Department Operations Manual

71010.1 Policy PC 2081.5 requires that the Director shall keep complete case records of all prisoners under custody of the Department, which records shall be made available to the BPT at such times and in such form as the BPT may prescribe. Case records shall include all information received from the courts, probation officers, sheriffs, police departments, DAs, State DOJ, FBI, and any other interested agencies and persons. Case records shall also include a record of diagnostic findings, considerations, actions, and dispositions with respect to classification, treatment, employment, training, and discipline as related to the facility correctional program of each prisoner. 71010.2

71010.2 Purpose This Section defines the authority for and the implementation of the Department's Uniform Case Records System. 71010.3

71010.3 Administration of Case Records System The Chief, Correctional Case Records Services, plans, develops, and administers the Department's Uniform Case Records System. 71010.3.1

71010.3.1 Case Records Administrator Duties Correctional Case Records Administrators (CCRA) provide direct technical support to the CCRM within the administrator's assigned facilities and parole regions. 71010.3.2

71010.3.2 Case Records Staff Duties CCRMs, supervisors, and specialists perform a variety of activities in the receiving, maintaining, interpretation, and disposition of inmate, resident, parolee, and releasee records in a records unit of a facility, parole region, or headquarters. 71010.4

71010.4 Responsibility of Case Records Staff Interpret court commitment orders; initiate criminal identification process; analyze inmate legal status to determine crime and sentence with applicable enhancements, aggravations, limitations, and good behavior credits; compute parole and discharge dates; direct preparation of legal forms for transfer, extradition, parole, and discharge of persons under the jurisdiction of the Department. Analyze and act for the Department on subpoenas and collateral court orders, certify departmental records required by law, review individual case actions of various term-fixing and release-granting authorities to assure legal and policy compliance. Direct the preparation of paroling authority calendar schedules, minutes, and implementation of their decisions. Act as consultant to departmental staff, court officers, inmates, and other governmental agencies or authorized persons regarding: • Departmental responsibility under pertinent laws and administrative standards. • Interpretation and application of laws and standards related to inmate receipt, sentencing, paroling, and release. 71010.5

71010.5 Signing of Documents Pursuant to the provisions of PC 5055, persons in the below-listed positions are authorized to sign, on behalf of the Director, the documents as indicated: Certification of criminal records pursuant to PC 969(b). Letters authorizing transfer to another jurisdiction under court decision In re Stoliker (49 Cal. 2d 75,78) and In re Riddle (3 Crim 4056,66). • Chief, Correctional Case Records Services. • CCRAs. • CCRMs. • Correctional Case Records Supervisors (CCRS). • Correctional Case Records Specialists (CRS). Certification of criminal records pursuant to PC 969(b). Letters authorizing transfer to another jurisdiction under court decision In re Stoliker (49 Cal. 2d 75,78) and In re Riddle (3 Crim 4056, 66). • Wardens. • RPAs. Letters designating other states or federal facilities as the place of confinement for California prisoners in accordance with PC 2900(2)(3). • Chief, Correctional Case Records Services. • CCRA. • Region I Interstate Unit: • CCRM. • CCRS. • CRS. 71010.6

71010.6 Written Communications to CCRMs Written communication shall be directed to the Warden or RPA from the respective Deputy Director for action. Copies shall be distributed simultaneously to the affected CCRM in order to expedite dissemination of information. 71010.6.1

71010.6.1 Telephonic Communications Direct telephone communication shall be maintained between the Chief, Correctional Case Records Services, and the CCRM on technical matters related to case records functions. 71010.6.2

71010.6.2 Follow-Up Procedures Any telephonic instructions that deviate from established procedures shall be followed up by written communications. 71010.7

71010.7 Uniformity Variations in the methods of recording vital information regarding inmates/parolees shall not occur. Differences of opinions between facilities or parole regions concerning methods of recording shall be brought to the attention of the CCRA for resolution. Facility and PAs shall suggest methods for resolution of problems. The final decision on all such issues shall be made by the Chief, Correctional Case Records Services. CCRAs and CSRs shall check all files reviewed to ensure that the material in such files is in the order specified and that a reasonable effort is being made to bring about uniformity. Employees reviewing the records shall consult with the proper facility/PA concerning the contents of the case file, attempt to assist the local facility/parole region in solving any problems relating to these files with a view to their proper organization, and to report uncorrected variations to the Director by the Chief, Correctional Case Records Services. 71010.8

71010.8 File Definitions The following sections shall define and describe some of the different files used by case records: 71010.8.1

71010.8.1 C-File The master file maintained by the Department containing reports, evaluations, and correspondence regarding each person committed to its jurisdiction is commonly referred to as the C-File. 71010.8.2

71010.8.2 Auxiliary File Auxiliary files maintained by the indicated sections of the facility for the specific function of those sections: • Education File. • Health Record. • Medical File. • Psychiatric File. • Dental Record. • Visiting File. 71010.8.3

71010.8.3 Field File The file maintained by the assigned Parole Agent in the unit parole office. 71010.8.4

71010.8.4 Discharge Files Files maintained after a person has been discharged from supervision and jurisdiction of the Department. 71010.9

71010.9 Accuracy The CCRM of a CRU is responsible for the accuracy and content of the legal portion of the C-File as it relates to the sentence, parole, and release date calculations. Assigned counselors, Parole Agents, and supervisory staff responsible for generating evaluations and reports, including work time cards and chronos, are responsible for the validity and accuracy of information contained in such reports. If an error causes an inmate, resident, parolee, or releasee to be released from a facility or the jurisdiction of the Department prior to or later than the correct release date, a complete report with appropriate recommendation to eliminate such incidents shall be submitted through the local chain of command to the Warden. The Warden or RPA shall submit the report to the Chief, Correctional Case Records Services. 71010.10

71010.10 Priorities Establishment of priorities for case records is a departmental function. The Chief, Correctional Case Records Services, shall determine the needs of the departmental case records system and assign the appropriate priorities. When local available resources are inadequate to accomplish all assigned case records functions and any omission of certain duties may have an impact upon other facility or parole region functions or programs, the Chief, Correctional Case Records Services, shall determine the needs of the departmental case records system and assign appropriate priorities. Local variations shall occur only with the knowledge and approval of the local Warden, RPA, and the Chief, Correctional Case Records Services, and may be permitted only on a temporary basis. 71010.11

71010.11 File Security Only personnel as outlined in the DOM 13030.3.1 shall read, handle, transport, or have access to an inmate/resident/parolee's C-File or copies of its contents. Except in an emergency, all C-Files are to be housed in or returned to the case records office at the close of business each work day and as soon as possible after an emergency. Under no circumstance will files be taken off State property without the express permission of the Warden, RPA, their designee, and/or the Chief, Correctional Case Records Services. All C-Files removed from the case records office shall be kept in a secure environment under supervision of personnel authorized to handle such materials. Inmate/residents are not to have access to any file or file material other than copies of file material in their own file. Inmates shall not have access to any file or documents classified as confidential. 71010.11.1

71010.11.1 Inmate Access to Files Inmates, parolees, residents, or releasees shall not be assigned to handle or transport C-Files, except under direct supervision and escort. Files are to be contained in a secure container, and control procedures shall guarantee the safe transportation of files. Inmates/residents shall not be assigned in case records offices or in any area where there is ready access to case files or material except that when they are under constant and direct supervision. Appropriately classified and assigned inmates may be permitted in case records offices to perform such duties as building maintenance or janitorial services. 71010.11.2