Chapter 1 – General Administration

The CDCRCalifornia Department of Corrections and Rehabilitation shall maintain a records management program to ensure the efficient creation, use, maintenance, retention, preservation, and disposition of records, files, and micrographics.

This Article establishes the requirements of the records management program as mandated by current statutes, laws, regulations, State policy, and collective bargaining agreements.

The following definitions are provided for the purpose of the Article:

• Active Record

  • Any record accessed frequently.

• Archival Record

  • Any record that has historical value and is preserved permanently at the California State Archives (CSA).

• California Records and Information Management (CalRIM)

  • Program within the California Department of General Services (DGSDepartment of General Services) that provides management consulting services to assist agencies in developing and implementing an organizational records management program.

• California State Archives

  • The California Secretary of State is responsible for maintaining any record of historical value at CSA for public reference after the CDCRCalifornia Department of Corrections and Rehabilitation’s records retention period is completed.

• Confidential Record

  • Any record which contains information exempt from individual, public, or CDCRCalifornia Department of Corrections and Rehabilitation review due to legal or security reasons.

• CDCRCalifornia Department of Corrections and Rehabilitation Archives

  • The storage location of discharged inmate/parolee records.

• Inactive Record

  • Any record required infrequently, but must be retained until the designated destruction date.

• Local Archives

  • Any local facility or office storage area where inactive or discharged records are retained in an organized boxed manner until the authorized destruction date.

• Microfilm

  • The process of reducing the size and volume of paper records by means of micrographic technology.

• Nonrecord

  • Any library or reference material, publications, blank form, informal notes, worksheets, and rough drafts of letters and reports.

• Official Record

  • Any nonduplicate, authentic record maintained as the CDCRCalifornia Department of Corrections and Rehabilitation’s primary record used to substantiate any necessary follow-up activities.

• Personal Record

  • Any record that identifies or describes an individual including but not limited to: Name, Social Security number, physical description, home address, home telephone number, education, financial matters, medical or employment history, and statements made by or attributed to the individual. Any other information the disclosure of which would constitute an unwarranted invasion of personal privacy (see Chapter 3, Article 20, Personnel Policies). Civil Code Sections 1798-1798.1, Information Practices Act (IPAInformation Practices Act), protects the collection, maintenance, and dissemination of personal records. (See Department Operations Manual (DOMDepartment Operations Manual), Chapter 1, Article 15, Information Practices.)

• Public Record

  • Any record maintained by the CDCRCalifornia Department of Corrections and Rehabilitation relating to the Department’s business conduct that can be made available for public inspection in accordance with the Public Records Act. (See DOMDepartment Operations Manual, Chapter 1, Article 16, Public Records.) Record Any paper, map exhibit, electronic disk or type, microfilm image, photographic film or print, building plan, or drawing.

• Records Coordinator (RCReception Centers)

  • The individual responsible for the CDCRCalifornia Department of Corrections and Rehabilitation’s Records Management Program and is located in headquarters.

• Records Destruction

  • The appropriate disposition of records through recycling or confidential destruction.

• Records Retention Schedule (RRSRecords Retention Schedule)

  • The document governing the authorized retention and disposition of all agency record systems as identified in the CDCRCalifornia Department of Corrections and Rehabilitation’s Records Retention Handbook.

• Records Transfer

  • The organized movement of inactive or discharged records to the State Records Center (SRCState Records Center), CDCRCalifornia Department of Corrections and Rehabilitation headquarters, or local archives for further retention, or the transfer of ownership to the CSA for historical purposes.

• State Records Center

  • The off-site records storage location owned and maintained by DGSDepartment of General Services to provide inactive records storage and confidential records destruction services for the State agencies.

• Vital Record

  • Any record that is essential for daily performance or reconstruction of basic CDCRCalifornia Department of Corrections and Rehabilitation programs during and following a major disaster.

Headquarters’ Business Management Branch shall plan, organize, implement, and administer records management program policies and procedures.

CDCRCalifornia Department of Corrections and Rehabilitation staff shall be provided general training regarding the policies and procedures to be followed to ensure compliance with State laws and regulations pertaining to records management.

The following are provisions for Record Management within the CDCRCalifornia Department of Corrections and Rehabilitation in accordance with current statutes, laws, regulations, State policy, and collective bargaining agreements.

The Records Coordinator (RCReception Centers) shall:

• Ensure the necessity, availability, and maintenance of records.

• Ensure the disposal of unnecessary records.

• Coordinate micrographic activities.

• Provide assistance to records liaisons.

• Submit required records reports.

• Obtain approval of record retention schedules.

• Arrange transfer of inactive/discharged records to SRCState Records Center.

• Coordinate destruction of obsolete/discharged records by the paper recycle or confidential destruction programs.

• Approve and coordinate requests for purchase of filing, micrographic, and document destruction equipment.

Each division office, parole region, and facility shall appoint a records liaison that shall work with the RCReception Centers to provide efficient records management. Staff Services Analysts shall be appointed for each parole region, and Procurement and Services Officers I and II (Correctional Facility) shall be appointed for each institution/facility.

Public records shall be available to the public and to all offices, but shall be removed only by authorized employees. Staff removing file material from its proper location shall replace the file material or folder with a card showing the following:

• Title of borrowed record.

• Name of borrower.

• Date record is borrowed.

Employees shall refer to the following for additional information:

The following locations maintain the official records listed.

The State Administrative Manual (SAMState Administrative Manual) mandates that the CDCRCalifornia Department of Corrections and Rehabilitation complete and submit the Annual Progress Report on Records Management to DGSDepartment of General Services, CalRIM. This report is due to DGSDepartment of General Services by August 30. The RCReception Centers shall coordinate the report and forward a report summary to Executive Staff.

SAMState Administrative Manual also mandates that each agency must inventory its records at least once every five years. The RCReception Centers shall coordinate this inventory.

The guidelines for the legal retention, disclosure, and destruction of all CDCRCalifornia Department of Corrections and Rehabilitation records are listed in each operational unit’s RRSRecords Retention Schedule.

Within three months after implementation of each operational unit, an RRSRecords Retention Schedule shall be initiated, and every five years thereafter, the RRSRecords Retention Schedule shall be updated. The RCReception Centers shall provide the new operational unit a Std. Form 70, Records Inventory Worksheet, to be completed from which the RRSRecords Retention Schedule will be created. Every five years thereafter, a Std. Form 70 shall be provided the operational unit, along with a copy of the current approved Std. Form 73, RRSRecords Retention Schedule, and a Std. Form 72, Request for Approval of RRSRecords Retention Schedule, for review and approval. All forms shall be returned to the RCReception Centers for further revision or processing.

Once approved by CalRIM and CSA, the RRSRecords Retention Schedule shall be included in the CDCRCalifornia Department of Corrections and Rehabilitation Records Retention Handbook. The updated RRSRecords Retention Schedule’s will be distributed to provide all units with current RRSRecords Retention Schedule’s.

Active Records

• Active records shall be filed in an organized manner for the retention period listed in the RRSRecords Retention Schedule. Exception: Duplicate records must be routinely purged and retained a minimal time period.

Inactive or Discharged Records

• Inactive or discharged records shall be filed in an organized manner in boxes in the appropriate archives (e.g., local archives for facility records, SRCState Records Center for CDCRCalifornia Department of Corrections and Rehabilitation headquarters’ records, or CDCRCalifornia Department of Corrections and Rehabilitation’s headquarters’ archive for inmate/parolee case records).

• The following steps shall be followed in filing records:

• Inspecting: Employees shall ensure that the record has been released for filing.

• Equipment Labeling: File shelves and drawers shall be plainly labeled for easy identification of contents.

• Master File Index List: A Master File Index List of all files on each shelf or drawer shall be retained by the file equipment and be easily visible.

• Indexing: Employees shall determine an appropriate file caption for the record.

• Coding: The file caption shall be written in the upper right-hand corner of the record or underlined if it is already plainly visible on the record.

• Sorting: Employees shall sort records before filing.

• Filing: When a file folder is filled, a new folder shall be created, labeled, and filed in front of it.

• Out Card: Records removed from files shall be replaced by out cards in the record or file place. The out card should identify the record title, borrower name, and date removed.

Inactive/discharged records shall be transferred to the appropriate storage location as designated by the unit’s RRSRecords Retention Schedule.

California State Archives

• Historical records shall be transferred once the CDCRCalifornia Department of Corrections and Rehabilitation relinquishes ownership. The transfer and retrieval processes are:

  • Transfer Process: Place all historical records in record storage containers and prepare a Std. Form 71, Records Transfer List, to accompany the shipment. Forward the Std. Form 71 to the RCReception Centers who will notify the unit when the records have been approved to ship. Ten boxes or less should be sent directly to the CSA. For more than ten boxes, the RCReception Centers will check with the CSA prior to shipping. The CSA staff shall contact the RCReception Centers or local records liaison and shall authorize shipment or determine the review needs for larger shipments.

  • Retrieval Process: CSA staff screen all incoming records to select the historical records to be retained. Records may be reviewed at the CSA, but no removal is possible.

CDCRCalifornia Department of Corrections and Rehabilitation Archives

• Discharged inmate/parolee case files transfer and retrieval processes are:

  • Transfer Process: All files or records shall be placed in boxes, organized by Case File Number, and listed on the CDCRCalifornia Department of Corrections and Rehabilitation Form 134, Records Transfer Checklist. The top page shall clearly note the name, number, and discharge date. Records received without a discharge date shall be returned to the sending office.

  • Retrieval Process: Contact CDCRCalifornia Department of Corrections and Rehabilitation archive’s staff for specific transfer and retrieval instructions.

Local Archives

• Inactive records can be maintained at an institution/facility provided:

  • They are stored in an organized manner that allows for retrieval when required.

  • The area shall be sufficiently secure to allow for the institution/facility or unit to maintain the integrity of the records.

  • The records are disposed of according to the approved RRSRecords Retention Schedule.

• Although physical locations and processes may vary, each institution/facility shall designate a local archive’s liaison to ensure current destruction. The transfer and retrieval processes are:

  • Transfer process: Stored in record storage containers, with a label that identifies the unit name, box number, general contents, and destruction year on each box. Each unit shall maintain a master inactive records list on CDC Form 1442, Local Archives Transfer List.

  • Retrieval Process: Contact the local archives liaison for specific transfer and retrieval instructions.

State Records Center

• Inactive/discharged records transfer and retrieval processes are:

  • Transfer Process: Only those items listed on an approved RRSRecords Retention Schedule may be stored at the SRCState Records Center. Storage time must coincide with times listed and approved on the RRSRecords Retention Schedule. All inactive or discharged records shall be stored in records storage boxes, identifying only the Transfer List and box numbers in the appropriate area. (No other marks shall be made on the box exterior.) Transfer List numbers are issued by the RCReception Centers for each records shipment and destruction year.

  • The unit shall prepare a Std. Form 71 and forward the form and detailed backup list to the RCReception Centers. The RCReception Centers will make the necessary storage arrangements and notify the unit when the records have been approved to ship.

  • Retrieval Process: Complete a Std. Form 76, SRCState Records Center Reference Request, for each item or box required. The RCReception Centers forwards all forms received by 9:00 a.m. for next day delivery. Same day expedite retrievals require a written request from executive level staff. Contact the RCReception Centers for further information.

The instructions for confidential, non-confidential, and inactive/discharged records are listed below:

• Confidential Records

  • State employees shall witness destruction of paper records that contain exempt, confidential, or sensitive information. For those CDCRCalifornia Department of Corrections and Rehabilitation units using the SRCState Records Center for this type of service, all staff at the SRCState Records Center are State employees and, therefore, the destruction is performed and witnessed by State employees. If a contractor or service provider that is not a State employee is performing the destruction, a State employee shall witness the destruction.

  • The records should be destroyed by on-site destruction equipment using the State Document Destruction Center (SDDC) or local destruction contract. Destruction contracts can be implemented locally since there are no statewide destruction contracts, but a State employee witness is required.

  • Instructions for obtaining SDDC services are available from the RCReception Centers.

• Nonconfidential Records

  • All non-confidential records shall be incorporated into a recycle program. Paper recycle containers are available by contacting the local recycling coordinator.

• Inactive/Discharged Records

  • Local archives and SRCState Records Center staff shall contact the coordinating staff when inactive or discharged records are due for destruction. The operational unit responsible for the records shall approve, in writing, the destruction or justification for an extension of the retention period.

Requests for records equipment purchases shall be forwarded to the RCReception Centers. No request shall be approved unless the records are listed in an approved RRSRecords Retention Schedule. Contact the RCReception Centers for any questions or assistance.

Record equipment purchases may be made for vertical shelf, mobile, specialized files, shredders, micrographic, or optical disk equipment. Complete and forward to the RCReception Centers the appropriate purchase document as follows:

• Headquarters and DAPODivision of Adult Parole Operations (formerly P&CSD) units shall submit a CDC Form 954, Intraoffice Requisition.

• Institutions/facilities shall submit a Std. Form 65, Contract/Delegation Purchase Order, or Std. Form 66, Purchase Estimate.

• A completed CDC Form 1298, Records Equipment Justification.

• Specifications, vendor brochures, or sole source justifications shall be included, if appropriate. The CDCRCalifornia Department of Corrections and Rehabilitation is mandated to support California Prison Indusry Authroity (CalPIA) programs. Should equipment that is available through CalPIA be requested for purchase from a vendor other than the CalPIA, a waiver must be obtained from CalPIA and submitted with the purchase order or requisition.

All file equipment shall be secured in accordance with California Code of Regulations, Title 24, Part 2, Section 2-23-12, Earthquake Seismic Standards.

Drawer Files (Replacement Only) Specialized Filing Equipment

• Drawer files may be purchased as replacement equipment only. SAMState Administrative Manual Section 1661 states that vertical shelf files are the State’s standard filing equipment. Because of safety regulations, floor space must include an additional amount of space to facilitate an open drawer and allow for office movability.

• Complete and forward the appropriate purchase document, CDC Form 954, Std. Form 65 or Std. Form 66, and the completed CDC Form 1298 and a floor plan to the RCReception Centers.

Executive Drawer Files

• In accordance with SAMState Administrative Manual Section 1661, non-State standard file equipment purchases are restricted to control space and excessive cost. The CDCRCalifornia Department of Corrections and Rehabilitation has limited the purchase of executive drawer filing equipment to executive staff’s office or work area that is subject to public view. For purposes of this Article, executive staff is defined as the Secretary, Undersecretary, Executive Director, Assistant Secretary, General Counsel, Chief Deputy Secretary, Director, Deputy Director, Associate Director, Warden, Regional Administrator, or positions at the Career Executive Appointment (CEACareer Executive Assignment) III level, or above.

• Form 954, or Std. Form 65, and justification memorandum to the RCReception Centers.

Document Destruction Equipment

• The SDDC, located in West Sacramento, provides destruction services for confidential records from all State agencies. There are situations that require the records be destroyed locally rather than transporting to the SDDC. If an institution/facility or office feels there is sufficient justification to support the purchase of on-site document destruction equipment, forward the below listed information and documents to the RCReception Centers.

  • Headquarters and DAPODivision of Adult Parole Operations (formerly P&CSD) units shall submit a CDC Form 954.

  • Institutions/facilities shall submit a Std Form 65 or Std Form 66.

  • A completed CDC Form 1298.

  • Vendor’s specifications, brochures, or sole source justifications shall be included, if appropriate.

• Purchase requests for document destruction equipment shall include an attachment that provides any and all applicable information that addresses the DGSDepartment of General Services Guidelines for Purchase or Rental of Document Shredding Equipment, item numbers 2 through 10 listed on the back side of CDC Form 1298. This will allow for the prompt review of the request.

A micrographics system is used to maintain the integrity of records that are vital to the operation of the CDCRCalifornia Department of Corrections and Rehabilitation.

The RCReception Centers shall review, approve, and coordinate proposed microfilm and optical disk systems. Feasibility Study Report (FSRFeasibility Study Reports) shall be submitted to the RCReception Centers. The RCReception Centers shall submit the FSRFeasibility Study Reports to DGSDepartment of General Services, Office of Information Services, for approval.

For proposed purchases of Micrographic/Optical Disk equipment, a FSRFeasibility Study Reports, or Computer Workgroup Justification Form (CWJF) (exact document is based on the dollar amount of the project and technology involved) must be prepared. The FSRFeasibility Study Reports or CWJF shall then be sent to the Enterprise Information Services for review and approval and will then be forwarded to the RCReception Centers. After approval by the RCReception Centers, the approved document shall be forwarded to CalRIM for final approval. Upon return of the approved document from CalRIM, it will be returned to the requestor for processing the appropriate purchase or contract document.

The Chief, Business Management Branch, or designee shall ensure that the content of this Article is accurate and current.

Civil Code §§ 1798 et seq., IPAInformation Practices Act SAMState Administrative Manual § 1661 California Code of Regulations, Title 24, Part 2, § 2-23-12, Earthquake Seismic Standards