Department Operations Manual

71010.11.2 Release of Files to Other Agencies Inmate records shall not be released to any agency, except the office of the Attorney General, or person outside the Department without a court order. In response to a court order, the inmate record(s) shall be transported by and remain under the control of a delegated departmental employee as designated by the Warden or RPA. C-Files may be transferred with the approval of the local administrator between offices of the Department to facilitate response to a court order or to an office of the Attorney General for their review. In these instances, the file(s) shall be returned to the sending office at the earliest possible time. Any requests not covered above shall be referred by the local CCRM to the Chief, Correctional Case Records Services, for approval. 71010.12

71010.12 Location of Records − Inmates/Residents All files of inmate/residents are maintained at the facility of confinement except: • Felons sentenced pursuant to the W&I 1731.5(c) and housed in a CYA facility are maintained in the LPU. • The files of felons serving a California term and housed in another state or federal prison are maintained in the Sacramento Control Office Unit, Region I (also known as SACCO). 71010.12.1

71010.12.1 Location of Records − Parolees/Releasees/Community Correctional Facilities All files of parolees and Community Correctional Facilities (CCF) inmates are maintained in the regional parole office. All files of releasees are maintained at the California Rehabilitation Center. 71010.13

71010.13 Case Record Audits The Department's policy regarding accuracy and content of the legal portion of the C-File prompts thorough audits at various times during a person's incarceration and parole. CCRMs shall ensure that audits are completed: • Upon arrival after transfer to a facility, CCF, or parole unit. • Prior to transfer to another facility or CCF. (Time Collection, Hold/Want/Detainer records only.) • 60 days prior to a scheduled release date. • 10 days prior to a scheduled release date. • At other times as determined by the CCRM. 71010.13.1

71010.13.1 Audit Special Interest Cases In addition to the audits listed above, the records of high notoriety or other special cases shall be audited every 30 days during the last nine months of incarceration. 71010.13.2

71010.13.2 Criteria Audits shall include, but are not limited to, the following: • Receipt of all appropriate legal documents from the court. • Abstract of Judgment or Minute Order as the commitment document. • Transcript of Proceedings at Time of Sentencing. • PORs and Notices. • Proper recording of goodtime/worktime credit documentation including computer entries of time cards/chronos, credit gains, losses, restorations, and dead time. (Computer entry of time cards/chronos is sufficient documentation.) • Audit of time cards shall only be from the date of last worktime credit gain. • Postings on CDC Form 112, Chronological Inmate History, to ensure that they are correct and accurately reflect the status of the inmate/parolee. 71010.13.3

71010.13.3 Audit Check Sheet The Audit Check Sheet shall be used by case records staff whenever an audit is being performed. It is a checklist of various factors that must be reviewed while completing case records audits. The checklist indicates that the auditor has reviewed, calculated, and posted the records and the records properly reflect the correct status of the inmate/parolee at the time of the audit. • The checklists shall be filed on top of the legal section of the C-File and retained until the parole region has completed its intake audit or the subject has been discharged from the facility. • In some instances, more than one staff person may be involved in the total audit; e.g., pulling, posting, and refiling the CDC Form 144, Control Card, after a credit loss. If a clerical employee does this function, they shall initial the checklist at the applicable lines. • Use of the checklist will enhance the credibility of prior audits by other case records offices and thereby eliminate the redundancy of auditing the complete records when completing the various audits. • When a file has been previously audited by case records staff and a checklist completed and initialed as required, only new case-factor material needs to be reviewed at subsequent audits. • At the time of the 60-day prerelease and final audits, all case factors shall be reviewed. • The CCRM shall ensure that the C-Files are cross-audited by a CRS, other than the person having primary responsibility for the case. • The CDC Form 112 shall be posted following each audit as follows: (date) file audited, (initials of auditor). 71010.14

71010.14 Revisions The Deputy Director, Institutions Division, or designee shall be responsible for ensuring that the contents of this article are kept current and accurate. 71010.15

71010.15 References PC §§ 969(b), 2081.5, 2900(2)(3), 5055. W&I § 1731.5(c). In re Stoliker (49 Cal. 2d 75, 78). In re Riddle (3 Crim 4056, 66). DOM § 13030. CCR (15) (2) (3) (5). A RTICLE 2 — C ASE R ECORDS S ERVICE U NIT Revised August 21, 1992 71020.1

71020.1 Policy Uniform CRUs are established which have statewide operational responsibility. 71020.2

71020.2 Purpose This section sets forth the procedures of the CRUs which have statewide functions and application. 71020.3

71020.3 Case Records Service Units The Identification/Warrants (ID) Unit, Archives Unit, Sacramento Control Office (SACCO), and the LPU are departmental records units. These units provide centralized services to departmental staff, other law enforcement agencies, and interested persons on the status of persons committed to the Department. 71020.4. Identification/Warrants Unit Hours of Operation The unit operates 24 hours a day, seven days a week. 71020.4.1

71020.4.1 Identification/Warrants Unit Supervision Indirectly supervised by a correctional case records administrator. Directly supervised by an Office Services Supervisor II. 71020.4.2

71020.4.2 Functions of Identification/Warrants Unit The functions of the ID/Warrants Unit include: • Locator. • Identification number/research. • Warrant dispatch. 71020.4.3

71020.4.3 Duties of Identification/Warrants Unit Staff Staff assigned to the unit: • Locate the region of a parolee's supervision. • Identify inmate's assigned facility housing. • Provide commitment data to law enforcement and other authorized agencies with a need to know. • Provide information on persons discharged from the Department since 1957. • Place holds pursuant to PC 3056 and/or W&I 3151 for the P&CSD. • Conduct file searches and issue new identification numbers for newly received felons and civil addicts committed to the Department. • Respond to telephone inquiries that require nonconfidential information concerning felons/civil addicts. • Aid facilities and parole regions in identifying and locating inmates/parolees when the identification number is unknown. • Maintain the Department's warrants register. • Maintain the FAX services for the Department and the BPT . • Act as headquarters' duty officer. Receive facility duty officer reports by telefax service. • Dispatch BPT and NAEA warrants issued on parolees-at-large, releasees-at-large, and facility escapes. Warrants shall be abstracted by FAX upon request. • Microfilm and maintain the file of confidential material on discharge cases. 71020.4.4

71020.4.4 Resources Available to Determine Status of Individuals The below-listed resources are available to unit staff to identify, locate, and determine the status of individuals: • OBIS. • DDPS. • Microfiche commitments 1976 to current. • Microfilm commitments prior to 1976. • Warrants register. • CLETS. 71020.4.5

71020.4.5 Procedures for Issuing Departmental Numbers All departmental identification numbers shall be issued by the ID Unit. • All identification numbers shall be issued in numerical order. • Receiving facilities shall telephone the unit for assignment of a CDC identification number. • To facilitate processing the volume of persons received at reception centers, the ID/Warrants Unit shall issue blocks of numbers. • In exceptional cases, inmates may be received at a facility other than a reception center. In those instances in which an inmate is received after normal working hours, the facility shall hold the person without a CDC number until the morning of the first workday. On the first workday, a CDC number shall be obtained. 71020.4.6

71020.4.6 Confirmation of Numbers Issued OBIS shall forward a printout of all facility admits at the close of "moves" each day. The printout shall include: • CDC number. • Full name. • Date of birth. • Old CDC numbers (if known). • CI&I number (if known). Upon receipt of this printout, ID Warrants Unit staff shall research all the available resources to determine whether or not the person has previously been committed to the Department. Due to the possible effect on the classification and housing of the new inmate, this research shall be given a high priority. ID Warrants Unit staff shall promptly advise facility case records staff of the results of the research for old CDC numbers. 71020.4.7

71020.4.7 Types of Departmental Numbers An "H" shall prefix all numbers issued to male felons. When all "H" numbers have been issued, a "J" shall prefix all numbers issued to male felons. A "W" shall prefix all numbers for female felons. An "N" shall prefix all numbers issued to civil addicts. • Numbers 1 to 19999 shall be reserved for female civil addicts. • Numbers 20000 to 99999 shall be reserved for male civil addicts. 71020.5

71020.5 Archives Unit Location The Archives Unit is a departmental function located at CMF. 71020.5.1