Department of Corrections and Rehabilitation - Operations Manual

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Chapter 1 – General Administration

Article 23 – Records Management

Revised May 14, 2002

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14060.6.8 Records Transfer and Retrieval

  • 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.