Department Operations Manual

71020.5.1 Archives Unit Supervision Directly supervised by a Correctional Case Records Supervisor. Indirectly supervised by the CCRM at CMF. Functionally supervised by a Correctional Case Records Administrator. 71020.5.2

71020.5.2 Functions of Archives Unit Discharge file section: • Receive and account for case records of discharged inmates delivered to the unit. • Audit incoming files for completeness and documentation of administrative and release board actions on the CDC Form112, Chronological Inmate History. Document request and certification section: • Process requests for documents authorized pursuant to the IPA. See CC 1798 for further details. • Process requests for proof of prior convictions for inmates/residents discharged from the Department. See PC 969(b). 71020.5.3

71020.5.3 Requests for Information From Archives Unit Requests for information, documents, or certifications shall indicate: • Name. • CDC number. • Date of discharge as records are filed in date order. 71020.5.4

71020.5.4 Microfiching of Records Going to Archives Unit The complete case record of all persons discharged shall be microfiched at the assigned parole region prior to transfer to the Archives Unit. See DOM 71020.5.6 and71020.5.7 for exceptions. 71020.5.5

71020.5.5 Transferring Records to Archives Unit All records and documents forwarded to the unit shall be identified by name, number, and discharge date on the CDC Form134, Records Transfer Checksheet. 71020.5.6

71020.5.6 Archives File Retention Health records. Retain in hard copy for seven years after discharge, then destroy (CCR (22) 70751[c]). Fingerprint cards and photographs. Retain in hard copy for 30 years, then destroy. All other remaining case records retain in microfiche 30 years, then destroy.

71020.5.7 Records Transfer Exceptions Discharge cases that need to be retained in hard copy one year and then processed as in DOM 71020.5.6, include: • Out-to-court discharges. • Prisoners from other agencies. • Prisoners from the federal prison system or a federal agency. • DMH patients received pursuant to W&I 7301. • Prisoners from other states received pursuant to PC 2902 or11190. • Safekeeping cases pursuant to PC 4007. Hard-copy files of "N" number residents not amenable for treatment shall be retained at the facility/region for six months after discharge and then processed as above. Hard-copy files of discharged diagnostic study "Z" cases shall be retained in reception centers six months and then forwarded to the Archives Unit where they shall be retained an additional two and one-half years. Hard-copy files of discharged public interest cases shall be transferred to the Archives Unit and retained for 30 years prior to referral to the State Archives. 71020.5.8

71020.5.8 Procedures for Disposing of the Records of a Deceased/Discharged Individual Records of the deceased shall be handled according to the following: • Retain in the facility or parole region for six months or until conclusion of any litigation. • Forward files to the Archives Unit where they shall be retained intact for three years from the date of death or conclusion of any litigation, whichever is later. • The CCRM shall determine the status of the litigation prior to transfer. 71020.5.9

71020.5.9 Procedures for Reviewing a Discharged Individual's Records Requests for review of discharge records originating outside the Department shall be submitted to the supervisor of the Archives Unit for processing. Discharge records shall be forwarded to the CCRM of the facility or parole region nearest the requester's office for subsequent review. Case records requested by the AG’s Office shall be forwarded directly to the requesting deputy. Case records shall be returned to the Archives Unit as soon as possible after the records have been reviewed. The supervisor of the Archives Unit shall maintain a listing indicating: • Name. • CDC number. • Discharge date. • Name of requester. • Location where file forwarded. • Date file forwarded. • Date file returned. The supervisor of the Archives Unit shall follow up every 30 days to ensure that all records are returned to the unit. 71020.6

71020.6 Sacramento Control Office The SACCO Unit is located at Region I headquarters. 71020.6.1

71020.6.1 Supervision of Sacramento Control Office The SACCO Unit is directly supervised by a Correctional Case Records Supervisor. Indirectly supervised by a Case Records Manager. Functionally supervised by a Correctional Case Records Administrator. 71020.6.2

71020.6.2 Sacramento Control Office Functions Functions of the SACCO Unit include: • Recording commitments and tracking inmates serving terms in other jurisdictions, including: • Escapees from the Department who have been convicted and received by another jurisdiction. • Consecutive cases. • Concurrent cases. • In Re Stoliker cases. • Western Interstate Corrections' Compact cases. • Verify and document work history on inmates eligible for the work incentive program. • Make arrangements to have inmates returned to the Department to complete their term when the other jurisdiction makes them available. 71020.7

71020.7 Supervision of LPU Directly supervised by a CCRM. Indirectly supervised by the Chief, Correctional Case Records Services. 71020.7.1

71020.7.1 LPU Functions Manually process inmate legal status for all cases with life commitments, zero to one-year and one-day commitments, and other indeterminate terms. Process commitment and legal status for persons committed pursuant to PC 1170 (a)(2) (excessive credit). Review legal documents and computerized legal status of cases with sentence discrepancies and communicate with the court for resolution. 71020.7.2

71020.7.2 Responsibility of LPU for Cases Housed in CYA The LPU functions as a reception center and facility case records office for those cases sentenced to State prison pursuant to W&I1731.5(c), but housed in a CYA facility. LPU staff shall communicate with CYA staff and coordinate the maintenance of the records and computation of the correct release date. 71020.7.3

71020.7.3 LPU Discrepant Commitments Responsibility Discrepant cases are those cases in which errors in sentencing are detected from the data entered into the OBIS or detected by case records staff. LPU staff shall review legal documents and case material when received from a reception center or facility and communicate with the court to resolve the discrepancy. • When no response is received from the court within 45 days, a second letter shall be sent to the trial court. • When no response is received from the court within 30 days after the second letter, the case shall be referred to the DA's Office. • After a case has been referred to the DA's Office, no further action shall be taken by LPU staff. • When a court responds and states that the previous order shall stand, no further action shall be taken by LPU staff. 71020.7.4

71020.7.4 LPU's Responsibility for Forwarding Material Upon resolution of any discrepancies or completion of the legal status, the below-listed material shall be forwarded to the appropriate facility/region for inclusion in the C-File: • CDC Form 188, Legal Status Summary. • Original case summary and confinement calculation. • Original, amended, or modified Abstracts of Judgments or MinuteOrders received in LPU. • Copies of all correspondence to or from LPU regarding the case. 71020.8

71020.8 Revisions The Deputy Director, Institutions Division, or designee shall be responsible for ensuring that the contents of this article are kept current and accurate. 71020.9

71020.9 References PC §§ 969(b), 1170(a), 1203.03, 1731.5(c), 2902, 3056, 4007, and 11190. W&I §§ 1798, 3151, and 7301. CCR (15) § 70751(c). CC § 1798. DOM § 71020. A RTICLE 3 — T YPES OF R ECORDS Revised August 21, 1992 72010.1

72010.1 Policy The Department has developed and authorized the use of standardized forms and records. These forms and records prepared and used in various offices throughout the Department enable a uniform records system to be maintained. 72010.2