Chapter 1 – General Administration

Information in all records and files of the Department which pertains to inmates, parolees, employees, or other persons shall be collected, maintained, amended, and disclosed in conformance with the IPAInformation Practices Act of 1977 and subsequent amendments.

This section specifies staff responsibility for the collection, maintenance, amendment, and disclosure of information in keeping with the right to privacy of inmates, parolees, employees, or other persons.

When a request to disclose information from a departmental record, or to receive copies of information, is received, employees shall look first to the provisions of the DOMDepartment Operations Manual 13040 to determine if the information is in a public record. If the information is disclosable as a public record, and the record contains personal information, employees shall look to the provisions of this section to determine if the information is exempt from disclosure.

All employees shall be provided general training regarding the policies, procedures, and regulations governing the collection, maintenance, use, disclosure, and destruction of personal information. Only those employees with a “need to know” shall be permitted to have access to departmental records containing personal information.

Access

• An individual’s right to see their own records, or an individual’s right to permit an agent, on their behalf, to review the individual’s records.

Agency

• Every state office, officer, department, division, bureau, board, commission, or other state entity exclusive of the following:

  • The California Legislature.

  • Any agency established under Article VI of the California Constitution.

  • SCIFState Compensation Insurance Form, except for any records which contain personal information about employees of SCIFState Compensation Insurance Form.

• Agency includes any local agency as defined in GCGovernment Code 6252(b).

Caseworker

• A CCCorrectional Counselor-I or PAProgram Administrator-I.

Commercial Purpose

• Any purpose which has financial gain as a major objective. It does not include the gathering or dissemination of newsworthy facts by a publisher or broadcaster.

Confidential Information

• Information, other than exempt personal information, that is withheld from disclosure as a public record under DOMDepartment Operations Manual 13040.14 (Also see Exempt in this section).

Data Subject

• See Individual in this section.

Department Employees

• Full-time and part-time civil service and exempt employees, student assistants, aides, contractual persons/entities, consultants, or anyone whose duties with CDCRCalifornia Department of Corrections and Rehabilitation require or permit the use of records or information about other individuals.

Disclose

• To divulge, release, transfer, disseminate, or otherwise communicate all or any part of any record orally, in writing, or by electronic or any other means to any person other than the one about whom the information is kept.

Examine a Record

• The physical audit of a record by a departmental reviewer prior to an inspection or disclosure to determine if the record contains exempt personal information.

Exempt

• Personal information that may, by law, be withheld from the individual to whom it pertains. This was formally referred to as confidential information (Also see Confidential Information in this section).

File

• See Record in this section.

Government Entity

• Any branch of the federal government or of state or local government as defined in GCGovernment Code 6254(b).

Individual

• Any natural person about whom CDCRCalifornia Department of Corrections and Rehabilitation maintains any personal information.

Inspect a Record

• The act of physically reviewing a record by the person about whom the record is kept or their authorized representative.

Person

• Any natural person, corporation, partnership, firm, association, or government entity.

Personal Information

• Any information that is maintained by an agency which identifies or describes an individual, including, but not limited to, an individual’s name, social security number, physical description, home address, home telephone number, education, financial situation, and medical or employment history, including statements made by, or attributed to, the individual.

Record

• Any records system or grouping of information about an individual that is maintained by CDCRCalifornia Department of Corrections and Rehabilitation by reference to an identifying particular, such as an individual’s name, photograph, finger or voice print, or a number or symbol assigned to the individual. This includes all records systems maintained by CDCRCalifornia Department of Corrections and Rehabilitation.

Records System

• Any grouping of records which pertains to one or more individuals maintained by CDCRCalifornia Department of Corrections and Rehabilitation from which information is retrieved by an individual’s name, photograph, finger or voice print, or a number or symbol assigned to an individual.

The Office of Information Practices (OIPOffice of Information Practices) operates under the direction of the Executive Officer of the CalHRCalifornia Department of Human Resources (formerly DPA and SPB). Its functions include, but are not limited to, the following:

• Assist an individual in identifying and accessing records which may contain information about the individual.

• Develop administrative guidelines and assist state agencies in implementing the IPAInformation Practices Act’s provisions.

• Investigate alleged violations of the IPAInformation Practices Act.

• Mediate disputes arising under the IPAInformation Practices Act.

• Report uncorrected violations of the IPAInformation Practices Act to the Governor, the Legislature, and the appropriate law enforcement agency.

CDCRCalifornia Department of Corrections and Rehabilitation’s IPAInformation Practices Act Coordinator shall:

• Ensure that CDCRCalifornia Department of Corrections and Rehabilitation complies with the provisions of the IPAInformation Practices Act.

• Act as liaison with the OIPOffice of Information Practices.

• Provide training to those persons designated as local IPAInformation Practices Act liaison personnel.

• Collect information on records systems from all CDCRCalifornia Department of Corrections and Rehabilitation units that keep personal information for submission of necessary reports to the OIPOffice of Information Practices as required by law.

• Coordinate individual requests for personal information to the appropriate CDCRCalifornia Department of Corrections and Rehabilitation division, facility, or office.

• Monitor record keeping practices of offices where personal information is collected, maintained, and disclosed.

CALPIACalifornia Prison Industry Authority (formerly PIA)

• The CALPIACalifornia Prison Industry Authority (formerly PIA)’s IPAInformation Practices Act coordinator, located in the Personnel and Training Unit, shall:

  • Ensure that CALPIACalifornia Prison Industry Authority (formerly PIA) complies with the provisions of the IPAInformation Practices Act.

  • Act as liaison with the OIPOffice of Information Practices.

  • Collect information on record systems from all CALPIACalifornia Prison Industry Authority (formerly PIA) headquarters units and CALPIACalifornia Prison Industry Authority (formerly PIA) facility factories that keep personal information for submission of necessary reports to the OIPOffice of Information Practices as required by law.

  • Coordinate individual requests for personal information to the appropriate staff.

  • Monitor record keeping practices of office where personal information is collected, maintained, and disclosed.

Local IPAInformation Practices Act liaison personnel shall be the personnel manager from each facility, a unit/section chief from each headquarters division, or a staff services analyst or above from each regional parole office. Their duties shall include:

• Ensure that their division, parole region, or facility complies with all provisions of the IPAInformation Practices Act.

• Act as liaison with the departmental IPAInformation Practices Act coordinator.

• Coordinate individual requests for personal information to the appropriate office within their division, parole region, or facility for response.

• Monitor record keeping practices of offices where personal information is collected, maintained, and disclosed to ensure compliance with CDCRCalifornia Department of Corrections and Rehabilitation practices.

CCRMCorrectional Case Records Manager shall review the fingerprint card responses from State DOJDepartment Of Justice for persons appointed to positions which allow access to inmate records or EDPElectronic Data Processing (see IT) terminals usable to access electronically stored inmate records.

Employees responsible for the creation, use, maintenance, amendment, dissemination, and/or destruction of records containing any personal information shall take all necessary precautions to ensure that proper administrative, technical, and physical safeguards are established and followed in order to protect the confidentiality of those records and to preclude disclosure of personal information to unauthorized persons.

Shall

• All CDCRCalifornia Department of Corrections and Rehabilitation employees who collect, use, maintain, amend, disseminate, and/or destroy personal information shall:

  • Make every reasonable effort to respond promptly to inquiries and requests by persons desiring to receive or review personal information.

  • Assist persons who are seeking personal information to make their inquiry specific and descriptive enough to facilitate locating the records requested.

  • Respond, in a courteous and business like manner, to inquiries from persons seeking to review, obtain copies of, amend, correct, or dispute personal information kept by CDCRCalifornia Department of Corrections and Rehabilitation.

Shall Not

• CDCRCalifornia Department of Corrections and Rehabilitation employees who collect, use, maintain, amend, disseminate, and/or destroy personal information shall not:

  • Require individuals to disclose personal information which is not necessary and relevant to the lawful state function for which the employee is responsible.

  • Improperly disclose personal information relating to any individual to any unauthorized person. The improper disclosure of personal information is cause for an adverse action, and it may subject the employee and CDCRCalifornia Department of Corrections and Rehabilitation to legal action (See DOMDepartment Operations Manual 13030.33 for further information).

  • Seek or use personal information relating to others for any purpose other than the lawful purpose for which it is collected. The intentional violation of this requirement is cause for an adverse action, and it may subject the employee and CDCRCalifornia Department of Corrections and Rehabilitation to legal action (See DOMDepartment Operations Manual 13030.33 for further information).

Every employee who collects, maintains, or receives personal information shall make reasonable efforts to ensure that the information is accurate, timely, relevant, and complete.

Each local IPAInformation Practices Act liaison person shall complete and file with CDCRCalifornia Department of Corrections and Rehabilitation’s IPAInformation Practices Act Coordinator a fully complete T-SPBState Personnel Board (see CalHR) Form 103, Personal Records System Report. The steps to be followed to allow an individual to access records, request amendments, or dispute information about themselves shall be included with each TSPB Form 103.

CDCRCalifornia Department of Corrections and Rehabilitation’s IPAInformation Practices Act Coordinator shall complete and file with the OIPOffice of Information Practices a completed T-SPBState Personnel Board (see CalHR) Form 103.

CDCRCalifornia Department of Corrections and Rehabilitation’s IPAInformation Practices Act coordinator shall attach to the report submitted to the OIPOffice of Information Practices a copy of CDCRCalifornia Department of Corrections and Rehabilitation’s procedures on “How to Inspect and Correct Your Records” that shall explain the procedures to be followed by an individual wishing to access, inspect, amend, or dispute personal information kept by CDCRCalifornia Department of Corrections and Rehabilitation.

Initial Report

• After the initial report is filed with CDCRCalifornia Department of Corrections and Rehabilitation’s IPAInformation Practices Act coordinator and the OIPOffice of Information Practices, only changes in the records systems and/or procedures need to be reported. If no changes have been made in the records system or procedures since the last previous report, a statement that there has been no change is sufficient. For this purpose, CDC Form 1020, IPAInformation Practices Act Notices of Records System Titles, shall be used and submitted. The local IPAInformation Practices Act liaison person shall compile and submit their respective reports to CDCRCalifornia Department of Corrections and Rehabilitation’s IPAInformation Practices Act coordinator by March 1 of each year. By March 31, CDCRCalifornia Department of Corrections and Rehabilitation’s IPAInformation Practices Act coordinator shall compile and forward CDCRCalifornia Department of Corrections and Rehabilitation’s report to the OIPOffice of Information Practices.

• CDCRCalifornia Department of Corrections and Rehabilitation’s IPAInformation Practices Act coordinator may report new records systems or changes anytime during the year to OIPOffice of Information Practices.

• Once the annual report is filed with the OIPOffice of Information Practices, CDCRCalifornia Department of Corrections and Rehabilitation’s IPAInformation Practices Act coordinator shall forward copies of the report to the Assistant Secretary, Communications and External Affairs, headquarters, and to all offices and/or units reporting that they keep personal information.

When CDCRCalifornia Department of Corrections and Rehabilitation collects personal information from individuals, by any means, including the use of forms, a CDC Form 1023, IPAInformation Practices Act Privacy Statement, shall be given to these individuals.

The notice shall cover all of the following:

• The CDCRCalifornia Department of Corrections and Rehabilitation name.

• The title, business address, and telephone number of CDCRCalifornia Department of Corrections and Rehabilitation official who is responsible for the system of records and who shall, upon request, inform an individual regarding the location of his or her records and the categories of any persons who use the information in those records.

• The authority, whether granted by statute, regulation, or executive order, which authorizes the maintenance of the information.

• With respect to each item of information, whether submission of such information is mandatory or voluntary.

• The consequences, if any, of not providing all or any part of the requested information.

• The principal purpose or purposes within CDCRCalifornia Department of Corrections and Rehabilitation for which the information shall be used.

• Any known or reasonably foreseeable disclosure which may be made of the information.

• The individual’s right to inspect records containing personal information which is maintained by CDCRCalifornia Department of Corrections and Rehabilitation.

This notice shall be given by one of the following methods:

• A notice printed directly on the form requesting information.

• A written policy provided to the person with the form requesting information.

• A CDC Form 1023, filled out and given to the source person.

This notice shall be given at each contact when personal information is requested. When contact is of a regularly recurring nature, an initial notice followed by a periodic notice at not more than one-year intervals shall satisfy this requirement.

This notice requirement shall not apply to the following:

• Any enforcement document issued by an employee of a law enforcement agency in the performance of his or her duties wherein the violator is provided an exact copy of the document.

• Any accident reportable under the Vehicle Code (VCVehicle Code) when the parties of interest may obtain a copy of the report pursuant to VCVehicle Code 20012.

• CDCRCalifornia Department of Corrections and Rehabilitation requirements for an individual to provide his or her name, identifying number, photograph, address, or similar identifying information, if this information is used only for the purpose of identification and communication with the individual by CDCRCalifornia Department of Corrections and Rehabilitation, except that requirements for an individual’s social security number shall conform with the provisions of the Federal Privacy Act of 1974 and subsequent amendments.

To the greatest extent possible, personal information shall be collected directly from the subject of the inquiry rather than from another source. All information collected must be relevant and necessary to accomplish the lawful purpose for which it is collected.

Reasonable efforts shall be made to ensure that all information about an individual is timely, accurate, relevant, and complete.

The CDCRCalifornia Department of Corrections and Rehabilitation shall correct, update, withhold, or delete any portion of a record that CDCRCalifornia Department of Corrections and Rehabilitation knows, or has reason to believe, is inaccurate before transmitting or communicating the information to an agency outside of state government.

When information is collected from an origin other than the individual about whom it is collected, a record shall be made of the information source. The record of the source shall be made available to the individual when they inspect the record. The document to be used in recording the origin of personal information shall be CDC Form 1022, IPAInformation Practices Act Record of Sources. For exceptions see DOMDepartment Operations Manual 13030.13.3.

When the personal information is contained in a document and the individual about whom the information is being collected is given a copy of that document, the origin of the document need not be listed on the IPAInformation Practices Act Record of Sources. The identity of a source need not be recorded when the source is in a non-supervisory relationship with the individual and the information is given with the promise of confidentiality during an investigation of:

• An applicant for public employment or a state license.

• A grievance or complaint.

• A suspected civil offense.

See DOMDepartment Operations Manual 13030.19 and 13030.20 for further information.

Inmates in assignments where they will type, file, or otherwise handle any non-confidential information pertaining to another inmate shall comply with all State IPAInformation Practices Act requirements.

Records containing personal information may be disclosed or transferred only under the following conditions:

• To the individual to whom the information pertains, unless the information is exempt from access to the individual (See DOMDepartment Operations Manual 13030.19).

• To other persons with the prior written, voluntary, and timely consent of the individual to whom the record pertains, if the information is not exempt from access and the consent to disclose has been obtained within 30 days before the disclosure or within the time limit specified in the written consent. The CDC Form 1021, IPAInformation Practices Act Voluntary Consent to Release Personal Information, shall be used for this purpose.

• To the guardian or conservator of the individual, or a person representing the guardian or conservator, if it can be proven with reasonable certainty that such person is the authorized guardian or conservator of the individual, or their authorized representative.

• To an employee of CDCRCalifornia Department of Corrections and Rehabilitation, as long as the disclosure is necessary for the performance of the employee’s official duties and the use to be made of the information is related to the purpose for which the information was obtained.

• To another State agency, when the disclosure is necessary for that agency to accomplish its constitutional or statutory mission and use of the information shall be compatible with a purpose for which the information was obtained.

• To any person where the disclosure is in accordance with the PRAPublic Records Act (GCGovernment Code 6250, et seq.) and DOMDepartment Operations Manual 13040.

• To a governmental entity when required by State or federal law.

• To a person for statistical research or reporting purposes if adequate written assurance is obtained that the information shall only be disclosed in a form that will not identify any individual.

• To a person when compelling circumstances exist which affect the health or safety of an individual as determined by the agency maintaining the information, unless the disclosure conflicts with state or federal laws. Upon disclosure the individual to whom the information pertains shall be notified in writing through their last known address.

• To the California State Archives (CSA) as a record which has historical or other value which warrants its preservation by the State.

• To the Director of General Services, or their designee for evaluation to determine if the record may have further administrative, legal, or fiscal value.

• To any person pursuant to a search warrant [except that compliance with PCPenal Code 832.7 shall be required for the record of a peace officer employee].

• To any person pursuant to the VCVehicle Code 1800, et seq.

• To any person for verification of eligibility and authorization for payment of government health care service claims pursuant to the W&I 1000, et seq.

• To a law enforcement agency when required for investigation of criminal activity unless such disclosure is otherwise prohibited by law. If the request is from a DA, the information shall be disclosed within ten days unless a court determines that the disclosure is not in the public interest or for good cause.

• C-Files (excluding medical, psychiatric, and confidential) are accessible to the DA or designee upon request, pursuant to GCGovernment Code 6263.

• Physical access by the DA or designee to medical and psychiatric files is prohibited, pursuant to PCPenal Code 1543 through 1545 and W&I 5328.01, unless a court order from the court in the county where the files are located has been obtained or release authorization has been obtained from the inmate/parolee whose file is being sought.

The DA or designee is permitted to obtain copies of medical reports/records of the victim(s) and assailant(s) related to any in-custody incident(s)/ assault(s) committed by inmates and subject to possible DA prosecution.

• The DA or designee is authorized to review Confidential files in the presence of designated facility staff to determine whether there is sufficient available information to file criminal charges for in-custody misconduct, (i.e., staff assault/inmate assault).

Requests by the DA or designee for copies of Confidential documents necessary to prosecute in-custody crimes shall be forwarded to the Warden or designee for authorization to release. Confidential documents identified by the Warden or designee as endangering the safety and security of staff, inmates, or the facility and/or deemed too sensitive for release to the DA or designee will not be released without a proper court order.

All other requests by the DA or designee for access to Confidential files to assess information for possible prosecution of crimes occurring in the community will be reviewed by the Warden or designee on a case-by-case basis. The Warden or designee shall factor the need of the DA or designee to obtain relative information and the need to ensure the safety and security of staff, inmates, and the facility.

In the event the DA or designee discovers exculpatory information in the Confidential file during their initial review, or any subsequent review, the DA or designee shall immediately notify the Warden or designee of the discovery and the DA’s duty to disclose the exculpatory information to the defense per PCPenal Code. The DA or designee shall notify the Warden or designee prior to disclosure of such information to the defense in order for the Warden or designee to determine any possible safety concerns and take appropriate action.

Subpoenas for inmate and parole records shall be referred, in accordance with DOMDepartment Operations Manual 14010.6.3 to the appropriate Attorney General’s (AGAttorney General) Office identified in DOMDepartment Operations Manual 14010.13. Any questions regarding subpoenas or court orders for inmate/parolee records should also be directed to the local AGAttorney General’s office.

• To a person or government entity to the extent required to obtain information from that person or government entity, when necessary for an investigation of a failure to comply with a specific law which CDCRCalifornia Department of Corrections and Rehabilitation is responsible for enforcing.

• To the OIPOffice of Information Practices with the written, voluntary, and timely consent of the individual when necessary for an investigation of a complaint regarding the IPAInformation Practices Act or for mediation of a dispute.

• To an adopted individual if the information is limited to the general background of the individual’s natural parent and does not include or reveal the identity of the natural parent.

• To a child or grandchild of an adopted individual if the information is limited to medically necessary information pertaining to the adopted individual’s natural parents and does not include or reveal the identity of the natural parents.

• To a committee or member of the Legislature with the written, voluntary, and timely consent of the individual.

• To the University of California or a nonprofit educational institution conducting scientific research when the request includes the following:

• The need for the information.

• Procedures protecting the confidentiality of the information.

• Assurance that the identity of the individual shall not be disclosed in an individually identifiable form.

• To an insurer if authorized by VCVehicle Code 10900, et seq.

• To any person when the court issues a subpoena duces tecum or other compulsory legal process for the following:

Note: Before disclosure, if notification is not prohibited by law, CDCRCalifornia Department of Corrections and Rehabilitation shall reasonably attempt to notify the individual to whom the information pertains.

• A peace officer employee’s record. It may be necessary to consult with the OLAOffice of Legal Affairs, IPOLT, prior to disclosing a peace officer employee’s record because of the restrictions imposed by PCPenal Code 832.7 (See DOMDepartment Operations Manual 14010.6.10.2 for further information).

• Other employee’s records. Only the documents specifically named shall be disclosed (See DOMDepartment Operations Manual 14010.10.1 for further information).

• An inmate’s/parolee’s record. Only the C-File shall be provided unless the court specifies other records by title.

Each operational unit within CDCRCalifornia Department of Corrections and Rehabilitation, including headquarters, division offices/sections/ units, field offices, facilities, and parole regions, shall keep an accurate accounting of the date, nature, and purpose of each disclosure made under the following circumstances:

• To persons or government entities when required by them to perform their constitutional or statutory duties. The use must be compatible with a purpose for which the personal information was collected.

• To a governmental entity when required by State or federal law.

• Under compelling circumstances which affect the health or safety of an individual.

• Under a subpoena, court order, or other compulsory legal process.

• Under a search warrant.

• To a law enforcement or regulatory government entity when required for an investigation of unlawful activity or for licensing, certification, or regulatory purposes, unless otherwise prohibited by law.

• To a person or government entity to the extent necessary to obtain information from the person or entity as necessary for an investigation by the person or entity of a failure to comply with a specific state law which that person or entity is responsible for enforcing.

Also Include

• The accounting shall also include the name, title, and business address of the person or government entity to which the disclosure was made. Routine disclosures pertaining to crimes, offenders, and suspected offenders to law enforcement or regulatory government entities of federal, State, and local government require an accurate accounting. However, if disclosure is made to a government entity when required by state of federal law, it shall be sufficient to record the date of disclosure, the law enforcement or regulatory government entity requesting disclosure, and the purpose of the disclosure (e.g., investigation, licensing, certification, or regulatory purposes).

• A CDC Form 819, IPAInformation Practices Act Personal Information Disclosure Log, shall be used to record disclosures. It shall be retained in the individual’s file for three years from the date of disclosure or until the record is destroyed, whichever is earlier. The individual about whom information is disclosed is entitled to inspect this document, except information that is exempt pursuant to DOMDepartment Operations Manual 13030.19.

Each individual has the right to inquire and be notified whether CDCRCalifornia Department of Corrections and Rehabilitation maintains a record about him or her. Any inquiry shall specify the name and title of the records system as filed with the OIPOffice of Information Practices. Inmates are granted access and review of information pertaining to themselves under case law (Olson v. Pope (1974) 37Cal.App.3d783, 112Cal.Rptr.579) and this section. Inmates may request an Olson review of their Central File (C-File) from their assigned Correctional Counselor (CCCorrectional Counselor).

The individual shall be permitted to inspect and obtain an exact copy of all or any portion of any nonexempt personal information about themselves even when it might be kept under the name of another person, entity, event, or date or among other records systems.

The individual may permit another person of their choosing to inspect all nonexempt personal information in a record and have an exact copy of all, or any portion, of the record. The individual must sign a CDC Form 1021, before such disclosure may be permitted.

The individual shall be permitted to inspect the accounting of disclosures made in accordance with this section, except that exempt information contained in the accounting shall be withheld.

Upon written request, the office with the individual’s record shall furnish the requester a copy of CDCRCalifornia Department of Corrections and Rehabilitation’s procedures to be followed to gain access to or amend a record.

The information contained in this form shall include the following:

• The name, title, and business address of the person to contact for each record system and to whom to appeal if all, or any part, of the request is denied.

• Whether the request needs to be in writing.

• Where and when records may be inspected in person, including the regular office hours (See DOMDepartment Operations Manual 13030.21 and 13030.26 for further information).

• Fees to be charged for photocopying information (See DOMDepartment Operations Manual 13030.26.3 for further information).

• Notice that proof of identity, such as a valid driver’s license or notarized signature, shall be required when the individual’s identity (or the identity of the individual’s representative) is not known to the keeper of the records.

• Example of information likely to be exempt from access.

• Approximate time frames in which CDCRCalifornia Department of Corrections and Rehabilitation shall:

• Respond to a request for inspection.

• Respond to a request for copies.

• Respond to a request to amend a record.

• Respond to a request to appeal a refusal to amend a record. (See DOMDepartment Operations Manual 13030.26, 13030.27, 13030.27.2, and 13030.28 for further information.)

• Limitation on what shall be accepted as a rebuttal to information in the record.

The individual requesting any record containing personal information shall sign an acknowledgment of penalties for requesting or obtaining records under false pretenses, CDC Form 1019, IPAInformation Practices Act Statement of Penalties.

Requests for CDCRCalifornia Department of Corrections and Rehabilitation offender records, specifically the C-File, come from various entities such as inmates, attorneys, law enforcement agencies, Office of the Attorney General, District Attorneys, Office of the Inspector General, Governors Office, etc.

Requests are usually received and facilitated by CCCorrectional Counselor’s, Litigation Coordinators, and Case Records Managers. Previous to electronic offender records, the paper C-Files were reviewed onsite or photocopies of the C-File were made.

With the Implementation of the Strategic Offender Management System (SOMSStrategic Offender Management) and the Electronic Records Management System (ERMSElectronic Records Management System), the location of where information resides and the process for gathering and providing offender information has changed significantly.

All existing Departmental policies and regulations, Memoranda, Legal Affairs opinions, and state and federal laws currently in place for releasing offender information as well as redaction of specific information still apply.

SOMSStrategic Offender Management and ERMSElectronic Records Management System are web-based computer programs dependent upon a networked computer accessing a database. SOMSStrategic Offender Management and ERMSElectronic Records Management System contain data of inmates’ case factors and other information that was formerly contained in a paper C-File. The Electronic File in ERMSElectronic Records Management System is organized in sections similar to the former C-File (e.g. Legal, Classification, and Disciplinary). For security reasons, inmates are not allowed to access a networked computer.

In order to facilitate an ERMSElectronic Records Management System version of an Olson review, the documents in each section can be saved to an encrypted compact disc (CD) or in the case of an Inmate Attorney review, a PDF file stored on the institution’s data storage drive commonly referred to as the “Share Drive”. Each section of the ERMSElectronic Records Management System version of the Olson/Inmate Attorney review will contain a category of the File similar to the current paper C-File format (e.g. Legal, Classification, and Disciplinary). The ERMSElectronic Records Management System Olson or Attorney Review CD or PDF file will contain all scanned documents for an inmate that are stored in the ERMSElectronic Records Management System database not considered confidential.

SOMSStrategic Offender Management contains the inmate’s case data that is accessed via computer screens devoted to a specific topic (e.g. Initial Housing Review, Notification in Case of Inmate Death, Serious Injury or Serious Illness, or Physical Characteristics). In order to facilitate a SOMSStrategic Offender Management Olson or Attorney review, the input screens relating to each specific topic can be printed from the SOMSStrategic Offender Management application.

Assigned Correctional Counselor

• When an Olson review request is received from an inmate or inmate’s designee or a copy of the inmate’s file is requested from an outside agency, the designated CCCorrectional Counselor will review the inmate’s C-File (as outlined in DOMDepartment Operations Manual Section 13030.17.2) and determine if any additional confidential information is to be exempt from review. In addition, the CCCorrectional Counselor will review ERMSElectronic Records Management System for any information that may have been misfiled, filed in the wrong inmate’s file, confidential documents filed in a non-confidential section or non-confidential documents filed in the wrong section.

• Per DOMDepartment Operations Manual Section 13030.17.4, the assigned CCCorrectional Counselor will list any confidential documents withheld from the Olson/Inmate Attorney/Third Party review on a CDCRCalifornia Department of Corrections and Rehabilitation Form 810, Confidential Information Listing, and provide the inmate or third party with a copy.

• Once the Olson CD is encrypted and copied, the assigned CCCorrectional Counselor will be contacted by Case Records staff to retrieve the ERMSElectronic Records Management System Olson Review CD, and schedule an appointment with the inmate to review it on a non-networked computer.

Facilitating the Olson Review with the Inmate

• In order to facilitate the Olson Review, the CCCorrectional Counselor will perform the following steps:

  • Provide the inmate a copy of the CDCRCalifornia Department of Corrections and Rehabilitation Form 810; where confidential information exists, it shall be excluded from the review.

  • Print the designated input screens and redact any information deemed confidential prior to the inmate’s review.

  • Place the ERMSElectronic Records Management System Olson Review CD in the non-networked computer.

  • Open the requested sections.

  • Allow the inmate to take notes as requested (per DOMDepartment Operations Manual Section 13030.26.2).

  • Should the inmate request copies of the documents, the CCCorrectional Counselor will note which documents and require the inmate to pay the established per copy charge.

  • Upon completion of the Olson Review the CD will be returned to Case Records for proper disposal.

Inmate Attorney Review

• An Inmate Attorney review of an inmate’s C-File utilizing the SOMSStrategic Offender Management and ERMSElectronic Records Management System applications is accomplished in the same manner as described in the previously listed Olson Review steps.

When a request is received for personal information regarding an employee, the request shall be forwarded to the employee’s immediate supervisor. The supervisor shall:

• Contact the personnel assistant who maintains the employee’s file.

• Request the file be examined for exempt information.

• Request that exempt information be properly identified and protected from disclosure in keeping with this section.

• Request that all nonexempt disclosable information be made available for the employee’s inspection, or for inspection by the employee’s authorized representative (See DOMDepartment Operations Manual 13030.14 for further information).

• If the information is exempt from disclosure, notify the requesting party that CDCRCalifornia Department of Corrections and Rehabilitation cannot comply with the request to disclose the information.

Inmate/Parolee Records

• When a request is received for personal information regarding an inmate or parolee, the request shall be forwarded to the caseworker assigned to the case. The caseworker shall:

  • Review the request to determine if the requested information is exempt from disclosure.

  • If the information is not exempt from disclosure, make arrangements to disclose the information (See DOMDepartment Operations Manual 13030.21 for further information).

  • If the information is exempt from disclosure, notify the requesting party that CDCRCalifornia Department of Corrections and Rehabilitation cannot comply with the request.

Any denial of a request to inspect a record shall contain the reason(s) for the denial and CDCRCalifornia Department of Corrections and Rehabilitation’s policy, How to Inspect and Correct Your Record relating to requesting a review of the decision to deny access to a record. Appeals of this denial shall be the same as for an appeal of a refusal to amend a record (See DOMDepartment Operations Manual 13030.28).

A CDCRCalifornia Department of Corrections and Rehabilitation employee who has been trained and specifically designated (see DOMDepartment Operations Manual 13030.3.1 for further information) as an authorized discloser of exempt personal (formerly confidential) information shall examine all material in the file or record prior to any inspection by the requester, the requester’s attorney, or any person designated by the requester. Caseworkers (for inmate/parolee records) or personnel assistants (for employee records) generally are designated to examine records for exempt personal information.

The purpose of the screening is:

• To evaluate material already classified as exempt or nonexempt to reaffirm the validity of the determination.

• To classify materials as exempt or nonexempt according to the CCRCalifornia Code of Regulations 3321 and DOMDepartment Operations Manual 13030.19 of this manual.

• To prepare CDCRCalifornia Department of Corrections and Rehabilitation Form 810, Confidential Information Listing; CDC Form 811, or Confidential Information Removal Notice.

• To ensure that all exempt material is removed from an employee’s file or is placed in the Confidential Material Folder for inmate/paroleeC-files, so as not to be improperly disclosed (See DOMDepartment Operations Manual 13030.3 and 13030.18 for further information).

When an employee feels a document in an inmate/parolee C-file contains exempt personal (formerly confidential) information, the document shall be forwarded to a staff person at the level of Correctional Counselor III (CCCorrectional Counselor-III), Parole Agent III (PAProgram Administrator-III), or higher, with a recommendation for approval of the designation of “Confidential.” The staff person approving the designation shall ensure that the document is handled as required in DOMDepartment Operations Manual 13030.17.4.

• An employee who feels a document should be designated “Confidential” shall hand deliver the document to the CCCorrectional Counselor-III/ PAProgram Administrator III, if feasible. If not, follow instructions in DOMDepartment Operations Manual 13030.31.

Every classification committee shall review the documents in the Confidential Section of each case being considered. If the designation of “Confidential” assigned to any document is no longer warranted, the document shall be reclassified. The classification committee chairperson shall ensure that the procedures for returning declassified documents to their assigned place in the C-file, as outlined in DOMDepartment Operations Manual 13030.17.4, are followed.

When the examiner disagrees with a prior designation of confidential or non-confidential, the examiner shall forward the document to the appropriate staff person for designation or declassification as outlined in DOMDepartment Operations Manual 13030.17.2.1.

Where a difference of opinion cannot be resolved in this manner, the examiner shall refer the matter to their immediate supervisor in headquarters, to the associate Warden in a facility, or to the assistant Regional Parole Administrator (RPARegional Parole Administrator) in a parole region. When a significant and consequential difference of opinion between staff cannot be resolved, the matter shall be referred to the Warden, RPARegional Parole Administrator or (in headquarters) the deputy or assistant director.

If an entire document is classified as exempt, the originator of the document or the person designating it as confidential shall:

• Conspicuously stamp the document at its top and bottom with the word “Confidential” in red ink. If the document consists of more than one page, each page shall be so marked.

• Date and sign the designation of confidential.

• Note the document in the C-file on CDCRCalifornia Department of Corrections and Rehabilitation Form 810.

• Replace the document with a completed CDC Form.

• Immediately scan the document into the Confidential Section of the ERMSElectronic Records Management System file.

Mixed Information

• If a document contains a mixture of exempt and nonexempt information, the originator or the person designating it as confidential shall:

  • Conspicuously stamp the document at its top and bottom with the word “Confidential” in red ink. If the document consists of more than one page, each page shall be so marked.

  • Date and sign the designation of confidential.

  • Cover the exempt portions and make a photocopy which shall be included in the nonexempt portion of the C-file to be disclosed.

  • Immediately scan the document into the Confidential Section of the ERMSElectronic Records Management System file.

  • Note the exempt information on the CDCRCalifornia Department of Corrections and Rehabilitation Form 810.

Leave Information

• The Confidential Information Listing and Confidential Information Removal Notice shall remain in the C-file when requester inspects the C-file.

• When a designation of confidential is removed from a previously confidential document, the examiner shall ensure that:

  • The document is removed from the Confidential Section and returned to its regular place in the C-file.

  • A line is drawn through the identifying confidential designation.

  • The redesignation as no longer confidential includes the date and signature of the examiner.

  • The document is deleted from the CDCRCalifornia Department of Corrections and Rehabilitation Form 810.

  • The CDC Form 811 is removed from the record.

Obsolete Information

• Confidential Information Listing forms made obsolete by the designation, or re-designation of confidential material shall be removed from the record and destroyed and an updated Confidential Information Listing shall be inserted by the examiner.

The responsibility for the preparation of the Confidential Section shall rest with the originator of a document or the examiner when the first instance arises which requires the separation of exempt personal (formerly confidential) information from the main body of the C-file. Staff remains responsible to ensure they complete the process of stamping the document “Confidential” top and bottom, and for ensuring the appropriate level of administrative approval is obtained and the document scanned to the Confidential Section of ERMSElectronic Records Management System.

Retention of Folder

• The Confidential Section shall remain a permanent part of the C-file. The contents of the Confidential Section shall not be returned to its normal position in the C-file until, or unless, the confidential designation is removed and the information is no longer exempt from disclosure. Exceptions may be made on a temporary basis to facilitate special circumstances, i.e. confidential BPHBoard of Parole Hearings (formerly Board of Prison Terms)/BPT addenda and permanent addenda.

• Except for the temporary exceptions mentioned above, all information designated as confidential shall be placed, and retained, in the Confidential Section.

The CDCRCalifornia Department of Corrections and Rehabilitation is not required to disclose personal information to the individual about whom the information pertains, if the information meets any of the following criteria:

• Is compiled for the purpose of identifying individual criminal offenders and alleged offenders and consists only of identifying data and notations of arrests, the nature and disposition of criminal charges, sentencing, confinement, release, and parole and probation status.

• Is compiled for the purpose of a criminal investigation of suspected criminal activities, including reports of informants and investigators, and is associated with an identifiable individual.

• Is contained in any record which could identify an individual and which is compiled at any stage of the process of enforcement of the criminal laws, from the arrest or indictment stage through release from supervision, including the process of extradition or the exercise of executive clemency.

For Investigative Purposes

• Is maintained for purpose of an investigation of an individual’s fitness for licensure or public employment, or of a grievance or complaint, or of a suspected civil offense, as long as the information is withheld only so as not to compromise the investigation or a related investigation. The identities of individuals who provided information for the investigation maybe withheld when the provisions of DOMDepartment Operations Manual 13030.13.3 are met.

• Would compromise the objectivity or fairness of a competitive examination for appointment or promotion in public services, or to determine fitness for licensure, or to determine scholastic aptitude.

Condition of Individual

• Pertains to the physical or psychological condition of the individual, if determines that disclosure would be detrimental to the individual. The information shall, upon the individual’s written authorization, be disclosed to a licensed physician designated by the individual. When a determination is made that information is exempt under this exclusion, it shall be documented as follows:

• For employees, a physician shall make a statement on the document (or attach a statement to the document) that disclosure of the information would be detrimental to the person about whom it was prepared.

• For inmates/parolees, a physician shall prepare a CDC Form 128C, Medical Chrono, stating that disclosure of the information to the inmate/parolee would be detrimental. The information shall be included in ERMSElectronic Records Management System by designated staff as soon as possible.

• Relates to the settlement of claims for work-related illnesses or injuries and is maintained exclusively by SCIFState Compensation Insurance Form.

• Is required by statute to be withheld from the individual to whom it pertains.

Where a source person, not in a supervisory relationship to the individual, provides nonexempt information to CDCRCalifornia Department of Corrections and Rehabilitation under a promise of confidentiality, the information shall be fully disclosed unless the information is otherwise exempt from disclosure. However, the identity of the source shall, in this circumstance, be withheld. The individual must either be allowed access to an exact copy of the information with only the source person’s identity deleted or they must be provided with a comprehensive summary of the substance of the information, with particular attention to providing any nonexempt personal information that could affect the individual’s reputation, rights, benefits, or privileges (See DOMDepartment Operations Manual 13030.13.3 for further information).

Upon receipt of a proper written request, the inspection of records shall be scheduled as soon as possible by the caseworker, or personnel assistant, but no later than:

• Thirty days from the date the request is received in CDCRCalifornia Department of Corrections and Rehabilitation for active records and discharged CDCRCalifornia Department of Corrections and Rehabilitation archive files already available on ERMSElectronic Records Management System.

• Sixty days from the date the request is received in CDCRCalifornia Department of Corrections and Rehabilitation for inactive records in central storage or for records which are geographically dispersed.

Failure by CDCRCalifornia Department of Corrections and Rehabilitation to respond within these time limits shall be deemed a denial to access of the record. All inspections of departmental records shall be supervised by a Department employee.

Location of Review

• Inspection of a file kept by CDCRCalifornia Department of Corrections and Rehabilitation shall take place at the location where the record is usually maintained. The following exceptions may apply:

  • If a court orders a file to be inspected at another location, CDCRCalifornia Department of Corrections and Rehabilitation shall comply with the court order.

  • An attorney, who has obtained written, voluntary, and timely authorization from the person about whom the personal information is kept, may request to inspect a record at a departmental office or facility near the attorney’s office.

  • The person approving a request to inspect a record at an alternate location may, upon written request, approve the alternate site for the inspection only after receiving permission from the head of the office where the proposed inspection is to take place.

Upon proper written request, an inmate or parolee [or, with proper authorization (see DOMDepartment Operations Manual 13030.14 for further information), their attorney or representative] shall be permitted to review their record ten days prior to any BPHBoard of Parole Hearings (formerly Board of Prison Terms) meeting for any of the following:

• Reviewing eligibility for parole, release, or return.

• Setting, postponing, or rescinding a parole/release date.

• Evaluating an appeal of good time credit denial.

Compliance with DOMDepartment Operations Manual 13030.17.4 and 13030.20 shall precede any disclosure of a record.

Although CDCRCalifornia Department of Corrections and Rehabilitation records and files containing personal information identifying an individual are not public records and shall not, at any time or under any circumstances, be made accessible to the public or news media, non-personal information obtained from such records and files may be disclosed to individual members of the public and the news media without the individual’s consent. Information shall be disclosed only by CDCRCalifornia Department of Corrections and Rehabilitation employees who have been trained and specifically designated to disclose personal information (See DOMDepartment Operations Manual 13030.3.1 for further information).

When responding to a request from the news media, the identity of the requester shall be determined, and the information disclosed shall be related to a current newsworthy event.

Released

• The following information about employees may be released:

  • Class title.

  • Class salary range.

  • Work location.

  • Work telephone number.

  • Role or function in a newsworthy event.

  • Records of adverse actions. A notice of such action filed with SPBState Personnel Board (see CalHR) is accessible to the public, just as hearings on appeals are considered open to the public, with rare exceptions to protect minors, wards, and patients under special circumstances.

Not Released

• The following information is exempt and shall not be released:

  • Photographs of the individual or their family members.

  • Home address and telephone number.

  • Performance evaluations unless they are at issue in an adversarial proceeding.

CDCRCalifornia Department of Corrections and Rehabilitation employees shall not use the SSCHState Summary - Criminal History Information from CI&ICriminal Identification and Information to furnish information about an inmate’s arrest history to the inmate’s family, friends, prospective employers, the news media, or the public. Persons who are not authorized by State DOJDepartment Of Justice to receive the CI&ICriminal Identification and Information SSCHState Summary - Criminal History but who have a legitimate interest in the inmate’s past history may be given information from other nonexempt documents in the inmate’s C-file.

Any person authorized by law to receive the CI&ICriminal Identification and Information SSCHState Summary - Criminal History, who knowingly furnishes the record or information to a person not authorized by law to receive it, is guilty of a misdemeanor.

Only the CCRMCorrectional Case Records Manager of headquarters and each facility or regional parole office shall release CI&ICriminal Identification and Information SSCHs, and they shall be released only to those agencies authorized by State DOJDepartment Of Justice to receive CI&ICriminal Identification and Information SSCHs.

State DOJDepartment Of Justice Guidelines for Dissemination of Criminal Offender Records Information shall be maintained in the records office at headquarters, facilities and regional parole offices.

Photocopy

• When an inmate seeks to obtain a photocopy of a CI&ICriminal Identification and Information SSCHState Summary - Criminal History, they shall be instructed to complete a BCID Form 8705, Application to Obtain Copy of State Summary Criminal History Record, and a Trust Account Withdrawal Form in the amount of $25.00 payable to DOJDepartment Of Justice. If there is an extra completed fingerprint card in the inmates C-file, it may be used with this application. Otherwise the inmate shall be fingerprinted. The records office shall forward the BCID Form 8705, the inmate’s check, and the fingerprint card to DOJDepartment Of Justice for the inmate. There shall be no charge for these services by CDCRCalifornia Department of Corrections and Rehabilitation employees.

• When an employee, parolee, or their attorney seeks to obtain a photocopy of a CI&ICriminal Identification and Information SSCHState Summary - Criminal History, they shall be referred to DOJDepartment Of Justice, the local sheriff, or the local police department to file an application for a CI&ICriminal Identification and Information SSCHState Summary - Criminal History.

Not Exempt

• Unless inmate/parolee information is classified as exempt, it may be disclosed. The following inmate/parolee information is not exempt [See DOMDepartment Operations Manual 13030.23.4 for guidelines on DJJDivision of Juvenile Justice (formerly CYA)/CYASee Division of Juvenile Justice (DJJ) ward information]:

  • Age.

  • Date of birth.

  • Birthplace.

  • Race.

  • CDCRCalifornia Department of Corrections and Rehabilitation identification number.

  • Commitment offense for the current term of imprisonment and any prior commitments to prison.

  • County(ies) from which committed.

  • Any pending court action or records of court proceedings.

  • Facility or field parole office having jurisdiction of the case.

  • Anticipated date of release to parole or discharge.

  • BPHBoard of Parole Hearings (formerly Board of Prison Terms) hearing schedule and actions.

  • Nature of an injury.

  • Cause of death.

  • The individual’s role, functions, or actions relating to a newsworthy event.

Exempt

• The following information is generally exempt from disclosure:

  • Personal information about the inmate/parolee, except as provided above.

  • Personal information about the inmate’s/parolee’s family, relatives, friends, associates, or former employer.

  • Any other information about the inmate/parolee which is not relevant, pertinent, or directly related to a current newsworthy event or which may affect the safety of the inmate.

No photographs or other information which pertains to a DJJDivision of Juvenile Justice (formerly CYA) ward or which identifies an individual as a ward shall be released to the media or to the public without DJJDivision of Juvenile Justice (formerly CYA) approval. This includes adult Superior Court commitments as well as Juvenile Court commitments covered by specific statutes. When a compelling reason or need exists, CDCRCalifornia Department of Corrections and Rehabilitation shall obtain DJJDivision of Juvenile Justice (formerly CYA) approval prior to disclosing any information concerning a DJJDivision of Juvenile Justice (formerly CYA) ward.

With the Patient’s Consent

• If the patient gives prior written consent, designated employees (see DOMDepartment Operations Manual 13030.3.1 and 13030.17.2 for identifying designated employees) may disclose necessary written or verbal information to the following persons:

  • The patient’s attorney.

  • The patient’s immediate family members as defined in Section 3000 of the Title 15, unless the person responsible for treatment believes the disclosure would be harmful to the patient.

  • Employers and employment agencies when the information may assist in the patient’s rehabilitation.

  • A criminal justice agency which requires methadone maintenance as a condition of release, probation, parole, the disposition or status of any criminal proceedings against the patient, or pursuant to the execution or suspension of any sentence imposed upon the patient.

  • Licensed physicians when the disclosure is necessary for them to furnish medical services to the patient to whom the personal information pertains.

  • Licensed physicians when necessary to provide continued methadone maintenance when the patient is traveling, incarcerated, or hospitalized.

Document

• Such disclosures shall be documented as follows:

  • The name of the patient or assigned program case number.

  • The time and date of the disclosure.

  • The information disclosed.

  • The names of individuals by whom and to whom the disclosure was made.

  • The purpose for the disclosure.

Note: Consent to disclose information under this section may not be revoked for 60 days or until the condition for which it was given has terminated, whichever is later.

Without the Patient’s Consent

• If the patient does not give prior written consent, designated employees may disclose information verbally or in writing to the following persons:

  • Licensed physicians to the extent required to meet a bona fide medical emergency if, upon disclosure, CDCRCalifornia Department of Corrections and Rehabilitation sends notification to the patient’s last known address and the disclosure does not conflict with other state or federal law.

  • Persons authorized by a court order to receive such information if, before disclosure, CDCRCalifornia Department of Corrections and Rehabilitation attempts to notify the individual unless the notification is prohibited by law.

  • Qualified persons conducting authorized scientific research, management audits, financial audits, or program evaluation. The identity of individual patients shall not be disclosed, either directly or indirectly, in any resulting report.

In limited instances CDCRCalifornia Department of Corrections and Rehabilitation may respond to a request for personal information that no records are kept by CDCRCalifornia Department of Corrections and Rehabilitation, even though nonexempt information is kept. This exception is very limited and requires a court order pursuant to CCCorrectional Counselor 1798.41(c).

CDCRCalifornia Department of Corrections and Rehabilitation may seek to use this exception only if disclosing the information would:

• Seriously interfere with attempts to prevent the commission of crime, or

• Endanger the life of an informant or other person who submitted the information contained in this record.

In order to bar disclosure of nonexempt personal information under this rule, the presiding judge of the superior court in the county in which the record is maintained must review the record in camera. If the judge agrees that the information meets the above criteria, the court issues an ex parte order authorizing CDCRCalifornia Department of Corrections and Rehabilitation to respond to the requester that no record is maintained, even though CDCRCalifornia Department of Corrections and Rehabilitation maintains a record.

Duration of Court Order

• The maximum effective life of such order shall be no longer than 30 days. CDCRCalifornia Department of Corrections and Rehabilitation may seek renewals of the order at 30-day intervals. If an order expires, and CDCRCalifornia Department of Corrections and Rehabilitation receives another request to disclose the nonexempt personal information, CDCRCalifornia Department of Corrections and Rehabilitation would be required to obtain another court order or disclose the information.

Requests for Court Order

• When a request for disclosure of information is received and the reviewer feels that the one, or more, of the above circumstances exist, the reviewer shall:

  • Contact the Office of the AGAttorney General (see DOMDepartment Operations Manual 14010.18.1) and request that the Attorney General seek an ex parte order authorizing CDCRCalifornia Department of Corrections and Rehabilitation to respond to the person requesting the information that no record is maintained by CDCRCalifornia Department of Corrections and Rehabilitation.

  • Provide sufficient justification to the Office of the AGAttorney General to allow that office to approach the court and show cause why the information (otherwise not exempt from disclosure) should be withheld and why the ex parte order should be issued by the court.

Prior to the transfer of a record, particularly to another jurisdiction, the record shall be reviewed, corrected, and updated, and any portion known or believed to be inaccurate or untimely shall be withheld. Records are cumulative, and the accuracy and validity of information in the record is accomplished through continual updating and scheduled purging of outdated and unneeded information.

The CDCRCalifornia Department of Corrections and Rehabilitation shall present the information in a form reasonably clear to the general public. When the person to whom disclosure is made has difficulty understanding material contained in a record, the employee supervising the inspection of the record shall make a reasonable effort to help the person understand the record.

There shall be no charge for staff services in supervising the inspection of a file during normal business hours by the requester, a requester’s attorney, or any person designated and authorized by the requester to inspect the file.

When a person requests inspection of a file or record outside of CDCRCalifornia Department of Corrections and Rehabilitation’s regular business hours for the office in which the inspection will take place, CDCRCalifornia Department of Corrections and Rehabilitation may, at its discretion, grant or deny the request. When CDCRCalifornia Department of Corrections and Rehabilitation grants the request, the requesting person shall be notified that a charge may be made to reimburse CDCRCalifornia Department of Corrections and Rehabilitation for any costs incurred in supervising the inspection of records outside of regular business hours and the amount of any charge.

The decision to grant or deny a request to inspect a file or record outside of regular business hours shall be made by the deputy or assistant director over a headquarters unit or the Warden or RPARegional Parole Administrator with administrative control of the unit retaining the file or record to be inspected.

Notes may be taken during the inspection of a record. Notes shall be limited to brief references to specific documents the person intends to question or discuss with employees after the completion of the file review or to specific documents the person may decide to have copied. Verbatim copies of completed documents or lengthy portions of documents shall not be permitted during the inspection.

No person shall be permitted to use any pen and/or ink writing instrument during note-taking in the process of inspecting a departmental record. Only pencils may be used for the taking of notes.

When copies of arrest reports are requested by the subject of the report, they shall be referred to the agency where the report originated.

Copies of nonexempt information shall be provided to the requesting party, or their designee, when permitted by this section. All requests for copies of any record shall be in writing, and it shall clearly identify the document or material to be copied.

Requests for photocopies of documents shall be referred to the person who reviewed the request prior to disclosure for exempt information (For additional information on copying services, see DOMDepartment Operations Manual 13030.16.1, and 13040.20).

Upon a showing of a reasonable need to have a copy of a document, and upon payment of ten (10) cents per copied page, the requested copies shall be made and transmitted to the requesting party within 15 days of receiving the request.

There may be instances where a request to review a record is based upon the requester’s need to obtain a copy of one, or even several, specific documents contained in a file. In those cases it may best serve the needs of CDCRCalifornia Department of Corrections and Rehabilitation to provide those copies (if the information is disclosable) rather than have an employee supervise a full inspection of the record by the requesting party. No charge shall be made when copies are furnished in lieu of a physical inspection of the full record.

An employee supervising the inspection of a record may answer questions about nonexempt information contained in or related to the records or refer the requester to the person who examined and approved the record for inspection.

Employees shall not engage in debates, justification, or discussions regarding departmental actions. Employees shall make genuine, reasonable efforts, when requested, to assist the requester in understanding nonexempt information being inspected. This could include, but is not limited to, reading a document (if the requester is illiterate), and explaining abbreviations and acronyms used by CDCRCalifornia Department of Corrections and Rehabilitation.

Any person seeking to correct or amend a record CDCRCalifornia Department of Corrections and Rehabilitation obtained from another agency shall be directed to make their request to the agency from which the record originated.

Any person about whom CDCRCalifornia Department of Corrections and Rehabilitation maintains any record of personal information may request that the information be amended to correct outdated, inaccurate or incomplete information.

Requests to amend any record maintained by CDCRCalifornia Department of Corrections and Rehabilitation shall be directed to:

• The source of the contested information if the source is a departmental official or employee who is responsible for the contested information’s placement or retention in the record or file.

• The keeper of the record being contested if the source person is not as described above or if the source person is no longer available.

Any request to amend a CDCRCalifornia Department of Corrections and Rehabilitation record shall be in writing and shall contain at least the following:

• Sufficient specific identifying information to permit CDCRCalifornia Department of Corrections and Rehabilitation to locate the record and the specific portion of the record that is to be considered for amendment.

• The information the requester alleges should be amended.

• Those amendments the requester feels should be made.

• Full documentation to support and justify the amendment.

The CDCRCalifornia Department of Corrections and Rehabilitation shall, within 30 days:

• Make each amendment in accordance with the individual’s request and inform the individual of the amendments; or

• Inform the individual of CDCRCalifornia Department of Corrections and Rehabilitation’s refusal to amend the record, the reason for the refusal, and the process established by CDCRCalifornia Department of Corrections and Rehabilitation for the individual to request a review of any refusal to amend the record (See DOMDepartment Operations Manual 13030.28 for further information).

Inmate/Parolee Appeals

• When an individual disagrees with CDCRCalifornia Department of Corrections and Rehabilitation’s refusal to amend a record, they may request CDCRCalifornia Department of Corrections and Rehabilitation review that decision. Requests submitted by inmates and parolees for CDCRCalifornia Department of Corrections and Rehabilitation to review a decision not to amend a record shall follow the inmate/parolee appeal process, and shall be submitted on CDCRCalifornia Department of Corrections and Rehabilitation Form 602, Inmate/Parolee Appeal (refer to DOMDepartment Operations Manual 54100 for information concerning inmate/parolee appeals).

• For requests submitted by employees and other than inmates and parolees, the first level of review shall be the Warden, RPARegional Parole Administrator or division head (in headquarters). The second level of review shall be the Director.

• For appeals from employees and persons other that inmates and parolees, the request shall be in writing and shall include the following:

  • A copy of all previous requests to amend and any prior correspondence concerning amending the record.

  • A copy of all previous CDCRCalifornia Department of Corrections and Rehabilitation responses and any prior correspondence concerning the request to amend the record.

  • A full statement explaining why the individual disagrees with CDCRCalifornia Department of Corrections and Rehabilitation’s denial.

  • Full documentation to support and justify the request to review the refusal to amend the record.

Length of Review Period

• Responses to requests to review a decision denying a correction or amendment to a departmental record shall be made no later than 30 days from the date of receipt within CDCRCalifornia Department of Corrections and Rehabilitation. Upon a showing of good cause, CDCRCalifornia Department of Corrections and Rehabilitation may extend the review period up to 30 additional days (for a total of not more than 60 days from the receipt of the request). The individual requesting a review shall be notified that CDCRCalifornia Department of Corrections and Rehabilitation extended the response time and the reasons establishing good cause to extend the response time.

• Inmate/parolee appeals shall be handled within the established time limits for appeals.

If the individual continues to be dissatisfied after the above review process has been completed, and the denial of the request to amend has been upheld, a statement of disagreement may be placed in the record by the individual about whom the information pertains.

Where the disputed information is an opinion, diagnosis, etc., of another person, the individual may place in the record a rebuttal or a counter opinion, diagnosis, etc. While no arbitrary limit is placed upon the length of the statement, the statement must be limited to a length reasonable to the circumstance or information disputed (normally from one to three pages).

When a statement of disagreement is placed in the record, the original record shall not be altered. The statement of disagreement shall be made available to any person eligible to review the disputed information, and when the disputed information is disclosed, the statement of disagreement shall be included with the disclosure. If the statement of disagreement contains exempt personal information, for the purpose of future disclosure, it shall be screened, classified, and treated like any other information in the record. Any decision based upon the disputed information shall include a review of the statement of disagreement and a consideration of its contents.

Any disclosure of disputed information and a statement of disagreement shall include a concise statement of the reasons for CDCRCalifornia Department of Corrections and Rehabilitation’s decision not to alter the original record.

The statement of disagreement shall remain a part of CDCRCalifornia Department of Corrections and Rehabilitation’s record as long as the disputed information is retained in the record.

Inmates and parolees shall not be used to gather, process, maintain, or handle exempt personal (formerly confidential) information. The use of inmates to process nonexempt information shall be minimized.

Administrative, technical, and physical safeguards shall be established and implemented to ensure compliance with the provisions of this section, to ensure the security and confidentiality of records, and to protect against reasonably anticipated threats and hazards which could result in damage to, dissemination of, or destruction of departmental records.

Records shall not be taken from their usual place of use or storage unless specifically approved by policy or procedures. Records shall not be taken off state property without the express permission of the Warden; RPARegional Parole Administrator; Deputy Director, OLAOffice of Legal Affairs; or their designees.

Records containing exempt personal (formerly confidential) information shall be stored in locked areas designed to protect the privacy and integrity of the records. When exempt personal information is not under the physical control and observation of a person authorized to review it, the record shall be returned to the locked area.

The authorized person reviewing exempt personal information shall assure its security while it is under their control.

Immediately after they have served their purpose, all preliminary drafts, carbon sheets, plates, stencils, stenographic notes, work sheets, and similar items shall be destroyed by the person responsible for their preparation.

Exempt personal information shall be mailed in two envelopes as follows:

• The outer envelope shall be addressed in the normal manner, and it shall not be marked with any indication that exempt personal (formerly confidential) information is enclosed.

• The inner envelope shall be marked in one of two ways:

  • “CONFIDENTIAL to __________________ unit.” This envelope may be opened only by unit staff and handled in the manner, or

  • “CONFIDENTIAL to __________________ unit. Mr./Mrs. _________________ only.” This envelope shall be opened by the designated person. Employees should be aware that if the designated person at the address is not available, the package or envelope shall not be opened until that person is available or other permission is obtained from the sender.

The CDCRCalifornia Department of Corrections and Rehabilitation records shall be retained only as approved on STDStandard Form (DGS) Form 73, Records Retention Schedule (RRSRecords Retention Schedule), and DOMDepartment Operations Manual 72010. Every effort shall be made to protect the privacy of the information when it is being destroyed. All personal information in departmental records shall be shredded by hand or by machine.

Personnel records shall not be combined with non-personal records when being shipped, mailed (see DOMDepartment Operations Manual 13030.30 for further information), or transported for destruction.

Any individual may initiate a civil action if CDCRCalifornia Department of Corrections and Rehabilitation:

• Refuses to comply with an individual’s lawful request to inspect their records.

• Fails to maintain any record concerning an individual with accuracy, timeliness, and completeness where the failure results in a determination adverse to the individual about whom the information pertains.

• Fails to comply with the IPAInformation Practices Act in such a way that it has an adverse effect on the individual about whom the information pertains.

Court May

• In any suit brought against CDCRCalifornia Department of Corrections and Rehabilitation, the court may:

  • Examine the contents of any record to determine whether the records may be withheld as being exempt from the individual.

  • Award to the individual reasonable attorney’s fees and other litigation costs, including payment for mental suffering, if the court’s finding is adverse to CDCRCalifornia Department of Corrections and Rehabilitation.

Penalties

• Penalties for noncompliance with the IPAInformation Practices Act are as follows:

  • Any employee of CDCRCalifornia Department of Corrections and Rehabilitation who intentionally violates any part of the IPAInformation Practices Act shall be subject to adverse action, including termination of employment.

  • Any person who requests or obtains any record containing personal information from CDCRCalifornia Department of Corrections and Rehabilitation under false pretenses shall be guilty of a misdemeanor and may be fined up to $5,000, or imprisoned up to one year, or both.

  • The intentional disclosure of medical, psychiatric, or psychological information is punishable as a misdemeanor if the wrongful disclosure results in economic loss or personal injury to the individual, except when the disclosure is required or permitted by law.

The Director, Division of Administrative Services, or designee is responsible for ensuring that the contents of this article are kept current and accurate.

CCCorrectional Counselor § 1798, et seq. (IPAInformation Practices Act).

ECEvidence Code § 1040, et seq.

GCGovernment Code §§ 6250, 6252(b), 6254(b), 6263, and 14740 – 14750.

PCPenal Code §§ 832.7, 1543 – 1545, 2081, 2081.5, 2082, 11105, and 11140.

W&I §§ 1000 and 5328.01.

5 USC 552 and 552a.

CCRCalifornia Code of Regulations (15) (3) §§ 3321 and 3450, et seq.

SAMState Administrative Manual §§ 1665 – 1673.2.

DOMDepartment Operations Manual §§ 13040, 14010, 54100, and 72010.

Olson v. Pope (1974) 37Cal.App.3d783, 112 Cal.Rptr.579.