Public Safety Assessment - Code, policies, procurement, financial, and other records (Santa Cruz County Probation Department)

Beryl Lipton filed this request with the Santa Cruz County Probation Department of Santa Cruz County, CA.
Multi Request Public Safety Assessment - Code, policies, procurement, financial, and other records
Status
Completed

Communications

From: Beryl Lipton


To Whom It May Concern:

Pursuant to the California Public Records Act, I hereby request the following records:

Records and materials related to the solicitation, acquisition, evaluation, and use of the Public Safety Assessment (PSA), created by the Laura and John Arnold Foundation (now known as Arnold Ventures) or any equivalent risk assessment system used by your agency or associated criminal justice offices.

This software or services may be provided by the Arnold Foundation, though this request is applicable to this, as well as any other company providing predictive risk assessment tools related to the criminal justice system of this jurisdiction or under consideration or contract with this agency for similar services.

Materials responsive materials include but are not limited to:

1. ALGORITHM or CODE
Any algorithm or code developed for implementation of or as part of this "software" or program or any related system that conducts calculations or decision making. This includes any algorithm or software developed by or with, given to, used by, purchased or licensed to this agency for implementation of the above referenced program, as well as any algorithm or source code in use by this program or by which this system conducts calculations or decision making. This would include original source code, any compiled binaries (also known as executables), specification documents, spreadsheets, program scripts, and other digital materials used to calculate any data in the above program.

2. INPUT DATA
Any input training data for the "software" or related machine learning algorithms or programs.

For the aspects of the software that require an input (for example, to compute a value), please provide:
• a copy of the five most recent sets of data that were used for input, as well as
• the five most recent outputs of the software

in whatever their native format is.

If these inputs or outputs include exempt information, please provide all material save for specific information that is specifically exempted by law. Please also provide a description of input and output data fields that will aid in understanding the type of information that is submitted to the software and that is produced by the software.

3. AUDITS, REPORTS, and VALIDATION STUDIES
A copy of all reports concerning or mentioning the "software," including audit records, annual reports that mention the use of the "software," reports to legislative bodies, misuse reports, reports to oversight bodies.

This also includes all impact and validation studies. Please provide a copy of any validation studies conducted with respect to the program or with respect to any software or algorithms used in connection with the program. Please also provide a copy of any records pertaining to inquiries for the need of validation studies or discussion of potential or actual validation studies. A “validation study” in this context is any study designed to assess how accurate the program is in predicting what it is supposed to predict, used to assess whether the program may err in the direction of either under- or overestimating likelihoods or predicted outcomes, or intended to evaluate whether the software does or will produce any results that are biased or unexpected in any way.

4. AGREEMENTS and CONTRACTS
Any and all agreements related to the acquisition and use of this "software," algorithm, or program.

This includes (but is not limited to):
• all contracts (as well as associated amendments, attachments, and exhibits),
• data sharing agreements
• insurance agreement
• intergovernmental services agreements
• licensing agreement
• memorandums of understanding, and
• nondisclosure agreements

regarding or relevant to this software or program.

Please provide a copy of any informal agreements, insurance agreements, liability waivers, and warranties that reference this technology or otherwise guide its use or the relationship between this agency, the provider or developer of the "software," or any other partner or entity that may use or access it.

5. BIDDING and PROCUREMENT
A copy of any available or relevant Requests for Expressions of Interest, Requests For Proposal (or equivalent calls for bids), responses to Requests for Expressions of Interest, letters of interest, responses to Requests for Proposal, sole source or limited source justification and approval documentation, documentation of selection, and other materials generated in the consideration and selection of the technology in question.

6. FINANCIAL and FUNDING MATERIALS
Any records related to the financing or funding of this "software," including a copy of any related funding opportunity announcements, grant applications, grantor status/progress reports, purchase orders, invoices, and other memoranda and documentation related to the payment or cost (or lack thereof) of the "software," related technology, personnel, equipment, or other elements concerning this "software" or program.

7. INSTRUCTIONAL MATERIALS and TRAINING
All instructional materials, presentations, and presentation materials (including recorded video and audio, PowerPoint files, prepared remarks, and slides formats), and other guidance on the use of "the software."

This includes any notes taken during meetings that discussed the use of the software, any explanations (whether generated internally or externally) of how the software works, and any other document that has been used to help explain the use of "the software" to any party, including internal documentation, public relations materials, and executive summaries.

This also includes training material governing the use, sharing, or access to the "software" or any data related to or collected by the face recognition software/technology, including the legal standard that is required before using the technology.

This also includes any description of input and output data fields that will aid in understanding the type of information that is submitted to the software, and that is produced by the software.

8. PRIVACY ASSESSMENTS
A copy of any data retention guidelines or policies, data security policies, data security specifications, privacy impact assessments, security audits, or other materials evaluating or guiding the security of the "software" or the privacy of the data involved

9. USE POLICIES
Please provide a copy of any policy directives, guidance documents, memoranda, training materials, or similar records governing the use and function of this technology for immigration, law enforcement, or any purpose, including all those related to data retention, permissible and impermissible use, and security standards. This would include materials that describe the application, function, and use of the "software," including advertisements, emails, handouts, usage policies, PowerPoint presentations, specification documents, or standard operating procedures.

10. COMMUNICATION and MARKETING MATERIALS
All communications or marketing materials relevant to or mentioning this "software" or program.

This includes any correspondence between any staff at this agency with any other organization or vendor relevant to the use of the aforementioned technology or program, including records related to meetings or follow-up actions with any vendors, companies, or other private entities marketing this technology for immigration, intelligence, law enforcement, or any use. This also includes correspondence in the form of emails, email attachments, paper letters, text message, and any other form of correspondence, as well as all marketing materials - unsolicited, requested, or otherwise - acquired from vendors of this technology.

____

If your office has questions about this request, please feel free to direct them to the address associated with this request or call the MuckRock office at 617-299-1832.

The requested documents will be made available to the general public, and this request is not being made for commercial purposes.

In the event that there are fees, I would be grateful if you would inform me of the total charges in advance of fulfilling my request. I would prefer the request filled electronically, by e-mail attachment if available or CD-ROM if not.

Thank you in advance for your anticipated cooperation in this matter. I look forward to receiving your response to this request within 10 calendar days, as the statute requires.

Sincerely,

Beryl Lipton

From: Santa Cruz County Probation Department

Hello Beryl Lipton,

On November 25, 2019, the County of Santa Cruz’s Probation Department (“County”) received your email included below requesting public records under the California Public Records Act (the “Requests”). We are responding within the 10-day deadline set by Cal. Govt. Code section 6253(c). We note that the Requests are limited only to records maintained in the normal course of business by the County and records that are in the County’s custody and control.

Please note that we will not produce records that are privileged or otherwise exempt from disclosure pursuant to California Government Code section 6254(k). This includes documents protected by the attorney-client privilege, attorney work product, and official information privileges.

No preliminary drafts or memorandum not normally kept in the ordinary course of business will be produced pursuant to California Government Code section 6254(a). Records concerning real estate appraisals for pending acquisitions are also exempt from disclosure under California Government Code section 6254(h).

We will not produce documents that are subject to copyright protections, contain trade secrets, and/or proprietary and/or confidential information. See California Government Code sections 6253.9, 6254(k), 6254.9; California Evidence Code section 1060.

Moreover, we will not produce documents exempt from disclosure under the deliberative process privilege. See Times Mirror Co. v. Superior Court (1991) 53 Cal.3d 1325. No documents will be produced where “the public interest served by not disclosing the record clearly outweighs the public interest by the disclosure of the record” under California Government Code section 6255.

Additionally, no documents will be produced if they contain personnel, medical, private, confidential, or similar files, the disclosure of which would constitute an unwarranted invasion of personal privacy under California Government Code section 6254(c) and/or the Health Insurance Portability and Accountability Act of 1996. And, to the extent any of the records you are requesting are the subject of ongoing litigation and/or pending investigations, and/or are law enforcement investigatory records, such records are exempt from production. See Government Code sections 6254 (b), (f).

In addition, no documents or records will be produced to the extent such a production would violate California Penal Code §§ 832.7, 832.8, 11076, California Civil Code § 129, California Welfare and Intuitions Code §§ 827, 828, 831, California Business and Professions Code § 805, or California Evidence Code § 1043.

Furthermore, as we review your Requests, we may discover other applicable privileges and/or exemptions under Government Code sections 6254, 6255, 6256 or other applicable state or federal laws, and we reserve all rights to assert those at any time.

At this time, the County believes it may have some non-exempt records responsive to your Request. We will review, confirm and gather available records. You should expect our response in 3-4 weeks. Please contact me if you have any questions. As always, the County reserves all rights.

Regards,
Valerie
Valerie M. Thompson
Assistant Chief Probation Officer
Santa Cruz County Probation Department
(831) 454-3835
“We all should know that diversity makes for a rich tapestry, and we must understand that all the threads of the tapestry are equal in value no matter what their color.” ~ Maya Angelou

From: Beryl Lipton

Hello Valerie,

Thank you so much for your message. I'll look forward to hearing from you again.

All the best,
Beryl

From: Santa Cruz County Probation Department

Hello Beryl Lipton,

Please find below (and in the attachments), the response to your Public Records Act Request dated November 24, 2019 from the County of Santa Cruz.
Sincerely,
Valerie
Valerie M. Thompson
Assistant Chief Probation Officer
Santa Cruz County Probation Department
(831) 454-3835
“We all should know that diversity makes for a rich tapestry, and we must understand that all the threads of the tapestry are equal in value no matter what their color.” ~ Maya Angelou

On Dec. 3, 2019:
Subject: RE: California Public Records Act Request: Public Safety Assessment - Code, policies, procurement, financial, and other records (Santa Cruz County Probation Department)
Hello Valerie,

Thank you so much for your message. I'll look forward to hearing from you again.

All the best,
Beryl
---

On Dec. 2, 2019:
Subject: FW: California Public Records Act Request: Public Safety Assessment - Code, policies, procurement, financial, and other records (Santa Cruz County Probation Department)
Hello Beryl Lipton,

On November 25, 2019, the County of Santa Cruz’s Probation Department (“County”) received your email included below requesting public records under the California Public Records Act (the “Requests”). We are responding within the 10-day deadline set by Cal. Govt. Code section 6253(c). We note that the Requests are limited only to records maintained in the normal course of business by the County and records that are in the County’s custody and control.

Please note that we will not produce records that are privileged or otherwise exempt from disclosure pursuant to California Government Code section 6254(k). This includes documents protected by the attorney-client privilege, attorney work product, and official information privileges.

No preliminary drafts or memorandum not normally kept in the ordinary course of business will be produced pursuant to California Government Code section 6254(a). Records concerning real estate appraisals for pending acquisitions are also exempt from disclosure under California Government Code section 6254(h).

We will not produce documents that are subject to copyright protections, contain trade secrets, and/or proprietary and/or confidential information. See California Government Code sections 6253.9, 6254(k), 6254.9; California Evidence Code section 1060.

Moreover, we will not produce documents exempt from disclosure under the deliberative process privilege. See Times Mirror Co. v. Superior Court (1991) 53 Cal.3d 1325. No documents will be produced where “the public interest served by not disclosing the record clearly outweighs the public interest by the disclosure of the record” under California Government Code section 6255.

Additionally, no documents will be produced if they contain personnel, medical, private, confidential, or similar files, the disclosure of which would constitute an unwarranted invasion of personal privacy under California Government Code section 6254(c) and/or the Health Insurance Portability and Accountability Act of 1996. And, to the extent any of the records you are requesting are the subject of ongoing litigation and/or pending investigations, and/or are law enforcement investigatory records, such records are exempt from production. See Government Code sections 6254 (b), (f).

In addition, no documents or records will be produced to the extent such a production would violate California Penal Code §§ 832.7, 832.8, 11076, California Civil Code § 129, California Welfare and Intuitions Code §§ 827, 828, 831, California Business and Professions Code § 805, or California Evidence Code § 1043.

Furthermore, as we review your Requests, we may discover other applicable privileges and/or exemptions under Government Code sections 6254, 6255, 6256 or other applicable state or federal laws, and we reserve all rights to assert those at any time.

At this time, the County believes it may have some non-exempt records responsive to your Request. We will review, confirm and gather available records. You should expect our response in 3-4 weeks. Please contact me if you have any questions. As always, the County reserves all rights.

Regards,
Valerie
Valerie M. Thompson
Assistant Chief Probation Officer
Santa Cruz County Probation Department
(831) 454-3835
“We all should know that diversity makes for a rich tapestry, and we must understand that all the threads of the tapestry are equal in value no matter what their color.” ~ Maya Angelou

---

On Nov. 24, 2019:
Subject: California Public Records Act Request: Public Safety Assessment - Code, policies, procurement, financial, and other records (Santa Cruz County Probation Department)

To Whom It May Concern:

Pursuant to the California Public Records Act, I hereby request the following records:

Records and materials related to the solicitation, acquisition, evaluation, and use of the Public Safety Assessment (PSA), created by the Laura and John Arnold Foundation (now known as Arnold Ventures) or any equivalent risk assessment system used by your agency or associated criminal justice offices.

This software or services may be provided by the Arnold Foundation, though this request is applicable to this, as well as any other company providing predictive risk assessment tools related to the criminal justice system of this jurisdiction or under consideration or contract with this agency for similar services.

Materials responsive materials include but are not limited to:

1. ALGORITHM or CODE
Any algorithm or code developed for implementation of or as part of this "software" or program or any related system that conducts calculations or decision making. This includes any algorithm or software developed by or with, given to, used by, purchased or licensed to this agency for implementation of the above referenced program, as well as any algorithm or source code in use by this program or by which this system conducts calculations or decision making. This would include original source code, any compiled binaries (also known as executables), specification documents, spreadsheets, program scripts, and other digital materials used to calculate any data in the above program.
We do not possess this information https://www.psapretrial.org/

1. INPUT DATA
Any input training data for the "software" or related machine learning algorithms or programs.
We do not possess this information https://www.psapretrial.org/

For the aspects of the software that require an input (for example, to compute a value), please provide:
• a copy of the five most recent sets of data that were used for input, as well as
• the five most recent outputs of the software

in whatever their native format is.

If these inputs or outputs include exempt information, please provide all material save for specific information that is specifically exempted by law. Please also provide a description of input and output data fields that will aid in understanding the type of information that is submitted to the software and that is produced by the software.
https://www.psapretrial.org/

3. AUDITS, REPORTS, and VALIDATION STUDIES
A copy of all reports concerning or mentioning the "software," including audit records, annual reports that mention the use of the "software," reports to legislative bodies, misuse reports, reports to oversight bodies.

This also includes all impact and validation studies. Please provide a copy of any validation studies conducted with respect to the program or with respect to any software or algorithms used in connection with the program. Please also provide a copy of any records pertaining to inquiries for the need of validation studies or discussion of potential or actual validation studies. A “validation study” in this context is any study designed to assess how accurate the program is in predicting what it is supposed to predict, used to assess whether the program may err in the direction of either under- or overestimating likelihoods or predicted outcomes, or intended to evaluate whether the software does or will produce any results that are biased or unexpected in any way.

We do not have a validation of the tool
Please refer to the attached Adult Probation Annual Report 2018 (beginning on page 6) and https://www.psapretrial.org/

4. AGREEMENTS and CONTRACTS
Any and all agreements related to the acquisition and use of this "software," algorithm, or program.

This includes (but is not limited to):
• all contracts (as well as associated amendments, attachments, and exhibits),
• data sharing agreements
• insurance agreement
• intergovernmental services agreements
• licensing agreement
• memorandums of understanding, and
• nondisclosure agreements

regarding or relevant to this software or program.

Please provide a copy of any informal agreements, insurance agreements, liability waivers, and warranties that reference this technology or otherwise guide its use or the relationship between this agency, the provider or developer of the "software," or any other partner or entity that may use or access it.

See attached MOU

5. BIDDING and PROCUREMENT
A copy of any available or relevant Requests for Expressions of Interest, Requests For Proposal (or equivalent calls for bids), responses to Requests for Expressions of Interest, letters of interest, responses to Requests for Proposal, sole source or limited source justification and approval documentation, documentation of selection, and other materials generated in the consideration and selection of the technology in question.

N/A This is a free tool

6. FINANCIAL and FUNDING MATERIALS
Any records related to the financing or funding of this "software," including a copy of any related funding opportunity announcements, grant applications, grantor status/progress reports, purchase orders, invoices, and other memoranda and documentation related to the payment or cost (or lack thereof) of the "software," related technology, personnel, equipment, or other elements concerning this "software" or program.

N/A This is a free tool

7. INSTRUCTIONAL MATERIALS and TRAINING
All instructional materials, presentations, and presentation materials (including recorded video and audio, PowerPoint files, prepared remarks, and slides formats), and other guidance on the use of "the software."

This includes any notes taken during meetings that discussed the use of the software, any explanations (whether generated internally or externally) of how the software works, and any other document that has been used to help explain the use of "the software" to any party, including internal documentation, public relations materials, and executive summaries.

This also includes training material governing the use, sharing, or access to the "software" or any data related to or collected by the face recognition software/technology, including the legal standard that is required before using the technology.

This also includes any description of input and output data fields that will aid in understanding the type of information that is submitted to the software, and that is produced by the software.

See Attached

8. PRIVACY ASSESSMENTS
A copy of any data retention guidelines or policies, data security policies, data security specifications, privacy impact assessments, security audits, or other materials evaluating or guiding the security of the "software" or the privacy of the data involved

See Attached MOU

9. USE POLICIES
Please provide a copy of any policy directives, guidance documents, memoranda, training materials, or similar records governing the use and function of this technology for immigration, law enforcement, or any purpose, including all those related to data retention, permissible and impermissible use, and security standards. This would include materials that describe the application, function, and use of the "software," including advertisements, emails, handouts, usage policies, PowerPoint presentations, specification documents, or standard operating procedures.

Please see attached Pretrial Manual 2016

10. COMMUNICATION and MARKETING MATERIALS
All communications or marketing materials relevant to or mentioning this "software" or program.

This includes any correspondence between any staff at this agency with any other organization or vendor relevant to the use of the aforementioned technology or program, including records related to meetings or follow-up actions with any vendors, companies, or other private entities marketing this technology for immigration, intelligence, law enforcement, or any use. This also includes correspondence in the form of emails, email attachments, paper letters, text message, and any other form of correspondence, as well as all marketing materials - unsolicited, requested, or otherwise - acquired from vendors of this technology.

We do not conduct marketing activities

____

If your office has questions about this request, please feel free to direct them to the address associated with this request or call the MuckRock office at 617-299-1832.

The requested documents will be made available to the general public, and this request is not being made for commercial purposes.

In the event that there are fees, I would be grateful if you would inform me of the total charges in advance of fulfilling my request. I would prefer the request filled electronically, by e-mail attachment if available or CD-ROM if not.

Thank you in advance for your anticipated cooperation in this matter. I look forward to receiving your response to this request within 10 calendar days, as the statute requires.

Sincerely,

Beryl Lipton

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