CLETS_Policies,_Practices_and_Procedures.pdf

California Law Enforcement Telecommunications System

Policies, Practices and Procedures

(and Statutes)

California Department of Justice California Justice Information Services Division

Rev 09/25

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CLETS POLICIES, PRACTICES and PROCEDURES

Table of Contents

SUMMARY OF CHANGES

1.0 LEGISLATIVE INTENT AND LAW

1.01 California Government Code – Chapter 2.5

1.1 PURPOSE AND SYSTEM DESCRIPTION

1.1.1 Purpose of the CLETS

1.1.2 State-Provided Services

1.1.3 Request for General Information

1.2 THE CLETS ADVISORY COMMITTEE

1.2.1 Responsibilities of Committee

1.2.2 Subcommittees

1.2.3 Committee Member Consultation

1.2.4 CLETS Advisory Committee Meetings

1.3 QUALIFICATIONS FOR MEMBERSHIP IN THE CLETS

1.3.1 Eligibility for CLETS Service

1.3.2 Security Requirements

1.3.3 Applicant Request for Service

1.3.4 Subscriber Agreement

1.3.5 Agency CLETS Coordinator

1.3.6 Security Point of Contact

1.4 THE CLETS INTERFACES

1.4.1 Connections

1.4.2 Requirements for all Law Enforcement and Criminal Justice Agencies

1.4.3 Requirements for Both County Control Agency and Direct Interface System Host ...16

1.4.4 County Control Agency

1.4.5 Direct Interface System Host

1.4.6 Local Agency Direct Interface

1.4.7 Local Agency Petitioning to Terminate Access through a Direct Interface or a Direct

Interface System Host

1.4.8 Removal of County Control Agency/Direct Interface System Host

1.5 CONTRACTUAL AGREEMENTS

1.5.1 Management Control Agreement

1.5.2 Interagency Agreement for Placement of a CLETS Terminal

1.5.3 Release of Information from the CLETS

1.5.4 Reciprocity Agreement

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1.5.5 Interstate Access

1.6 SYSTEM RULES

1.6.1 Database Policies and Regulations

1.6.2 Terminal Mnemonics

1.6.3 Audits and Inspections

1.6.4 Confidentiality of Information from the CLETS

1.6.5 Administrative Messages

1.6.6 Local/Wide Area Networks – Definition and Requirements

1.6.7 Operator Identification Field (OIF) Requirements

1.6.8 Terminal Address Field (TAF) Requirements

1.7 SYSTEM DESIGN AND ENHANCEMENT STANDARDS

1.7.1 Message Switching Computer (MSC) Definition and Requirements

1.7.2 MSC Design

1.7.3 System Upgrade

1.7.4 MSC Test Lines

1.8 TRAINING

1.8.1 System Training

1.8.2 Database Training

1.8.3 Security Awareness Training

1.9 OPERATIONAL CONTROL, OVERSIGHT and COMPLIANCE

RESPONSIBILITY

1.9.1 Information Technology (IT) Security Incident Response Reporting

1.9.2 Background and Fingerprint-Based Criminal Offender Record Information Search 37

1.9.3 User Access

1.9.4 Non-Federal, Non-State, and Non-Local Governmental Employees

1.9.5 System Use Notification Recommendation

1.10 SYSTEM DISCIPLINE/APPEAL PROCESS

1.10.1 System Misuse

1.10.2 Discontinuance of CLETS Service

GLOSSARY

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Exhibits Exhibits listed below are forms available on the California Law Enforcement Web (CLEW) portal.

https://clew.doj.ca.gov/forms

Exhibit A HDC 0001 CLETS Subscriber Agreement Exhibit B HDC 0002 Change Request Exhibit C HDC 0003 ACC Responsibilities Exhibit D1 HDC 0004A Management Control Agreement Exhibit D2 HDC 0004B Private Contractor Management Control Agreement Exhibit E HDC 0005 Interagency Agreement Exhibit F HDC 0006 Release of Information from the CLETS Exhibit G HDC 0007 Reciprocity Agreement Exhibit H HDC 0008 MSC/Users Costs and Requirements Exhibit I HDC 0009 Employee/Volunteer Statement Form Exhibit J HDC 0010 CLETS Misuse Investigation Reporting Form Exhibit K HDC 0011 CA DOJ Security Point of Contact Delineation and Agreement Exhibit L HDC 0017 CLETS IT Security Incident Response Form https://clew.doj.ca.gov/forms https://clew.doj.ca.gov/system/files/forms/ex_a.pdf https://clew.doj.ca.gov/system/files/forms/change.pdf https://clew.doj.ca.gov/system/files/forms/atcres1.pdf https://clew.doj.ca.gov/system/files/forms/ex_c.pdf https://clew.doj.ca.gov/system/files/forms/private_contractor.pdf https://clew.doj.ca.gov/system/files/forms/ex_b.pdf https://clew.doj.ca.gov/system/files/forms/ex_f.pdf https://clew.doj.ca.gov/system/files/forms/recipro.pdf https://clew.doj.ca.gov/system/files/forms/ex_d_0.pdf https://clew.doj.ca.gov/system/files/forms/ex_e.pdf https://clew.doj.ca.gov/system/files/forms/hdc-0010-clets-mir-form_1.pdf https://clew.doj.ca.gov/system/files/forms/security.pdf https://clew.doj.ca.gov/forms/clets-it-securityincident-response-form

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SUMMARY OF CHANGES

This document reflects changes to the December 2019 version of the California Law Enforcement Telecommunication System (CLETS), Policies, Practices and Procedures (PPP). The California Department of Justice (DOJ)-approved changes are italicized below:

1.13 This section was modified to reflect change from CLETS Administration Section to CLETS

Administration Unit. Facsimile number removed from section.

1.4.3.B This section was modified to reflect change from CLETS Administration Section to CLETS

Administration Unit.

1.5.3 This section was modified to be consistent with the updates to FBI Criminal Justice

Information Services (CJIS) Security Policy, section 5 “Assessment, Authorization, and Monitoring (CA),” subsection CA-3.

1.6.3 This section was modified to provide additional clarification regarding Audits and

Inspections.

1.6.5 This section was modified to provide additional information about Administrative

Messages. Reference to the CLETS Operating Manual removed from section.

1.7.1 This section was modified to provide additional clarification regarding direct interface

MSCs, CLETS journals, and requests for information from CLETS journals.

1.7.3.B This section was modified to provide additional clarification on Multi-factor authentication requirements.

1.8.2.A.3 This section was modified to be consistent with the updates to FBI CJIS Security Policy, section 5 “Awareness and Training (AT),” subsection AT-2 regarding training requirements for individuals involved in a security event or CLETS misuse.

1.8.2.A.5 This section was modified to provide additional clarification on personnel requiring training.

1.8.2.A.6 This section was modified to be consistent with the updates to FBI CJIS Security Policy, section 5 “Awareness and Training (AT),” subsection AT-2 regarding training requirements for individuals involved in a security event or CLETS misuse.

1.8.2.A.7 This section was modified to provide additional clarification on personnel being provided access to information concerning CLETS/NCIC systems.

1.8.2.B This section was modified to provide additional clarification on personnel definition.

1.8.3 This section was modified to be consistent with the updates to FBI Criminal Justice

Information Services (CJIS) Security Policy, section 5 “Awareness and Training (AT),” subsection AT-2. Additional clarification on physical or logical access to CLETS or information from CLETS.

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1.9.1 This section was modified to reflect change from CLETS Administration Section to CLETS Administration Unit.

1.9.2.A.1 This section was modified to be consistent with the updates to FBI Criminal Justice

Information Services (CJIS) Security Policy, section 5 “Personnel Security (PS),” subsection PS-3.

1.9.5 This section was modified to be consistent with the updates to FBI Criminal Justice

Information Services (CJIS) Security Policy, section 5 “Access Control (AC),” subsection

AC-8.

CSP Area Ref. This section was removed to be consistent with FBI Criminal Justice Information Services

(CJIS) Security Policy.

Glossary This section was modified to reflect change from CLETS Administration Section to CLETS

Administration Unit.

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1.0 LEGISLATIVE INTENT AND LAW

1.01 California Government Code – Chapter 2.5

California Government Code (GC) sections 15150 through 15167 state that the California Department of Justice (DOJ) shall maintain a statewide telecommunications system for the use of law enforcement agencies. Chapter 2.5 is quoted as follows:

CHAPTER 2.5 CALIFORNIA LAW ENFORCEMENT

TELECOMMUNICATIONS SYSTEM

(CHAPTER 2.5 added by Stats. 1965, Ch. 1595)

15150. (a) It is the intent of the Legislature that the Department of Justice shall commence to operate under this chapter as soon as feasible, but until such time, the department shall continue to operate under Article 8 (commencing with § 13240) of Chapter 2, Part 3, Division 3, Title 2 of this code, and Chapter 2 (commencing with § 15100) of this part. Accordingly, the department shall not discontinue service to any connection point to which it is required to furnish services at state expense until it has made the determination, has given notice, and the notice period has elapsed, as provided in subdivision (b).

(b) At such time as the Attorney General concludes that he can furnish service to one location in any county in compliance with the requirements of § 15161, he shall so certify and shall send notice of such certification to each agency in the county connected with the state system. Thirty days after the sending of such notice, service to any connection point in the county other than the one location selected pursuant to § 15161 shall no longer be at state expense. (Added by Stats.

1965, Ch. 1595.)

15151. The maintenance of law and order is, and always has been, a primary function of government and is so recognized in both Federal and State Constitutions. The state has an unmistakable responsibility to give full support to all public agencies of law enforcement. This responsibility includes the provision of an efficient law enforcement communications network available to all such agencies. It is the intent of the Legislature that such a network be established and maintained in a condition adequate to the needs of law enforcement. It is the purpose of this chapter to establish a law enforcement telecommunications System for the State of California. (Added by Stats. 1965, Ch. 1595)

15152. The Department of Justice shall maintain a statewide telecommunications system of communication for the use of law enforcement agencies. (Added by Stats. 1965. Ch. 1595)

15153. The system shall be under the direction of the Attorney General, and shall be used exclusively for the official business of the state, and the official business of any city, county, city and county, or other public agency. (Added by Stats. 1965, Ch. 1595.)

15154. The Attorney General shall appoint an advisory committee of the California Law Enforcement Telecommunications System, hereinafter referred to as the committee, to advise and assist him in the management of the system with respect to operating policies, service evaluation, and system discipline. The committee shall serve at the pleasure of the Attorney General without compensation except for reimbursement of necessary travel expenses.

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Before requesting vendor proposals to implement the system, the committee shall prepare detailed technical system specifications defining all communications – handling parameters and making explicit in sufficient depth the goals of the system. (Added by Stats. 1965, Ch. 1595.)

15155. The committee shall consist of representation of the following organizations:

(1) Two representatives from the Peace Officers' Association of the State of California.

(2) One representative from the California State Sheriffs' Association.

(3) One representative from the League of California Cities.

(4) One representative from the County Supervisors Association of California.

(5) One representative from the Department of Justice.

(6) One representative from the Department of Motor Vehicles.

(7) One representative from the Office of Emergency Services.

(8) One representative from the California Highway Patrol.

(9) One representative from the California Police Chiefs Association.

(Added by Stats. 1965, Ch. 1595; amended by Stats. 2014, Ch. 54)

15156. The Department of Justice shall provide an executive secretary to the committee.(Added by Stats. 1965, Ch. 1595.)

15157. The committee shall elect a chairman for a term to be determined by the committee.

(Added by Stats. 1965, Ch. 1595.)

15158. The committee shall meet at least twice each year at a time and place to be determined by the Attorney General and the chairman. Special meetings may be called by the Attorney General or the chairman by giving at least 14 days’ notice to the members. (Added by Stats. 1965, Ch.

1595.)

15159. All meetings of the committee and all hearings held by the committee shall be open to the public. (Added by Stats. 1965, Ch. 1595.)

15160. (a) The Attorney General shall, upon the advice of the committee, adopt and publish for distribution to the system subscribers and other interested parties the operating policies, practices and procedures, and conditions of qualification for membership.

(b) (1) Commencing on January 1, 2020, consistent with the California Values Act (Chapter

17.25 (commencing with Section 7284) of Division 7 of Title 1), no subscribers to the system shall use information other than criminal history information transmitted through the system for immigration enforcement purposes, as defined in subdivision (f) of Section 7284.4. In addition, no subscribers to the system shall use the system for purposes of investigating violations of Section 1325 of Title 8 of the United States Code, if a violation of that section is the only criminal history in an individual’s record. This section does not prohibit or restrict any government entity or official from sending to, or receiving from, federal immigration authorities, information regarding the citizenship or immigration status, lawful or unlawful, of an individual, or from requesting from federal immigration authorities immigration status information, lawful or unlawful, of any individual, or maintaining or exchanging that information with any other federal, state, or local government entity, pursuant to Sections 1373 and 1644 of Title 8 of the United States Code.

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(2) Commencing on July 1, 2021, any inquiry for information other than criminal history information submitted through the system shall include a reason for the initiation of the inquiry.

(3) Commencing on July 1, 2021, the Attorney General, and personnel they so authorize, may conduct investigations, including inspections and audits, as the Attorney General deems appropriate to monitor compliance with this subdivision. The Attorney General or authorized personnel who are conducting an investigation pursuant to this subdivision shall be authorized to review and inspect case files and any records identified in the investigation process to substantiate a reason given for accessing information other than criminal history information in the system.

(c) For the purposes of this section, “system” means the statewide telecommunications system of communication established pursuant to this chapter.

(Amended by Stats. 2019, Ch. 789, Sec. 1. (AB 1747))

15161. The Department of Justice shall provide a basic telecommunications communications network consisting of no more than two relay or switching centers in the state and circuitry and terminal equipment in one location only in each county in the state. The system shall be consistent with the functional specifications contained in pages 75 to 79 of the Report of the Assembly Interim Committee on Ways and Means, Volume 21, Number 9, 1963-1965.

These functional specifications summarize the needs of the peace officers for present purposes, but do not constitute technical specifications addressed to prospective suppliers of equipment and procedures.

(Added by Stats. 1965, Ch. 1595.)

15162. The system may connect and exchange traffic with compatible systems of adjacent states and otherwise participate in interstate operations. (Added by Stats 1965, Ch. 1595.)

15163. The system shall provide service to any law enforcement agency qualified by the committee which, at its own expense, desires connection through the county terminal. (Added by Stats 1965, Ch. 1595.)

15164. The system shall be maintained at all times with equipment and facilities adequate to the needs of law enforcement. The committee shall recommend to the Attorney General any improvements of the system to meet the future requirements of the subscribers and to take advantage of advancements made in the science of telecommunications communications. The system shall be designed to accommodate present and future data processing equipment. (Added by Stats. 1965, Ch. 1595.)

15164.1. (a) The person designated as a county's "control agent" as defined by the policies, practices, and procedures adopted pursuant to § 15160, or the chief officer of any other agency that has been granted direct access to the California Law Enforcement Telecommunications System under the provisions of this chapter, shall have sole and exclusive authority to ensure that the county's or other agency's equipment connecting to the California Law Enforcement Telecommunications System complies with all security requirements that are conditions of access to the California Law Enforcement Telecommunications System under the provisions of this chapter, or the policies, practices, and procedures adopted pursuant to § 15160, and that the equipment complies with the county control agent's security policy. This authority shall include, 10 CLETS PPP, rev 9/25 but not be limited to, locating, managing, maintaining, and providing security for all of the county's or other agency's equipment that connects to, and exchanges data, video, or voice information with, the California Law Enforcement Telecommunications System under the provisions of this chapter, including, but not limited to, telecommunications transmission circuits, networking devices, computers, databases, and servers.

(b) A control agent or chief officer may not exercise the authority granted in subdivision (a) in a manner that conflicts with any other provision of this chapter, or with the policies, practices, and procedures adopted pursuant to § 15160. (Added by Stats. 2001, Ch. 34)

15165. Any subscriber to the system shall file with the Attorney General an agreement to conform to the operating policies, practices and procedures approved by the committee under penalty of suspension of service or other appropriate discipline by the committee. (Added by Stats. 1965, Ch. 1595.)

15166. The Director of General Services shall fix the charge to be paid by any state department, officer, board or commission to the Department of Justice. (Added by Stats. 1965, Ch. 1595.)

15167. In the case of a state agency, the charge shall be paid from the money available by law for the support of the state agency using the system. (Added by Stats. 1965, Ch. 1595.)

15168. (a) Notwithstanding Section 15153, the system may connect and exchange traffic with the compatible systems of a tribal government, as provided in this section.

(b) A law enforcement agency or court of a tribe may apply to the Attorney General for access to the system. The Attorney General shall provide system access to any law enforcement agency or court of a tribe that has made application and that meets all of the qualifications prescribed in subdivision (c), as determined by the Attorney General. System access provided to a tribe shall be at the sole expense of that tribe.

(c) The Attorney General shall deem a tribe that has applied for system access pursuant to subdivision (b) to be qualified only if the governing body of that tribe has enacted or adopted a law, resolution, or ordinance, which shall be maintained in continuous force, that provides for all of the following:

(1) The tribe expressly waives its right to assert its sovereign immunity from suit, regulatory or administrative action, and enforcement of any ensuing judgment or arbitral award, for any and all claims arising from any actions or omissions of the tribe, including its officers, agents, and employees, when acting within the scope of their authority and duty, arising out of, connected with, or related to, the system.

(2) The tribe expressly agrees that the substantive and procedural laws of the State of

California shall govern any claim, suit, or regulatory or administration action, that the obligations, rights, and remedies shall be determined in accordance with such laws, and that the courts of the State of California or of the federal government, as applicable, shall have exclusive jurisdiction.

(3) The tribe agrees to cooperate with any inspections, audits, and investigations by the

Department of Justice for improper use or compliance with the operating policies, practices, and procedures, including any sanction or discipline imposed by the

11 CLETS PPP, rev 9/25 department, up to and including removal of system access.

(4) The tribe and its agencies, entities, or arms, including any officers, agents, and employees of the tribe when acting within the scope of their authority and duty, shall comply with the laws of the State of California relating to the use of records and information from the system, including, without limitation, Section 6200 and this chapter, Sections 502, 11105, 11141, 11142, 11143, and 13300 to 13304, inclusive, of the Penal Code, and Section 1808.45 of the Vehicle Code.

(5) The tribe and its agencies, entities, or arms, including any officers, agents, and employees of the tribe when acting within the scope of their authority and duty, shall comply with the Department of Justice’s regulations, agreements, and operating policies, practices, and procedures, relating to the security requirements, access to the records and information from the system, and use of records and information from the system.

(d) The intent of the Legislature in enacting this section is to grant tribes access to, and use of, criminal justice databases, and the information in those databases, in a manner similar to the access granted under federal law codified in Section 534 of Title 28 of, and Section 41107 of Title 34 of, the United States Code.

(e) The Director of General Services shall determine the charges to be paid by a tribe to the department for system access, including any initial setup charges and any ongoing charges for access. These charges shall be reasonably similar to those imposed on other system subscribers.

(f) As used in this section, the following terms are defined as follows:

(1) “Tribe” means a federally recognized Indian Tribe whose territorial boundaries lie wholly or partially within the State of California, and any agencies, entities, or arms of the tribe, as applicable, either together or separately.

(2) “Sovereign immunity” means immunity from suit or action of the tribe and its agencies, entities, or arms, including the officers, agents, and employees of the tribe when acting within the scope of their authority and duty. (Added by Stats. 2023, Ch. 638, Sec. 2. (AB 44))

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1.1 PURPOSE AND SYSTEM DESCRIPTION

1.1.1 Purpose of the CLETS

Pursuant to GC section 15151, the California Law Enforcement Telecommunications System (CLETS) is an efficient law enforcement communications network available to all public agencies of law enforcement within the state. The CLETS will provide all law enforcement and criminal justice user agencies with the capability to obtain information directly from federal and state computerized information files. For interstate access, see PPP section 1.5.5.

1.1.2 State-Provided Services

Pursuant to GC sections 15161 through 15163, DOJ shall provide central switching equipment and sufficient circuitry from the switching center to one location in each county to handle law enforcement message traffic. Circuitry and terminal equipment to extend beyond, or other than, the CLETS termination point in each county will be provided by client agencies at their own expense.

1.1.3 Request for General Information

Requests for information concerning the general administration of the CLETS or notification of changes and additions to system equipment and facilities that affect the CLETS should be directed to the:

CLETS Administration Unit Department of Justice P.O. Box 903387 Sacramento, CA 94203-3870 Telephone: (916) 210-4240 E-mail address: CAS@doj.ca.gov

Other helpful information, publications and forms can be found on the California Law Enforcement Web (CLEW) at https://clew.doj.ca.gov.

mailto:CAS@doj.ca.gov https://clew.doj.ca.gov/

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1.2 THE CLETS ADVISORY COMMITTEE

1.2.1 Responsibilities of Committee

The responsibilities of the CLETS Advisory Committee (CAC) are defined in GC sections 15154 through 15164.

1.2.2 Subcommittees

The chair of the CAC may appoint subcommittees and/or workgroups to consider the CLETS user qualifications, operating rules, policies and practices, and other matters as appropriate.

These subcommittees may be either standing or ad hoc.

A Standing Strategic Planning Subcommittee (SSPS) shall be established to evaluate the legislative, user and technical environment of the CLETS to make timely recommendations to the CAC and perform or update planning functions or documents as directed by the CAC. The following work groups may be established under the direction of the SSPS: Administration, Technical and Legislation.

1.2.3 Committee Member Consultation

Under emergency conditions, the chair, through the CLETS Executive Secretary, may, without benefit of a formal committee meeting, consult individual committee members to expedite clarification of policy or procedure questions.

1.2.4 CAC Meetings

Pursuant to GC section 15158, the CAC shall meet at least twice each year. Alternates are not allowed for any member who is unable to attend a meeting.

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1.3 QUALIFICATIONS FOR MEMBERSHIP IN THE CLETS

1.3.1 Eligibility for CLETS Service

GC section 15163 states, “The system shall provide service to any law enforcement agency qualified by the committee which, at its own expense, desires connection through the county terminal.” A public agency or sub-unit thereof that performs law enforcement or criminal justice functions pursuant to a statute, ordinance or regulation and to which it appropriates more than 50% of its annual budget may apply for the CLETS service. Participating agencies in the CLETS are referred to as a law enforcement agency, a criminal justice agency or a sub-unit of a public agency. A sub-unit is defined as a unit of a non-law enforcement public agency that performs the duties of a law enforcement agency, whose employees are peace officers, and the majority of whose annual budget (more than 50%) is allocated to the administration of criminal justice.

Participating agencies in the CLETS are referred to as Class I-Law Enforcement, Class II- Criminal Justice or Class III-other types of law enforcement agencies as defined below.

A. A Class I-law enforcement subscriber is defined as a public or tribal agency having statutory powers of arrest and whose primary function is that of apprehension and detection. Class I users include, but are not limited to, sheriffs, city police departments, tribal police departments, California Highway Patrol, Department of Justice, and the Federal Bureau of Investigation.

B. A Class II-Criminal Justice agency is a public agency, tribe, or any sub-unit thereof, performing a criminal justice function other than apprehension. Class II subscribers include agencies devoted to the administration of criminal justice with personnel whose primary purpose is detention, pretrial release, post-trial release, prosecution, adjudication, correctional supervision, rehabilitation of accused persons or criminal offenders, criminal identification activities, and the collection, storage and dissemination of criminal history record information. Agencies include, but are not limited to, district attorneys, courts, tribal courts, probation departments, and other miscellaneous local, state and federal agencies or sub-units thereof performing such functions.

C. A Class III subscriber is the sub-unit of a non-law enforcement public agency which performs the duties of a law enforcement agency, and whose employees are peace officers.

Examples of Class III agencies include the Department of Insurance - Fraud Division, the Employment Development Department - Investigations Bureau, university, college and school district police departments, and any fire department - arson investigation unit.

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1.3.2 Security Requirements

All agencies applying for access to the CLETS must adhere to the requirements established in the PPP and the Federal Bureau of Investigation (FBI) Criminal Justice Information Services (CJIS) Security Policy (CSP). If access is granted, it is each agency’s responsibility to ensure, annually, that the requirements of the PPP and FBI CSP are reviewed to ensure the agency is still in compliance. System misuse must be reported to DOJ by February 1st of each year, for the prior calendar year, even if no misuse occurred.

The policies can be found on the CLEW at https://clew.doj.ca.gov.

1.3.3 Applicant Request for Service

Agencies desiring access to the CLETS must submit an application through the County Control Agency/Direct Interface System Host, if applicable (refer to section 1.4 for description of County Control Agency/Direct Interface System Host).

A. All applications for new service and any upgrade application that results in a policy change or utilizes technology that has not previously been approved by the CAC will be brought before the CAC. These applications are considered non-routine.

B. Routine applications are defined as upgrade applications that utilize technology previously approved by the CAC. These applications will be approved by DOJ. Any routine application with outstanding issues may be referred to the CAC on a case-by-case basis.

In the event a routine or non-routine application is denied, DOJ shall provide the applicant agency with a written notice specifying all causes for denial. The applicant agency may file, within 30 days from the date of the notice of denial, a written request with DOJ for reconsideration by the CAC. Such a request must include all arguments the applicant agency feels are relevant to a reconsideration of the application. DOJ shall present the written request for reconsideration to the CAC at the next regularly scheduled CAC meeting. The CAC shall make the final decision. DOJ shall provide the applicant agency with a written notice of the final decision.

1.3.4 Subscriber Agreement

All agencies participating in the CLETS must file a Subscriber Agreement signed by the agency head and submitted to DOJ as required by GC section 15165. A new Subscriber Agreement (reference Exhibit A) shall be updated when the head of the agency changes or immediately upon request from DOJ.

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1.3.5 Agency CLETS Coordinator

Each CLETS subscribing agency must designate an Agency CLETS Coordinator (ACC) who serves as the coordinator with DOJ on matters pertaining to the use of the CLETS, the FBI National Crime Information Center (NCIC), the International Justice and Public Safety Network (Nlets) and DOJ criminal justice databases and administrative network that the CLETS accesses.

The ACC will be responsible for ensuring compliance with DOJ/FBI policies and regulations including validation requirements, as well as facilitating the exchange of the CLETS administrative information between DOJ and the ACC’s agency.

The ACC’s responsibilities shall be designated by DOJ on an ACC Responsibilities Form (reference Exhibit C). If an agency requests to have someone other than a permanent, full-time employee as its ACC, DOJ must be notified in writing and will review the request. Any change in the ACC’s designation must immediately be provided to DOJ on the Change Request Form (reference Exhibit B).

1.3.6 Security Point of Contact

Pursuant to the FBI CSP section 3.2.2.2e, each CLETS subscribing agency must designate a Local Agency Security Officer, hereinafter referred to as the Security Point of Contact (SPOC), who serves as the security coordinator with DOJ on security matters pertaining to the use of the CLETS, the NCIC, the Nlets and DOJ criminal justice databases and administrative network that the CLETS accesses. Any information communicated between DOJ and the SPOC will be shared with the agency’s ACC.

The SPOC’s responsibilities shall be designated by DOJ on a SPOC Responsibilities Form (reference Exhibit K). If an agency requests someone other than a permanent, full-time employee as its SPOC, DOJ must be notified in writing and will review the request. Any change in the SPOC’s designation must immediately be provided to DOJ on the Change Request form (reference Exhibit B).

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1.4 THE CLETS INTERFACES

1.4.1 Connections

A CLETS connection may be obtained via three types of interfaces:

A. County Control Agency – Government Code (GC) section 15161 requires DOJ to provide a basic telecommunications network consisting of no more than two switching centers in the state and circuits/equipment to provide service to one location only in each county in the state. This single direct interface in each county is referred to as the County Control Agency.

B. Direct Interface System Host – An agency other than the County Control Agency, opting to host the CLETS service for other subscribing agencies, is referred to as the Direct Interface System Host.

C. Local Agency Direct Interface – An agency opting to interface directly to DOJ for the

CLETS, and not host other agencies, is referred to as a Local Agency Direct Interface.

D. The link between the above interfaces and DOJ is the responsibility of DOJ to manage, maintain and encrypt. Agencies that are utilizing the interfaces above are responsible for the integrity and security of the network segment that hosts the CLETS message switching computer (MSC). Pursuant to GC section 15164.1, the County Control Agent or chief officer of any other agency who has been granted direct access to the CLETS shall have sole and exclusive authority to ensure the equipment of the county or other agency connecting to the CLETS complies with all security requirements as required by the PPP.

1.4.2 Requirements for all Law Enforcement and Criminal Justice Agencies

All agencies accessing the CLETS, whether direct or indirect, are required to comply and adhere to the requirements established in PPP section 1.3.2. It is each agency’s responsibility to ensure the requirements are reviewed annually to guarantee compliance.

1.4.3 Requirements for Both County Control Agency and Direct Interface System Host

A. Role and Responsibilities

The County Control Agency/Direct Interface System Host serves as the CLETS host agency and establishes the requirements for access through its MSC. It is the responsibility of the County Control Agency/Direct Interface System Host to review all new and upgraded applications to ensure compliance with PPP section 1.3.2 for agencies accessing the CLETS behind their respective MSC.

It is the responsibility of the host agency to inform its subscribing agencies of the following:

1. The type of circuitry and equipment necessary for access and how it can be obtained.

2. The type of services provided by the host MSC, in addition to the CLETS access, such as countywide databases or dispatching.

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3. All fees that will be charged for the CLETS service, equipment rental, line costs and any additional services.

The County Control Agency/Direct Interface System Host is required to train its subscribing agencies on how to utilize the CLETS to access databases via the hosting MSC and how to use preformatted screens, if provided by the host system.

B. Mnemonics

The County Control Agency/Direct Interface System Host will request additional terminal mnemonics or changes to database authorizations for all subscribing agencies behind its system.

1. The subscribing agency must submit a completed “Terminal Access Request Form” to the County Control Agency/Direct Interface System Host.

2. The MSC administrator for the County Control Agency/Direct Interface System Host will review the request to ensure it can be accommodated by the MSC, sign the request and forward it to DOJ.

a. If the County Control Agency/Direct Interface System Host cannot accommodate the request, the subscribing agency has the following options:

1. Wait until the County Control Agency/Direct Interface System Host can accommodate the request; or

2. Seek access via other means as identified in PPP section 1.4.1.

b. In the event the County Control Agency/Direct Interface System Host continues to be unable to fulfill its responsibilities in providing access, it shall be the responsibility of DOJ, in consultation with the CLETS Advisory Committee (CAC), to seek immediate remedy in accordance with PPP section 1.4.7.

Upon completion of the CLETS terminal authorization changes, the CLETS Administration Unit (CAS) will advise the MSC administrator, who will program the MSC for the additional terminals or authorization changes and notify the subscribing agency.

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1.4.4 County Control Agency

A. Role and Responsibilities

Pursuant to GC section 15163, the CLETS service shall be provided to any law enforcement or criminal justice agency qualified by DOJ which, at its own expense, desires connection through the county MSC. To administer this policy most effectively, a County Control Agency will be designated in each county to coordinate the connection of law enforcement and criminal justice agencies to the CLETS. The Sheriff’s Office will serve as the County Control Agency unless DOJ, in consultation with the CAC, indicates another law enforcement agency in the county is better qualified. The single point of entry into each county will be funded by DOJ. Any additional points of entry to the County Control Agency will be at the agency’s expense.

The County Control Agency is responsible for providing the CLETS service via its MSC to all qualified CLETS subscribing agencies within their respective county. The cost of the service to subscribing agencies should not reflect more than the actual costs attributed to the MSC’s functionality, including any and all hardware, software, interface modules and administrative costs incurred by the County Control Agency.

Any agency desiring to access the CLETS through a County Control Agency must forward the completed application to the County Control Agency which, in turn, will review the application and accompanying system diagram to determine:

1. Eligibility for CLETS service as identified in PPP section 1.3.1.

2. Compliance with PPP section 1.3.2.

3. A need for the CLETS service exists to support the normal activities of the applicant and if facilities such as hardware ports and the physical computer room space are available at the CLETS point of entry into the county or adequate technology is available to serve the applicant. If the room capacity is inadequate or essential facilities are unavailable at the time of application, the County Control Agency will have one budget cycle, approximately 18 months, to accommodate the new subscriber.

Positive findings in these determinations will provide grounds for approval of the application. Negative findings in any of these determinations may be grounds for withholding approval. In either event, the County Control Agency will attach a letter of intent and forward the completed package, along with comments, to DOJ.

B. Upgrade Requirements

When a County Control Agency prepares for an upgrade, the upgrade design must include plans to accommodate all CLETS subscribing agencies with approved access behind their MSC, projected new terminals and any known future CLETS subscribing agencies. It is the responsibility of the County Control Agency to keep the CAS and all affected CLETS subscribing agencies informed in writing of any changes to their MSC by submission of a CLETS upgrade application and MSC/Users Costs and Requirements form (reference Exhibit H).

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1.4.5 Direct Interface System Host

A. Roles and Responsibilities

A local agency with a direct interface to the CLETS may provide a CLETS interface to requesting agencies. Agencies wishing to act in the capacity of a Direct Interface System Host do so at their own expense and through an application to DOJ.

The Direct Interface System Host is responsible for providing the CLETS service to CLETS subscribing agencies hosted behind their system. The cost for services provided by the host agency to a subscribing agency will be by agreement between the involved agencies. The determination of whether to host an agency will be at the sole discretion of the Direct Interface System Host.

Any agency desiring to access the CLETS through a Direct Interface System Host must:

1. Provide written notification, no less than 60 days, to the current County Control

Agency advising of the plans to change to a Direct Interface System Host, including projected dates, if applicable.

2. Forward a completed application to the Direct Interface System Host agency which, in turn, will review the application and accompanying system diagram for the same criteria as defined for the County Control Agency in PPP section 1.4.4.A.

After review of the application, the Direct Interface System Host will attach a letter of intent and forward the completed package to DOJ. The completed application package should also include a copy of the letter of notification made to the existing host MSC, if applicable.

When a Direct Interface System Host agency prepares for an upgrade, the upgraded design must include plans to accommodate all of the CLETS subscribing agencies with approved access behind the host MSC, projected new terminals and any known future CLETS subscribing agencies. It is the responsibility of the Direct Interface System Host agency to keep the CAS and all affected CLETS subscribing agencies informed in writing of any changes to the host MSC by submission of a CLETS upgrade application and MSC/Users Costs and Requirements form.

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C. Termination of Service Requirements

If the Direct Interface System Host wishes to terminate existing service to the subscribing agency, the Direct Interface System Host is responsible for providing CLETS access (under existing terms and conditions of their contract) until another service is available for the subscribing agency, not to exceed six (6) months.

If a subscribing agency wishes to terminate existing service with a Direct Interface System Host, the Direct Interface System Host shall be given sufficient notice and application shall be made for other CLETS access to DOJ.

1.4.6 Local Agency Direct Interface

A. Roles and Responsibilities

Any agency wishing to access the CLETS through a direct interface to DOJ may do so at its own expense and through application to DOJ.

Any agency desiring to access the CLETS through a local agency direct interface must:

1. Provide written notification, no less than 60 days, to the current County Control

Agency or Direct Interface System Host, advising of the plans to change to a direct interface and include projected dates, if applicable.

2. Forward a completed application for a direct interface to DOJ. The completed application should include:

a. A written justification for the direct interface.

b. A written agreement to pay for all circuitry and equipment used to obtain services other than the normal state-provided interface. This is to include any and all hardware, interface modules and administrative costs incurred by DOJ to provide a direct interface capability.

c. A copy of the letter of notification made to the current host MSC, if applicable.

d. A letter of agreement from the applicant’s current CLETS access host, if applicable. The letter of agreement will state the applicant’s access to the CLETS will continue through the current host MSC until applicant obtains and initiates direct access.

Once an agency has been approved for a direct interface, it is the agency’s responsibility to keep the CAS informed in writing of any changes to the local CLETS interface. Upgrades to a local agency’s existing direct interface computer system to the CLETS must be approved through an application to DOJ.

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1.4.7 Local Agency Petitioning to Terminate Access through a Direct Interface or a Direct Interface System Host

A. Local Agency Responsibilities

A local agency with a direct interface to the CLETS or an interface through a Direct Interface System Host wishing to terminate such access and return to the resident County Control Agency CLETS connection must send a written request to the County Control Agency.

B. County Control Agency Responsibilities

The County Control Agency must provide a written recommendation to DOJ within 60 days following the local agency’s request. The recommendation shall include one of the following:

1. Recommendation for approval for immediate access; or

2. Recommendation for approval for access after a specified time frame.

If the county does not provide a written recommendation within 60 days of the request, recommendation to provide access to the CLETS through the County Control Agency will be considered applicable.

C. Direct Access Appeal

If a local agency petitioning to terminate a direct interface to the CLETS or an interface through a Direct Interface System Host is unable to gain access to the CLETS through the County Control Agency, the matter will be referred to DOJ for review.

1.4.8 Removal of County Control Agency/Direct Interface System Host

In the event it becomes evident to DOJ that an existing County Control Agency/Direct Interface System Host cannot fulfill its responsibilities for any reason, or if a County Control Agency fails to provide CLETS service to qualified applicants or users, it shall be the responsibility of DOJ in consultation with the CAC to seek a remedy through coordination with the County Board of Supervisors or the City Council.

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1.5 CONTRACTUAL AGREEMENTS

Any terminal, computer system or other equipment that has access to information from the CLETS, directly or indirectly, must be under the management control of a criminal justice/law enforcement agency authorized by the CLETS Advisory Committee.

Copies of the CLETS-related contractual documents must be retained by the Agency CLETS Coordinator of the CLETS subscribing agency for the duration of the life of the document.

Agencies entering into a contractual agreement with a CLETS subscribing agency may be subject to audits and site inspections pursuant to PPP section 1.6.3.

1.5.1 Management Control Agreement

A. Public Agency or Tribe

A Management Control Agreement is required when a public law enforcement, criminal justice agency, or tribal law enforcement agency/court (referred to as the CLETS subscribing agency) allows authorized access to CLETS equipment or information from the CLETS to a public or tribal agency that is neither a law enforcement agency nor a criminal justice (CJ) agency (referred to as the non-CJ agency).

A signed Management Control Agreement must be received and approved by DOJ prior to the CLETS subscribing agency permitting the non-CJ agency access to CLETS equipment or to information from the CLETS. If a terminal will be placed at a location other than the subscribing agency, an Interagency Agreement (reference Exhibit E) will also be required.

A non-CJ agency may access CLETS equipment or information from the CLETS on behalf of the CLETS subscribing agency to accomplish specified services (such as dispatching, parking citations or data processing/information technology services), if such delegation is authorized pursuant to statute, ordinance, regulation or an agreement between agencies.

The performance of such delegated services by an otherwise non-CJ agency does not convert that agency into a public criminal justice agency, nor does it automatically authorize access to state summary criminal history information or to DOJ/FBI criminal justice databases.

The CLETS subscribing agency will maintain responsibility for security control as it relates to access to the CLETS. Security control is defined as the ability of the CLETS subscribing agency to set, maintain and enforce:

1. Standards for the selection, supervision and termination of personnel. This does not grant hiring/firing authority to the CLETS subscribing agency, only the authority to grant CLETS access to personnel who meet these standards and deny it to those who do not; and

2. Policies governing the operation of computers, access devices, circuits, hubs, boundary protection devices and other components that make up and support a telecommunications network and related DOJ/FBI criminal justice databases used to process, store or transmit criminal justice information, guaranteeing the priority, integrity and availability of service needed by the criminal justice community.

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Security controls include, but are not limited to, the supervision of applicable equipment, systems design, programming and operating procedures associated with the development, implementation and operation of any message switching computer or database systems utilized by the served public law enforcement or criminal justice agency or agencies.

Computer sites must have adequate physical security to protect against any unauthorized viewing or access to computer terminals, access devices or stored/printed data.

Additionally, it is the responsibility of the CLETS subscribing agency to ensure all non-CJ agency personnel accessing CLETS equipment or information from the CLETS meet the minimum background, training and certification requirements that are also imposed on the CLETS subscribing agency’s staff. The minimum requirements are applicable also to staff having access to record storage areas containing information from the CLETS. The minimum requirements of the background security clearance include, but are not limited to:

1. State and FBI fingerprint-based criminal offender record information search. See PPP section 1.9.2 for complete requirements.

2. Each individual must sign a CLETS Employee/Volunteer Statement form prior to operating or having access to CLETS computers, equipment or information. See PPP section 1.9.3.A for complete requirements.

3. All persons having access to the DOJ CLETS-provided…