Department Operations Manual

72010.12 CDC Form 112, Chronological Inmate History The CDC Form 112, Chronological Inmate History, shall be filed as the second sheet in the case summary section of the C-File. If additional pages are needed, the inmate's name, CDC number, and chronological page number shall be entered at the bottom of each page. 72010.12.1

72010.12.1 Corrections to CDC Form 112 Use of white-out or correction tape is prohibited. When an entry is no longer valid (e.g., detainer dropped, release date changed, or posting error), a single line shall be drawn through the entry. The notation "No Longer Valid," the date and staff initials shall be placed adjacent to the lined-through material. 72010.12.2

72010.12.2 Postings to CDC Form 112 Entries on the CDC Form 112 shall only include inmate movement/location, data affecting legal status, release and discharge date, length of parole, requests from law enforcement agencies, courts, or interested parties requiring responses, and all BPT and NAEA actions. All entries on the CDC Form 112 shall be clear, legible and in black ink except those which are specifically designated to be in red ink. All entries shall be initialed. Only the abbreviations listed below and the standard facility abbreviations shall be used to provide uniformity. 72010.12.3

72010.12.3 Departmental Rubber Stamp Specifications Rubber stamp specifications: • All capital letters in plain bold type. Average six characters per inch, letters one-quarter inch high. 72010.12.4

72010.12.4 Rubber Stamp Postings/Red Ink Stamp Red ink stamp: • WANTED BY ___ (Write in the agency warrant/hold/detainer number, expiration date. Date stamp document when received and post this in left column.) • NO LONGER WANTED BY _____ (Write in the agency warrant/hold/detainer number. Use date received. Cross out original wanted notice.) • NOTICE REQUESTED _____ (Write in kind of request. Note if CDC Form 128-R is confidential.) 72010.12.5

72010.12.5 Rubber Stamp Postings/Black Ink Stamp Black ink stamp: • Report requested, PC 1170(d). • Report mailed, PC 1170(d). 72010.12.6

72010.12.6 Postings/Handwritten in Red Ink Handwritten in red ink (sample abbreviations as noted): • Escaped. • Escaped while on temporary community leave (TCL). • Apprehended by _____. • Apprehended by _____ after expiration of TCL. • Public interest case. 72010.12.7

72010.12.7 Postings/Handwritten in Black Ink Handwritten in black ink (sample abbreviations as noted): • Received (rec'd) reception center, SQ (condemned), other jurisdiction. • Rec'd facility − interfacility transfer. • Rec'd reception center as parole violator returned to custody (PVRTC). • Rec'd reception center as parole violator returned with new term (PVWNT). • Rec'd community correctional facility. • Out-to-court (OTC) − witness, new trial/new charge (NT/NC), further proceedings. • Court-return to finish term (Crt Ret TFT). • Court-return with new term (Crt Ret WNT). • Released to TCL. • Returned from TCL (Ret'd from TCL). • Ret'd from escape. • Paroled to Region _____, unit name (Par to Reg). • Ret'd to Parole, Region _____, unit name (Ret'd to Par Reg) (after release on appeal bond/bail, court order, including while out-to-court.) • Discharged. • Deceased. • Pardon granted. • Commutation of sentence. • File audited. • Additional commitment rec'd. • Amended abstract of judgment rec'd, case #_____ (specify what was amended). • Discharged from previous term, case #_____ (BPT Rule 2649). • Commitment vacated/recalled/judgment suspended, case #_____. • Arrested/located. • Waiver of extradition (out-of-state arrest). • Reinstate on parole effective _____. • Schedule for revocation. • Continue on parole. • Earliest possible release date (EPRD). • Current release date. • Max release date (MRD). • Minimum (MIN)/MAX DSL date. • Projected revocation release date (PRRD). • All Board actions, hearing date, dead time, parolee-at-large (PAL) date, discharge review date (DRD), controlling discharge date (CDD), revocation release date (RRD), ISL date. ____Days Credit Lost. CDC 115, Dated ____ Log #____ ____Days credit Restored. CDC 115, Dated ____ Log #____ 72010.12.8

72010.12.8 Items Not Posted to CDC Form 112 The following items shall not be posted: • Release to out-to-court and return same day. • Optional/unconditional waiver signed (this shall be part of the BPT action). 72010.12.9

72010.12.9 Other Postings to CDC Form 112 Any entries not listed above shall be written out and not abbreviated to provide a clear understanding and meaning of the entry. 72010.13

72010.13 Purging/Retention of C-File Material When using C-Files, the counselor shall purge assigned case files of nonessential documents in accordance with the following procedures to maintain the C-File at a more manageable and less costly size and to improve the validity of case information. 72010.13.1

72010.13.1 General Purge/Retention Guidelines Eliminate duplication by retaining no more than a single copy of any item. Retain all legal documents and one copy of all parts of the case summary. Discard mail envelopes received with items placed in the file after the return address is copied onto the item. Apply departmental criteria for determining confidentiality before disposing of material. • All nonconfidential material removed from the file shall be given to the inmate unless otherwise indicated. • Confidential material removed from the file shall not be given to the inmate but shall be destroyed. No material shall be removed from the C-File which affects the facility security or the health and safety of inmates or others. If material does affect either, the specified retention schedule for that item is waived and the item shall be retained in the file. For example: • A threat on a person's life might be documented on an informational chrono, which according to the retention schedule is due for purging. Because of the safety issue, the reviewer shall retain that chrono in the file. Do not use local "in-house" forms in lieu of departmental forms. In cases where a local form was used, purge it according to the criteria established for the departmental form. 72010.13.2

72010.13.2 Specific Purge/Retention Instructions Revised July 22, 2013 The following instructions apply to the types of documentation which may be found in a case file and shall be followed in the purge processes: Board Report Retain in hard copy; microfiche at discharge. Psychiatric Evaluation Retain in hard copy; microfiche at discharge. Responses to PC 3042 Notice Retain in hard copy; microfiche at discharge. Statement by Judge and DA Not usually received on CDC form, but is the PC 1203.1 statement which shall be retained in hard copy; microfiche at discharge. Writs Filed by Life Prisoners Regardless of the issue raised or the named parties, writs shall be retained until discharge. Numerous writs filed by litigious inmates may be retained in a separate file. Microfiche at discharge. Correspondence Regarding the Prisoner and the Offense Retain in hard copy; microfiche at discharge. CDC Form 101, Work Supervisor's Report Retain in hard copy; microfiche at discharge. CDC Form 102, Release Statement and Clothing Authorization Purge all but most recent one. CDCR Form 104, Property and Cash Receipt-- Arrival Do not file in C-File. Maintain current copies in property room. CDC Form 105, Application for Mail and Visiting Privileges Do not file in C-File. Retain in visiting office. CDCR Form 106, Mail and Visiting Privilege Questionnaire Do not file in C-File. Retain in visiting office. CDC Form 112, Chronological History Retain in hard copy; microfiche at discharge. CDC Form 114-A, Isolation-Segregation Record Retain in hard copy; microfiche at discharge. CDC Form 114-D, Order and Hearing for Placement in Segregation Housing Retain in hard copy; microfiche at discharge. CDC Form 115, Rule Violation Report (Administrative) Retain in hard copy; microfiche at discharge. CDC Form 115-A, Serious Rule Violation Report Retain in hard copy; microfiche at discharge. • Incident reports attached to CDC Forms 115 retained in hard copy; microfiche at discharge. CDC Form 122, Property and Cash Receipt--Release Do not file in C-File. Retain in property room. CDC Form 123, Body Receipt Retain in hard copy; microfiche at discharge. CDC Form 126, Certificate of Driver Eligibility Retain in hard copy; microfiche at discharge. SOMS - Notification in Case of Inmate Death, Serious Injury, or Serious Illness CDC Form 128-A, Custodial Counseling Retain in hard copy; microfiche at discharge. CDC Form 128-B, General Chrono Retain in hard copy; microfiche at discharge. CDC Form 128-B-1, Notice of Classification Hearing Retain in hard copy; microfiche at discharge. These are needed for accreditation. CDC Form 128-C, Medical-Psych-Dental Retain in hard copy; microfiche at discharge. CDC Form 128-C-1, Reception Center Medical Clearance/Special Instructions Retain in hard copy; microfiche at discharge. CDC Form 128-D, E, and F, Education Progress Reports Retain in hard copy; microfiche at discharge. CDC Form 128-G, Classification Chrono Retain in hard copy; microfiche at discharge. CDC Form 128-L, Education − College Retain until BPT hearing (documentation, parole consideration, progress or rescission) which occurs after the conduct documented on the form, then purge. CDC Form 128-M, Group Test Results Retain in health records. CDC Form 128-O, Document Receipt Retain in hard copy; microfiche at discharge. CDC Form 128-P, Loss of Credit Notification Purge all but most recent notice. CDC Form 128-P-1, Notice of Work Credits Purge all but most recent notice. CDC Form 128-R, Requested Notice of Escape or Transfer of Custody Retain in hard copy; microfiche all but most recent notice. CDC Form 138, Fingerprint Card Retain in hard copy. CDC Form 146, Release − Motion Pictures, etc. Retain in hard copy; microfiche at discharge. CDC Form 158, Certification of Education Achievement Do not file in C-File. Retain in education/vocational office. CDC Form 161, Warden's Checkout Order Do not file in C-File. Retain in separate record office file for one year in addition to the current year. CDC Form 188, Cumulative Case Summary — Face Sheet Retain in hard copy; microfiche at discharge. CDC Form 191, Inmate Time Card Retain in hard copy; purge 60 days after last credit gain unless an appeal is pending. CDC Form 193, Trust Account Withdrawal Order Do not file in C-File. Retain in trust office. CDC Form 198-A, Source of Information Retain in hard copy; microfiche at discharge. CDC Form 202, Request for Education Record Do not file in C-File. Retain in education office. CDC Forms 203, 204-A, 205-A, 206, 207-A, and 208 All these forms are obsolete. CDC Form 209, Psychological Test Results Retain in health record. CDC Form 241, Request for Military Service Data Purge when answer received. CDC Form 248-A, Letter of Inquiry Re: Application for Employment Retained in C-File only until reply is received, then purge. CDC Form 255, Off-Site Work Assignment Eligible List Do not file in C-File. Retain in custody office. CDC Form 260, Personal Clothing Disposition Do not file in C-File. Retain in property room. CDC Form 279-L, Facility Appearance Evaluation Sheet Retain in hard copy; microfiche at discharge. CDC Forms 294 and 295, Western Interstate Corrections Compact Agreement and Cooperative Transfer Agreement Retain in hard copy; microfiche at discharge. CDC Forms 341, 342, 343, and 344, Discharge Certificates Retain in hard copy; microfiche at discharge. CDC Form 345, Power of Attorney and Authorization for Deposit Retain latest in hard copy; microfiche at discharge. CDC Forms 360, 360-A, 361, 362-A, and 362-B, NAEA Vote Sheet Retain in hard copy; microfiche at discharge. CDC Form 600, Wanted Persons System Notification − Addendum A Retain current wants in hard copy. Purge upon cancellation. CDCR Form 602, Inmate/Parolee Appeal Form Retain in hard copy; microfiche at discharge. CDC Form 611, Release Program Study Purge all but most recent one. Microfiche at discharge. CDC Form 616, Form Letter--Request for Disposition of Probation, Waiver of Appearance and Right to Attorney Purge when adjudicated. CDC Forms 629-A and 629-B SHU term of initial confinement, and re-determination of SHU confinement term. Retain in hard copy attached to CDC 115, microfiche at discharge. CDC Form 643, Demand for Hearing and Trial Retain in hard copy; microfiche at discharge. CDC Form 644, Notice of Presumptive Death Microfiche at discharge. CDC Form 661, Form Letter to Inmate Re: Wanted by Other Agencies Retain in hard copy; microfiche at discharge. CDC Form 669, Motion to Dismiss Criminal Charges Pending Retain in hard copy; microfiche at discharge. CDC Form 678, Confinement Computation Retain in hard copy; microfiche at discharge. CDC Form 679-A Credit/Term Computation Retain in hard copy; microfiche at discharge. CDC Form 679-A Credit/Term Computation Retain in hard copy; microfiche at discharge. CDC Form 695, Appeals Office Screening Decision Retain in hard copy; microfiche at discharge. CDC Form 801, Notice of Detainer Retain in hard copy, purge when returned to Department custody or paroled. CDC Form 802, Interstate Compact/Placement Agreement Retain in hard copy; microfiche at discharge. CDC Form 804, Notice of Pending CDC 115 Retain in hard copy; purge when CDC 115 is adjudicated. CDC Form 810, Confidential Information Listing Retain latest in hard copy; microfiche at discharge. CDC Forms 811 and 811-A, Confidential Information Removal Notice Retain latest in hard copy; microfiche at discharge. CDC Forms 812, Notice of Critical Case Information-- Safety of Persons; 812-A, Notice of Critical Information--Prison Gang Identification; and 812-B, Notice of Critical Information--Disruptive Group Identification Retain in hard copy; microfiche at discharge. CDC Form 813, Release From Liability Retain in hard copy; microfiche at discharge. CDC Form 819, Personal/Confidential Information Disclosure/Access Log Retain in hard copy; microfiche at discharge. CDC Form 833, Record Release Authorization Retain in hard copy; microfiche at discharge. CDC Form 839, Initial Classification Score Sheet Retain in hard copy; microfiche at discharge. CDC Form 840, Reclassification Score Sheet Retain in hard copy; microfiche at discharge. CDC Form 850, Detainer Summary Retain in hard copy; microfiche at discharge. CDC Form 888, Notice of Request for Search Do not file in C-File. Retain in visiting office. CDC Forms 913 and 914, Override and Sentence Date Entry Do not file in C-File. CDC Form 916, Credit Time Waiver Retain in hard copy; microfiche at discharge. CDC Form 958, Application for Restoration of Credits Retain in hard copy; microfiche at discharge. CDC Form 1502, Activity Report Retain in hard copy; microfiche at discharge. CDC Form 1503, Parolee Face Sheet Retain in hard copy; microfiche at discharge. CDC Form 1504, Parole Release Authorization Retain in hard copy; microfiche at discharge. CDC Form 1506, Transfer/Correction/Residence Change Retain in hard copy; purge at discharge. CDC Form 1507, Record of Interview (Reentry) Retain in hard copy; microfiche at discharge. CDC Form 1508, Parolee's Monthly Report Do not file in C-File. CDC Form 1509, Assistance Receipt Do not file in C-File. CDC Form 1510, Loan Repayment Receipt Do not file in C-File. CDC Form 1512, Form Letter Permit to Drive a Vehicle. Obsolete, purge. CDC Form 1515, Notice and Conditions of Parole Retain in hard copy; purge at discharge. CDC Form 1515-L, Conditions of Release Retain in hard copy; microfiche at discharge. CDC Form 1519, Request to Exercise/Restore Civil Rights Obsolete, purge. CDC Form 1521-A, Actions of the Parole & Community Services Division Retain in hard copy; purge at discharge. CDC Form 1521-B, Charge Sheet Retain in hard copy; purge at discharge. CDC Form 1521-C, Case Summary Retain in hard copy; purge at discharge. CDC Form 1521-D, Recommendation Review Decision Sheet Retain in hard copy; purge at discharge. CDC Form 1524, PAL Report Retain in hard copy; purge at discharge. CDC Form 1526, Visitation Permit Retain in hard copy; purge at discharge. CDC Form 1529, Parole and Probation Form A, Reply to Parole Investigation Request Retain in hard copy; purge at discharge. CDC Form 1530, Parole and Probation Form B, Report of Violation Retain in hard copy; purge at discharge. CDC Form 1531, Parole and Probation Form 1, Parole Investigation Request Retain in hard copy; purge at discharge. CDC Form 1532, Parole and Probation Form 2, Report of Sending State Retain in hard copy; purge at discharge. CDC Form 1533, Parole and Probation Form 3, Agreement to Return Retain in hard copy; purge at discharge. CDC Form 1534, Parole and Probation Form 4, Parole Progress and Conduct Report Retain in hard copy; purge at discharge. CDC Form 1535, Out-of-State Travel Permit Retain in hard copy; purge at discharge. CDC Form 1536, Request for Cooperative Investigation Retain in hard copy; purge at discharge. CDC Form 1538, Opening and/or Closing Notice Retain in hard copy; purge at discharge. CDC Form 1539, Tracer Letter #1 (PAL) Do not file in C-File. CDC Form 1540, Final Request Concerning Parolee (PAL) Do not file in C-File. CDC Form 1541, Request for Submission of Monthly Report Do not file in C-File. CDC Form 1548, Parolee Outpatient Clinic Referral Do not file in C-File. CDC Form 1551, Transfer Investigation Request Do not file in C-File. CDC Form 1570, Guidelines for Parole Do not file in C-File. CDC Form 1580, Request for Criminal Record (DOJ) Do not file in C-File. CDC Form 1600, Arrival Report − Work Furlough Inmates Retain in hard copy; purge at discharge. CDC Form 1601, Departure − Work Furlough Retain in hard copy; purge at discharge. CDC Form 1604, Agreement of State Prisoner to Participate in Community Correctional Facility Program Retain in hard copy; purge at discharge. CDC Form 1608, NAEA Vote Sheet Retain in hard copy; microfiche at discharge. CDC Form 1610, Authorization and Waiver Methadone Maintenance Program Do not file in C-File. CDC Form 1611, Request for Furlough Absence Do not file in C-File. CDC Form 1614, Employment Information Do not file in C-File. CDC Form 1628-B, NAEA Board Report Review − Special Comments Retain in hard copy; microfiche at discharge. CDC Form 1632, Discharge Review − Retain in Parole Report Retain in hard copy; purge at discharge. CDC Forms 1664 Through 1672, Agreement on Detainers Retain in hard copy; microfiche at discharge. CDC Form 1676, Hearing Data (Case Data) Retain in hard copy; microfiche at discharge. CDC Form 7252, Request Authorization for Temporary Removal for Medical Treatment Retain in hard copy; microfiche at discharge. 72010.13.3

72010.13.3 Parole & Community Services Division Forms: Purge/Retention P&CSD Forms: P&CSD Form 101, Form Letter Obsolete, purge. P&CSD Form 102, Corrected Discharge Date/Notification of Death Obsolete, purge. P&CSD Form 103, Form Letter Retain in hard copy; purge at discharge. P&CSD Form 104, Form Letter Obsolete, purge. P&CSD Form 105, Affidavit Obsolete, purge. P&CSD Form 106, Memo − Transmittal Obsolete, purge. P&CSD Form 107, Weekly Discharge List Retain in hard copy; purge at discharge. P&CSD Form 180, P&CSD Route Slip Do not file in C-File. P&CSD Forms 181 and 181-B, Costs of Detention Do not file in C-File. P&CSD Form 182, Cooperative Case Referral Obsolete, purge. P&CSD Form 183, Prescription Obsolete, purge. P&CSD Form 184, POC − Monthly Activities Report Do not file in C-File. P&CSD Form 185, Records Card Obsolete, purge. 72010.13.4

72010.13.4 Non-departmental Forms: Purge/Retention Non-departmental forms: Abstract of Judgment Retain in hard copy; microfiche at discharge. Minute Order Retain in hard copy; microfiche at discharge. Charging Document Retain in hard copy; microfiche at discharge. Sentencing Transcript Retain in hard copy; microfiche at discharge. POR Retain in hard copy; microfiche at discharge. Appellate Opinion: Lifer Cases Retain in hard copy; microfiche at discharge. Nonlifer Cases If affirmed, destroy when final. Remittitur Retain in hard copy; microfiche at discharge. Board Decision Retain in hard copy; microfiche at discharge. Requests for Notice of Board Hearings and Correspondence From Victims and Next-of-Kin Retain in hard copy; microfiche at discharge. General Correspondence Purge at review for documents two years old except items containing crucial information in the judgment of the reviewing counselor; microfiche at discharge. Current CI&I SSCH Retain in hard copy; microfiche at discharge. Current FBI Reports Retain in hard copy; microfiche at discharge. Arrest Reports Re: Instant Offenses or Requested by NAEA Retain in hard copy; microfiche at discharge. All Violation Reports Retain in hard copy; microfiche at discharge. All Referrals to Outpatient Status/Civil Addict Parole Retain in hard copy; microfiche at discharge. All Release Program Studies (Outpatient Status/Civil Addict Parole) Retain in hard copy; microfiche at discharge. 72010.14

72010.14 CDC Form 135, Transfer Record A CDC Form 135 shall be prepared listing the number and name of each inmate being transferred. A separate CDC Form 135 shall be prepared for each facility or facility of a complex. Under "Remarks," the sending facility shall note those cases requiring emergency or special handling (e.g., emergency psychiatric, serious escape risk, SHU placement) but not confidential information. The inmate's privilege group shall be indicated in the remarks. The CDC Form 135 shall be prepared in quintuplicate, signed by case records staff, and forwarded with the case records to the receiving and release (R&R) sergeant for further processing. The CDC Form 135 shall be signed by the transporting officer as a receipt for the inmates and their records. 72010.14.1

72010.14.1 Distribution of CDC Form 135 One copy of the CDC Form 135 shall be returned by R&R to the case records office of the sending facility where it shall be retained for one year in addition to the current year. One copy of the CDC Form 135 shall be delivered to the sending facility control room. The remaining three copies of the form shall be carried by the transportation officer to the receiving facility for the following distribution: • One copy and any confidential information to the receiving facility's control room. • One copy with the inmate's records to the case records office of the receiving facility where it shall be retained for one year in addition to the current year. • The remaining copy is retained by the transporting officer. 72010.14.2

72010.14.2 New CDC Form 135 For Layovers Case records staff of a layover facility shall prepare a new CDC Form 135 listing all inmates being transferred from their facility including those enroute. The new CDC Form 135 shall be used as a receipt for the inmates and their records on departure from the layover facility. Notations shall be made under "Remarks" to indicate the origin of the transfer (e.g., en route from CIM). When it is apparent that the departmental transportation vehicle shall arrive at a layover facility after regular working hours, the sending facility shall FAX the names, numbers, and destination of those inmates who are stopping over. This shall enable the case records staff of the layover facility to prepare the CDC Form 135 in advance. 72010.14.3

72010.14.3 Parole Violators Returned From County Jail For each parole violator picked up at a county jail by departmental transportation, the receiving facility's staff shall prepare a CDC Form 123, Body Receipt, upon arrival. Any confidential memos/chronos shall be delivered to receiving facility staff for immediate evaluation. 72010.15

72010.15 CDC Form 134, Records Transfer Checksheet A CDC Form 134 shall be prepared in duplicate listing the records for transfer to another facility or parole region and using the inmates listed on the CDC Form 135 or the CDC Form 161. An entry shall be made in each square of the sheet after the inmate's name to indicate that the record is enclosed, delayed, or nonexistent. The disposition of the Form 134 is as follows: • The original of the Records Transfer Checksheet shall accompany the records to the records office of the receiving facility/region where it shall be retained one year in addition to the current year. • The duplicate shall be retained by the records office of the sending facility/region one year in addition to the current year. 72010.16