
one time, so there is no delay in replacing items.

4-4335
(Ref. 3-4316)

Written policy specifies accountability for inmate clothing and bedding.
Comment: The issue of all clothing and bedding should be recorded, and inmates
should be held accountable for its use.

Clothing Issue
4-4336
(2010 Supplement)

Revised August 2003. Written policy, procedure, and practice provide for the
issue of suitable clothing to all inmates. Clothing is properly fitted, climatically
suitable, durable, and presentable.
Comment: A standard wardrobe should be provided at the time of admission and
should include, as appropriate, shirts, blouses, dresses, trousers, skirts, belts,
undergarments, slips, socks, shoes, coats, jackets, and headwear. In addition to the
standard issue of inmate clothing, civilian attire should be available in limited
quantities for leisure, visiting, work release, and furloughs. Clothing provided should
not be degrading or humiliating. Since the definition of these may be culturally
determined, consideration should be given to the effect of clothing provided.

4-4336
(Ref. 3-4317)

Written policy, procedure, and practice provide for the issue of suitable
clothing to all inmates. Clothing is properly fitted, climatically suitable,
durable, and presentable.
Comment: A standard wardrobe should be provided at the time of admission and
should include, as appropriate, shirts, blouses, dresses, trousers, skirts, belts,
undergarments, slips, socks, shoes, coats, jackets, and headwear. In addition to the
standard issue of inmate clothing, civilian attire should be available in limited
quantities for leisure, visiting, work release, and furloughs.

4-4337
(Ref. 3-4318)

Written policy, procedure, and practice provide for the issue of special and,
when appropriate, protective clothing and equipment to inmates assigned to
the institution’s food service, hospital, farm, garage, physical plant
maintenance shops, and other special work details.
Comment: Inmates assigned to special work areas should be clothed in accordance
with the requirements of their work assignment and, when appropriate, be furnished
with suitable protective equipment (disposable face masks and gloves, protective
helmets, goggles, and so forth.).

4-4338
(Ref. 3-4319)

Inmates are provided the opportunity to have three complete sets of clean
clothing per week. The facility may provide this clean clothing in several
ways, including access to self-serve washer facilities, central clothing
exchange, or a combination of the two. Wash basins in cells or rooms are not
compliant.
Comment: None.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
4-4339
(Ref. 3-4320)

Agreement Number 5600000770
Attachment 9
Amendment 7

The institution provides for the thorough cleaning and, when necessary,
disinfecting of inmate personal clothing before storage or before allowing the
inmate to keep and wear personal clothing.
Comment: Inmate personal clothing should be cleaned and disinfected to prevent
odors and pests and should be stored outside of the inmate housing area.

Bedding and Linen Issue
4-4340
(2010 Supplement)

Revised August 2007. Written policy, procedure, and practice provide for the
issue of suitable, clean bedding and linen, including two sheets, pillow and
pillowcase, one mattress, not to exclude a mattress with integrated pillow, and
sufficient blankets to provide comfort under existing temperature controls.
There is provision for linen exchange, including towels, at least weekly.
Blanket exchange must be available at least quarterly.
Comment: None.

4-4340
(Ref. 3-4321)

Written policy, procedure, and practice provide for the issue of suitable, clean
bedding and linen, including two sheets, pillow and pillowcase, one mattress,
not to exclude a mattress with integrated pillow, and sufficient blankets to
provide comfort under existing temperature controls. There is provision for
linen exchange, including towels, at least weekly.
Comment: None.

Bathing and Personal Hygiene
4-4341
(Ref. 3-4322)

There are sufficient bathing facilities in the housing areas to permit inmates in
the general population to shower at least three times per week.
Comment: Inmates in special jobs, such as food, medical, sanitation, or mechanical
services, should be encouraged to bathe daily, and ideally each inmate should be
permitted to shower daily.

4-4342
(Ref. 3-4324)

Articles necessary for maintaining proper personal hygiene are available to all
offenders and provided to those who are indigent. Each offender should be
provided soap, toilet paper, and a tooth brush, and toothpaste, denture cleaner
and adhesives, if needed. Shaving equipment should be made available upon
request, and the special hygiene needs of all offenders should be met.
Comment: None.

Hair Care Services
4-4343
(Ref. 3-4325)

Written policy, procedure, and practice provide that hair care services that
comply with applicable health requirements are available to inmates.
Comment: Large facilities should designate a room for hair care services; small
facilities can use any multipurpose room. In all cases, hair should be cut under
sanitary conditions and in an area that permits observation by staff. Equipment
should be stored securely when not in use.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards

Section E: Health Care

Agreement Number 5600000770
Attachment 9
Amendment 7

Goal: Provide appropriate and necessary health services and care for offenders.
PERFORMANCE STANDARD: CONTINUUM OF HEALTH CARE SERVICES
1A. Offenders have unimpeded access to a continuum of health care services so that their
health care needs, including prevention and health education, are met in a timely and
efficient manner.
OUTCOME MEASURES
1. Number of offenders with a positive tuberculin skin test on admission in the past 12 months divided by
the annual number of admissions in the past 12 months.
2. Number of offenders diagnosed with active tuberculosis in the past 12 months divided by the average
daily population in the past 12 months.
3. Number of conversions to a positive tuberculin skin test in the past 12 months divided by the number of
tuberculin skin tests given in the past 12 months.
4. Number of offenders with a positive tuberculin skin test who complete prophylaxis treatment for
tuberculosis in the past 12 months divided by the number of offenders with a positive tuberculin skin
test on prophylaxis treatment for tuberculosis in the past 12 months.
5. Number of Hepatitis C positive offenders in the past 12 months divided by the average daily population
in the past 12 months.
6. Number of HIV positive offenders in the past 12 months divided by the average daily population in the
past 12 months.
7. Number of HIV positive offenders who are being treated with highly active antiretroviral treatment in the
past 12 months divided by the number of known HIV positive offenders in the past 12 months.
8. Number of offenders diagnosed with an Axis I (excluding sole diagnosis of substance abuse) in the
past 12 months divided by the average daily population in the past 12 months.
9. Number of offender suicide attempts in the past 12 months divided by the average daily population in
the past 12 months.
10. Number of offender suicides in the past 12 months divided by the average daily population in the past
12 months.
11. Number of offender deaths due to homicide in the past 12 months divided by the average daily
population in the past 12 months.
12. Number of offender deaths due to injuries in the past 12 months divided by the average daily
population in the past 12 months.
13. Number of medically expected offender deaths in the past 12 months divided by the average daily
population in the past 12 months.
14. Number of medically unexpected offender deaths in the past 12 months divided by the average daily
population in the past 12 months.
15. Number of offender admissions to the infirmary (where available) in the past 12 months divided by the
average daily population in the past 12 months.
16. Number of offender admissions to off-site hospitals in the past 12 months divided by the average daily
population in the past 12 months.
17. Number of offenders transported off-site (via an ambulance or correctional vehicle) for treatment of
emergency health conditions in the past 12 months divided by the average daily population in the past
12 months.
18. Number of offender specialty consults completed in the past 12 months divided by the number of
specialty consults (on-site or off-site) ordered by primary health care provider (MD, NP, PA) in the past
12 months.
19. Number of offender grievances about access to health care services found in favor of the offender in
the past 12 months divided by the number of offender grievances about access to health care services
in the past 12 months.
20. Number of offender grievances related to the quality of health care found in favor of offenders in the

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
21.
22.
23.
24.
25.
26.
27.
28.
29.
30.
31.
32.
33.
34.
35.
36.

Agreement Number 5600000770
Attachment 9
Amendment 7

past 12 months divided by the number of offender grievances related to the quality of health care in the
past 12 months.
Number of offender grievances related to unfair treatment or rights violation found in favor of offenders
in the past 12 months divided by the number of offender grievances related to unfair treatment or rights
violation in the past 12 months.
Number of offender grievances related to safety or sanitation found in favor of offenders in the past 12
months divided by the number of offender grievances related to safety or sanitation in the past 12
months.
Number of offender lawsuits about access to health care services found in favor of offenders in the past
12 months divided by the number of offender lawsuits about access to health care services in the past
12 months.
Number of individual sick call encounters in the past 12 months divided by the average daily population
in the past 12 months.
Number of physician contacts in the past 12 months divided by the average daily population in the past
12 months.
Number of individualized dental treatment plans in the past 12 months divided by the average daily
population in the past 12 months.
Number of hypertensive offenders enrolled in a chronic care clinic in the past 12 months divided by the
average daily population in the past 12 months.
Number of diabetic offenders enrolled in a chronic care clinic in the past 12 months divided by the
average daily population in the past 12 months.
Number of incidents involving pharmaceuticals as contraband in the past 12 months divided by the
average daily population in the past 12 months.
Number of cardiac diets received by offenders with cardiac disease in the past 12 months divided by
the number of cardiac diets prescribed in the past 12 months.
Number of hypertensive diets received by offenders with hypertension in the past 12 months divided by
the number of hypertensive diets prescribed in the past 12 months.
Number of diabetic diets received by offenders with diabetes in the past 12 months divided by the
number of diabetic diets prescribed in the past 12 months.
Number of renal diets received by offenders with renal disease in the past 12 months divided by the
number of renal diets prescribed in the past 12 months.
Number of needle-stick injuries in the past 12 months divided by the number of employees in the past
12 months.
Number of pharmacy dispensing errors in the past 12 months divided by the number of prescriptions
dispensed by the pharmacy in the past 12 months.
Number of nursing medication administration errors in the past 12 months divided by the number of
medications administered in the past 12 months.

EXPECTED PRACTICES
Access to Care
4-4344
(Ref. 3-4331)

(MANDATORY) Upon arrival at the facility, all offenders are informed about
how to access health services and the grievance system. This information is
communicated orally and in writing, and is conveyed in a language that is
easily understood by each offender.
Comment: No member of the correctional staff should approve or disapprove
offenders’ requests for health care services. The facility should follow the policy of
explaining access procedures orally to offenders unable to read. When the facility
frequently has non-English speaking offenders, procedures should be explained and
written in their language.
Protocols: Written policy and procedures.
procedure.

Page 86 of 175

An offender handbook.

Grievance

Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

Process Indicators: Documentation that offenders are informed about health care
and the grievance system. Offender grievances. Interviews.

4-4345
(New)

When medical copayment fees are imposed, the program ensures that, at a
minimum, the following are observed:




All offenders are advised, in writing, at the time of admission to the
facility of the guidelines of the copayment program.
Needed offender health care is not denied due to lack of available
funds.
Copayment fees shall be waived when appointments or services,
including follow-up appointments, are initiated by medical staff.

Comment: Offenders should receive appropriate health care based on need, without
regard to financial status. Fees imposed should not be so excessive as to
discourage offenders from seeking needed medical care.
Protocols: Written policy and procedure.
Process Indicators: Forms. An offender handbook. Interviews. Financial records.

Clinical Services
4-4346
(2010 Supplement)

Revised January 2006. There is a process for all offenders to initiate requests
for health services on a daily basis. These requests are triaged daily by
qualified health care professionals or health trained personnel. A priority
system is used to schedule clinical services. Clinical services are available to
offenders in a clinical setting at least five days a week and are performed by a
health care practitioner or other qualified health care professional.
Comment: A priority system addresses routine, urgent, and emergent complaints
and conditions. Health care request forms must be readily available to all offenders.
Clinical services include sick call, nursing assessments, and chronic care.
Protocols: Written policy and procedure. Sick call request form.
Process Indicators: A health record. Sick call request forms.
schedules. Observation. Interviews.

4-4346
(Ref. 3-4353)

Clinical provider

There is a process for all offenders to initiate requests for health services on a
daily basis. These requests are triaged daily by health professionals or healthtrained personnel. A priority system is used to schedule clinical services.
Clinical services are available to offenders in a clinical setting at least five
days a week and are performed by a physician or other qualified health care
professional.
Comment: A priority system addresses routine, urgent, and emergency complaints
and conditions. Health care request forms must be readily available to all offenders.
Protocols: Written policy and procedure. Sick call request form.
Process Indicators: A health record. Sick call request forms.
schedules. Observation. Interviews.

Clinical provider

Continuity of Care
4-4347
(2010 Supplement)

Revised January 2006. Continuity of care is required from admission to
transfer or discharge from the facility, including referral to community-based

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

providers, when indicated. Offender health care records should be reviewed
by the facility’s qualified health care professional upon arrival from outside
health care entities including those from inside the correctional system.

Comment: When health care is transferred to providers in the community,
appropriate information should be shared with the new providers in accordance with
consent requirements.
Protocols: Written policy and procedure. Referral transfer form.
Process Indicators: Completed referral transfer forms. Health records. Facility logs.
Interviews.
4-4347
(Ref. 3-4330)

Continuity of care is required from admission to transfer or discharge from the
facility, including referral to community-based providers, when indicated.
Comment: When health care is transferred to providers in the community,
appropriate information should be shared with the new providers in accordance with
consent requirements.
Protocols: Written policy and procedure. Referral transfer form.
Process Indicators: Completed referral transfer forms. Health records. Facility logs.
Interviews.

Referrals
4-4348
(2010 Supplement)

Revised January 2006. Offenders who need health care beyond the resources
available in the facility, as determined by the responsible health care
practitioner, are transferred under appropriate security provisions to a facility
where such care is available. There is a written list of referral sources to
include emergency and routine care. The list is reviewed and updated
annually.
Comment: Treatment of an offender’s condition should not be limited by the
resources and services available within a facility. Health care staff should
collaborate with security personnel in determining conditions of transportation and
necessary security precautions when an offender needs to be transported to another
facility or provider.
Protocols: Written policy and procedure. Referral consult form.
Process Indicators:
Health records.
Completed referral consult records.
Documentation of annual list review. Transportation logs. Interviews.

4-4348
(Ref. 3-4360)

Offenders who need health care beyond the resources available in the facility,
as determined by the responsible physician, are transferred under appropriate
security provisions to a facility where such care is on call or available 24 hours
per day. A written list of referral sources includes emergency and routine
care. The list is reviewed and updated annually.
Comment: Treatment of an offender’s condition should be limited by the resources
and services available within a facility. Health care staff should collaborate with
security personnel in determining conditions of transportation and necessary security
precautions when an offender needs to be transported to another facility or provider.
Protocols: Written policy and procedure. Referral consult form.
Process Indicators:
Health records.
Completed referral consult records.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

Documentation of annual list review. Transportation logs. Interviews.

Transportation
4-4349
(2010 Supplement)

Revised January 2006. A transportation system that assures timely access to
services that are only available outside the correctional facility is required.
Such a system needs to address the following issues:





prioritization of medical need
urgency (for example, ambulance versus standard transport)
use of medical escort to accompany security staff, if indicated
transfer of medical information

The safe and timely transportation of offenders for medical, mental health, and
dental clinic appointments, both inside and outside the correctional facility (for
example, hospital, health care provider, or another correctional facility), is the
joint responsibility of the facility or program administrator and the health
services administrator.
Comment: it is essential that the medical and the custody staff work cooperatively in
the design and implementation of the medical transport system. Consideration
should balance issues of security as well as medical or psychological concerns
about the use of restraint devices that may affect the offender’s health condition or
access to care.
Protocols: Written policy or procedure. Transport form, log.
Process Indicators: Health records. Completed transport forms and log entries.
Observations. Interviews.
4-4349
(New)

A transportation system that assures timely access to services that are only
available outside the correctional facility is required. Such a system needs to
address the following issues:





prioritization of medical need
urgency (for example, an ambulance versus a standard transport)
use of a medical escort to accompany security staff
transfer of medical information

The safe and timely transportation of offenders for medical, mental health, and
dental clinic appointments, both inside and outside the correctional facility (for
example, to the hospital, health care provider, or another correctional facility)
is the joint responsibility of the facility or program administrator and the health
services administrator.
Comment: It is essential that the medical and the custody staff work cooperatively in
the design and implementation of the medical transport system. Consideration
should balance issues of security as well as medical or psychological concerns
about the use of restraint devices that may affect the offender’s health condition or
access to care.
Protocols: Written policy or procedure. Transport form, log.
Process Indicators: Health records. Completed transport forms and log entries.
Observations. Interviews.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
Treatment Plan
4-4350
(2010 Supplement)

Agreement Number 5600000770
Attachment 9
Amendment 7

Revised January 2006. A written individual treatment plan is required for
offenders requiring medical supervision, including chronic and convalescent
care. This plan includes directions to health care and other personnel
regarding their roles in the care and supervision of the patient, and is
developed by the appropriate health care practitioner for each offender
requiring a treatment plan.
Comment: Offenders requiring treatment plans include the following: the chronically
ill, offenders with serious communicable diseases, the physically disabled, pregnant
offenders, the terminally ill, offenders with serious mental health needs, and the
developmentally disabled.
Protocols: Policy and procedure. Treatment plan format.
Process Indicators: Health records. Interviews.

4-4350
(Ref. 3-4355)

A written treatment plan is required for offenders requiring close medical
supervision, including chronic and convalescent care. This plan includes
directions to health care and other personnel regarding their roles in the care
and supervision of the patient, and is approved by the appropriate licensed
physician, dentist, or mental health practitioner for each offender requiring a
treatment plan.
Comment: Offenders requiring treatment plans include the following: the chronically
ill, offenders with serious communicable diseases, the physically disabled, pregnant
offenders, the terminally ill, offenders with serious mental health needs, and the
developmentally disabled.
Protocols: Policy or procedure. Treatment plan format.
Process Indicators: Health records. Interviews.

Emergency Plan
4-4351
(2010 Supplement)

Revised January 2006 (Mandatory). There is a written plan for access to
twenty-four-hour emergency medical, dental, and mental health services
availability. The plan includes:







on-site emergency first aid and crisis intervention
emergency evacuation of the offender from the facility
use of an emergency medical vehicle
use of one or more designated hospital emergency rooms or other
appropriate health facilities
emergency on-call or available 24-hours per day, physician, dentist,
and mental health professional services when the emergency health
facility is not located in a nearby community
security procedures providing for the immediate transfer of offenders,
when appropriate

Comment: In the event that primary health services are not available, and
particularly in emergency situations, back-up facilities or providers should be
predetermined. The plan may include the use of an alternative hospital emergency
service or a physician on-call service.
Protocols: Written policy or procedure.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards

Process Indicators: Designated facility.
Interviews. Infirmary Care.

4-4351
(Ref. 3-4350)

Agreement Number 5600000770
Attachment 9
Amendment 7

Provider lists.

Transportation logs.

(MANDATORY) There is a written plan for 24-hour emergency medical, dental,
and mental health services availability. The plan includes the following:







on-site emergency first aid and crisis intervention
emergency evacuation of the offender from the facility
use of an emergency medical vehicle
use of one or more designated hospital emergency rooms or other
appropriate health facilities
emergency on-call or available 24 hours per day, physician, dentist,
and mental health professional services when the emergency health
facility is not located in a nearby community
security procedures providing for the immediate transfer of offenders,
when appropriate

Comment: In the event that primary health services are not available, and
particularly in emergency situations, back-up facilities or providers should be
predetermined. The plan may include the use of an alternative hospital emergency
service or a physician on-call service.
Protocols: Written policy or procedure.
Process Indicators: Designated facility.
Interviews.

Provider lists.

Transportation logs.

Infirmary Care
4-4352
(2010 Supplement)

Revised January 2006. Offenders are provided access to infirmary care either
within the correctional setting or off site. If infirmary care is provided onsite, it
includes, at a minimum, the following:







definition of the scope of infirmary care services available
a physician on call or available twenty-four hours per day
health care personnel have access to a physician or a registered nurse
and are on duty 24 hours per day when patients are present
all offenders/patients are within sight or sound of a staff member
an infirmary care manual that includes nursing care procedures
compliance with applicable state statues and local licensing
requirements

Comment: An infirmary is an area within the correctional setting or a specific area of
a health care facility separate from other housing areas, where offenders are housed
and provided health care. Admission and discharge from this area is controlled by
medical orders or protocols.
Protocols: Written policy or procedures. Nursing manual. Licensing requirements
and regulations.
Process Indicators:
Admission and inpatient records.
Staffing schedules.
Documentation of compliance with licensing requirements and regulations.
Observation. Interviews.
4-4352
(Ref. 3-4354)

Offenders are provided access to infirmary care. If infirmary care is provided
onsite, it includes, at a minimum, the following:

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards








Agreement Number 5600000770
Attachment 9
Amendment 7

definition of the scope of infirmary care services available
a physician on call or available 24 hours per day
health care personnel with access to a physician or a registered nurse
and on duty 24 hours per day when patients are present
all offenders/patients are within sight or sound of a staff member
an infirmary care manual that includes nursing care procedures
an infirmary record that is a separate and distinct section of the
complete medical record
compliance with applicable state statutes and local licensing
requirements

Comment: An infirmary is a specific area of a health care facility, separate from
other housing areas, where offenders are housed and provided health care.
Admission and discharge from this area is controlled by medical orders or protocols.
Protocols: Written policy or procedures. Nursing manual. Licensing requirements
and regulations.
Process Indicators:
Admission and inpatient records.
Staffing schedules.
Documentation of compliance with licensing requirements and regulations.
Observations. Interviews.

Pregnancy Management
4-4353
(2010 Supplement)

Revised January 2003. (Mandatory) If female offenders are housed, access to
pregnancy management is specific as it relates to the following:







pregnancy testing
routine prenatal care
high-risk prenatal care
management of the chemically addicted pregnant inmate
postpartum follow-up
unless mandated by state law, birth certificates/registry does not list a
correctional facility as the place of birth

Comment: Management should include family planning services prior to release.
Protocols: Written policy/procedure. Offender handbook. Contract or agreement.
Process Indicators: Health record entries. Laboratory records. Interviews.
4-4353
(Ref. 3-4343-1)

(MANDATORY) If female offenders are housed, access to pregnancy
management services is available. Provisions of pregnancy management
include the following:







pregnancy testing
routine and high-risk prenatal care
management of chemically addicted pregnant offenders
comprehensive counseling assistance
appropriate nutrition
postpartum follow up

Comment: Management should include family planning services prior to release.
Protocols: Written policy and procedure.
agreement.

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Offender handbook.

Contract or

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California Department of Corrections and Rehabilitation
ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

Process Indicators: Health record entries. Laboratory records. Interviews.

4-4353-1
(2010 Supplement)

Added January 2003. Where nursing infants are allowed to remain with their
mothers, provisions are made for a nursery, staffed by qualified persons,
where the infants are placed when they are not in the care of their mothers.
Comment: Qualified persons may include offenders who have been trained in the
competencies required for nursery care and who are working under appropriate
supervision.
Protocols: Written policy/procedure.
Process Indicators: Staff credentials. Observations.

Communicable Disease and Infection Control Program
4-4354
(2010 Supplement)

Revised January 2006. (Mandatory) There is a written program to address the
management of communicable and infectious diseases in offenders. The
program plan shall include procedures for:










prevention to include immunizations, when applicable
surveillance (identification and monitoring)
offenders education and staff training
treatment to include medical isolation, when indicated
follow-up care
reporting requirements to applicable local, state, and federal agencies
confidentiality/protected health information
appropriate safeguards for offenders and staff
post-exposure management protocols particularly for HIV and viral
hepatitis infection

Communicable disease and infection control activities are discussed and
reviewed at least quarterly by a multidisciplinary team that includes clinical,
security, and administrative representatives.
Comment: Because of the serious nature, methods of transmission, and public
sensitivity, communicable and infectious diseases require special attention.
Agencies work with the responsible public health authority in establishing policy and
procedures.
Protocols:
Written policy; procedure; offender education and staff training
curriculums; and treatment guidelines.
Process Indicators: Health record entries; communicable and infectious diseases
education and training records; minutes of committee meeting addressing
communicable and infectious disease management; observations, and interviews.
4-4354
(Ref. 3-4366)

(MANDATORY) There is a written plan to address the management of
infectious and communicable diseases. The plan includes procedures for
prevention, education, identification, surveillance, immunization (when
applicable), treatment, follow-up, isolation (when indicated), and reporting
requirements to applicable local, state, and federal agencies.
A
multidisciplinary team that includes clinical, security, and administrative
representatives meets at least quarterly to review and discuss communicable
disease and infection control activities.
Comment: Because of their serious nature, methods of transmission, and public

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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

sensitivity, these diseases require special attention. Agencies should work with the
responsible public health authority in establishing policy and procedure that include
the following: an ongoing education program for staff and offenders; control,
treatment, and prevention strategies, which may include screening and testing,
special supervision, or special housing arrangements, as appropriate; protection of
individual confidentiality; and media relations.

Protocols: Written policy and procedure. Treatment guidelines.
Process Indicators: Health records. Laboratory, x-ray reports and logs. Chronic
care forms and clinic visit logs. Minutes of communicable disease and infection
control committee meetings. Interviews.
4-4354-1
(2010 Supplement)

Added August 2006. The management of offenders with Methicillin Resistant
Staphylococcus Aureus (MRSA) infection includes requirements identified in
the communicable disease and infection control program. In addition, the
program for MRSA management shall include procedures for:




evaluating and treating infected inmates in accordance with an
approved practice guideline
medical isolation, when indicated
follow-up care, including arrangements with appropriate health care
authorities for continuity of care if offenders are relocated prior to the
completion of therapy.

Comment: None.
Protocols: Written policy and procedure. Treatment program.
Process Indicators: Health records including laboratory reports, medical isolation
logs, and treatment plans, observations, and interviews.
4-4355
(2010 Supplement)

Revised January 2006. (Mandatory) Management of tuberculosis (TB) in
offenders includes procedures as identified in the communicable disease and
infection control program. In addition, the program for TB management shall
include procedures for:





when and where offenders are to be screened/tested
treatment, of latent tuberculosis infection and tuberculosis disease
medical isolation, when indicated
follow-up care, including arrangement with applicable departments of
health for continuity of care if offender is released prior to completion
of therapy

Comment: Plans for the management of tuberculosis may be based on incidence
and prevalence of the disease within the correctional agency’s population and the
surrounding community.
Protocols: Written policy; procedure and treatment guidelines.
Process Indicators: Health records including tuberculosis testing, x-ray reports,
laboratory reports, and treatment plans, observations, and interviews.
4-4355
(Ref. 3-4365)

There is a written plan to address the management of tuberculosis. The plan
includes procedures for initial and ongoing testing for infection, surveillance,
treatment (including treatment of latent tuberculosis), follow-up, and isolation
(when indicated).

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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

Comment: Plans for the management of tuberculosis may be based on incidence
and prevalence of the disease within the agency’s population and the surrounding
community.
Protocols: Written policy and procedure. Treatment guidelines.
Process Indicators: Health records. Laboratory, x-ray reports and logs. Chronic
care forms and clinic visit logs. Minutes of communicable disease and infection
control committee meetings. Interviews.

4-4356
(2010 Supplement)

Revised January 2006. (Mandatory) Management of hepatitis A, B, and C in
offenders includes procedures as identified in the communicable disease and
infection control program. In addition, the program for hepatitis management
shall include procedures for:





when and where offenders are to be tested/screened
hepatitis A and B immunization, when applicable
treatment protocols
when and under what conditions offenders are to be separated from
the general population

Comment: None.
Protocols: Written policy/procedure and treatment guidelines.
Process Indicators: Health records including laboratory reports, immunization
administration records, and treatment plans, observations, and interviews.
4-4356
(New)

(MANDATORY) There is a written plan to address the management of hepatitis
A, B, and C. The plan includes procedures for the identification, surveillance,
immunization (when applicable), treatment (when indicated), follow-up, and
isolation (when indicated).
Comment: None.
Protocols: Written policy and procedure. Treatment guidelines.
Process Indicators: Health records. Laboratory reports, x-ray reports, and logs.
Chronic care forms and clinic visit logs. Minutes of communicable disease and
infection control committee meetings. Interviews.

4-4357
(2010 Supplement)

Revised January 2006. (Mandatory) Management of HIV infection in offenders
includes procedures as identified in the communicable disease and infection
control program. In addition, the program for HIV management shall include:







when and where offenders are to be HIV tested
pre- and post-test counseling
immunization and other prevention measures, when applicable
treatment protocols
confidentiality/protected health information
when and under what conditions offenders are to be separated from
the general population

Comment: None.
Protocols: Written policy, procedure and treatment guidelines.
Process Indicators: Health records including laboratory reports, pre- and post-test
counseling documentation and treatment plans, observations, and interviews.

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ACA Standards
4-4357
(New)

Agreement Number 5600000770
Attachment 9
Amendment 7

(MANDATORY) There is a written plan to address the management of HIV
infection. The plan includes procedures for the identification, surveillance,
immunization (when applicable), treatment, follow-up, and isolation (when
indicated).
Comment: None.
Protocols: Written policy and procedure. Treatment guidelines.
Process Indicators: Health records. Laboratory reports, x-ray reports, and logs.
Chronic care forms and clinic visit logs. Minutes of communicable disease and
infection control committee meetings. Interviews.

4-4358
(New)

(MANDATORY) There is a plan for the management of biohazardous waste and
for the decontamination of medical and dental equipment.
Comment: None.
Protocols: Written policy, procedure, codes, and regulations.
Process Indicators: Documentation of waste pick up, spore count logs, and/or
cleaning logs.

Chronic Care
4-4359
(New)

(MANDATORY) There is a plan for the treatment of offenders with chronic
conditions such as hypertension, diabetes, and other diseases that require
periodic care and treatment. The plan must address the monitoring of
medications, laboratory testing, the use of chronic care clinics, health record
forms, and the frequency of specialist consultation and review.
Comment: Professionally recognized chronic care guidelines are available from
disease-specific organizations and various medical and physician associations.
Protocols: Written policy and procedure. Chronic care protocols and forms.
Process Indicators: Health records. Chronic care logs. Specialist schedules.

Dental Care
4-4360
(2010 Supplement)

Revised January 2006. Routine and emergency dental care is provided to each
offender under the direction and supervision of a licensed dentist. There is a
defined scope of available dental services, including emergency dental care,
which includes the following:






a dental screening upon admission by a qualified health care
professional or health trained personnel
a full dental examination by a dentist within 30 days
oral hygiene, oral disease education, and self-care instruction are
provided by a qualified health care provider within 30 days
a defined charting system that identifies the oral health condition and
specifies the priorities for treatment by category is completed
consultation and referral to dental specialists, including oral surgery is
provided, when necessary

Comment: Dental screening is an assessment of dental pain, swelling or functional

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Corrections Corporation of America
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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

impairment. As part of the initial health screening, a dentist or health care personnel
properly trained and designated by the dentist should perform dental screenings.
The dental program should also provide offenders with instruction on the proper
brushing of teeth and other dental hygiene measures. The dental examination
should include a periodontal examination (Periodontal Screening and Recording
[PSR] or Community Periodontal Index of Treatment Needs [CPITN] and taking or
reviewing the patient’s dental history. An examination of the hard and soft tissues of
the oral cavity by means of an illuminator light, mouth mirror, and explorer should be
preformed.
X-rays for diagnostic purposes should be available, if deemed
necessary. The result of the dental examination and dental treatment plan are
recorded on an appropriate uniform dental record using a numbered system such as
the Federation Dental International System.
Protocols: Written policy and procedure. Dental screening by examination forms.
Dental care request forms.
Process Indicators: Dental records. Admission logs. Referral and consultation
records. Dental request forms. Dental interviews.

4-4360
(Ref. 3-4347)

Routine and emergency dental care is provided to each offender under the
direction and supervision of a licensed dentist. There is a defined scope of
available dental services, including emergency dental care, which includes the
following:






dental screening conducted within seven days of admission unless
completed within the last six months
a full dental examination by a dentist and instruction on oral hygiene
preventative care by dentally trained personnel within three months of
admission, diagnostic x-rays are to taken, if necessary
a defined charting system is completed that identifies the oral health
condition and specifies the priorities for treatment by category
consultation and referral to dental specialists, including oral surgery is
provided, when necessary

Comment: The dental examination should include taking or reviewing the offender’s
dental history and a full examination of hard and soft tissue of the oral cavity;
diagnostic x-rays should be available, if deemed necessary. The examination results
should be recorded on a uniform dental record. Oral hygiene and preventative care
instruction may include the use of videotaped material.
Protocols: Written policy and procedure. Dental screening by examination forms.
Dental care request forms.
Process Indicators: Dental records. Admission logs. Referral and consultation
records. Dental request forms. Dental interviews.

Health Education
4-4361
(Ref. 3-4363)

An ongoing program of health education and wellness information is provided
to all offenders.
Comment: Health education and wellness topics may include but are not to be
limited to information on access to health care services, dangers of self-medication,
personal hygiene and dental care, prevention of communicable diseases, substance
abuse, smoking cessation, family planning, self-care for chronic conditions, selfexamination, and the benefits of physical fitness.

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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

Protocols: Written policy and procedure.
Process Indicators: Documentation of program availability. Program and class
schedules.
Attendance rosters.
Interviews.
Curriculum and lesson plans.
Examples of pamphlets, brochures, or other written handouts.

Health Screens
4-4362
(2010 Supplement)

Revised January 2006. (Mandatory) Intake medical screening for offender
transfers, excluding intra-system, commences upon the offender’s arrival at
the facility and is performed by health-trained or qualified health care
personnel. All findings are recorded on a screening form approved by the
health authority. The screening includes at least the following:
Inquiry into:
 any past history of serious infectious or communicable illness, and any
treatment or symptoms (for example, a chronic cough, hemoptysis,
lethargy, weakness, weight loss, loss of appetite, fever, night sweats
that are suggestive of such illness), and medications
 current illness and health problems, including communicable diseases
 dental problems
 use of alcohol and other drugs, including type(s) of drugs used, mode
of use, amounts used, frequency used, date or time of last use, and
history of any problems that may have occurred after ceasing use (for
example, convulsions)
 the possibility of pregnancy and history of problems (female only); and
other health problems designated by the responsible physician
Observation of the following:
 behavior, including state of consciousness, mental status, appearance,
conduct, tremor, and sweating
 body deformities, ease of movement, and so forth
 condition of the skin, including trauma markings, bruises, lesions,
jaundice, rashes and infestations, recent tattoos and needle marks or
other indications of drug abuse
Medical disposition of the offender:
 general population
 general population with prompt referral to appropriate health care
service
 referral to appropriate health care service for emergency treatment
Offenders, who are unconscious, semiconscious, bleeding, or otherwise
obviously in need of immediate medical attention, are referred. When they are
referred to an emergency department, their admission or return to the facility
is predicated on written medical clearance. When screening is conducted by
trained custody staff, procedures will require a subsequent review of positive
findings by the licensed health care staff. Written procedures and screening
protocols are established by the responsible physician in cooperation with the
facility manager.
Inmates confined within a correctional complex with
consolidated medical services do not require health screening for intra-system
transfers.
Comment: Health screening is a system of structured inquiry and observation to (1)
prevent newly arrived offenders who pose a health or safety threat to themselves or
others from being admitted to the general population; (2) identify offenders who

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ACA Standards

require immediate medical attention.

Agreement Number 5600000770
Attachment 9
Amendment 7

Receiving screening can be performed at the time of admission by health care
personnel or by a health-trained correctional officer. Facilities that have reception
and diagnostic units or a holding room must conduct receiving screening on all
offenders on their arrival at the facility as part of the admission procedures.
Protocols: Written policy and procedure. Screening forms.
Process Indicators: Health records. Completed screening forms. Transfer logs.
Interviews.
4-4362
(Ref. 3-4343)

(MANDATORY) Intake medical screening for offender transfers, excluding
intrasystem, commences upon the offender’s arrival at the facility and is
performed by health-trained or qualified health care personnel. All findings are
recorded on a screening form approved by the health authority. The screening
includes at least the following:
Inquiry into:
 any past history of serious infectious or communicable illness, and any
treatment or symptoms (for example, a chronic cough, hemoptysis,
lethargy, weakness, weight loss, loss of appetite, fever, night sweats
that are suggestive of such illness), and medications
 current illness and health problems, including communicable diseases
 dental problems
 use of alcohol and other drugs, including type(s) of drugs used, mode
of use, amounts used, frequency used, date or time of last use, and
history of any problems that may have occurred after ceasing use (for
example, convulsions)
 the possibility of pregnancy and history of problems (female only); and
other health problems designated by the responsible physician
Observation of the following:
 behavior, including state of consciousness, mental status, appearance,
conduct, tremor, and sweating
 body deformities, ease of movement, and so forth
 condition of the skin, including trauma markings, bruises, lesions,
jaundice, rashes, and infestations, recent tattoos, and needle marks or
other indications of drug abuse
Medical disposition of the offender:
 general population
 general population with prompt referral to appropriate health care
service
 referral to appropriate health care service for emergency treatment
Offenders who are unconscious, semiconscious, bleeding, or otherwise
obviously in need of immediate medical attention are referred. When they are
referred to an emergency department, their admission or return to the facility
is predicated on written medical clearance. When screening is conducted by
trained custody staff, procedures will require a subsequent review of positive
findings by the licensed health care staff. Written procedures and screening
protocols are established by the responsible physician in cooperation with the
facility manager.
Comment: Health screening is a system of structured inquiry and observation to (1)

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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

prevent newly arrived offenders who pose a health or safety threat to themselves or
others from being admitted to the general population; (2) identify offenders who
require immediate medical attention.

Receiving screening can be performed at the time of admission by health care
personnel or by a health-trained correctional officer. Facilities that have reception
and diagnostic units or a holding room must conduct receiving screening on all
offenders on their arrival at the facility as part of the admission procedures.
Protocols: Written policy and procedure. Screening forms.
Process Indicators: Health records. Completed screening forms. Transfer logs.
Interviews.
4-4363
(Ref. 3-4344)

(MANDATORY) All intrasystem transfer offenders receive a health screening
by health-trained or qualified health care personnel which commences on their
arrival at the facility. All findings are recorded on a screening form approved
by the health authority. At a minimum, the screening includes the following:
Inquiry into:
 whether the offender is being treated for a medical or dental problem
 whether the offender is presently on medication
 whether the offender has a current medical or dental complaint
Observation of:
 general appearance and behavior
 physical deformities
 evidence of abuse or trauma
Medical disposition of offenders:
 to general population
 to general population with appropriate referral to health care service
 referral to appropriate health care service for emergency treatment
Comment: Health screening of intrasystem transfers is necessary to detect
offenders who pose a health or safety threat to themselves or others and who may
require immediate health care.
Protocols: Written policy and procedure. Screening form.
Process Indicators: Health records. Completed screening forms. Transfer logs.
Interviews.

4-4363-1
(2010 Supplement)

Correction 2003. The following standard was omitted from some versions of
th
Adult Correctional Institutions, 4 edition.
Written policy, procedure, and practice provide for early identification and
treatment of offenders with alcohol and drug abuse problems through a
standardized battery assessment. The battery shall be documented and
include at a minimum the following:





screening and sorting
clinical assessment and reassessment
medical assessment for appropriate drug and alcohol program
assignment to the needs of the individual inmates
referral

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ACA Standards
Comment: None.

4-4363-1
(Ref. 3-4344-1)

Agreement Number 5600000770
Attachment 9
Amendment 7

Written policy, procedure, and practice provide for early identification and
treatment of offenders with alcohol and drug abuse problems through a
standardized battery assessment. This battery shall be documented and
include, at a minimum, the following:





screening and sorting
clinical assessment and reassessment
medical assessment for appropriate drug and alcohol program
assignment to the needs of the individual inmates
referrals

Comment: None.
4-4364
(New)

All in-transit offenders receive a health screening by health-trained or qualified
health care personnel on entry into the agency system. Findings are recorded
on a screening form that will accompany the offender to all subsequent
facilities until the offender reaches his or her final destination. Health screens
will be reviewed at each facility by health-trained or qualified health care
personnel. Procedures will be in place for continuity of care.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Health records. Completed screening forms. Transfer logs.
Interviews.

Health Appraisal
4-4365
(2010 Supplement)

Revised January 2006. (Mandatory) A comprehensive health appraisal for
each offender, excluding intra-system transfers, is completed as defined
below, after arrival at the facility. If there is documented evidence of a health
appraisal within the previous ninety days, a new health appraisal is not
required, except as determined by the designated health authority. Health
appraisals include the following:
Within fourteen days after arrival at the facility:
 review of the earlier receiving screen
 collection of additional data to complete the medical, dental, mental
health, and immunization histories
 laboratory or diagnostic tests to detect communicable disease,
including venereal disease and tuberculosis
 record of height, weight, pulse, blood pressure, and temperature
 other tests and examinations, as appropriate
Within fourteen days after arrival for inmates with identified significant health
care problems:
 medical examination, including review of mental and dental status (for
those inmates with significant health problems discovered on earlier
screening such as cardiac problems, diabetes, communicable
diseases, and so forth)
 review of the results of the medical examination, tests, and
identification of problems by a health care practitioner or other
qualified health care professional, if such is authorized in the medical

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ACA Standards



Agreement Number 5600000770
Attachment 9
Amendment 7

practice act
initiation of therapy, when appropriate
development and implementation of a treatment plan, including
recommendations concerning housing, job assignment, and program
participation

Within thirty days after arrival for inmates without significant health care
problems:
 medical examination, including review of mental and dental status (for
those inmates without significant health care concerns identified
during earlier screening-no identified acute or chronic disease, no
identified communicable disease, and so forth)
 review of the results of the medical examination, tests, and
identification of problems by a health care practitioner or other
qualified health care professional, if such is authorized in the medical
practice act
 initiation of therapy, when appropriate
 development and implementation of a treatment plan, including
recommendations concerning housing, job assignment, and program
participation
Interpretation January 2004. The criterion for testing for venereal diseases is
at the discretion of the agencies/facilities health authority.
Comment: Test results, particularly for communicable diseases, should be received
and evaluated before an offender is assigned to housing in the general population.
Information regarding the offender’s physical and mental status may also dictate
housing and activity assignments. When appropriate, additional investigation should
be conducted into alcohol and drug abuse and other related problems.
Protocols: Written policy and procedure. Health appraisal form.
Process Indicators: Health records. Completed health appraisal forms. Transfer
logs. Interviews.
4-4365
(Ref. 3-4345)

(MANDATORY) A comprehensive health appraisal for each offender, excluding
intrasystem transfers, is completed as defined below, after arrival at the
facility. If there is documented evidence of a health appraisal within the
previous 90 days, a new health appraisal is not required, except as determined
by the designated health authority. Health appraisals include the following:
Within 14 days after arrival at the facility:
 review of the earlier receiving screen
 collection of additional data to complete the medical, dental, mental
health, and immunization histories
 laboratory or diagnostic tests to detect communicable disease,
including venereal disease and tuberculosis
 record of height, weight, pulse, blood pressure, and temperature
 other tests and examinations, as appropriate
Within 14 days after arrival for inmates with identified significant health care
problems:
 medical examination, including review of mental and dental status (for
those inmates with significant health problems discovered on earlier
screening such as cardiac problems, diabetes, communicable
diseases, and so forth)

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ACA Standards




Agreement Number 5600000770
Attachment 9
Amendment 7

review of the results of the medical examination, tests, and
identification of problems by a physician or other qualified health care
personnel, if such is authorized in the medical practice act
initiation of therapy, when appropriate
development and implementation of a treatment plan, including
recommendations concerning housing, job assignment, and program
participation

Within 30 days after arrival for inmates without significant health care
problems:
 medical examination, including review of mental and dental status (for
those inmates without significant health care concerns identified
during earlier screening-no identified acute or chronic disease, no
identified communicable disease, and so forth)
 review of the results of the medical examination, tests, and
identification of problems by physician or other qualified health care
professional, if such is authorized in the medical practice act
 initiation of therapy, when appropriate
 development and implementation of a treatment plan, including
recommendations concerning housing, job assignment, and program
participation
Comment: Test results, particularly for communicable diseases, should be received
and evaluated before an offender is assigned to housing in the general population.
Information regarding the offender’s physical and mental status may also dictate
housing and activity assignments. When appropriate, additional investigation should
be conducted into alcohol and drug abuse and other related problems.
Protocols: Written policy and procedure. Health appraisal form.
Process Indicators: Health records. Completed health appraisal forms. Transfer
logs. Interviews.
4-4366
(2010 Supplement)

Revised January 2006.
include the following:




Health appraisal data collection and recording will

a uniform process as determined by the health authority
health history and vital signs collected by health-trained or qualified
health care personnel
collection of all other health appraisal data performed only be qualified
health professional review of the results of the medical examination,
tests, and identification of problems is performed by a physician or
mid-level practitioner, as allowed by law

Comment: None.
4-4366
(Ref. 3-4346)

Health appraisal data collection and recording will include the following:






a uniform process as determined by the health authority
health history and vital signs collected by health-trained or qualified
health care personnel
collection of all other health appraisal data performed only by qualified
health personnel
review of the results of the medical examination or tests
identification of problems is performed by a physician or mid-level
practitioner, as allowed by law

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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Health records.

Periodic Examinations
4-4367
(2010 Supplement)

Revised January 2006. The conditions for periodic health examinations for
offenders are determined by the health authority.
Comment: All offenders should receive a thorough physical examination.

4-4367
(Ref. 3-4348)

The conditions for periodic health examinations for offenders are determined
by the health authority.
Comment: All offenders should receive a thorough physical examination. All
offenders should be examined prior to release to protect both the offender and the
public.
Protocols: Written policy and procedure.
Process Indicators: Health records. Completed annual health appraisal forms.
Interviews.

Mental Health Program
4-4368
(2010 Supplement)

Revised January 2006. (Mandatory) The mental health program is approved by
the appropriate mental health authority and includes at a minimum:








4-4368
(Ref. 3-4336)

screening on intake
outpatient services for the detection, diagnosis, and treatment of
mental illness
crisis intervention and the management of acute psychiatric episodes
stabilization of the mentally ill and the prevention of psychiatric
deterioration in the correctional setting
elective therapy services and preventive treatment where resources
permit
provision for referral and admission to mental health facilities for
offenders whose psychiatric needs exceed the treatment capability of
the facility
procedures for obtaining and documenting informed consent

(MANDATORY) There is a mental health program that includes at a minimum:







screening for mental health problems on intake as approved by the
mental health professional
outpatient services for the detection, diagnosis, and treatment of
mental illness
crisis intervention and the management of acute psychiatric episodes
stabilization of the mentally ill and the prevention of psychiatric
deterioration in the correctional setting
elective therapy services and preventive treatment where resources
permit
provision for referral and admission to licensed mental health facilities
for offenders whose psychiatric needs exceed the treatment capability

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards


Agreement Number 5600000770
Attachment 9
Amendment 7

of the facility
procedures for obtaining and documenting informed consent

Comment: An adequate number of qualified staff members should be available to
deal directly with offenders who have severe mental health problems and to advise
other correctional staff about their contacts with such individuals.
Protocols: Written policy and procedure. Screening form.
Process Indicators: Health records. Completed screening forms. Provider
qualifications and time and attendance records. Observations. Interviews.
4-4369
(2010 Supplement)

Deleted January 2006.

4-4369
(Ref. 3-4337)

The mental health program is approved by the appropriate mental health
authority and provides for all activities carried out by mental health services
personnel.
Comment: None.
Protocols: Written policy and procedure. Job descriptions for mental health
personnel.
Process Indicators:
Documentation of review by mental health personnel.
Interviews.

Mental Health Screen
4-4370
(2010 Supplement)

Revised January 2006. (Mandatory) All intersystem and intra-system transfer
offenders will receive an initial mental health screening at the time of
admission to the facility by mental health trained or qualified mental health
care professional. The mental health screening includes, but is not limited to:
Inquiry into:
 whether the offender has a present suicide ideation
 whether the offender has a history of suicidal behavior
 whether the offender is presently prescribed psychotropic medication
 whether the offender has a current mental health complaint
 whether the offender is being treated for mental health problems
 whether the offender has a history of inpatient and outpatient
psychiatric treatment
 whether the offender has a history of treatment for substance abuse
Observation of:
 general appearance and behavior
 evidence of abuse and/or trauma
 current symptoms of psychosis,
aggression

depression,

anxiety,

and/or

Disposition of offender:
 to the general population
 to the general population with appropriate referral to mental health
care service
 referral to appropriate mental health care service for emergency
treatment

Page 105 of 175

Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
Comment: None.

Agreement Number 5600000770
Attachment 9
Amendment 7

Protocols: Written policy and procedure. Mental health screening form.
Process Indicators: Health records. Completed mental health screening forms.
Transfer logs. Interviews.
4-4370
(New)

(MANDATORY) All intersystem and intrasystem transfer offenders will receive
an initial mental health screening at the time of admission to the facility by
mental health trained or qualified mental health care personnel. The mental
health screening includes, but is not limited to:
Inquiry into:
 whether the offender has a present suicide ideation
 whether the offender has a history of suicidal behavior
 whether the offender is presently prescribed psychotropic medication
 whether the offender has a current mental health complaint
 whether the offenders are being treated for mental health problems
 whether the offender has a history of inpatient and outpatient
psychiatric treatment
 whether the offender has a history of treatment for substance abuse
Observation of:
 general appearance and behavior
 evidence of abuse and/or trauma
 current symptoms of psychosis,
aggression

depression,

anxiety,

and/or

Disposition of offender:
 to the general population
 to the general population with appropriate referral to mental health
care service
 referral to appropriate mental health care service for emergency
 treatment
Comment: None.
Protocols: Written policy and procedure. Mental health screening form.
Process Indicators: Health records. Completed mental health screening forms.
Transfer logs. Interviews.

Mental Health Appraisal
4-4371
(2010 Supplement)

Revised January 2006. (Mandatory) All intersystem offender transfers will
undergo a mental health appraisal by a qualified mental health professional
within fourteen days of admission to a facility. If there is documented
evidence of a mental health appraisal within the previous ninety days, a new
mental health appraisal is not required, except as determined by the
designated mental health authority. Mental health appraisals include, but are
not limited to:




review of available historical records of inpatient and outpatient
psychiatric treatment
review of history of treatment with psychotropic medication
review of history of psychotherapy, psycho-educational groups, and

Page 106 of 175

Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards











Agreement Number 5600000770
Attachment 9
Amendment 7

classes or support groups
review of history of drug and alcohol treatment
review of educational history
review of history of sexual abuse-victimization and predatory behavior
assessment of current mental status and condition
assessment of current suicidal potential and person-specific
circumstances that increase suicide potential
assessment of violence potential and person-specific circumstances
that increase violence potential
assessment of drug and alcohol abuse and/or addiction
use of additional assessment tools, as indicated
referral to treatment, as indicated
development and implementation of a treatment plan, including
recommendations concerning housing, job assignment, and program
participation

Comment: None.
Protocols: Written policy and procedure. Mental health appraisal form.
Process Indicators: Health records. Completed mental health appraisal forms.
Transfer logs. Interviews.
4-4371
(New)

(MANDATORY) All intersystem offender transfers will undergo a mental health
appraisal by a qualified mental health person within 14 days of admission to a
facility. If there is documented evidence of a mental health appraisal within
the previous 90 days, a new mental health appraisal is not required, except as
determined by the designated mental health authority.
Mental health
examinations include, but are not limited to:













assessment of current mental status and condition
assessment of current suicidal potential and person-specific
circumstances that increase suicide potential
assessment of violence potential and person-specific circumstances
that increase violence potential
review of available historical records of inpatient and outpatient
psychiatric treatment
review of history of treatment with psychotropic medication
review of history of psychotherapy, psychoeducational groups, and
classes or support groups
review of history of drug and alcohol treatment
review of history of sexual abuse-victimization and predatory behavior
assessment of drug and alcohol abuse and/or addiction
use of additional assessment tools, as indicated
referral to treatment, as indicated
development and implementation of a treatment plan, including
recommendations concerning housing, job assignment, and program
participation

Comment: None.
Protocols: Written policy and procedure. Mental health appraisal form.
Process Indicators: Health records. Completed mental health appraisal forms.
Transfer logs. Interviews.

Page 107 of 175

Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
Mental Health Evaluations
4-4372
(2010 Supplement)

Agreement Number 5600000770
Attachment 9
Amendment 7

Revised January 2006. Offenders referred for mental health treatment will
receive a comprehensive evaluation by a qualified mental health practitioner.
The evaluation is to be completed within fourteen days of the referral request
date and include at least the following:






review of mental health screening and appraisal data
direct observations of behavior
collection and review of additional data from individual diagnostic
interviews and tests assessing personality, intellect, and coping
abilities
compilation of the individual’s mental health history
development of an overall treatment/management plan with appropriate
referral to include transfer to mental health facility for offenders whose
psychiatric needs exceed the treatment capability of the facility

Comment:
Comprehensive individual psychological evaluations should be
performed when there is a reasonable expectation that such evaluation will serve a
therapeutic or dispositional function useful to the overall interests of the offender.
Written reports describing the results of the assessment should be prepared and all
information should be appropriately filed.
Protocols: Written policy and procedure. Mental health referral form.
Process Indicators: Health records. Completed referral forms. Interviews with
mental health provider(s). Clinic visit records.
4-4372
(Ref. 3-4349)

Offenders referred for mental health treatment will receive a comprehensive
evaluation by a licensed mental health professional. The evaluation is to be
completed within 14 days of the referral request date and include at least the
following:






review of mental health screening and appraisal data
direct observations of behavior
collection and review of additional data from individual diagnostic
interviews and tests assessing personality, intellect, and coping
abilities
compilation of the individual’s mental health history
development of an overall treatment/management plan with appropriate
referral to include transfer to mental health facility for offenders whose
psychiatric needs exceed the treatment capability of the facility

Comment:
Comprehensive individual psychological evaluations should be
performed when there is a reasonable expectation that such evaluation will serve a
therapeutic or disposition function useful to the overall interests of the offender.
Written reports describing the results of the assessment should be prepared and all
information should be appropriately filed.
Protocols: Written policy and procedure. Mental health referral form.
Process Indicators: Health records. Completed referral forms. Interviews with
mental health provider(s). Clinic visits records.

Suicide Prevention and Intervention

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
4-4373
(Ref. 3-4364)

Agreement Number 5600000770
Attachment 9
Amendment 7

(MANDATORY) There is a written suicide prevention plan that is approved by
the health authority and reviewed by the facility or program administrator. The
plan includes staff and offender critical incident debriefing that covers the
management of suicidal incidents, suicide watch, assaults, prolonged threats,
and death of an offender or staff member. It ensures a review of critical
incidents by administration, security, and health services. All staff with
responsibility for offender supervision are trained on an annual basis in the
implementation of the program. Training should include but not be limited to:








identifying the warning signs and symptoms of impending suicidal
behavior
understanding the demographic and cultural parameters of suicidal
behavior, including incidence and variations in precipitating factors
responding to suicidal and depressed offenders
communication between correctional and health care personnel
referral procedures
housing observation and suicide watch level procedures
follow-up monitoring of offenders who make a suicide attempt

Comment: The program should include specific procedures for handling intake,
screening, identifying, and supervising a suicide-prone offender and be signed and
reviewed annually.
Protocols: Written policy and procedures. Training curriculum and lesson plans.
Suicide watch logs or forms.
Process Indicators: Health records. Documentation of staff training. Documentation
of suicide watches and critical incident debriefings. Observations. Interviews.

Mental Illness and Developmental Disability
4-4374
(Ref. 3-4367)

Offenders with severe mental illness or who are severely developmentally
disabled receive a mental health evaluation and, where appropriate, are
referred for placement in noncorrectional facilities or in units specifically
designated for handling this type of individual.
Comment: Offenders with severe mental illness or developmental disabilities are
vulnerable to abuse by other offenders and require specialized care. These
individuals may be a danger to self or others or be incapable of attending to their
basic physiological needs.
Protocols: Written policy and procedures.
Process Indicators: Health records. Referral logs. Records. Interviews.

Prostheses and Orthodontic Devices
4-4375
(2010 Supplement)

Revised January 2006. Medical or dental adaptive devices (eyeglasses,
hearing aids, dentures, wheelchairs, or other prosthetic devices) are provided
when medically necessary as determined by the responsible health care
practitioner.
Comment: Offenders may be required to provide copayments for these devices.
Protocols: Written policy and procedure.
Process Indicators: Purchase records. Health records. Interviews.

Page 109 of 175

Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
4-4375
(Ref. 3-4358)

Agreement Number 5600000770
Attachment 9
Amendment 7

Medical or dental adaptive devices (eyeglasses, hearing aids, dentures,
wheelchairs, or other prosthetic devices) are provided when the health of the
offender would otherwise be adversely affected, as determined by the
responsible physician or dentist.
Comment: Offenders may be required to provide copayments for these devices.
Protocols: Written policy and procedure.
Process Indicators: Purchase records. Health records. Interviews.

Detoxification
4-4376
(2010 Supplement)

Revised January 2006. (Mandatory) Detoxification is done only under medical
supervision in accordance with local, state, and federal laws. Detoxification
from alcohol, opiates, hypnotics, other stimulants, and sedative hypnotic
drugs is conducted under medical supervision when performed at the facility
or is conducted in a hospital or community detoxification center. Specific
guidelines are followed for the treatment and observation of individuals
manifesting mild or moderate symptoms of intoxication or withdrawal from
alcohol and other drugs.
Comment: None.
Protocols: Written policy and procedure. Community contract agreements.
Process Indicators: Health records. Transfer records. Interviews.

4-4376
(Ref. 3-4370)

(MANDATORY) Detoxification is done only under medical supervision in
accordance with local, state, and federal laws. Detoxification from alcohol,
opiates, hypnotics, other stimulants, and sedative hypnotic drugs is
conducted under medical supervision when performed at the facility or is
conducted in a hospital or community detoxification center.
Specific
guidelines are followed for the treatment and observation of individuals
manifesting mild or moderate symptoms of intoxication or withdrawal from
alcohol and other drugs. Offenders experiencing severe, life-threatening
intoxication (an overdose), or withdrawal are transferred under appropriate
security conditions to a facility where specialized care is available.
Comment: None.
Protocols: Written policy and procedure. Community contract agreements.
Process Indicators: Health records. Transfer records. Interviews.

Management of Chemical Dependency
4-4377
(Ref. 3-4371)

Offenders have access to a chemical dependency treatment program. When a
chemical dependency program exists, the clinical management of chemically
dependent offenders includes, at a minimum, the following:





a standardized diagnostic needs assessment administered to
determine the extent of use, abuse, dependency, and/or codependency
an individualized treatment plan developed and implemented by a
multidisciplinary clinical team that includes medical, mental health, and
substance abuse professionals
prerelease relapse-prevention education, including risk management
the offender will be involved in aftercare discharge plans

Page 110 of 175

Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Health records.
education curriculum.

Interviews.

Prerelease, preventive, or

Pharmaceuticals
4-4378
(Ref. 3-4341)

(MANDATORY) Proper management of pharmaceuticals includes the following
provisions:










a formulary is available
a formalized process for obtaining nonformulary medications
prescription practices, including requirements that
1) medications are prescribed only when clinically indicated as one
facet of a program of therapy
2) a prescribing provider reevaluates a prescription prior to its renewal
procedures for medication procurement, receipt, distribution, storage,
dispensing, administration, and disposal
secure storage and perpetual inventory of all controlled substances,
syringes, and needles
the proper management of pharmaceuticals is administered in
accordance with state and federal law
administration of medication by persons properly trained and under
the supervision of the health authority and facility or program
administrator or designee
accountability for administering or distributing medications in a timely
manner and according to physician orders

Comment: The formulary should include all prescription and nonprescription
medications stocked in a facility or routinely procured from outside sources.
Controlled substances are those classified by the Drug Enforcement Agency as
Schedule II-V. The pharmacy should be managed by a pharmacist or health-trained
personnel approved by the health authority.
Protocols: Written policy and procedure. Federal and state laws and regulations.
Format for documentation of medication, inventory, and storage of medication.
Process Indicators:
Health records.
Completed medication administration,
inventory, and storage forms. Documentation of compliance with federal and state
laws.

Nonprescription Medication
4-4379
(New)

If offenders have access to nonprescription (over-the-counter) medications
that are available outside of health services, the items, the policy, and
procedures are approved jointly by the facility or program administrator and
the health authority.
Comment: Approved medications may be purchased through the commissary or the
canteen.
Protocols: Written policy and procedure.
Process Indicators: Commissary or canteen items.
authority approval. Interviews.

Page 111 of 175

Documentation of health

Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

PERFORMANCE STANDARD: STAFF TRAINING
2A. The provision of health services should be done in a professionally acceptable manner
including the requirement that all staff be adequately trained and qualified and can
demonstrate competency in their assigned duties.
OUTCOME MEASURES
1. Number of staff with lapsed licensure and/or certification in the past 12 months divided by the number
of licensed or certified staff during in the past 12 months.
2. Number of new employees in the past 12 months who completed orientation training prior to
undertaking job assignments divided by the number of new employees in the past 12 months.
3. Number of employees completing in-service training requirements in the past 12 months divided by the
number of employees eligible in the past 12 months.
4. Number of staff turnover per position category (MD, RN, LPN, medical records, and ancillary staff) in
the past 12 months divided by the number of staff positions per category in the past 12 months.
5. Number of staff terminations for violation of drug-free work policy in the past 12 months divided by the
number of staff terminations in the past 12 months.

EXPECTED PRACTICES
Health Authority
4-4380
(2010 Supplement)

Revised January 2006. (Mandatory) The facility has a designated health
authority with responsibility for ongoing health care services pursuant to a
written agreement, contract, or job description. Such responsibilities include:







establish a mission statement, which defines the scope of health care
services
develop mechanisms, including written agreements, when necessary,
to assure that the scope of services are provided and properly
monitored
develop a facility’s operational health policies and procedures
identify the type of health care staff needed to provide the determined
scope of services
establish systems for the coordination of care among multidisciplinary
health care providers and
develop a quality management program

The health authority may be a physician, health services administrator or
health agency. When the health authority is other than a physician, final
clinical judgments rest with a single, designated, responsible physician. The
health authority is authorized and responsible for making decisions about the
deployment of health resources and the day-to-day operations of the health
services program.
Comment: The health authority and health services administrator may be the same
person. The responsibility of the health authority includes arranging for all levels of
health services, assuring the quality of all health services, and assuring that
offenders have access to them. Health services provides for the physical and mental
well-being of the offender population and should include medical and dental
services, mental health services, nursing care, personal hygiene, dietary services,
health education, and attending to environmental conditions.
While overall

Page 112 of 175

Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

responsibility may be assumed at the central office level, it is essential that each
facility have an onsite health services administrator. The health authority and health
services administrator may be the same person.

Protocols:
Written policy and procedure.
Sample agreement or contract
requirements. Job description.
Process Indicators: Documentation of health authority designation. Contract. Billing
records. Interviews. Documentation of mission statement, operational policies and
procedures, scope of services and required personnel, coordination of care, and a
quality management program.
4-4380
(Ref. 3-4326)

(MANDATORY) The facility has a designated health authority with
responsibility for ongoing health care services pursuant to a written
agreement, contract, or job description. Such responsibilities include the
following:







establishing a mission statement that defines the scope of health care
services
developing mechanisms, including written agreements, when
necessary, to assure that the scope of services is provided and
properly monitored
developing a facility’s operational health policies and procedures
identifying the type of health care providers needed to provide the
determined scope of services
establishing systems for the coordination of care among
multidisciplinary health care providers
developing a quality management program

The health authority may be a physician, health services administrator, or
health agency. When the health authority is other than a physician, final
clinical judgments rest with a single, designated, responsible physician. The
health authority is authorized and responsible for making decisions about the
deployment of health resources and the day-to-day operations of the health
services program.
Comment: The health authority and health services administrator may be the same
person. The responsibility of the health authority includes arranging for all levels of
health services, assuring the quality of all health services, and assuring that
offenders have access to them. Health services provides for the physical and mental
well-being of the offender population and should include medical and dental
services, mental health services, nursing care, personal hygiene, dietary services,
health education, and attending to environmental conditions.
While overall
responsibility may be assumed at the central office level, it is essential that each
facility have an onsite health services administrator. The health authority and health
services administrator may be the same person.
Protocols:
Written policy and procedure.
Sample agreement or contact
requirements. Job description.
Process Indicators: Documentation of health authority designation. Contract. Billing
records. Interviews. Documentation of mission statement, operational policies and
procedures, scope of services and required personnel, coordination of care, and a
quality management program.

Provision of Treatment

Page 113 of 175

Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
4-4381
(2010 Supplement)

Agreement Number 5600000770
Attachment 9
Amendment 7

Revised January 2006. (Mandatory) Clinical decisions are the sole province of
the responsible health care practitioner and are not countermanded by nonclinicians.
Comment: The provision of health care is a joint effort of administrators and health
care providers and can be achieved only through mutual trust and cooperation. The
health authority arranges for the availability of health care services; the responsible
clinician determines what services are needed; the official responsible for the facility
provides the administrative support for making the services accessible to offenders.
Protocols: Written policy and procedure.
Process Indicators: Health records entries. Offender grievances. Interviews.

4-4381
(Ref. 3-4327)

(MANDATORY) Clinical decisions are the sole province of the responsible
clinician and are not countermanded by nonclinicians.
Comment: The provision of health care is a joint effort of administrators and health
care providers and can be achieved only through mutual trust and cooperation. The
health authority arranges for the availability of health care services; the responsible
clinician determines what services are needed; the official responsible for the facility
provides the administrative support for making the services accessible to offenders.
Protocols: Written policy and procedure.
Process Indicators: Health record entries. Offender grievances. Interviews.

Personnel Qualifications
4-4382
(2010 Supplement)

Revised January 2006. (Mandatory) If the facility provides health care
services, they are provided by qualified health care staff whose duties and
responsibilities are governed by written job descriptions, contracts, or written
agreements approved by the health authority.
Verification of current
credentials and job descriptions are on file in the facility.
Comment: Job descriptions should include qualifications and specific duties and
responsibilities. Verification consists of copies of credentials or a letter confirming
credential status from the state licensing or certification body. Standing medical
orders are for the definitive treatment of identified conditions and for the on-site
emergency treatment of any person having such condition. Direct orders are those
written specifically for the treatment of one person’s particular condition.
Protocols: Written policy and procedures. Job descriptions. Standing orders.
Process Indicators: Verification of credentials or licensure. Documentation of
compliance with standing orders. Health record entries. Interviews.

4-4382
(New)

(MANDATORY) If the facility provides health care services, they are provided
by qualified health care personnel whose duties and responsibilities are
governed by written job descriptions that are on-file in the facility and are
approved by the health authority. If offenders are treated at the facility by
health care personnel other than a licensed provider, the care is provided
pursuant to written standing or direct orders by personnel authorized by law to
give such orders.
Comment: Job descriptions should include qualifications and specific duties and
responsibilities. Verification consists of copies of credentials or a letter confirming
credential status from the state licensing or certification body. Standing medical

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

orders are for the definitive treatment of identified conditions and for the on-site
emergency treatment of any person having such condition. Direct orders are those
written specifically for the treatment of one person’s particular condition.
Protocols: Written policy and procedures. Job descriptions. Standing orders.
Process Indicators: Verification of credentials or licensure. Documentation of
compliance with standing orders. Health record entries. Interviews.

4-4383
(2010 Supplement)

Revised January 2006. When institutions do not have qualified health care
staff, health-trained personnel coordinate the health delivery services in the
institution under the joint supervision of the responsible health authority and
warden or superintendent.
Comment: The health-trained staff member (who is other than a nurse, mid-level
practitioner, or emergency medical technician) may be full-time or part-time.
Coordination duties may include reviewing receiving screening forms for needed
follow-up, readying offenders and their records for sick call, and assisting in carrying
out orders regarding such matters as diets, housing, and work assignments.
Protocols: Written policy and procedures. Job description for health-trained
personnel.
Process Indicators: Health records. Observation. Interviews.

4-4383
(Ref. 3-4338)

When institutions do not have full-time, qualified health care personnel, a
health-trained staff member coordinates the health delivery services in the
institution under the joint supervision of the responsible health authority and
warden or superintendent.
Comment: The health-trained staff member (who is other than a nurse, mid-level
practitioner, or emergency medical technician) may be full-time or part-time.
Coordination duties may include reviewing receiving screening forms for needed
follow-up, readying offenders and their records for sick call, and assisting in carrying
out orders regarding such matters as diets, housing, and work assignments.
Protocols: Written policy and procedures. Job description for health-trained
personnel.
Process Indicators: Health records. Observation. Interviews.

Credentials
4-4384
(2010 Supplement)

Deleted January 2006.

4-4384
(Ref. 3-4334)

(MANDATORY) All professional staff comply with applicable state and federal
licensure, certification, or registration requirements. Verification of current
credentials and job descriptions are on file in the facility.
Comment: None.
Protocols: Written policy and procedure. Copies of licensure requirements.
Process Indicators: Personnel records. Documentation of licensure, certification, or
registration. Documentation of current credentials.

Employee Orientation

Page 115 of 175

Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
4-4385
(2010 Supplement)

Agreement Number 5600000770
Attachment 9
Amendment 7

Revised January 2006. All full-time health care staff who have offender
contact receive forty hours of training in addition to orientation training during
their first year of employment and forty hours of training each year thereafter.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Training records. Interviews.

4-4385
(Ref. 3-4082)

All health care staff who have offender contact receive 40 hours of training in
addition to orientation training during their first year of employment and 40
hours of training each year thereafter.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Training records. Interviews.

Employee Health
4-4386
(2010 Supplement)

Revised January 2006. All direct care staff are screened for tuberculosis
infection and disease prior to job assignment and periodically in accordance
with recommendations from applicable local, state, and federal public health
authorities.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Employee records. Interviews.

4-4386
(New)

All new direct care staff receive a test for tuberculosis prior to job assignment
and ongoing testing thereafter.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Employee records. Interviews.

4-4387
(2010 Supplement)

Revised January 2006. All direct care staff are offered the hepatitis B vaccine
series in accordance with the institution’s exposure control plan.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Employment records. Interviews.

4-4387
(New)

All direct care staff are offered the hepatitis B vaccine series.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Employment records. Interviews.

Emergency Plans

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ACA Standards
4-4388
(2010 Supplement)

Agreement Number 5600000770
Attachment 9
Amendment 7

Revised January 2006. (Mandatory) All health care staff in the facility are
trained in the implementation of the facility’s emergency plans. Health care
staff are included in facility emergency drills as applicable.

Comment: Emergency plans include those for fire, natural disaster, power outage,
hostage situation, riot, and other disturbances.
Protocols: Written policy and procedure. Facility-plan specifications. A schedule for
drills.
Process Indicators: Documentation of drills. Facility logs. Interviews.
4-4388
(Ref. 3-4208)

(MANDATORY) All health care personnel delivering health care in the facility
are trained in the implementation of the facility’s emergency plans. Health
care personnel are included in facility emergency drills, as applicable.
Comment: Emergency plans include those for fire, natural disaster, power outage,
hostage situation, riot, and other disturbances.
Protocols: Written policy and procedure. Facility-plan specifications. A schedule for
drills.
Process Indicators: Documentation of drills. Facility logs. Interviews.

Emergency Response
4-4389
(2010 Supplement)

Revised January 2006. (Mandatory) Designated correctional and all health
care staff are trained to respond to health-related situations within a fourminute response time. The training program is conducted on an annual basis
and is established by the responsible health authority in cooperation with the
facility or program administrator and includes instruction on the following:








recognition of signs and symptoms, and knowledge of action required
in potential emergency situations
administration of basic first aid
certification in cardiopulmonary resuscitation (CPR) in accordance
with the recommendations of the certifying health organization
methods of obtaining assistance
signs and symptoms of mental illness, violent behavior, and acute
chemical intoxication and withdrawal
procedures for patient transfers to appropriate medical facilities or
health care providers
suicide intervention

Comment: The facility administrator or designee may designate those correctional
officers and health care providers who have responsibility to respond to health care
emergencies. Staff not physically able to perform CPR are exempt from the
expected practice.
Protocols: Written policy and procedure. Lesson plans and curriculum.
Process Indicators: Verification of training. Records and certificates. Interviews.
4-4389
(Ref. 3-4351)

(MANDATORY) Correctional and health care personnel are trained to respond
to health-related situations within a four-minute response time. The training
program is conducted on an annual basis and is established by the
responsible health authority in cooperation with the facility or program
administrator and includes instruction on the following:

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ACA Standards








Agreement Number 5600000770
Attachment 9
Amendment 7

recognition of signs and symptoms, and knowledge of action that is
required in potential emergency situations
administration of basic first aid
certification in cardiopulmonary resuscitation (CPR) in accordance
with the recommendations of the certifying health organization
methods of obtaining assistance
signs and symptoms of mental illness, violent behavior, and acute
chemical intoxication and withdrawal
procedures for patient transfers to appropriate medical facilities or
health care providers
suicide intervention

Comment: The facility administrator or designee may designate those correctional
officers and health care providers who have responsibility to respond to health care
emergencies. Staff not physically able to perform CPR are exempt from the
expected practice.
Protocols: Written policy and procedure. Lesson plans and curriculum.
Process Indicators: Verification of training. Records and certificates. Interviews.

First Aid
4-4390
(2010 Supplement)

Revised August 2002. First aid kits are available in designated areas of the
facility based on need and an automatic external defibrillator is available for
use at the facility.
Comment: The availability and placement of first aid kits are determined by the
designated health authority in conjunction with the facility administrator. The health
authority approves the contents, number, location, and procedures for monthly
inspection of the kit(s) and develops written procedures for the use of the kits by
nonmedical staff.
Protocols: Written policy/procedure.
Process Indicators: List of first aid contents. Documentation of inspections.

4-4390
(Ref. 3-4352)

First aid kits are available in designated areas of the facility based on need.
Comment: The availability and placement of first aid kits are determined by the
designated health authority in conjunction with the facility administrator. The health
authority approves the contents, number, location, and procedures for monthly
inspection of the kit(s) and develops written procedures for the use of the kits by
nonmedical staff.
Protocols: Written policy and procedure.
Process Indicators: List of first aid kit contents. Documentation of inspections.

Volunteers
4-4391
(New)

If volunteers are used in the delivery of health care, there is a documented
system for selection, training, staff supervision, facility orientation, and a
definition of tasks, responsibilities, and authority that is approved by the
health authority. Volunteers may only perform duties consistent with their
credentials and training. Volunteers agree in writing to abide by all facility
policies, including those relating to the security and confidentiality of

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information.

Agreement Number 5600000770
Attachment 9
Amendment 7

Comment: Facility orientation should include topics such as: fire, safety, security,
and contraband.
Protocols: Written policy and procedure. Volunteer agreement forms.
Process Indicators: Signed agreement forms. Observation. Interviews with
volunteers.

Students and/or Interns
4-4392
(Ref. 3-4339)

Any students, interns, or residents delivering health care in the facility, as part
of a formal training program, work under staff supervision, commensurate with
their level of training. There is a written agreement between the facility and
training, or educational facility that covers the scope of work, length of
agreement, and any legal or liability issues. Students or interns agree in
writing to abide by all facility policies, including those relating to the security
and confidentiality of information.
Comment: None.
Protocols: Written policy and procedure. Written agreements or contracts.
Process Indicators: Signed agreements and contracts. Observation. Interviews.

Offender Assistants
4-4393
(2010 Supplement)

Revised August 2008. Unless prohibited by state law, offenders (under staff
supervision) may perform familial duties commensurate with their level of
training. These duties may include:






peer support and education
hospice activities
assist impaired offenders on a one-on-one basis with activities of daily
living
suicide companion or buddy if qualified and trained through a formal
program that is part of suicide prevention plan
handling dental instruments for the purpose of sanitizing and cleaning,
when directly supervised and in compliance with applicable tool
control policies, while in a dental assistants training program certified
by the state department of education or other comparable appropriate
authority

Offenders are not to be used for the following duties:






performing direct patient care services
scheduling health care appointments
determining access of other offenders to health care services
handling or having access to surgical instruments, syringes, needles,
medications, or health records
operating diagnostic or therapeutic equipment except under direct
supervision (by specially trained staff) in a vocational training program

Comment: No offender, or group of offenders, is given control or authority over other
offenders in the health care area.

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ACA Standards

Protocols: Written policy and procedure.
Process Indicators: Observation. Interviews.

4-4393
(Ref. 3-4340)

Agreement Number 5600000770
Attachment 9
Amendment 7

Unless prohibited by state law, offenders (under staff supervision) may
perform familial duties commensurate with their level of training. These duties
may include the following:





peer support and education
hospice activities
assisting impaired offenders on a one-on-one basis with activities of
daily living
serving as a suicide companion or buddy if qualified and trained
through a formal program that is part of a suicide prevention plan

Offenders are not to be used for the following duties:






performing direct patient care services
scheduling health care appointments
determining access of other offenders to health care services
handling or having access to surgical instruments, syringes, needles,
medications, or health records
operating diagnostic or therapeutic equipment except under direct
supervision (by specially trained staff) in a vocational training program

Comment: No offender or group of offenders is given control or authority over other
offenders in the health care area.
Protocols: Written policy and procedure.
Process Indicators: Observation. Interviews.

PERFORMANCE STANDARD: OFFENDER TREATMENT
3A. Offenders are treated humanely, fairly, and in accordance with established policy and all
applicable laws.
OUTCOME MEASURES
1. Number of offender lawsuits related to unfair treatment or rights violation found in favor of the offender
in the past 12 months divided by the number of offender lawsuits related to unfair treatment or rights
violation in the past 12 months.
2. Number of state court malpractice or torte liability cases found in favor of the offender in the past 12
months divided by the number of state court malpractice or torte liability cases in the past 12 months.

EXPECTED PRACTICES
Grievances
4-4394
(New)

There is a system for resolving offender grievances relating to health care
concerns.
Comment: None.
Protocols: Written policy and procedures. Grievance reporting forms.
Process Indicators: Grievance records. Interviews.

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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

Notification
4-4395
(Ref. 3-4374)

There is a process by which the individuals designated by the offender are
notified in case of serious illness, serious injury, or death, unless security
reasons dictate otherwise. If possible, permission for notification is obtained
from the offender.
Comment: The persons to be notified should be designated in writing as part of the
facility’s admissions procedures. Whenever possible, the facility should obtain the
offender’s consent prior to notifying any designated individuals.
Protocols: Written policy and procedure.
Process Indicators: Notification records.

Confidentiality
4-4396
(2010 Supplement)

Revised January 2006. (Mandatory) The principle of confidentiality applies to
offender health records and information about offender health status.









The active health record is maintained separately from the confinement
case record.
Access to the health record is in accordance with state and federal law.
To protect and preserve the integrity of the facility, the health authority
shares with the superintendent/warden information regarding an
offender’s medical management.
The circumstances are specified when correctional staff should be
advised of an offender’s health status.
Only that information
necessary to preserve the health and safety of an offender, other
offenders, volunteers/visitors, or the correctional staff is provided.
Policy
determines
how
information
is
provided
to
correctional/classification staff/volunteers/visitors to address the
medical needs of the offender as it relates to housing, program
placement, security, and transport.
The release of health information complies with the Health Insurance
Portability and Accountability Act (HIPPA), where applicable, in a
correctional setting.

Comment: The principle of confidentiality protects offender patients from disclosure
of confidences entrusted to a health care provider during the course of treatment.
Protocols: Policy and procedure.
Process Indicators: Observation. Interviews.
4-4396
(Ref. 3-4377)

(MANDATORY) The principle of confidentiality applies to an offender’s health
records and information about an offender’s health status.





The active health record is maintained separately from the confinement
case record.
Access to the health record is in accordance with state and federal law.
To protect and preserve the integrity of the facility, the health authority
shares with the superintendent or the warden information regarding an
offender’s medical management.
The circumstances are specified when correctional staff should be

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

Agreement Number 5600000770
Attachment 9
Amendment 7

advised of an offender’s health status.
Only that information
necessary to preserve the health and safety of an offender, other
offenders, volunteers, visitors, or the correctional staff is provided.
Policy determines how information is provided to correctional and
classification staff, volunteers, and visitors to address the medical
needs of the offender as it relates to housing, program placement,
security, and transport.

Comment: The principle of confidentiality protects offender patients from disclosure
of confidences entrusted to a health care provider during the course of treatment.
Protocols: Policy and procedure.
Process Indicators: Observation. Interviews.

Informed Consent
4-4397
(Ref. 3-4372)

(MANDATORY) Informed consent standards in the jurisdiction are observed
and documented for offender care in a language understood by the offender.
In the case of minors, the informed consent of a parent, guardian, or a legal
custodian applies when required by law. When health care is rendered against
the patient’s will, it is in accordance with state and federal laws and
regulations. Otherwise, any offender may refuse (in writing) medical, dental,
and mental health care.
Comment: If the offender refuses to sign the refusal form, it must be signed by at
least two witnesses. The form must then be sent to the medical department and
reviewed by a qualified health care professional. If there is a concern about
decision-making capacity, and evaluation should be done, especially if the refusal is
for critical or acute care.
Protocols: Written policy and procedure. Consent or authorization forms.
Process Indicators: Health records. Completed consent forms. Interviews.

Elective Procedures
4-4398
(Ref. 3-4359)

There are guidelines that govern elective procedures for surgery for offenders.
Comment: Health care staff should have a procedure for decisions on elective
surgery needed to correct a substantial functional deficit or if an existing pathological
process threatens the well-being of the inmate over a period of time.
Protocols: Written policy and procedure.
Process Indicators: Health records. Interviews.

Special Needs
4-4399
(2010 Supplement)

Revised January 2006. There is consultation between the facility and program
administrator (or a designee) and the responsible health care practitioner (or
designee) prior to taking action regarding chronically ill, physically disabled,
geriatric, seriously mentally ill, or developmentally disabled offenders in the
following areas:




housing assignments
program assignments
disciplinary measures

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

transfers to other facilities

Agreement Number 5600000770
Attachment 9
Amendment 7

When immediate action is required, consultation to review the appropriateness
of the action occurs as soon as possible, but no later than seventy-two hours.
Comment: Maximum cooperation between custody personnel and health care
providers is essential so that both groups are aware of decisions and movements
regarding mentally ill and developmentally disabled offenders.
Protocols: Written policy and procedure.
Process Indicators: Documentation of consultation between facility or program
administrator and clinician. Health records. Interviews.
4-4399
(Ref. 3-4369)

There is consultation between the facility and program administrator (or a
designee) and the responsible clinician (or designee) prior to taking action
regarding chronically ill, physically disabled, geriatric, seriously mentally ill, or
developmentally disabled offenders in the following areas:





housing assignments
program assignments
disciplinary measures
transfers to other facilities

When immediate action is required, consultation to review the appropriateness
of the action occurs as soon as possible, but no later than 72 hours.
Comment: Maximum cooperation between custody personnel and health care
providers is essential so that both groups are aware of decisions and movements
regarding mentally ill and developmentally disabled offenders.
Protocols: Written policy and procedure.
Process Indicators: Documentation of consultation between facility or program
administrator and clinician. Health records. Interviews.

Segregation
4-4400
(2010 Supplement)

Revised January 2006. (Mandatory) When an offender is transferred to
segregation, health care staff will be informed immediately and will provide a
screening and review as indicated by the protocols established by the health
authority. Unless medical attention is needed more frequently, each offender
in segregation receives a daily visit from a qualified health care professional.
The visit ensures that offenders have access to the health care system. The
presence of a health care provider in segregation is announced and recorded.
The frequency of physician visits to segregation units is determined by the
health authority.
Comment: Health care providers’ visits are intended to be screening rounds and are
not meant to be clinical encounters. Those offenders who request “sick call” are
evaluated by a health care provider who determines the appropriate setting for
further medical attention or examination. Health care providers may request that an
offender be removed from a cell or housing area for medical attention or
examination. All “sick call” encounters are documented in the offender’s health
record.
Protocols: Written policy and procedure.

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Agreement Number 5600000770
Attachment 9
Amendment 7

Process Indicators: Health records. Segregation logs. Duty assignment roster for
health care providers. Observation. Interviews.

4-4400
(Ref. 3-4246)

(MANDATORY) When an offender is transferred to segregation, health care
personnel will be informed immediately and will provide assessment and
review as indicated by the protocols established by the health authority.
Unless medical attention is needed more frequently, each offender in
segregation receives a daily visit from a health care provider. The visit
ensures that offenders have access to the health care system. The presence
of a health care provider in segregation is announced and recorded. The
frequency of physician visits to segregation units is determined by the health
authority.
Comment: Health care providers’ visits are intended to be screening rounds and are
not meant to be clinical encounters. Those offenders who request “sick call” are
evaluated by a health care provider who determines the appropriate setting for
further medical attention or examination. Health care providers may request that an
offender be removed from a cell or housing area for medical attention or
examination. All “sick call” encounters are documented in the offender’s health
record.
Protocols: Written policy and procedure.
Process Indicators: Health records. Segregation logs. Duty assignment roster for
health care providers. Observation. Interviews.

Involuntary Admission
4-4401
(Ref. 3-4342-1)

(MANDATORY) The involuntary administration of psychotropic medication(s)
to an offender is governed by applicable laws and regulations of the
jurisdiction. When administered, the following conditions must be met:






authorization is by a physician who specifies the duration of therapy
less restrictive intervention options have been exercised without
success as determined by the physician or psychiatrist
details are specified about why, when, where, and how the medication
is to be administered
monitoring occurs for adverse reactions and side effects
treatment plan goals are prepared for less restrictive treatment
alternatives as soon as possible.

Comment: None.
Protocols: Written policy and procedure. Laws and regulations.
Process Indicators: A health record. Interviews.

Research
4-4402
(2010 Supplement)

Revised January 2006. (Mandatory) The use of offenders for medical,
pharmaceutical, or cosmetic experiments is prohibited.
This does not
preclude offender participation in clinical trials that are approved by an
institutional review board based on his/her need for a specific medical
intervention. Institutions electing to perform research will be in compliance
with all state and federal guidelines.
Comment:

Experimental programs include aversive conditioning, psychosurgery,

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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

and the application of cosmetic substances being tested prior to sale to the general
public. An individual’s treatment with a new medical procedure by his or her
physician should be undertaken only after the offender has received a full
explanation of the positive and negative features of the treatment and only with
informed consent.
Protocols: Written policy and procedure. Laws and regulations.
Process Indicators: Health records. Interviews.

4-4402
(Ref. 3-4373)

(MANDATORY) The use of offenders for medical, pharmaceutical, or cosmetic
experiments is prohibited. This does not preclude individual treatment of an
offender based on his or her need for a specific medical procedure that is not
generally available. Institutions electing to perform research will be in
compliance with all state and federal guidelines.
Comment: Experimental programs include aversive conditioning, psychosurgery,
and the application of cosmetic substances being tested prior to sale to the general
public. An individual’s treatment with a new medical procedure by his or her
physician should be undertaken only after the offender has received a full
explanation of the positive and negative features of the treatment and only with
informed consent.
Protocols: Written policy and procedure. Laws and regulations.
Process Indicators: Health records. Interviews.

Privacy
4-4403
(New)

Health care encounters, including medical and mental health interviews,
examinations, and procedures, should be conducted in a setting that respects
the offender’s privacy.
Comment: Female offenders should be provided a female escort for encounters with
a male health care provider.
Protocols: Written policy and procedure. Facility diagram.
Process Indicators: Observation. Interviews.

4-4403-1
(2010 Supplement)

Added January 2006. If Tele-health is used for patient encounters, the plan
includes policies for:





patient consent
confidentiality/protected health information
documentation
integration of the report of the consultation into the primary health
care record

Comment: None.
Protocols: Written policy/procedure. Tele-health appointment logs.
Process Indicators: Patient consent form for Tele-health; health records; interviews.

Transfer
4-4404
(2010 Supplement)

Revised January 2005. A transfer that results in an offender’s placement in a
non-correctional facility or in a special unit within the facility or agency,

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Agreement Number 5600000770
Attachment 9
Amendment 7

specifically designated for the care and treatment of the severely mentally ill or
developmentally disabled, follows due process procedures as specified by
federal, state, and local law prior to the move being effected. In emergency
situations, a hearing is held as soon as possible after the transfer.
Comment: The following are generally accepted as due process procedures: written
notice to the offender of the proposed transfer; a hearing for the offender, with the
right (unless limited for good cause) to call and cross examine witnesses; a decision
by an independent official not involved in treatment of the offender, with a statement
of the reasons for transfer; and an independent adviser to assist the offender facing
transfer.
Protocols: Written policy and procedure. State and local laws.
Process Indicators: Health records. Transfer logs. Interviews.

4-4404
(Ref. 3-4368)

A transfer that results in an offender’s placement in a noncorrectional facility
or in a special unit within the facility, specifically designated for the care and
treatment of the severely mentally ill or developmentally disabled, follows due
process procedures as specified by federal, state, and local law prior to the
move being effected. In emergency situations, a hearing is held as soon as
possible after the transfer.
Comment: The following are generally accepted as due process procedures: written
notice to the offender of the proposed transfer; a hearing for the offender, with the
right (unless limited for good cause) to call and cross-examine witnesses; a decision
by an independent official not involved in treatment of the offender, with a statement
of the reasons for the transfer; and an independent adviser to assist the offender
facing transfer.
Protocols: Written policy and procedure. State and local law.
Process Indicators: Health records. Transfer logs. Interviews.

Use of Restraints
4-4405
(2010 Supplement)

Revised January 2006. (Mandatory) The use of restraints for medical and
psychiatric purposes is defined, at a minimum by the following:








conditions under which restraints may be applied
types of restraints to be applied
identification of a qualified medical or mental health care practitioner
who may authorize the use of restraints after reaching the conclusion
that less intrusive measures would not be successful
monitoring procedures for offenders in restraints
length of time restraints are to be applied
documentation of efforts for less restrictive treatment alternatives as
soon as possible
an after-incident review

Comment: Written policy should identify the authorization needed and when, where,
and how restraints may be used and for how long.
Protocols: Written policy and procedure. Monitoring form.
Process Indicators: Health records. Restraint logs. Completed monitoring forms.
List of providers authorized to order restraints. Interviews.

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ACA Standards
4-4405
(Ref. 3-4362)

Agreement Number 5600000770
Attachment 9
Amendment 7

(MANDATORY) The use of restraints for medical and psychiatric purposes is
defined, at a minimum, by the following:








conditions under which restraints may be applied
types of restraints to be applied
identification of a qualified medical or mental health professional who
may authorize the use of restraints after reaching the conclusion that
less intrusive measures would not be successful
monitoring procedures for offenders in restraints
length of time restraints are to be applied
documentation of efforts for less restrictive treatment alternatives as
soon as possible
an after-incident review

Comment: Written policy should identify the authorization needed and when, where,
and how restraints may be used and for how long.
Protocols: Written policy and procedure. Monitoring form.
Process Indicators: Health records. Restraint logs. Completed monitoring forms.
List of providers authorized to order restraints. Interviews.

Sexual Assault
4-4406
(New)

Victims of sexual assault are referred under appropriate security provisions to
a community facility for treatment and gathering of evidence, or if these
procedures are performed in-house, the following guidelines are used:







A history is taken by health care professionals who conduct an
examination to document the extent of physical injury and to determine
if referral to another medical facility is indicated. With the victim’s
consent, the examination includes the collection of evidence from the
victim, using a kit approved by the appropriate authority.
Provision is made for testing of sexually transmitted diseases (for
example, HIV, gonorrhea, hepatitis, and other diseases) and
counseling, as appropriate.
Prophylactic treatment and follow-up for sexually transmitted diseases
are offered to all victims, as appropriate.
Following the physical examination, there is availability of an
evaluation by a mental health professional to assess the need for crisis
intervention counseling and long-term follow-up.
A report is made to the facility or program administrator or designee to
assure separation of the victim from his or her assailant.

Comment: None.
Protocols: Written policy and procedure. Reporting form. Evidence collecting kit.
Process Indicators: Health records. Incident reports. Interviews.

Exercise
4-4407
(New)

Exercise areas are available to meet exercise and physical therapy
requirements of individual offender treatment plans.
Comment: None.

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Agreement Number 5600000770
Attachment 9
Amendment 7

Protocols:
Written policy and procedure.
Facility diagrams and design
measurements.
Process Indicators:
Documentation of opportunity for exercise.
Movement
schedules and logs. Observation. Interviews.

PERFORMANCE STANDARD: PERFORMANCE IMPROVEMENT
4A. Health care services are evaluated and continually improved.
OUTCOME MEASURES
1. Number of problems identified by internal review that were corrected in the past 12 months divided by
the number of problems identified by internal review in the past 12 months.
2. The vacancy rate for full-time equivalents for each category within the health care staff, physicians,
nursing, midlevel practitioners, administrative support, and ancillary staff, in the past 12 months.

EXPECTED PRACTICES
Quarterly Meetings
4-4408
(Ref. 3-4328)

The health authority meets with the facility or program administrator at least
quarterly and submits quarterly reports on the health services system and
health environment, and submits plans to address issues raised.
Comment: Minutes of the quarterly administrative meetings may be used to meet
the requirements for a quarterly report. The report should address topics such as
the effectiveness of the health care system, a description of any environmental
factors that need improvement, changes effected since the last reporting period, and,
if needed, recommended corrective action. The health authority should report
immediately any condition that poses a danger to staff or offender health and safety.
Protocols: Written policy and procedure.
Process Indicators: Documentation of meetings. Minutes and reports. Interviews.

Statistical Reports
4-4409
(2010 Supplement)

Deleted January 2006.

4-4409
(Ref. 3-4328)

Quarterly reports are prepared and include, at a minimum, the use of
healthcare services by category, referrals to specialists, prescriptions written,
laboratory and x-ray tests completed, infirmary admissions (if applicable),
onsite or off-site hospital admissions, serious injuries or illnesses, deaths, and
off-site transports.
Comment: Statistical reports assist in the monitoring of health care services and can
be used to help justify the allocation of resources.
Protocols: Written policy and procedure. Statistical report form.
Process Indicators: Documentation of monthly statistical reports.

Internal Review and Quality Assurance
4-4410

(MANDATORY) A system of documented internal review will be developed and

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
(New)

Agreement Number 5600000770
Attachment 9
Amendment 7

implemented by the health authority. The necessary elements of the system
will include:













participating in a multidisciplinary quality improvement committee
collecting, trending, and analyzing of data combined with planning,
intervening, and reassessing
evaluating defined data, which will result in more effective access,
improved quality of care, and better utilization of resources
onsite monitoring of health service outcomes on a regular basis
through:
a) chart reviews by the responsible physician or his or her designee,
including investigation of complaints and quality of health records
b) review of prescribing practices and administration of medication
practices
c) systematic investigation of complaints and grievances
d) monitoring of corrective action plans
reviewing all deaths in custody, suicides or suicide attempts, and
illness outbreaks
implementing measures to address and resolve important problems
and concerns identified (corrective action plans)
reevaluating problems or concerns to determine objectively whether
the corrective measures have achieved and sustained the desired
results
incorporating findings of internal review activities into the
organization’s educational and training activities
maintaining appropriate records (in other words, meeting minutes) of
internal review activities
issuing a quarterly report to be provided to the health services
administrator and facility or program administrator of the findings of
internal review activities
requiring a provision that records of internal review activities comply
with legal requirements on confidentiality of records

Comment: Reports can be facilitated by regular participation of the facility or
program administrator, health administrator, and responsible physician. Consider
having a physician as the supervisor of the program.
Protocols: Written policy and procedure. Record review format.
Process Indicators:
Documentation of completed record review.
improvement committee minutes. Quarterly report. Interviews.

Quality

Peer Review
4-4411
(2010 Supplement)

Revised January 2006. (Mandatory) A documented peer review program for all
health care practitioners and a documented external peer review program will
be utilized for all physicians, psychologists, and dentists every two years.
Comment: The credentialing and privileging process is an integral part of assuring
the competence of the providers for the inmate patients they treat. This should be
routine every two years with an ability to have an immediate review if problems of
practice arise. Immediate reviews are serious and only should be permitted by a
careful decision of the most senior physician responsible for the system or institution.
A mechanism for patient care complaints, observations by other health services
providers, security, or other nonmedical providers should be established so that the
responsible physician can call a panel of independent physicians to review the

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Corrections Corporation of America
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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

practice and practice patterns of the physician on whom the complaint(s) has (have)
been made. The investigation and its findings are confidential in most states by
statute. The responsible physician should receive the report, take indicated action,
and be prepared to demonstrate to the auditors, within the confines of confidentiality,
the process, process indicators, and the actions available (for example, termination
of the physician, required education in an area, prohibition against seeing a type of
disease entity without another physician, and so forth). It is important that the
auditors appreciate that the process is real and meaningful and that peer review is
not simply a paper trail without substance.
Protocols: Written policy and procedure. Written agreement or contract.
Process Indicators: Signed agreement or contract. Peer review reports.

4-4411
(New)

(MANDATORY) A documented external peer review program for physicians,
mental health professionals, and dentists is used by the facility every two
years.
Comment: The credentialing and privileging process is an integral part of assuring
the competence of the providers for the inmate patients they treat. This should be
routine every two years with an ability to have an immediate review if problems of
practice arise. Immediate reviews are serious and only should be permitted by a
careful decision of the most senior physician responsible for the system or institution.
A mechanism for patient care complaints, observations by other health services
providers, security, or other nonmedical providers should be established so that the
responsible physician can call a panel or independent physicians to review the
practice and practice patterns of the physician on whom the complaint(s) has (have)
been made. The investigation and its findings are confidential in most states by
statute. The responsible physician should receive the report, take indicated action,
and be prepared to demonstrate to the auditors, within the confines of confidentiality,
the process, process indicators, and the actions available (for example, termination
of the physician, required education in an area, prohibition against seeing a type of
disease entity without another physician, and so forth). It is important that the
auditors appreciate that the process is real and meaningful and that peer review is
not simply a paper trail without substance.
Protocols: Written policy and procedure. Written agreement or contract.
Process Indicators: Signed agreement or contract. Peer review reports.

Staffing
4-4412
(2010 Supplement)

Revised January 2006. The facility uses a health care setting analysis to
determine the essential positions needed to perform the health services
mission and provide the defined scope of services. A staffing plan is
developed and implemented from this analysis. There is an annual review of
the staffing plan by the health authority to determine if the number and type of
staff is adequate.
Comment: Adequate staffing is based on variables such as facility size and
configuration, locations, and offender type. The staffing analysis is used to
determine the types and numbers of staff needed to provide a defined scope of
services (medical, dental, mental health, and infirmary).
Protocols: Written policy and procedure.
Process Indicators: Documentation of annual staffing plan review. Staffing analysis
plan. Interviews.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
4-4412
(New)

Agreement Number 5600000770
Attachment 9
Amendment 7

The facility uses a staffing analysis to determine the essential positions
needed to perform the health services mission and provide the defined scope
of services. A staffing plan is developed and implemented from this analysis.
There is an annual review of the staffing plan by the health authority to
determine if the number and type of staff is adequate.
Comment: Adequate staffing is based on variables such as facility size and
configuration, location, and offender type. The staffing analysis is used to determine
the types and numbers of staff needed to provide a defined scope of services
(medical, dental, mental health, and infirmary).
Protocols: Written policy and procedure.
Process Indicators: Documentation of annual staffing plan review. Staffing analysis
plan. Interviews.

Health Records
4-4413
(Ref. 3-4376)

The health record file (paper and/or electronic) is complete and contains the
following items filed in a uniform manner:

















patient identification on each sheet
a completed receiving screening form
health appraisal data forms
a problem summary list
a record of immunizations
all findings, diagnoses, treatments, and dispositions
a record of prescribed medications and their administration records, if
applicable
laboratory, x-ray, and diagnostic studies
the place, date, and time of health encounters
health service reports (for example, emergency department, dental,
mental health, telemedicine, or other consultations)
an individualized treatment plan, when applicable
progress reports
a discharge summary of hospitalization and other termination
summaries
a legible signature (includes electronic) and the title of the provider
(may use ink, type, or stamp under the signature)
consent and refusal forms
release of information forms

The method of recording entries in the records, the form and format of the
records, and the procedures for their maintenance and safekeeping are
approved by the health authority. The health record is made available to, and
is used for documentation by, all practitioners.
Comment: The receiving screening form should become a part of the record at the
time of the first health encounter.
Protocols: Policy and procedure. Health record forms.
Process Indicators: Health records. Completed forms. Interviews.

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Corrections Corporation of America
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ACA Standards
Transfers
4-4414
(2010 Supplement)

Revised January 2006.
following:






Agreement Number 5600000770
Attachment 9
Amendment 7

Non-emergency offender transfers require the

health record confidentiality to be maintained
summaries, originals, or copies of the health record accompany the
offender to the receiving facility. Health conditions, treatments and
allergies should be included in the record
determination of suitability for travel based on medical evaluation, with
particular attention given to communicable disease clearance
written instructions regarding medication or health interventions
required en route should be provided to transporting officers separate
from the medical record
specific precautions (including standard) to be taken by transportation
officers (for example, masks or gloves)

A medical summary sheet is required for all inter- and intra-system transfers to
maintain the provision of continuity of care. Information included does not
require a release of information form.
Inmates confined within a correctional complex with consolidated medical
services do not require health screening for intra-system transfers.
Comment: Transfers may be permanent or temporary (for consultative or diagnostic
services).
Protocols: Written policy and procedures. Transfer and transportation form(s).
Process Indicators: Health records. Completed forms. Observations. Interviews.
4-4414
(Ref. 3-4378)

Nonemergency offender transfers require the following:






Health record confidentiality is to be maintained.
Summaries, originals, or copies of the health record accompany the
offender to the receiving facility. Health conditions, treatments, and
allergies should be included in the record.
Determination of suitability for travel based on medical evaluation is
made, with particular attention given to communicable disease
clearance.
Written instructions regarding medication or health interventions
required en route should be provided to transporting officers separate
from the medical record.
Specific precautions (including standard) are to be taken by
transportation officers (for example, masks or gloves).

A medical summary sheet is required for all inter- and intrasystem transfers to
maintain the provision of continuity of care. Information included does not
require a release of information form.
Comment: Transfers may be permanent of temporary (for consultative or diagnostic
services).
Protocols: Written policy and procedures. Transfer and transportation form(s).
Process Indicators: Health records. Completed forms. Observations. Interviews.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
Inactive Records
4-4415
(Ref. 3-4379)

Agreement Number 5600000770
Attachment 9
Amendment 7

Inactive health records files are retained as permanent records in compliance
with the legal requirements of the jurisdiction. Health record information is
transmitted to specific and designated physicians or medical facilities in the
community upon the written request or authorization of the offender.
Comment: Requirements for records on juveniles may vary from those for adults.
Protocols: Written policy and procedures. Offender authorization forms.
Process Indicators: Completed facility request and offender authorization forms.

PERFORMANCE STANDARD: OFFENDER HYGIENE
5A. Appropriate services and supplies are provided to promote the maintenance of acceptable
levels of offender hygiene.
OUTCOME MEASURES
1. Number of offenders diagnosed with hygiene-related conditions (scabies, lice, or fungal infections) in
the past 12 months divided by the average daily population in the past 12 months.
2. Number of offender grievances related to hygiene found in favor of the offender in the past 12 months
divided by the number of offender grievances related to hygiene in the past 12 months.
3. Number of offender lawsuits related to hygiene found in favor of the offender in the past 12 months
divided by the number of offender lawsuits related to hygiene in the past 12 months.

EXPECTED PRACTICES
Clothing
4-4416
(New)

When standard issued clothing presents a security or medical risk (for
example, suicide observation), provisions are made to supply the offender with
a security garment that will promote offender safety in a way that is designed
to prevent humiliation and degradation.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Documentation of security garment use. Interviews.

Bathing
4-4417
(New)

There are sufficient bathing facilities in the medical housing unit and infirmary
area to allow offenders housed there to bathe daily.
Comment: At least one bathing facility should be configured and equipped to
accommodate offenders who have physical impairment or who need assistance to
bathe.
Protocols: Policy and procedure. Facility design diagram.
Process Indicators: Number of bathing facilities. Observation. Interviews.

Washbasins

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
4-4418
(New)

Agreement Number 5600000770
Attachment 9
Amendment 7

Offenders have access to operate washbasins with hot and cold running water
in the medical housing unit or infirmary area at a minimum ratio of one basin
for every 12 occupants, unless state or local building or health codes specify a
different ratio.
Comment: None.
Protocols: Policy and procedure. Facility design diagram.
Process Indicators: Ratio documentation. Observation.

Toilets
4-4419
(New)

Offenders have access to toilets and hand-washing facilities 24 hours per day
and are able to use toilet facilities without staff assistance when they are
confined in the medical housing unit or in the infirmary area. Toilets are
provided at a minimum ratio of 1 for every 12 offenders in male facilities and 1
for every 8 offenders in female facilities. Urinals may be substituted for up to
one-half of the toilets in male facilities. All housing units with three or more
offenders have a minimum of 2 toilets. These ratios apply unless state or local
building or health codes specify a different ratio.
Comment: The standard ensures the availability of toilets and requires a measure of
privacy and control for users. At the same time, the standard provides flexibility for
designers and managers, who have increased options for “dry” cells if toilet facilities
are accessible by other means (for example, pushbutton locks on cells for use during
night hours). Creative design approaches may increase privacy and decrease
management problems associated with congregate facilities.
Protocols: Policy and procedure. Facility design diagrams.
Process Indicators: Documentation of ratio. Observation.

PERFORMANCE STANDARD: SAFETY AND SANITATION
6A. The facility or program is safe and sanitary.
OUTCOME MEASURES
1. Number of fire code violations corrected in the past 12 months divided by the number of fire code
violations cited by the jurisdictional authority in the past 12 months.
2. Number of offender injuries resulting from fires requiring medical treatment in the past 12 months
divided by the average daily population in the past 12 months.
3. Number of offender injuries (other than by fire) requiring medical treatment in a 12-month period
divided by the average daily population of offenders in the past 12 months.
4. Number of staff injuries resulting from fires requiring medical treatment in a 12-month period divided by
the average daily population of staff in a 12-month period.
5. Number of staff injuries (other than fire) requiring medical treatment in a 12-month period divided by the
average daily population of staff.
6. Number of offender lawsuits related to safety or sanitation found in favor of the offender in the past 12
months divided by the number of offender lawsuits related to safety or sanitation in the past 12 months.
7. Number of assaults – offender against offender, offender against staff – in the past 12 months divided
by the average daily population in the past 12 months.
8. Number of lost key incidents in the past 12 months.
9. Number of health code violations corrected in the past 12 months divided by the number of health code
violations in the past 12 months.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
EXPECTED PRACTICES

Agreement Number 5600000770
Attachment 9
Amendment 7

Injury Prevention
4-4420
(New)

There is a written plan to address offender and staff injury prevention. The
plan is based on an analysis of the facility’s injury experience and includes
methods for identification of problems and preventive or corrective measures.
Comment: Offender injuries may be intentional or unintentional.
Protocols: Written policy and procedure. Injury or incident report form.
Process Indicators: Documentation of injury analysis. Completed injury or incident
reports and investigations. Health record entries. Interviews.

Medical and Dental Instruments
4-4421
(2010 Supplement)

Deleted January 2006.

4-4421
(Ref. 3-4188)

(MANDATORY) Medical and dental instruments and supplies (syringes,
needles, and other sharps) are controlled and inventoried.
Comment: None.
Protocols: Written policy and procedure. Inventory forms.
Process Indicators: Inventory logs and forms. Observation. Interviews.

PERFORMANCE STANDARD: GENERAL ADMINISTRATION
7A. The program is administered efficiently and responsibly.
OUTCOME MEASURES

None.
EXPECTED PRACTICES
Goals and Objectives
4-4422
(New)

The medical program has established measurable goals and objectives that
are reviewed at least annually and updated, as needed.
Comment: None.
Protocols: Written policy and procedure. Written long-range goals and policies.
Format for periodic review and reporting. Bylaws and constitution. Budget and
planning documents. Administrative manual.
Process Indicators: An annual report. Board meeting minutes. Documentation of
an annual review. Monthly and quarterly reports.

4-4423
(New)

There is an internal system for assessing the achievement of goals and
objectives and that documents findings. Program changes are implemented,
as necessary, in response to findings.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

Comment: Operations and programs should be implemented as outlined in the
policies and procedures. An audit system providing timely and periodic assessment
of the various agency operations will reveal the degree of compliance. The internal
administrative audit should exist apart from any external or continuing audit
conducted by other agencies.

Protocols: Written policy and procedure. Internal monitoring system and forms.
Inspection forms. Copies of statutes.
Process Indicators: Inspection or internal audit reports. Documentation of corrective
actions taken.
4-4424
(2010 Supplement)

Revised August 2003. Each policy, procedure, and program in the health care
delivery system is reviewed at least annually by the appropriate health care
authority and revised, if necessary.
Comment: None.
Protocols: Written policy/procedure.
Process Indicators: Documentation of annual review.

4-4424
(Ref. 3-4329)

Each policy, procedure, and program in the health care delivery system is
reviewed at least annually by the appropriate health care authority and revised,
if necessary. Each document bears the date of the most recent review or
revision and the signature of the reviewer.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Documentation of annual review.

Offender’s Death
4-4425
(Ref. 3-4375)

Authorities having jurisdiction are promptly notified of an offender’s death.
Procedures specify and govern the actions to be taken in the event of the
death of an offender.
Comment: The medical examiner or coroner should be notified of the offender’s
death immediately. A postmortem examination should be performed if the cause of
death is unknown, if the death occurred under suspicious circumstances, or if the
offender was not under current medical care.
Protocols: Written policy and procedure.
Process Indicators: Documentation of actions taken.

Physical Plant
4-4426
(2010 Supplement)

Revised January 2006. Adequate space is provided for administrative, direct
care, professional, and clerical staff. This space includes conference areas,
storage room for records, a public lobby, and toilet facilities.

4-4426
(New)

Adequate space is provided for administrative, direct care, professional, and
clerical staff. This space includes conference areas, a storage room for
records, and toilet facilities.
Comment: None.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

Protocols: Written policy and procedure. Program plans and specifications.
Process Indicators: Observation.
4-4427
(Ref. 3-4333)

Equipment, supplies and materials for health services are provided and
maintained as determined by the health authority.
Comment: The type of equipment will depend on the level of health care provided in
the institution. Equipment should be checked and tested periodically and secured
from inmate access.
Protocols: Written policy and procedure.
Process Indicators: An equipment checklist. Inventory records.

Section F: Social Services
Principle: The institution makes available the professional services necessary to meet the
identified needs of inmates. Such services may include individual and family
counseling, family planning, and parent education, and programs for inmates with
drug and alcohol addiction problems.
Scope of Services
4-4428
(Ref. 3-4380)

There is a social service program that provides a range of resources
appropriate to the needs of inmates, including individual and family
counseling, family planning, and parental education, and community services.
Comment: Social services provide guidance and professional assistance to inmates
with family and personal problems; some services may be provided through
contractual arrangements with community agencies.

4-4429
(2010 Supplement)

Revised August 2002.
Written policy, procedure, and practice prohibit
discrimination on the basis of disability in the provision of services, programs,
and activities administered for program beneficiaries and participants.
Comment: Services, programs, and activities include, but are not limited to, the
following:













academic and vocational education (including developmental and
rehabilitative programs)
work programs/work release programs (by providing reasonable
accommodations or alternatives for offenders with disabilities so that the
benefits of these programs, including sentence reduction credits, are
available to offenders with disabilities)
recreation, exercise, and activities
mail, telephone, visiting
library
religious programs
reception and orientation
transportation services (to provide for safety and security, and to avoid
undue discomfort, in light of the offender’s disabilities)
classification
food service
sanitation and hygiene

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards










4-4429
(Ref. 3-4380-1)

Agreement Number 5600000770
Attachment 9
Amendment 7

health care
social services
release
discipline, grievance procedure, and due process proceedings
safety and emergency procedures
access to media, courts, counsel, and law library
commissary/canteen
volunteer programs
psychological and psychiatric services

Written policy, procedure, and practice prohibit discrimination on the basis of
disability in the provision of services, programs, and activities administered
for program beneficiaries and participants.
Comment: Services, programs, and activities include, but are not limited to, the
following:






















academic and vocational education (including developmental and
rehabilitative programs)
work programs/work release programs (by providing reasonable
accommodations or alternatives for inmates with disabilities so that the
benefits of these programs, including sentence reduction credits, are
available to inmates with disabilities)
recreation, exercise, and activities
mail, telephone, and visiting
library
religious programs
reception and orientation
transportation services (to provide for safety and security, and to avoid
undue discomfort, in light of inmate’s disabilities)
classification
food service
sanitation and hygiene
health care
social services
release
discipline, grievance procedures, and due process proceedings
safety and emergency procedures
access to media, courts, counsel, and law library
commissary/canteen
volunteer programs
psychological and psychiatric services

Program beneficiaries and participants include, but are not limited to: inmates,
family members, clergy, attorneys, volunteers, and other authorized visitors.
The institution may be required to take remedial action, when necessary, to afford
program beneficiaries and participants with disabilities an opportunity to participate in
and enjoy the benefit of services, programs, or activities. Remedial action may
include, but is not limited to: 1) making reasonable modifications to policies,
practices, or procedures, 2) providing auxiliary aids and services to the hearing and
visually impaired, 3) constructing new or altering existing facilities, and 4) delivering
services at alternate accessible sites.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
4-4429-1
(2010 Supplement)

Agreement Number 5600000770
Attachment 9
Amendment 7

Added August 2002. Written policy, procedure, and practice provide for staff
and offender access to an appropriately trained and qualified individual who is
educated in the problems and challenges faced by offenders with physical
and/or mental impairments, programs designed to educate and assist disabled
offenders, and all legal requirements for the protection of offenders with
disabilities.

Comment: An “appropriately trained and qualified individual,” as used in this
standard, is one who has been designated by the warden, superintendent, or other
authority, to coordinate efforts to comply with and carry out responsibilities defined
by the Americans with Disabilities Act. That individual should develop relationships
with, and use the expertise of institutional staff, advocacy groups, nonprofit
organizations, agencies of government, and others that have relevant knowledge
and experience.
4-4430
(Ref. 3-4381)

Written policy, procedure, and practice provide that institutional staff identify
at least annually the needs of the inmate population to ensure that the
necessary programs and services are available, including programs and
services to meet the needs of inmates with specific types of problems.
Comment: The review should include an evaluation of academic, vocational, library,
religious, and leisure-time programs and services.

4-4431
(Ref. 3-4382)

Community social service resources are used to augment social services
provided in the institution.
Comment: None.

Program Coordination and Supervision
4-4432
(Ref. 3-4383)

The social services program is administered and supervised by a qualified,
trained person with a minimum of a bachelor’s degree in the social or
behavioral sciences or a related field.
Comment: The social services program supervisor should have an undergraduate
degree in the social or behavioral sciences, such as psychology, social work, or
counseling to handle the administrative and programming responsibilities. A
graduate degree may be an appropriate requirement for this position.

Counseling
4-4433
(Ref. 3-4384)

A planned, organized counseling program is provided by persons qualified by
either formal education or training.
Comment: Employees assigned to full-time counselor positions should have
sufficient training and experience to provide effective guidance to inmates. These
full-time employees should work solely in the social service, social work, and
counseling specialties and do not include correctional officers and other staff who
work closely with inmates and may provide informal counseling.

4-4434
(Ref. 3-4385)

The institution has a formal mechanism to determine appropriate levels of
social services staffing. The mechanism used to determine such staffing
levels includes at a minimum:


type of inmate population served

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards




type of institution
legal requirements
goals to be accomplished

Agreement Number 5600000770
Attachment 9
Amendment 7

The institution’s use of a “team” approach and use of paraprofessionals,
volunteers, and students also may influence the numbers of professional staff
required.
Comment: Social services programs can assist offenders with family and personal
problems through supportive guidance and professional assistance. A counseling
program that is coordinated with the overall facility rehabilitation program can be
effective in resolving personal and interpersonal problems.
4-4435
(Ref. 3-4386)

Written policy, procedure, and practice provide that staff are available to
counsel inmates upon request; provision is made for counseling and crisis
intervention services.
Comment: Staff members should make time available, on a regularly scheduled
basis, for appointments with inmates who request them. Treatment offerings should
include group therapy and group and individual counseling. Because inmates may
have problems that require immediate attention, at least one staff member should be
available 24 hours a day. Crisis intervention services should be available on an asneeded basis to assist disturbed inmates.

Counseling for Pregnant Inmates
4-4436
(Ref. 3-4387)

Written policy, procedure, and practice require that comprehensive counseling
and assistance are provided to pregnant inmates in keeping with their
expressed desires in planning for their unborn children.
Comment: Counseling and social services should be available from either facility
staff or community agencies to assist inmates in making decisions such as whether
to keep their child, give the child up for adoption, or consent to an abortion. The
written policy and defined procedures should be developed based on a formal legal
opinion.

Substance Abuse Programs
4-4437
(Ref. 3-4388)

Written policy, procedure, and practice provide for substance abuse programs,
to include monitoring and drug testing, for inmates with drug and alcohol
addiction problems.
Comment: None.

4-4438
(2010 Supplement)

Revised August 2009. Where a drug treatment program exists, written policy,
procedure, and practice provide that the alcohol and drug abuse treatment
program has a written treatment philosophy within the context of the total
corrections system, as well as goals and measurable objectives.
Comment: None.

4-4438
(Ref. 3-4388-1)

Where a drug treatment program exists, written policy, procedure, and practice
provide that the alcohol and drug abuse treatment program has a written
treatment philosophy within the context of the total corrections system, as well
as goals and measurable objectives. These documents are reviewed at least

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards

annually and updated, as needed.

Agreement Number 5600000770
Attachment 9
Amendment 7

Comment: None.
4-4438 – 4-4441
(2010 Supplement)

This following interpretation applies to all standards from 4-4438 through 4-4441.

4-4439
(Ref. 3-4388-2)

Where a drug treatment program exists, written policy, procedure, and practice
provide for an appropriate range of primary treatment services for alcohol and
other drug abusing inmates that include, at a minimum, the following:

Interpretation August 2003. The words “Where a drug program exists” are
interpreted as a therapeutic community.













inmate diagnosis
identified problem areas
individual treatment objectives
treatment goals
counseling needs
drug education plan
relapse prevention and management
culturally sensitive treatment objectives, as appropriate
the provision of self-help groups as an adjunct to treatment
prerelease and transitional service needs
coordination efforts with community supervision and treatment staff
during the prerelease phase to ensure a continuum of supervision and
treatment

Comment: None.
4-4440
(Ref. 3-4388-3)

Where a drug and alcohol treatment program exists, written policy, procedure,
and practice provide that the facility uses a coordinated staff approach to
deliver treatment services. This approach to service delivery shall be
documented in treatment planning conferences and individual treatment files.
Comment: None.

4-4441
(Ref. 3-4388-4)

Where a drug and alcohol treatment program exists, written policy, procedure,
and practice provide incentives for targeted treatment programs to increase
and maintain the inmate’s motivation for treatment.
Comment: These incentives may include a variety of options such as preferences in
housing, clothing, award certificates, or other items consistent with the goals of the
facility.

Section G: Release
Principle: The institution provides a structured program to help inmates make a satisfactory
transition upon their release from incarceration.
Release Preparation
4-4442
(Ref. 3-4389)

Written policy, procedure, and practice provide that all inmates have access to
a program of release preparation prior to their release to the community.

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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

Comment: Inmates should have the opportunity to prepare for release and to
understand the purpose and function of parole supervision. Programs to prepare
inmates for release could include the following: lectures and discussions addressing
the concerns of soon-to-be-released inmates; individual counseling focusing on the
inmate’s particular needs; prerelease visits by parole officers and family members;
and graduated release through short furloughs.

Temporary and Graduated Release
4-4443
(Ref. 3-4390)

Temporary release programs should include but not be limited to the
following:








written operational procedures
careful screening and selection procedures
written rules of conduct and sanctions
a system of supervision to minimize inmate abuse of program
privileges
a complete recordkeeping system
a system for evaluating program effectiveness
efforts to obtain community cooperation and support

Comment: All temporary release programs should be staffed and funded adequately
and operated according to a detailed written plan. Participation should be restricted
to inmates who are eligible for release within one year and others deemed suitable,
and selection should be based on an assessment of the potential benefits to the
inmate and the safety of the community. Sanctions commensurate with rule
violations should be specified, ranging from reprimand to removal from the program.
4-4444
(Ref. 3-4391)

Written policy, procedure, and practice include graduated release through a
systematic decrease in supervision and corresponding increase in inmate
responsibility as part of the classification program.
Comment: When possible, provision should be made for work or study release,
extended visits to family and community, or placement in a prerelease center or
halfway house. Supervision should be decreased systematically, and the inmate’s
progress should be evaluated on the basis of specified behavioral criteria rather than
on sentence, time served, or subjective judgments regarding attitude.

Escorted Leaves
4-4445
(Ref. 3-4392)

Written policy, procedure, and practice provide for escorted leaves into the
community.
Comment: Inmates should be allowed escorted leaves of absence from the
institution to obtain medical care not available in the institution, to visit a critically ill
family member or attend a funeral of a family member, to participate in community
events as a member of a group or team, or to participate in other community
activities that can have a positive influence on the inmate.

Final Release
4-4446
(Ref. 3-4393)

Written procedures for releasing inmates at the end of their term include, but
are not limited to, the following:


verification of identity

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Corrections Corporation of America
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ACA Standards
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






Agreement Number 5600000770
Attachment 9
Amendment 7

verification of release papers
completion of release arrangements, including notification of the
parole authorities in the jurisdiction of release, if required
return of personal effects or contraband
check to see that no facility property leaves the facility
arrangements for completion of any pending action, such as
grievances or claims for damages or lost possessions
medical screening and arrangements for community follow-up where
needed
instructions on forwarding of mail

Comment: The release process should ensure that all matters relating to the facility
are completed. If released to another agency or facility, everyone involved should
understand what is to occur with respect to timing, expectations, forwarding of
records, and responsibility for completing the transfer.
4-4447
(Ref. 3-4393-1)

Written policy, procedure, and practice provide that consistent with the law of
the jurisdiction, there is a system for providing notification to the registered
victim(s) of a crime prior to any release from confinement of the convicted
inmate and/or escape from custody. Follow-up notification to victim(s) occurs
when escapees are returned to custody.
Comment: An increasing number of jurisdictions are requiring notification of the
victims of criminal act(s) prior to release of the person(s) convicted of the crime.
When such legislation exists, the facility should provide the staff with a clear set of
instructions to implement the legislation.

4-4447-1
(2010 Supplement)

Added January 2006. Written policy, procedure, and practice provide that
designated staff are responsible for coordination of victim’s programs and that
curriculum is established for providing training to staff involved with victim’s
issues. This curriculum includes the following topics:







specific services available to crime victims
changes in laws impacting victims
way(s) of gaining access to the services
confidentiality of victim information
way(s) for victims to communicate complaints and other concerns
program evaluation measures, which include victim input regarding the
effectiveness of services and ways for them to make suggestions
regarding agency policies and practices intended to assist crime
victims

Comment: None.

5. Inmate Programs
Section A: Work and Correctional Industries
Principle: A written body of policy and procedure governs the institution’s work programs for
inmates, including correctional industries. Policy and procedure address
federal, state, and local regulations, the inmate workday, and compensation for
work performed.
Inmate Work Plan
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California Department of Corrections and Rehabilitation
ACA Standards
4-4448 – 4-4464
(2010 Supplement)

Agreement Number 5600000770
Attachment 9
Amendment 7

The following interpretation applies to all standards from 4-4448 through 4-4464.
Interpretation January 2002. This standard is applicable to all facilities. For
reception and diagnostic centers, the standard is applicable to all facilities.
For reception and diagnostic centers, the standard only applies as follows:
1. To reception and diagnostic centers with an average offender length of
stay of 90 days or longer.
2. To reception and diagnostic centers with a cadre of offenders who are
expected to serve more than 90 days of confinement within the facility
or for those sentenced offenders awaiting transfer to another facility
whose stay exceeds 90 days.
Comment:
An inmate work program may include industrial, agricultural,
maintenance, and service jobs. The plan should provide for employment for all
eligible inmates although every inmate may not be actively involved in the plan all of
the time.

4-4448
(Ref. 3-4394)

The institution maintains a written plan for full-time work and/or program
assignments for all inmates in the general population.
Comment:
An inmate work program may include industrial, agricultural,
maintenance, and service jobs. The plan should provide for employment for all
eligible inmates although every inmate may not be actively involved in the plan all of
the time.

4-4449
(2010 Supplement)

Revised August 2008. Written policy, procedure, and practice can require all
eligible inmates to work unless assigned to an approved education or training
program.
Inmates have the option of refusing to participate in any
rehabilitation or treatment program except adult basic education and programs
required by statute or ordered by the sentencing court or paroling authority.
Comment: All eligible inmates are expected to participate in work assignments, adult
basic education programs, and programs ordered by the sentencing court or paroling
authority or required by statute. Failure to participate in programs may result in
administrative action.

4-4449
(Ref. 3-4395)

Written policy, procedure, and practice can require all able-bodied inmates to
work unless assigned to an approved education or training program. Inmates
have the option of refusing to participate in any rehabilitation or treatment
program except adult basic education and programs required by statute or
ordered by the sentencing court or paroling authority.
Comment: All able-bodied inmates are expected to participate in work assignments,
adult basic education programs, and programs ordered by the sentencing court or
paroling authority or required by statute. Failure to participate in programs may
result in administrative action.

4-4450
(Ref. 3-4396)

The inmate work plan provides for employment for inmates with disabilities.
Comment: None.

Work Opportunities
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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

4-4451
(2010 Supplement)

Comment: Whenever possible, inmates should gain work experience relevant to the
current job market; assignments for female inmates should expand beyond the
traditional tasks assigned to women.

4-4451
(Ref. 3-4397)

The institution provides a variety of work assignments that afford inmates an
opportunity to learn job skills and develop good work habits and attitudes that
they can apply to jobs after they are released.
Comment: Whenever possible, inmates should gain work experience relevant to the
current job market; assignments for female inmates should expand beyond the
traditional tasks assigned to women.

4-4452
(2010 Supplement)

Comment: Inmates can do many necessary jobs related to maintenance and facility
operations. Inmates may be assigned to construction work, conservation projects, or
other work financed by public funds. These programs may be housed separately
from the main facility. Staff supervising such inmates should be trained for such an
assignment.

4-4452
(Ref. 3-4398)

The facility provides opportunities for inmate employment in either
correctional industries, facility maintenance, operations, public works, or
community projects.
Comment: Many necessary jobs related to maintenance and facility operations can
be done by inmates. Inmates may be assigned to construction work, conservation
projects, or other work financed by public funds. These programs may be housed
separately from the main facility. Staff supervising such inmates should be trained
for such an assignment.

4-4453
(2010 Supplement)

Comment: The institution should actively pursue cooperation from labor and industry
to help plan and evaluate its work programs and assist in work release, job training,
and job placement. The establishment of advisory boards or joint councils should be
considered.

4-4453
(Ref. 3-4399)

Written policy, procedure, and practice provide that the staff operating inmate
work programs use the advice and assistance of labor, business, and
industrial organizations to assist in providing skills relevant to the job market.
Comment: The institution should actively pursue cooperation from labor and industry
to help plan and evaluate its work programs and assist in work release, job training,
and job placement. The establishment of advisory boards or joint councils should be
considered.

4-4454
(2010 Supplement)

Comment: The number and duration of inmate workday interruptions should be
minimized as much as possible through rescheduling of staff assignments and
inmate activities.

4-4454
(Ref. 3-4400)

Written policy, procedure, and practice provide that the inmate workday
approximates the workday in the community.
Comment: The number and duration of inmate workday interruptions should be
minimized as much as possible through rescheduling of staff assignments and
inmate activities.

Work, Health, and Safety Standards

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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

4-4455
(2010 Supplement)

Comment: The annual inspection can be conducted by a central office or regional
safety inspector or by local qualified safety officials. Weekly inspections must be
conducted by the institution’s safety officer or by the industries/shop administrative
staff; the duty officer may not conduct these inspections unless qualified to do so.

4-4455
(Ref. 3-4401)

(MANDATORY) Written policy, procedure, and practice provide that all
institutional work, industry, and vocational education programs meet minimum
applicable federal, state, or local work, health, and safety standards. There is
documentation that the programs are inspected by federal, state, or local
health and safety officials at least annually. The programs also are inspected
weekly by qualified departmental staff and monthly by a safety officer.
Comment: The annual inspection can be conducted by a central office or regional
safety inspector or by local qualified safety officials. Weekly inspections must be
conducted by the institution’s safety officer or by the industries/shop administrative
staff; the duty officer may not conduct these inspections unless qualified to do so.

Correctional Industries
4-4456
(2010 Supplement)

Comment: None.

4-4456
(Ref. 3-4402)

Where an industries program exists, there will be a statute and/or written
policy and procedure that authorizes the establishment of an industries
program and delineates the areas of authority, responsibility, and
accountability for the program.
Comment: None.

4-4457
(2010 Supplement)

Comment: Appropriate industries staff should evaluate and choose from the pool of
potential employees made available by the classification committee. Responsibility
for separation of inmates based on work performance resides with the industries
supervisor and is subject to review by the institution’s industries manager and to
applicable due process standards and procedures. Separation for reasons not
related to job performance should be done by appropriate classification through the
appropriate institutional committee. Inmates separated should be referred to the
classification committee for reassignment.

4-4457
(Ref. 3-4403)

Written policy, procedure, and practice provide that the security and program
determinations necessary for any individual to be eligible for industries work
are made by the classification committee.
Comment: Appropriate industries staff should evaluate and choose from the pool of
potential employees made available by the classification committee. Responsibility
for separation of inmates based on work performance resides with the industries
supervisor and is subject to review by the institution’s industries manager and to
applicable due process standards and procedures. Separation for reasons not
related to job performance should be done by appropriate classification through the
appropriate institutional committee. Inmates separated should be referred to the
classification committee for reassignment.

4-4458
(2010 Supplement)

Comment: To ensure that realistic working conditions prevail, the industries
management should determine the number of workers necessary to handle the
workload. Job descriptions outlining responsibilities and performance expectations
should be available for each job.

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California Department of Corrections and Rehabilitation
ACA Standards
4-4458
(Ref. 3-4404)

Agreement Number 5600000770
Attachment 9
Amendment 7

Written policy, procedure, and practice provide that the number of inmates
assigned to industries operations meet the realistic workload needs of each
industries operating unit.
Comment: To ensure that realistic working conditions prevail, the industries
management should determine the number of workers necessary to handle the
workload. Job descriptions outlining responsibilities and performance expectations
should be available for each job.

4-4459
(2010 Supplement)

Comment:
Quality control plans should include product specifications and
tolerances or dimensions as well as production techniques, along with the use of
appropriate measures for determining conformance to those standards. The plans
should also stress periodic inspections throughout the entire production process,
including inspection of the finished product, whether such inspections are of a
random or statistical sampling or of all products made. Quality control records
should be maintained and used for training purposes.

4-4459
(Ref. 3-4405)

Each industries operating unit has a written quality control procedure that
provides for raw material, in-process, and final product inspection.
Comment:
Quality control plans should include product specifications and
tolerances or dimensions as well as production techniques, along with the use of
appropriate measures for determining conformance to those standards. The plans
should also stress periodic inspections throughout the entire production process,
including inspection of the finished product, whether such inspections are of a
random or statistical sampling or of all products made. Quality control records
should be maintained and used for training purposes.

4-4460
(2010 Supplement)

Comment: The cost accounting system should be based on a chart of accounts and
a general ledger that generate data for other fiscal reports. The system should
include a means for recording and allocating the direct and indirect costs and the
administrative overhead for each operating unit.

4-4460
(Ref. 3-4406)

A cost accounting system for each operating industries unit is designed,
implemented, and maintained in accordance with generally accepted
accounting principles.
Comment: The cost accounting system should be based on a chart of accounts and
a general ledger that generate data for other fiscal reports. The system should
include a means for recording and allocating the direct and indirect costs and the
administrative overhead for each operating unit.

Inmate Compensation
4-4461
(2010 Supplement)

Comment: Inmates should be compensated so that they can make purchases from
the canteen and accumulate funds to assist them upon their release from
incarceration.

4-4461
(Ref. 3-4407)

Written policy, procedure, and practice require that inmates are compensated
for work performed. Incentives such as monetary compensation, special
housing, extra privileges, and good time credits should be distributed
according to written guidelines.
Comment: Inmates should be compensated so that they can make purchases from

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California Department of Corrections and Rehabilitation
ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

the canteen and accumulate funds to assist them upon their release from
incarceration.

4-4461-1
(2010 Supplement)

Added January 2006. Written policy, procedure, and practice provide that,
consistent with the laws and legal practices within the jurisdiction, restitution
is collected and ultimately made available to the victims of crime and/or their
survivors. Where supported by statute, and feasible, victim awareness
classes are offered to help offenders understand the impact of their crimes on
the victims, their communities, and their own families.
Comment: Victim programs should be overseen by someone in a management-level
position who has easy access to the agency’s top leadership and who is supported
by staff trained to respond appropriately to crime victims who contact the agency.

4-4462
(2010 Supplement)

Comment: Reimbursement to the institution for room and board may be required.

4-4462
(Ref. 3-4408)

Private industries on the institution grounds employing inmates in positions
normally filled by private citizens pay inmates the prevailing wage rate for the
position occupied.
Comment: Reimbursement to the institution for room and board may be required.

4-4463
(2010 Supplement)

Comment: Compensation, whether as part of a work release program or an outside
work assignment plan, should include all fringe benefits.

4-4463
(Ref. 3-4409)

Written policy, procedure, and practice provide that inmates employed in the
community by public or private organizations in positions normally occupied
by private citizens are compensated at the prevailing wage rate for the position
occupied. Inmates receiving such compensation reimburse the jurisdiction for
a reasonable share of its cost in maintaining them.
Comment: Compensation, whether as part of a work release program or an outside
work assignment plan, should include all fringe benefits.

Section B: Academic and Vocational Education
Principle: A written body of policy and procedure governs the institution’s academic and
vocational education program for inmates, including program accreditation, staff
certification, and coordination with other institutional programs and services as
well as the community.
Comprehensive Education Program
4-4464
(2010 Supplement)

Comment: A needs assessment of the institutional population is used to determine
the type and number of programs needed to meet identified needs.
A
comprehensive education program may include other components in such areas as
English as a second language, social and living skills, health education, preemployment training, occupational training, and computer literacy.

4-4464
(Ref. 3-4410)

Written policy, procedure, and practice provide for a comprehensive education
program, available to all inmates who are eligible, that includes the following:
 educational philosophy and goals
 communication skills
 general education

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California Department of Corrections and Rehabilitation
ACA Standards







Agreement Number 5600000770
Attachment 9
Amendment 7

basic academic skills
GED preparation
special education
vocational education
postsecondary education
other education programs as dictated by the needs of the institutional
population

Comment: A needs assessment of the institutional population is used to determine
the type and number of programs needed to meet identified needs.
A
comprehensive education program may include other components in such areas as
English as a second language, social and living skills, health education, preemployment training, occupational training, and computer literacy.
4-4465
(2010 Supplement)

Revised January 2005. Written policy, procedure, and practice provide for an
educational program that is consistent with the needs of the inmate
population.
Comment: While many institutions house inmates with sentences of a few days or
weeks, there are increasing numbers that are held for longer periods. An
educational program for those longer-term inmates should include an evaluation of
educational needs and a method for providing for those needs.

4-4465
(Ref. 3-4410-1)

Written policy, procedure, and practice provide for an educational program
that is consistent with the needs of the inmate population.
Comment: While many institutions house inmates with sentences of a few days or
weeks, there are increasing numbers that are held for longer periods, sometimes up
to five years. An educational program for those longer-term inmates should include
an evaluation of educational needs and a method for providing for those needs.

4-4466 – 4-4467
(2010 Supplement)

This interpretation applies to all standards from 4-4466 through 4-4469.
Interpretation January 2002. This standard is applicable to all facilities. For
reception and diagnostic centers, the standard only applies as follows:
1. To reception and diagnostic centers with an average offender length of
stay of 90 days or longer
2. To reception and diagnostic centers with a cadre of offenders who are
expected to serve more than 90 days of confinement within the facility
or for those sentenced offenders awaiting transfer to another facility
whose stay exceeds 90 days.
Comment: None.

4-4466
(Ref. 3-4411)

There is a written, standardized, competency-based curriculum supported by
appropriate materials and classroom resources.
Comment: Standardization of curriculum assists in monitoring student progress from
class to class or between institutions. Emphasis should be on individual student
progress as measured by observable or assessable instructional objectives.
Programmed instruction, teaching machines, and educational television may be used
in addition to traditional teaching methods.

4-4467

Vocational training programs are integrated with academic programs and are

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California Department of Corrections and Rehabilitation
ACA Standards
(Ref. 3-4412)

Agreement Number 5600000770
Attachment 9
Amendment 7

relevant to the vocational needs of inmates and to employment opportunities
in the community.

Comment: Relevant vocational training can occur through correctional industries,
work assignments, apprenticeships, and on-the-job training.
Employment
opportunities can be assessed through contacts with local businesses, industries,
and trade groups.
4-4468
(2010 Supplement)

Revised January 2005. Written policy, procedure, and practice provide for a
vocational program that is consistent with the needs of the inmate population.
Comment: While many institutions house inmates with sentences of a few days or
weeks, there are increasing numbers that are held for longer periods. A vocational
program for those longer-term inmates should include an evaluation of vocational
needs and a method for providing for those needs.

4-4468
(Ref. 3-4412-1)

Written policy, procedure, and practice provide for a vocational program that is
consistent with the needs of the inmate population.
Comment: While many institutions house inmates with sentences of a few days or
weeks, there are increasing numbers that are held for longer periods, sometimes up
to five years. A vocational program for those longer-term inmates should include an
evaluation of vocational needs and a method for providing for those needs.

4-4469 – 4-4480
(2010 Supplement)

This interpretation applies to all standards from 4-4469 through 4-4480.
Interpretation January 2002. This standard is applicable to all facilities. For
reception and diagnostic centers, the standard only applies as follows:
1. To reception and diagnostic centers with an average offender length of
stay of 90 days or longer
2. To reception and diagnostic centers with a cadre of offenders who are
expected to serve more than 90 days of confinement within the facility
of for those sentenced offenders awaiting transfer to another facility
whose stay exceeds 90 days.
Comment: None.

4-4469
(Ref. 3-4413)

The institution uses business, industry, and community resources in
developing academic and/or vocational education programs for selected
inmates.
Comment: None.

Certification and Evaluation
4-4470
(2010 Supplement)

Revised August 2009. Written policy, procedure, and practice provide that the
academic and vocational education programs are recognized, certified, or
licensed by the state department of education or other recognized agency
having jurisdiction. Programs up to the completion of high school and/or the
GED are available at no cost to inmates.
Comment: None.

4-4470

Written policy, procedure, and practice provide that the academic and

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California Department of Corrections and Rehabilitation
ACA Standards
(Ref. 3-4414)

Agreement Number 5600000770
Attachment 9
Amendment 7

vocational education programs are recognized, certified, or licensed by the
state department of education or other recognized agency having jurisdiction.
Programs up to the completion of high school and/or the GED are available at
no cost to inmates. Provision is made for formal recognition of specific
educational accomplishments.

Comment: Correctional education programs must be at least equal in quality and
requirements to equivalent programs in the community to ensure that student credits,
certificates, and diplomas are accepted by employers and are transferable to schools
and colleges after release. Accreditation legitimizes the correctional education
program and allows opportunity for self-evaluation; it also facilitates obtaining
funding from state, federal, and private sources.
4-4471
(Ref. 3-4415)

Written policy, procedure, and practice provide for a system whereby the
academic and vocational training programs are assessed against stated
objectives by qualified individuals, professional groups, and trade
associations; this assessment is done at least every three years.
Comment: Such assessment ensures the institution’s academic and vocational
training programs are accepted by licensing boards and trade associations, and
helps indicate which programs should be expanded and which should be revised.

Staffing Policies and Practices
4-4472
(Ref. 3-4416)

All academic and vocational education personnel are certified by a state
department of education or other comparable authority.
Comment: All teachers, supervisors, and administrators should be certified and
should receive additional training to meet the special needs of inmates. Policies
should also provide for emergency or temporary certification to facilitate hiring
qualified personnel who lack complete or current certification.

4-4473
(Ref. 3-4417)

Academic and vocational personnel policies and practices are comparable to
local jurisdictions or other appropriate jurisdictions.
Comment: Personnel practices should be similar to those of the public schools in
the locality of the institution.

Inmate Assessment and Placement
4-4474
(Ref. 3-4418)

Written policy, procedure, and practice provide for a system of academic and
vocational counseling as well as initial screening, assessment, and evaluation
to determine each inmate’s educational needs.
Comment: There should be a systematic procedure for screening, assessment, and
evaluation at intake, including appropriate standardized testing, so that each inmate
can be placed in appropriate educational programs. Staff should be qualified to
interpret tests and decide when additional testing is needed.

4-4475
(Ref. 3-4418-1)

Provision is made to meet the educational and vocational needs of inmates
who require special placement because of physical, mental, emotional, or
learning disabilities.
Comment: Inmates should be placed in educational and vocational programs
commensurate with their abilities, needs, and interests. Remedial services and

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Agreement Number 5600000770
Attachment 9
Amendment 7

certified special education teachers should be provided, where applicable.

4-4476
(Ref. 3-4419)

The educational program allows for flexible scheduling that permits inmates to
enter at any time and to proceed at their own learning pace.
Comment: “Flexible scheduling” is open-entry, open-exit instruction, with emphasis
on individualized instruction. If a program has no vacancies, inmates may be placed
on a waiting list.

Coordination with Other Programs and Services
4-4477
(Ref. 3-4420)

Written policy, procedure, and practice provide that comprehensive education
programs are available to all eligible inmates at a time when the majority can
take advantage of the programs.
Comment:
Educational programs should not have to compete with work
assignments, visitation, counseling, and so forth, but should be offered at off-peak
program hours, in the evenings, and on weekends. Encouragement to participate
should be provided by using a reward system and limiting barriers to attendance.

4-4478
(Ref. 3-4421)

The education program coordinates with other institutional services to provide
instruction in functional social skills.
Comment: Social skills include consumer activities, life skills, and parenting/family
life. Courses should be coordinated with social services, leisure-time activities, and
religious programs, as well as in a comprehensive social skills development
program.

4-4479
(Ref. 3-4422)

Written policy, procedure, and practice govern the maintenance and handling
of educational/vocational records.
Students’ rights to privacy and
confidentiality in accordance with state and federal law should be maintained.
Comment: Academic/vocational information should become a part of the master file
and be transferred when offenders are moved to other institutions or relocated in the
community during prerelease. Accurately maintained student files and records are
part of staff accountability and are essential for program needs, assessments, and
evaluations.

4-4480
(2010 Supplement)

Revised August 2009.
Written policy, procedure, and practice provide
incentives for educational participation.
Comment:
Recognition of academic and vocational achievements, such as
certification or graduation, is helpful to inmates and provides general support for
education programs. Incentives may include pay, access to preferred jobs and/or
educational programs, or other special privileges.

4-4480
(Ref. 3-4422-1)

Written policy, procedure, and practice provide incentives for educational
participation and formal recognition of specific educational accomplishments.
Comment:
Recognition of academic and vocational achievements, such as
certification or graduation, is helpful to inmates and provides general support for
educational programs. Incentives may include pay, access to preferred jobs and/or
educational programs, or other special privileges.

Section C: Recreation and Activities
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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

Principle: A written body of policy and procedure governs the institution’s recreation and
activities programs for inmates, including program coordination and supervision,
facilities and equipment, community interaction, and activities initiated by inmates.
Comprehensive Recreational Program
4-4481
(Ref. 3-4423)

Written policy, procedure, and practice provide for a comprehensive
recreational program that includes leisure-time activities and outdoor exercise.
Comment: Varied forms of recreation (for example, activities in the yard, library, and
auditorium) should be designed to consider inmates’ recreational interests.

Program Coordination and Supervision
4-4482
(2010 Supplement)

Revised August 2007. The education and experience of the recreation
program supervisor are taken into consideration by the appointing authority in
determining appointment to the position.
These include education,
correctional experience, training in recreation and/or leisure activities and the
ability to supervise the program. In institutions with more than 100 inmates,
the position is full-time.
Comment: To ensure a high-quality leisure services program, it is important to have
an administrator with training specific to recreation and/or leisure activities. This
position may be filled by a volunteer or contract personnel.

4-4482
(Ref. 3-4424)

The recreation program is supervised by a qualified person who has a
minimum of a bachelor’s degree in recreation or leisure services or the
equivalent in combined education and experience. In institutions with more
than 100 inmates, this position is full-time.
Comment: To ensure a high-quality leisure services program, it is important to have
an administrator with training specific to recreation and/or leisure activities. This
position may be filled by a volunteer or contract personnel.

4-4483
(Ref. 3-4425)

Written policy, procedure, and practice provide for the selection, training, and
use of inmates as recreation program assistants.
Comment: None.

Equipment and Facilities
4-4484
(Ref. 3-4426)

Facilities and equipment suitable for the planned leisure activities are available
in proportion to the inmate population and are maintained in good condition.
Comment: Facilities should include the following: an outdoor recreation area; a
gymnasium with seats for spectators; an auditorium with stage equipment; game
rooms and games such as table tennis, shuffleboard, chess, checkers, cards and so
forth; weightlifting apparatus and other physical-fitness conditioning equipment and
space for their use; locker rooms, showers, and dressing rooms; a music room; and
space for arts, crafts, and hobbies. All equipment should be inspected regularly and
repaired or replaced as necessary. Guidelines for facilities and equipment are
available from the National Recreation and Park Association.

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ACA Standards
Interaction with the Community
4-4485
(Ref. 3-4427)

Agreement Number 5600000770
Attachment 9
Amendment 7

Written policy, procedure, and practice provide for interaction with the
community through recreational activities.
Comment: Community interaction should include bringing in volunteers to provide
instruction and inviting local teams to compete with institution teams; it may include
taking inmates into the community for recreational activities.

Inmate Activities
4-4486
(Ref. 3-4428)

Written policy, procedure, and practice provide for activities that are initiated
by inmates and carried out under staff supervision.
Comment: Inmate activities include inmate publications, arts and crafts, honor
housing, and ethnic study groups. All inmate activities should be regulated by
written guidelines that define the activity’s purpose and scope. Provision should be
made for staff supervision of all activities.

Section D: Mail, Telephone, and Visiting
Principle: A written body of policy and procedure governs the institution’s mail, telephone,
and visiting services for inmates, including mail inspection, public phone use, and
routine and special visits.
Mail

Inmate Correspondence
4-4487
(2010 Supplement)

Revised August 2009.
correspondence.

Written policy and procedure govern inmate

Comment: All regulations concerning inmate correspondence should be specific in
writing and made available to staff members, inmates, and their correspondents.
4-4487
(Ref. 3-4429)

Written policy and procedure govern inmate correspondence; the policies and
procedures are reviewed annually and updated as necessary.
Comment: All regulations concerning inmate correspondence should be specified in
writing and made available to staff members, inmates, and their correspondents.

4-4488
(Ref. 3-4430)

When the inmate bears the mailing cost, there is no limit on the volume of
letters the inmate can send or receive or on the length, language, content, or
source of mail or publications except when there is reasonable belief that
limitation is necessary to protect public safety or institutional order and
security.
Comment: The number of approved correspondents for an inmate should be
unlimited, and there should be no limit on the number of letters an inmate may send
or receive from approved correspondents. Limits may be placed on the use of mail
for the conduct of an inmate business.

4-4489
(Ref. 3-4431)

Written policy, procedure, and practice provide that indigent inmates, as
defined in policy, receive a specified postage allowance to maintain
community ties.

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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

Comment: An inmate without financial resources should be provided the means to
send a reasonable number of letters per month. Community ties include family,
personal friends, and so on, but not privileged communication to attorney, public
officials, and courts.
Access to Publications
4-4490
(Ref. 3-4432)

Written policy and procedure govern inmate access to publications.
Comment: Policy and procedure should define which publications are allowed in the
institution and how they will be inspected. Restriction as to access should be related
directly to maintenance of institutional order and security.

Inspection of Letters and Packages
4-4491
(Ref. 3-4433)

Written policy, procedure, and practice provide that inmate mail, both
incoming and outgoing, may be opened and inspected for contraband. Mail is
read, censored, or rejected based on legitimate institutional interests of order
and security. Inmates are notified when incoming or outgoing letters are
withheld in part or in full.
Comment: Case law has defined legal limits on censorship of mail. Inmates should
be permitted uncensored correspondence so long as the correspondence poses no
threat to the safety and security of the institution, public officials, or the general
public and is not being used to further illegal activities. When inmate mail is
censored or rejected, the inmate or author should be notified of the reasons for the
action and have an opportunity to appeal that decision; such appeals should be
referred to officials who did not participate in the original disapproval of the
correspondence.

4-4492
(2010 Supplement)

Revised August 2002. Written policy, procedure, and practice specify that
inmates are permitted to send sealed letters to a specified class of persons
and organizations, including but not limited to the following: courts; counsel;
officials of the confining authority; state and local chief executive officers;
administrators of grievance systems; and members of the paroling authority.
Staff, in the presence of the inmate, may be allowed to inspect outgoing
privileged mail for contraband before it is sealed. Mail to inmates from this
specified class of persons and organizations may be opened only to inspect
for contraband and only in the presence of the inmate, unless waived in
writing, or in circumstances which may indicate contamination.
Comment: Suspicious mail may include packages and letter unusual in appearance
or which appear different from mail normally received or sent by the individual;
packages and letters of a size or shape not customarily received or sent by the
individual; packages and letters with a city and/or state postmark that is different
from the return address; or packages and letters leaking, stained, or emitting a
strange or unusual odor, or which have a powdery residue.

4-4492
(Ref. 3-4434)

Written policy, procedure, and practice specify that inmates are permitted to
send sealed letters to a specified class of persons and organizations,
including but not limited to the following: courts; counsel; officials of the
confining authority; state and local chief executive officers; administrators of
grievance systems; and members of the paroling authority. Staff, in the
presence of the inmate, may be allowed to inspect outgoing privileged mail for
contraband before it is sealed. Mail to inmates from this specified class of

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Corrections Corporation of America
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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

persons and organizations may be opened only to inspect for contraband and
only in the presence of the inmate, unless waived in writing.
Comment: None.

4-4493
(Ref. 3-4435)

Written policy, procedure, and practice provide for the inspection of inmate
letters and packages to intercept cash, checks, and money orders.
Comment: Cash, checks, and money orders should be removed from incoming mail
and credited to the inmate’s account. They should also be removed from outgoing
mail and disposed of appropriately. Any interception should be documented, with
receipts given to both the sender and the addressee.

4-4494
(Ref. 3-4436)

Written policy and procedure govern inspection for and disposition of
contraband.
Comment: The policies and procedures should specify what should be done with
contraband, under what conditions receipts should be given the sender and
addressee, how seizures can be challenged, and when matters should be referred
for prosecution.

4-4495
(2010 Supplement)

Revised August 2006. Written policy, procedure, and practice require that,
excluding weekends and holidays, or emergency situations, incoming and
outgoing letters are held for no more than 48 hours and packages (if allowed)
are held no more than 72 hours.
Interpretation August 2002. The term “emergency situation” is interpreted as
any significant disruption of normal facility or agency procedure, policy, or
activity caused by riot, escape, fire, natural disaster, employee action, or other
serious incident.
Comment: Inspection for contraband letters should take no longer than 48 hours to
complete so that incoming letters should be distributed to inmates and outgoing
letters sent to the post office within 48 hours of receipt. Similarly, inspection of
packages normally should take no longer than 72 hours to complete. The standard
does not prohibit the holding of mail for inmates who are temporarily absent from the
facility (for example, in a hospital or court).

4-4495
(Ref. 3-4437)

Written policy, procedure, and practice require that, excluding weekends and
holidays, incoming and outgoing letters are held for no more than 24 hours
and packages are held for no more than 48 hours.
Comment: Inspection for contraband in letters should take no longer than 24 hours
to complete so that incoming letters should be distributed to inmates and outgoing
letters sent to the post office within 24 hours of receipt. Similarly, inspection of
packages should take no longer than 48 hours to complete. The standard does not
prohibit the holding of mail for inmates who are temporarily absent from the facility
(for example, in the hospital or court).

Forwarding of Mail
4-4496
(Ref. 3-4438)

Written policy, procedure, and practice provide for forwarding first-class
letters and packages after an inmate’s transfer or release.
Comment: All first-class letters and packages should be forwarded provided a
forwarding address is available. If an address is not available, such letters and

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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

packages should be returned to the sender. Postal Service policy and procedure
should be made available to inmates.

Telephone
4-4497
(Ref. 3-4439)

Written policy, procedure, and practice provide for inmate access to public
telephones. Inmates with hearing and/or speech disabilities, and inmates who
wish to communicate with parties who have such disabilities, are afforded
access to a Telecommunications Device for the Deaf (TDD), or comparable
equipment. Public telephones with volume control are also made available to
inmates with hearing impairment.
Comment: Telephone facilities should permit reasonable and equitable access to all
inmates and permit a reasonable amount of privacy. Procedures should specify the
hours during which the telephone is available, the maximum length of calls, and any
limitation on calls. All long-distance calls should be made collect.

4-4497-1
(2010 Supplement)

Added August 2002. Written policy, procedure, and practice ensure that
offenders have access to reasonably priced telephone services. Correctional
agencies ensure that:





contracts involving telephone services for offenders comply with all
applicable state and federal regulations
contracts are based on rates and surcharges that are commensurate
with those charged to the general public for like services. Any
deviation from ordinary consumer rates reflects actual costs
associated with the provision of services in a correctional setting
contracts for offender telephone services provide the broadest range
of calling options determined by the agency administrator to be
consistent with the requirements of sound correctional management

Comment: When procuring and renewing telephone services, correctional officials
should inquire into the reasons for proposed deviations from standard charges and
seek the best possible rates for the broadest possible range of calling options.

Visiting

Regular Visitation
4-4498
(Ref. 3-4440)

Written policy, procedure, and practice provide that the number of visitors an
inmate may receive and the length of visits may be limited only by the
institution’s schedule, space, and personnel constraints, or when there are
substantial reasons to justify such limitations.
Comment: Inmates should not be denied access to visits with persons of their
choice except when the warden/superintendent or designee can present clear and
convincing evidence that such visitation jeopardizes the safety and security of the
institution or the visitors.

4-4499
(Ref. 3-4441-1)

Written policy, procedure, and practice provide that written information
regarding procedures governing visitation be made available to the inmate
within 24 hours after arrival at the facility. At a minimum, the information will
include, but not be limited to, the following:
 facility address/phone number, directions to facility, and information
about local transportation
 days and hours of visitation

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards






Agreement Number 5600000770
Attachment 9
Amendment 7

approved dress code and identification requirements for visitors
items authorized in visitation room
special rules for children
authorized items that visitors may bring to give to the offender (for
example, funds, pictures, and so forth)
special visits (for example, family emergencies)

Comment: Providing detailed information to inmates to give to their family and
friends on visitation procedures will facilitate the visiting process and eliminate
confusion and fear on the part of the visitor.
4-4499-1
(2010 Supplement)

Written policy, procedure, and practice provide that inmate visiting facilities
permit informal communication, including opportunity for physical contact.
Devices that preclude physical contact are not used except in instances of
substantiated security risk.
Comment: The degree of informality of inmate visiting facilities should be consistent
with the institution’s overall security requirements.

4-4499-1
(Ref. 3-4441)

Written policy, procedure, and practice provide that inmate visiting facilities
permit informal communication, including opportunity for physical contact.
Devices that preclude physical contact are not used except in instances of
substantiated security risk.
Comment: The degree of informality of inmate visiting facilities should be consistent
with the institution’s overall security requirements.

Extended and Special Visits
4-4500
(Ref. 3-4442)

Written policy and procedure govern special visits.

4-4500-1
(2010 Supplement)

Added August 2003. Written policy, procedure, and practice require that an
inmate is informed in a timely manner of the verifiable death or critical illness
of an immediate family member. In case of the critical illness of an immediate
family member, the inmate is allowed, whenever statutes and circumstances
allow, to go to the bedside under escort or alone.

Comment: Special visits may include visits from persons who have come long
distances, visits to hospitalized inmates, visits to inmates in disciplinary status, and
visits between inmates and their attorneys, clergy, social service agency
representatives, and so forth. Policy and procedure should specify the conditions of
such visits.

Comment: Classification, status, geography, security level, and other specified
criteria should determine eligibility. “Immediate family” is usually defined as parent,
spouse, child, sibling, grandparent, or legal guardian.
4-4501
(Ref. 3-4443)

Where statute permits, written policy, procedure, and practice provide for
extended visits between inmates and their families.
Comment: Policy and procedure should provide specific guidelines for determining
which inmates are permitted extended visits with family, the length of the visit, where
the visit should take place, and other conditions. Inmates with appropriate security
classifications should be permitted furloughs home of up to three days. Also, if
permitted by statute, the institution should provide suitable private accommodations

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Corrections Corporation of America
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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

for extended visits between inmates and their families on institutional grounds.

4-4502
(Ref. 3-4444)

Written policy, procedure, and practice provide that inmates with appropriate
security classifications are allowed furloughs to the community to maintain
community and family ties, seek employment opportunities, and for other
purposes consistent with the public interest.
Comment: Unescorted leaves of absence for a set period of time may be
appropriate to allow inmates to participate in work and study release programs,
make residential plans for parole, or any other purpose consistent with the inmate’s
security classification.

Visitor Registration
4-4503
(Ref. 3-4445)

Written policy, procedure, and practice provide that visitors register upon
entry into the institution and specify the circumstances under which visitors
may be searched.
Comment: Each visitor should register his or her name, address, and relation to the
inmate. Staff may search visitors and their belongings following written procedure.

4-4504
(Ref. 3-4446)

The institution provides information to visitors about transportation to the
institution and facilitates transportation between the institution and nearby
public transit terminals.
Comment: Institutions situated considerable distances from public transit terminals
should try to provide transportation for visitors, particularly when transportation costs
are significant.

Section E: Library
Principle: A written body of policy and procedure governs the institution’s library program,
including acquisition of materials, hours of availability, and staffing.
Comprehensive Library Services
4-4505
(Ref. 3-4447)

The institution maintains and/or provides access to comprehensive library
services that include, but are not limited to, a reference collection containing
general and specialized materials, and planned and continuous acquisition of
materials to meet the needs of the institutional staff and inmates.
Comment: The institution’s library service should be comparable to a public library,
providing the following: logical organization of materials for convenient use;
circulation of materials to satisfy the needs of the users; information services;
reader’s advisory service to help provide users with suitable materials; promotion of
use of library materials through publicity, book lists, special programs, book and film
discussion groups, music programs, contests, and other appropriate means; a
congenial library atmosphere; and educational and recreational audiovisual
materials. The reference collection should contain specialized materials on such
subjects as consumer skills, prerelease, finding employment, and education.

Program Coordination and Supervision
4-4506
(Ref. 3-4448)

The institution has a qualified staff person who coordinates and supervises
library services.

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Corrections Corporation of America
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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

Comment: This position may be full-time or part-time and may be filled by a
volunteer or contract personnel. If the person is not a trained librarian, he or she
should receive training in library services.
4-4507
(2010 Supplement)

Revised January 2003. There is available to the institution a person with a
master’s of library science, information resources, media services, or related
degree who assists with coordinating and supervising library services and is
responsible for training of all library staff.
Comment: A qualified librarian should be available to assist the staff member who
coordinates and supervises library services in the institution.

4-4507
(Ref. 3-4449)

There is available to the institution a person with a master of library science
degree who assists in coordinating and supervising library services and is
responsible for training of all library staff.
Comment: A qualified librarian should be available to assist the staff member who
coordinates and supervises library services in the institution.

Selection and Acquisition of Materials
4-4508
(Ref. 3-4450)

Written policy defines the principles, purposes, and criteria used in the
selection and maintenance of library materials.
Comment:
Library materials should be selected to meet the educational,
informational, and recreational needs of the inmates. They should be easily
accessible and regulated by a system that prevents abuse.

4-4509
(Ref. 3-4451)

The library participates in interlibrary loan programs.
Comment: Participation in interlibrary loan programs with local and state public
library systems can increase the materials available to inmates without increasing
acquisition expenses.

Availability of Services
4-4510
(Ref. 3-4452)

Library services are available daily, including evenings and weekends.
Comment: There should be no restrictions on access to library services and
facilities. Library services should be provided at prime program hours as well as at
times that do not compete with work assignments, visitation, counseling, or other
programs. Every inmate should have access to library services. It is preferable that
the facility’s main library is available seven days a week; in lieu of this, library
services are available seven days a week.

Inmate Assistants
4-4511
(Ref. 3-4453)

Written policy, procedure, and practice provide for the selection, training and
use of inmates as library assistants.
Comment: To provide adequate access to library services, inmates should be used
as library assistants and trained in library operation by the librarian. Selected
inmates can be circulation clerks and acquisition and technical processing clerks.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards

Section F: Religious Programs

Agreement Number 5600000770
Attachment 9
Amendment 7

Principle: A written body of policy and procedure governs the institution’s religious programs
for inmates, including program coordination and supervision, opportunities to
practice the requirements of one’s faith, and use of community resources.
Program Coordination and Supervision
4-4512
(Ref. 3-4454)

There is a qualified chaplain (or chaplains) with minimum qualifications of (1)
clinical pastoral education or equivalent specialized training and (2)
endorsement by the appropriate religious certifying body. The chaplain
assures equal status and protection for all religions.
Comment: None.

4-4513
(Ref. 3-4455)

In facilities with an average daily population of 500 or more inmates, there is a
full-time chaplain (or chaplains). In facilities with less then 500 inmates,
adequate religious staffing is available.
Comment: None.

4-4514
(2010 Supplement)

Revised August 2004. Written policy, procedure, and practice provide that
assigned chaplain(s) (whether they be classified employees, contract
employees, or volunteers), in consultation with and approval from facility
administration, plans, directs, and coordinates all aspects of the religious
program, including approval and training of both lay and clergy volunteers
from faiths represented by the inmate population.
Comment: The religious program should be designated to fulfill the institution’s
responsibility of ensuring that all inmates can voluntarily exercise their constitutional
right to religious freedom.

4-4514
(Ref. 3-4456)

The chaplain plans, directs, and coordinates all aspects of the religious
program, including approval and training of both lay and clergy volunteers
from faiths represented by the inmate population.
Comment: The religious program should be designed to fulfill the institution’s
responsibility of ensuring that all inmates can voluntarily exercise their constitutional
right to religious freedom.

4-4515
(Ref. 3-4457)

The chaplain has physical access to all areas of the institution to minister to
inmates and staff.
Comment: None.

4-4516
(Ref. 3-4458)

The chaplain or designated religious staff develops and maintains close
relationships with community religious resources.
Comment: Community resources can help augment the delivery of appropriate
religious services on special holidays or, as needed, to meet the requirements of the
delivery of religious faiths among inmates.

4-4516
(2010 Supplement)

Revised August 2004.
The chaplain or designated staff develops and
maintains close relationships with community religious resources.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

Comment: Community resources can help augment the delivery of appropriate
religious services on special holidays or, as needed, to meet the requirements of the
diversity of religious faith among inmates.

Opportunity to Practice One’s Faith
4-4517
(Ref. 3-4459)

Written policy, procedure, and practice provide that inmates have the
opportunity to participate in practices of their religious faith that are deemed
essential by the faith’s judicatory, limited only by documentation showing
threat to the safety of persons involved in such activity or that the activity
itself disrupts order in the institution.
Comment: Religious practices include, but are not limited to, access to religious
publications, religious symbols, congregate worship/religious services in appropriate
space, individual and group counseling, religious study classes, and adherence to
dietary requirements.
Inmates in administrative segregation are allowed to
participate in such religious practices subject to the same limitations stated in the
standard.
In determining what constitutes legitimate religious practices, the
warden/superintendent or designee should consider whether there is a body of
literature stating religious principles that support the practices and whether the
practices are recognized by a group of persons who share common ethical, moral, or
intellectual views.

4-4518
(2010 Supplement)

Deleted August 2004.

4-4518
(Ref. 3-4460)

Representatives of all faith groups are available to all inmates.

4-4519
(2010 Supplement)

Revised August 2004. When a religious leader of an inmate’s faith is not
represented through the chaplaincy staff or volunteers, the chaplain or
designated staff member assists the inmate in contacting a person who has
the appropriate credentials from the faith judicatory. That person ministers to
the inmate under the supervision of the chaplain.

Comment: None.

Comment: The religious leader can visit at designated regular times, with provision
for emergency visits.
4-4519
(Ref. 3-4461)

When a religious leader of an inmate’s faith is not represented through the
chaplaincy staff or volunteers, the chaplain assists the inmate in contacting a
person who has the appropriate credentials from the faith judicatory. That
person ministers to the inmate under the supervision of the chaplain.
Comment: The religious leader can visit at designated regular times, with provision
for emergency visits.

Religious Facilities and Equipment
4-4520
(Ref. 3-4462)

Written policy, procedure, practice require that the institution provide space
and equipment adequate for the conduct and administration of religious
programs.
The institution makes available noninmate clerical staff for
confidential material.
Comment:

Sufficient space should be available for congregate worship/religious

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ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

services, individual counseling, group counseling and/or religious studies, and
chaplaincy offices. Equipment, office supplies, and secretarial help should be
adequate to meet the needs of the religious program. Volunteers are acceptable as
clerical support staff.

4-4521
(Ref. 3-4463)

The chaplain, in cooperation with the institutional administrator or designee,
develops and maintains communications with faith communities and approves
donations of equipment or materials for use in religious programs.
Comment: Approval of donations helps ensure that equipment and materials are
available for approved religious practices and helps avoid the accumulation of
duplicate or inappropriate materials.

(2010 Supplement) Added new section:
Security Threat Groups
4-4530
(2010 Supplement)

Added January 2007. Written policy, procedure, and practice require that
ongoing, but not less than semi-annually, consultation takes place as
determined by the agency or parent agency with the local Joint Terrorism Task
Force (JTTF), or another similar agency, on all terrorism matters to include:




a list of known terrorist inmates in local custody
intelligence regarding inmates with suspected terrorist ties
information regarding specific incidents, events, or threats affecting
the institution or detention facility that have a possible terrorism
connection

Comment: Examples of reportable intelligence might include attempts by such
inmates to radicalize or recruit among fellow inmates, or efforts to continue contact
with terrorist groups in the community. Documentation of the consultations should
be determined by agency standards, and may include log books, e-mails exchanged
with the JTTF or another like agency, or minutes of telephone calls.

Appendix A
Classification Guidelines
The following descriptions illustrate behavior characteristics typical of inmate custody levels.
Typical Behavior Patterns* for Various Levels of Custody
for Inmates in a Correctional Facility
TYPICAL BEHAVIOR
PATTERN
Risk of Escape

I (Minimum)
No history of escape or
escape attempts from
secure or nonsecure
settings (within past five
years). Length of
sentence is three years
or less to projected
release date.

CUSTODY LEVELS
II (Medium)
No escape history
(including flight from
custody) during past
seven years. No history
of escape attempts from
a secure setting (within
past five years). Length
of sentence is five years
or less to projected
release date.

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III (Maximum)
Conduct that indicates
high probability of
escape attempts.
History of escape or
escape attempts from
secure setting during the
past ten years. Length
of sentence is ten years
or more to projected
release date.

Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
Behavior

No history of violent
behavior (within past five
years). No pattern of
threats or violence.

Agreement Number 5600000770
Attachment 9
Amendment 7

No history of institution
Recent history of violent
violence involving
crimes and/or violent
weapons or serious
institutional conduct
injury (within past five
within past five years.
years). No history of
Active membership in
assault on staff (within
gangs/groups advocating
past five years). No
violence. Serious
pattern of serious
assault on staff.
institutional misconduct.
No active participation in
prison gangs.
*These characteristics are used only as guidelines; decisions should also be based on evaluations by
classification committee (including mental health and security staff) to determine the proper custody level
assignment. Inmates also may be assigned increased or decreased levels of custody based on behavior
during incarceration or extenuating circumstances relating to the behavior pattern.

Appendix B

Guidelines for Institution Security Levels
The following descriptions illustrate the numbers and types of barriers that separate inmates from the
community. These guidelines are designed for illustrative purposes. Segments may be interchanged to
compensate for strengths or weaknesses in other segments. Some agencies and systems use more or less
than three levels of security. For those systems, these guidelines can be adjusted.
SECURITY
ELEMENTS
Housing

I (Minimum)
Dormitories, cubicles, or
rooms

Perimeter Security

None, or single fence;
occasional patrol

Internal Security
Measures

Inmate census taken at
least three times daily

SECURITY LEVELS
II (Medium)
Rooms and/or multiple
occupancy cells and/or
dormitories
Double fence; electric
alarm system; patrol of
perimeter or towers

Inmate movement is
controlled by pass
system. Formal census
is taken at least four
times daily, plus frequent
informal census.

III (Maximum)
Single cells, very secure,
with heavy-duty
hardware
A combination of double
fence, wall, towers,
and/or constant armed
perimeter surveillance;
and/or an electronic
alarm system
Formal census is taken
at least five times daily.
Capability to quickly
separate the inmates into
smaller groups. Inmates
are directly supervised
and/or escorted when
outside cellhouse or
living area.

Appendix C

Definition of “Qualified Individual” for Safety and Sanitation Inspections
Several standards refer to documentation and inspections by “qualified individuals.” (For example,
Building and Safety Codes, Fire Safety, Food Service, Sanitation and Hygiene, and Work and Correctional
Industries standards.) Such persons also may be referred to as “independent, qualified source,” “qualified
departmental staff member,” “qualified designee,” or “qualified fire and safety officer.”
A “qualified individual” is a person whose training, education, and/or experience specifically qualifies
him or her to do the job indicated in the standard.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
I.

Agreement Number 5600000770
Attachment 9
Amendment 7

GENERAL REQUIREMENTS
When a standard calls for inspections, the individual conducting them needs to be trained in the
application of appropriate codes and regulations. Standards do not specify the number of hours of
training required, as this is determined in part by the tasks assigned. At a minimum, though, the
qualified individual must (1) be familiar with the applicable codes and regulations and their requirements;
(2) be able to use the appropriate instruments for measuring and documenting code compliance; (3) be
able to complete checklists and prepare the necessary reports; and (4) have the authority to make
corrections when deficiencies are found.
Training is often obtained from code officials or inspectors (fire marshals, building officials); government
agencies that have statutory authority for inspections in a particular area (health department, labor
department); or private organizations, such as the National Fire Protection Association. Often the
individual obtains written certification or approval from these authorities to conduct in-house inspections.
When trained and certified by the above sources to do so, a central office specialist may train and assist
facility staff to conduct inspections.

II.

SPECIFIC REQUIREMENTS
A. Authority Having Jurisdiction
The term “authority having jurisdiction” is defined as follows:
The authority having jurisdiction must be knowledgeable about the requirements of the National Fire
Protection Life Safety Code. The authority having jurisdiction may be a federal, state, local, or other
regional department or individual, such as the fire chief, fire marshal, chief of a fire prevention bureau,
labor department, health department, building official, electrical inspector, or others with statutory
authority. The authority having jurisdiction may be employed by the department/agency, provided that
he or she is not under the authority of the facility administrator and that the report generated is referred
to higher authorities within the department/agency independent of influence by the facility administrator
or staff. This rule applies no matter who generates the report.
The definition also applies to the terms “independent, qualified source” and “independent, outside
source.”
B. Inspections
Qualified individuals conducting the monthly and weekly inspections required in the standards may be
institutional staff members.
The qualified individual responsible for conducting monthly inspections (for example, fire and safety
officer, safety/sanitation specialist) may be an institutional staff member trained in the application of
jurisdictional codes and regulations. Periodically and as needed, this individual receives assistance from
the independent authority or central office specialist(s) on requirements and inspections. This
assistance may include participation in quarterly or biannual inspections. Training for the individual
conducting the monthly inspections may be provided by the applicable agencies or through the agency’s
central office specialist(s).
The qualified departmental staff member who conducts weekly inspections of the facility may be an
institutional staff member who has received training in and is familiar with the safety and sanitation
requirements of the jurisdiction. At a minimum, on-the-job training from the facility’s safety/sanitation
specialist or the fire and safety officer regarding applicable regulations is expected, including use of
checklists and methods of documentation.
The periodic weekly and monthly inspections may be conducted by either a combination of qualified

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

individuals or one specialist, as long as the schedules and minimum qualifications described above are
met. Safety and sanitation inspections may be conducted by the same person, provided this individual
is familiar with the regulations for both types of inspections. When safety and sanitation requirements
differ substantially, it may sometimes be necessary to call on several qualified individuals to conduct the
inspections required by the standards. Using more than one person is strongly recommended.

III. COMPLIANCE AUDITS
In conducting standards compliance audits, Commission Visiting Committees will review documentation
submitted by the facilities to assist them in judging the qualifications of these individuals. In making
compliance decisions, the audit teams will look closely at the facility’s entire program – both practices
and results – for ensuring safety and sanitation.

Appendix D

Guidelines for the Control and Use of Flammable, Toxic, and Caustic Substances
This appendix provides definitions and recommendations to assist agencies in the application of
standards that address the control of materials that present a hazard to staff and inmates.
Substances that do not contain any of the properties discussed in the guidelines but are labeled “Keep
out of reach of children” or “May be harmful if swallowed” are not necessarily subject to the controls specified in
the guidelines. Their use and control, however, including the quantities available, should be evaluated and
addressed in agency policy. Questions concerning the use and control of any substance should be resolved by
examining the manufacturer’s Material Safety Data Sheet.
I. DEFINITIONS
Caustic material – A substance capable of destroying or eating away by chemical reaction.
Combustible liquid – A substance with a flash point at or above 100 degrees Fahrenheit. Classified by
flash point as a Class II or Class III liquid.
Flammable liquid – A substance with a flash point below 100 degrees Fahrenheit (37.8 degrees
Centigrade). Classified by flash point as a Class I liquid.
Flash point – the minimum temperature at which a liquid will give off sufficient vapors to form an ignitable
mixture with the air near the surface of the liquid (or in the vessel used).
Label – A written, printed, or graphic material, displayed on or affixed to containers of hazardous
chemicals.
Material Safety Data Sheet (MSDS) – A document required by government regulation for all hazardous
chemical substances produced and/or sold in the United States. Each MSDS sheet shall be in English
and shall contain the following information: the identity used on the label, physical and chemical
characteristics (vapor pressure, flash point, and so forth) physical and health hazards, primary routes of
entry, exposure limits, precautions for safe handling and use, control measures, emergency and first aid
procedures, and the chemical manufacturer’s name, address, and telephone number.
NFPA Flammability Hazard (Red) – This degree of hazard is measured by using the flash point assigned
to the product as specified on the material safety data sheet. (0, will not burn; 1, above 200F; 2, above
100 and below 200F; 3, below 100F; 4, below 73F)
NFPA Health Hazard (Blue) – The likelihood of a material to cause, either directly or indirectly,
temporary or permanent injury or incapacitation due to an acute exposure by contact, inhalation, or
ingestion. (0, normal material; 1, slightly hazardous; 2, moderately hazardous; 3, extreme danger; 4,

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
deadly)

Agreement Number 5600000770
Attachment 9
Amendment 7

NFPA Reactivity Hazard (Yellow) – The violent chemical reaction associated with the introduction of
water, chemicals could also polymerize, decompose or condense, become self-reactive, or otherwise
undergo a violent chemical change under conditions of shock, pressure, or temperature. (0, stable; 1,
unstable if heated; 2, violent chemical change; 3, shock and heat detonate; 4, may detonate)
NFPA Specific Hazard (White) – Other properties of the material that cause special problems or require
special
fire-fighting
techniques
(ACID=acid,
ALK=alkali,
COR=corrosive,
OXY=oxidizer,
P=polymerization, Y=radioactive).
Personal Protective Equipment (PPE) – Equipment intended to be worn by an individual to create a
barrier against workplace hazards.
Secondary Container – A portable container into which chemicals are transferred for use.
Toxic Material – A substance that through which chemical reaction or mixture can produce possible
injury or harm to the body by entry through the skin, digestive tract, or respiratory tract. The toxicity is
dependent on the quantity absorbed and the rate, method, and the site of absorption and the
concentration of the chemical.
It is possible that a substance may possess more then one of the above properties; therefore, the
safety requirements for all applicable properties should be considered.
II. PROCEDURAL GUIDELINES
Facility staff should control the use of flammable, toxic, and caustic substances through the use of a
comprehensive program that begins with a review of what chemicals are in use in a particular facility.
Controlling what is purchased is the critical first step in limiting the use of dangerous materials in increasing the
safety and security of both staff and inmates. A thorough review process by the safety officer or other
appropriate person or group can help to insure that the least dangerous product is used for a particular task.
The information contained in the MSDS is critical in choosing products.
Limiting the use of extremely dangerous material whenever possible is the best method of insuring the
highest degree of safety for staff and inmates alike.
Diluted products with a hazardous rating (0) or (1) for health, flammability and reactivity, using the
guidelines from the MSDS, do not meet the definition of toxic material. Issue logs for these substances are not
required but all containers must be labeled. MSDS sheets must be maintained on these substances and
readily available. An inventory of these products should be maintained in the primary storage area for general
control purposes but is not required at the usable area.
When more dangerous materials (2, 3, or 4) must be used, a system of inventories, issue logs, and
controlled storage must be instituted. At a minimum, the following areas must be addressed:
1. Stored material must be dispensed and inventoried in accordance with written operating procedures.
2. Storage areas or cabinets and/or storage areas must be kept inventoried and locked along with the
MSDS information pertaining to the items which are contained in that area. Flammable materials must
be stored in accordance with all appropriate codes and approved by the authority having jurisdiction.
3. When possible, all chemicals should be stored in their original container with the manufacturer’s label
intact. When chemicals are removed from the original to a secondary container, it will be labeled to
identify the contents.
4. The facility safety officer or other designated person must maintain a master index of all flammable,
caustic, and toxic substances used by a facility. Included with this will be all MSDS material on each
substance.
5. Spills and disposal must be addressed in accordance with the guidelines indicated on the MSDS sheet.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

6. A hazard communication program should be incorporated in the general staff training curriculum and a
specific training program for all offenders using a particular substance should be instituted in either
work or training activities.
7. At least annually, the control of toxic flammable and caustic chemicals should be reviewed to insure
continued compliance with all aspects of the program. Any deficiencies will be addressed with
remedial action.

Appendix E

Health Care Outcome Measures Worksheet
Standard
1A

Outcome
Measure
(1)
divided by
(2)
divided by
(3)
divided by
(4)
divided by
(5)
divided by
(6)
divided by
(7)
divided by
(8)
divided by
(9)
divided by
(10)
divided by
(11)
divided by
(12)

Health Care Outcomes

Numerator/Denominator

Number of offenders with a positive tuberculin skin
test in the past 12 months
Annual number of admissions in the past 12 months
Number of offenders diagnosed with active
tuberculosis in the past 12 months
Average daily population in the past 12 months
Number of conversions to a positive tuberculin skin
test in the past 12 months
Number of tuberculin skin tests given in the past 12
months
Number of offenders with a positive tuberculin skin
test who completed prophylaxis treatment for
tuberculosis in the past 12 months
Number of offenders with a positive tuberculin skin
test on prophylaxis treatment for tuberculosis in the
past 12 months
Number of Hepatitis C positive offenders in the past
12 months
Average daily population in the past 12 months
Number of HIV-positive offenders in the past 12
months
Average daily population in the past 12 months
Number of HIV-positive offenders who are being
treated with highly active antiretroviral treatment in the
past 12 months
Number of known HIV-positive offenders in the past
12 months
Number of offenders diagnosed with an Axis I
diagnosis (excluding sole diagnosis of substance
abuse) in the past 12 months
Average daily population in the past 12 months
Number of offender suicide attempts in the past 12
months
Average daily population in the past 12 months
Number of offender suicides in the past 12 months
Average daily population in the past 12 months
Number of deaths due to homicide in the past 12
months
Average daily population in the past 12 months
Number of deaths due to injuries in the past 12
months

Page 168 of 175

Value

Outcome
Measure

Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
divided by
(13)
divided by
(14)
divided by
(15)
divided by
(16)
divided by
(17)
divided by
(18)
divided by
(19)
divided by
(20)
divided by
(21)
divided by
(22)
divided by
(23)
divided by
(24)
divided by
(25)
divided by
(26)

Agreement Number 5600000770
Attachment 9
Amendment 7

Average daily population in the past 12 months
Number of medically expected deaths in the past 12
months
Average daily population in the past 12 months
Number of medically unexpected deaths in the past
12 months
Average daily population in the past 12 months
Number of offender admissions to infirmary (where
available) in the past 12 months
Average daily population in the past 12 months
Number of offender admissions to off-site hospitals in
the past 12 months
Average daily population in the past 12 months
Number of offenders transported off-site (via
ambulance or correctional vehicle) for treatment of
emergency health conditions in the past 12 months
Average daily population in the past 12 months
Number of offender specialty consults completed in
the past 12 months
Number of specialty consults (onsite or off-site)
ordered by primary health care provider (MD, NP, PA)
in the past 12 months
Number of offender grievances about access to
healthcare services found in favor of the offender in
the past 12 months
Number of offender grievances about access to
healthcare services in the past 12 months
Number of offender grievances related to quality of
health care found in favor of offender during a 12month period
Number of offender grievances related to quality of
health care during a 12-month period
Number of offender grievances related to unfair
treatment or rights violation found in favor of the
offender during a 12-month period
Number of offender grievances related to unfair
treatment or rights violation during a 12-month period
Number of offender grievances related to safety or
sanitation found in favor of the offender during a 12month period
Number of offender grievances related to safety or
sanitation during a 12-month period
Number of offender lawsuits about access to
healthcare services found in favor of the offender in
the past 12 months
Number of offender lawsuits about access to
healthcare services in the past 12 months
Number of individual sick call encounters in the past
12 months
Average daily population in the past 12 months
Number of physician visit contacts in the past 12
months
Average daily population in the past 12 months
Number of individualized dental treatment plans in the

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
divided by
(27)
divided by
(28)
divided by
(29)
divided by
(30)
divided by
(31)
divided by
(32)
divided by
(33)
divided by
(34)
divided by
(35)
divided by
(36)
divided by
2A

(1)
divided by
(2)
divided by
(3)
divided by
(4)
divided by
(5)

Agreement Number 5600000770
Attachment 9
Amendment 7

past 12 months
Average daily population in the past 12 months
Number of hypertensive offenders enrolled in chronic
care clinic in the past 12 months
Average daily population in the past 12 months
Number of diabetic offenders enrolled in chronic care
clinic in the past 12 months
Average daily population in the past 12 months
Number of incidents involving pharmaceuticals as
contraband in the past 12 months
Average daily population in the past 12 months
Number of cardiac diets received by offenders with
cardiac disease in the past 12 months
Number of cardiac diets prescribed in the past 12
months
Number of hypertensive diets received by offenders
with hypertension in the past 12 months
Number of hypertensive diets prescribed in the past
12 months
Number of diabetic diets received by offenders with
diabetes in the past 12 months
Number of diabetic diets prescribed in the past 12
months
Number of renal diets received by offenders with renal
disease in the past 12 months
Number of renal diets prescribed in the past 12
months
Number of needle stick injuries in the past 12 months
Number of employees on average in the past 12
months
Number of pharmacy-dispensing errors in the past 12
months
Number of prescriptions dispensed by the pharmacy
in the past 12 months
Number of nursing-medication-administration errors in
the past 12 months
Number of medications administered in the past 12
months
Number of staff with lapsed licensure and or
certification during a 12-month period
Number of licensed and or certified staff during a 12month period
Number of new employees during a 12-month period
who completed orientation training prior to
undertaking job assignments
Number of new employees during a 12-month period
Number of employees completing in-service training
requirements
Number of employees eligible
Number of staff turnover per position category (MD,
RN, LPN, medical records, and so forth) during a 12month period
Number of staff positions per category
Number of staff terminations for violation of drug-free

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
3A

divided by
(1)
divided by
(2)
divided by

4A

(1)
divided by
(2)

5A

(1)
divided by
(2)
divided by
(3)
divided by

6A

(1)
divided by
(2)
divided by
(3)
divided by
(4)
divided by
(5)
divided by
(6)
divided by

Agreement Number 5600000770
Attachment 9
Amendment 7

work policy during a 12-month period
Number of staff terminations during a 12-month period
Number of offender lawsuits related to unfair
treatment or rights violation found in favor of the
offender during a 12-month period
Number of offender lawsuits related to unfair
treatment or rights violation during a 12-month period
Number of state court malpractice or torte liability
cases found in favor of the offender during a 12-month
period
Number of state court malpractice or torte liability
cases during a 12-month period
Number of problems identified by internal review that
were corrected during a 12-month period
Number of problems identified by internal review
during a 12-month period
Vacancy rate for full-time equivalents for each
category within the health care staff, in other words,
physician, nursing, midlevel practitioner, ancillary
staff, during a 12-month period
Number of offenders diagnosed with hygiene related
conditions (scabies, lice, fungal infections) during a
12-month period
Average daily population during a 12-month period
Number of offender grievances related to hygiene
found in favor of the offender during a 12-month
period
Number of offender grievances related to hygiene
during a 12-month period
Number of offender lawsuits related to hygiene found
in favor of the offender during a 12-month period
Number of offender lawsuits related to hygiene during
a 12-month period
Number of fire code violations corrected during a 12month period
Number of fire code violations cited by jurisdictional
authority during a 12-month period
Number of offender injuries resulting from fires
requiring medical treatment in a 12-month period
Average daily population in a 12-month period
Number of offender injuries (other than fire) requiring
medical treatment in a 12-month period
Average daily population of offenders
Number of staff injuries resulting from fires requiring
medical treatment in a 12-month period
Average daily population of staff
Number of staff injuries (other than fire) requiring
medical treatment in a 12-month period
Average daily population of staff
Number of offender lawsuits related to safety or
sanitation found in favor of the offender during a 12month period
Number of offender lawsuits related to safety or
sanitation during a 12-month period

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
(7)

divided by
(8)
(9)
divided by
7A
7B

None
None

Agreement Number 5600000770
Attachment 9
Amendment 7

Number of assaults: offender/offender, offender/staff
during a 12-month period
Average daily population
Number of lost key incidents during a 12-month period
Number of health code violations corrected during a
12-month period
Number of health code violations during a 12-month
period

Appendix F

Organization Summary
Please complete a separate summary for each agency/facility and return to the American Correctional
Association.
1. Name of Agency/Facility __________________________________________________
Physical Address _______________________________________________________
Mailing Address (if different from above) _____________________________________
Telephone Number ______________________________________________________
2. Chief Executive Officer ___________________________________________________
Title __________________________________________________________________
E-mail Address _________________________________________________________
3. Accreditation Manager/Title ________________________________________________
Telephone Number ______________________________________________________
E-mail Address _________________________________________________________
4. Governing Authority or Parent Agency
5. The Agency/Facility is_____federal_____state_____county_____municipal_____private not for profit
_____private for profit
6. Date Agency/Facility Constructed or Established _______________________________
Date of Last Renovation __________________________________________________
7. State the Purpose of the Agency/Facility (attach additional pages, if necessary)
8. Designed Facility Capacity_______________ Current Population________________
9. Age Range of Population
Adults___________ Juveniles__________ Youthful Offenders __________ Age of criminal majority in
your jurisdiction___________ Number of offenders confined under that age__________
Are they housed separately from the adult population? Yes__________ No__________
10. Number of Satellite Facilities/District Offices (attach additional pages if necessary)
To be included in this accreditation? Yes__________ No__________
Name of Satellite Agency/Facility _________________________________________
Address _____________________________________________________________
Telephone Number ____________________________________________________
Distance from Main Complex _____________________________________________
Number of Satellite Personnel__________ Number of Offenders___________
Total Number of Offenders Under Field Supervision__________
11. Total Number of Full-Time Staff by Category
Administrative Support__________ Program_________ Security_________ Other_________
12. Average Length of Stay or Time Under Supervision: Years_______ Months______ Days______
13. Security Level(s) of Supervision (number in each category):
Maximum__________ Medium__________ Minimum__________
14. Physical Plant
Number of Buildings___________ Number of Single Cells__________
Number of Multiple Occupancy Cells___________ Cell Square Footage___________
Number of Segregation Cells (Administrative and Disciplinary)__________

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
15.
16.
17.
18.
19.

Agreement Number 5600000770
Attachment 9
Amendment 7

Dormitories___________ Dormitory Square Footage__________
Type of Medical Facility__________
Summary Description of Agency/Facility ___________________________________
Is this agency/facility accredited by any other organization? If yes, name and date ___________
Attach a copy of current organizational chart for agency/facility.
Attach a copy of authorizing statute or articles of incorporation.
If this agency/facility is under court order/litigation, please attach a copy of appropriate documents.

Signature_____________________________ Title___________________________
Print Name____________________________ Date__________________________

Appendix G

Self-Evaluation Report
The Self-Evaluation Report is required for all agencies undergoing accreditation or reaccreditation. It must be
submitted to ACA six weeks prior to your audit. If you would like to receive this document electronically, or if
you have any questions, please contact your regional manager.
Agency/Facility
City/State
I certify that this agency has achieved 100 percent compliance with all applicable mandatory standards and at
least 90 percent compliance with nonmandatory standards.
Name _________________________________________________________________________________
Title _________________________________________________________________________________
Date _________________________________________________________________________________
Compliance Tally

MANDATORY
NON-MANDATORY
Number of Standards in Manual
Number Not Applicable
Number Applicable
Number in Noncompliance
Number in Compliance
Percentage (%) of Compliance
 Number of Standards minus Number of Not Applicable equals Number Applicable
 Number Applicable minus Number in Noncompliance equals Number in Compliance
 Number in Compliance divided by Number Applicable equals Percentage of Compliance

Noncompliant Standards
Standard #
Reason for Noncompliance
1
2
3
4
5
6
7
8
9
10

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25

Not Applicable Standards
Standard #
Reason for Nonapplicability
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25

2010 ACA Standards Supplement Errata
Adult Correctional Institutions (ACI), 4th Edition
4-4006 Revised August 2008.

Page 174 of 175

Agreement Number 5600000770
Attachment 9
Amendment 7

Corrections Corporation of America
California Department of Corrections and Rehabilitation
ACA Standards

Agreement Number 5600000770
Attachment 9
Amendment 7

4-4007 Deleted August 2008.
4-4022 Deleted August 2008.
4-4212 This standard is MANDATORY.
4-4224 This standard is MANDATORY.
4-4385 Deleted January 2008.
4-4480 Revised August 2009.
Written policy, procedure, and practice provide incentives for
educational and/or vocational participation and formal recognition of specific
accomplishments.
COMMENT: Recognition of academic and vocational achievements, such as certification or graduation, is
helpful to inmates and provides general support for educational programs. Incentives may include pay, access
to preferred jobs and/or educational programs, or other special privileges.

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Corrections Corporation of America
California Department of Corrections and Rehabilitation  Facility Data Compilation Report (FDCR) 
FDCR Template
 4th Quarter 2014

Agreement Number 5600000770
Attachment 10
Amendment 7

(Facility Name)
(NAME OF FACILITY)

2nd Quarter
2015 PIT/S

2nd Quarter
2015 Avg

JUL

AUG

SEP

3rd Quarter 2015
Sum/Point In Time

Average

Transportation Dept

OMS

OMS

OMS

A. CUSTODY OPERATIONS
Permanent (Contracted) Housing Capacity Inmate Count
Authorized Beds

0

PIT

0

Beginning Count

0

PIT

0

Inmates Received

0

PIT

0

Inmates Departed

0

PIT

0

Unoccupiable beds due to "Redlined"

0

PIT

0
0

Ending Count (Filled Beds)

0

0

0

0

PIT

Vacant Beds

0

0

0

0

PIT

0

% Occupied

0%

0%

0%

0%

PIT

0%

0%

PIT

0%

0

0
0
0
0
0
0

PIT
PIT
PIT
PIT
PIT
PIT

0
0
0
0
0
0

0

0
0
0
0
0

PIT
PIT
PIT
PIT
PIT

0
0
0
0
0

0

0
0
0
0
0
0

0
0
0
0
0
0

0

0
0
0
0
0
0
0
0
0

PIT
PIT
PIT
PIT
PIT
PIT
A
S
S
S
S
S
S
S
S
S

0
0
0
0
0
0
0
0
0
0
0

PIT
PIT
PIT
PIT
PIT
PIT
PIT
PIT
PIT
PIT
PIT

0
0
0
0
0
0
0
0
0
0
0

% of CA Inmates in the Facility
Inmate Placement Score Level - General Pop
Level I
Level II
Level III
Level IV - Approved Override
Level IV - Awaiting Return to California
TOTALS - Must Match Ending Count
Inmate Custody Level - General Population
Maximum Custody (should match Ad Seg Pop)
Close Custody
Medium Custody
Minimum Custody - Awaiting Return to California
TOTALS - Must Match Ending Count
Inmate Age Group
18 to 25
26 to 35
36 to 39
40 to 69
70 and Over
TOTALS - Must Match Ending Count
Inmate Transfers
Inmates Received @ Facility (Should match line 6)
Inmates Returned for Parole Processing
Inmates Returned for Placement Rejection
Inmates Returned for Disciplinary
Inmates Returned for Medical Treatment
Inmates Returned for Mental Health Treatment
Inmates Returned for Other Reasons (court, criteria, etc)
Inmates Transferred to another CBU Facility
TOTALS - Must Match Inmates Departed
Administrative Segregation
New ASU Placements
Inmates Currently Serving SHU Term
Pending Disciplinary
Pending Investigation
Pending Endorsement
Inmates Currently on "LAYOVER"
Inmates Pending Transfer
Average Length of Stay
Actual Population (should match Max. Custody)
General Population Yard Endorsed
Sensitive Needs Yard Endorsed

0

0

0

0

0

0

0

0

0

0

0

0

0

0

Page 1 of 8

0
0
0
0
0
0
0
0
0

"COMMENTS"

Corrections Corporation of America
California Department of Corrections and Rehabilitation  Facility Data Compilation Report (FDCR) 
FDCR Template
 4th Quarter 2014

Agreement Number 5600000770
Attachment 10
Amendment 7

(Facility Name)
(NAME OF FACILITY)
Security Housing Unit Endorsed
American with Disabilities Act - Actual Population
Single Cell Inmates
With S-Suffix
Without S-Suffix
INMATE DISCIPLINARIES (115's) RVR's
Conduct
Batteries on Staff (should match #'s below)
Batteries on Inmates (should match #'s below)
Stimulants, Sedatives, and Alcohol
Misc. Contraband (tobacco, cell phones, etc.)
Other (list under Comments)
TOTALS
Total Percent - RVR's vs Pop
Serious 115's Lost to time constraints (Update previous
months for completed RVR's.)
CONTROLLED SUBSTANCE INVOLVED/U.A. (115's)
Methamphetamine
Marijuana
Heroin
Cocaine
Drug Paraphernalia/Other
Number of Random Drug Test Performed
Number of Positive Results
Number of Refusals - RVR Issued
BATTERY (115's)
BATTERY on STAFF (should match #'s above)
With Weapon
Without Weapon
BATTERY on INMATE (should match #'s above)
With Weapon
Without Weapon
MEDICAL (115's)
Attempted Suicide
Suicide
Natural Death
Homicide
Accidental
INDECENT EXPOSURE (115's)
Total number of incidents - 1st time and repeat offenders
Number of D.A. Referrals for Indecent Exposures Only
Total number of victims
Total number of documented mental health referrals
OTHER (115's)
Cell and Dayroom Extractions
Escapes
Melee/Riot
Fighting
Possession of a Weapon
Resisting Staff
Threatening Staff
Miscellaneous (Specify in comment section)
Number of D.A. Referrals
Departmental Executive Use of Force Review
TYPE OF FORCE (115's)
1. OC, Inflammatory Agent
2. OC/CS Defense Spray

2nd Quarter
2015 PIT/S

2nd Quarter
2015 Avg

JUL

0

0
0%

AUG

0

0
0%

SEP

0

0
0%

0

0

0

0

0

0

Page 2 of 8

3rd Quarter 2015
Sum/Point In Time
0
PIT
0
PIT
0
PIT
0
PIT
0
PIT

Average
0
0
0
0
0

0
0
0
0
0
0
0
0%

S
S
S
S
S
S
S
PIT

0
0
0
0
0
0
0
0%

0

S

0

0
0
0
0
0
0
0
0

S
S
S
S
S
S
S
S

0
0
0
0
0
0
0
0

0
0
0
0
0
0

S
S
S
S
S
S

0
0
0
0
0
0

0
0
0
0
0

S
S
S
S
S

0
0
0
0
0

0
0
0
0

S
S
S
S

0
0
0
0

0
0
0
0
0
0
0
0
0

S
S
S
S
S
S
S
S
S

0
0
0
0
0
0
0
0
0

0
0

S
S

0
0

"COMMENTS"

Corrections Corporation of America
California Department of Corrections and Rehabilitation  Facility Data Compilation Report (FDCR) 
FDCR Template
 4th Quarter 2014

Agreement Number 5600000770
Attachment 10
Amendment 7

(Facility Name)
(NAME OF FACILITY)
2. Physical Force
3. Baton
4. CN
5. 37 mm/40 mm
6. CS
7. Pepperball
8. 37mm
9. 38
10. Shotgun
11. Electronic Restraint Device (Stun Shield)
12. Other (list under Comments)
INCIDENT REPORTS (CDC 837 Reports)
Number of Incidents
Total Percent - 837's vs Pop
Number of Voided Incident Reports
Total Number Documenting Use of Force
Total Percent - UOF vs Pop
CONTROLLED SUBSTANCE INVOLVED/U.A. (837)
Methamphetamine
Marijuana
Heroin
Cocaine
Drug Paraphernalia/Other
Number of Random Drug Test Performed
Number of Positive Results
Number of Refusals
BATTERY (837)
BATTERY on STAFF
With Weapon
Without Weapon
BATTERY on INMATE
With Weapon
Without Weapon
MEDICAL (837)
Attempted Suicide
Suicide
Natural Death
Homicide
Accidental
INDECENT EXPOSURE (837)
Total number of incidents - 1st time and repeat offenders
Number of D.A. Referrals for Indecent Exposures Only
Total number of victims
Total number of documented mental health referrals
OTHER (837)
Cell and Dayroom Extractions
Escapes
Melee/Riot
Fighting
Possession of a Weapon
Resisting Staff
Threatening Staff
Miscellaneous (Specify in comment section)
Number of D.A. Referrals
Departmental Executive Use of Force Review
TYPE OF FORCE (837)
1. OC, Inflammatory Agent

2nd Quarter
2015 PIT/S

2nd Quarter
2015 Avg

JUL

AUG

SEP

0%

0%

0%

0%

0%

0%

0

0

0

0

0

0

Page 3 of 8

3rd Quarter 2015
Sum/Point In Time
0
S
0
S
0
S
0
S
0
S
0
S
0
S
0
S
0
S
0
S
0
S

Average
0
0
0
0
0
0
0
0
0
0
0

0
0%
0
0
0%

S
PIT
S
S
PIT

0
0%
0
0
0%

0
0
0
0
0
0
0
0

S
S
S
S
S
S
S
S

0
0
0
0
0
0
0
0

0
0
0
0
0
0

S
S
S
S
S
S

0
0
0
0
0
0

0
0
0
0
0

S
S
S
S
S

0
0
0
0
0

0
0
0
0

S
S
S
S

0
0
0
0

0
0
0
0
0
0
0
0
0

S
S
S
S
S
S
S
S
S

0
0
0
0
0
0
0
0
0

0

S

0

"COMMENTS"

Corrections Corporation of America
California Department of Corrections and Rehabilitation  Facility Data Compilation Report (FDCR) 
FDCR Template
 4th Quarter 2014

Agreement Number 5600000770
Attachment 10
Amendment 7

(Facility Name)
(NAME OF FACILITY)
2. OC/CS Defense Spray
2. Physical Force
3. Baton
4. CN
5. 37 mm/40 mm
6. CS
7. Pepperball
8. 37mm
9. 38
10. Shotgun
11. Electronic Restraint Device (Stun Shield)
12. Other (list under Comments)
Lockdown/Modified Program
# of Program Status Reports Initiated
# of Program Status Reports Closed
# of Program Status Reports Open
Total # of Days on Lockdown/Modified Program (Partial and
Full) During the Month
B. PROGRAMS
Education - Traditional Acad. Ed. Programs (1:27 ratio) IM
Ed Assignment - ESL
Total Available Full-Time Assignments
Total Inmates Assigned
Total Available Half-Time Assignments
Total Inmates Assigned
Total Inmates on Waiting List
Total Inmate Capacity
Total Inmate Enrollment
% of Total Capacity Enrolled
Total Hours X-Time (total hrs Im attends)
Total Hours S-Time (hrs. Im unable to attend)
Total S-Time Custody (Hrs. Im unable to attend due to
lockdowns, modified prog., weather, etc.)

2nd Quarter
2015 PIT/S

2nd Quarter
2015 Avg

JUL

AUG

SEP

0
0
0%

0
0
0%

0
0
0%

0.00

0.00

0.00

Total S-Time Ed. (Hrs. Im unable to attend due to class
suspension, teacher vacancy, absence, training, etc.)
Average Reading Level of Inmates
Inmate Education Assignments - ABE I & II
Total Available Full-Time Assignments
Total Inmates Assigned
Total Available Half-Time Assignments
Total Inmates Assigned
Total Inmates on Waiting List
Total Inmate Capacity
Total Inmate Enrollment
% of Total Capacity Enrolled
Total Hours X-Time (total hrs Im attends)
Total Hours S-Time (hrs. Im unable to attend)
Total S-Time Custody (Hrs. Im unable to attend due to
lockdowns, modified prog., weather, etc.)

0
0
0%

0
0
0%

0
0
0%

0.00

0.00

0.00

Total S-Time Ed. (Hrs. Im unable to attend due to class
suspension, teacher vacancy, absence, training, etc.)
Average Reading Level of Inmates
Inmate Education Assignments - GED, ABE III
Total Available Full-Time Assignments
Total Inmates Assigned

Page 4 of 8

3rd Quarter 2015
Sum/Point In Time
0
S
0
S
0
S
0
S
0
S
0
S
0
S
0
S
0
S
0
S
0
S
0
S

Average
0
0
0
0
0
0
0
0
0
0
0
0

0
0
0

S
S
PIT

0
0
0

0

S

0

0
0
0
0
0
0
0
0%
0.00
0.00

PIT
PIT
PIT
PIT
PIT
PIT
PIT
PIT
S
S

0
0
0
0
0
0
0
0%
0
0

0.00

S

0

0.00

S

0

0

PIT

0

0
0
0
0
0
0
0
0%
0.00
0.00

PIT
PIT
PIT
PIT
PIT
PIT
PIT
PIT
S
S

0
0
0
0
0
0
0
0%
0
0

0.00

S

0

0.00

S

0

0

PIT

0

0
0

PIT
PIT

0
0

"COMMENTS"

Corrections Corporation of America
California Department of Corrections and Rehabilitation  Facility Data Compilation Report (FDCR) 
FDCR Template
 4th Quarter 2014

Agreement Number 5600000770
Attachment 10
Amendment 7

(Facility Name)
(NAME OF FACILITY)
Total Available Half-Time Assignments
Total Inmates Assigned
Total Inmates on Waiting List
Total Inmate Capacity
Total Inmate Enrollment
% of Total Capacity Enrolled
Total Hours X-Time (total hrs Im attends)
Total Hours S-Time (hrs. Im unable to attend)
Total S-Time Custody (Hrs. Im unable to attend due to
lockdowns, modified prog., weather, etc.)

2nd Quarter
2015 PIT/S

2nd Quarter
2015 Avg

JUL

AUG

SEP

0
0
0%

0
0
0%

0
0
0%

0.00

0.00

0.00

Total S-Time Ed. (Hrs. Im unable to attend due to class
suspension, teacher vacancy, absence, training, etc.)
Number of Program Completions (GED, HS)
Average Reading Level of Inmates
Inmate Education Assignments - Mexican Ed
Total Available Full-Time Assignments
Total Inmates Assigned
Total Available Half-Time Assignments
Total Inmates Assigned
Total Inmates on Waiting List
Total Inmate Capacity
Total Inmate Enrollment
% of Total Capacity Enrolled
Total Hours X-Time (total hrs Im attends)
Total Hours S-Time (hrs. Im unable to attend)
Total S-Time Custody (Hrs. Im unable to attend due to
lockdowns, modified prog., weather, etc.)

0
0
0%

0
0
0%

0
0
0%

0.00

0.00

0.00

Total S-Time Ed. (Hrs. Im unable to attend due to class
suspension, teacher vacancy, absence, training, etc.)
Number of Program Completions
Average Reading Level of Inmates
Alternative Education Models

Total Number Independent Study Students
Total Number Distance Learning Students
College Programs
Actual Inmate Enrollment
Total Completions
Inmate Vocational Assignments / Programs
Total Available Full-Time Assignments
Total Inmates Assigned
Total Available Half-Time Assignments
Total Inmates Assigned
Total Inmates on Waiting List
Total Inmate Capacity
Total Inmate Enrollment
% of Total Capacity Enrolled
Total X-Time
Total Hours S-Time (hrs. Im unable to attend)
Total S-Time Custody
Total S-Time Education
Number of Program Completions (Certificates earned)
Education / Vocational Program Totals
Total Inmates with only 1 Half Time Assignment

0
0
0%

0
0
0%

0
0
0%

0.00

0.00

0.00

Page 5 of 8

3rd Quarter 2015
Sum/Point In Time
0
PIT
0
PIT
0
PIT
0
PIT
0
PIT
0%
PIT
0.00
S
0.00
S

Average

"COMMENTS"

0
0
0
0
0
0%
0
0

0.00

S

0

0.00

S

0

0
0

S
PIT

0
0

0
0
0
0
0
0
0
0%
0.00
0.00

PIT
PIT
PIT
PIT
PIT
PIT
PIT
PIT
S
S

0
0
0
0
0
0
0
0%
0
0

0.00

S

0

0.00

S

0

0
0

S
PIT

0
0

0

PIT

0

0

PIT

0

0
0

PIT
PIT

0
0

0
0
0
0
0
0
0
0%
0.00
0.00
0.00
0
0

PIT
PIT
PIT
PIT
PIT
PIT
PIT
PIT
S
S
S
S
S

0
0
0
0
0
0
0
0%
0
0
0
0
0

0

PIT

0

Independent Studies: Psychology,
Counseling, Business and Business
Management, Spanish Philosophy, Humanity,
Paralegal, English Literature

Corrections Corporation of America
California Department of Corrections and Rehabilitation  Facility Data Compilation Report (FDCR) 
FDCR Template
 4th Quarter 2014

Agreement Number 5600000770
Attachment 10
Amendment 7

(Facility Name)
(NAME OF FACILITY)
Total Inmate Capacity
Actual Inmate Enrollment
Residential Drug Addiction Treatment Program (RDAP)
RDAP Program Slots
RDAP Slots Filled
% of RDAP Slots Filled
Total Inmates on Waiting List
Number of Program Completions
Inmate Work Assignments
Total Available Full-Time Assignments
Total Inmates Assigned
Total Available Half-Time Assignments
Total Inmates Assigned
Total Inmates on Waiting List
Total Available Assignments
Total Inmate Assigned
% of Total Capacity Enrolled
(# enrolled/Im capacity)
Total Inmates with only 1 Half Time Assignment
Total Inmate Program Participation
TOTAL POPULATION (as shown above)
Total Assigned Inmates
Total Ineligible Inmates
Total Eligible but unassigned Inmates
% of Unassigned Inmates
Self Help Groups
Alcoholics Anonymous
Total Number of Meetings
Average Number of Inmate Attendees
Narcotics Anonymous
Total Number of Meetings
Average Number of Inmate Attendees
Other (Veteran's, Parenting, Anger Mgmt, Etc.)
Total Number of Meetings
Average Number of Inmate Attendees
Religious Services
Average # of Services Per Week
Catholic
Jewish
Muslim
Native American
Protestant

2nd Quarter
2015 PIT/S

2nd Quarter
2015 Avg

JUL

AUG

SEP

0
0

0
0

0
0

0%

0%

0%

3rd Quarter 2015
Sum/Point In Time
0
PIT
0
PIT

Average
0
0

0
0
0%
0
0

PIT
PIT
PIT
PIT
PIT

0
0
0%
0
0

PIT
PIT
PIT
PIT
PIT
PIT
PIT

0
0
0
0
0
0
0

0
0

0
0

0
0

0
0
0
0
0
0
0

0%

0%

0%

0%

PIT

0%

0

PIT

0

0

0

0

0
0

PIT
PIT

0
0

0
0%

0
0%

0
0%

0

PIT

0

0
0

PIT
PIT

0
0

0
0

PIT
PIT

0
0

0
0

PIT
PIT

0
0

0
0
0
0
0

PIT
PIT
PIT
PIT
PIT

0
0
0
0
0

0

PIT

0

0
0
0
0
0
0

PIT
PIT
PIT
PIT
PIT
PIT

0
0
0
0
0
0

Other (list under Comments)
Average # of Inmates Attending Per Service
Catholic
Jewish
Muslim
Native American
Protestant
Other
C. ADMINISTRATION
Personnel Vacancies - CDCR Dedicated Only
Custody
Authorized Positions
Personnel Staffing effective first day of the Month

"COMMENTS"

Buddist, Asatru, LDS, Jehovah's Witness,
Unitarian, Messianic

PLEASE PROVIDE VACANT POSITIONS

0
0

Page 6 of 8

PIT
PIT

0
0

Corrections Corporation of America
California Department of Corrections and Rehabilitation  Facility Data Compilation Report (FDCR) 
FDCR Template
 4th Quarter 2014

Agreement Number 5600000770
Attachment 10
Amendment 7

(Facility Name)
(NAME OF FACILITY)
Personnel Staffing effective last day of the Month
Total Number of Vacancies
Vacancy Rate
# of shifts run without full custody staffing
Education Positions
Authorized Positions
Personnel Staffing eff. 1st day of the Month
Personnel Staffing eff. last day of the Month
Total Number of Vacancies
Vacancy Rate
Medical Positions
Authorized Positions
Personnel Staffing effective first day of the Month
Personnel Staffing effective last day of the Month
Total Number of Vacancies
Vacancy Rate
Support Staff
Authorized Positions
Personnel Staffing effective first day of the Month
Personnel Staffing effective last day of the Month
Total Number of Vacancies
Vacancy Rate
Management
Authorized Positions
Personnel Staffing effective first day of the Month
Personnel Staffing effective last day of the Month
Total Number of Vacancies
Vacancy Rate
TOTAL ADMINISTRATIVE STAFF
Adverse Actions - Problem Solving Notices (PSN's)
Over familiarity
Prisoner Mistreatment
Inefficiency
Misc
Total
% to Total Staff
Dismissals
SORT
Allotted Positions
Positions filled
% of Positions Filled
Minimum SORT staffing on Watch
First Shift
Second Shift
Third Shift
Formal Training Hours
Formal Training Drills

2nd Quarter
2015 PIT/S

2nd Quarter
2015 Avg

JUL

AUG

SEP

0
0%

0
0%

0
0%

0
0%

0
0%

0
0%

0
0%
0

0
0%

0%

0
0%

0
0%

0
0%

0
0%
0

0
0%

0%

Canteen Sales)

Average

0
0%

PIT
PIT
PIT
PIT
PIT

0
0
0
0
0%

0
0%

0
0
0
0
0%

PIT
PIT
PIT
PIT
PIT

0
0
0
0
0%

0
0%

0
0
0
0
0%

PIT
PIT
PIT
PIT
PIT

0
0
0
0
0%

0
0%
0

0
0
0
0
0%
0

PIT
PIT
PIT
PIT
PIT
PIT

0
0
0
0
0%
0

0
0
0
0
0
0%
0

S
S
S
S
S
PIT
S

0
0
0
0
0
0%
0

0
0
0%
0
0
0
0
0

PIT
PIT
PIT
PIT
PIT
PIT
S
S

0
0
0%
0
0
0
0
0

$0.00

PIT

$0.00

0
0%

0%

"COMMENTS"

0
0
0%
0

0
0
0
0
0%

Inmate Welfare Fund
STARTING BALANCE:

DEPOSITS:
Total Monthly Canteen Sales:
Total Monthly Non-Canteen Sales:
Total Sales Revenue: (Total Canteen Sales + Total Non-

3rd Quarter 2015
Sum/Point In Time
0
PIT
0
PIT
0%
PIT
0
S

Per Chief Deputy Warden - Very IMPORTANT
this be completed and as accurate as
possible.

MUST COMPLETE BOTH INMATE WELFARE
TABS BELOW: Inmate Welfare Worksheet
AND Inmate Welfare Tracking

$0.00

$0.00

Page 7 of 8

$0.00

$0.00
$0.00

S
S

$0.00
$0.00

$0.00

S

$0.00

Corrections Corporation of America
California Department of Corrections and Rehabilitation  Facility Data Compilation Report (FDCR) 
FDCR Template
 4th Quarter 2014

Agreement Number 5600000770
Attachment 10
Amendment 7

(Facility Name)
(NAME OF FACILITY)

2nd Quarter
2015 PIT/S

2nd Quarter
2015 Avg

JUL

AUG

SEP

Total Monthly Non-Commissary Deposits:
Total Monthly Rebates:
Total Monthly Commissions:
EXPENDITURES:

3rd Quarter 2015
Sum/Point In Time
$0.00
S
$0.00
S
$0.00
S

Average
$0.00
$0.00
$0.00

Inmate Benefits:
Canteen:
Handicraft:
Photo Project:
Administration:
Staff Benefits:
Inmate Pay:

$0.00

$0.00

$0.00

$0.00

S

$0.00

$0.00
$0.00
$0.00
$0.00
$0.00
$0.00

$0.00
$0.00
$0.00
$0.00
$0.00
$0.00

$0.00
$0.00
$0.00
$0.00
$0.00
$0.00

$0.00
$0.00
$0.00
$0.00
$0.00
$0.00

S
S
S
S
S
S

$0.00
$0.00
$0.00
$0.00
$0.00
$0.00

Miscellaneous Operating Expenses:
Subtotal:
Tax %:

$0.00

$0.00

$0.00

$0.00

S

$0.00

$0.00

$0.00

$0.00

$0.00
0%

S
PIT

$0.00
0%

Total Sales Tax: (Tax % * (Canteen Items + Inmate Benefits))
Total IWF Expenditures: (Subtotal+ Total Sales Tax)
Total Sales to California Inmates:
% of Sales sold to California Inmates: (Total Sales to
California Inmates * 100 / Total Sales Revenue)
Gross Sales Profit: (Total Sales Revenue – Total Operating
Expense)
Gross Sales Margin %: (Total Sales Revenue – Operating
Expense / Total Sales Revenue)
ENDING BALANCE: (Starting Balance + Total Sales Revenue +
Non-Commissary Deposits + Monthly Rebates and Commissions Total IWF Expenditures)

$0.00

$0.00

$0.00

$0.00

S

$0.00

$0.00

$0.00

$0.00

$0.00
$0.00

S
S

$0.00
$0.00

0%

0%

0%

0.00%

PIT

0.00%

$0.00

$0.00

$0.00

$0.00

S

$0.00

0%

0%

0%

0%

PIT

0%

$0.00

$0.00

$0.00

$0.00

PIT

$0.00

Page 8 of 8

"COMMENTS"

FORMULA DRIVEN FROM THE Inmate

Welfare Worksheet

MUST BE EXPLAINED ON THE Inmate
Welfare Worksheet

Corrections Corporation of America
Agreement Number 5600000770
California Department of Corrections And Rehabilitation (CDCR)
Exhibit B
Budget Details and Payment Provisions
Amendment 7
1.

Invoicing and Payment
a. For services satisfactorily rendered, and upon receipt and approval of
Contractor’s invoices, the State agrees to compensate the Contractor in
accordance with the rates specified herein on Exhibit B-1 through B-5 Rate
Sheet, and made a part of this Agreement. Exhibit B-1 Rate Sheet shall remain
in force for the stated term of this Agreement and shall include every item of
expense, direct and indirect, including taxes incidental to the specified rates.
b. Invoices shall include the Agreement Number, Purchase Order Number and shall
be submitted in triplicate not more frequently than monthly in arrears to the
address provided below.
c. The Contractor also has the option to submit their invoices electronically to the
appropriate email address listed below. The Contractor must use the name on
the Agreement and the Agreement Number on the subject line of the email. The
email must include an attached PDF file of the invoice, in accordance with the
information above, and must reference the institution acronym and invoice
number. Separate emails shall be sent for contracts with more than one
participating institution, facility, office and/or site with the invoice information as
stated above.
1) To submit invoices for all Headquarters contracts (DAPO, DAI, DRP,
Legal, Office of Offender Services, etc):
California Department of Corrections and Rehabilitation (CDCR)
Sacramento Accounting Office
Attention: Accounts Payable A
P.O. Box 187015
Sacramento, CA 95818-7015
For electronic submission, send invoices to:
APAContractInvoice@cdcr.ca.gov

2.

Budget Contingency Clause
a.

It is mutually agreed that if the California State Budget Act for the current fiscal
year and/or any subsequent fiscal years covered under this Agreement does not
appropriate sufficient funds for the program, this Agreement shall be of no
further force and effect. In this event, the State shall have no liability to pay any
funds whatsoever to Contractor, or to furnish any other considerations under this
Agreement, and Contractor shall not be obligated to perform any provisions of
this Agreement.

b.

If funding for the purposes of this program is reduced or deleted for any fiscal
year by the California State Budget Act, the State shall have the option to either
cancel this Agreement with no liability occurring to the State, or offer an
Agreement amendment to Contractor to reflect the reduced amount.

Page 1 of 2

Corrections Corporation of America
Agreement Number 5600000770
California Department of Corrections And Rehabilitation (CDCR)
Exhibit B
Budget Details and Payment Provisions
Amendment 7
3.

Prompt Payment Clause
Payment will be made in accordance with, and within the time specified in, Government
Code Chapter 4.5, commencing with Section 927. Payment to small/micro businesses
shall be made in accordance with and within the time specified in Chapter 4.5,
Government Code 927 et seq.

4.

Subcontractors
Nothing contained in this Agreement, or otherwise, shall create any contractual relation
between the State and any subcontractors, and no subcontract shall relieve the
Contractor of Contractor’s responsibilities and obligations hereunder. The Contractor
agrees to be as fully responsible to the State for the acts and omissions of its
subcontractors and of persons either directly or indirectly employed by any of them as it
is for the acts and omissions of persons directly employed by the Contractor. The
Contractor’s obligation to pay its subcontractors is an independent obligation from the
State’s obligation to make payments to the Contractor. As a result, the State shall have
no obligation to pay or to enforce the payment of any moneys to any subcontractor.

Page 2 of 2

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Rate Sheet

Agreement Number 5600000770
Exhibit B-1
Amendment 7

CDCR California Out of State Correctional Facilities
Maximum Per Diem for FY 2015/16*
January 1, 2016 to June 30, 2016
Maximum Per Diem for FY 2016/17*
July 1, 2016 to June 30, 2017
Maximum Per Diem for FY 2017/18*
July 1, 2017 to June 30, 2018
Maximum Per Diem for FY 2018/19*
July 1, 2018 to June 30, 2019

TOTAL for FY 15/16, 16/17, 17/18, 18/19

$76,493,890.20
$153,895,042.52
$154,877,045.82
$155,859,049.12

$541,125,027.66

*Maximum Per Diem is based on the agreed upon contract bed usage. CDCR payment
will be based on actual occupancy.
PROPOSED FACILITIES
PER DIEM
La Palma Correctional Center (LPCC)
$67.34
Tallahatchie County Correctional Facility (TCCF) **
$60.00
Florence Correctional Center (FCC)
$67.34
North Fork Correctional Facility (NFCF)
$61.00
**The Per Diem for TCCF will increase by $1.00 every January 1st starting
January 1, 2017 thru January 1, 2019.

Page 1 of 1

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Rate Sheet

Agreement Number 5600000770
Exhibit B-2
Amendment 7

CDCR California Out of State Correctional Facilities
January 1, 2016 – June 30, 2016
Maximum
Average Daily
Population*
6562

X

Average
Daily Per
Diem*
$64.05

X

# of Days from
1/1/16 – 6/30/16

Maximum Annual Per Diem
Amount

182

$76,493,890.20

*Maximum Per Diem is based on the agreed upon contract bed usage. CDCR payment will
be based on actual occupancy.

PROPOSED FACILITIES
La Palma Correctional Center (LPCC)
Tallahatchie County Correctional Facility (TCCF)
Florence Correctional Center (FCC)
North Fork Correctional Facility (NFCF)

Page 1 of 1

PER DIEM
$67.34
$60.00
$67.34
$61.00

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Rate Sheet

Agreement Number 5600000770
Exhibit B-3
Amendment 7

CDCR California Out of State Correctional Facilities
July 1, 2016 – December 31, 2016
Maximum
Average Daily
Population*
6562

X

Average
Daily Per
Diem
$64.05

X

# of Days from
7/1/16 – 12/31/16

Maximum Per Diem
Amount

184

$77,334,482.40

*Maximum Per Diem is based on the agreed upon contract bed usage. CDCR payment will
be based on actual occupancy.
PROPOSED FACILITIES
La Palma Correctional Center (LPCC)
Tallahatchie County Correctional Facility (TCCF)
Florence Correctional Center (FCC)
North Fork Correctional Facility (NFCF)

PER DIEM
$67.34
$60.00
$67.34
$61.00

January 1, 2017 – June 30, 2017
Maximum
Average Daily
Population*
6562

X

Average
Daily Per
Diem
$64.46

X

# of Days from
1/1/17 – 6/30/17

Maximum Per Diem
Amount

181

$76,560,560.12

*Maximum Per Diem is based on the agreed upon contract bed usage. CDCR payment will
be based on actual occupancy.
PROPOSED FACILITIES
La Palma Correctional Center (LPCC)
Tallahatchie County Correctional Facility (TCCF)
Florence Correctional Center (FCC)
North Fork Correctional Facility (NFCF)

The maximum amount of the contract for FY 16/17 is: $153,895,042.52.

Page 1 of 1

PER DIEM
$67.34
$61.00
$67.34
$61.00

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Rate Sheet

Agreement Number 5600000770
Exhibit B-4
Amendment 7

CDCR California Out of State Correctional Facilities
July 1, 2017 – December 31, 2017
Maximum
Average Daily
Population*
6562

X

Average
Daily Per
Diem
$64.46

X

# of Days from
7/1/17 – 12/31/17

Maximum Per Diem
Amount

184

$77,829,519.68

*Maximum Per Diem is based on the agreed upon contract bed usage. CDCR payment will
be based on actual occupancy.
PROPOSED FACILITIES
La Palma Correctional Center (LPCC)
Tallahatchie County Correctional Facility (TCCF)
Florence Correctional Center (FCC)
North Fork Correctional Facility (NFCF)

PER DIEM
$67.34
$61.00
$67.34
$61.00

January 1, 2018 – June 30, 2018
Maximum
Average Daily
Population*
6562

X

Average
Daily Per
Diem
$64.87

X

# of Days from
1/1/18 – 6/30/18

Maximum Per Diem
Amount

184

$77,047,526.14

*Maximum Per Diem is based on the agreed upon contract bed usage. CDCR payment will
be based on actual occupancy.
PROPOSED FACILITIES
La Palma Correctional Center (LPCC)
Tallahatchie County Correctional Facility (TCCF)
Florence Correctional Center (FCC)
North Fork Correctional Facility (NFCF)

PER DIEM
$67.34
$62.00
$67.34
$61.00

The maximum amount of the contract for FY 17/18 is: $154,877,045.82.

Page 1 of 1

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Rate Sheet

Agreement Number 5600000770
Exhibit B-5
Amendment 7

CDCR California Out of State Correctional Facilities
July 1, 2018 – December 31, 2018
Maximum
Average Daily
Population*
6562

X

Average
Daily Per
Diem
$64.87

X

# of Days from
7/1/18 – 12/31/18

Maximum Per Diem Amount

184

$78,324,556.96

*Maximum Per Diem is based on the agreed upon contract bed usage. CDCR payment will be
based on actual occupancy.
PROPOSED FACILITIES
La Palma Correctional Center (LPCC)
Tallahatchie County Correctional Facility (TCCF)
Florence Correctional Center (FCC)
North Fork Correctional Facility (NFCF)

PER DIEM
$67.34
$62.00
$67.34
$61.00

January 1, 2019 – June 30, 2019
Maximum
Average Daily
Population*
6562

X

Average
Daily Per
Diem
$65.28

X

# of Days from
1/1/19 – 6/30/19

Maximum Per Diem Amount

181

$77,534,492.16

*Maximum Per Diem is based on the agreed upon contract bed usage. CDCR payment will be
based on actual occupancy.
PROPOSED FACILITIES
La Palma Correctional Center (LPCC)
Tallahatchie County Correctional Facility (TCCF)
Florence Correctional Center (FCC)
North Fork Correctional Facility (NFCF)

The maximum amount of the contract for FY 18/19 is: $155,859,049.12.

Page 1 of 1

PER DIEM
$67.34
$63.00
$67.34
$61.00

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)

Agreement Number 5600000770
Exhibit F
Amendment 7

BUSINESS ASSOCIATES AGREEMENT (HIPAA)
Out of State Housing
WHEREAS, Provider, hereinafter referred to in this Exhibit as “Business Associate,”
acknowledges that the CDCR, hereinafter referred to in this Exhibit as “Covered Entity,” has in
its possession data that contains individual identifiable health information as defined by Health
Insurance Portability and Accountability Act of 1996, Pub. L. No. 104-191 ("HIPAA") and the
regulations promulgated thereunder;
WHEREAS, Business Associate and Covered Entity acknowledge that the fulfillment of
the Parties' obligations under this Service Agreement necessitates the exchange of, or access
to, data including individual identifiable health information; and,
WHEREAS, the parties desire to comply with federal and California laws regarding the
use and disclosure of individually identifiable health information, and in particular with the
provisions of the federal Health Insurance Portability and Accountability Act of 1996 (HIPAA)
and the regulations promulgated thereunder.
NOW, THEREFORE, in consideration of the mutual promises and covenants hereinafter
contained, the Parties agree as follows:
ARTICLE 1
DEFINITIONS
Terms used, but not otherwise defined, in this Exhibit shall have the meanings set forth below.
1.1

"HHS Transaction Standard Regulation" means the Code of Federal Regulations
("CFR") at Title 45, Sections 160 and 162.

1.2

“Individual” means the subject of protected health information (PHI) or, if deceased, his
or her personal representative.

1.3

"Parties" shall mean the Covered Entity and Business Associate. (Covered Entity and
Business Associate, individually, may be referred to as a "Party".)

1.4

“Privacy Rule” shall mean the Standards for Privacy of Individually Identifiable Health
Information at 45 CFR Part 160 and Part 164, Subparts A and E.

1.5

“PHI” shall have the same meaning as the term “protected health information” in 45 CFR
§164.501, limited to the information created or received by Business Associate from or
on behalf of the Covered Entity.

1.6

“Required By Law” shall have the same meaning as “required by law” in 45 CFR
§164.501.

Page 1 of 15

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)
1.7

Agreement Number 5600000770
Exhibit F
Amendment 7

“Secretary” shall mean the Secretary of the Department of Health and Human Services
or his designee.

Any other terms used, but not otherwise defined, in this Exhibit shall have the same meaning as
those terms in the Privacy Rule.
ARTICLE 2
CONFIDENTIALITY
2.1

Obligations and Activities of Business Associate. Business Associate agrees as follows:
(a)

not to use or further disclose PHI other than as permitted or required by this
Agreement or as Required By Law;

(b)

to establish, maintain, and use appropriate safeguards to prevent use or
disclosure of the PHI other than as permitted herein;

(c)

to report to Covered Entity any use, access or disclosure of the PHI not provided
for by this Agreement, or any misuse of the PHI, including but not limited to
systems compromises of which it becomes aware and to mitigate, to the extent
practicable, any harmful effect that is known to Business Associate as a result
thereof. Business Associate shall be responsible for any and all costs (including
the costs of Covered Entity) associated with mitigating or remedying any violation
of this Agreement;

(d)

to enforce and maintain appropriate policies, procedures, and access control
mechanisms to ensure that any agent, including a subcontractor, to whom it
provides PHI received from, or created or received by Business Associate on
behalf of Covered Entity agrees to the same restrictions and conditions that apply
through this Agreement to Business Associate with respect to such information.
The access and privileges granted to any such agent shall be the minimum
necessary to perform the assigned functions;

(e)

to provide access, at the request of Covered Entity, and in the time and manner
reasonable designated by Covered Entity, to PHI in a Designated Record Set (as
defined in the Privacy Rule), to Covered Entity or, as directed by Covered Entity,
to an Individual in order to meet the requirements under 45 CFR §164.524;

(f)

to make any amendment(s) to PHI in a Designated Record Set that the Covered
Entity directs or agrees to pursuant to 45 CFR §164.526 at the request of
Covered Entity or an Individual, and in the time and manner reasonably
requested by Covered Entity.

(g)

to make internal practices, books, and records relating to the use and disclosure
of PHI received from, or created or received by Business Associate on behalf of,
Covered Entity available to the Covered Entity, or at the request of the Covered
Entity to the Secretary, in a time and manner reasonably requested by Covered
Entity or designated by the Secretary, for purposes of the Secretary determining
Covered Entity’s compliance with the Privacy Rule.

(h)

to document such disclosures of PHI, and information related to such
disclosures, as would be required for Covered Entity to respond to a request by
an Individual for an accounting of disclosures of PHI in accordance with 45 CFR
Page 2 of 15

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)

Agreement Number 5600000770
Exhibit F
Amendment 7

§164.528. Said documentation shall include, but not be limited to, the date of the
disclosure, the name and, if known, the address of the recipient of the PHI, a
brief description of the PHI disclosed, and the purpose of the disclosure. Said
documentation shall be made available to Covered Entity upon request.
(i)

to provide to Covered Entity or an Individual, in a time and manner reasonably
requested by Covered Entity, information collected in accordance with Section
2.1(h) above to permit Covered Entity to respond to a request by an Individual for
an accounting of disclosures of PHI in accordance with 45 CFR §164.528.

(j)

to promptly notify Covered Entity of all actual or suspected instances of
deliberate unauthorized attempts (both successful and unsuccessful) to access
PHI. Such notice shall be made to Covered Entity by telephone as soon as
Business Associate becomes aware of the unauthorized attempt, and this
telephone notification shall be followed within two (2) calendar days of the
discovery of the unauthorized attempt by a written report to Covered Entity from
Business Associate. Business Associate shall, at the same time, report to
Covered Entity any remedial action taken, or proposed to be taken, with respect
to such unauthorized attempt. Covered Entity shall have the discretion to
determine whether or not any such remedial action is sufficient, and all such
remedial action shall be at Business Associate’s expense.

(k)

to maintain and enforce policies, procedures and processes to protect physical
access to hardware, software and/or media containing PHI (e.g., hardcopy,
tapes, removable media, etc. ) against unauthorized physical access during use,
storage, transportation, disposition and /or destruction.

(l)

to ensure that access controls in place to protect PHI and processing resources
from unauthorized access are controlled by two-factor identification and
authentication: a user ID and a Token, Password or Biometrics.

(m)

to implement, use and monitor its compliance with appropriate technological,
administrative and physical safeguards to prevent the use or disclosure of PHI
other than as permitted by this Agreement. Business Associate shall provide
Covered Entity with evidence of such safeguards upon Covered Entities request.
Covered Entity has the right to determine, in its sole discretion, whether such
safeguards are appropriate, and to require any additional safeguards it deems
necessary.

(n)

In the event that Business Associate is served with legal process (e.g. a
subpoena) or request from a governmental agency (e.g. the Secretary) that
potentially could require the disclosure of PHI, Business Associate shall provide
prompt (i.e., within twenty-four (24) hours) written notice of such legal process
(including a copy of the legal process served) to the designated person at the
Covered Entity. In addition, Business Associate shall not disclose the PHI
without the consent of Covered Entity unless pursuant to a valid and specific
court order or to comply with a requirement for review of documents by a
governmental regulatory agency under its statutory or regulatory authority to
regulate the activities of either party.

Page 3 of 15

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)
(o)

2.2

Agreement Number 5600000770
Exhibit F
Amendment 7

to submit to periodic audits by Covered Entity verifying Business Associate’s
compliance with appropriate technological, administrative and physical
safeguards to prevent the use or disclosure of PHI other than as permitted by this
Agreement, as well as compliance with the terms and conditions pursuant to this
Agreement and compliance with state and federal laws and regulations. Audit
review may be undertaken directly by the Covered Entity or by third parties
engaged by the Covered Entity. Business Associate shall cooperate fully with
Covered Entity or any such third party in connection with such audits.

Disclosures Required By Law.
In the event that Business Associate is required by law to disclose PHI, Business
Associate will immediately provide Covered Entity with written notice and provide
Covered Entity an opportunity to oppose any request for such PHI or to take whatever
action Covered Entity deems appropriate.

2.3

2.4

Specific Use and Disclosure Provisions.
(a)

Except as otherwise limited in this Agreement, Business Associate may use PHI
only to carry out the legal responsibilities of the Business Associate under this
Service Agreement.

(b)

Except as otherwise limited in this Agreement, Business Associate may only
disclose PHI (i) as Required By Law, or (ii) in the fulfillment of its obligations
under the Service Agreement and provided that Business Associate has first
obtained (A) the consent of Covered Entity for such disclosure, (B) reasonable
assurances from the person to whom the information is disclosed that the PHI
will remain confidential and used or further disclosed only as Required By Law or
for the purpose for which it was disclosed to the person, and (C) reasonable
assurances from the person to whom the information is disclosed that such
person will notify the Business Associate of any instances of which it is aware in
which the confidentiality of the information has been breached.

Obligations of Covered Entity.
(a)

(b)
(c)

(d)

Covered Entity shall notify Business Associate of any limitations in its notice of
privacy practices of Covered Entity in accordance with 45 CFR §164.520, to the
extent that such limitation may affect Business Associate's use or disclosure of
PHI.
Covered Entity shall notify Business Associate of any changes in, or revocation
of, permission by an Individual to use or disclose PHI, to the extent that such
changes may affect Business Associate’s use or disclosures of PHI.
Covered Entity shall notify Business Associate of any restriction to the use or
disclosure of PHI that Covered Entity has agreed to in accordance with 45 CFR
§164.522, to the extent that such restriction may affect Business Associate's use
or disclosure of PHI.
For any PHI received by Covered Entity from Business Associate on behalf of a
third party or another covered entity, Covered Entity agrees to be bound to the
obligations and activities of Business Associate enumerated in Section 2.1 as if
and to the same extent Covered Entity was the named Business Associate
hereunder.

Page 4 of 15

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)
2.5

Agreement Number 5600000770
Exhibit F
Amendment 7

Permissible Requests by Covered Entity.
Covered Entity shall not request Business Associate to use or disclose PHI in any
manner that would not be permissible under the Privacy Rule if done by the Covered
Entity.

2.6

Policy and Procedure Review.
Upon request, Business Associate shall make available to Covered Entity any and all
documentation relevant to the safeguarding of PHI including but not limited to current
policies and procedures, operational manuals and/or instructions, and/or employment
and/or third party agreements.

Page 5 of 15

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)

Agreement Number 5600000770
Exhibit F
Amendment 7

ARTICLE 3
SECURITY
3.1

Government Healthcare Program Representations.
Business Associate hereby represents and warrants to Covered Entity, its shareholders,
members, directors, officers, agents, or employees have not been excluded or served a
notice of exclusion or have been served with a notice of proposed exclusion, or have
committed any acts which are cause for exclusion, from participation in, or had any
sanctions, or civil or criminal penalties imposed under, any federal or state healthcare
program, including but not limited to Medicare or Medicaid, or have been convicted,
under federal or state law (including without limitation a plea of nolo contendere or
participation in a first offender deterred adjudication or other arrangement whereby a
judgment of conviction has been withheld), of a criminal offense related to (a) the neglect
or abuse of a patient, (b) the delivery of an item or service, including the performance of
management or administrative services related to the delivery of an item or service,
under a federal or state healthcare program, (c) fraud, theft, embezzlement, breach of
fiduciary responsibility, or other financial misconduct in connection with the delivery of a
healthcare item or service or with respect to any act or omission in any program
operated by or financed in whole or in party by any federal, state or local government
agency, (d) the unlawful, manufacture, distribution, prescription, or dispensing of a
controlled substance, or (e) interference with or obstruction of any investigation into any
criminal offense described in (a) through (d) above. Business Associate further agrees
to notify Covered Entity immediately after Business Associate becomes aware that the
foregoing representation and warranty may be inaccurate or may be incorrect.

3.2

Security Procedures.
Each Party shall employ security procedures that comply with HIPAA and all other
applicable state and federal laws and regulations (collectively, the "Law") and that are
commercially reasonable, to ensure that transactions, notices, and other information that
are electronically created, communicated, processed, stored, retained or retrieved are
authentic, accurate, reliable, complete and confidential. Moreover, each Party shall, and
shall require any agent or subcontractor involved in the electronic exchange of data to:
(a)

require its agents and subcontractors to provide security for all data that is
electronically exchanged between Covered Entity and Business Associate;

(b)

provide, utilize, and maintain equipment, software, services and testing
necessary to assure the secure and reliable transmission and receipt of data
containing PHI;

(c)

maintain and enforce security management policies and procedures and utilize
mechanisms and processes to prevent, detect, record, analyze, contain and
resolve unauthorized access attempts to PHI or processing resources;

(d)

maintain and enforce policies and guidelines for workstation use that delineate
appropriate use of workstations to maximize the security of data containing PHI;

Page 6 of 15

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)

Agreement Number 5600000770
Exhibit F
Amendment 7

(e)

maintain and enforce policies, procedures and a formal program for periodically
reviewing its processing infrastructure for potential security vulnerabilities;

(f)

implement and maintain, and require its agents and subcontractors to implement
and maintain, appropriate and effective administrative, technical and physical
safeguards to protect the security, integrity and confidentiality of data
electronically exchanged between Business Associate and Covered Entity,
including access to data as provided herein. Each Party and its agents and
subcontractors shall keep all security measures current and shall document its
security measures implemented in written policies, procedures or guidelines,
which it will provide to the other Party upon the other Party’s request.

Page 7 of 15

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)

Agreement Number 5600000770
Exhibit F
Amendment 7

ARTICLE 4
EXCHANGE OF STANDARD TRANSMISSIONS
4.1

4.2

Obligations of the Parties. Each of the Parties agrees that for the PHI,
(a)

it will not change any definition, data condition or use of a data element or
segment as proscribed in the HHS Transaction Standard Regulation.

(b)

it will not add any data elements or segments to the maximum denied data set as
proscribed in the HHS Transaction Standard Regulation.

(c)

it will not use any code or data elements that are either marked "not used" in the
HHS Standard's implementation specifications or are not in the HHS Transaction
Standard's implementation specifications.

(d)

it will not change the meaning or intent of any of the HHS Transaction Standard's
implementation specifications.

Incorporation of Modifications to HHS Transaction Standards.
Each of the Parties agrees and understands that from time-to-time, HHS may modify
and set compliance dates for the HHS Transaction Standards. Each of the Parties
agrees to incorporate by reference into this Agreement any such modifications or
changes.

4.3

Code Set Retention.
If applicable, both parties understand and agree to keep open code sets being
processed or used in this Agreement for at least the current billing period or any appeal
period, which ever is longer.

4.4

Business Associate Obligations.
(a)

Business Associate shall not submit duplicate transmissions unless so requested
by Covered Entity.

(b)

Business Associate shall only perform those transactions, which are authorized
by Covered Entity. Furthermore, Business Associate assumes all liability for any
damage, whether direct or indirect, to the electronic data or to Covered Entity's
systems caused by Business Associate's unauthorized use of such transactions.

(c)

Business Associate shall hold Covered Entity harmless from any claim, loss or
damage of any kind, whether direct or indirect, whether to person or property,
arising out of or related to (1) Business Associate's use or unauthorized
disclosure of the electronic data; or (2) Business Associate’s submission of data,
including but not limited to the submission of incorrect, misleading, incomplete or
fraudulent data.

Page 8 of 15

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)

4.5

Agreement Number 5600000770
Exhibit F
Amendment 7

(d)

Business Associate agrees to maintain adequate back-up files to recreate
transmissions in the event that such recreations become necessary. Back-up
tapes shall be subject to this Agreement to the same extent as original data.

(e)

Business Associate agrees to trace lost or indecipherable transmissions and
make reasonable efforts to locate and translate the same. Business Associate
shall bear all costs associated with the recreation of incomplete, lost or
indecipherable transmissions if such loss is the result of an act or omission of
Business Associate.

(f)

Business Associate shall maintain, for seven (7) years, true copies of any source
documents from which it produces electronic data.

(g)

Except encounter data furnished by Business Associate to Covered Entity,
Business Associate shall not (other than to correct errors) modify any data to
which it is granted access under this Agreement or derive new data from such
existing data. Any modification of data is to be recorded, and a record of such
modification is to be retained by Business Associate for a period of seven (7)
years.

(h)

Business Associate shall not disclose security access codes to any third party in
any manner without the express written consent of Covered Entity. Business
Associate furthermore acknowledges that Covered Entity may change such
codes at any time without notice. Business Associate shall assume responsibility
for any damages arising from its disclosure of the security access codes or its
failure to prevent any third party use of the system without the express written
consent of Covered Entity.

(i)

Business Associate shall maintain general liability coverage, including coverage
for general commercial liability, for a limit of not less than one million dollars, as
well as other coverage as Covered Entity may require to compensate any parties
damaged by Business Associate's negligence. Business Associate shall provide
evidence of such coverage in the form of a certificate of insurance and agrees to
notify Covered Entity and/or HOI immediately of any reduction or cancellation of
such coverage.

(j)

Business Associate agrees to conduct testing with Covered Entity to ensure
delivery of files that are HIPAA-AS Compliant and to accommodate Covered
Entity’s specific business requirements.

Confidential And Proprietary Information
(a)

Proprietary Information
Business Associate acknowledges that it will have access to certain proprietary
information used in Covered Entity’s business. Covered Entity’s proprietary
information derives its commercial value from the fact that it is not available to
competitors or any third parties, and the disclosure of this information would or
could impair Covered Entity’s competitive position or otherwise prejudice its
ongoing business. Business Associate agrees to treat as confidential, and shall
Page 9 of 15

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)

Agreement Number 5600000770
Exhibit F
Amendment 7

not use for its own commercial purpose or any other purpose, Covered Entity’s
proprietary information. Business Associate shall safeguard Covered Entity’s
proprietary information against disclosure except as may be expressly permitted
herein. Such proprietary information includes, but is not limited to, confidential
information concerning the business operations or practices of Covered Entity,
including specific technology processes or capabilities.

Page 10 of 15

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)

Agreement Number 5600000770
Exhibit F
Amendment 7

ARTICLE 5
MISCELLANEOUS
5.1

Indemnification.
Business Associate shall indemnify, defend, and save harmless the State, CDCR, and
CDCR’s officers, employees and agents, against any and all losses, liabilities,
settlements, claims, demands, damages, or deficiencies (including interest) and
expenses of any kind (including, but not limited to, attorneys’ fees) arising out of or due
to a breach of the terms of this Exhibit to the Service Agreement, and arising out of
Business Associate's acts or omissions in regard to the terms of this Exhibit to the
Service Agreement. The foregoing indemnity is in addition to any other save harmless
or indemnification set forth in this entire Agreement.

5.2

Term and Termination.
(a)

Term. The Term of this Agreement shall be effective as of the first date of
commencement of services under this entire agreement, and shall terminate
when all of the PHI provided by Covered Entity to Business Associate, or created
or received by Business Associate on behalf of Covered Entity is destroyed or
returned to Covered Entity, or, if it is infeasible to return or destroy PHI,
protections are extended to such information, in accordance with the termination
provisions in this Section.

(b)

Termination for Cause. Upon a material breach by Business Associate of its
obligation hereunder, Covered Entity may (i) terminate this Agreement and the
Service Agreement; (ii) permit Business Associate to cure the breach; (iii) report
the violation to the Secretary; and/or (iv) require Business Associate to take such
other action as Covered Entity may request, at Business Associate’s expense.
Covered Entity’s remedies under this paragraph shall be cumulative, and the
exercise of any remedy shall not preclude the exercise of any other. If Covered
Entity elects to terminate the Agreement pursuant to a breach of terms and
conditions of this Exhibit, Covered Entity shall be relieved of any further
obligations under the entire Agreement, and shall be immediately entitled to a
refund of any amounts prepaid from the date of the termination through the end
of the payment period, on a pro rata basis.
The foregoing termination language is in addition to any other termination
language set forth in the entire agreement.

Page 11 of 15

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)
(c)

Agreement Number 5600000770
Exhibit F
Amendment 7

Effect of Termination.
(i) Except as provided in paragraph 5.2(c)(ii), upon termination of this
Agreement, for any reason, Business Associate shall return or destroy all
PHI received from Covered Entity, or created or received by Business
Associate on behalf of Covered Entity. This provision shall apply to PHI
that is in the possession of subcontractors or agents of Business
Associate. Business Associate shall retain no copies of the PHI.
(ii) In the event that Business Associate determines that returning the
PHI is infeasible, Business Associate shall provide to Covered Entity
notification of the conditions that make return or destruction infeasible.
Upon Covered Entity's agreement that return or destruction of PHI is
infeasible, Business Associate shall extend the protections of this
Agreement to such PHI and limit further uses and disclosures of such PHI
to those purposes that make the return or destruction infeasible, for so
long as Business Associate maintains such PHI.

5.3

Disputes.
HIPAA Appeal Procedures
CDCR has established and shall maintain an appeal procedure in accordance with CDCR
Department Operations Manual, Section 22040.16. Business Associate agrees that
disputes arising under the terms of this Exhibit shall be resolved in accordance with the
following:
1.

Verbal Appeal
Business Associate and CDCR’s Privacy Officer, shall first attempt to resolve the
problem by informal discussion. Business Associate agrees that CDCR’s Division of
Correctional Health Care Services shall be used as a resource in solving potential
disputes.

2.

Informal Appeal
If the issue is not resolved at the verbal appeal level, Business Associate shall file,
within thirty (30) working days, an informal written appeal specifying: the issue(s) of
dispute, legal authority or other basis for Business Associate’s position, supporting
evidence, and remedy sought, with the CDCR Chief, Licensing and Information
Systems, and provide a photocopy to the CDCR Assistant Deputy Director, Office of
Business Services. The CDCR Chief, Licensing and Information Systems, shall
make a determination on the issue and respond in writing within thirty (30) working
days of receipt of the informal appeal, indicating the decision reached.

3.

Formal Appeal
Should Business Associate disagree with the informal appeal decision, Business
Associate shall submit, within ten (10) working days after Business Associate’s
receipt of the decision of the informal appeal, to the CDCR Deputy Director, Division
of Correctional Health Care Services, and a photo copy to the CDCR, Assistant
Deputy Director, Office of Business Services, written notification indicating why the
informal appeal decision is unacceptable, along with a copy of the original statement
of dispute and a copy of CDCR’s response. The CDCR Deputy Director, Division of
Page 12 of 15

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)

Agreement Number 5600000770
Exhibit F
Amendment 7

Correctional Health Care Services, or his/her designee may meet with Business
Associate to review the issues within twenty (20) working days of the receipt of
Business Associate's notification and shall provide Business Associate with written
notification of the decision within forty-five (45) working days from the receipt of the
formal appeal.
The foregoing dispute process is solely for the purpose of disputes arising from the
terms and conditions of this Exhibit. Disputes in relation to the scope of work and other
terms and conditions shall be in accordance with any other dispute language set forth in
the entire Agreement.
5.4

Injunctive Relief.
Notwithstanding any rights or remedies provided for in Section 5.3, Covered Entity
retains all rights to seek injunctive relief to prevent the unauthorized use of disclosure of
PHI by Business Associate or any agent, contractor or third party that received PHI from
Business Associate.

5.5

Regulatory References.
A reference in this Agreement to a section in the Privacy Rule means the section as in
effect or as amended.

5.6

Amendment.
The Parties agree to take such action as is necessary to amend this Agreement from
time to time to the extent necessary for Covered Entity to comply with the requirements
of HIPAA and its regulations. All amendments to this Exhibit shall be in writing and
signed by both parties through a formal amendment to the entire agreement.

5.7

Survival.
The respective rights and obligations of Business Associate and Covered Entity under
Sections 4.5, 5.1 and 5.2(c) of this Agreement shall survive the termination of this
Agreement.

5.8

Limitation of Damages.
Other than liabilities under Section 5.1, neither party shall be liable to the other for any
special, incidental, exemplary, punitive or consequential damages arising from or as a
result of any delay, omission, or error in the electronic transmission or receipt of any
information pursuant to this Agreement, even if the other Party has been advised of the
possibility of such damages.

5.9

Interpretation.
Any ambiguity in this Agreement shall be resolved to permit Covered Entity to comply
with the Privacy Rule.

5.10

Third Party Beneficiary
Page 13 of 15

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)

Agreement Number 5600000770
Exhibit F
Amendment 7

Unless otherwise set forth herein, nothing contained herein is intended, nor shall it be
construed, to create rights running of the benefit of third parties.
5.11

Notices
Any HIPAA related notice required hereunder shall be deemed to be sufficient if mailed
to the parties at the addresses below. In order to avoid unreasonable delay in the
provision of the services to be rendered pursuant to this Agreement, Business Associate
and Covered Entity shall each designate a specific “HIPAA” representative(s) for the
purpose of communication between the parties. Such representative(s) may be
changed upon written notice to the other party.

Page 14 of 15

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)

Business Associate:
Corrections Corporation of America
10 Burton Hills Boulevard, Nashville, TN, 37215
Telephone: 615-263-3290
Facsimile: 615-263-3100
Covered Entity:
California Department of Corrections and Rehabilitation
Privacy Officer
HIPAA Compliance Unit
Division of Correctional Health Care Services
P.O. Box 942883
Sacramento, CA 94283-0001
Telephone: (916) 327-1842
Facsimile: (916) 327-0545

Page 15 of 15

Agreement Number 5600000770
Exhibit F
Amendment 7

STATE OF CALIFORNIA

STANDARD AGREEMENT AMENDMENT
STD 213 A (Rev 6/03)

[]j

CHECK ll ERE IF ADDITIONAL. PAGES ARE ATTACHED

_15_ _ Pages

AGREEMENTNUMBER

AMENDMENT NUMBER

5600000770
6
1--- - - - -- - - - 1
REGISTRATION NUMBER

C0?.247-6
1.

eP 1046444

This Agreement is entered into between the State Agency and Contractor named below:
STATE AGENCY'S NAME

California Department of Corrections and Rehabilitation
CONTRACTOR'S NAME

2.
3.

4.

Corrections Corporation of America
The term of this
Agreement is
January 7, 2008
through
June 30, 2016
The maximum amount of this
$1,818,598,652.00
Agreement after this amendment is:
One Billion Eight Hundred Eighteen Million Five Hundred Ninety Eight
Thousand Six Hundred Fifty Two Dollars and No Cents
The parties mutually agree to this amendment as follows. All actions noted below are by this reference made a part
of the Agreement and incorporated herein:

This Agreement is entered into under the authority of the Three Judge Panel Court Order for the
purposes of prison capacity reduction.
Effective upon approval, Agreement Number 5600000770, approved on January 7, 2008, amended on
April 30, 2008, amended on December 23, 2009, amended on March 11 , 201 1, amended on
December 31, 2012, and amended on June 26. 2013 for Out of State Housing, is hereby amended.
The following is now incorporated herein:
1. Exhibit F, Business Associates Agreement (HIPAA}, Amendment 6 , is made a part of this
Agreement and attached hereto.

All other terms and conditions shall remain the same.
IN WITNESS WHEREOF, this Agreement has been executed by the parties hereto.
CALIFORNIA

CONTRACTOR

Department of General SeNicos
Use Only

CONTRACTOR'S NAME (If oiher rhan an fnd/vldual, stare whether a corporation, partnership. ere,)

Corrections Co oration of America

-------'-----~----<+----....----------1
-f-l-J¥,1JIC.l4!~~....,...~~r-.i.-'---4ioo'....X::......:-fJk-------'--.L.f-.::;.....;.--'-+-4~----1

Natasha K. Metcalf, Vice President, Partnership Development

- - -- - - - -- - - - - - - - - - - - - - -- ----1
ADDRESS

Io Burton Hills Boulevard

I hereby certify that all conditions
for
exemption
have
been
complied with and this contract is
exempt from the Department of
General
Services
Approval.
Exempt from DGS approval per
Three Judge Panel Court Order.

Nashville TN 37215

/
STATE OF CALIFORNIA

By:

/)

~

~--------~-~~------------~----!
AGENCY NAME

California De artment of Corrections and Rehabilitation

---~--...,,_~------~~=~----:-----1 Date:
PRINTED NAME AND TITLE OF PERSON SIGNING

Arlene Sakazaki, Associate Director, Office of Business Services
ADDRESS

9838 Old Placerville Rd., Suite B-2, Sacramento, CA 95827

0

a

·1

r

1/)-f")

Exempt per-

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)

Agreement Number 5600000770
Exhibit F
Amendment 6

BUSINESS ASSOCIATES AGREEMENT (HIPAA)
Out of State Housing
WHEREAS, Provider, hereinafter referred to in this Exhibit as “Business Associate,”
acknowledges that the CDCR, hereinafter referred to in this Exhibit as “Covered Entity,” has in
its possession data that contains individual identifiable health information as defined by Health
Insurance Portability and Accountability Act of 1996, Pub. L. No. 104-191 ("HIPAA") and the
regulations promulgated thereunder;
WHEREAS, Business Associate and Covered Entity acknowledge that the fulfillment of
the Parties' obligations under this Service Agreement necessitates the exchange of, or access
to, data including individual identifiable health information; and,
WHEREAS, the parties desire to comply with federal and California laws regarding the
use and disclosure of individually identifiable health information, and in particular with the
provisions of the federal Health Insurance Portability and Accountability Act of 1996 (HIPAA)
and the regulations promulgated thereunder.
NOW, THEREFORE, in consideration of the mutual promises and covenants hereinafter
contained, the Parties agree as follows:
ARTICLE 1
DEFINITIONS
Terms used, but not otherwise defined, in this Exhibit shall have the meanings set forth below.
1.1

"HHS Transaction Standard Regulation" means the Code of Federal Regulations
("CFR") at Title 45, Sections 160 and 162.

1.2

“Individual” means the subject of protected health information (PHI) or, if deceased, his
or her personal representative.

1.3

"Parties" shall mean the Covered Entity and Business Associate. (Covered Entity and
Business Associate, individually, may be referred to as a "Party".)

1.4

“Privacy Rule” shall mean the Standards for Privacy of Individually Identifiable Health
Information at 45 CFR Part 160 and Part 164, Subparts A and E.

1.5

“PHI” shall have the same meaning as the term “protected health information” in 45 CFR
§164.501, limited to the information created or received by Business Associate from or
on behalf of the Covered Entity.

1.6

“Required By Law” shall have the same meaning as “required by law” in 45 CFR
§164.501.

Page 1 of 15

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)
1.7

Agreement Number 5600000770
Exhibit F
Amendment 6

“Secretary” shall mean the Secretary of the Department of Health and Human Services
or his designee.

Any other terms used, but not otherwise defined, in this Exhibit shall have the same meaning as
those terms in the Privacy Rule.
ARTICLE 2
CONFIDENTIALITY
2.1

Obligations and Activities of Business Associate. Business Associate agrees as follows:
(a)

not to use or further disclose PHI other than as permitted or required by this
Agreement or as Required By Law;

(b)

to establish, maintain, and use appropriate safeguards to prevent use or
disclosure of the PHI other than as permitted herein;

(c)

to report to Covered Entity any use, access or disclosure of the PHI not provided
for by this Agreement, or any misuse of the PHI, including but not limited to
systems compromises of which it becomes aware and to mitigate, to the extent
practicable, any harmful effect that is known to Business Associate as a result
thereof. Business Associate shall be responsible for any and all costs (including
the costs of Covered Entity) associated with mitigating or remedying any violation
of this Agreement;

(d)

to enforce and maintain appropriate policies, procedures, and access control
mechanisms to ensure that any agent, including a subcontractor, to whom it
provides PHI received from, or created or received by Business Associate on
behalf of Covered Entity agrees to the same restrictions and conditions that apply
through this Agreement to Business Associate with respect to such information.
The access and privileges granted to any such agent shall be the minimum
necessary to perform the assigned functions;

(e)

to provide access, at the request of Covered Entity, and in the time and manner
reasonable designated by Covered Entity, to PHI in a Designated Record Set (as
defined in the Privacy Rule), to Covered Entity or, as directed by Covered Entity,
to an Individual in order to meet the requirements under 45 CFR §164.524;

(f)

to make any amendment(s) to PHI in a Designated Record Set that the Covered
Entity directs or agrees to pursuant to 45 CFR §164.526 at the request of
Covered Entity or an Individual, and in the time and manner reasonably
requested by Covered Entity.

(g)

to make internal practices, books, and records relating to the use and disclosure
of PHI received from, or created or received by Business Associate on behalf of,
Covered Entity available to the Covered Entity, or at the request of the Covered
Entity to the Secretary, in a time and manner reasonably requested by Covered
Entity or designated by the Secretary, for purposes of the Secretary determining
Covered Entity’s compliance with the Privacy Rule.

(h)

to document such disclosures of PHI, and information related to such
disclosures, as would be required for Covered Entity to respond to a request by
an Individual for an accounting of disclosures of PHI in accordance with 45 CFR
Page 2 of 15

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)

Agreement Number 5600000770
Exhibit F
Amendment 6

§164.528. Said documentation shall include, but not be limited to, the date of the
disclosure, the name and, if known, the address of the recipient of the PHI, a
brief description of the PHI disclosed, and the purpose of the disclosure. Said
documentation shall be made available to Covered Entity upon request.
(i)

to provide to Covered Entity or an Individual, in a time and manner reasonably
requested by Covered Entity, information collected in accordance with Section
2.1(h) above to permit Covered Entity to respond to a request by an Individual for
an accounting of disclosures of PHI in accordance with 45 CFR §164.528.

(j)

to promptly notify Covered Entity of all actual or suspected instances of
deliberate unauthorized attempts (both successful and unsuccessful) to access
PHI. Such notice shall be made to Covered Entity by telephone as soon as
Business Associate becomes aware of the unauthorized attempt, and this
telephone notification shall be followed within two (2) calendar days of the
discovery of the unauthorized attempt by a written report to Covered Entity from
Business Associate. Business Associate shall, at the same time, report to
Covered Entity any remedial action taken, or proposed to be taken, with respect
to such unauthorized attempt. Covered Entity shall have the discretion to
determine whether or not any such remedial action is sufficient, and all such
remedial action shall be at Business Associate’s expense.

(k)

to maintain and enforce policies, procedures and processes to protect physical
access to hardware, software and/or media containing PHI (e.g., hardcopy,
tapes, removable media, etc. ) against unauthorized physical access during use,
storage, transportation, disposition and /or destruction.

(l)

to ensure that access controls in place to protect PHI and processing resources
from unauthorized access are controlled by two-factor identification and
authentication: a user ID and a Token, Password or Biometrics.

(m)

to implement, use and monitor its compliance with appropriate technological,
administrative and physical safeguards to prevent the use or disclosure of PHI
other than as permitted by this Agreement. Business Associate shall provide
Covered Entity with evidence of such safeguards upon Covered Entities request.
Covered Entity has the right to determine, in its sole discretion, whether such
safeguards are appropriate, and to require any additional safeguards it deems
necessary.

(n)

In the event that Business Associate is served with legal process (e.g. a
subpoena) or request from a governmental agency (e.g. the Secretary) that
potentially could require the disclosure of PHI, Business Associate shall provide
prompt (i.e., within twenty-four (24) hours) written notice of such legal process
(including a copy of the legal process served) to the designated person at the
Covered Entity. In addition, Business Associate shall not disclose the PHI
without the consent of Covered Entity unless pursuant to a valid and specific
court order or to comply with a requirement for review of documents by a
governmental regulatory agency under its statutory or regulatory authority to
regulate the activities of either party.

Page 3 of 15

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)
(o)

2.2

Agreement Number 5600000770
Exhibit F
Amendment 6

to submit to periodic audits by Covered Entity verifying Business Associate’s
compliance with appropriate technological, administrative and physical
safeguards to prevent the use or disclosure of PHI other than as permitted by this
Agreement, as well as compliance with the terms and conditions pursuant to this
Agreement and compliance with state and federal laws and regulations. Audit
review may be undertaken directly by the Covered Entity or by third parties
engaged by the Covered Entity. Business Associate shall cooperate fully with
Covered Entity or any such third party in connection with such audits.

Disclosures Required By Law.
In the event that Business Associate is required by law to disclose PHI, Business
Associate will immediately provide Covered Entity with written notice and provide
Covered Entity an opportunity to oppose any request for such PHI or to take whatever
action Covered Entity deems appropriate.

2.3

2.4

Specific Use and Disclosure Provisions.
(a)

Except as otherwise limited in this Agreement, Business Associate may use PHI
only to carry out the legal responsibilities of the Business Associate under this
Service Agreement.

(b)

Except as otherwise limited in this Agreement, Business Associate may only
disclose PHI (i) as Required By Law, or (ii) in the fulfillment of its obligations
under the Service Agreement and provided that Business Associate has first
obtained (A) the consent of Covered Entity for such disclosure, (B) reasonable
assurances from the person to whom the information is disclosed that the PHI
will remain confidential and used or further disclosed only as Required By Law or
for the purpose for which it was disclosed to the person, and (C) reasonable
assurances from the person to whom the information is disclosed that such
person will notify the Business Associate of any instances of which it is aware in
which the confidentiality of the information has been breached.

Obligations of Covered Entity.
(a)

(b)
(c)

(d)

Covered Entity shall notify Business Associate of any limitations in its notice of
privacy practices of Covered Entity in accordance with 45 CFR §164.520, to the
extent that such limitation may affect Business Associate's use or disclosure of
PHI.
Covered Entity shall notify Business Associate of any changes in, or revocation
of, permission by an Individual to use or disclose PHI, to the extent that such
changes may affect Business Associate’s use or disclosures of PHI.
Covered Entity shall notify Business Associate of any restriction to the use or
disclosure of PHI that Covered Entity has agreed to in accordance with 45 CFR
§164.522, to the extent that such restriction may affect Business Associate's use
or disclosure of PHI.
For any PHI received by Covered Entity from Business Associate on behalf of a
third party or another covered entity, Covered Entity agrees to be bound to the
obligations and activities of Business Associate enumerated in Section 2.1 as if
and to the same extent Covered Entity was the named Business Associate
hereunder.

Page 4 of 15

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)
2.5

Agreement Number 5600000770
Exhibit F
Amendment 6

Permissible Requests by Covered Entity.
Covered Entity shall not request Business Associate to use or disclose PHI in any
manner that would not be permissible under the Privacy Rule if done by the Covered
Entity.

2.6

Policy and Procedure Review.
Upon request, Business Associate shall make available to Covered Entity any and all
documentation relevant to the safeguarding of PHI including but not limited to current
policies and procedures, operational manuals and/or instructions, and/or employment
and/or third party agreements.

Page 5 of 15

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)

Agreement Number 5600000770
Exhibit F
Amendment 6

ARTICLE 3
SECURITY
3.1

Government Healthcare Program Representations.
Business Associate hereby represents and warrants to Covered Entity, its shareholders,
members, directors, officers, agents, or employees have not been excluded or served a
notice of exclusion or have been served with a notice of proposed exclusion, or have
committed any acts which are cause for exclusion, from participation in, or had any
sanctions, or civil or criminal penalties imposed under, any federal or state healthcare
program, including but not limited to Medicare or Medicaid, or have been convicted,
under federal or state law (including without limitation a plea of nolo contendere or
participation in a first offender deterred adjudication or other arrangement whereby a
judgment of conviction has been withheld), of a criminal offense related to (a) the neglect
or abuse of a patient, (b) the delivery of an item or service, including the performance of
management or administrative services related to the delivery of an item or service,
under a federal or state healthcare program, (c) fraud, theft, embezzlement, breach of
fiduciary responsibility, or other financial misconduct in connection with the delivery of a
healthcare item or service or with respect to any act or omission in any program
operated by or financed in whole or in party by any federal, state or local government
agency, (d) the unlawful, manufacture, distribution, prescription, or dispensing of a
controlled substance, or (e) interference with or obstruction of any investigation into any
criminal offense described in (a) through (d) above. Business Associate further agrees
to notify Covered Entity immediately after Business Associate becomes aware that the
foregoing representation and warranty may be inaccurate or may be incorrect.

3.2

Security Procedures.
Each Party shall employ security procedures that comply with HIPAA and all other
applicable state and federal laws and regulations (collectively, the "Law") and that are
commercially reasonable, to ensure that transactions, notices, and other information that
are electronically created, communicated, processed, stored, retained or retrieved are
authentic, accurate, reliable, complete and confidential. Moreover, each Party shall, and
shall require any agent or subcontractor involved in the electronic exchange of data to:
(a)

require its agents and subcontractors to provide security for all data that is
electronically exchanged between Covered Entity and Business Associate;

(b)

provide, utilize, and maintain equipment, software, services and testing
necessary to assure the secure and reliable transmission and receipt of data
containing PHI;

(c)

maintain and enforce security management policies and procedures and utilize
mechanisms and processes to prevent, detect, record, analyze, contain and
resolve unauthorized access attempts to PHI or processing resources;

(d)

maintain and enforce policies and guidelines for workstation use that delineate
appropriate use of workstations to maximize the security of data containing PHI;

Page 6 of 15

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)

Agreement Number 5600000770
Exhibit F
Amendment 6

(e)

maintain and enforce policies, procedures and a formal program for periodically
reviewing its processing infrastructure for potential security vulnerabilities;

(f)

implement and maintain, and require its agents and subcontractors to implement
and maintain, appropriate and effective administrative, technical and physical
safeguards to protect the security, integrity and confidentiality of data
electronically exchanged between Business Associate and Covered Entity,
including access to data as provided herein. Each Party and its agents and
subcontractors shall keep all security measures current and shall document its
security measures implemented in written policies, procedures or guidelines,
which it will provide to the other Party upon the other Party’s request.

Page 7 of 15

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)

Agreement Number 5600000770
Exhibit F
Amendment 6

ARTICLE 4
EXCHANGE OF STANDARD TRANSMISSIONS
4.1

4.2

Obligations of the Parties. Each of the Parties agrees that for the PHI,
(a)

it will not change any definition, data condition or use of a data element or
segment as proscribed in the HHS Transaction Standard Regulation.

(b)

it will not add any data elements or segments to the maximum denied data set as
proscribed in the HHS Transaction Standard Regulation.

(c)

it will not use any code or data elements that are either marked "not used" in the
HHS Standard's implementation specifications or are not in the HHS Transaction
Standard's implementation specifications.

(d)

it will not change the meaning or intent of any of the HHS Transaction Standard's
implementation specifications.

Incorporation of Modifications to HHS Transaction Standards.
Each of the Parties agrees and understands that from time-to-time, HHS may modify
and set compliance dates for the HHS Transaction Standards. Each of the Parties
agrees to incorporate by reference into this Agreement any such modifications or
changes.

4.3

Code Set Retention.
If applicable, both parties understand and agree to keep open code sets being
processed or used in this Agreement for at least the current billing period or any appeal
period, which ever is longer.

4.4

Business Associate Obligations.
(a)

Business Associate shall not submit duplicate transmissions unless so requested
by Covered Entity.

(b)

Business Associate shall only perform those transactions, which are authorized
by Covered Entity. Furthermore, Business Associate assumes all liability for any
damage, whether direct or indirect, to the electronic data or to Covered Entity's
systems caused by Business Associate's unauthorized use of such transactions.

(c)

Business Associate shall hold Covered Entity harmless from any claim, loss or
damage of any kind, whether direct or indirect, whether to person or property,
arising out of or related to (1) Business Associate's use or unauthorized
disclosure of the electronic data; or (2) Business Associate’s submission of data,
including but not limited to the submission of incorrect, misleading, incomplete or
fraudulent data.

Page 8 of 15

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)

4.5

Agreement Number 5600000770
Exhibit F
Amendment 6

(d)

Business Associate agrees to maintain adequate back-up files to recreate
transmissions in the event that such recreations become necessary. Back-up
tapes shall be subject to this Agreement to the same extent as original data.

(e)

Business Associate agrees to trace lost or indecipherable transmissions and
make reasonable efforts to locate and translate the same. Business Associate
shall bear all costs associated with the recreation of incomplete, lost or
indecipherable transmissions if such loss is the result of an act or omission of
Business Associate.

(f)

Business Associate shall maintain, for seven (7) years, true copies of any source
documents from which it produces electronic data.

(g)

Except encounter data furnished by Business Associate to Covered Entity,
Business Associate shall not (other than to correct errors) modify any data to
which it is granted access under this Agreement or derive new data from such
existing data. Any modification of data is to be recorded, and a record of such
modification is to be retained by Business Associate for a period of seven (7)
years.

(h)

Business Associate shall not disclose security access codes to any third party in
any manner without the express written consent of Covered Entity. Business
Associate furthermore acknowledges that Covered Entity may change such
codes at any time without notice. Business Associate shall assume responsibility
for any damages arising from its disclosure of the security access codes or its
failure to prevent any third party use of the system without the express written
consent of Covered Entity.

(i)

Business Associate shall maintain general liability coverage, including coverage
for general commercial liability, for a limit of not less than one million dollars, as
well as other coverage as Covered Entity may require to compensate any parties
damaged by Business Associate's negligence. Business Associate shall provide
evidence of such coverage in the form of a certificate of insurance and agrees to
notify Covered Entity and/or HOI immediately of any reduction or cancellation of
such coverage.

(j)

Business Associate agrees to conduct testing with Covered Entity to ensure
delivery of files that are HIPAA-AS Compliant and to accommodate Covered
Entity’s specific business requirements.

Confidential And Proprietary Information
(a)

Proprietary Information
Business Associate acknowledges that it will have access to certain proprietary
information used in Covered Entity’s business. Covered Entity’s proprietary
information derives its commercial value from the fact that it is not available to
competitors or any third parties, and the disclosure of this information would or
could impair Covered Entity’s competitive position or otherwise prejudice its
ongoing business. Business Associate agrees to treat as confidential, and shall
Page 9 of 15

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)

Agreement Number 5600000770
Exhibit F
Amendment 6

not use for its own commercial purpose or any other purpose, Covered Entity’s
proprietary information. Business Associate shall safeguard Covered Entity’s
proprietary information against disclosure except as may be expressly permitted
herein. Such proprietary information includes, but is not limited to, confidential
information concerning the business operations or practices of Covered Entity,
including specific technology processes or capabilities.

Page 10 of 15

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)

Agreement Number 5600000770
Exhibit F
Amendment 6

ARTICLE 5
MISCELLANEOUS
5.1

Indemnification.
Business Associate shall indemnify, defend, and save harmless the State, CDCR, and
CDCR’s officers, employees and agents, against any and all losses, liabilities,
settlements, claims, demands, damages, or deficiencies (including interest) and
expenses of any kind (including, but not limited to, attorneys’ fees) arising out of or due
to a breach of the terms of this Exhibit to the Service Agreement, and arising out of
Business Associate's acts or omissions in regard to the terms of this Exhibit to the
Service Agreement. The foregoing indemnity is in addition to any other save harmless
or indemnification set forth in this entire Agreement.

5.2

Term and Termination.
(a)

Term. The Term of this Agreement shall be effective as of the first date of
commencement of services under this entire agreement, and shall terminate
when all of the PHI provided by Covered Entity to Business Associate, or created
or received by Business Associate on behalf of Covered Entity is destroyed or
returned to Covered Entity, or, if it is infeasible to return or destroy PHI,
protections are extended to such information, in accordance with the termination
provisions in this Section.

(b)

Termination for Cause. Upon a material breach by Business Associate of its
obligation hereunder, Covered Entity may (i) terminate this Agreement and the
Service Agreement; (ii) permit Business Associate to cure the breach; (iii) report
the violation to the Secretary; and/or (iv) require Business Associate to take such
other action as Covered Entity may request, at Business Associate’s expense.
Covered Entity’s remedies under this paragraph shall be cumulative, and the
exercise of any remedy shall not preclude the exercise of any other. If Covered
Entity elects to terminate the Agreement pursuant to a breach of terms and
conditions of this Exhibit, Covered Entity shall be relieved of any further
obligations under the entire Agreement, and shall be immediately entitled to a
refund of any amounts prepaid from the date of the termination through the end
of the payment period, on a pro rata basis.
The foregoing termination language is in addition to any other termination
language set forth in the entire agreement.

Page 11 of 15

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)
(c)

Agreement Number 5600000770
Exhibit F
Amendment 6

Effect of Termination.
(i) Except as provided in paragraph 5.2(c)(ii), upon termination of this
Agreement, for any reason, Business Associate shall return or destroy all
PHI received from Covered Entity, or created or received by Business
Associate on behalf of Covered Entity. This provision shall apply to PHI
that is in the possession of subcontractors or agents of Business
Associate. Business Associate shall retain no copies of the PHI.
(ii) In the event that Business Associate determines that returning the
PHI is infeasible, Business Associate shall provide to Covered Entity
notification of the conditions that make return or destruction infeasible.
Upon Covered Entity's agreement that return or destruction of PHI is
infeasible, Business Associate shall extend the protections of this
Agreement to such PHI and limit further uses and disclosures of such PHI
to those purposes that make the return or destruction infeasible, for so
long as Business Associate maintains such PHI.

5.3

Disputes.
HIPAA Appeal Procedures
CDCR has established and shall maintain an appeal procedure in accordance with CDCR
Department Operations Manual, Section 22040.16. Business Associate agrees that
disputes arising under the terms of this Exhibit shall be resolved in accordance with the
following:
1.

Verbal Appeal
Business Associate and CDCR’s Privacy Officer, shall first attempt to resolve the
problem by informal discussion. Business Associate agrees that CDCR’s Division of
Correctional Health Care Services shall be used as a resource in solving potential
disputes.

2.

Informal Appeal
If the issue is not resolved at the verbal appeal level, Business Associate shall file,
within thirty (30) working days, an informal written appeal specifying: the issue(s) of
dispute, legal authority or other basis for Business Associate’s position, supporting
evidence, and remedy sought, with the CDCR Chief, Licensing and Information
Systems, and provide a photocopy to the CDCR Assistant Deputy Director, Office of
Business Services. The CDCR Chief, Licensing and Information Systems, shall
make a determination on the issue and respond in writing within thirty (30) working
days of receipt of the informal appeal, indicating the decision reached.

3.

Formal Appeal
Should Business Associate disagree with the informal appeal decision, Business
Associate shall submit, within ten (10) working days after Business Associate’s
receipt of the decision of the informal appeal, to the CDCR Deputy Director, Division
of Correctional Health Care Services, and a photo copy to the CDCR, Assistant
Deputy Director, Office of Business Services, written notification indicating why the
informal appeal decision is unacceptable, along with a copy of the original statement
of dispute and a copy of CDCR’s response. The CDCR Deputy Director, Division of
Page 12 of 15

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)

Agreement Number 5600000770
Exhibit F
Amendment 6

Correctional Health Care Services, or his/her designee may meet with Business
Associate to review the issues within twenty (20) working days of the receipt of
Business Associate's notification and shall provide Business Associate with written
notification of the decision within forty-five (45) working days from the receipt of the
formal appeal.
The foregoing dispute process is solely for the purpose of disputes arising from the
terms and conditions of this Exhibit. Disputes in relation to the scope of work and other
terms and conditions shall be in accordance with any other dispute language set forth in
the entire Agreement.
5.4

Injunctive Relief.
Notwithstanding any rights or remedies provided for in Section 5.3, Covered Entity
retains all rights to seek injunctive relief to prevent the unauthorized use of disclosure of
PHI by Business Associate or any agent, contractor or third party that received PHI from
Business Associate.

5.5

Regulatory References.
A reference in this Agreement to a section in the Privacy Rule means the section as in
effect or as amended.

5.6

Amendment.
The Parties agree to take such action as is necessary to amend this Agreement from
time to time to the extent necessary for Covered Entity to comply with the requirements
of HIPAA and its regulations. All amendments to this Exhibit shall be in writing and
signed by both parties through a formal amendment to the entire agreement.

5.7

Survival.
The respective rights and obligations of Business Associate and Covered Entity under
Sections 4.5, 5.1 and 5.2(c) of this Agreement shall survive the termination of this
Agreement.

5.8

Limitation of Damages.
Other than liabilities under Section 5.1, neither party shall be liable to the other for any
special, incidental, exemplary, punitive or consequential damages arising from or as a
result of any delay, omission, or error in the electronic transmission or receipt of any
information pursuant to this Agreement, even if the other Party has been advised of the
possibility of such damages.

5.9

Interpretation.
Any ambiguity in this Agreement shall be resolved to permit Covered Entity to comply
with the Privacy Rule.

5.10

Third Party Beneficiary
Page 13 of 15

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)

Agreement Number 5600000770
Exhibit F
Amendment 6

Unless otherwise set forth herein, nothing contained herein is intended, nor shall it be
construed, to create rights running of the benefit of third parties.
5.11

Notices
Any HIPAA related notice required hereunder shall be deemed to be sufficient if mailed
to the parties at the addresses below. In order to avoid unreasonable delay in the
provision of the services to be rendered pursuant to this Agreement, Business Associate
and Covered Entity shall each designate a specific “HIPAA” representative(s) for the
purpose of communication between the parties. Such representative(s) may be
changed upon written notice to the other party.

Page 14 of 15

Corrections Corporation of America
California Department of Corrections and Rehabilitation (CDCR)
Business Associates Agreement (HIPAA)

Business Associate:
Corrections Corporation of America
10 Burton Hills Boulevard, Nashville, TN, 37215
Telephone: 615-263-3290
Facsimile: 615-263-3100
Covered Entity:
California Department of Corrections and Rehabilitation
Privacy Officer
HIPAA Compliance Unit
Division of Correctional Health Care Services
P.O. Box 942883
Sacramento, CA 94283-0001
Telephone: (916) 327-1842
Facsimile: (916) 327-0545

Page 15 of 15

Agreement Number 5600000770
Exhibit F
Amendment 6

,.

;·,,--I
STATE OF CALIFORNIA

'

.

STANDARD AGREEMENT AMENDMENT
STD. 213 A (Rev 6103)

[SJ

CHECK HEIRE ff ADDITIONAL PAGES ARE ATTACHED

68

Pages

(C07.247)

r::!;~~-~ifBE_R_

- --

,--~MENDfu!ENT ~iUMBER-

- ---- --- --

REGISTRATION NUMBER

~-------------!

eJP 1046444
J.

This Agreement is entered into between the State Agenc~ricl__Contractor naJ"lled _l:l~i'g~~ - ---- STATE AGENCY'S NAME

California Department of Corrections and Rehabilitation
CONTRACTOR'S NAME

2.

Corrections Corporation of Americ_a_________________________________ _
The term of this

__ -~W-~_em~nt is
Janua~y 7, 2008 _
through
June 30, 2016 _ _ _ _ _ _ __
3.
The maxim um amount of this
$1,81 8,598,652.00
Agreement after this amendment is:
One Billion Eight Hundred Eighteen Million Five Hundred Ninety Eight Thousand
Six Hundred Fifty Two and No Cents.

4.

The parties mutually agree to this amendment as follows. All actions noted below are by this reference made a part
of the Agreement and incorporated herein:
A.) The Term of this Agreement is extended through June 30, 20·15, effective June 29, 2013.
B.) The amount if this Agreement is increased by $637,936,751.00, for a total contract amount not to exceed
$1,818,598,652.00.
C.) Exhibit A, Scope of Work is replaced in its entirety and attached hereto.
D.) Attachment C, Distribution of Inmate Death Reports, is attached hereto and made part of this Agreement.
E.) Attachment D, Program Participation Chart, is attached hereto and made part of this Agreement.
F.) Attachment E, CCA Authorized Weapons and Accessories for CDCR Contract, is attached hereto and
made part of this Agreement.

All other terms and conditions shall remain the same.
IN WITNESS WHEREOF, this Agreement has

been executed by the parties hereto.
CALIFORNIA

CONTRACTOR

CONTRACTOR'S NAME (If other than an individual, state
Corrections Cor oration of America

Department of General Services
Use Only

whether a corporation. partnership, etc)

Exempt per Governor's Proclamation,
Prison Overcrowding State of
Emergency Proclamation, issued 10-4~R5~~.LlL::.=.!~.l!-"'-=-:~---'-'-"'~=-=!-!--=----1.1--~~~-'---'"'----='--L--''-'-~~~--l 2006.
PRINTED NAME AND TITLE OF PERSON SIGNI G
·
·
·
·
-fi
I hereby certify that all conditions for
exempli()ll D<l\fe IJ.~e_n_c_o_mpil.§d_with_ci_rid___________ _
Luc1beth Mayberry, Vice President, Deputy Cluef Development Of 1cer
- - -- - --ADDREss------ -------------- - ---- ------- - - - --- -- -- -- -- - - - ---- - - -- - - - ----- -- - - -that this contract is exempt from the
__:...:...:.~~----'----------------r------------t

l O Burton Hills Boulevard
Nashville TN 37215

Department of General Services (DGS)
Approval.
STATE OF CALIFORNIA

_A_G_E_NC_Y_N-AM-E------------------------1 By:

./J
c: ·
rutha
~ c;:h;~

Date:_--=(e--1-(=-=2h'-1--'-,!t-=="_~-

PRINTED. NAME AND TITLE OF Pi:' SO SIGNING
Debra L. Smith, Chief, Contracts Management Branch
ADDRESS
9838 Old Placerville Rd, Suite B-2, Sacramento, CA 95827

D -Exempt per:

Corrections Corporation I \merica
California Department of Corrections and Rehabilitation
Scope of Work

/ ':·eement Number C07.247-5
Exhibit A

OFFENDER RELOCATION/HOUSING
AGREEMENT BETWEEN
STATE OF CALIFORNIA
AND
CORRECTIONS CORPORATION OF AMERICA
This Contract is entered into between the State of California Department of Corrections and
Rehabilitation (hereinafter "STATE" or "CDCR") and The Corrections Corporation of America
(CCA), 10 Burton Hills Blvd., Nashville, Tennessee, 37215 (hereinafter "CONTRACTOR"). Exhibit
A, Scope of Work of this contract amendment replaces and supersedes Exhibit A, Scope of Work of
Contract# C07.247, Amendment #4.
WHEREAS, the STATE requires correctional bed space and services for STATE offenders due to
continuing in-state crowding issues and has the lawful authority to enter into this Contract.
WHEREAS, the CONTRACTOR operates or has access to correctional facilities in the states of
Arizona, Mississippi, and Oklahoma deemed suitable by CDCR for the housing and care of CDCR
offenders (the "Facility") and has the lawful authority to enter into this Contract and perform or have
performed the required services as set forth herein.
THEREFORE, in consideration of the mutual promises and covenants contained herein, the parties
hereby agree as follows:

Article I.
DEFINITIONS
Additional Services - means those additional operational and management services required to be
Furnished by the CONTRACTOR because of changes in American Correctional Association
(ACA) Standards, state or federal laws, government regulations, or judicial decisions that cause
an increase in the cost of operating and managing the facility.
CCR Title 15 - means the California Code of Regulations, Title 15, "Crime Prevention and
Corrections".

_________ ---

CDCR Contract Monitor - The designated representative of the CDCR or his/her
designee/delegate serving as liaison between CDCR and the CONTRACTOR and who monitors the
CONTRACTOR's performance under this Agreement. This shall also apply to any monitor on behalf
of the federally appointed receiver's office in the federal case of Plata v. Brown monitoring health
care.
COCF - means the California Out-of-State Correctional Facility Program.
Coleman - refers to the Federal Court case of Coleman v. Brown, pertaining to care of mentally ill
inmates through the mental health services delivery system.
Contract - means this Agreement, or where referenced the prior Agreement between the parties
hereto.
Contract Year - means the twelve consecutive month period commencing on the date of execution
of this Agreement with a new Contract Year beginning in each consecutive twelve month period
thereafter until the expiration or termination of this Agreement.

Page 1of43

Corrections Corporation / \merica
California Department of Corrections and Rehabilitation
Scope of Work

/.

eement Number C07.247-5
Exhibit A

1

Critical positions - means those positions that are filled by a specific individual. Staff members are
hired into the facility to fill a specific role, unlike a correctional officer that is trained and may fill a
variety of posts. If these positions are not filled on the 61 st day of vacancy the CONTRACTOR may
be assessed an amount equal to the salary and benefits for such position beginning on the 61 st day
for as long as the position is vacant.
Court with Jurisdiction - is any court which has jurisdiction over the transfer of offenders pursuant
to this agreement; including but not limited to, the courts in Coleman v. Brown (U.S. District Court,
Eastern District of California, Case No. CIV S-90-0520), Perez v. Cate (U.S. District Court, Northern
District of California, Case No. C055241 JSW), Armstrong v. Brown (U.S. District Court, Northern
District of California, Case No. C94-2397 CW), and Plata v. Brown (U.S. District Court, Northern
District of California, Case No. C01-1351 TEH).
Department/CDCR - means the California Department of Corrections and Rehabilitation.
Day - means calendar day, unless otherwise defined, in this Agreement. If the last day falls on a
weekend or holiday, the last day for performance shall be the next regular business day.
DOM - means the CDCR Departmental Operations Manual.
Facility - means the correctional institutions operated by the CONTRACTOR in the states of
Arizona, Mississippi, and Oklahoma, known as the Tallahatchie Correctional Facility, North Fork
Correctional Facility, Red Rock Correctional Center, and La Palma Correctional Center, and any
other CONTRACTOR facilities added by mutual agreement pursuant to Section 3.01.
HIPAA - means the federal Health Insurance Portability and Accountability Act.
Indigent Offender - means an offender who is wholly without funds at the time they were eligible for
withdrawal of funds for canteen purchases.
In-patient Care - means care received in a free standing, non-correctional hospital on an in-patient
basis, including any and all physician or consulting professional services provided to the offender in
the hospital.
Lockdown - means that a portion of the facility is affected by suspension of required programs or
services, and offenders are not released, except as determined by the facility administration on an
individual, case-by-case basis. Under such circumstances only critical inmate workers in the affected
housing units/sub-facilities will be permitted to attend work assignments under escort, and all but
essential functions are suspended in those affected housing units or sub-facilities, e.g. yard, canteen
draws, religious services and visiting.

The restriction of all inmates to their cells/dormitory beds· encompassing no less than a Facility.True --- --- --lockdowns are rare occasions, generally following very serious threats to institutional security and
the safety of staff and inmates. The movement of any inmate to an assignment or resumption of any
program would change the lockdown status of the program, returning the institution/facility to a
diminished level of modified program or to normal program.
Mandatory ACA Standards - means those standards identified as being mandatory in the
American Correctional Association's Standards for Adult Correctional Institutions, 4th Edition, as
same may be modified, amended, or supplemented in the future.
Mandatory posts - means those posts that will be filled each shift as delineated. A post is an
assignment or area to be covered by a staff person, and does not have to be designated to a
specific staff member.

Page 2of43
/

Corrections Corporation \merica
California Department of Corrections and Rehabilitation
Scope of Work

/-

~·eement

Number C07.247-5
Exhibit A

Modified Program - The suspension of any operation, procedure, service or function to prevent,
isolate, contain, or control a disruption of orderly operations, caused by an inmate initiated
disturbance, natural disaster, or external stimulus. The modified program definition encompasses
any restrictions or modifications which do not constitute a lockdown. The term "partial lockdown" is
contained within the modified program definition and should no longer be used.

Note: The routine and temporary restrictions on inmate movement or yard activities during alarm
response and/or immediately following an accident are not considered a program modification.
National Commission on Correctional Health Care Standards (NCCHC) - those standards of
health care services as defined and established by the National Commission on Correctional Health
Care in the 2003 Edition of Standards for Health Services in State Prisons.
Offender - means any adult male person incarcerated pursuant to applicable California laws, and
assigned to the Facility for housing under this Agreement.
Offender Day - means each day, including the first day but not the last, that an offender is admitted
to the Facility as determined by the Midnight Count.
Operating Requirements - means applicable federal, state, and local law and court orders,
constitutional standards, CDCR regulations made applicable to the Facility by this Agreement.
Title 15 - means Title 15 of the California Code of Regulations, "Crime Prevention and Corrections"
including all subsequent amendments thereto.
UHR - means Unit Health Record.
Warden - means the Administrative Head who manages operations at the Facility.

Article II
TERM OF THE AGREEMENT
Section 2.01 Option to Extend Term.

____________
1

The parties agree that should they desire to extend the term of this agreement they shall notify one
another of their desire to so extend the term not less than 180 days prior to the expiration of the
initial term. The provisions of this Contract, as amended if so amended during that time, shall apply
to any extended term, except that the compensation for the extended term shall be subject to
negotiation between the parties. Should the parties not agree on a new rate of compensation to
apply to the extended term,_ this Agreement shall terminate on the o~igi~alt~~min_citio_~99!~: ______________ _
Section 2.02 Termination for Non-Appropriation.

Notwithstanding anything set forth in the provisions of Article VIII, DEFAULT AND TERMINATION, it
is understood and agreed that the State is a government entity and that the State reserves the right
to terminate this Contract if, in the judgment of the State, the Legislature of the State of California, at
any time during its duly convened Legislative process, fails, neglects, or refuses to appropriate or
continue appropriation of sufficient funds as may be required for the State to continue the payments
required hereunder.

Page 3of43

Corrections Corporation . \merica
California Department of Corrections and Rehabilitation
Scope of Work

( ':·eement Number C07.247-5
Exhibit A

Section 2.03 Responsibility Hearing.
If this Agreement is terminated for cause, CDCR reserves the right to conduct a responsibility
hearing to determine if the CONTRACTOR is a responsible bidder before an award of future
Agreements can be made.

Section 2.04 Contacts.
State Contacts:
Contract Monitor:
Brian Coates
10961 Sun Center Drive
Rancho Cordova, CA 95670
(916)464-4001
Contract Beds Unit (CSU):
10961 Sun Center Drive
Rancho Cordova, CA 95670
(916) 464-5130 - Main Fax
(916) 464-3766 - Records Fax
(916) 464-3768 - Field Operations Fax
(916) 464-3769 - Medical
Healthcare Contract Monitor:
John Dovey
Deputy Director
Field Operations, Corrections Services
California Prison Health Care Services
8280 Longleaf Dr. D3-723
Elk Grove, CA 95758
(916) 691-4928
Douglas Peterson
Chief Medical Officer
9260 Laguna Springs Dr. E2-308
Elk Grove, CA 95758
(916) 691-9574
Karen Rea
Statewide Chief Nurse Executive
California Prison Health Care Services
(916)691-9927
- -- ---------------Mental Health Coordinator:
Dr. Robert Smith
(916) 508-1727
Dental Liaison for COCF
Bryan Quattlebaum, DDS
(916) 445-4425
501 J Street, Suite 400 Sacramento, CA 95814
Escape/Incident Reporting (l.D./Warrants):
Phone 24 Hour Notification (916) 323-4087
FAX (916) 322-4038.

Page 4of43

Corrections Corporation
\merica
California Department of Corrections and Rehabilitation
Scope of Work
RestitutionNictim Services Unit:
Department of Corrections & Rehabilitation
P.O. Box 1046
Folsom, CA 95763-1046
Office of Communications:
Deborah Hoffman
1515 S Street, Suite 502-S
Sacramento, CA 95814
Pho.ne: (916) 323-4505
Fax: (916) 442-2637
Office of Correctional Safety:
Anthony Chaus, Chief
(916) 324-2316
Robert Ambroselli, Deputy Chief
(916) 327-4456

CONTRACTOR Contacts:
Company Representative
Lucibeth Mayberry
Vice President, Deputy Chief Development Officer
1O Burton Hills Boulevard, Nashville, TN 37215
Tallahatchie Correctional Facility
415 US Highway 49N
Tutwiler, MS 38963
(662)-345-6567
Warden Fred Figueroa
North Fork Correctional Facility
1605 East Main
Sayre, OK 73662
(580)-928-8200
Warden Anastacio Perez
La Palma Correctional Center
5501 North La Palma Road
Eloy, AZ 85231
(520) 464-3200
Warden James Macdonald
Red Rock Correctional Center
1750 East Arica Road
Eloy, AZ 85231
(520) 464-3800
Warden Bruno Stal

Page 5of43

;·eement Number C07.247-5
Exhibit A

Corrections Corporation
\.merica
California Department of Corrections and Rehabilitation
Scope of Work

' :eement Number C07.247-5
Exhibit A

Article Ill
CDCR OFFENDERS
Section 3.01 Offender Housing.

The CONTRACTOR shall confine and supervise adult male CDCR Offenders that are transferred to
the Facilities pursuant to the terms and conditions of this Agreement. CDCR Offenders shall only be
housed in housing units consistent with the offenders' classification and security needs, subject to
the prior written approval of the CDCR Contract Monitor or designee.
CONTRACTOR agrees to make available and CDCR agrees to utilize beds at the
CONTRACTOR facilities (hereinafter collectively referred to as the "Facilities").
Provided, however, nothing herein shall prevent the CONTRACTOR and CDCR from
mutually agreeing to reallocate beds among the Facilities, add additional CONTRACTOR
facilities, delete CONTRACTOR facilities, and increase or decrease the total number of
contracted beds as necessary to meet CDCR needs. Subject to mutual agreement, the
CONTRACTOR may reallocate the CDCR population among the Facilities in such a manner
as to improve the efficiency of the overall Facility operations. All such costs associated with
such a reallocation among the Facilities shall be borne by the CONTRACTOR and subject to
mutual agreement regarding the staffing levels necessary to support the reallocated
populations. This provision shall not apply in the event that such vacancies are caused by an
act of contract default on the part of the CONTRACTOR or in the event that CONTRACTOR
has requested that such beds remain vacant.
CDCR minimum payment shall be based on actual occupancy.
Section 3.02 Selection and Placement Process.

The CDCR Offenders to be housed in the Facility shall be selected on the basis of compliance with
all applicable state statutes or such other applicable laws or regulations of the state in which the
Facility is located relating to the housing of out of state offenders as may apply, and in addition
thereto, the following criteria and conditions:

3.02.1 CDCR and CONTRACTOR shall mutually agree on offenders to be housed by
CONTRACTOR, and offenders shall be suitable for placement in the facility designated. In
the event that CDCR requests that the CONTRACTOR accept Offenders with serious or
significant mental health or serious or significant physical problems, included but not limited
to physical disability, CDCR and the CONTRACTOR shall mutually agree to an appropriate
plan of care for the population and the allocation of costs associated therewith. If the overall_ ________ _
percentage of inmates in CONTRACTOR facilities requiring Hepatitis C treatment exceeds
the overall percentage of offenders requiring Hepatitis C treatment in the CDCR system,
CDCR agrees to pay the treatment costs for those offenders in excess of the percentage of
offenders requiring Hepatitis C treatment in the CDCR system.

3.02.2 Offenders assigned to the Facility shall be males eighteen years of age or older.
3.02.3 CONTRACTOR may reject any offender found not to meet the receiving state's criteria or
otherwise deemed by the CONTRACTOR, with CDCR's concurrence, to be unsuitable for
assignment to a particular Facility. In the event the initially considered Facility is deemed
unsuitable for a particular offender, the CONTRACTOR shall make all due effort to assign
offenders to an alternate appropriate Facility under this Agreement.

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Corrections Corporation ' \merica
·eement Number C07.247-5
California Department of Corrections and Rehabilitation
Exhibit A
Scope of Work
Upon arrival of any CDCR Offender to the Facility, the CDCR shall provide to the Facility's Warden,
without charge, copies of pertinent data from institutional files, commitment or other judicial orders,
and medical .records of each CDCR Offender to be housed at the Facility. The CONTRACTOR shall
assume any costs associated with a review of inmate central files to determine the impact to CDCR
of the receiving state's statutory requirements. All CDCR Offender information shall be subject to
statutory limitations on disclosure, including but not limited to State privacy laws, and provisions of
the federal requirements imposed by the Health Insurance Portability and Accountability Act (HIPAA)
or other Federal privacy laws. The CONTRACTOR shall release information only in accordance with
CDCR direction.
A duly authenticated copy of the CDCR Offender's commitment papers and any other official papers
or documents authorizing detention, case file materials and medical/dental/psychiatric records shall
be delivered at the same time a CDCR Offender arrives at the transfer point. After the Agreement is
executed and CONTRACTOR becomes familiar with CDCR Offender files, the CONTRACTOR may
make reasonable requests for additional papers or documents to be delivered to CONTRACTOR.
CDCR understands that the safe and secure management of the Facility is dependent upon the
CONTRACTOR's receipt of complete Offender files and shall not unreasonably withhold requested
documents.
The CONTRACTOR will work collaboratively to implement any newly available Electronic Database
Software, including but not limited to the Strategic Offender Management System (SOMS) to
enhance operationally necessary transfer of information.

Section 3.03 Transfer/Delivery of Offenders.
At the request of CDCR, the CONTRACTOR shall be responsible for the transporting of offenders to
and from CDCR to the Facility. The parties agree to cooperate and coordinate their procedures
regarding transport so as to minimize the expense associated with such transfers. All required
offender local transportation to and from the Facility within a 150 mile radius (e.g., for offsite medical
care both urgent or emergent and routine) shall also be provided and paid for by the
CONTRACTOR. Upon the request of the CONTRACTOR and with prior written approval of the
CDCR Contract Monitor, CONTRACTOR shall be entitled to transfer a CDCR Offender from one
facility to another, provided the facility receiving the transferred CDCR Offender is operated by
CONTRACTOR pursuant to an agreement between CDCR and CONTRACTOR or between CDCR
and an entity with which CONTRACTOR has an operating contract. CONTRACTOR agrees to follow
CDCR staffing requirements on any CCA provided transport.

Section 3.04 Costs of Transport of Offenders.

~--

-· --- - - - ~ --·----

Except as otherwise provided below, CDCR shall reimburse CONTRACTOR for the cost of
transporting offenders between the transfer point in California and Facility, and between Facility and
transfer point in California as follows:
------- - -- --- A.

B.

Cost of airframe and crew ("charter costs") at actual cost. CONTRACTOR agrees to provide
CDCR with the cost quote for any transfer and CDCR shall have 48 hours to approve or
reject that quote. If CDCR rejects a quote, CDCR shall cooperate with CONTRACTOR to
obtain a replacement service provider to provide the same service at a rate acceptable to
CDCR. If a better quote cannot be obtained through these efforts, CDCR shall determine a
competitive alternate transportation provider.
Costs of guarding to be reimbursed to CONTRACTOR at their cost of salary and fringe
benefits for each guard accompanying the transportation of offenders. Salary and fringe
benefits are defined for this section as actual salary plus 26% of salary in addition thereto to
cover the fringe benefits. In addition, CONTRACTOR shall be entitled administrative
overhead on said amounts calculated for guarding at a rate of 15% of the base salary.
CONTRACTOR shall be reimbursed for mileage for ground transportation of offenders from
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Corrections Corporation , \.merica
California Department of Corrections and Rehabilitation
Scope of Work

c.

D.

:eement Number C07.247-5
Exhibit A

the receiving State drop off point to the Facility at the rate then in effect and used by the
Internal Revenue Service (IRS) for calculation of mileage.
In the event CONTRACTOR requests the return of an offender to California, or the transfer
of an offender to another CCA Facility, who otherwise meets the criteria of the receiving state
and meets the criteria of the CDCR and has been placed in a facility with the initial
Agreement of the CONTRACTOR, then in such event CONTRACTOR shall be responsible
for the transportation and property costs associated with said return.
Notwithstanding any other provisions of Section 3.04, CONTRACTOR shall be responsible
for up to the first $500,000 for the cost of transportation between California and all Arizona
facilities annually.

Section 3.05 Offender Funds.

Funds of an individual CDCR Offender shall be provided to CONTRACTOR by CDCR within seven
(7) working days of the CDCR Offender's transfer. These funds shall be held and managed pursuant
to policies, procedures and practices, which shall be provided to CONTRACTOR prior to inmate
arrival.
Section 3.06 Offender Work/Program Assignment Payment.

CONTRACTOR shall pay all inmates assigned to the work incentive program inmate wages equal to
the amount paid to other inmates housed at the particular Facility at the time of transfer. Provided,
however, CDCR shall inform CONTRACTOR of the applicable pay scales utilized by CDCR, and
inform CONTRACTOR of any changes occurring thereto during the term of this agreement.
CONTRACTOR will review the CDCR pay scale to ensure that it is in keeping with the Facility pay
scales currently in place. In the event of a discrepancy, CONTRACTOR will make a
recommendation to CDCR for a solution - recognizing the need to treat CDCR offenders housed out
of state in a similar manner to CDCR offenders in state and taking into account CONTRACTOR's
need for similar treatment for all jurisdictions in the facility. In the event CDCR offenders are housed
in a facility with other jurisdictions where a pay scale discrepancy exists, CONTRACTOR will provide
a report initially and annually.
Section 3.07 Return of Offenders to the CDCR.

3.07.1 Upon demand by the CDCR, offenders will be delivered to the custody of the CDCR
pursuant to the terms as set forth in Section 3.03 of this Agreement.
3.07.2 Within 14 days of receiving a good faith request (based on the diagnosis of a serious medical
condition, on-going or serious disciplinary reasons, or inability to provide a level of custody
consistent with the safety and security of the inmate and/or staff), the CDCR and
CONTRACTOR will develop a mutually agreed upon plan to address this matter.
3.07.3 CONTRACTOR and CDCR agree that in the case of offenders who are members of the
Coleman class, returns shall be accomplished in strict accordance with Coleman return
guidelines.
3.07.4 No offender who completes his sentence, is released by court order, or is placed on
probation or parole shall be released in a state, other than California, unless that State has a
detainer on the offender or has accepted custody of the offender pursuant to an interstate
compact, or unless the offender is released to the custody of another agency, whether state
or federal. In every other case, prior to release from custody, offenders shall be returned to
the CDCR or to the custody of such jurisdiction as has agreed to take the offender, pursuant
to the terms as set forth in Section 3.03 of this Agreement.

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Corrections Corporation ,' \merica
California Department of Corrections and Rehabilitation
Scope of Work

··eement Number C07.247-5
Exhibit A

3.07.5 When a CDCR Offender returns to CDCR, the CONTRACTOR shall provide that offender's
funds, in the form of a check payable to CDCR, in the amount due the CDCR Offender for
credit to the CDCR Offender's account within seven (7) business days of the CDCR
Offender's transfer unless an alternate location is directed by CDCR.
3.07.6 When a CDCR Offender is identified to return to CDCR, the CONTRACTOR will ensure the
"field file" is current with documentation to include but not limited to program activities (work,
education, etc.), classification endorsement and action, infraction history, and other items
deemed necessary by CDCR. In addition, the CONTRACTOR will provide a medical
summary and ensure the unit health record is current with relevant medical documentation.
In addition, upon transfer, the CONTRACTOR will provide the current field file, medical
summary and unit health record.

Article IV
OPERATION OF FACILITY
Section 4.01 General Duties.

The CDCR Offenders in the Facility shall be confined and supervised in accordance with the CCR
Title 15, DOM, and receiving states' existing state law. The CONTRACTOR shall maintain mutually
agreed upon staffing levels at the Facility in accordance with ACA standards and in sufficient
numbers and rank to maintain the safety of the public, staff and offenders and to adequately carry
out the provisions of this Agreement. CONTRACTOR shall not seek additional reimbursement from
CDCR in excess of the per diems stated hereunder in instances where the CONTRACTOR
increases staff in order to perform the services required under this Agreement. Provided however,
this shall not apply in instances where CDCR requests or requires additional services or services for
a different inmate population than originally contemplated hereunder. The CONTRACTOR shall
provide CDCR with staffing levels for each facility where CDCR Offenders are housed prior to
execution of this Agreement. Said staffing levels are attached hereto as Attachment A 1-A4. In the
event of any change to the staffing levels for the staff assigned to the particular CDCR housing units
during the term of the Agreement, such revised levels shall be provided to CDCR in advance of any
change and shall be subject to CDCR approval which shall not be unreasonably withheld and which
shall be granted or withheld within ten business days or a reasonably agreed upon time frame of the
request. In advance of any change, the CONTRACTOR will exercise authority to ensure that the
daily operations of the Facility are in compliance with the provisions of this Agreement. Subject to
the provisions of this Agreement, the CONTRACTOR shall provide CDCR Offenders care and
treatment, including the furnishing of subsistence and routine and emergency medical care
consistent with the requirements of ACA standards, NCCHC standards, CCR Title 15, and
constitutionally appropriate and/or court imposed guidelines, provide for their physical needs, make
available work, education, training and treatment programs, retain them in safe, supervised custody, ___________ -·-'
maintain proper discipline and control, make certain that any applicable court orders are complied
·
with, provide reasonable access to the courts, and otherwise comply with all applicable law.
CONTRACTOR shall provide case management of CDCR offenders consistent with Title 15
including classification, monitoring earned/good time, disciplinary activity, programming and other
offender activity.
CDCR offenders shall be provided with a copy of the Facility rules and procedures (orientation
guide) upon arrival. The orientation information must include the process for obtaining
medical/mental health care, disciplinary process, request for reasonable accommodation under ADA
and the offender appeal/grievance process. A verbal orientation shall also be provided upon arrival.
CONTRACTOR shall ensure effective communication during orientation. Where appropriate this
may include, but is not limited to, use of interpreters or ADA approved communication devices.

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Corrections Corporation
\.merica
California Department of Corrections and Rehabilitation
Scope of Work

:eement Number C07.247-5
Exhibit A

Section 4.02 Minimum Required Staffing.

4.02.1 CDCR may assess liquidated damages if the CONTRACTOR fails to maintain minimum
staffing for mandatory posts as delineated in Attachment A.5. To the extent any housing,
program or other area is not occupied as a result of a reduction in offender population,
Contractor shall not be required to staff any mandatory posts for that area according to
Attachment A.5 and shall not be subject to liquidated damages for vacant mandatory posts in
such unoccupied area. The CONTRACTOR may use contract staff and overtime to fulfill its
mandatory post staffing requirements. The CONTRACTOR shall exercise due diligence in
filling staffing vacancies and, to the fullest extent possible, the duties of the vacant post(s)
shall be performed through the use of overtime, contract staff, or other mutually agreed upon
alternative means then the CONTRACTOR shall not be deemed in breach of this Contract
and shall not be subject to an assessment of liquidated damages. For each shift that a
mandatory shift is not covered, CDCR may assess damages in an amount equal to the daily
rate (salary and benefits) per post per day as long as the deficiency continues.
CONTRACTOR shall have 60 calendar days to fill a vacant Critical Position as delineated on
Attachment A.5. To the extent any housing, program or other area is not occupied as a result of a
reduction in offender population, Contractor shall not be required to staff any critical positions for that
area according to Attachment A.5 and shall not be subject to liquidated damages for vacant critical
positions in such unoccupied area. A Critical Position shall not be deemed vacant in the event that
the CONTRACTOR is using contract staff, overtime or other mutually agreed upon alternative
means to fulfill the duties of the Critical Position. Beginning on the 61st calendar day that a Critical
Position remains vacant, CDCR may assess liquidated damages in an amount equal to the daily rate
(salary and benefits) for such Critical Position per day as long as the Critical Position remains
vacant. CONTRACTOR agrees to not circumvent the imposition of liquidated damages by multiple
short term staff assignments.
Recognizing that the CONTRACTOR will incur certain costs to recruit new employees and costs to
cover the vacancies through contract staff and overtime, the first monthly assessment of liquidated
damages per Contract Year per CONTRACTOR Facility will be subject to a maximum of $10,000
and the second monthly assessment of liquidated damages per Contract Year per CONTRACTOR
Facility will be subject to a maximum of $20,000. The third and each subsequent monthly
assessment of liquidated damages per Contract Year per CONTRACTOR Facility will not be subject
to a maximum amount. It is agreed that this amount is to be paid as liquidated damages, and not as
a penalty, in view of the difficulty of affixing the amount of actual damages. The CONTRACTOR
shall not be liable for liquidated damages for a failure that results from an occurrence beyond its
control. Assessment of liquidated damages shall not preclude CDCR from terminating this Contract
for breach as provided herein. Withholding of payment as liquidated damages shall not relieve the
CONTRACTOR of any of its obligations under the Contract.
~

-- -

----

-- -----

-- -

Section 4.03 ACA Accreditation.

CONTRACTOR shall obtain, and maintain ACA accreditation of each of the facilities occupied by
CDCR under this agreement. It is understood that a facility shall have been fully operational for 18
months before ACA accreditation becomes available, and CONTRACTOR shall seek accreditation
of any such newly constructed or re-opened facility within the earliest practical time. This
requirement may be waived in circumstances where the actions of, or needs of CDCR prevent such
accreditation.
Section 4.04 Contract Monitors.

4.04.1 In administering this Agreement, the CDCR shall designate a person, here referred to as the
CDCR Contract Monitor, to monitor the CONTRACTOR's performance under this
Agreement.

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Corrections Corporation
\merica
California Department of Corrections and Rehabilitation
Scope of Work

•eement Number C07.247-5
Exhibit A

4.04.2 The CONTRACTOR shall designate a person who shall act as the Facility's contact person
for the purposes of the administration of this Agreement.
4.04.3 Any change in the Contract Monitor or the CONTRACTOR's designated contact person shall
be effective upon ten (10) days prior written notice to the other party of such change.
4.04.4 Unless otherwise provided, the CONTRACTOR shall permit the CDCR, court appointed
Receiver or Special Master, and any other duty authorized agent or governmental agency, to
monitor all activities conducted by the CONTRACTOR pursuant to the terms of the
Agreement. Specifically included in this provision is the right of the federally appointed
receiver in the case of Plata v. Brown to monitor healthcare services within the institution. As
CDCR or the Receiver may in their sole discretion deem necessary or appropriate, such
monitoring may consist of internal procedures evaluation, examination of program data,
special analysis, on-site checking, formal audit examinations or any other reasonable
procedures. All such monitoring shall be performed in a manner that shall not unduly
interfere with Agreement work. Also specifically included in this provision is the right of the
Special Master in the pending case of Coleman v. Brown to monitor the provision of
constitutionally adequate mental health care for all plaintiff class inmates. Former class
members may be transferred pursuant to this Agreement and some transferred inmates may
become members of the plaintiff class during their stay in the CONTRACTOR's Facility(ies).
The contracting parties acknowledge that the Special Master or his designee(s) may make
inquiries involving policies and procedures for care of plaintiff class members and shall have
the right, if a dispute about the adequacy of provided mental health services arises, to visit
and assess the mental health services provided by the CONTRACTOR to plaintiff class
members. Also specifically included in this provision is the right of the CDCR Dental Program
to monitor the provision of dental services within the institution, including the preparation and
submission to CDCR of periodic reports as determined by the Dental Liaison to COCF.
CONTRACTOR shall cooperate with such visits, which shall not interfere unduly with
Agreement work.
4.04.5 The Receiver appointed in the Federal case of Plata v. Brown, may, in his discretion, appoint
a Healthcare Monitor to either be housed at the Facility, or to make periodic inspection visits
to the Facility consistent with the provisions of this section. The same information as is
provided by CDCR to CONTRACTOR for its Contract Monitor shall also be provided to
CONTRACTOR for the Healthcare Monitor.
Section 4.05 Medical/Mental Health/Dental.

f-·---- - --- ----

The CONTRACTOR shall provide essential health services, including medical, dental and mental
health services, while meeting the applicable standards and levels of quality established by the ACA,
------ - NCCHC, and CCR Title 15. In addition, the CONTRACTOR shall provide services consistent with all - --- ----- -applicable Federal, state, and local laws and regulations governing the delivery of offender health
services and any applicable Court orders, including, but not limited to orders issued in the case of
Plata v. Brown and Coleman v. Brown, and establish the necessary quality controls to ensure all
policies and procedures are designed and implemented in a manner to promote orderly and efficient
delivery and management of health care services to CDCR Offenders. Compliance with applicable
court orders as set forth above shall not be deemed to be submission to the jurisdiction of the
ordering court, and is a contractual obligation only.
CDCR Offenders shall be provided health services consistent with the services provided by
the CDCR under applicable CDCR Offender health services policies and procedures.

Page 11of43

Corrections Corporation ' \merica
California Department of Corrections and Rehabilitation
Scope of Work

(

·eement Number C07.247-5
Exhibit A

Services - All offender medical services shall be provided at the P: acility when possible. For cases
requiring emergency care or care that is medically necessary but outside the capability of the
providers at the Facility, e.g. specialty physician or hospital-based services, existing arrangements
with local health care providers shall be utilized to obtain the required services. At the inception of
this contract, a listing of all existing contractual arrangements with local healthcare providers,
including but not limited to acute care hospitals and clinics shall be made available to CDCR by
CONTRACTOR. Any change to this list shall be communicated to CDCR. This list shall be provided
on an annual basis or as changes occur.

CONTRACTOR will have a contracted hospital provider in its off-site network for inmates requiring
inpatient psychiatric admission, to include crisis counseling. All inmates suspected of being sexually
assaulted shall be sent to the local emergency room for treatment, and a rape kit will be sent to the
hospital with the transferring officers, consistent with CDCR Prison Rape Elimination Act (PREA)
protocols.
The CONTRACTOR shall have policies and procedures for providing routine and urgent medical,
dental, and mental health services. The policies and procedures shall include, but not be limited to
the following:
• 24 hour care, seven days a week emergency medical, dental, and mental health care;
• Initial health screening;
• Health appraisal examination;
• Daily triaging of complaints;
• Sick call procedures with a health practitioner, including offering this service at least 5 days
per week;
• Outpatient medical, dental, and mental health service, including diagnostics and physical
therapy;
• Inpatient medical services;
• Special medical programs and services for, but not limited to, offenders with chronic needs
or requiring convalescent care;
• Mental health and substance abuse services;
• Adequate staffing of trained professional health services staff and support staff;
• Pharmaceutical services and supplies;
• No cost to CDCR Offender for medication refills and renewals;
• Optometric services;
• Health education;
• Medical diets;
• Infection control; and
• Quality control/peer reviews.
Initial/Preliminary Screening - All screening will be conducted by trained and licensed healthcare
personnel on all offenders upon the offender's arrival at the Facility. Screening will-include, but- not---- - -- -limited to:
• An inquiry into the Offender's health care history, including status of current modalities and
medications;
• An observation of the Offender's behavior, physical limitations and capabilities and current
physical condition;
• An immediate referral to appropriate health care professionals, for emergency care,
prescription management or modality authorization.

At the initial screening, all Offenders will receive orientation about the Health Services Unit, including
the procedures for accessing care.

Page 12of43

Corrections Corporation ; \merica
·eement Number C07.247-5
California Department of Corrections and Rehabilitation
Exhibit A
Scope of Work
Full Health Appraisal (Intake) - During the initial occupancy phase of this contract all offenders will
receive a full health appraisal within 14 days of arrival at the Facility. This health appraisal will
include, but not limited to:
• Review of the earlier screening;
• Review of the CDCR health care record, including documented history and problem list,
medications ordered, conditions requiring ongoing treatment and modalities authorized;
• Collection of a more detailed health services history;
• Medical examination, including review of mental health and dental health status if not
previously examined at CDCR in the previous six months;
• Laboratory or diagnostic tests to detect communicable disease if not documented in the
previous 12 months;
• Other tests and diagnostics, as indicated by exam;
• Initiation of treatment, as indicated;
• Development and implementation of a treatment plan, including recommendations
concerning physical limitations and restrictions that effect programming, housing and job
assignment;
• Referral to mental health or dental specialist as indicated; and
• Offender education, particularly of the treatment plan initiated by CDCR is modified or
changed. Any change to an existing treatment plan shall be approved by CDCR.
In the event CONTRACTOR's staff are unable to provide the requisite screenings in the time allowed
due to the volume of screenings to be conducted, CONTRACTOR may seek approval to extend the
time for such screenings, consistent with the approval of CDCR and the Receiver, and if such
extension of time is disallowed, may utilize outside contracted services to accomplish said
screenings. CDCR shall be given advance notification of the identity and qualifications of said
individuals, and review the proposed rate of compensation to be paid to such persons. CDCR shall
not unreasonably withhold its consent to such proposed screeners, and shall reimburse
CONTRACTOR for their additional costs incurred in complying with this provision in such event.
Dental Screening, Examination and Treatment - The CONTRACTOR shall have written policies
and procedures to assure dental screenings, exams, radiographs, and treatment are rendered
consistent with the CDCR and ACA standards. Comprehensive dental examinations shall be
completed within thirty (30) days of arrival from California. The CDCR records sent to the facility will
be reviewed for dental history and to identify current dental care that should be continued. Inmate
transfers between CONTRACTOR facilities shall include a review of dental records to ensure
continuity of care at the arriving facility.
Mental Health Screening, Examination and Treatment - The CONTRACTOR shall have written
policies and procedures to assure mental health screenings, evaluations, and treatment is rendered
consistent with the CDCR and ACA standards. The CDCR records sent to the facility will be
i-i - -- -- -- - --- - reviewed for mental health history and to identify current mental health care needs. Any patient ____________ --:
having demonstrated mental health needs shall be identified to CDCR, and CDCR shall have the
· right to request a return of that offender to CDCR custody.

1

Infectious Diseases - The CONTRACTOR shall have written policies and procedures to support
the management and prevent the spread of infectious diseases. A copy of said policies shall have
been provided to CDCR prior to the execution of this agreement.
CONTRACTOR Formulary - The CONTRACTOR shall adhere to the CONTRACTOR formulary.
When the only medically appropriate and medically necessary pharmaceutical for an offender is not
on the CONTRACTOR formulary, the CONTRACTOR Medical Director and/or the Health Services
Administrator will follow the CONTRACTOR's procedures for obtaining a waiver.

Page 13of43

Corrections Corporation · \merica
~eement Number C07.247-5
California Department of Corrections and Rehabilitation
Exhibit A
Scope of Work
Initial Provisioning Of Medications - At the time of initial transfer, and at the time of any return of
an offender to or from the facility, the CDCR or CONTRACTOR, depending on who is releasing
custody at the time of transfer, shall provide at the time the offender is transferred between the
custody of CDCR and CONTRACTOR, a seven (7) day supply of any medications prescribed for
that offender.
Utilization Review/Prior Authorization - CONTRACTOR shall follow the CDCR Utilization Review
procedures and unless the required care is necessitated by an emergency, shall seek advance
approval for any non-routine care outside the facility.
Health Care Records - The CONTRACTOR shall have written policies and procedures to ensure
appropriate and confidential management of offenders' health care records and health care
information. These policies and procedures shall support standardization of preparation, format,
documentation, release and maintenance of the health care record. The health care record created
at the institution is the property of the CDCR and shall be forwarded to CDCR when the offender is
transferred from the facility. Release of information, including copying charges, shall be conducted in
accordance with CDCR policy and only upon approval of CDCR.
Credentialing, Privileging and Peer Review - Licensed Independent Practitioners (LIPs), which
includes physicians, nurse practitioners and physician assistants, hired by the CONTRACTOR must
be approved by CPHCS' Credentialing Review Committee prior to commencement of services.
Additionally, CPHCS may conduct clinical performance appraisals of all CONTRACTOR LIP's
providing services to CDCR offenders and reviews all peer reviews of contracted LIPs.
Mid-Level Protocols - The CONTRACTOR must have established protocols and provisions for
supervision of mid-level providers. Mid-level providers include nurse practitioners and physician
assistants.
Staffing - The Health Care Unit shall be adequately staffed with trained health care professionals
and support staff to provide the level and the quality of care defined by the ACA, NCCHC, CCR Title
15, and any court orders. The responsibilities of these staff shall be clearly defined in their job
description and shall be consistent with any applicable scope of practice for which they are licensed
to function, as appropriate. Appropriate supervisory staff shall monitor performance of these
responsibilities. Ultimate responsibility of staff performance lies with the Facility Medical Director
and/or the Health Services Administrator.
Staff Training - The Health Services Administrator/Manager of the health services unit shall
maintain current copies of licenses, accreditation, and certifications of the professional health care
staff as appropriate. All health care services staff shall participate in facility orientation and training in
accordance with Facility, ACA and NCCHC standards.

The Health Care Administrator/Manager shall maintain records of staff participation in facility--- - - - - - -- - ,
orientation and annual training and mandatory Continuing and Professional Education requirements.

4.05.1 Costs - The costs of providing on-site medical, mental health or dental services through
Facility staff or contracted services, shall be considered normal costs incidental to the
operation of the Facility and is included in the CDCR Offender per diem rates, except that the
CDCR shall pay for:
a)

All expenses in excess of $2,500 annually per inmate for medically necessary, off
site hospital or emergency care. This includes, but is not limited to medical, surgical,
mental health and dental care delivered in an Emergency Room, practitioner's office,
or inpatient or outpatient hospital setting. Provided however, Contractor shall be
responsible for the costs of any off-site medical care if such care should have been

Page 14of43

Corrections Corporation
\.merica
California Department of Corrections and Rehabilitation
Scope of Work

~eement

Number C07.247-5
Exhibit A

provided on-site through the Contractor's provision of routine medical, dental and
mental health services.
b)

Contractor accepts the risk for the first $2,500 annually per Offender for medically
necessary, off site hospital or emergency care. The $2,500 annual per Offender limit
shifts ongoing costs for typical, routine off-site services from CDCR to the Contractor
(thereby simplifying the reimbursement for such claims and allowing CDCR relief with
respect to these routine costs) while limiting the Contractor's liability for off-site
hospital and emergency care. The parties do not anticipate that every CDCR
offender will incur $2,500 in off-site hospital or emergency care, therefore, the per
diem does not include $2,500 per inmate per year for this care and there is no pool of
funds established based upon $2,500 per inmate per year from which Contractor
retains unspent funds. Contractor is able to competitively price coverage of off-site
medical care by relying on historical inmate medical data and making an assessment
of a reasonable annual budget for off-site expenses knowing that in no event will the
liability exceed $2,500 per Offender annually. Accordingly, the Contractor's off-site
limit is a risk balancing mechanism only.

c)

All HIV or AIDS related inpatient and outpatient medical costs and the costs of
providing AZT or other medications therapeutically indicated and medically
necessary (as defined in the UHR) for the treatment of offenders with HIV or AIDS.
CONTRACTOR shall notify the CDCR of any offender diagnosed with HIV or AIDS
within three (3) working days.

d)

Any costs associated with DNA testing of offenders. Incidental costs associated with
routine blood testing done as part of the disciplinary process or periodic testing
required by the CONTRACTOR (or state where the Facility is located) are included
as part of the per diem rate.

4.05.2 A co-pay in the amount of $5.00 may be charged to CDCR Offenders for certain medical,
dental and/or vision services requested I initiated by the offender in accordance with Title 15,
Section 3354.2. The co-pay fee will be retained by the CONTRACTOR.
4.05.3 The CDCR shall not be responsible for the payment of elective or experimental medical
procedures or for medical care required as a result of negligence or intentional misconduct
on the part of the CONTRACTOR, its employees, or subcontractors or for care which could
have been prevented.
4.05.4 Medical billings from outside vendors which are the responsibility of CDCR shall be
submitted to CDCR or designee within thirty (30) days of receipt.
t-

-~-

- ---·-

--------~

-

4.05.5 Upon return of a CDCR Offender to the CDCR, the CONTRACTOR shall provide the copy of
the health records of all health care delivered while under CONTRACTOR's jurisdiction,
including, but not limited to all Facility health records, dental records, community hospital
records, radiology reports and films, consultant reports and laboratory results. In addition,
the CONTRACTOR will provide a health summary prepared by one or more practitioners,
appropriate to the complexity of the case.
4.05.6 The parties hereto expressly acknowledge and agree that:
a)

The inmates to be transferred pursuant to this Agreement to the facilities owned
and/or operated by CONTRACTOR (the "Transferee Facilities") are members of
class of plaintiffs in an action pending in the United States District Court for the

Page 15 of 43

Corrections Corporation < \merica
California Department of Corrections and Rehabilitation
Scope of Work

'eement Number C07.247-5
Exhibit A

Northern District of California Entitled, Marciano Plata et al. v. Brown et al. No.C011351 TEH(the Plata Action);

b)

The California Department of Corrections and Rehabilitation (the "CDCR") is a
named defendant in the Plata Action;

c)

The plaintiffs in the Plata Action have alleged that the health care delivered to
inmates in the California prison system is constitutionally inadequate and violates
their rights guaranteed by the Eighth and Fourteenth Amendments to the U.S.
Constitution;

d)

By order, dated February 14, 2006 (the "February 14 Order"), the Court in the Plata
Action (the "Plata Court") appointed Robert Sillen as the Receiver ( "Receiver") for
the California prison health care system and set forth in detail the duties and
responsibilities of the Receiver;

e)

Pursuant to the February 14 Order, the CDCR and "all persons in concert of
participation" with the CDCR are required to cooperate fully with the Receiver in the
discharge of his duties;

f)

The inmate-class members transferred pursuant to this agreement are entitled to
receive constitutionally adequate health care while housed in the Transferee
Facilities and shall not, by reason of the transfers, lose their status as members of
the plaintiff class in the Plata Action; and,

g)

The transfers of inmates contemplated by this Agreement are not designed or
intended to thwart, delay or interfere with the Plata Court's orders or with the
Receiver's exercise of his duties pursuant to the February 14 Order.

CONTRACTOR expressly acknowledges and agrees that it:
a)

Intends to and will provide constitutionally adequate health care to the inmate-class
members while they are housed in the Transferee Facilities;

b)

Is a "person in concert and participation with" the CDCR within the meaning of, and
subject to, paragraph VI.A. of the February 14 Order, and has been provided with a
copy of the February 14 Order; and

c)

Will cooperate fully with the Receiver and will provide the Receiver access to the
Transferee Facilities and to documents, personnel and inmate-class members in the
· Transferee Facilities to the same extent as the Receiver is provided access to ODGR-- - - - - -- - - facilities, personnel and prisoners pursuant to paragraph 11.E. of the February 14
Order provided, however, the Receiver's access to documents and personnel
pursuant to this Section shall relate only to such documents and personnel as are
directly related to the delivery of medical care to California inmates in the Transferee
Facilities and shall not include information related to other jurisdiction's inmates or
facility information unrelated to the provision of medical care to California inmates.
The parties hereto acknowledge and expressly agree that with respect to the
provisions of section 4.05 and all subsections of said section, the Receiver is a third
party beneficiary of this Agreement and hereby consent to the jurisdiction of the
United States District Court for the Northern District of California with respect to any
action or proceeding brought by the Receiver to enforce the provisions of such
sections.

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Corrections Corporation
\.merica
California Department of Corrections and Rehabilitation
Scope of Work

•eement Number C07.247-5
Exhibit A

4.05.7 The parties agree that in the event a court appearance is required before the Honorable
Thelton Henderson in San Francisco, California by employees of CONTRACTOR that the
expenses incurred by CONTRACTOR in making the employees available for said hearing
shall be reimbursed to CONTRACTOR by CDCR. Reimbursement shall include costs of
transportation as well as salary costs, accelerated by 26% to cover fringe benefit. Should the
court impose monetary sanctions against CONTRACTOR, CDCR and CONTRACTOR agree
to evaluate the circumstances leading to the imposition of said sanctions and in the event it
is determined that CONTRACTOR had performed within the scope and requirements of this
Agreement and that sanctions were issued in spite thereof, CDCR shall agree to reimburse
CONTRACTOR for any sanctions imposed. Should CDCR not agree that CONTRACTOR's
performance, which resulted in sanctions, was consistent with the obligations imposed under
this contract, CDCR may refuse to reimburse CONTRACTOR for the sanctions imposed. In
such event CONTRACTOR may seek a judicial determination of the obligation for the
payment of sanctions pursuant to the provisions set forth in this paragraph.
4.05.8 In the event that CDCR transfers Correctional Clinical Case Management System (CCCMS)
inmates to the CONTRACTOR's Facilities, the following shall apply:

I- - - - .. - - ··-··· ·-·· ·-· ··-

a)

Unless mutually agreed otherwise between CONTRACTOR and CDCR, the total
number of CCCMS inmates shall not exceed 1,000 inmates across the
CONTRACTOR Facilities.

b)

The allocation of the CCC MS inmates between the CONTRACTOR Facilities shall be
decided in mutual agreement between the CONTRACTOR and CDCR to allow
optimization of CONTRACTOR resources, to include staffing.

c)

CONTRACTOR's agreement to house CCCMS inmates is based upon the staffing
requirements of the Mental Health Service Delivery System Program Guide as
amended and supplemented, and as interpreted by the CDCR Director of Mental
Health. In the event that such guidelines are modified, amended or replaced in such
a way as to modify or increase the services, including staffing, required from the
CONTRACTOR, the CONTRACTOR shall not be required to make such
modifications unless the CONTRACTOR agrees that such modifications are
operationally feasible and CDCR agrees to pay for any increased costs, including
any and all staffing related costs. In the event CONTRACTOR finds modifications
operationally infeasible, CONTRACTOR and CDCR shall come to a mutual
agreement in regards to costs associated with the transfer of inmates back to
California or to another mutually agreed upon site.

d)

CONTRACTOR agrees to provide monitoring data and reports as required by CDCR.

...... ·-·

j

Section 4.06 Death of an Offender.

4.06.1 In the event of the death of a CDCR Offender, the CONTRACTOR will immediately notify the
CDCR Contract Monitor or designee, local coroner and local law enforcement via telephone
and shall have the cause and circumstances of the death reviewed by the coroner of the
local jurisdiction. If requested by CDCR, the CONTRACTOR shall obtain an independent
autopsy. This autopsy shall be paid for by the CDCR. A certified copy of the death certificate
and the offender's file and medical records will be forwarded to the CDCR.
4.06.2 The CONTRACTOR shall furnish all information requested by the CDCR, and follow the
instructions of the CDCR with regard to disposition of the body. The CDCR will notify the
designated next of kin of the deceased offender, if any, as soon as practicable after death.

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Corrections Corporation
\.merica
California Department of Corrections and Rehabilitation
Scope of Work

~eement

Number C07.247-5
Exhibit A

4.06.3 All expenses relative to any necessary preparation and shipment of the body shall be the
responsibility of the CDCR.
4.06.4 The CONTRACTOR's Chief Medical Officer will communicate on a regular basis with the
Office of the Receiver and actively participate in Mortality and Morbidity clinical reviews in the
Death Review Committee and other Quality Improvement activities. At all times
documentation will be protected by the Medical Peer Review process. The CONTRACTOR
will assist COCF in the collection of documents required to be submitted to the Death Review
Committee as delineated in the CPHCS September 5, 2008, Memorandum titled "Distribution
of Inmate Death Reporting and Review Policy, Effective September 5, 2008," and any
subsequent death review documentation requirements imposed by the Plata court
(Attachment C).
Section 4.07 Offender Work and Programs.

4.07.1 All eligible offenders shall be afforded the opportunity to participate in programs,
occupational training, and work at the Facility, unless otherwise medically or administratively
precluded. No CDCR Offender shall participate in any program, training or work outside the
fenced Facility unless approved in writing by the CDCR Contract Monitor or designee.
4.07.2 Eligible offenders will be productively occupied in work, education, vocational, and/or major
habilitation programs, consistent with CCR Title 15, and in accordance with the Offender
Program Participation Table attached hereto as Attachment D.
4.07.3 Programs shall include: Educational programs (basic literacy, adult basic education, General
educational development, ESL (English as a second language); recreational programs;
cognitive behavioral programs; self-help programs (AA/NA); and vocational/technical
programs, as available.
4.07.4 Offenders shall be required to work or participate in educational or vocational programs,
consistent with CCR Title 15. However, offenders shall not be allowed or required to
participate in any training or work contrary to the laws of California.
4.07.5 The CONTRACTOR may dispose of or consume all products produced by any offender
participating in work or vocational programs. The CONTRACTOR will bear all costs and
retain all proceeds there from.
4.07.6 The CONTRACTOR shall daily record the actual hours worked/participated for each offender
(those in work/programs/education/training) on the Work Supervisor's Time Log (CDC Form
1697) in order that work credit can be calculated by CDCR in accordance with Title 15
(§3045). The forms shall be provided at CDCR expense. The completed forms (white copy)---- --- --shall be collected and mailed to the Contract Monitor by the 15th of the following month or
CONTRACTOR shall collect and forward other documentation as deemed appropriate by
CDCR.
4.07.7 In case of hobby craft programs, the crafts may be sold and proceeds of any sale retained by
the offender.
4.07.8 In accordance with the expectations of CDCR, CONTRACTOR shall provide the below
detailed annual goals for offender programs. The CONTRACTOR shall provide reports to
CDCR with respect to these goals as detailed below. In the event that, after reviewing these
reports and discussing any concerns with the appropriate CONTRACTOR staff, CDCR.
determines that deficiencies exist in meeting the goals stated herein, CDCR may request
that CONTRACTOR provide a Corrective Plan of Action for resolving these deficiencies and

Page 18of43

i

;•eement Number C07.247-5
Corrections Corporation · \.merica
California Department of Corrections and Rehabilitation
Exhibit A
Scope of Work
updates of these Plans of Action shall be provided to the CDCR Contract Monitor on a
monthly basis until such deficiencies are resolved. The annual goals and associated reports
shall be as follows:
4.07.8.01 Provide Chaplain and Religious Services for the CDCR population in order to fulfill
the facility's responsibility of ensuring that all inmates can voluntarily exercise their
constitutional rights to religious freedom. Each facility chaplain will submit a
monthly report detailing religious services provided, inmate attendance, and
volunteers utilized to provide religious services.
4.07.8.02 Provide a mechanism for assessment and admission into appropriate modality of
treatment for therapeutic substance abuse. Each facility will submit a quarterly
report of assessments, intakes, discharges, and completers in addictions treatment
programs or CONTRACTOR shall collect and forward other documentation as
deemed appropriate by CDCR.
4.07.8.03 Demonstrate offender progress by tracking "phase-ups" in addiction treatment
programs. Each facility will submit a quarterly report of "phase-ups" or
CONTRACTOR shall collect and forward other documentation as deemed
appropriate by CDCR.
4.07.8.04 Assess CDCR offenders interested in educational programming to determine
appropriate placement. Each facility will submit a quarterly report of assessment
results for education programs or CONTRACTOR shall collect and forward other
documentation as deemed appropriate by CDCR.
4.07.8.05 CDCR offenders enrolled in academic education programs shall be reassessed
using an appropriate instrument every 120 days. Each facility will submit a
quarterly report detailing reassessment results or CONTRACTOR shall collect and
forward other documentation as deemed appropriate by CDCR.
4.07.8.06 Each facility will maintain a vocational advisory committee. Each facility will submit
a quarterly report summarizing the activity of the vocational advisory committee.
4.07.9 CDCR shall be responsible for payment of any benefits for CDCR offender workers
compensation claims as required by California law, including, but not limited to, California
Labor Code section 3370(a). CONTRACTOR shall not be responsible for the payment of any
workers compensation benefits to CDCR offenders.

Section 4.08 Religious Opportunity.

The CONTRACTOR will provide reasonable time, accommodations, and space for religious services
in keeping with facility security and other necessary institutional operations and activities. Religious
services should be provided in accordance with CCR Title 15.
Section 4.09 Recreation/Quarterly Packages and Canteen - Barber.

Offenders shall be provided indoor and outdoor recreational opportunities on a daily basis except for
offenders in lockdown/modified program/Administrative Segregation status. The CONTRACTOR
shall provide recreation for inmates in Administrative Segregation in accordance with CCR Title 15.
Offenders will be personally observed by staff during these recreational opportunities. Offenders will
be provided with commissary service in accordance with established CDCR policies. CDCR shall
reserve the right to disapprove any canteen items for CDCR inmates. CONTRACTOR shall
endeavor to supply canteen items similar in price and nature to those provided to California inmates
Page 19 of 43

Corrections Corporation r \.merica
California Department of Corrections and Rehabilitation
Scope of Work

•eement Number C07.247-5
Exhibit A

by CDCR. CONTRACTOR reserves the right to exclude any canteen item it deems to be a security
risk. Revenues may be used to pay all operating expenses of the canteen, including but not limited
to commissary worker salaries and benefits on a pro rata basis, based on the ratio of the total sales
to CDCR inmates to the total canteen sales to all inmates. Any profits from the commissary sales to
CDCR inmates operation shall be deposited in the Offender Welfare Fund, to be administered in
accordance with and in a manner consistent with established CDCR policies. CONTRACTOR will
implement a quarterly package program in accordance to CCR Title 15. CONTRACTOR shall supply
quarterly package items similar in price and nature to those provided to California inmates by CDCR.
CONTRACTOR and CDCR reserve the right to exclude any quarterly package item deemed to be a
security risk.
4.09.1 The CONTRACTOR shall establish and maintain a plan of operation for on-site inmate
barber services. Barber service procedures must provide for the safety, security and
maintenance of the designated area, tools, solutions, equipment and comply with all
applicable health and sanitation codes. The number of inmate barber assignments shall be
consistent with the need to readily service the inmate population. The CONTRACTOR
should strive to maintain an ethnically diverse barber's service in both inmates assigned and
services provided. The CONTRACTOR shall ensure that barber services are directly
available and accessible to the inmate population. Hours of operation must therefore be
scheduled in correlation to other facility programs, activities and other inmate assignments.
The barber service shall comply with acceptable and applicable codes, practices, standards
and requirements established by the appropriate state regulatory agency in the state where
the Facility is located and ACA standards. The CONTRACTOR shall be responsible for
developing a plan of operation for inmate barber services that, at a minimum, must: (a)
ensure that tools are properly inventoried, maintained and accounted for at all times; (b)
provide for trained inmate barbers that are hired consistent with Facility policy and ACA
standards; and (c) ensure that inmate barbers and services are provided to serve an
ethnically diverse inmate population. The CONTRACTOR shall provide a designated barber
area, centrally located within the facility and adjacent to the inmate population, which is
readily accessible to all inmates for the personal maintenance of hair grooming standards in
accordance with CDCR requirements. The CONTRACTOR may also provide multiple
designated inmate barber areas equitably located within various areas of the facility to
achieve the same purpose within the framework of safety and security. In either case, the
barber area(s) shall be centrally located and of sufficient size and dimensions to adequately
service the entire inmate population. Clear lines of sight shall be provided from designated
staff/posts. The CONTRACTOR shall ensure that CDCR principles of proper tool control is
incorporated and adhered to by inmates and staff alike. At a minimum, the barber area shall
be equipped with a sink, power outlets and a chair.

Section 4.10 Inmate Advisory Committee.
The CONTRACTOR agrees that the Facility Wardens will establish an Inmate Advisory Committee
at each facility housing CDCR offenders consistent with CDCR regulations. Copies of the meeting
minutes will be provided to the Contract Monitor or designee on a monthly basis.
~ection

4.11 Telephone.

Access to telephone service shall be provided to CDCR Offenders in accordance with CCR Title 15
(§ 3018, 3044, 3045). CONTRACTOR, nor any other party, shall profit from inmate telephone
service systems; however, should CDCR require CONTRACTOR to provide video visiting,
CONTRACTOR and CDCR shall come to a mutual agreement regarding an increase in charges for
the inmate telephone system to offset the cost of providing video visiting.

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Corrections Corporation < \..merica
California Department of Corrections and Rehabilitation
Scope of Work

'eement Number C07.247-5
Exhibit A

Section 4.12 Clothing.
The CONTRACTOR will be responsible for laundry, repair, and replacement of offender clothing
during the CDCR Offender's incarceration at the Facility to ensure clean clothes and bedding on a
weekly basis.
Upon admission, each inmate shall be issued the following:
• Work shoes, one pair.
• Sheets, two.
• Pillow case, one.
• Towels, two.
• Blankets, two.
• Pants (uniform or jeans), three.
• Shirts (uniforms or chambray), three.
• Undershirts, four.
• Socks, six pair.
• Undershorts, four pair.
• Jacket, one.
• Belt, one (if jeans are issued).
• The distinctive, protective and/or extra clothing required by the climate and/or the inmate's
job assignment.
Other clothing and linen items shall also be issued to the inmate as detailed within CCR Title 15.
CONTRACTOR shall provide laundry services to the offender at no charge to the offender in
accordance with established CDCR policies and CCR Title 15.

Section 4.13 Meals.
The CONTRACTOR will provide all CDCR Offenders with nutritional meals consistent with
established CDCR policies. Food service will meet established governmental and safety codes,
while adhering to American Dietetic Association, National Academy of Sciences, and ACA
standards, and local, state and federal requirements. The CONTRACTOR's facility will have a fourweek, five-week, or six-week cycle menu. Therapeutic/special diets shall be provided as prescribed
by appropriate clinicians. Religious diets will be provided for inmates whose religious beliefs requires
adherence to religious dietary law. Religious diets shall be approved by the recognized facility
religious authority. CONTRACTOR shall provide meat that has been certified as Halal as a religious
meat alternative (RMA) at the dinner meal. CONTRACTOR shall procure RMA meat from a
vendor(s) capable of providing meat that has been certified as Halal. A Registered Dietician or
Nutritionist shall approve all menus, and meals shall be prepared in compliance with the approved
menus. Menus shall be submitted to the Contract Monitor for review on a monthly basis.

Section 4.14 Mail.
Offenders will be provided with mail service. Indigent Offenders shall be provided with supplies for
correspondence for up to the price of twenty (20) one ounce first class letters per month. However,
no request for mailing of verified legal pleading will be denied under this provision regardless of
postage limit or financial status of the offender. The CONTRACTOR is entitled to recoup postage
fees when the Offender has sufficient funds in his account. Pursuant to the DOM, all non-confidential
inmate mail, incoming or outgoing, is subject to being read by designated staff. This reading of mail
shall be for cause only. All incoming and outgoing mail and packages shall be searched for
contraband.

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Corrections Corporation 1. \merica
California Department of Corrections and Rehabilitation
Scope of Work

·eement Number C07.247-5
Exhibit A

Section 4.15 Visitation.

The CONTRACTOR shall provide space, opportunity, furniture, and equipment for visitation. Contact
visitation shall be provided unless individual security concerns dictate otherwise. The
CONTRACTOR shall adopt flexible visiting policies for visitors traveling from out of state. Visitors on
CDCR's approved visitors list shall be approved by the CONTRACTOR unless security concerns
indicate otherwise. Minimum hours of visitation shall be consistent with CDCR regulations. If space
is available at the Facility and at the request of CDCR, CONTRACTOR shall provide space
appropriate for conjugal visits. The provisioning of said space shall be the expense and obligation of
CONTRACTOR.
Section 4.16 Offender Property.

CDCR Offenders shall be allowed to possess personal property as outlined in CCR Title 15.
Exclusions may be granted based on facility security requirements. CONTRACTOR shall provide the
CDCR allowable property lists prior to the implementation of this agreement. With the consent of
CDCR, CONTRACTOR may permit items of property not allowable in California facilities. It shall be
the responsibility of CONTRACTOR to insure that any such property is not returned with the inmate
on the inmate's return to California. CONTRACTOR will follow CDCR regulations on disposition of
property. CONTRACTOR shall compensate offenders for loss or damaged property due to the
negligence of the CONTRACTOR in accordance with applicable remedies in CCR Title 15.
CONTRACTOR shall not unduly delay resolution of property issues.
Section 4.17 Offender Appeals.

The CONTRACTOR will handle all CDCR Offender appeals/grievances related to CDCR Offenders
consistent with CDCR Policy. CDCR shall retain final authority on all issues of appeal. The
CONTRACTOR shall provide a monthly summary of appeals by volume and type to the CDCR
Contract Monitor.
Section 4.18 Access to Courts.

The CONTRACTOR will ensure all CDCR Offender court related access is in compliance and
consistent with the provisions of DOM and CCR Title 15. Regardless of housing, the CONTRACTOR
will provide opportunity for meaningful access to federal and California State legal materials at the
Facility in accordance with CCR Title 15. On rare occasions, when direct access cannot be provided,
the CONTRACTOR shall provide access consistent with DOM and CCR Title 15. The
CONTRACTOR shall provide CDCR Offenders legal materials required to meet constitutional
standards via computer and appropriate software including California specific material. The
CONTRACTOR shall provide a secure and monitored location to house said computer and
associated peripherals. The CONTRACTOR shall provide federal law material; typewriters, including
ribbons, and typing paper; notary services (fees apply as per CCR Title 15); copying services, ··-·· - -- - - --·
including copier paper; legal size envelopes; sufficient to meet constitutional standards. Items such
as paper and typewriters shall be provided and shall be available free of charge to indigent CDCR
Offenders. CDCR Offenders need not be afforded access to copiers; however, the CONTRACTOR
shall provide a copy of specific information, such as a page from a law book, upon request by a
CDCR Offender. A reasonable and consistent copy fee shall be set by the CONTRACTOR. The
CONTRACTOR shall provide access to law material when staff has scheduled absences, due to
vacations, extended leave or training.
Section 4.19 Offender Records and Progress Reports.

4.19.1 The CONTRACTOR will handle all CDCR Offender Records and ensure compliance
consistent with the provisions of DOM and CCR Title· 15. Offender institutional records
regarding CDCR Offenders while at the Facility shall be collected and maintained on-site by

Page 22of43

Corrections Corporation < \merica
California Department of Corrections and Rehabilitation
Scope of Work

•eement Number C07.247-5
Exhibit A

the CONTRACTOR in accordance with CDCR record keeping practices and operating
requirements governing confidentiality. The inmate files will not be maintained inside housing
units or easily accessible to the inmate population. Upon request, all records, reports, and
documents related to CDCR Offenders, including Offender work/education vocation records,
shall be made available immediately to the CDCR Contract Monitor for review. When an
offender is transferred from the Facility, the record provided by the CDCR and additional
information compiled while the CDCR Offender was at the Facility will be updated and
transported with the CDCR Offender to his new location. The record consists of reports,
timesheets, staff memos, correspondence, and other documentation relating to behavior of
the CDCR Offender.
4.19.2 All warrants/holds/detainers received by the CONTRACTOR for a CDCR offender shall be
forwarded to the CDCR Contract Monitor within 24 hours.
4.19.3 CONTRACTOR will provide approved, selected CDCR medical personnel electronic access
to the CONTRACTOR's Electronic Medical Record (IMS 2). All access will comply with
HIPAA.
Section 4.20 Transportation & Security.

The CONTRACTOR will provide security for Offenders assigned to the Facility whether in the Facility
or elsewhere. The CONTRACTOR will provide transportation and transportation staffing consistent
with CCR Title 15 and DOM to and from medical appointments, urgent and emergent medical care,
and local, state, and federal court appearances within a 150 mile radius of the Facility at
CONTRACTOR's cost.
Section 4.21 Removal of Offenders from the Facility.

Except for emergency health care needs, CDCR Offenders shall not be assigned from the Facility
without prior written authorization from the CDCR Contract Monitor.
Section 4.22 Use of Force.

The CONTRACTOR's use of force policy and training program for CONTRACTOR staff shall be
approved by the CDCR prior to offenders being transferred to the Facility and consistent with the
CDCR Use of Force Policy as well as any other applicable use of force law applicable to the Facility
or its operations. Following any use of force, an incident report shall be prepared and the CDCR staff
shall be notified pursuant to Section 4.24 "Notification of Incidents, Emergencies, Escapes, and
Discipline." Video copies of Use of Force incidents and all applicable reports will be provided to
CDCR within timeframes set forth in CDCR policy or as mutually agreed upon. Any incidents of
inappropriate or excessive force will be immediately reported to CDCR and local law enforcement.
[._ ------- ·- --

I

--·-· ..

4.22.1 CONTRACTOR shall utilize only those weapons, munitions, and equipment authorized by
CDCR (Attachment E).
Section 4.23 Escapes.

In the event of an escape by a CDCR Offender(s) from the Facility's physical custody, the
CONTRACTOR shall, in addition to efforts to apprehend such CDCR Offender(s), immediately notify
the CDCR Administrative Officer of the Day (AOD), CDCR l.D./Warrants Unit, and the local law
enforcement agencies as required by state statute in the same manner it uses for any other Facility
escapees. CONTRACTOR is responsible for reasonable costs associated with an escape, including
the cost to dispatch CDCR personnel to assist in the apprehension or conduct an after action review,
and including all costs associated with any such escape which are assessed against CDCR by third

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Corrections Corporation. '\merica
reement Number C07.247-5
California Department of Corrections and Rehabilitation
Exhibit A
Scope of Work
parties. Annually or upon revision, the CONTRACTOR shall provide CDCR Contract Monitor or
designee with a listing of emergency contacts; including, but not limited to, AOD contact information.
Section 4.24 Notification of Offender Incidents, Emergencies, Escapes, and Discipline.

4.24.1 The CONTRACTOR will handle all CDCR Offender related incidents, emergencies, and
escapes in compliance with the provisions of DOM and CCR Title 15 unless it conflicts with
state laws, in which case state laws control. Incidents involving/impacting CDCR Offenders
are to be reported using the established CDCR-approved reporting format. Such incidents
are to be reported to the CDCR Contract Monitor as soon as reasonably practical after the
incident occurrence. The CONTRACTOR and CDCR will provide each other with a list of
names, phone numbers, e-mail addresses, and fax numbers for personnel to whom inquiries
regarding fiscal, medical, and operations matters should be directed. For incidents involving
any offender, the CONTRACTOR will send to the CDCR Contract Monitor reports on the
incident on a timely basis, consistent with CDCR policy.

4.24.2 The CONTRACTOR will handle all CDCR Offender disciplinary related matters according to
the applicable provisions of DOM and CCR Title 15. Upon the CDCR Contract Monitor's
request, within 14 calendar days following any incident, a critical incident review will be
conducted to evaluate any deficiencies or training needs, and a plan of action will be
completed on any items requiring corrective action.

4.24.3 The CONTRACTOR will notify the CDCR Contract Monitor or COCF AOD immediately (24
hours a day) by telephone for any:
a) Offender escape;
b) Use of deadly force;
c) Any use of force;
d) Assault, including sexual assault, by an employee, offender, or civilian;
e) Disturbance involving three or more offenders;
f) Death of an offender;
g) Rape of an offender;
h) Property destruction rendering a living unit or support service area unusable;
i) Hostage situation;
j) Any serious interruptions to institutional services;
k) Felony behavior by staff or inmates involving CDCR.
All other incident reports, medical pre-authorizations, notices of emergency, medical
treatments, and removal of Offenders from the facility shall be provided to the CDCR
Contract Monitor within 24 hours of the incident. In addition to those incidents listed above,
all non-routine offender movement from the Facility, including emergency medical moves
and removals from population to a Facility deemed appropriate and operated by the
CONTRACTOR, and other such moves shall also be reported as soon as possible, but not · - - - - - -- longer than 24 hours of the incident.

4.24.4 Disciplinary reports, reclassification requests, or diagnoses that an offender has a serious
medical condition shall be provided to the CDCR Contract Monitor and Receiver's
Healthcare Monitor, if designated, weekly. Additionally, the CONTRACTOR shall forward to
the CDCR Contract Monitor a monthly report detailing the disciplinary actions taken on
CDCR Offenders. The content and form of the report will be mutually agreed upon by both
parties to this Agreement. Daily offender movement sheets and daily activity reports shall be
provided to the Contract Monitor as well.

4.24.5 The CONTRACTOR will provide a monthly Compstat report to the CDCR Contract Monitor
that chronicles/summarizes significant activities occurring during the preceding month.

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Corrections Corporation , \.merica
California Department of Corrections and Rehabilitation
Scope of Work

:·eement Number C07.247-5
Exhibit A

4.24.6 The CONTRACTOR shall furnish copies of any regularly generated reports that are
requested by the CDCR except for those reports which contain confidential financial or
company proprietary information unrelated to CDCR Offender case, custody or housing.
Section 4.25 Earned Time/Good Time.

The CONTRACTOR shall furnish specific information consistent with CCR Title 15 to the CDCR for
purposes of award or forfeiture of earned/good time for eligible offenders. The final decision on
awarding or forfeiture of earned/good time rests with the CDCR.
Section 4.26 Sentence Computation.

The CONTRACTOR will furnish the CDCR with the following information for sentence computation
purposes: infractions, work assignments, program assignments, and performance. The
CONTRACTOR will assist in providing documents as necessary to ensure compliance with CCR
Title 15. The final decision with respect to sentence computation rests with CDCR. Sentence
computation will be done by the CDCR. The CDCR will furnish adjusted release dates to the
CONTRACTOR as necessary.
Section 4.27 Classification.

The CONTRACTOR will participate as required in all CDCR Offender classification matters and
ensure compliance consistent with the applicable provisions of DOM and CCR Title 15.
CONTRACTOR must adhere to all ACA, NCCHC, Court mandates and CDCR regulations
concerning CDCR inmate placement into administrative segregation including, but not limited to,
those specific guidelines applicable in the Coleman class action as applied to Coleman class
members placed in administrative segregation. In the event of a conflict in application of the above,
the CDCR Contract Monitor shall be consulted for appropriate action. Should CDCR find that it is in
the best interest of CDCR to delegate_ some or all classification matters to CONTRACTOR and
CDCR determines that CONTRACTOR's staff is sufficiently trained, CDCR reserves the right to
delegate some or all classification matters to CONTRACTOR.
Section 4.28 Facility Space for Hearings, Inspections, Audits, and Contract/Healthcare
Monitors.

4.28.1 Adequate facilities for any hearings, inspections, audits, and related CDCR case
management activities including: furniture, equipment, on-site clerical support, and security
staff, shall be made available to CDCR employees or designated representatives.
4.28.2 Unless required more frequently by law, standard and/or corporate/local policy, the
CONTRACTOR will complete documented formal inspections of the following areas,
according to stipulated schedule: Security per shift, Sanitation monthly, Fire/Safety quarterly; - -- ---- - - - and Environmental Health annually.
Copies of the inspection reports, including Quality Assurance (QA) reports and plans of
correction will be submitted to the CDCR Contract Monitor, to include action taken to correct
noted deficiencies to date. Plans of Correction will be updated monthly until action item(s)
are resolved. Proof of practice may be requested by CDCR.
4.28.3 The Facility will complete audits in accordance with CCA policy and ACA standards. CDCR
may also conduct audits, and a copy of any such audits shall be provided to CONTRACTOR.
CDCR may make a request for a Plan of Correction from CONTRACTOR to be provided
within 30 days.

Page 25 of 43

Corrections Corporation 1 \merica
California Department of Corrections and Rehabilitation
Scope of Work

·eement Number C07.247-5
Exhibit A

Section 4.29 Public Information.

The CONTRACTOR will process all CDCR Offender publicity issues or requests for information
consistent with the applicable provisions of DOM and Title 15. CONTRACTOR shall not be
authorized to release publicity concerning CDCR Offenders. They shall not release personal
histories or photographs of CDCR Offenders or information concerning their arrivals or departures,
except as provided herein. All requests shall be forwarded to the CDCR Office of Communications
(see Section 2.05). CONTRACTOR shall notify COCF of any known or anticipated significant media
issues involving any inmates housed in CONTRACTOR's facilities.
Section 4.30 Inspections.

The CDCR and/or the Receiver shall have the right to inspect and/or audit the Facility at its
discretion with or without advance notice. CONTRACTOR reserves the right to deny access during
off hours (defined as the period between 8PM and 8AM) to individuals not identified previously to
them either in this contract or otherwise in writing. In such event, prior to denying authorization,
CONTRACTOR shall first contact the CDCR Contract Monitor for direction and/or approval authority.
CONTRACTOR reserves the right to request proper identification prior to admission in all cases.
Section 4.31 Offender Account Deductions (Restitution) Collection and Accounting.

CONTRACTOR shall be responsible for collecting restitution from the wages and account deposits
of inmates who owe restitution, pursuant to Penal Code § 2085.5, as further detailed in CCR Title 15
Section 3097. As of the date of this contract, that amount is 50% or the balance owing, whichever is
less. In addition, an administrative fee of 10% of the deduction shall be deducted to reimburse
administrative costs, for a maximum deduction of 55% of the inmate's wages and deposits. By
entering into this agreement, CONTRACTOR acknowledges that CONTRACTOR is responsible for
satisfying CDCR's restitution obligations under such regulations as they currently exist and as they
may be amended in the future.
CONTRACTOR shall collect restitution fines beginning with the oldest first. CONTRACTOR shall
collect direct orders of restitution when notified by CDCR to activate the direct order, in which case it
shall be collected upon as first priority, above any restitution fines, as expressed in penal code §
2085.5.
CONTRACTOR shall hold such funds in an interest-bearing account in trust for the State for the
purposes set forth in said statute and regulations, and shall not commingle such funds with
CONTRACTOR's own funds or with any other funds.
The CONTRACTOR shall also ensure that the restitution collections and administrative fees are not
commingled and are submitted to the Department separately (by separate checks).
Note - fines and direct orders may have the same case number but must be accounted for
separately.
CONTRACTOR shall at all times keep an accurate and up-to-date accounting of all such funds and
restitution information and shall remit the inmate fund collections and associated inmate case
information to CDCR as directed. By the 10th of each month following collections, CONTRACTOR
shall forward the amount of restitution and administrative fees to:
Inmate Accounting Branch,
P.O. Box 276088,
Sacramento, CA 95827

Page 26 of 43

Corrections Corporation r \.merica
•eement Number C07.247-5
California Department of Corrections and Rehabilitation
Exhibit A
Scope of Work
The remittance shall include an itemized statement which includes the CDCR number, inmate name,
case number, sentencing date, sentencing county, designation of fine or direct order, original
fine/order amount, amount of restitution collected, date(s) of deductions, amount of administrative
fees collected and balance still owing. The remittance must be subtotaled by restitution fines and
direct order amounts. In addition, CONTRACTOR shall timely provide an accounting of all such
funds to CDCR at any time upon request. Any such restitution funds remaining in CONTRACTOR's
possession at the end of the contract shall be remitted to the State for proper disposition pursuant to
said Statute and regulations. Upon mutual agreement or as deemed necessary by CDCR for the
efficient management of inmate restitution the CONTRACTOR shall receive and transmit the
restitution collection data though an electronic interface with CDCR, Restitution, Accounting and
Canteen System (RAGS). The design, testing, and documentation of the CONTRACTOR's interface
shall be subject to CDCR's approval and must be utilized and supported without additional cost to
CDCR.
Section 4.32 Policy and/or Procedure Changes.

The CONTRACTOR will process all policy and procedural changes consistent with the applicable
provisions of DOM and CCR Title 15. The Warden or designee shall be responsible for posting and
distribution as necessary of CDCR regulatory or court mandated notices to inmates and shall
substantiate such postings/distributions on the applicable CDCR form.
Section 4.33 Quality Assurance and Initial Security Audit.

The CONTRACTOR shall perform customary and usual Quality Control Audits of the facility as well
as associated Corrective Plans of Action and provide those to CDCR upon completion.
CONTRACTOR agrees to include in those audits, such items for review, in addition to those
reviewed in the previous audit, such items shall be provided by to CDCR upon completion. CDCR
shall be responsible for providing such reports and Corrective Plans of Action to the Receiver and
Special Masters upon request and shall advise CONTRACTOR when providing such reports.
CONTRACTOR will have a routine physical plant maintenance schedule and review of the
compliance with scheduled maintenance shall be a part of the QA process. Any significant issues
will be reported to the Contract Monitor.
Section 4.34 Tobacco - Prohibitions.

No CDCR offender will be allowed to use, possess, or purchase any tobacco products. Nor shall
they be subject to second hand smoke from staff or offenders from other jurisdictions who may be
housed in the Facility. However, consistent with CCR Title 15, the use of tobacco products may be
approved by CDCR for use in the CONTRACTOR's facilities for inmate religious ceremonies.
i

~-- ~-- ~

Section 4.35 Lockdown/Modified Program.
--

·-~-

-

CONTRACTOR must report any lockdowns or modifications of programs for the CDCR inmate
populations, including compilation of CDCR documentation, in accordance with CCR Title 15.
CONTRACTOR must submit a written unlock plan utilizing approved forms for approval by Contract
Monitor prior to resuming the normal or modified program. CONTRACTOR shall not unduly delay
return to normal program for any population that is placed on lockdown or modified program.
Section 4.36 Research.

No research on CDCR offenders shall be conducted without prior written CDCR approval.
CONTRACTOR shall comply with CDCR research requests regarding CDCR offenders to the extent
such requests do not result in increased costs to CONTRACTOR or cause staff to deviate from
primary duties.

Page 27of43

Corrections Corporation
\.merica
California Department of Corrections and Rehabilitation
Scope of Work

reement Number C07.247-5
Exhibit A

Article V
FACILITY EMPLOYEES
Section 5.01 Independent Contractor.

The CONTRACTOR and its employees are associated with CDCR only for the purposes and to the
extent set forth in this Agreement. With respect to the performance of the services setout herein, the
CONTRACTOR is and shall be an independent CONTRACTOR and, subject to the terms of this
Agreement, shall have the sole right to manage the operations of the Facility. The CONTRACTOR
shall perform its duties hereunder as an independent CONTRACTOR and not as an employee.
Neither the Facility nor any agent or employee of the CONTRACTOR has the authority, actual or
implied, to bind, incur liability, or act on behalf of the CDCR or the State. Neither the CONTRACTOR
nor any agent or employee of the CONTRACTOR shall accrue leave, retirement, insurance, bonding
or any other benefit afforded to the employees of California as a result of this Agreement.
Section 5.02 Personnel.

Personnel shall be retained to deliver twenty-four (24) hour care and supervision to incarcerated
individuals, as well as administrative and support service personnel for the overall operation of the
Facility, in accordance with CONTRACTOR operating requirements. All personnel hired shall be
subject to background checks to include both Federal and State criminal records checks and a
Federal criminal search based on social security number and residence to include a records search
based on any discovered undisclosed addresses, as well as an assets control search. All
background checks shall be completed prior to CDCR Offender contact. Such policies and
procedures, including a position description that clearly states the experience and skill requirements
of the position, shall be provided for all facility management positions. CDCR shall be notified in the
event of a vacancy in a management position affecting CDCR populations. CONTRACTOR shall
take under advisement legitimate CDCR requests that specific staff, contractors or volunteers not be
allowed to work with or in proximity of CDCR Offenders. CONTRACTOR shall make all efforts to
reasonably comply with such requests. CONTRACTOR shall require all employees and applicants to
document current relationships with CDCR inmates and/or parolees. Additionally, it is required that
CONTRACTOR requires employees to report any newly developed relationships with CDCR
inmates and/or parolees as the relationships arise. CONTRACTOR shall require all employees and
applicants to report any negative law enforcement contact. CONTRACTOR shall provide CDCR
Contract Monitor all such documents and reports.
Section 5.03 Training.

All personnel shall be trained in accordance with CONTRACTOR personnel policies and procedures.
CDCR will provide, at least annually, training regarding their policies and procedures and Security ___________ .
Threat Groups to CONTRACTOR's personnel at a mutually agreed upon site, as CDCR or
CONTRACTOR may request.
CONTRACTOR shall be responsible for all expenses associated with the transporting of
CONTRACTOR's employees to that site for training and for CDCR staff as mutually agreed upon.
CONTRACTOR agrees to run simulated drills (i.e. alarm response drills, man-down drills, Special
Operations Response Team training, escape pursuit and staff accountability drills) as needed to
ensure the safe operation of the facilities.
CONTRACTOR will report to CDCR Contract Monitor or designee through mutually agreed upon
procedure to track these drills.

Page 28of43

Corrections Corporation· ~merica
California Department of Corrections and Rehabilitation
Scope of Work

~eement

Number C07.247-5
Exhibit A

Section 5.04 Worker's Compensation.

CONTRACTOR hereby represents and warrants that CONTRACTOR is currently and shall, for the
duration of this agreement, carry workers' compensation insurance, at CONTRACTOR's expense, or
that it is self-insured through a policy acceptable to the CDCR, for all of its employees who will be
engaged in the performance of this Agreement. Such coverage will be a condition of CDCR's
obligation to pay for services provided under this Agreement.
Prior to approval of this Agreement and before performing any work, CONTRACTOR shall furnish to
the State evidence of valid workers' compensation coverage. CONTRACTOR agrees that the
workers' compensation insurance shall be in effect at all times during the term of this Agreement. In
the event said insurance coverage expires or is canceled at any time during the term of this
Agreement.
CONTRACTOR agrees to give at least thirty (30) days prior notice to CDCR before said expiration
date or immediate notice of cancellation. Evidence of coverage shall not be for less than the
remainder of the term of the Agreement or for a period of not less than one year. The State reserves
the right to verify the CONTRACTOR's evidence of coverage. In the event the CONTRACTOR fails
to keep workers' compensation insurance coverage in effect at all times, the State reserves the right
to terminate this Agreement and seek any other remedies afforded by the laws of this State.
CONTRACTOR also agrees to indemnify, defend and save harmless the State, its officers, agents
and employees from any and all of CONTRACTOR's workers' compensation claims and losses by
CONTRACTOR's officers, agents and employees related to the performance of this Agreement.
CDCR Offenders are not the CONTRACTOR's officers, agents or employees.
·
Section 5.05 CDCR Non-Liability for Injuries Caused by Inmates.

Neither the State nor any State employee will be liable to the CONTRACTOR or its staff for injuries
inflicted by inmates or parolees of the State. The State agrees to disclose to the CONTRACTOR any
statement(s) known to State staff made by any inmate or parolee which indicate(s) violence that may
result in any specific situation, the same responsibility will be shared by the CONTRACTOR in
disclosing such statement(s) to the State.

Article VI
COMPENSATION AND ADJUSTMENTS
Section 6.01 Compensable Offenders.
I

f- ~ --- - --·

The terms of this Agreement apply only to CDCR Offenders. Nothing in this Agreement shall t>~ ____
construed to impose upon the CDCR any financial or other obligations for any non-CDCR Offender
housed in the Facility. The CONTRACTOR's costs of operations including start-up expenses, legal
services and the risks of physical damage to the Facility incurred as a direct result of the placement
of a CDCR Offender in the Facility shall be considered usual costs incidental to the operation of the
Facility and part of the compensation set forth herein.
Section 6.02 Payment.

6.02. 1 CDCR shall reimburse the CONTRACTOR a per offender per day (per diem) rate of $63.00
for each CDCR Offender housed at Tallahatchie County Correctional Facility. CDCR shall
reimburse the CONTRACTOR a per offender per day (per diem) rate of $67.34 for each
CDCR Offender housed at Red Rock Correctional Center and La Palma Correctional Center.

Page 29of43

-· _. ___ _

Corrections Corporation
\merica
California Department of Corrections and Rehabilitation
Scope of Work

;eement Number C07.247-5
Exhibit A

CDCR shall reimburse the CONTRACTOR a per offender per day (per diem) rate of $61.00
for all CDCR Offenders housed at North Fork Correctional Facility.
6.02.2 Reimbursable Expenses as set forth in Sections 3.03, 3.04 and 4.05.1 of this Agreement
such other sections as may set forth a CDCR cost reimbursement obligation.

or

6.02.3 Nothing herein shall prevent the CONTRACTOR from seeking a per diem increase during
any contract renewal year. Such per diem increase shall be subject to legislative
appropriation.
Section 6.03 Change in Governing Standards.

If, during the course of this Agreement, changes are made to any governing policies, procedures,
protocols or other governing standards referenced herein and CDCR requests that the
CONTRACTOR make revisions to its operations to comply with said change, CONTRACTOR shall
be given the opportunity to review the impact of the requested change, with respect to cost and
operational practices, prior to implementing the change. Unless such compliance is required by
statute or court order, CONTRACTOR shall not be required to make changes during the contract
term that increase its costs or impact its operational practices unless the parties negotiate in good
faith a modification to this Agreement for CDCR to provide adequate reimbursement or other
compensation to the increased cost and/or to define the agreed implementation plan with
corresponding timeline for those changes impacting operational practices. Provided further, the
parties recognize that they have entered into this Agreement based upon currently existing operating
requirements. Should a change in any of these requirements occur which necessitates a change in
the scope of services and/or necessitates additional services so as to increase or decrease the cost
of operating or performing other services as contemplated by this Agreement, either party may
present documentation to support an increase or decrease to the per diem rate. Thereafter, the
parties will use their best efforts to arrive at a mutually accepted increase or decrease in the per
diem rate. Specifically it is understood that CDCR may require additional medical and healthcare
staffing above that as shown in the staffing information provided by CONTRACTOR (said staffing
information is attached hereto as Attachment A, and is incorporated into this Agreement by
reference and specifically made a part hereof). In said event CDCR agrees to bear the actual cost
incurred by CONTRACTOR in providing those additional medical and healthcare services.
Section 6.04 Billings.

CONTRACTOR will submit detailed invoices for payment of the compensation payable by CDCR to
CONTRACTOR pursuant to the terms of Section 6.02, above, with supporting documentation to
CDCR, in arrears on a monthly basis within five business days of month end, though the failure to do
so shall not negate the obligation of CDCR to pay such invoice. CDCR will make payment within 45
days of receipt of the invoice.
Section 6.05 Taxes/Utilities.

CONTRACTOR shall pay all local, state, federal taxes and all utilities charged, incurred, or imposed
with respect to the Facility.

Page 30 of 43

Corrections Corporation
\.merica
California Department of Corrections and Rehabilitation
Scope of Work

:eement Number C07.247-5
Exhibit A

Article VII
LEGAL PROCEEDINGS, INDEMNIFICATION & INSURANCE
Section 7.01 Indemnification.

The CONTRACTOR hereby assumes entire responsibility and liability for any and all damages or
injury of any kind or nature, including death resulting there from, to all persons, whether employees
of the CONTRACTOR or otherwise, and to all property caused by, resulting from, arising out of or
occurring in connection with any action of the CONTRACTOR, including its officers, directors,
employees, subcontractors, or agents, in performance of the duties of this Agreement. If any claims
for such damage or injury, including death resulting there from, be made or asserted, whether or not
such claims are based upon the CONTRACTOR's, including its officers, directors, employees,
subcontractors, or agents, active or passive negligence or participation in the wrong or upon any
alleged breach of any statutory duty or obligation on the part of the above parties, the
CONTRACTOR agrees to indemnify, defend and hold harmless, the State and CDCR, their officers,
agents, servants and employees, and the Receiver appointed in the Federal case of Plata v. Brown,
from and against any and all such claims, and further from and against any and all loss, cost,
expense, liability, damage or injury, including legal fees and disbursements, that the State and
CDCR, their officers, agents, servants or employees may directly or indirectly sustain, suffer, or incur
as a result, and the CONTRACTOR agrees to and does hereby assume, on behalf of the State and
CDCR, their officers, agents, servants and employees, the defense of any action at law or in equity
which may be brought against the State, CDCR or their contractors (if any), their officers, agents,
servants or employees, arising by reason of such claims and to pay on behalf of the State and
CDCR, their officers, agents, servants and employees, upon demand of either of them, the amount
of any judgment that may be entered against them, individually, jointly or severally, their officers,
agents, servants or employees in any such action. Notwithstanding any provision herein to the
contrary, the CONTRACTOR's responsibility and liability under this Section 7.01 does not include
any responsibility or liability for CDCR Offender workers compensation claims. As part of the
CONTRACTOR's assumption of all responsibility and liability for any and all damage or injury as
detailed above, the CONTRACTOR further agrees to hold harmless, defend and indemnify the State
and CDCR for any loss, expense, recovery or settlement, including counsel fees and costs of
defense, which arise from any demand, claim, whether frivolous or. not, or suit which may be
asserted or brought against the State, CDCR or the CONTRACTOR as a result of any injury or
damage to any person or persons, including death, or property (i) allegedly caused by, resulting
from, arising out of, or occurring in connection with the furnishing of any goods, equipment or
services or the performance or preparation for performance of any of the work or any duties of the
CONTRACTOR hereunder, or incidental or pertaining thereto, and (ii) whether or not such injury or
damage is due to or chargeable to the site owner or any CONTRACTOR or subcontractor under a
contract for which the goods or services herein ordered are required, including, but not limited to,
any claim based on liability without fault for injury caused by defective goods supplied by the
CONTRACTOR.
- -- - - - - - - -·
The CONTRACTOR also agrees to assume responsibility for, hold harmless, defend and indemnify
the State and CDCR for payment of any expenses, costs (including delay costs), direct and
consequential damages, penalties, taxes or assessments (including punitive damages), including
counsel fees and costs of defense, which may be imposed or incurred (a) under any Federal, State,
or local law, ordinance or regulation upon or with respect to any compensation of any person
employed by the CONTRACTOR, and (b) under any Federal, State, or local law, ordinance or
regulation upon or with respect to discrimination in employment against any individual employed by
the CONTRACTOR on the basis of race, color, religion, sex, or national origin, and (c)under any
Federal, State, or local law, ordinance or regulation upon or with respect to any compensation of any
person for claims or civil actions alleging deprivation of right, privilege or immunity secured by the

Page 31of43

Corrections Corporation
\.merica
~eement Number C07.247-5
California Department of Corrections and Rehabilitation
Exhibit A
Scope of Work
United States Constitution and laws pursuant to 42 USC Section 1983 or similar statutes as well as
claims for attorneys fees brought pursuant to 42 USC Section 1988 or similar statutes.
Section 7.02 Legal Proceedings.

The CONTRACTOR shall not be responsible for defending any post conviction action, including
appeals and writs of habeas corpus, by any offender challenging the underlying judgment of
conviction or the administration of the sentence imposed.
Section 7.03 Insurance.

The CONTRACTOR is responsible for obtaining and maintaining adequate insurance coverage as
required herein. The CONTRACTOR shall obtain and provide proof of general liability insurance
coverage (broad form coverage) which shall specifically include fire, and legal liability in an amount
not less than two million dollars ($2,000,000) for each occurrence within a yearly aggregate of at
least ten million dollars ($10,000,000), and civil rights claims in an amount not less than two million
dollars ($2,000,000) for each occurrence within a yearly aggregate of at least five million dollars
($5,000,000). The State of California and its respective agencies shall be included as additional
insured's under the policy of general liability insurance coverage issued to the CONTRACTOR.
Coverage for civil rights liability may be issued under a separate policy but shall also include the
State and its agencies as additional insured's. Vehicle liability coverage for all vehicles used by the
CONTRACTOR shall be provided in an amount of not less than two million dollars ($2,000,000) per
occurrence. Coverage shall also specifically be provided to protect against employee dishonesty in
an amount of not less than fifty thousand dollars ($50,000).
The CONTRACTOR shall obtain and provide proof of workers' compensation insurance coverage,
including employer liability, in the amount and manner required by law for all employees of the
CONTRACTOR.
The CONTRACTOR shall obtain and/or provide proof of professional liability insurance coverage,
including medical malpractice liability and errors and omissions coverage, to cover all professional
services to be provided by the CONTRACTOR to the State under this Contract. The amount of
coverage obtained shall be two million dollars ($2,000,000) per occurrence with a five million dollar
($5,000,000) yearly aggregate. If occurrence coverage is not available, claims-made coverage with a
three (3) year tail coverage shall be provided for the same amounts and aggregate as detailed
above.
The CONTRACTOR shall obtain and provide proof of contractual liability insurance coverage to
cover all liability assumed by the CONTRACTOR under this Contract and for which the
CONTRACTOR may be liable to the State or CDCR under the indemnification provisions of this
Contract (intermediate form coverage). Such coverage may be provided by separate coverage or as
an additional endorsement to a general liability policy, but shall be in the same amounts and limits of--- - - ·-· - - -- - ·-- -coverage as that required for general liability coverage.
All insurance coverage shall be obtained by the CONTRACTOR through an insurance agent
licensed in the state where the Facility is located and such coverage shall be provided by an
insurance company licensed to issue such coverage in such state. No "self-insurance" coverage
shall be acceptable unless the CONTRACTOR is licensed or authorized to self-insure for a particular
coverage in the state where the Facility is located, or is an insured member of a self-insurance group
that is licensed to self-insure in such state. All policies shall include a provision requiring at least
thirty (30) days' prior written notice of cancellation to the State and CDCR.
All insurance coverage required to be obtained by the CONTRACTOR shall continue in full force and
effect during the term of the Contract and any extension thereof. Proof of insurance policies must be
delivered prior to the date on which the services of the CONTRACTOR shall commence.
Page 32of43

Corrections Corporation
\.merica
California Department of Corrections and Rehabilitation
Scope of Work

reement Number C07.247-5
Exhibit A

All insurance coverage is to be provided by insurance carriers admitted to do business in the state
where the Facility is located and coverage issued by surplus lines companies shall not be
acceptable with the exception of civil rights liability coverage. All insurance carriers shall be, at the
minimum, rated "A VII" by A.M. Best or an equivalent rating by a similar insurance rating service.
The CONTRACTOR may choose the amount of deductible for any of the insurance coverage
required (above) to be obtained by the CONTRACTOR, but in no event shall such deductible for
each occurrence exceed five (5) percent of the required yearly aggregate limit of coverage.
The CONTRACTOR is responsible for first dollar defense coverage. All general liability and
professional liability policies shall provide defense in addition to the policy limits.
The limits required herein are the minimum acceptable. However, these limits are not to be
construed as being the maximum the CONTRACTOR may wish to purchase for its own benefit.
As respects to the total limits of liability required, any combination of primary and/or umbrella
coverage may satisfy those totals. However, if an umbrella is used, coverage must be at least as
broad as the primary coverage.
Section 7.04 Certificate of Insurance and Cancellation.

During the performance of the management services hereunder, the CONTRACTOR shall maintain
the plan of insurance and submit a Certificate of Insurance to CDCR for the mutual protection and
benefit of it and CDCR, naming CDCR as co-insured and entitled to all notices issued under the
policy, to cover claims that may arise out of or result from the CONTRACTOR's operation and
management services hereunder, whether same be by the CONTRACTOR or a subcontractor or by
anyone directly or indirectly employed by any of them, or by anyone for whose acts any of them may
be liable. CDCR shall be notified at least thirty (30) days in advance of cancellation, non-renewal or
adverse change in the coverage. New Certificates of Insurance are to be provided to CDCR within
fifteen (15) days of receipt by CONTRACTOR.
Section 7.05 Defense/Immunity.

By entering into the Contract, neither the State, CDCR nor the CONTRACTOR waives any immunity
defense which may be extended to them by operation of law including limitation of damages,
excepting only that the CONTRACTOR may not assert the defense of sovereign immunity.
Section 7.06 Notice of Claims.

Within ten (10) business days after receipt by CDCR, or of any agent, employee or officer of CDCR,
of a summons in any action, or within ten (10) business days of receipt by ODOR; or of any agent; - - - -- -- --- employee or officer thereof, of notice of claim, CDCR, or any agent, employee or officer, shall notify
the CONTRACTOR in writing of the commencement thereof. The notice requirement is intended to
ensure that the CONTRACTOR's defense of the claim is not harmed by failure to comply with the
notice requirements. Failure to comply with the notice requirements may result in the
CONTRACTOR's refusal to indemnify CDCR or any agent, employee or officer, but only if such
failure to notify results in a prejudice to the CONTRACTOR, CDCR or any agent, employee or
officer. The CONTRACTOR will provide CDCR similar notice of claims.
Section 7.07 Prior Occurrences.

The CONTRACTOR shall not be responsible for any losses or costs resulting from offender litigation
pending at the effective date of this Agreement or for lawsuits based on acts or omissions occurring
prior to the effective date of the Agreement.

Page 33 of 43

Corrections Corporation
\merica
California Department of Corrections and Rehabilitation
Scope of Work

;eement Number C07.247-5
Exhibit A

Section 7.08 Waiver.

No waiver of any breach of any of the terms or conditions of the Agreement shall be held to be a
waiver of any other or subsequent breach; nor shall any waiver be valid or binding unless the same
shall be in writing and signed by the party alleged to have granted the waiver.
Section 7.09 Risk of Physical Damage to Facility.

The risks and costs of physical damage to the Facility shall be considered usual costs incidental to
the operation of the Facility and part of the costs reimbursed by the fixed rate per offender day as
provided in Article VI. This does not preclude CONTRACTOR from taking action against an offender
who causes such damages.

Article VIII.
DEFAULT AND TERMINATION
Section 8.01 CDCR Default.

Each of the following shall constitute an Event of Default on the part of the CDCR:
8.01.1 Failure to pay any payment required to be paid pursuant to this Agreement within forty five
(45) days after payment is due, provided such failure to pay shall not constitute an Event of
Default if CDCR has withheld any payment to CONTRACTOR pursuant to statutory
authority.
8.01.2 Failure by CDCR to keep, observe, perform, meet or comply with any covenant, agreement,
term, or provision of this Agreement required to be kept, observed, met, performed, or
complied with by CDCR hereunder, which such failure continues for a period of thirty (30)
days after CDCR has received a written notice of deficiency from the CONTRACTOR.
Section 8.02 CONTRACTOR Default.

Each of the following shall constitute an Event of Default on the part of the CONTRACTOR:
8.02.1 The failure to keep, observe, perform, meet or comply with any covenant, agreement, term,
or provision of this Agreement to be kept, observed, met, performed, or complied with by
CONTRACTOR hereunder, which such failure continues for a period of thirty (30) days after
CONTRACTOR has received a written notice of deficiency from the Contract Monitor.
8.02.2 The failure of CONTRACTOR to meet or comply with any applicable federal or state
requirement or law, which such failure continues for a period of thirty (30) days after
CONTRACTOR has received a written notice of deficiency from the Contract Monitor.
8.02.3 The failure of CONTRACTOR to comply with any applicable CDCR policy for which
CONTRACTOR has not received a prior written waiver from CDCR, when such failure
continues for a period of thirty (30) days after CONTRACTOR has received a written notice
of deficiency from the Contract Monitor. Provided, however, the Contract Monitor shall not
unilaterally provide written notices of deficiency regarding any areas where there is a conflict
between Governing Standards, pursuant to Section 9.27, and until the CONTRACTOR and
CDCR have had an opportunity to mutually agree upon the appropriate Governing Standard
pursuant to Section 9.27.

Page 34of43

Corrections Corporation ' \.merica
California Department of Corrections and Rehabilitation
Scope of Work

'eement Number C07.247-5
Exhibit A

8.02.4 If CONTRACTOR (a) admits in writing its inability to pay its debts; (b) makes a general
assignment for the benefit of creditors; (c) suffers a decree or order appointing a receiver or
trustee for it or substantially all of its property to be entered and, if entered without its
consent, not to be stayed or discharged within sixty (60) days;(d) suffers a proceedings
under any law relating to bankruptcy, insolvency, or the reorganization or relief of debtors to
be instituted by or against it and if contested by it, not to be dismissed or stayed within sixty
(60) days; or (e) suffers any judgment, writ of attachment or execution, or any similar process
to be issued or levied against a substantial part of its property.
8.02.5 The discovery by CDCR that any statement, representation or warranty in this Agreement on
the part of CONTRACTOR is false, misleading, or erroneous in any material respect.
Section 8.03 Notice of Breach.

No breach of this Agreement by either party shall constitute an Event of Default and no action with
regard to same may be instituted unless and until the party asserting a breach specifies that a
deficiency or deficiencies exist(s) that, unless corrected or timely cured, will constitute a material
breach of this Agreement on the part of the party against which a breach is asserted. Nothing in this
section is intended to prevent any party from terminating this Agreement pursuant to Section 2.03 of
this Agreement.
Section 8.04 Time to Cure.

If any material breach of this Agreement by either party remains uncured more than thirty (30) days
after written notice thereof by the party asserting this breach, this shall be an Event of Breach,
provided, however, if within thirty (30) days after such notice, a substantial good faith effort to cure ·
breach shall not be an Event of Default if it is cured within a reasonable time thereafter.
Section 8.05 Remedy for Default.

Upon the occurrence of an Event of Default, either party shall have the right to pursue any remedy it
may have at law or equity, including but not limited to: reducing its claim to judgment, including
seeking an award of attorney's fees and costs, taking action to cure the Event of Default, and
termination of the Contract.
Section 8.06 Waiver.

No waiver of any breach of any terms or conditions of this Agreement shall be held to be a waiver of
any other or subsequent breach; nor shall any waiver be valid or binding unless the same shall be in
writing and signed by the party alleged to have granted the waiver.
Section 8.07 Termination for Immediate Threat.

The requirement of written notice and opportunity to cure as provided in Sections 8.02, 8.03 and
8.04 will not apply if the CDCR, in its sole discretion, determines that a CONTRACTOR default has
occurred, which creates an immediate threat of imminent harm to the safety, health or welfare of the
public, employees or offenders. In such event the parties shall mutually cooperate for an immediate
return of CDCR offenders consistent with the availability of transportation and housing.
Section 8.08 Force Majeure.

Neither party shall be liable for failure to perform under this Contract if such failure to perform arises
out of causes beyond the control and without the fault or negligence of the nonperforming party.
Such causes may include, but are not limited to, acts of God or the public enemy, fires, floods,
epidemics, quarantine restrictions, freight embargoes, and unusually severe weather. This provision

Page 35 of 43

Corrections Corporation 1 \merica
California Department of Corrections and Rehabilitation
Scope of Work

·eement Number C07.247-5
Exhibit A

shall become effective only if the party failing to perform immediately notifies the other party of the
extent and nature of the event resulting in the delay, limits delay in performance to that required by
the event and takes all reasonable steps to minimize delays.

Article IX
MISCELLANEOUS
Section 9.01 Integration.

This Agreement is intended as the complete integration of all understandings between the parties.
No prior or contemporaneous addition, deletion, or other amendment hereto shall have any force or
affect whatsoever, unless embodied herein by writing. No subsequent innovation, renewal, addition
or other amendment hereto shall have any force unless embodied in a written agreement executed
and approved pursuant to State of California laws, rules and policies.
Section 9.02 Disputes Contract or Billing Disputes.

As a condition precedent to CONTRACTOR's right to institute and pursue litigation or other legally
available dispute resolution process, if any, CONTRACTOR agrees that all disputes and/or claims of
CONTRACTOR arising under or related to the Agreement shall be resolved pursuant to the following
processes. CONTRACTOR's failure to comply with said dispute resolution procedures shall
constitute a failure to exhaust administrative remedies.
Pending the final resolution of any such disputes and/or claims, CONTRACTOR agrees to diligently
proceed with the performance of the Agreement, including the delivering of goods or providing of
services. CONTRACTOR's failure to diligently proceed shall constitute a material breach of the
Agreement.
The Agreement shall be interpreted, administered, and enforced according to the laws of the State of
California. The parties agree that any suit brought hereunder shall have venue in Sacramento,
California, the parties hereby waiving any claim or defense that such venue is not convenient or
proper.
a.

Final Payment
Unless provided otherwise at the time of payment, the acceptance by CONTRACTOR of final
payment shall release the California Department of Corrections and Rehabilitation (CDCR)
from all claims, demands and liability to CONTRACTOR for everything done or furnished in
connection with this work and from every act and neglect of CDCR and others relating to or
arising out of this work except for any claim previously accepted and/or in process of
resolution.

b.

Informal Appeal
CONTRACTOR and the program or institution contract liaison, or other designated CDCR
employee of the unit for which the goods are being delivered or the service is being
performed, shall first attempt, in good faith, to resolve the dispute or claim by informal
discussion(s). CONTRACTOR shall identify the issues and the relief sought.
The program or institution contract liaison shall issue an informal written statement to
CONTRACTOR regarding the dispute within fifteen (15) calendar days following settlement
or an impasse in the informal discussion(s) process. The written statement shall either: (1)
document the dispute settlement and what, if any, conditions were reached; or, (2) document
the reason(s) the dispute could not be resolved informally and provide notification to
CONTRACTOR of its option to file a formal appeal within thirty (30) days of the informal

Page 36of43

Corrections Corporation r \merica
'eement Number C07.247-5
California Department of Corrections and Rehabilitation
Exhibit A
Scope of Work
statement. One (1) copy of the informal statement and the discussion(s) on which it is based
shall be forwarded immediately to the Office of Business Services (OBS) for inclusion in the
Agreement file.
c.

Formal Appeal
If the dispute or claim is not resolved to CONTRACTO.R's satisfaction by the informal appeal
process, CONTRACTOR may file with the Associate Director, Procurement and Contracts
Branch (PCB), OBS, a formal written appeal within thirty (30) calendar days of the date of
CDCR's informal written decision. The formal written appeal shall be addressed as follows:
Associate Director
Procurement and Contracts Branch
Office of Business Services
California Department of Corrections and Rehabilitation
P.O. Box 942883
Sacramento, California 94283-0001
CONTRACTOR shall specify in the formal written appeal the issue(s) in dispute, the
particular relief or remedy sought, the factual basis for CONTRACTOR's claim or dispute,
and CONTRACTOR's legal, technical and/or other authority upon which CONTRACTOR
bases its claim or dispute.
The formal written appeal shall include a written certification signed by a knowledgeable
company official under the penalty of perjury according to the laws of the State of California
pursuant to California Code of Civil Procedure Section 2015.5 that the dispute, claim, or
demand is made in good faith, and that the supporting data are accurate and complete. If an
Agreement adjustment is requested, the written certification shall further state under penalty
of perjury that the relief requested accurately reflects the Agreement adjustment for which
the CDCR is responsible.
If CONTRACTOR is a corporation, the written certification shall be signed by an officer
thereof. If CONTRACTOR is a sole proprietorship or partnership, it shall be signed by an
owner or full partner. If CONTRACTOR is other than a corporation, sole proprietorship or
partnership, it shall be signed by a principal of the company with authority to bind the
company.
The Associate Director, PCB, OBS, shall issue a formal written decision on behalf of CDCR
within thirty (30) calendar days of receipt of the properly addressed formal written appeal. If
mutually agreed by the parties, the date for the issuance of CDCR's final written decision
may be extended.

- - - - - -- -- d. Further Resolution

-- -- - - -- -- -- If the dispute is not resolved by the formal appeal process to CONTRACTOR's satisfaction,
or CONTRACTOR has not received a written decision from the Associate Director, PCB,
OBS, after thirty (30) calendar days, or other mutually agreed extension, CONTRACTOR
may thereafter pursue its right to institute other dispute resolution process(es) if any,
available under the laws of the State of California.

Section 9.03 Computer Software Management Memo.

CONTRACTOR certifies that it has appropriate systems and controls in place to ensure that state
funds will not be used in the performance of this Agreement for the acquisition, operation or
maintenance of computer software in violation of copyright laws.

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Corrections Corporation
\merica
California Department of Corrections and Rehabilitation
Scope of Work
Section 9.04 Accounting Principles - No Dual Compensation.

'.eement Number C07.247-5
Exhibit A

The CONTRACTOR will adhere to generally accepted accounting principles as outlined by the
American Institute of Certified Public Accountants. Dual compensation is not allowed; a
CONTRACTOR cannot receive simultaneous compensation from two or more funding sources for
the same services performed even though both funding sources could benefit.
Section 9.05 Subcontractor/Consultant Information.
CONTRACTOR is required to identify all subcontractors and consultants who will perform labor or
render services in the performance of this Agreement. Additionally, the CONTRACTOR shall notify
the Department of Corrections and Rehabilitation, Office of Business Services, in writing, within ten
(10) working days, of any changes to the subcontractor and/or consultant information.
Section 9.06 Employment of Ex-Offenders.
CONTRACTOR cannot and will not either directly, or on a subcontract basis, employ in connection
with this Agreement:
a) Ex-Offenders on active parole or probation;
b) Ex-Offenders at any time if they are required to register as a sex offender pursuant to Penal
Code Section 290 or if such ex-offender has an offense history involving a "violent felony" as
defined in subparagraph (c) of Penal Code Section 667.5; or
c)

Any ex-felon in a position which provides direct supervision of parolees.

Ex-Offenders who can provide written evidence of having satisfactorily completed parole or
probation may be considered for employment by the CONTRACTOR subject to the following
limitations:
a) CONTRACTOR shall obtain the prior written approval to employ any such ex-offender from
the Out-of-State Administration Unit; and
b) Any ex-offender whose assigned duties are to involve administrative or policy decisionmaking; accounting, procurement, cashiering, auditing, or any other business-related
administrative function shall be fully bonded to cover any potential loss to the State of
California.
Section 9.07 Electronic Waste Recycling.
The CONTRACTOR certifies that it complies with the requirements of the Electronic Waste
Recycling Act of 2003, Chapter 8.5, Part 3 of Division 30, commencing with Section 42460 of the ------ -Public Resources Code, relating to hazardous and solid waste. CONTRACTOR shall maintain
documentation and provide reasonable access to its records and documents that evidence
compliance.
Section 9.08 Excise Tax.
The State of California is exempt from federal excise taxes; no payment will be made for any taxes
levied on employees' wages. The State will pay for any applicable State of California or local sales
or use taxes on the services rendered or equipment or parts supplied pursuant to this Agreement.
California may pay any applicable sales and use tax imposed by another state.

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Corrections Corporation
\.merica
California Department of Corrections and Rehabilitation
Scope of Work

reement Number C07.247-5
Exhibit A

Section 9.09 Licenses and Permits.

The CONTRACTOR shall be an individual or firm licensed to do business in the state in which the
facility is located and shall obtain at CONTRACTOR's expense all license(s) and permit(s) required
by law for accomplishing any work required in connection with this Agreement. In the event any
license(s) and/or permit(s) expire at any time during the term of this Agreement, CONTRACTOR
agrees to provide the CDCR with a copy of the renewed license(s) and/or permit(s) within thirty (30)
days following the expiration date. In the event the CONTRACTOR fails to keep in effect at all times
all required license(s) and permit(s), the State may, in addition to any other remedies it may have,
terminate this Agreement upon occurrence of such event.
Section 9.1 O Conflict of Interest.

The CONTRACTOR and their employees shall abide by the provisions of Government Code (GC)
Sections 1090, 81000 et seq., 82000 et seq., 87100 et seq., and 87300 et seq., Public Contract
Code (PCC) Sections 10335 et seq. and 1041 O et seq., California Code of Regulations (CCR), Title
2, Section 18700 et seq. and Title 15, Section 3409, and the Department Operations Manual (DOM)
Section 31100 et seq. regarding conflicts of interest.
Former State Employees
1) For the two year (2-year) period from the date he or she left state employment, no former
state officer or employee may enter into an agreement in which he or she is engaged in any
of the negotiations, transactions, planning, arrangements or any part of the decision making
process relevant to the agreement while employed in any capacity by any state agency.
2) For the twelve-month (12-month) period from the date he or she left state employment, no
former state officer or employee may enter into an agreement with any state agency if he or
she was employed by that state agency in a policy-making position in the same general
subject area as the proposed agreement within the 12-month period prior to his or her
leaving state service.
In addition to the above, the CONTRACTOR shall avoid any conflict of interest whatsoever with
respect to any financial dealings, employment services, or opportunities offered to inmates or
parolees. The CONTRACTOR shall not itself employ or offer to employ inmates or parolees either
directly or indirectly through an affiliated company, person or business unless specifically authorized
in writing by the CDCR. In addition, the CONTRACTOR shall not (either directly, or indirectly through
an affiliated company, person or business) engage in financial dealings with inmates or parolees,
except to the extent that such financial dealings create no actual or potential conflict of interest, are
available on the same terms to the general public, and have been approved in advance in writing by
the CDCR. For the purposes of this paragraph, "affiliated company, person or business" means any
company, business, corporation, nonprofit corporation, partnership, limited partnership, sole
proprietorship, or other person or business entity of any kind which has any ownership or control
interest whatsoever in the CONTRACTOR, or which is wholly or partially owned (more than 5%- ·
ownership) or controlled (any percentage) by the CONTRACTOR or by the CONTRACTOR's
owners, officers, principals, directors and/or shareholders, either directly or indirectly. "Affiliated
companies, persons or businesses" include, but are not limited to, subsidiary, parent, or sister
companies or corporations, and any company, corporation, nonprofit corporation, partnership, limited
partnership, sole proprietorship, or other person or business entity of any kind that is wholly or
partially owned or controlled, either directly or indirectly, by the CONTRACTOR or by the
CONTRACTOR's owners, officers, principals, directors and/or shareholders.
The CONTRACTOR shall have a continuing duty to disclose to the State, in writing, all interests and
activities that create an actual or potential conflict of interest in performance of the Agreement.
The CONTRACTOR shall have a continuing duty to keep the State timely and fully apprised in
writing of any material changes in the CONTRACTOR's business structure and/or status. This
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Corrections Corporation
\merica
California Department of Corrections and Rehabilitation
Scope of Work

~eement

Number C07.247-5
Exhibit A

includes any changes in business form, such as a change from sole proprietorship or partnership
into a corporation or vice-versa; any changes in company ownership; any dissolution of the
business; any change of the name of the business; any filing in bankruptcy; any revocation of
corporate status by the Secretary of State; and any other material changes in the CONTRACTOR's
business status or structure that could affect the performance of the CONTRACTOR's duties under
the Agreement.
If the CONTRACTOR violates any provision of the above paragraphs, such action by the
CONTRACTOR shall render this Agreement void at the option of CDCR.
Section 9.11 CONTRACTOR Employee Misconduct.

During the performance of this Agreement, it shall be the responsibility of the CONTRACTOR,
whenever there is an allegation of employee misconduct associated with and directly impacting
inmate and/or parolee rights, to immediately notify the CDCR of the incident(s), to cause an
investigation to be conducted, and to provide CDCR with all relevant information pertaining to the
incident(s). All relevant information includes, but is not limited to: a) investigative reports; b) access
to inmates/parolees and the associated staff; c) access to employee personnel records; d) that
information reasonably necessary to assure CDCR that inmates and/or parolees are not or have not
been deprived of any legal rights as required by law, regulation, policy and procedures; and e)
written evidence that the CONTRACTOR has taken such remedial action, in the event of employee
misconduct with inmates and/or parolees, as will assure against a repetition of the incident(s). ·
Notwithstanding the foregoing, and without waiving any obligation of the CONTRACTOR, CDCR
retains the power to conduct an independent investigation of any incident(s). Furthermore, it is the
responsibility of the CONTRACTOR to include the foregoing terms within any and all subcontracts,
requiring that subcontractor(s) agree to the jurisdiction of CDCR to conduct an investigation of their
facility and staff, including review of subcontractor employee personnel records, as a condition of the
Agreement. Nothing contained in this paragraph shall be deemed to constitute a waiver of any
attorney/client privilege or of the work product doctrine privilege.
The CONTRACTOR shall report all suspected felonies to the appropriate law enforcement agency
for investigation. In addition, the CONTRACTOR shall report any crime committed by an employee
in the course and scope of that employee's work, any crime committed on the grounds of the
CONTRACTOR's facility, and any sex offense, drug offense, or violent offense by an employee
wherever committed to an appropriate law enforcement agency, provided the CONTRACTOR has
evidence-based, reasonable suspicion of the crime or offense.
Section 9.12 Equal Employment Opportunity.

CONTRACTOR agrees to comply with all Equal Employment Opportunity laws applicable to the
operation of the facility in State.
Section 9.13 Binding Nature.

Upon its execution by both parties, this Agreement shall be binding on the parties.
Section 9.14 Invalidity and Severability.

To the extent that this Agreement may be executed and performance of the obligations of the parties
may be accomplished within the intent of the Agreement, the terms of this Agreement are severable,
and should any term or provision hereof be declared invalid or become inoperative for any reason,
such invalidity or failure shall not affect the validity of any other term or provision hereof. In the event
that any provision of this Agreement is held invalid, that provision shall be null and void. However,
the validity of the remaining provisions of the Agreement shall not be affected thereb)I. In the event

Page 40of43

Corrections Corporation r \.merica
California Department of Corrections and Rehabilitation
Scope of Work

·eement Number C07.247-5
Exhibit A

that this entire Agreement is held invalid or unenforceable all obligations of the parties hereunder
shall cease as of that date except with respect to claims for services rendered.
Section 9.15 Jurisdiction and Venue.

The laws of the State of California and rules and regulations issued pursuant thereto shall be applied
in the interpretation, execution and enforcement of this Agreement. Venue for any legal action
related to performance or interpretation of this Agreement shall be in the City of Sacramento,
California.
Section 9.16 Subcontracting and Assignment.

Nothing contained in this Agreement, or otherwise, shall create any contractual relation between the
CDCR and any subcontractors, and no subcontract shall relieve the CONTRACTOR of
CONTRACTOR's responsibilities and obligations hereunder. The CONTRACTOR agrees to be as
fully responsible to CDCR for the acts and omissions of its subcontractors and of persons either
directly or indirectly employed by any of them as it is for the acts and omissions of persons directly
employed by the CONTRACTOR. The CONTRACTOR's obligation to pay its subcontractors is an
independent obligation from the CDCR's obligation to make payments to the CONTRACTOR. As a
result, the CDCR shall have no obligation to pay or to enforce the payment of any moneys to any
subcontractor.
Section 9.17 California General Terms and Conditions - Incorporation by Reference.

By reference, all of the State of California's General Terms and Conditions posted on the California
Department of General Services' internet address at: http://www.documents.dgs.ca.gov/ols/GTC61 O.doc are incorporated herein.
Section 9.18 Notices.

Any notice provided for in this Agreement shall be in writing and served by personal delivery,
designated CDCR electronic mail system, or United States Mail, postage prepaid, at the addresses
listed below, until such time as written notice of change of address is received from either party. Any
notice so mailed and any notice served by electronic mail or personal delivery shall be deemed
delivered and effective upon receipt or upon attempted delivery. This method of notification will be
used in all instances, except for· emergency situations when immediate notification is required
pursuant to the appropriate sections of this Agreement. CDCR and CONTRACTOR will be provided
information on where to send notices prior to occupancy of Facilities.
Section 9.19 Confidentiality of Records.

CDCR and CONTRACTOR agree that all inmate records and inmate/patient record information is - · - · - · ·· - ·
identified as confidential and shall be held in trust and confidence and shall be used only for the
purposes contemplated under this Agreement. CONTRACTOR, by acceptance of this Agreement, is
subject to all of the requirements of the federal regulations implementing the Health Insurance
Portability and Accountability Act of 1996 (Code of Federal Regulations 9cfr), Title 45, Sections
164.501 et seq.); the California Government Code Sections 1798, et seq.; regarding the collections,
maintenance, and disclosure of personal and confidential information about individuals.
Section 9.20 Ownership of Material Information, Data, Computer Software Documentation,
Studies and Evaluations.

Unless otherwise provided, and when appropriate, CONTRACTOR agrees that all material,
information, data, documentation, studies and evaluations produced in the performance of this
Agreement is the property of CDCR and the CONTRACTOR.

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Corrections Corporation
\merica
California Department of Corrections and Rehabilitation
Scope of Work

·eement Number C07.247-5
Exhibit A

Section 9.21 Reporting.

CONTRACTOR shall submit to the CDCR Contract Monitor, on a quarterly basis, a written program
report specifying progress made for each activity identified in the CONTRACTOR's duties and
obligations, regarding the performance of the Agreement. Such written analysis shall be in
accordance with the procedures developed and prescribed by the CDCR. The preparation of reports
in a timely manner shall be the responsibility of the CONTRACTOR and failure to comply may result
in delay of payment of funds. Required reports shall be submitted to the CDCR not later than thirty
(30) days following the end of each calendar quarter, or at such time as otherwise specified.
Section 9.22 Records.

Unless otherwise provided CONTRACTOR shall compile and maintain a complete file of each
CDCR Offender, including all records, communications, and other written materials which pertain to
the operation of offender programs or the delivery of services to offenders under this Agreement,
including medical, counseling, classification and disciplinary documents, in individual files. Further,
the CONTRACTOR shall permit the CDCR or its designated representative to audit, inspect, and
copy such files and records during the term of this Agreement to assure compliance with the terms
hereof or to verify actual costs subject to reimbursement under this Agreement. Such files and
records will be deemed to be the property of the CDCR and shall be available for inspection by the
CDCR and shall be returned to the CDCR upon discharge of a CDCR Offender from Facility. The
CONTRACTOR may keep copies of said documents as may be necessary to resolve any matters
that may be pending. Upon resolution of the matter said copied records shall be destroyed by
CDCR. No files or records in which a CDCR Offender is individually identifiable by name, shall be
released to any third party without express, advance authorization of CDCR, except in medical
emergencies.
9.22.1 The CONTRACTOR shall maintain a complete file of all records, documents,
communications and other materials which pertain to the operation of programs or the
delivery of services under this Agreement. Such materials shall be sufficient to properly
reflect all direct and indirect costs of labor, materials, equipment, supplies, services and
other costs of whatever nature for which an Agreement payment was made. These records
shall be maintained according to generally accepted accounting principles and shall be easily
separable from other Facility records. The CDCR's access to records pursuant to this
provision shall be limited to those documents necessary to monitor contract compliance or to
verify specific costs for which the CONTRACTOR sought reimbursement under this
Agreement.

L. - -- - - -- - - - --- - --

9.22.2 All such records, documents, communications and other materials shall be the property of
CDCR and shall be maintained by the CONTRACTOR, in a central location with a
designated custodian, on behalf of CDCR, for a period of three (3) years from the final - payment of this Agreement, or until an audit has been completed with the following
qualification: If an audit by or on behalf of the federal government had begun but is not
completed at the end of the three (3) year period, the materials shall be retained until the
resolution of the audit finding.
9.22.3 CONTRACTOR shall permit the CDCR to audit and/or inspect its records during the term of
this Agreement and for a period of three (3) years following the termination of the Agreement
to assure compliance with the terms hereof or to verify actual costs subject to reimbursement
under this Agreement.

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Corrections Corporation
\merica
California Department of Corrections and Rehabilitation
Scope of Work
Section 9.23 No Third Party Benefit Except As Provided.

·eement Number C07.247-5
Exhibit A

This Agreement shall benefit and burden the parties hereto in accordance with its Terms and
Conditions and is not intended, and shall not be deemed or construed, to confer rights, powers,
benefits or privileges on any person or entity other than the parties. to this Agreement and the
Receiver as provided in Section 4.05.6. This Agreement is not intended to create any rights, liberty
interests, or entitlements in favor of any CDCR Offender. The Agreement is intended only to set forth
the contractual rights and responsibilities of the Agreement parties. CDCR Offenders shall have only
those entitlements created by Federal or State constitutions, statutes, regulations, case law, or
applicable court orders.
Section 9.24 Survival of Certain Terms.

Notwithstanding anything herein to the contrary, the parties understand and agree that all Terms and
Conditions of this Agreement and any appendixes or attachments hereto which may require
continued performance or compliance beyond the termination date of the Agreement shall survive
such termination date and shall be enforceable by the CDCR as provided herein in the event of such
failure to perform or comply by CONTRACTOR.
Section 9.25 Counterparts/Facsimile Signature.

This Agreement may be executed in counterparts. The parties shall exchange their executed
counterpart to each other, both by first class mail. The parties may treat a facsimile signature as a
valid signature and when both parties have executed this Agreement, they may transmit their
signature on the contract to the other, and when mutually exchanged by facsimile, this Agreement
may be deemed fully executed.
Section 9.26 Amendment.

This Agreement shall not be altered, changed or amended except by mutual consent of the parties in
writing.
Section 9.27 Governing Standards.

In the event of a conflict between any of the governing standards, rules, regulations, policies or
procedures referenced herein, including, but not limited to ACA, NCCHC, Title 15, CONTRACTOR
policy and procedure, CDCR DOM, and CDCR rules, regulations and policies, then the
CONTRACTOR and CDCR shall mutually agree upon the standard, rule, regulation, policy or
procedure to be followed. If the CDCR Contract Monitor and Facility Warden are unable to reach an
agreement within three (3) days, the conflict shall be resolved by the CONTRACTOR Chief
Corrections Officer and CDCR Health Care Officer. The parties shall make a good faith effort to
resolve the conflict and neither party shall unreasonably withhold their approval. In resolving the
conflict, the parties shall take into account facility issues such as: security and uniformity of polices
as well as specific needs of CDCR offender management. This provision shall not apply if
compliance with a standard, rule, policy or procedure is required by court order.
Section 9.28

ADA.

CONTRACTOR agrees that by signing this Agreement, it is assuring CDCR that it complies with the
Americans with Disabilities Act of 1990 (ADA), 42 U.S.C. Section 12101 et seq., as applicable, which
prohibits discrimination on the basis of disability, and with applicable regulations and guidelines
pursuant to the A.DA

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Corrections Corporation of America
California Department of Corrections and Rehabilitation
Distribution of Inmate Death Reports

Agreement Number C0?.247-5
AttachmentC

J. Clark Kelso, Receiver

STATE OF CALIFORNIA
PRISON HEALTH CARE SERVICES

Memorandum
DATE:

September 5, 2008

TO:

ALL CDCR STAFF

SUBJECT:

DISTRIBUTION OF !NMATE DEATH REPORTING and REVIEW
POLICY, EFFECTIVE SEPTEMBER 5, 2008
.

This memo is to notify you that the Death Reporting and Review policy for California
Prison Health Care Services (CPHCS) is r.evised in concert with Judge Henderson's
September 6, 2006, court. order. These policies go into effect immediately.
The CPHCS Death Review Reporting and Review policy establishes the processes and
procedures for reporting inmate deaths and the protocols for reviewing these deaths.
Attached to the policy is a flowchart that provides a qulck reference for reporting a death
along with the approved forms that are to be completed to report a death.
The policies establish required reporting timelines and provide options that can be
utilized to submit the required reports and information to the Death Review Unit to
ensure that proper notification has been received from the institutions when a death has
occurred.
The Death Review Unrt processes the review of au inmate deaths. Each region is
assigned an analyst to ensure that death reporting information is reviewed and
processed according to the policy. The analysts in the Death Review Unit are available
to provide support in the implementation of these policies. Their contact information is

as follows:
Northern Region
Tess Rico, Analyst
(916) 323-2346

Central Region
Ming Chu, Analyst

(916) 327-0508

Southern Region
Pamela Rice, Analyst
(916) 445-1347

Any additional questions that you may have can be directed to Janai Sims. SSM I,
Death Review Unit at (916) 324-6876.
I look forward to your continued commitment to ensuring the "Patient is the Priority" by
reporting inmate deaths per the provisions contained in the Death Reporting and
Review Policy.

Page 1 of 20

Agreement Number C0?.247-5
Attachment C

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Distribution of Inmate Death Reports

Death Review and Reporting PoHcy
Page 2 of 2
September 5, 2008

Please ensure this policy is distributed to all staff, including those that do not have
access to e-mait.

Co~
JGHT W. WINSLOW, M.D.
Chief Physician Executive
California Prison Hearth Care Services

Page 2 of 20

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Distribution of Inmate Death Reports

Death Reporting and Review Policy

Agreement Number C07.247-5
Attachment C

Division of Correctional Health Care Services

CHAPTER 7
Death Reporting and Review Policy
I. POLICY

/\11 deaths of inmates/patients under the jurisdiction of the California Department of Corrections
and Rehabilitation (CDCR) shall be reported and reviewed in a timely manner. Appropriate actions
shall be taken to address deficie.ncies in care.
The Chief Physician Executive has the overall :responsibility for ensuring the timely and appropriate
revie\v and follow-up of each inmate/patient death, and for ensuring compliance with the policies
and procedures related to inmate/patient death reporting and review.

II. PURPOSE
•
•

To redut~e the incidence of preventable death, injury, and suffering.
To evaluate the overall quality of health care provided.

•
•
•

To ldentifyopportunities for improvement.
To irnplemeni corrective measures locally and system wide.
To allow for statistic.al anaJysis for the purpose of improving the delivery of health care
throughout the system.

Ill. PROCf{DURE
A. DEA TH REPORTING gnd 'DOCUMENT SURMlSSION

!) Initial Inmate neath Rtlport-7229 A&B

When an inmate-pntient dies, the institution Chiefl\'ledical Officer (CMO) shall:
•

Notify all institution Department Heads within the institution (Warden, Health Care
Manngcr [HCM], Director of Nursing [DON] Chief of M.ental Health,, if applicable).

•

Notif'; the Death Review Analyst (DRA) .at Central Office, Division of Correctional _ ........ _
Health Care Services (DCHCS) by 8:00 u.m. the day after the inmate death. Fax the
belmv documents to the DRA. Notification shall be. sent via fax to (916) 323-2458 or by

email to DeathReviewUniUak<lcr.ca.goy.
Initial Imnate Death Report:
7229 A - (for all inmate deaths -Attachment 1)
7229 B - (for all Suicides in addition to the 7229A -Attachment JI)

August 27, 2008 (10:00 AM)

Page 3 of 20

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Distribution of Inmate Death Reports

Agreement Number C0?.247-5
Attachment C

Dh·ision of Correctional Health. Care Services

Death Reporting and Review Policy

Il. DAILY AND WEEKLY DEATH REPORTING· CENTR.i-\L OF.Ff CE

The ORA shall compile a list of all reported deaths daily. The DR.A.. shall send a daily repon
by 9:00 a.m. each business day t-0 the Chief Physidan Executive, Regional Medical and
Nursing Directors, and to 1.he Office of 1he Receiver by 10:00 am. every Friday, the DRA
will issue a summary report of all deaths occurring that week rn 1he Chief Physician
Executive, Regional Medical and Nursing Directors, Regional Administrators and to the
Office ()f the Receiver.
C. DEATH REVIE'\::V

The DRA shall assign a Medical Death Revie.wer to perform an in·depth evaluation of the
death. The R.cvic\ver assigned shall be a lvfid-levcl Provider or Physician who is approved
by the Chief Physician Ex.ecutive to perfonn death reviews. The Reviewer cannot evaluate
the case if they have provided care to the irunateipaticnt within 48-hours prior to the death.

The Reviewer S:hall prepare a detailed case summary utilizing the most recent version of the
Death Review Summary Template. The Medical Death Review shall be completed within l 0
weeks from the date of death. The Revi.eiver shan consider,. at a minimum, the Unit Health
Record (UHR}, mitside hospital records, and autopsy/coroner;s repon. The Rcvfo\ver shall
identif)' problems with clinical care. policy, or procedure. Upon completion, the Reviewer
shall electronically submh the Death Review Summary to the DRA. The DRA \.vill schedule
the presentation of the Rcvicv..- to the Death Review Committee.
For any suicide, the DRA shall provide Mental Health Services a c.opy of the completed
Death Review Summary.
D.

ROLi!~

OJ'.r THE DRA

The DRA is the central point of contact to receive,. route,. lrack, coordinate and file
information in a timely manner from the initial death reporting until the death review is
completed and the case is closed. The DRA is responsible for tracking the status of each
inmate/patient death reporting and review. The DRA sha11 be responsible for compi1ing all
records and will provide all. documentation to the Medical Dcalh Reviev,..er.
E. DEA TH REVIEW COMMlTTEE.
Purpose:
The Death Review Commjttee shall meet regularly for the purpose of:
•

Evaluating the health care provided to inmate!palients w·ho have <lied.

August 27t 2008 (10:00 AM)

Page 4 of 20

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Distribution of Inmate Death Reports

Agreement Number C0?.247-5
Attachment C

Division of Correctional Hcaltn Care Services

Death Reporting and Review Policy

•
•

Identifying deficiencies in care.
Taking action lo improve care.

Members:
The Death Review Committee shall be composed of the following persons:
•
•
•
•
•
•

Chief Pby;~ician Executive or dcsignee, Chairperson
Correctional Administrator, Co-Chairperson
Regional Medical Directors
Regional Director of Nursing
Division of Adult Insti.t11tion.s Representative
Others as determined by the Chairperson

F.CORRECTIVE ACTION :PLAJ~S

At each meeting, the De.ath Review Committee shalI revie\\l the problems that are identified
in the Death Review Summary and order appropriate action. ff a problem cannot be
addressed bv referral to the Peer Review Sub-Committee, Nursing Practice Review, the
Division of Adult Institutions, or the Office of Intemal Affairs, the Death Review
Committee may order a Corrective Action Plan (CAP).
When a CAP is ordered by the Death Review Cornmittee, the Regional Medical Director
and Regional Oirector of Nursing shall consider existing CAP's 1 clinical initiatives; and
clinical policies. Tf the Regional Jv1edical Director and Regional Director of Nursing
conclude that the CAP's goals can be. met by existing statewide initiatives, a previously~
issued CAP, or current clinical policy, the request for a CAP will be sent back to the Death
Review C{)mmittee Chair. ff needed the Regional tv1edical Director and RegronaJ Director of
Nursing will assign responsibility to develop, implement, and report the progress on the
CAP. TimeHnes for the CAP wi.11 be determined by the Regional Medical and Nursing
Directors in collaboration ;vith the responsible staff at the institution. The CAP must be
reviewed and approved by the Regional Medical Director and Regional Director of Nursing
before implementation.
The responsible individual(s) at the institution shall prepare a follow up report regarding U1e
co!Tecfive octlon(s) recommended by the Death Review' Committee. AU appropriate-~
supporting documcntalion confirming these actions have been taken (i.e., a syllabus and sign
in sheets from any training provided to s:tafl~ non-confidential documentation of any
disdplinary action taken and any other approp1iate documentation) shall be attache.d to this
report 'Die responsible staff shall sign the. report along with U1e CMO, the DON, and the
HCM, and if applicable, the Warden or Chief Psychiatrist shall sign this report. The
1nstittition shall retain a copy of the report rutd forward the original to the DR.A.. The report
is due within thirty (30) days follov.ring the implementation of the re<1uired corrective action.

August 27; 2008 (lO:OO AivI)

Page 5 of 20

Agreement Number C0?.247-5
Attachment C

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Distribution of Inmate Death Reports

Death Reporting and Review Policy

Divi.sion of Correctional Health Care Services

A copy of the follow up report shall be forwarded to the respective Regional Administrator,
Regional Medical Director and Regional Director of Nursing.

G. REPORTING I ST ATrSTlCAL DEATH REPORTS
Quarterly Statistical Death Reports shall be generated by the DRA and provided to the Chief
Physician Executive, Office. of the Receiver, Director, DCHCS, Regional Medical Directors,
Regional Directors of Nursing, and Regional Administrators.

:H. REPORTING I DEPARTMENT OF .JUSTICE ST ATE AND FED.ERAL
Each institution shall report in \vriting to the California Attorney General (DOJ) within ten
(10) days after the death, all facts in their possessio:tt concerning the death, in compliance
\Vith Government Code Section 12525.

'I11e following reports and .re.cords shall be delivered to the Department of Justice, Criminal
Justice Statistics Center, Death in C11stody Unit, P.O. Box 903427, Sacrarnemo, CA 942034270:

•
a

•
•
•

DOJ Form, CJSC 713 (Rev. l I.105)
Complete incident report or re.port of death, as applicable
Completed copy of the death certificate
Fingerprint card (two sets)
Coroner's report, if app!i.cable

For questions, contact the Derath in Custody

(}.nit;

DOJ, at (916) 227-3549.

Per the federal Death in Custody Reporting Act of 2000, the DRA shall prepare and provide
on a quarterly basis to the United States Department of Justice (USDOJ), a report that
directly correlates with and answers al] questions required on USDOJ Forms NPS-4 and
NPSAA (Rev. 2-20-08) for each in.mate death; including deaths under our jtidsdiction
hous,ed in a Statemopcrated correctional faciHty in another Starn or Federal facility.
I- - - -

1be data must be submitted within 60 days of the et1d of each quarter to the U.S.
Census Bureau, Governments Division, CJSB, 4600 Silver Hill Road, Washington DC - ~ - - - 20233-6800,

For questions,. contact US. Census Bureau loll ftee lrt 1-800-253-2078,

August 27, 2008 (10:00 A.M)

Page 6 of 20

Agreement Number C0?.247-5
Attachment C

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Distribution of Inmate Death Reports

Division of Correctional Health Care Sentices

Death Reporting and Review Polit)'
2) Incident Report - 837 At B, & C

When an inmate·patient dies., the institution Warden shall:

•

Within 7 calendar days ofthe inmate death fa.x the helow custody documents to
the DR.A, Notification shall be sent via fax to (916) 323-2458 or by email to
DeathReviewUnit:ralcdcr.ca.goy.

Incident Reports:
CDCR Form

837~A

- (Attachment III)

CDCR Form 837-B - (Attachment IV)
CDCR Form 837-C - (suicide deaths in addition to &37 A&B -Attac!unent V)
3) Unit Health Record (UHR)

When an lnmate-paifont dies; the instltut1on CMO shall:
•

Within 14 calendar days ensure. that a copy of the foUo\\'ing UHR documents
are sent to the DRA. The UHR recoords shall be sent via fax to
(916) 323-2458i by email to DeathReviewUnit@cdcr.ca..gcrv; or overnight mail to:

Califmnia Department of Corrections and Rehabilitation
Plata Support Division
Deatb Review Unit
520 I Street, Suite 3 l 5
Sacramento, CA 95812

Unit .Health Record:
UHR from 12 months prior to inn1ate d.eath (non~suicide)
• Entire OHR (suicide only or special request)
• Correctional Treatment Center records, if applicable
• Community Emergency .Medical Services (EMS) generated documents, if applicable
• Outside Hospital documents, if applicable
• Emergency Care flow sheets, if applicable
•

•

CDCR Fonn 7219, if applicable

If the required documents are not submitted within the n::quired time, the DRA shall notify the
respective Regional Clinical Support Unit CM.O requesti11g assista11ce with i:loc1fifteiit acquisition.

August 27, 2008 (10:00 AM)

Page 7 of 20

Agreement Number C07.247-5
Attachment C

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Distribution of Inmate Death Reports

!neath Reporting and Review Policy

Division of Correctional Health Care Services

IV REVISIONS

The Chief Physician Executive or designec shall be responsible for ensuring the contents of this
policy are current and accurate.
V. AUTHORITY
California Code of Regulations, Title 15, Section 3365
Department Operations Manual, Article 7 Subsection 51070. l lhrough 51070.20
Government Code Section. l 2525
Federal Death in Custody Reporting Act of 2000 (PL 106-297)
Penal Code Sections 505& and 5021
j

t .. ---·-- -·- - ·- ·- ---- -

August 27 1 2008 (10:0@.AM)

Page 8 of 20

Agreement Number C0?.247-5
Attachment C

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Distribution of Inmate Death Reports

Ineath Reporting and Review Policy

Dh•ision of Correctional Health Care Services

Flowchart - 'Death Reporting and Review Policy (7/9108)

[------

---n---•••"¥'

INMATE DIES

····-·-····•·-····--'•·-···------·-!...----•-••-"-" - - · - · - · · - - - · · - - - - · - - - -

0.a11J R"""'" MalySl ?"'.id•• Cli'1ir.o/ Sl.ippJr1 Llnlt <CSIJ} "'~ i;i'l;1'1r;i.1n 'Mlh !IOQJmontnlirin r=h"'d

_ --~!'.~~~;~~~'~'~:~-~~ r~~""".".'~:'~_1e_~~-~~~~-~~o lt1Jl> D&~!~~~!t~•mplaie.
-~

ir..

~ Rl!'>l'e....· {;01rnti'"'"'· i:o11"""1os
nUlal m>iow <;if lho DMll! R""""" Suroro•<Y· O..alh ~•low
Coll'IIT'.it!Qtt ~. llloRcii>rr~a ~' C>lt!: ar'd tlll<e.s l!di:m (Actkm !tam) le oddr- u,.,.., dUflciL'!l(ir.Jil .

. .....;t,, ... ,.,..,,,.,~.-/

/"-.."'-

"'-

------·-·--··---~··-- -;..;;--··

/ /
'-,,
( Systamkl&stH1s ;>
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/

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ta6a""'! 10 lfl~ CSU
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!-

~mttlu regard frig ~~~~fl 1tom wlthf n 30 daya of rtITTi rraf

Page 1

Page 9 of 20

i
;

l

·····-------·--·_!

August 27, 2008 (lO:OO AM)

1.

1i!fetraJ lO it.;, oo::.i '

i................_. '
----"-------·---------- - ..-l E.nt!Uoit pro.vide a follow up rosponso to tho Dooth Revlow

-----"··------- ·----

/

Agreement Number C07.247-5
Attachment C

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Distribution of Inmate Death Reports

Division of Correctional Health Cltre Senrices

Death Reporting and Review Policy

Attachments
1) Attachment l - Initial Inmate Death Report-7229A
2) Attachment ll-lniti.al Inmate Death Report-72.2913
3) Attachment lll- Incident Report-837A
4) Attachment IV - Incident Report-837B
5) Attachment V - Incident Report~837C

August 27, 2008 (l 0:-00 AM)

Page 1Oof20

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Distribution of Inmate Death Reports

Agreement Number C0?.247-5
Attachment C

INITIAL INMATE DEATH REPORT- 7229A

l"age _ _of__

Please type or print legibly

Complete and fax by B:OOam the day following the date of death

I

Date of Death:

Timi'! of Dt'Jatll:

I;

Plactt of .Death: (where d.aalh was pronounced)

· Name of De(;ea!i1'd (Lil$t, First, Mlddlo);

CDC Numl>or:

I DOB

I ,. .,

.... male Cl1emale

f'

D black

O Hispanic

O natille Am.

O Asian

CJ other

Q unknow11

1

I TYr
"""of O th
ea :

u accident

O homicide

O suicide

Cl natural,
expected

O ni>tural,
unexpected

0 u11known

:,!

! A1itop1>y requostfl-d;

0 yes

Ethnfclty:

CJ while

1

LLast Health Care Contact:

I
II

O

same day

O no

I

O < 7 dat$
O < :l-0 days
Cl .: 3 months
0 > 3 rnont~I
( Outsldo Mod[cal Faolllty Re-cords requested:
Cl ~es D no

~ROVISIONAL IMMEDfATE CAUSE OF DEATH:
Enter !he disease, injuries, or complication$ ll1at in your optnlen are likely to !lave caused Hie death. It ts. accepial.ll!l to use the word "probable" or
'unknown·. Do not enter as cause of death the mode 9fdyiJ:!!ll, $1.1ch as cardiac or respirato~ ;irt~sl, 5hoek, or heart laflure.

I
1

·

UNDERL.YING CONDlTIONS;
OTHER SJGNlflCANT CONO:tTIONS:
lls~ed llere}

(more than one may be

RESUSCITATlONATTEMPTED:
CJ yes
CJ no
0 ONR 5!3t.us
O unknown
Oesctlbe resusci!lill!Qn efforts: Include p1ttsons lnvoived, dru9s ad'ministered; CPR, Intubation, Defibrillation, lime 1ramas. Attach: resuscitation
rncords.

PREL.lMlNARY SUMMARY:
Where was the Inmate
7219 if applicable.,

tound'l

Where did "tho te:rn1fna1 event occur? Who notmed rnei:iical st;;:ifl? Who e11alu<1ted ti'wl p;a!ient lnltlally? Altaeh

i"qrm

Retevant de.tails of any traatmsnl et the Institution Immediately precedin9. death <Jr tran1>fer, inr.;l!.!di119 medication$, their ro.tJte, arnount an(! frequency.

Details o1 any treatment at an outside medical racili!y pfe•cedlng death, Include elates of uansfer. proce<lol"lls, level of c:ira.

!· Pertinent history and other In-formation comained In the hilaflh ta-cord. Att;;ctJ separate page if more space- is needed.

!
PHYSICIAN COMPLETING FORM: ·

tNSTffUT10N:

PHONE NUMBER;

PHYSICIAN'S SIGNATURE:

DATE SIGNED:

HGM!CMO INITIALS:

Distribution:
1. Warden
2. Health Care Manageror Chief Medical Officer
3. Coroner's Office
4. Death Re_:view Coordinat2.C.Jfax 916-323-2458)_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _""'"'
1
STATE OF CALIFORNIA
Form 7229A
PEPARTMENT OF CORRECTIONS ANO REHABILITATION

I

Page 11 of 20

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Distribution of Inmate Death Reports

Agreement Number C0?.247-5
Attachment C

INITIAL INMATE DEATH REPORT
(not to be lncluooo in

CDCR 7229 B -INMATE SUICIDE

tho lnma:te's Unlt H11allh R9<:ord- UHR

Please type or print legl/:J/y

1. Inmate Name: _ _ _ _ _ _ _ _ _ _ _ _ _ C D C # : - - - - - - 2. Act leading to death I Date: _ _ _ _Time: _ _ _ _ P l a c e : - - - - - - Method: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __
3. Date of arrival at ·institution: - - - - - - L a s t Housing Unit: _ _ _ _ __

4. Was inmate in MH Program? Yes () No ( )
If yes, level of care: CCMS_ _ EOP_ _ MHCB _ _ Referred to DMH _ _
5. If admitted to Crisis Bed, status on admission: Danger to self () Dangel' to Others {}
Low-Functioning () Other {) Specify:------~-------6. Diagnosis, if any: Axis I: 1 - - - - - - - - - 2_ _ _ _ _ _ _ _ __
Axis II: _ _ _ _ _ _ _ _ _ _ Axis 111: _ _ _ _ _ _ _ _ _ _ _ __
Axis IV:
Axis V; - - - - - - - - - - Problem behaviors exhibite<:J: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __
7. Was inmate considered a suicide risk? Yes () No {)
8. Was inmate on Suicide Precautions? __Walch _Other type of observation_ _
9. Any recent (within the. last 3 months) suiddal gesture or attempt noted in chart?
Yes ()No ()Describe: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __

10. Past Hrsto.ry of Suicide Attempts? Yes ( ) No () Describe:
11. Did treatment involve use of psychotropic medications? Yes {)No (}
12. Did patient refuse medications? Yes ( ) No ( )
13. Were procedures started to medicate patient involuntarily per Keyhea? Yes( ) No( )
14. Were emergency procedures following sulctda! act prompt? Yes { ) No { )
15. Did emergency proced1.1res lnclude Cardiopulmonary Resuscitation {CPR) or
Advance-cl Cardiac Ufe Support (ACLS)? Yes () No () By whom? C/0 _ _ MTA
PT
RN
MD
Problems with Resuscitation? _ _ _ _ __
16. Psychosocial factors, if any, that precipitated suicidal behavior? Receiving a CDC
115 disposition I penalty ( ) Receiving Bad News ()Three Strikes ( ) Other ( )

Specify:~------------------------

17. Date oflast Mental Health staff contact prior to suicidal a c t : - - - - - - - - 18. Last seen by Psychiatrist ( ) Psychologist ( ) Social Worker { ) Psych Tech ( } Other( )
19. Staff assigned to complete Psychological Autopsy _ _ _ _ _ _ _ _ _ __

20. Additional lnform:ation: ------------------~-Reviewed by HCM: Signature _ _ _ _ _ _ _ _ _ _ Date _ _ _ _ __

CDC NUMBER, NAME (LAST, FIRST, Ml)

INSTJTUT!ON:

AND DATE OF BIRTH:
NAME & TtTLE OF PERSON COMPLETING FORM:
TELEPHONE. NUMBER:

I

DATE:

INMATE DEATH REPORT I SUfCIDE CDC 7229 B {3197)

Page 12 of 20

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Distribution of Inmate Death Reports

Agreement Number C0?.247-5
Attachment C

STAT!: OF CALFORNIA

DEPARTUE.NT OF CORRECT IONS "-NO REHAEllLIT ATION

CRIME / lNCJDENT REPORT
PART AM COVER SHEET
CDCR B37·A IREV. 10/06l

I

INSTITUTION F/,CILITY

IPage _ _ of

l: FACllrrr LEVEL

I

I

HCIOtNT OATE.

lMCIDENT LOG NUMBER

rCIOE/fT SITE

GlffiJlf§]RC

I

1~G1

PROGRAM

!LOCATION

@lllli~W

SPECIFIC CR:IME 1 li'ICICENT

~CCR~ l"C

J

D.A. Rl!FERRAL ELIG16~E

([]No
·... ~

''1·E!i~

DEATH

(§]INMATE
:::;:] STAFF
[J VISITOR
0 OiHER

'

§)OVERDOSE

0EXECUTION
GB HOMfCIDE
QSUICIOE

@l UNKNOWN

00 NATURAL
OTHER!

~NIA
INMATE
~STAFF

~ t<IXA

~GASSING

[!!VISITOR
[!)OTHER

[fil POISONING
['ti} SEXUAL
[£! SHOOTING

TYPE:

j!'.} CLUB I BLUDGEON

0

VISITOR

fa

(±! iNMATE MANUFACTURED

CJ ATTE.~Pil!D

L.AIJNCHER
00 37MM
~ L8

.[ij KNIFE
~ PROJECTILE

1fil SPEAR
!2J SU.SHit·IG INSJRUME}fT: (TYPE)
§] STA!181NO INSTRUMENT: (TYPE)

l!fil OTHER:

@]NIA

0

L!J CODEINE
C!J Hf.RO[N

@] MARIJUA~ /THC

lli) METHAMPJ-IETAMINE
i~J MORPHtNl

G] OTHER:

EXCEPTIONAi. ACTIVITY

PROGRAM STATUS

~ WITH PACKAGU-!G [i]NIA

\!) NJA

-----·

@] EXFtOSJON

~ MODIFIED PROORM Jj] EMPLOYEE JOB /\GTION
~ ENVIRONMENTAL f-IAZ.ARb
[El LOCKDOWN

WJO PACKAGING
CON'rnOLLED sussrANGE e.Ba!Mf.tWrl'. ~

.::J AMPHETAMINEO
D 6ARSITURATES
0 COCAINE;

==--=
@cs

•ft _ _

§! Posmve UA

OF
- - - 0 STATE
EMERGENCY
- - - !!) OTHER

--- -----

----·------- - - ---

·---

IBI

l/M
~WEATHER

@SEARCH WARRANT

f'IRE

[!] GANGSiolSRUPTNE GROUP@ ARREST
!!! HOSTAGE
Jjj OTHl:R:
~ INMATE. STRIKE

LIST AFFECTED

IS!) MAJOR DISTURBANCE

PROGRAMS

~ MNOR POWE:R OUTAGE
[B ~TURAL DtSASTER
~ PUBLIC DEMONSTRATION

·---

·-

-··~-

~ SPECIAL INTeREST f

iro:!W;iTION
(ii NIA
~ CALCUl.ATED

(iJ EMERGENCY

BRIEF DESCRJPTION 01' INCfD5NT (ONE OR TWO SEN1cNCi::S)

COMPLETE SYNOPSIS I SUMMARY ON PART A1
1~ OF REPOR11NG STAFF (PR~~!frYPEI

Jrms

110#

jSIGNAi URE OF R!!P00:1 ING ST,\,."f

...,,,,,,,
lllADGElJ

PHONE EXT, INCDem srr;:

D/\TE

TITLE

O.AT!O

:1

1~~

----

.

@ BODILY FLUtD lliJ OTHER FLUID
(!i UNKN01NN LIQUID
WEIGHT

STU!GER:

!:£.j ,:JZ(A)
~-·-"'-1:£:1 -'IOMM
l!r .60 (B)
[D ~O MM MULTI
;XAg 1u€A.C'Ti~
[ill HFWRS
- - - - - . ['!l CTS 4557_
~
~XM1006
--·--1
~' EXPANOABLE BATON
QJ:l!liMIQe.r..! llfli~
I
! PHYSICAL FORCE
~oc
liJ X10
l!J CN
[!)OTHER

!fil SAP f SLUNG SHOT

CONTR.OU.EO SU6STANCE

~FOAM

"

WIOFORCE

~9MM

"

WI FORCE

~I2!i 1!21.!!:i2

J:i~t.ll!:l.2 ~

(fil SHOTGUN·-·-

~

0
CJ

No

TYPE l .HQ<.;
0 M1N11.\
III .~CAL.. · - - - - - - l ! J WOOD
~ RUBBER-.- -

.

EJ NIA

WEA,POtl:

COMMERCIAL WEAPON
WEAPON

FfREARM
[.,!) HANDS I FEET

l5il

~SPEARING
~ STA661NG
[!I STRANGLING
@I OTflER

NlA

,

ESCA:PES

EXPLOSIVE

6.J

..

§ii Y1$a

TY PE OF wl::Af'VN i' SHOTS "IRE:P f FORCE

G

NIA
INMATE
STAFF
OTHER

-~

~BEATING

lNMA.TE WEAPO•NS

@) CHEMICAL SUBST ANGE

P101AA NOTIFIED

No...

TYPE OF ASSAUl.T I 6AlTERV
@] SLASHING

(!!]NIA

,

.

If!

l.!J Yes ,.. ~

ASSAtJlTI BATTERY

[§) NIA
@] ACCIDENT AL

SERIOUS INJURY

. ,,,_

~

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@]NIA

IF!0
IIi_]l.J

[§!!No

.

~~~~

!!j Y8$

USeOF
FORCE:

l::;J NIA NUMBER t SUBSECTION

MUTUALA1D

CAISIS RESPONSE' TEAi.i ACl NATED

,

Y9'3

.

laJ

I INCIDENT TIME

OF WARDEN I AOO lPRINT/ SIGN)

!

Page 13 of 20

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Distribution of Inmate Death Reports

Agreement Number C0?.247-5
Attachment C

DEPARTMENT OF CORRECTIOOS AND lla\".BILIT ATIOO

St Are OF' CAlFORNrA

CRIME / INCIDENT REPORT
INCIDENT E.OG NUl<,taEF!

PART A1 ·SUPPLEMENT

I

COCR 337-/\1 (REV.1010&)
JNSTITUTU)N

I

I

li'YPE OF INFORMATION:

SYNOPS1SISWMMARY OF INClOENT

Page

fle:IDENT OATe

FACll.ITY

=

of

@I SUPPLEMENTAL tNFORMATlON

I I

INCIDENT TIME

§I AMB>IDcO INFORMAT10N

~CLOSURE REPORT

l---.

0

Oll:CK Ii' NARRATNE IS CONTINUED ON ADOrTJONAl.Al

NAMe OF FIEPOf<T!NG STAFI' {PRIITTITYPe)

,~

ITIT~E

llAOOE#

slGNJ\lURE OF REPOl<Tl'«l STAFF

PtiONE ext. INCOeh'T srre:

D.AtE.

NAM'E OF WARDEN I AOO (ffilNTf SlGN)

rm.e

OATf;

Page 14 of 20

Agreement Number C07.247-5
Attachment C

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Distribution of Inmate Death Reports

ST.ATE 0~ CAl.FORNIA

OEPARUll:NT OF COARE"CTIONS AND REHAl'llLltATlON

CRIME I rNClDENT REPORT
PART 81 ·INMATE

Page _ _ Of _ _

COCR a37..S1 (REV.10/06)
!MClDENT LOG NUMBER

PARTIC1PANT

:·;· VICTlM
:·;,• SUSPECT

...:WITNESS

COUNTY OF COMMITMENT

\l DMH

1NM;.;.1~-i:e•1er.~-

NIA

lnjuty LCIGatl:ln - Cauae - Fal'co U~ll>d

HO$?frALIZP.0

i:·

[!! REfTJSEO mEArMfN7
0

@]

I; Tho"' 591\<)~• lr~lr(

ii!l

-

----

NA.MC:.

....,

N'A

YA~10l\1'ED

PBISQN GANG I QiSRUi>Il'{E GROUP:

u.s:SQQtATED
:~{VALIDATE[}

YES

[!j ASSOCIATED

@NO

---~

LAST

Ml

PARTJCEP/o.NT

CDC#
i.lmCR~.TFJl

ti] VICTIM

RELEASE' CATE

f'~"I SUSPECT

[j'j

Vi.1TNESS

t.ill'J EOP

DMH

Ill:

COMMITME;NT OFFENSE

III OPP

11: HOSf'ITIU.IZED
REFUSED TREATME~IT

['fj
{B NIA

I$ T~""' Soc.oo~ In/Iii')'

Y,M!Qt\I~O l

PRISON @ANG/ lllSflUf'I!VE GROIJP;

~J ASSOCIATED

ffil NO
NAME: LAST
PART1CiPANT
!VICTIM

;-: Sl,ISPECT
· VVITNESS
i~EVEL

FIRST
PVRTC

l:~ YES
l~1 NO

A§SQClA U:D

@) VALJOATEO

jli-!YES
Ill!

W.TE RECU
BYC():
~?

EOP

o.\Til REC'D
BYINSl

CDC#

SEX

l\NTIC!,?.i.TEO

A£W.Se0.t.TE

!lTHNICrTY
LWo;;

:!!:.. DMH COMMITMENT OFFENSE

C.11#

Fllhll:

OOB

EXTRACrrtON
LB:i YES
l~J NO

HOUSING

COUWY Of COMMITMENT

@OPP

lrtl\J!Y l.ocajlon- CBuse • FarQl ·~

11 • HOSPfl' MIZl!.1'

@ RcTusep TRF.A1'r.!E;~r
I• Tl!~n> S<:rbLA• J~j!X)'

j} ~l/A

PRISO!J GA NG I QISRl,Jf'tlVli

~YES
@]NO

...!_.

~ r-.v.o.

f.R!OO!':

il8LIDAI£D I A:lSOCy;u;D

ijJ VAUDATED
~ ASSOCIATED

Page 15 of 20

Agreement Number C0?.247-5
Attachment C

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Distribution of Inmate Death Reports

Si ATE OF C.l.L.FORNIJI,

OEPARTI.IENT OF CORRECTIONS ANO RF.HABLrrATION

CRIME/ INCIDENT REPORT

PART 82 ·STAFF

Page _ _ of _ _

CDCR B37·B2 (REV.101D6)

INCIDcITT LOG NUMBER

POST ASSIGN #

D

N111

NM4etLoCAl10NOFHOSPtPACIL1TY

ffi'.l

~uA

0

rnu.tct1~Ntl1'.lllE11SE

@]

REFUSED TRl!AT!.USNT

(!}

HOSPITALIZED

Reason For oootti

useuFol'tca;

l!J

Ye&

l1J

PROCES seo EVIDCNCE
0

No

Ci)

Is Thera Serious Injury

No

®' Y91
R001l

PARTICIPnNT

NIA

ID#

~ LOCATION QF KOS Pl FACILITY

@)

[!]

NIA

T/IE~ TEO "-"O REI.EA.Sf'.)

USF.O FORCF.

i!l RE'FUSEO TREATMENT@ KOSPITl'J.!ZED

l-R:::essoo---,F=-or-=O!ll!lth--:::--------~--," DE.CEASED DATE

. ~ Yes

~ No

TVP<: ov FO ROE:

0
'N>'ME; LAST

~No

rYPE ono l'tcE!:

NAA!E; LAST

l:J

~YfA

AAOCE.5sco EVlDeNCE

f!)Yos

~Ne

No @Y05

FIRST

IHHNICl!Y

FIOO"S

"""'i

I

1» NIA

IE NIA

DESCRll'TION OFINJURl5$, CAUSEP,ND LOC1\TION:

JW,IEI LC.C.r.TION OF HOSP/ FAC:l.ITY

PROCE$ScD EV!OE!NCE.

~'Iii<>

FIRST

Ml

~No

Tm.e

aADGE·I

POST ASSIGN #

DEWRIPTION O~ INJURIES, t.OCATlON AND CllUSE:

· [j WA

@ NfA
t>1 IREAIEDM'llREtJ:ISEO
@}REFUSED 1J\EA.TMEITT&) HOSPITALIZED
fr,R;::-.ea--e.on~F"'"e<~DMlh~,------...;...~[i!] DECE.~SED DAT£
liAMEILOCATION OF HOSP/ 1"/\CU.ITY

!s ThereSeiiiou& lr\jury

@ No @ Vll'i

Page 16 of 20

USSD FORCE
@)Yes (ii NQ
TYPE! OF FO!\Ce:

PROCESSED E\llOENCS

~Yes

@No

Agreement Number C07.247-5
Attachment C

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Distribution of Inmate Death Reports

STllTE OFC.AtFORNV..

CRIME/ 1NCIDENT REPORT
PART 83 - VISITOR, OTHER

Page _ _ of _ _

CDCR 837-83 {REV. 10iDS}.
INSTITUTIOH

~There

[jJ NIA

San~IJ$:!ty

l!J flOSl'rfALl1.F.O

@ NoG:l Yes

Lij TREATED AND

RELEASED

[!]

REFUSEO iREATMENt'

illJ

DECEASED DATE
·SEX

ETHNICITY

SEX

!!if!*llCfl'Y

DE$CRIPTION OF INJllRJES, CAUSE ANO LDCATI~

PARTICl?,l,NT 'rt'PE

W.l.IE:

LAST

O!Tnllllir

; " NIA

Surloos lnl'Jty

[.J

0

NoC:) Yos

l<j TRE!\Te.O AND
RELEASED

1
"

HOSPITAL !ZED

LlJ

REFUS~D TREATMENT

[!!!

DECEABSD DATE
TYPE OF ID ANO iO ;t

FIRST

DESCRIPTION OF fNJURIES, CAUSE AND lOCA Tlc+i

1nh'"'
Sl!<IO!f.. lnj<lty
PAf!TiCIPAN1 'rYPi!r

G No(t;l Y11:11

11i1

0

LAST'

TRE.'lf ED AND
RE~EAlla>

'1AMEI LOCATION OF HOSPfTREAT FACILITY

IIJ REFUGED TR"..ATIIUliNT
@.]

N~:

NIA

@!! rt::iSPlrAUZE CJ
D!OCl:A$1!,0 DATE

FIRST

TYPE CIF ID ANO ID #

SEX

ETHNICITY

NJA

l'l\ITT'ICIP,-.NI

Im WA

~ liC<SPITAl.IZl!D

IPAATICIPANT TYPE

!]jJ
@!

(!} TRE!AT&l ANO
.

ReU!A.sEO

REA.ISEO TREATMENT
DECEASED OATE

Page 17 of20

NAMEll.OCATlON OF HOSPJiREATFACll.ltY

Agreement Number C0?.247-5
Attachment C

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Distribution of Inmate Death Reports

STATE Of Cl\!.IFO~IA

DEPARTM1"NT OF COORECTIONS AND REHADIUTATIC+l

CRIME I INCIDENT REPORT
PART C - STAFF REPORT
NAME: LAST

I POST#

I

I

J· 1NCIDENT LOG NUMBER
Page _ _ of _ _

I

FIRST

I

POSITION

I

YEARS OF SERVICE

YR.

1.10.

i RDO's IDUTY HOURS IDESCRIPTION OF CRIME I INCIDENT

I

J

Ml

I 1Nc1DENT DATE j 1Nc10EN1' r1Mc

DATE OF REF'OKI

LOCATION OF INCIDENT

ICCR

SECTION I RULE

·===~~::;~;~!~~~~=~;~:~:::
----·-··--------·--- ----- ------····------· -------------- ----- -----------------·

--------------~---- -~----~ ...

-

-----------

.--

--·... --·-----... --------- ___________ ............ ____ ...... _.... ___ .,. ... ___________ --..------ ... ----.------ .
.

FORCE USED BY YO\.I

--·- ---·- Q
WC:,·s~.1ocALN

,

8

'

CHEMICAL
tmNE

FORCEOBS~RVEO

I·i~PNIHAY!its~~.Y:.t.Y._.__

NIA

_FORCE:

D
D

D

j.

8

Bll.l

D J7MM

MrN11.c

..36CA.L

---

o orHeR FOR~ NOT LISTED

lMOENC:E Pc.:iCRJPTION

D WA

---

·

O·OTHEA

H \

NJA

i""''V" I U'<U <>I t<.rt'
I
fNJURED

B'::

u

0

Yes

O

Yea

0

NO

0

No

FLUID EXPQSURE

setr ~ot/3067

{HOSl'O'Al I Cl.IMil,='l:l.__-ti==r::~;:;---;:::;-;:;-;;-i-C.:...OM_P_trn_o_j
NIA
BODILY
NIA
Q Yip
UNKNO'Y't'N

D

D

Q

D OiHE~ -

NARRATIVE:

0

PPE

BIO
HAZARD

1.0CA ....,,..TR"" 1cv

DeSCR1PTION OF IPf.JURY

NIA

----

0 cs

l

n

NIA

ooc

D ~o MM MUL11
. D F 'YRS
EVIDENCE OESCRll'110ff

D

0

O.CN

NiONE

CV!DENCE
j f"f)I tf:C"J'l::n BY
D Yes
D N'll

CHEMlCAL! TYPE:

~oMM

EXF'..WDASLEMTON OeMM
PHYSICAL FOOCe
D SHOTGLJN·----=--=
XHI
··-·

""''

. CKEM!Clll

FOR-Ci! USED BY YOU. TYPE 01' WE'.4110 .. J SHOTS f'lRl:'tlJ FORCE
WEAPQ"I:
WARNl!NG fil§£!l LAUNCHER:
EFFECT#J

CHECK IF Nl'.RRATIVE IS CONTINUED ON PART C1

QYes

Page 18 of 20

O No

Q

··-----..;

No

Agreement Number C0?.247-5
Attachment C

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Distribution of Inmate Death Reports

DEPARTMENT OF ca<REC'.TIONS ANO REHl\ll~UTATION

SIA'TE Of' CALl~OR:NVI.

CRIMe f INCIDENT REPORT
PARTC1-SUPPLEMENT

IYPe OF INFORMATION
OcoNTINOATlON OF REPORT

I

INCIOcNT t.00 NUMBER

Page _ _ o f _

CDCR 8:!7-C1 {REV.10/06)
NAME 1.A::il

I

FlRST

D AOOITJONAL IHFORf.J'ATtON

D CLARIFICATION Of REPORT

~

E RECEIVED

APPR ll'EO
OYa~
No

Page 19 of 20

n

CU\RIFICATl~NEEDED

0"96 D"'u

OATE

Mf

l

Agreement Number C0?.247-5
Attachment C

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Distribution of Inmate Death Reports

STl\Tll" 01' CALIFORN.IA

0£f>ARlMllNT OF CORRECTIONS ANO REHABIUTATION

CRIME I INCIDENT REPORT
PARTC2 ·REVIEW NOTICE
COCR 837-C2 (REV. iOJ06}
NAME LAST

l

I

! INCIDENT LOG NUMBER

Page _ _ or__ I

FIRST

Ml

I CHl:':CK IF CONTINUED ON AOOlTIONAL PART C2

Your report <;Dnoiatmln-g UW abDV• refer.nCGtl Jnelc:lent haa bffn revlOWll-d •nd !ht ~llOWfnlj lnfonmUon Is ttqulrecl:
PREPARE a COCR 637-C1 SUpplernent repoitciorlfyfnl! !hC IUoo$ liSltld
btlbw.
PREPllRI! s COCR 3ll7·C1 SOppletneol repon p1ovld!~ ad"-dll:ional ln1Drmallon fl!Ollrdlf.9 tho f$$U!!S ~sled

0

0
oorow~
D PREPARE ~ CDCR BS7-A1 Supplement raport dar1fyfng the Issues listed
below.
0 PREPARE fl CDCR 637-A 1 Supplemelll ll'Jport 10 e1T1rnerd I.tie irtiPrmatlon regarding the lo5Ue5 lill!ed
below~

DUE BY:

RETURN TO;

ISlGNAfURE

Page 20 of 20

l

tINCIDENT DATll

-;-_,;-·:' "...~·.

Corrections Corporation o(Ameiica
California Department of Corrections and Rehabilitation
Program Participation Chart

-~.-

Agreement Number C07.247-5 ~:",~:;,_:-x.
Attachment D
·-· -···
·:-.·-.·~

Programs Participation Chart

PROGRAM PARTICIPATION TABLE

PROGRAM/WORK ASSIGNMENTS1
Academic Education

2

22%

Career Technical Education

2

Work

29%

41%

4%

14%

6%

7%

58%

42%

42%

34%

110
110

110
110

100
100

Addictions Treatment

3

110

Cognitive Habilitation

3

55

1

25%

Programs offered may vary based upon fluctuation in inmate population, resources available

and programmatic need of the population
2
3

Education Enrollment could fluctuate+/- 20%
These programs are based in housing units. The numbers represent beds available for eligible offenders. If

there are not enough eligible offenders for the available beds based on a reduction in offender population,
availability of the program will be re-evaluated.

Page 1 of 1

---------

--

··f,4..

Corrections Corporation of America
.. ;. _ ...
California Department of Corretions and Rehabilitation
,' ·~:~· .·:.', _..
CCA Authorized Weapons and Accessories for CDCR contrac.C ·

Attachment E

• .:•.
•

.

0

'~'

... .,·
0
'''

'

·:

: '.~ :-;~·:-~:-/:' ~-:··.

Agreement Number C07.247-5
Attachment E

CCA AUTHORIZED WEAPONS AND ACCESSORIES FOR CDCR CONTRACT

DIRECT IMPACT
and Area

PeooerBall 180 round launcher I PeoperBall

20098

NA
P-BALL

Saturation

ALS

ALSOClS

AEROSOL

STREAM

ALS

ALSOC15c

AEROSOL

FOGG ER

FOAM

ALS

ALSOClSf

AEROSOL

FOAM

FOGGER (1.5 oz)

ALS

ALSOClSfog

AEROSOL

FOGG ER

INERT STREAM

ALS

ALSOC15i

AEROSOL

STREAM

O/C spray (3.1 oz.) stream
CONE

ALS
ALS

ALSOC31
ALSOC31c

AEROSOL
AEROSOL

STREAM
FOGG ER

(1.5 oz.) stream

FOAM

ALS

ALSOC31f

AEROSOL

FOAM

FOGGER (3.1 oz)
INERT STREAM
O/C Spray (9.2 oz.) stream

ALS
ALS
ALS

ALSOC31fog
ALSOC31i
ALSOC92

AEROSOL
AEROSOL
AEROSOL

FOGG ER
STREAM
STREAM

CONE

ALS

ALSOC92c

AEROSOL

FOGG ER

FOGG ER (14 oz)

ALS

ALSOC92fol!

AEROSOL

FOGG ER

x

x

x
x
x
x
x
x
x
x
x
x
x
x
x

x
x
x
x

x

x
x
x
x

x

x
x
x

x

x

x

x

x

x

x
x
x
x
x
x
x
x
x
x
x
x
x

x
x
x
x
x
x
x
x
x
x
x
x
x

x
x
x
x
x
x
x
x
x
x
x
x
x

x

x
x
x
x
x
x

ALS Grenades·
Grenade

ALS

ALS2278

HAND

VAPOR

Grenade

ALS

ALSG272

HAND

VAPOR

w/OC

ALS

ALSG1010C

HAND

IMPACT/POWD

Triple Action, C/S Grenade
C/S Handball Grenade
Tactical Pocket, C/S Grenade
Continuous Discharge, White

ALS
ALS
ALS

ALSG273
ALSG274
ALSG278

HAND
HAND
HAND

VAPOR
VAPOR
VAPOR

Smoke Grenade

IALS

IALSG972

IHAND

IVAPOR

ALS
ALS

ALSOCGG

HAND
HAND

AEROSOL
AEROSOL

Weap0ns and Accessories

Page 1

Page 1 of 4

x
x
x
x
x
x

x

I

I

x

x

x
x

I

I

I

x

x

x
x

I

x

x

:.-;..,:-..:

Corrections Corporation of America
,
California Department of Corretions and .Rehabilitation
·ccA Authorized Weapons and Accessories.for CbCR contract

CCA AUTHORIZED WEAPONS AND ACCESSORIES FOR CDCR CONTRACT

Attachment E

Multi-Launcher, 37MM ALSPL8
(Pum I
40 mm Grenade Launcher
Remington 870 Express HD

ALS
ALS
Lou's Police

w/slin *1

&Securit
Lou's Police
S&W Model 64 .38 cal Revolver &Securi
Lou's Police
& Security
Beretta Storm 9 mm Pistol
Ruger Mini 14 .223 cal with
Lou's Police
slin (7)
&Securit
Lou's Police
&Security
ColtAR-15

.223 55gr SP

IR223Rl Remington 28399

.38 158gr FMJ Duty Ammunition
(Not for use at California
RSR Group; Ultramax; or
Contracted Facilities)
find locally, use P card
9mm Duty Ammunition (Federal
HST)3
12ga 00 Buck shot - Reduced
RSR Group; Ultramax; or
Recoil *1
38 cal 158 gr Jacketed Hollow
ioint -125gr 1
Stream, Inert
Stream, Inert
ALS Less Lethal Projectiles

Agreement Number C07.247-5
Attachment E

find locally, use P card
RSR Group; Ultramax; or
find locally, use P card
ALS
ALS
ALS

x
x

x
x

(ALS) PL6
ALSGLl

NA
NA

NA
NA

son

NA

NA

162506

NA

NA

JXF9F23

NA

NA

15801

INA

INA

I

x

I

x

I

I

I

x

16920

INA

INA

I

x

I

x

I

I

I

x

I

I

I

I

x

I

x

I

I

I

x

1000/Case

I

I

I

x

I

x

I

x

I

x

I

x

I

x

1,000/Case

I

I

I

x

I

x

I

x

I

x

I

x

I

x

250/case

I

I

I

I

x
x

I

x

I

x

I

x

I

x

I

x

50rounds/box
AEROSOL
ALSOC31i
AEROSOL
ALSCL15i
ALSOC92i
AEROSOL

x

x

x

x

x

x

x

x

x

x

x

x

x

x

I

x
x
x
x

I

x

I

I

x

I

x

I

I

I

x

I

x

I

I

x

I

x

I

x

I

x

I

x

I

I

x

I

x

I

x

I

x

I

x

I

I

x

I

x

I

x

I

x

I

x

I

I

x

I

x

I

x

FOGG ER
STREAM
STREAM

-

12ga Drag Stabilized Round *2 ALS
12ga Rubber Balls, High Velocity
*2
ALS

ALS1212

12GA

ALS1204HV

12GA

37mm 32cal Rubber Balls

IALS

AL53732

37/40MM

37mm 60cal Rubber Balls

IALS

IALS3760

l37/40MM

37mm Bean Bag

IALS

IALS3702

l37/40MM

DIRECT
IMPACT
DIRECT
IMPACT
DIRECT
IMPACT
DIRECT
IMPACT
DIRECT
IMPACT

Page 2
Page 2 of4

-

..

,-·------

~ ~:.:!·A'~·;~;.

Agreement Number C07.247-5
Attachment E

Corrections Corporation of America
.
California Department of Corretions and Rehabilitation ; ':: ',
CCA Authorized Weapons and Accessories for CDCR contract

CCA AUTHORIZED WEAPONS AND ACCESSORIES FOR CDCR CONTRACT

Attachment E

40 mm Training Kit

ALS

ALS4006DTK

40MM

40 mm React Projectile
OC/CS Aerosol Grenade
OC Flameless Expulsion

ALS
ALS

ALS4006D
ALSOCCS6G

40MM
AEROSOL

DIRECT
IMPACT
DIRECT
IMPACT
FOGG ER

x

x

x

x

x

x
x

x

x
x

I

x

I

x

x I x I

I

x

I

x

I

x

I x I

I

x

I

x

I

x

I

x

I

x

I

x

x
x
x
x
x
x
x

I

x

Instantaneous Blast OC
CS Flameless Tri-Chamber
Grenade
37MM Products

ALS

ALS2362

HAND

POWDER

I

ALS

ALS2278
....·

HAND

VAPOR

I Ix I I

Hornets Nest .32 cal

IALS

IALS3732

137/40 MM

Hornets Nest .60 cal
Long Range C/S projectile
Long Range, White Smoke
Multi Smoke, CS
Multi Smoke, White Smoke
Short Range, C/S
Short Range, White Smoke

ALS
ALS
ALS
ALS
ALS
ALS
ALS

ALS3760
ALSS727
ALSS797
ALS6727
ALS6797
ALS7727
ALS7797

37/40MM
37/40MM
37/40MM
37/40MM
37/40MM
37/40MM
37/40MM

C/S Muzzle Blast

ALS

ALSCS37

37/40MM

O/C Muzzle Blast

ALS

ALSOC37

37/40MM

O/C Blast Dispersion Projectile
12 Ga Less Lethal

ALS

ALS6227

37/40MM

DIRECT

Rubber Fin Center Tower Round ALS
Hornets Nest {20 ball) High
Velocity *2
ALS
Bore Thunder {Muzzle Bang) *2 ALS
Aerial Pest Control (delayed
bang) *2
ALS

ALS1202CT
ALS1204HV

12GA
12GA

ALS1208

12GA

ALS1209

12GA

IMPACT
DIRECT
IMPACT
VAPOR
VAPOR
FOGG ER
FOGG ER
VAPOR
VAPOR
MUZZLE

I x I x I

BLAST
MUZZLE
BLAST
MUZZLE
BLAST

1

DIRECT
IMPACT
INDIRECT
IMPACT
DISTRACTION
DEVICE
DISTRACTION
DEVICE

Page 3
Page 3 of4

x
x
x
x

I

x

x

x
x
x
x
x
x
x
1 x 1

1

I x I x I

I

I x I x I

I

I x I x I

I

1

x

x

I

x

I

x

x

I

x

I

x

I

x

II x II xx II II

x

I

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I x I x I

x

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I

Corrections Corporation of America
California Department of Corretions and Rehaoilitation
t:CA Authorized Weapons and Accessories ·for CDCR contract

Attachment E

Multi-Blast Diversion Munition
Pen Prevent - Bean Bag tail
stabilized *2
Miscellaneous
Top Cop 46 oz. Tactical Tank
Top Cop Tactical Refill
OC Regulator, Fill Station
Fog Machine
C/S Fog Machine
Flush, Fog Formula
O/C, Foe: Formula
WS, Fog Formula

Agreement Number C07.247-5
Attachment E

,·;;f ..

CCA AUTHORIZED WEAPONS AND ACCESSORIES FOR CDCR CONTRACT

ALS

ALSD450

HAND

ALS

ALS1212

12GA

DISTRACTION
DEVICE
DIRECT
IMPACT

ALS
ALS
ALS
ALS
ALS
ALS
ALS
ALS

ALSOC46
ALSOCRF
ALSOCRG
ALS4400
ALS2744
ALS3644
ALS6244
ALS9744

AEROSOL
AEROSOL
NA
AEROSOL
AEROSOL
AEROSOL
AEROSOL
AEROSOL

FOG GER
FOGG ER
NA
FOGG ER
FOGG ER
ACCESSORY
FOGG ER
FOGG ER

x

x

x

x

x

x

x

x

x

x

x
x

x

x
x

x
x

x
x

x

x
x
x
x
x

x

x

x
x
x

x
x

x

*1. 12 Gauge Shotguns are reserved for transportation staff with 12 lethal munitions limited to 00 Buck and this ammunition also limited to transportation staff.
*2. 12 Gauge shotguns used as a delivery system for less lethal munitions only.
3. CS is intended to be used as an outdoor munition and reserved for use by CCA SORT TEAMS only.
4. Facilities with multiple contracts housed at a facility may have additional munitions available on site for use with other customers.
5. Remanufactured Ammunition reserved for training purposes only.

Page4
Page 4 of 4

/
STATE OF CALIFORNIA

STANDARD AGREEMENT AMENDMENT
STD. 213 A (Rev 6103)

Q

CHECK HERE IF ADDITIONAL PAGES ARE ATTACHED

67

---

Pages

AGREEMENT NUMBER

AMENDMENT NUMBER

C07.247
REGISTRATION NUMBER

4

1046444
1.

This Agreement is entered into between the State Agency and Contractor named below:
STATE AGENCY'S NAME

California Department of Corrections and Rehabilititation
CONTRACTOR'S NAME

2.

Corrections Corporation of America
The term of this
Agreement is

3.

4.

January 7, 2008

through

June 30, 2013

The maximum amount of this
Agreement after this amendment is:

$1,180,661,901.00
One Billion One Hundred Eighty Million Six Hundred Sixty One Thousand Nine
Hundred one Dollars and No Cents
The parties mutually agree to this amendment as follows. All actions noted below are by this reference made a part
of the Agreement and incorporated herein:
A. This Amendment is effective upon approval.
8. The amount of this Agreement is reduced by $1, 110,200.00 for a total contract amount not to exceed

$1, 180,661,901.00.
C. Exhibit A, Scope of Work, is replaced in its entirety and attached hereto.
D. Attachment A.1, Contract Staffing Pattern for North Fork Correctional Facility, is attached hereto and
made part of this Agreement.
E. Attachment A.2, Contract Staffing Pattern for Red Rock Correctional Facility, is attached hereto and made
part of this Agreement.
F. Attachment A.3, Contract Staffing Pattern for La Palma Correctional Center, is attached hereto and made
part of this Agreement.
G. Attachment A.4, Contract Staffing Pattern for Tallahatchie County Correctional Facility, is attached hereto
and made part of this Agreement.
H. Attachment A.5, Mandatory Post Chart for North Fork Correctional Facility, is attached hereto and made
part of this Agreement.

All other terms and conditions shall remain the same.
IN WITNESS WHEREOF, this Agreement has been executed by the parties hereto.

CALIFORNIA

CONTRACTOR

CONTRACTOR'S NAME (If other than an individual,

Department of General Services
Use Only

state whether a corporation, partnership, etc.)

_C_o_rr_e_ct_io_1_1s_C_01.....
· _o_ra_t_io_n_o_f_A_m_e_n_·c _ a - - - - - - - . . - - - - - - - - - - - - - - 1 Exempt per Governor's
DATE SIGNED (Do not type)
Proclamation, Prison Overcrowding
.16
)
/)..
State of Emergency Proclamation,
-PR-IN-T=E-D-N-AM_E_A_;cN_D.._T_IT-"'LE""'o"""F'-P~E'-R=S-ON-=----Sl+G-Nl_N_G_ _ _ _ _ ___,__-"'-~-'-jf--'-"------t issued 1 0-4-2006.
Lucibeth Maybeny, Vice President, Deputy Chief Development Officer

----~~~-------~~----~-------~I herebycertifythatallcondffionsfor

ADDRESS
exemption have been compiled with
10 Bmion Hills Boulevard,
and that this contract is exempt
_N=-.:.::a=sh..:..:v...:;;il:;:..le;:.z....:T""N...:....::..37""'2..:..:1=5-----------------------j from the Department of General
AGENCY NAME

STATE OF CALIFORNIA

::rvic~~pr~ova~. ~

Califomia De atiment of Corrections and Rehabilitation

--==.:.;;:.::..::;.o:.::~=~~.:.=...:,;.:;_--'-'------.--------; Date:

PRINTED NAME AND TITCE OF PERSON SIGNING
Debra L. Smith, Chief, Contracts Management Branch
ADDRESS
10000 Goethe Rd, Suite C-1, Sacramento, CA 95827

D

eLff ~ l'~ d:

'""

Exempt per:

/

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number C07.247 - 4
Exhibit A

OFFENDER RELOCATION/HOUSING
AGREEMENT BETWEEN
STATE OF CALIFORNIA
AND
CORRECTIONS CORP.ORATION OF AMERICA
This Contract is entered into between the State of California Department of Corrections and
Rehabilitation (hereinafter "STATE" or "CDCR") and The Corrections Corporation of America
(CCA), 10 Burton Hills Blvd., Nashville, Tennessee, 37215 (hereinafter "CONTRACTOR") and
replaces and supersedes that certain contracts entered into between CDCR and the CONTRACTOR
on October 19, 2006, as amended on December 20, 2006, and February 1, 2007, and January 7,
2008, as amended on January 8, 2008, and October 29, 2009.
WHEREAS, the STATE requires correctional bed space and services for STATE offenders due to
continuing in-state crowding issues and has the lawful authority to enter into this Contract.
WHEREAS, the CONTRACTOR operates or has access to correctional facilities in the states of
Arizona, Mississippi, and Oklahoma deemed suitable by CDCR for the housing and care of CDCR
offenders (the "Facility") and has the lawful authority to enter into this Contract and perform or" have
performed the required services as set forth herein.
THEREFORE, in consideration of the mutual promises and covenants contained herein, the parties
hereby agree as follows:

Article I.
DEFINITIONS
Additional Services - means those additional operational and management services required to be
Furnished by the CONTRACTOR because of changes . in American Correctional Association
(ACA) Standards, state or federal laws, government regulations, or judicial decisions that cause
an increase in the cost of operating and managing the facility.
CCR Title 15 - means the California Code of Regulations, Title 15, "Crime Prevention and
Corrections".
CDCR Contract Monitor - The designated representative of the CDCR or his/her
designee/delegate serving as liaison between CDCR and the CONTRACTOR and who monitors the
CONTRACTOR's performance under this Agreement. This shall also apply to any monitor on behalf
of the federally appointed receiver's office in the federal case of Plata v. Brown monitoring health
-----------··--·--·-···--·-·-·care·.
-------·-·-·--- ·-------·------·------- COCF - means the California Out-of-State Correctional Facility Program.
Coleman - refers to the Federal Court case of Coleman v. Brown, pertaining to care of mentally ill
inmates through the mental health services delivery system.
Contract - means this Agreement, or where referenced the prior Agreement between the parties
hereto.
Contract Year - means the twelve consecutive month period commencing on the date of execution
of this Agreement with a new Contract Year beginning in each consecutive twelve month period
thereafter until the expiration or termination of this Agreement.

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number C0?.247 - 4
Exhibit A

Critical positions - means those positions that are filled by a specific individual. Staff members are
hired into the facility to fill a specific role, unlike a correctional officer that is trained and may fill a
variety of posts. If these positions are not filled on the 61 st day of vacancy the CONTRACTOR may
be assessed an amount equal to the salary and benefits for such position beginning on the 61 st day
for as long as the position is vacant.
Court with Jurisdiction - is any court which has jurisdiction over the transfer of offenders pursuant
to this agreement; including but not limited to, the courts in Coleman v. Brown (U.S. District Court,
Eastern District of California, Case No. CIV S-90-0520), Perez v. Cate (U.S. District Court, Northern
District of California, Case No. C055241 JSW), Armstrong v. Brown (U.S. District Court, Northern
District of California, Case No. C94-2397 CW), and Plata v. Brown (U.S. District Court, Northern
District of California, Case No. C01-1351 TEH).
Department/CDCR - means the California Department of Corrections and Rehabilitation.
Day - means calendar day, unless otherwise defined, in this Agreement. If the last day falls on a
weekend or holiday, the last day for performance shall be the next regular business day.
DOM - means the CDCR Departmental Operations Manual.
Facility - means the correctional institutions operated by the CONTRACTOR in the states of
Arizona, Mississippi, and Oklahoma, known as the Tallahatchie Correctional Facility, North Fork
Correctional Facility, Red Rock Correctional Center, and La Palma Correctional Center, and any
other CONTRACTOR facilities added by mutual agreement pursuant to Section 3.01.
HIPAA- means the federal Health Insurance Portability and Accountability Act.
Indigent Offender - means an offender who is wholly without funds at the time they were eligible for
withdrawal of funds for canteen purchases.
In-patient Care - means care received in a free standing, non-correctional hospital on an in-patient
basis, including any and all physician or consulting professional services provided to the offender in
the hospital.
Lockdown - means that a portion of the facility is affected by suspension of required programs or
services, and offenders are not released, except as determined by the facility administration on an
individual, case-by-case basis. Under such circumstances only critical inmate workers in the affected
housing units/sub-facilities will be permitted to attend work assignments under escort, and all but
essential functions are suspended in those affected housing units or sub-facilities, e.g. yard, canteen
draws, religious services and visiting.
The restriction of all inmates to their cells/dormitory beds encompassing no less than a Facility. True
lbckdowns are rare occasions, ge-nerally following very serious Uireatsto iristifuffonal- security andthe safety of staff and inmates. The movement of any inmate to an assignment or resumption of any
program would change the lockdown status of the program, returning the institution/facility to a
diminished level of modified program or to normal program.
Mandatory ACA Standards - means those standards identified as being mandatory in the
American Correctional Association's Standards for Adult Correctional Institutions, 4th Edition, as
same may be modified, amended, or supplemented in the future.
Mandatory posts - means those posts that will be filled each shift as delineated. A post is an
assignment or area to be covered by a staff person, and does not have to be designated to a
specific staff member.

2

-- --

(

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number C07.247 - 4
Exhibit A

Modified Program - The suspension of any operation, procedure, service or function to prevent,
isolate, contain, or control a disruption of orderly operations, caused by an inmate initiated
disturbance, natural disaster, or external stimulus. The modified program definition encompasses
any restrictions or modifications which do not constitute a lockdown. The term "partial lockdown" is
contained within the modified program definition and should no longer be used.

Note: The routine and temporary restrictions on inmate movement or yard activities during alarm
response and/or immediately following an accident are not considered a program modification.
National Commission on Correctional Health Care Standards (NCCHC) - those standards of
health care services as defined and established by the National Commission on Correctional Health
Care in the 2003 Edition of Standards for Health Services in State Prisons.
Offender - means any adult male person incarcerated pursuant to applicable California laws, and
assigned to the Facility for housing under this Agreement.
Offender Day- means each day, including the first day but not the last, that an offender is admitted
to the Facility as determined by the Midnight Count. ·
Operating Requirements - means applicable federal, state, and local law and court orders,
constitutional minimum standards, CDCR regulations made applicable to the Facility by this
Agreement.
Title 15 - means Title 15 of the California Code of Regulations, "Crime Prevention and Corrections"
including all subsequent amendments thereto.
UHR - means Unit Health Record.
Warden - means the Administrative Head who manages operations at the Facility.

Article II
TERM OF THE AGREEMENT
Section 2.01 Option to Extend Term.

The parties shall have the right to extend the initial term of this Agreement for successive periods of
up to and including two years each in addition to the initial term by mutual agreement. The parties
agree that should they desire to extend the term of this agreement pursuant to this option, they shall
notify one another of their desire to so extend the term not less than 180 days prior to the expiration
of the initial term. The provisions of this Contract, as amended if so amended during that time, shall
apply to any.extended term, except that the compensation forthe extended.term shall be subject.to- _____ -· ___ _
negotiation between the parties. Should the parties not agree on a new rate of compensation to
apply to the extended term, this Agreement shall terminate on the original termination date.
Section 2.02 Termination for Non-Appropriation.

Notwithstanding anything set forth in the provisions of Article VIII, DEFAULT AND TERMINATION, it
is understood and agreed that the State is a government entity and that the State reserves the right
to terminate this Contract if, in the judgment of the State, the Legislature of the State of California, at
any time during its duly convened Legislative process, f9ils, neglects, or refuses to appropriate_ or
continue appropriation of sufficient funds as may be required for the State to continue the payments
required hereunder.

3

Corrections Corporation of America
California Department of Corrections and. Rehabilitation
Scope of Work

Agreement Number C07.247 - 4
Exhibit A

Section 2.03 Responsibility Hearing.
If this Agreement is terminated for cause, CDCR reserves the right to conduct a responsibility
hearing to determine if the CONTRACTOR is a responsible bidder before an award of future
Agreements can be made.

Section 2.04 Contacts.
State Contacts:
Contract Monitor:
Brian Coates
10961 Sun Center Drive
Rancho Cordova, CA 95670
(916)464-4001
Contract Beds Unit (CBU:
10961 Sun Center Drive
Rancho Cordova, CA 95670
(916) 464-5130 - Main Fax
(916) 464-3766 - Records Fax
(916) 464-3768 - Field Operations Fax
(916) 464-3769 - Medical
Healthcare Contract Monitor:
John Dovey
Deputy Director
Field Operations, Corrections Services
California Prison Health Care Services
3701 N. Freeway Blvd.
Sacramento, CA 95812
(916) 648-8301
Douglas Peterson
Chief Medical Officer
501 J Street
Sacramento, CA 95814
(916) 324-6833
Karen Rea
Statewide Chief Nurse Executive
California Prison Health Care Services
(916) 323-1097
Mental Health Coordinator:
Dr. Robert Smith
(916) 508-1727
Dental Liaison for COCF
Bryan Quattlebaum, DDS
(916) 445-.4425
501 J Street, Suite 400 Sacramento, CA 95814
Escape/Incident Reporting (l.D./Warrants):
Phone 24 Hour Notification (916) 323-4087
FAX (916) 322-4038.

4

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number C0?.247 - 4
Exhibit A

Article Ill

CDCR OFFENDERS
Section 3.01 Offender Housing.

The CONTRACTOR shall confine and supervise adult male CDCR Offenders that are transferred to
the Facilities pursuant to the terms and conditions of this Agreement. CDCR Offenders shall only be
housed in housing units consistent with the offenders' classification and security needs, subject to
the prior written approval of the CDCR Contract Monitor or designee.
CONTRACTOR agrees to make available, and CDCR agrees to utilize, beds at the CONTRACTOR
facilities (hereinafter collectively referred to as the "Facilities") as follows:
Red Rock Correctional Center: 1544 General Population Beds
La Palma Correctional Center: 3160 General Population Beds
North Fork Correctional Center: 1680 General Population Beds
Tallahatchie County Correctional Facility: 2604 General Population Beds
Florence Correctional Center is not included as a Facility under this Agreement. The intent of the
parties is that CONTRACTOR and CDCR shall develop a mutually agreed upon ramp down
schedule to remove the CDCR population from the Florence facility. In the event that
CONTRACTOR and CDCR agree that CDCR inmates should remain at Florence past June 30, 2011
in order to support a safe and efficient facility ramp down, then any such remaining inmates at
Florence shall be at a per diem rate of $63.00 per inmate per day until such time as the ramp down
is complete.
Provided, however, nothing herein shall prevent the CONTRACTOR and CDCR from mutually
agreeing to reallocate beds among the Facilities, add additional CONTRACTOR facilities, and
increase or decrease the total number of contracted beds as necessary to meet CDCR needs.
Provided further, in the event that the CDCR population at the Facilities falls below 8089 inmates for
more than 60 days then the CONTRACTOR shall have the option of reallocating the CDCR
population among the Facilities in such a manner as to improve the efficiency of the overall Facility
operations. All such costs associated with such a reallocation among the Facilities shall be borne by
the CONTRACTOR and subject to mutual agreement regarding the staffing levels necessary to
support the reallocated populations. This provision shall not apply in the event that such vacancies
are caused by an act of contract default on the part of the CONTRACTOR or in the event that
CONTRACTOR has requested that such beds remain vacant.
CDCR's minimum payment shall be based on the greater of (a) the actual occupancy or (b) 90% of
CONTRACTOR's overall capacity as may be modified from time to time by mutual agreement of the
· · CONTRACTOR and CDGR.
-- - -- --- - - If CDCR is unable to attain 90% occupancy of the capacity available to CDCR because it becomes
unlawful for any reason to involuntarily transfer inmates outside of California, or the Receiver or a
Court with Jurisdiction has notified CDCR in writing or has provided other official notification that
Offender transfers under this Agreement are being suspended, CDCR shall be relieved of making a
payment for more than the actual occupancy until such time as the Receiver or Court with
Jurisdiction allows sufficient transfers for CDCR to attain 90% occupancy, or until involuntary
transfer of inmates outside of CA is no longer unlawful. Provided, however, absent a court order
suspending transfers as set forth above, it shall not be considered unlawful to involuntarily transfer
inmate.s out of state for so long as CDCR is sending inmates out of state pursuant to an Emergency
Proclamation, Emergency Executive Order, and/or enabling legislation.

6

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number C07.24i- 4
Exhibit A

Section 3.02 Selection and Placement Process.

The CDCR Offenders to be housed in the Facility shall be selected on the basis of compliance with
all applicable state statutes or such other applicable laws or regulations of the state in which the
Facility is located relating to the housing of out of state offenders as may apply, and in addition
thereto, the following criteria and conditions:
3.02.1 CDCR and . CONTRACTOR shall mutually agree on offenders to be housed by
CONTRACTOR, and offenders shall be suitable for placement in the facility designated. In
the event that CDCR requests that the CONTRACTOR accept Offenders with serious or
significant mental health or serious or significant physical problems, included but not limited
to physical disability, CDCR and the CONTRACTOR shall mutually agree to an appropriate
plan of care for the population and the allocation of costs associated therewith. If the overall
percentage of inmates in CONTRACTOR facilities requiring Hepatitis C treatment exceeds
the overall percentage of offenders requiring Hepatitis C treatment in the CDCR system,
CDCR agrees to pay the treatment costs for those offenders in excess of the percentage of
offenders requiring Hepatitis C treatment in the CDCR system.
3.02.2 Offenders assigned to the Facility shall be males eighteen years of age or older.
3.02.3 CONTRACTOR may reject any offender found not to meet the receiving state's criteria or
otherwise deemed by the CONTRACTOR, with CDCR's concurrence, to be unsuitable for
assignment to a particular Facility. In the event the initially considered Facility is deemed
unsuitable for a particular offender, the CONTRACTOR shall make all due effort to assign
offenders to an alternate appropriate Facility under this Agreement.
Upon arrival of any CDCR Offender to the Facility, the CDCR shall provide to the Facility's Warden,
without charge, copies of pertinent data from institutional files, commitment or other judicial orders,
and medical records of each CDCR Offender to be housed at the Facility. The CONTRACTOR shall
assume any costs associated with a review of inmate central files to determine the impact to CDCR
of the receiving state's statutory requirements. All CDCR Offender information shall be subject to
statutory limitations on disclosure, including but not limited to State privacy laws, and provisions of
the federal requirements imposed by the Health Insurance Portability and Accountability Act (HIPAA)
or other Federal privacy laws. The CONTRACTOR shall release information only in accordance with
CDCR direction.
A duly authenticated copy of the CDCR Offender's commitment papers and any other official papers
or documents authorizing detention, case file materials and medical/dental/psychiatric records shall
be delivered at the same time a CDCR Offender arrives at the transfer point. After the Agreement is
executed and CONTRACTOR becomes familiar with CDCR Offender files, the CONTRACTOR may
make reasonable requests for additional papers or documents to be delivered to CONTRACTOR.
CDCR understands that the safe and secure management of the Facility is dependent upon the
--- - - -- - - - - -- - -- --- --· -- CONTRACTOR's-reeeipr of complete attender- files and snail not unre·a~rortably Witflh61d. requeste·cr
documents.
The CONTRACTOR will work collaboratively to implement any newly available Electronic Database
Software, including but not limited to the Strategic Offender Management System (SOMS) to
enhance operationally necessary transfer of information.
Section 3.03 Transfer/Delivery of Offenders.

At the request of CDCR, the CONTRACTOR shall be responsible for the transporting of offenders to
and from CDCR to the Facility. The parties agree to cooperate and coordinate their procedures
regarding transport so as to minimize the expense associated with such transfers. All required
offender local transportation to and from the Facility within a 150 mile radius (e.g., for offsite medical

7

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number C0?.247 - 4
Exhibit A

care ·both urgent ·or emergent and routine) shall also be provided and paid for by the
CONTRACTOR. Upon the request of the CONTRACTOR and with prior written approval of the
CDCR Contract Monitor, CONTRACTOR shall be entitled to transfer a CDCR Offender from one
facility to another, provided the facility receiving the transferred CDCR Offender is operated by
CONTRACTOR pursuant to an agreement between CDCR and CONTRACTOR or between CDCR
and an entity with which CONTRACTOR has an operating contract. CONTRACTOR agrees to follow
CDCR staffing requirements on any CCA provided transport.
Section 3.04 Costs of Transport of Offenders.
Except as otherwise provided below, CDCR shall reimburse CONTRACTOR for the cost of
transporting offenders between the transfer point in California and Facility, and between Facility and
transfer point in California as follows:

A.

B.

C.

.D.

Cost of airframe and crew ("charter costs") at actual cost. CONTRACTOR agrees to provide
CDCR with the cost quote for any transfer and CDCR shall have 48 hours to approve or
reject that quote. If CDCR rejects a quote, CDCR shall cooperate with CONTRACTOR to
obtain a replacement service provider to provide the same service at a rate acceptable to
CDCR. If a better quote cannot be obtained through these efforts, CDCR shall determine a
competitive alternate transportation provider.
Costs of guarding to be reimbursed to CONTRACTOR at their cost of salary and fringe
benefits for each guard accompanying the transportation of offenders. Salary and fringe
benefits are defined for this section as actual salary plus 26% of salary in addition thereto to
cover the fringe benefits. In addition, CONTRACTOR shall be entitled administrative
overhead on said amounts calculated for guarding at a rate of 15% of the base salary.
CONTRACTOR shall be reimbursed for mileage for ground transportation of offenders from
the receiving State drop off point to the Facility at the rate then in effect and used by the
Internal Revenue Service (IRS) for calculation of mileage.
In the event CONTRACTOR requests the return of an offender to California, or the transfer
of an offender to another CCA Facility, who otherwise meets the criteria of the receiving state
and meets the criteria of the CDCR and has been placed in a facility with the initial
Agreement of the CONTRACTOR, then in such event CONTRACTOR shall be responsible
for the transportation and property costs associated with said return .
Notwithstanding any other provisions of Section 3.04, CONTRACTOR shall be responsible
for up to the first $500,000.00 for the cost of transportation between California and all
Arizona facilities annually. Any additional movement above our natural movem~nt (Parole,
SHU, Level IV, and inmates no longer meeting COCF criteria) out of NFCF to meet the 1680
population will be paid by CONTRACTOR above the contracted $500,000.00 transportation
fee.

Section 3.05 Offender Funds.

--- ---Funas· of-ah individ.uar·cDCR Offend.e(.shalr be pfoVided to CONTRACTOR-by CDCR. withrn seven-·- - - - -·--·- ~ -· -(7) working days of the CDCR Offender's transfer. These funds shall be held and managed pursuant
to policies, procedures and practices, which shall be provided to CONTRACTOR prior to inmate
arrival.
Section 3.06 Offender Work/Program Assignment Payment.
CONTRACTOR shall pay all inmates assigned to the work incentive program inmate wages equal to
the amount paid to other inmates housed at the particular Facility at the time of transfer. Provided,
however, CDCR shall inform CONTRACTOR of the applicable pay scales utilized by CDCR, and
inform CONTRACTOR of any changes occurring thereto during the term of this agreement.
CONTRACTOR will review the CDCR pay scale to ensure that it is in keeping with the Facility pay
scales currently in place. In the event of a discrepancy, CONTRACTOR will make a

8

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number C07.247 - 4
Exhibit A

recommendation to CDCR for a solution - recognizing the need to treat CDCR offenders housed out
of state in a similar manner to CDCR offenders in state and taking into account CONTRACTOR's
need for similar treatment for all jurisdictions in the facility. In the event CDCR offenders are housed
in a facility with other jurisdictions where a pay scale discrepancy exists, CONTRACTOR will provide
a report initially and annually.
Section 3.07 Return of Offenders to the CDCR.

3.07.1 Upon demand by the CDCR, offenders will be delivered to the custody of the CDCR
pursuant to the terms as set forth in Section 3.03 of this Agreement.
3.07.2 Within 14 days of receiving a good faith request (based on the diagnosis of a serious medical
condition, on-going or serious disciplinary reasons, or inability to provide a level of custody
consistent with the safety and security of the inmate and/or staff), the CDCR and
CONTRACTOR will develop a mutually agreed upon plan to address this matter.
3.07.3 CONTRACTOR and CDCR agree that in the case of offenders who are members of the
Coleman class, returns shall be accomplished in strict accordance with Coleman return
guidelines.
3.07.4 No offender who completes his sentence, is released by court order, or is placed on
probation or parole shall be released in a state, other than California, unless that State has a
detainer on the offender or has accepted custody of the offender pursuant to an interstate
compact, or unless the offender is released to the custody of another agency, whether state
·or federal. In every other case, prior to release from custody, offenders shall be returned to
the CDCR or to the custody of such jurisdiction as has agreed to take the offender, pursuant
to the terms as set forth in Section 3.03 of this Agreement.
3.07.5 When a CDCR Offender returns to CDCR, the CONTRACTOR shall provide that offender's
funds, in the form of a check payable to CDCR, in the amount due the CDCR Offender for
credit to the CDCR Offender's account within seven (7) business days of the CDCR
Offender's transfer unless an alternate location is directed by CDCR.
3.07.6 When a CDCR Offender is identified to return to CDCR, the CONTRACTOR will ensure the
"field file" is current with documentation to include but not limited to program activities (work,
education, etc.), classification endorsement and action, infraction history, and other items
deemed necessary by CDCR. In addition, the CONTRACTOR will provide a medical
summary and ensure the unit health record is current with relevant medical documentation.
In addition, upon transfer, the CONTRACTOR will provide the current field file, medical
summary and unit health record.

Article IV
OPERATION OF FACILITY
Section 4.01 General Duties.

I
I

The CDCR Offenders in the Facility shall be confined and supervised in accordance with the CCR
Title 15, DOM, and receiving states' existing state law. The CONTRACTOR shall maintain mutually
agreed upon staffing levels at the Facility in accordance with ACA standards and in sufficient
numbers and rank to maintain the safety of the public, staff and offenders and to adequately carry
out the provisions of this Agreement. CONTRACTOR shall not seek additional reimbursement from
CDCR in excess of the per diems stated hereunder in instances where the CONTRACTOR
increases staff in order to perform the services required under this Agreement. Provided however,
9

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number C0?.247 - 4
Exhibit A

this shall not apply in instances where CDCR requests or requires additional services or services for
a different inmate population than originally contemplated hereunder. The CONTRACTOR shall
provide CDCR with staffing levels for each facility where CDCR Offenders are housed prior to
execution of this Agreement. Said staffing levels are attached hereto as Attachment A In the event
of any change to the staffing levels for the staff assigned to the particular CDCR housing units during
the term of the Agreement, such revised levels shall be provided to CDCR in advance of any change
and shall be subject to CDCR approval which shall not be unreasonably withheld and which shall be
granted or withheld within ten business days or a reasonably agreed upon time frame of the request.
In advance of any change, the CONTRACTOR will exercise authority to ensure that the daily
operations of the Facility are in compliance with the provisions of this Agreement. Subject to the
provisions of this Agreement, the CONTRACTOR shall provide CDCR Offenders care and
treatment, including the furnishing of subsistence and routine and emergency medical care
consistent with the requirements of ACA standards, NCCHC standards, CCR Title 15, and
constitutionally appropriate and/or court imposed guidelines, provide for their physical needs, make
available work, education, training and treatment programs, retain them in safe, supervised custody,
maintain proper discipline and control, make certain that any applicable court orders are complied
with, provide reasonable access to the courts, and otherwise comply with all applicable law.
CONTRACTOR shall provide case management of CDCR offenders consistent with Title 15
including classification, monitoring earned/good time, disciplinary activity, programming and other
offender activity.
CDCR offenders shall be provided with a copy of the Facility rules and procedures (orientation
guide) upon arrival. The orientation information must include the process for obtaining
medical/mental health care, disciplinary process, request for reasonable accommodation under ADA
and the offender appeal/grievance process. A verbal orientation shall also be provided upon arrival.
CONTRACTOR shall ensure effective communication during orientation. Where appropriate this
may include, but is not limited to, use of interpreters or ADA approved communication devices.
Section 4.02 Minimum Required Staffing.

4.02.1 CDCR may assess liquidated damages if the CONTRACTOR fails to maintain minimum
staffing for mandatory posts as delineated in Attachment A The CONTRACTOR may use
contract staff and overtime to fulfill its mandatory post staffing requirements. The
CONTRACTOR shall exercise due diligence in filling staffing vacancies and, to the fullest
extent possible, the duties of the vacant post(s) shall be performed through the use of
overtime, contract staff, or other mutually agreed upon alternative means then the
CONTRACTOR shall not be deemed in breach of this Contract and shall not be subject to an
assessment of liquidated damages. For each shift that a mandatory shift is not covered,
CDCR may assess damages in an amount equal to the daily rate (salary and benefits) per
post per day as long as the deficiency continues.
CONTRACTOR shall have 60 calendar days to fill a vacant Critical Position as delineated on
Attachment A A Critical Position shall not be deemed vacant in the event that fhe.CONTRACTOfrrs·
using contract staff, overtime or other mutually agreed upon alternative means to fulfill the duties of
the Critical Position. Beginning on the 61 st calendar day that a Critical Position remains vacant,
CDCR may assess liquidated damages in an amount equal to the daily rate (salary and benefits) for
such Critical Position per day as long as the Critical Position remains vacant. CONTRACTOR
agrees to not circumvent the imposition of liquidated damages by multiple short term staff
assignments.
Recognizing that the CONTRACTOR will incur certain costs to recruit new employees and costs to
cover the vacancies through contract staff and overtime, the first monthly assessment of liquidated
damages per Contract Year per CONTRACTOR Facility will be subject to a maximum of $10,000
and the second monthly assessment of liquidated damages per Contract Year per CONTRACTOR
Facility will be subject to a maximum of $20,000. The third and each subsequent monthly

10

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number C0?.247 - 4
Exhibit A

assessment of liquidated damages per Contract Year per CONTRACTOR Facility will not be subject
to a maximum amount. It is agreed that this amount is to be paid as liquidated damages, and not as
a penalty, in view of the difficulty of affixing the amount of actual damages. The CONTRACTOR
shall not be liable for liquidated damages for a failure that results from an occurrence beyond its
control. Assessment of liquidated damages shall not preclude CDCR from terminating this Contract
for breach as provided herein. Withholding of payment as liquidated damages shall not relieve the
CONTRACTOR of any of its obligations under the Contract.
Section 4.03 ACA Accreditation.

CONTRACTOR shall obtain, and maintain ACA accreditation of each of the facilities occupied by
CDCR under this agreement. It is understood that a facility shall have been fully operational for 18
months before ACA accreditation becomes available, and CONTRACTOR shall seek accreditation
of any such newly constructed or re-opened facility within the earliest practical time. This
requirement may be waived in circumstances where the actions of, or needs of CDCR prevent such
accreditation.
Section 4.04 Contract Monitors.

4.04.1 In administering this Agreement, the CDCR shall designate a person, here referred to as the
CDCR Contract Monitor, to monitor the CONTRACTOR's performance under this
Agreement.
4.04.2 The CONTRACTOR shall designate a person who shall act as the Facility's contact person
for the purposes of the administration of this Agreement.
4.04.3 Any change in the Contract Monitor or the CONTRACTOR's designated contact person shall
be effective upon ten (1 O) days prior written notice to the other party of such change.
4.04.4 Unless otherwise provided, the CONTRACTOR shall permit the CDCR, court appointed
Receiver or Special Master, and any other duty authorized agent or governmental agency, to
monitor all activities conducted by the CONTRACTOR pursuant to the terms of the
Agreement. Specifically included in this provision is the right of the federally appointed
receiver in the case of Plata v. Brown to monitor healthcare services within the institution. As
CDCR or the Receiver may in their sole discretion deem necessary or appropriate, such
monitoring may consist of internal procedures evaluation, examination of program data,
special analysis, on-site checking, formal audit examinations or any other reasonable
procedures. All such monitoring shall be performed in a manner that shall not unduly
interfere with Agreement work. Also specifically included in this provision is the right of the
Special Master in the pending case of Coleman v. Brown to monitor the provision of
constitutionally adequate mental health care for all plaintiff class inmates. Former class
members may be transferred pursuant to this Agreement and some transferred inmates niay
become mernbers of the plaintiff class during their stay in tile CONTRACTOR's Facility(ies):
The contracting parties acknowledge that the Special Master or his designee(s) may make
inquiries involving policies and procedures for care of plaintiff class members and shall have
the right, if a dispute about the adequacy of provided mental health services arises, to visit
and assess the mental health services provided by the CONTRACTOR to plaintiff class
members. Also specifically included in this provision is the right of the CDCR Dental Program
to monitor the provision of dental services within the institution, including the preparation and
submission to CDCR of periodic reports as determined by the Dental Liaison to COCF.
CONTRACTOR shall cooperate with such visits, which shall not interfere unduly with
Agreement work.
4.04.5 The Receiver appointed in the Federal case of Plata v. Brown, may, in his discretion, appoint
a Healthcare Monitor to either be housed at the Facility, or to make periodic inspection visits

11

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number C0?.247 - 4
Exhibit A

to the Facility consistent with the provisions of this section. The same information as is
provided by CDCR to CONTRACTOR for its Contract Monitor shall also be provided to
CONTRACTOR for the Healthcare Monitor.
Section 4.05 Medical/Mental Health/Dental.
The CONTRACTOR shall provide essential health services, including medical, dental and mental
health services, while meeting the applicable standards and levels of quality established by the ACA,
NCCHC, and CCR Title 15. In addition, the CONTRACTOR shall provide services consistent with all
applicable Federal, state, and local laws and regulations governing the delivery of offender health
services and any applicable Court orders, including, but not limited to orders issued in the case of
Plata v. Brown and Coleman v. Brown, and establish the necessary quality controls to ensure all
policies and procedures are designed and implemented in a manner to promote orderly and efficient
delivery and management of health care services to CDCR Offenders. Compliance with applicable
court orders as set forth above shall not be deemed to be submission to the jurisdiction of the ·
ordering court, and is a contractual obligation only.
CDCR Offenders shall be provided health services consistent with the services provided by
the CDCR under applicable CDCR Offender health services policies and procedures.
Services - All offender medical services shall be provided at the Facility when possible. For cases
requiring emergency care or care that is. medically necessary but outside the capability of the
providers at the Facility, e.g. specialty physician or hospital-based services, existing arrangements
with local health care providers shall be utilized to obtain the required services. At the inception of
this contract, a listing of all existing contractual arrangements with local healthcare providers,
including but not limited to acute care hospitals and clinics shall be made available to CDCR by
CONTRACTOR. Any change to this list shall be communicated to CDCR. This list shall be provided
on an annual basis or as changes occur.

CONTRACTOR will have a contracted hospital provider in its off-site network for inmates requiring
inpatient psychiatric admission, to include crisis counseling. All inmates suspected of being sexually
assaulted shall be sent to the local emergency room for treatment, and a rape kit will be sent to the
hospital with the transferring officers, consistent with CDCR Prison Rape Elimination Act (PREA)
protocols.
The CONTRACTOR shall have policies and procedures for providing routine and urgent medical,
dental, and mental health services. The policies and procedures shall include, but not be limited to
the following:
• 24 hour care, seven days a week emergency medical, dental, and mental health care;
• Initial health screening;
• Health appraisal examination;
• Daily triaging of complaints;
. • Sick call procedures with a health practitioner, including offering this service atleast 5 days - - - - - .. - - - - .
per week;
• Outpatient medical, dental, and mental health service, including diagnostics and physical
therapy;
• Inpatient medical services;
• Special medical programs and services for, but not limited to, offenders with chronic needs
or requiring convalescent care;
• Mental health and substance abuse services;
• Adequate staffing of trained professional health services staff and support staff;
• Pharmaceutical services and supplies;
• No cost to CDCR Offender for medication refills and renewals;
• Optometric services;
• Health education;

12

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number C07.247 - 4
Exhibit A

• Medical diets;
• Infection control; and
• Quality control/peer reviews.
Initial/Preliminary Screening - All screening will be conducted by trained and licensed healthcare
personnel on all offenders upon the offender's arrival at the Facility. Screening will include, but not
limited to:
• An inquiry into the Offender's health care history, including status of current modalities and
medications;
• An observation of the Offender's behavior, physical limitations and capabilities and current
physical condition;
• An immediate referral to appropriate health care professionals, for emergency care,
prescription management or modality authorization.
At the initial screening, all Offenders will receive orientation about the Health Services Unit, including
the procedures for accessing care.
Full Health Appraisal (Intake) - During the initial occupancy phase of this contract all offenders will
receive a full health appraisal within 14 days of arrival at the Facility. This health appraisal will
include, but not limited to:
• Review of the earlier screening;
• Review of the CDCR health care record, including documented history and problem list,
medications ordered, conditions requiring ongoing treatment and modalities authorized;
• Collection of a more detailed health services history;
• Medical examination, including review of mental health and dental health status if not
previously examined at CDCR in the previous six months;
• Laboratory or diagnostic tests to detect communicable disease if not documented in the
previous 12 months;
• Other tests and diagnostics, as indicated by exam;
• Initiation of treatment, as indicated;
• Development and implementation of a treatment plan, including recommendations
concerning physical limitations and restrictions that effect programming, housing and job
assignment;
• Referral to mental health or dental specialist as indicated; anc;l
• Offender education, particularly of the treatment plan initiated by CDCR is modified or
changed. Any change to an existing treatment plan shall be approved by CDCR.

In the event CONTRACTOR's staff are unable to provide the requisite screenings in the time allowed
due to the volume of screenings to be conducted, CONTRACTOR may seek approval to extend the
time for such screenings, consistent with the approval of CDCR and the Receiver, and if such
extension of time is disallowed, may utilize outside contracted services to accomplish said
screenings. CDCR shall be given advance notification of the identity and qualifications of said
· - · - -- · · ·· - ·· - · · individuals, and review the proposed rate of compensation to be paid h such persons. CDCR shall· - ···· ·· ·
not unreasonably withhold its consent to such proposed screeners, and shall reimburse
CONTRACTOR for their additional costs incurred in cor_nplying with this provision in such event.
Dental Screening, Examination and Treatment - The CONTRACTOR shall have written policies
and procedures to assure dental screenings, exams, radiographs, and treatment are rendered
consistent with the CDCR and ACA standards. Comprehensive dental examinations shall be
completed within thirty (30) days of arrival from California. The CDCR records sent to the facility will
be reviewed for dental history and to identify current dental care that should be continued. Inmate
transfers between CONTRACTOR facilities shall include a review of dental records to ensure
continuity of care at the arriving facility.

13

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number C07.247 - 4
Exhibit A

Mental Health Screening, Examination and Treatment - The CONTRACTOR shall have written
policies and procedures to assure mental health screenings, evaluations, and treatment is rendered
consistent with the CDCR and ACA standards. The CDCR records sent to the facility will be
reviewed for mental health history and to identify current mental health care needs. Any patient
having demonstrated mental health needs shall be identified to CDCR, and CDCR shall have the
right to request a return of that offender to CDCR custody.
Infectious Diseases - The CONTRACTOR shall have written policies and procedures to support
the management and prevent the spread of infectious diseases. A copy of said policies shall have
been provided to CDCR prior to the execution of this agreement.
CONTRACTOR Formulary - The CONTRACTOR shall adhere to the CONTRACTOR formulary.
When the only medically appropriate and medically necessary pharmaceutical for an offender is not
on the CONTRACTOR formulary, the CONTRACTOR Medical Director and/or the Health Services
Administrator will follow the CONTRACTOR's procedures for obtaining a waiver.
Initial Provisioning Of Medications - At the time of initial transfer, and at the time of any return of
an offender to or from the facility, the CDCR or CONTRACTOR, depending on who is releasing
custody at the time of transfer, shall provide at the time the offender is transferred between the
custody of CDCR and CONTRACTOR, a seven (7) day supply of any medications prescribed for
that offender.
Utilization Review/Prior Authorization - CONTRACTOR shall follow the CDCR Utilization Review
procedures and unless the required care is necessitated by an emergency, shall seek advance
approval for any non-routine care outside the facility.
Health Care Records - The CONTRACTOR shall have written policies and procedures to ensure
appropriate and confidential management of offenders' health care records and health care
information. These policies and procedures shall support standardization of preparation, format,
documentation, release and maintenance of the health care record. The health care record created
at the institution is the property of the CDCR and shall be forwarded to CDCR when the offender is
transferred from the facility. Release of information, including copying charges, shall be conducted in
accordance with CDCR policy and only upon approval of CDCR.
Credentialing, Privileging and Peer Review - Licensed Independent Practitioners (LIPs), which
includes physicians, nurse practitioners and physician assistants, hired by the CONTRACTOR must
be approved by CPHCS' Credentialing Review Committee prior to commencement of services.
Additionally, . CPHCS may conduct clinical performance appraisals of all CONTRACTOR LIP's
providing services to CDCR offenders and reviews all peer reviews of contracted LIPs.
Mid-Level Protocols - The CONTRACTOR must have established protocols and provisions for
supervision of mid-level providers. Mid-level providers include nurse practitioners and physician
assistants.
Staffing - The Health Care Unit shall be adequately staffed with trained health care professionals
and support staff to provide the level and the quality of care defined by the ACA, NCCHC, CCR Title
15, and any court orders. The responsibilities of these staff shall be clearly defined in their job
description and shall be consistent with any applicable scope of practice for which they are licensed
to function, as appropriate. Appropriate supervisory staff shall monitor performance of these
responsibilities. Ultimate responsibility of staff performance lies with the Facility Medical Director
and/or the Health Services Administrator.
Staff Training - The Health Services Administrator/Manager of the health services unit shall
maintain current copies of licenses, accreditation, and certifications of the professional health care

14

I

_______ ...
1

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number C0?.247 - 4
Exhibit A

staff as appropriate. All health care services staff shall participate in facility orientation and training in
accordance with Facility, ACA and NCCHC standards.
The Health Care Administrator/Manager shall maintain records of staff participation in facility
orientation and annual training and mandatory Continuing and Professional Education requirements.
4.05.1 Costs - The cost of providing on-site medical, mental health or dental services through
Facility staff or contracted services shall be considered normal costs incidental to the
operation of the Facility and is included in the CDCR Offender per diem rates, except that the
CDCR shall pay for:
a)

All expenses in exces~ of $2,500 annually per inmate for medically necessary, off
site hospital or emergency care. This includes, but is not limited to medical, surgical,
mental health, and dental care delivered in an Emergency Room, practitioner's office,
or inpatient or outpatient hospital setting. Provided however, CONTRACTOR shall be
responsible for the costs of any off-site medical care if such care should have been
provided on-site through the CONTRACTOR's provision of routine medical, dental
and mental health services.

b)

CONTRACTOR accepts the risk for the first $2,500 annually per Offender for
medically necessary, off site hospital or emergency care. The $2,500 annual per
Offender limit shifts ongoing costs for typical, routine off-site services from CDCR to
the CONTRACTOR (thereby simplifying the reimbursement for such claims and
allowing CDCR relief with respect to these routine costs) while limiting the
CONTRACTOR's liability for off-site hospital and emergency care. The parties do not
anticipate that every CDCR Offender will incur $2,500 in off-site hospital or
emergency care,. therefore, the per diem does not include $2,500 per inmate per year
for this care and there is no pool of funds established based upon $2,500 per inmate
per year from which CONTRACTOR retains unspent funds. CONTRACTOR is able
to competitively price coverage of off-site medical care by relying on historical inmate
medical data and making an assessment of a reasonable annual budget for offsite
expenses knowing that in no event will the· liability exceed $2,500 per Offender
annually. Accordingly, the CONTRACTOR's off-site limit is a risk balancing
mechanism only.

c)

All HIV or AIDS related inpatient and outpatient medical costs and the costs of
providing AZT or other medications therapeutically indicated and medically
necessary (as defined in the UHR) for the treatment of offenders with HIV or AIDS.
CONTRACTOR shall notify the CDCR of any offender diagnosed with HIV or AIDS
within three (3) working days.

d)

Any costs associated with DNA testing of offenders. Incidental costs associated with
routine blood testing done as part of the disciplinary process or periodic testing
required by the CONTRACTOR (or state where the Facility is located) are included
as part of the per diem rate.

4.05.2 A co-pay in the amount of $5.00 may be charged to CDCR Offenders for certain medical,
dental and/or vision services requested I initiated by the offender in accordance with Title 15,
Section 3354.2. The co-pay fee will be retained by. the CONTRACTOR.
4.05.3 The CDCR shall not be responsible for the payment of elective or experimental medical
procedures or for medical care required as a result of negligence or intentional misconduct
on the part of the CONTRACTOR, its employees, or subcontractors or for care which could · ·
have been prevented.

15

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number C07.247 - 4
Exhibit A

4.05.4 Medical billings from outside vendors which are the responsibility of CDCR shall be
submitted to CDCR or designee within thirty (30) days of receipt.
4.05.5 Upon return of a CDCR Offender to the CDCR, the CONTRACTOR shall provide the copy of
the health records of all health care delivered while under CONTRACTOR's jurisdiction,
including, but not limited to all Facility health records, dental records, community hospital
records, radiology reports and films, consultant reports and laboratory results. In addition,
the CONTRACTOR will provide a health summary prepared by one or more practitioners,
appropriate to the complexity of the case.
4.05.6 The parties hereto expressly acknowledge and agree that:
a)

The inmates to be transferred pursuant to this Agreement to the facilities owned
and/or operated by CONTRACTOR (the "Transferee Facilities") are members of
class of plaintiffs in an action pending in the United States D_istrict Court for the
Northern District of California Entitled, Marciano Plata et al. v. Brown et al. No.C011351 TEH(the Plata Action);

b)

The California Department of Corrections and Rehabilitation (the "CDCR") is ·a
named defendant in the Plata Action;
·

c)

The plaintiffs in the Plata Action have alleged that the health care delivered to
inmates in the California prison system is constitutionally inadequate and viol'ates
their rights guaranteed by the Eighth and Fourteenth Amendments to the U.S.
Constitution;

d)

By order, dated February 14, 2006 (the "February 14 Order"), the Court in the Plata
Action (the "Plata Court") appointed Robert Sillen as the Receiver ( "Receiver") for
the California prison health care system and set forth in detail the duties and
responsibilities of the Receiver;

e)

Pursuant to the February 14 Order, the CDCR and "all persons in concert of
participation" with the CDCR are required to cooperate fully with the Receiver in the
discharge of his duties;

f)

The inmate-class members transferred pursuant to this agreement are entitled to
receive constitutionally adequate health care while .housed in the Transferee
Facilities and shall not, by reason of the transfers, lose their status as members of
the plaintiff class in the Plata Action; and,

g)

The transfers of inmates contemplated by this Agreement are not designed or
intended to thwart, delay or interfere with the Plata Court's orders or with the
Receiver's exercise of his duties pursuant lo the Fe-bruary 14 Ord-er. · -· - · - - --- -- -- -- - - --- - -

- --

CONTRACTOR expressly acknowledges and agrees that it:
a)

Intends to and will provide constitutionally adequate health care to the inmate-class
members while they are housed in the Transferee Facilities;

b) ·

Is a "person in concert and participation with" the CDCR within the meaning of, and
subject to, paragraph VI.A. of the February 14 Order, and has been provided with a
copy of the February 14 Order; and

c)

Will cooperate fully with the Receiver and will provide the Receiver access to the
Transferee Facilities and to documents, personnel and inmate-class members in the

16

Corrections Corporation of America
California Department of Corrections and Rehabilitation
Scope of Work

Agreement Number C0?.247 - 4
Exhibit A

Transferee Facilities to the same extent as the Receiver is provided access to CDCR
facilities, personnel and prisoners pursuant to paragraph 11.E. of the February 14
Order provided, however, the Receiver's access to documents and personnel
pursuant to this Section shall relate only to such documents and personnel as are
directly related to the delivery of medical