Chapter 6 – Adult Classification

Inmates received by the Department shall be evaluated by staff upon reception and the cumulation of information and case material shall be formulated into the Cumulative Case Summary.

The cumulative case summary is a formal summation of information needed to make decisions about each inmate throughout their institution and parole period under the Department’s jurisdiction.

General

• The cumulative case summary is the result of the study required by PCPenal Code 5068 prepared at the reception center. It provides a format to summarize changes in legal or case factors, program needs, behavior or attitude, and provides other necessary information throughout an inmate’s incarceration. Information shall be limited to that which is necessary for case management decisions.

Cumulative Case Summary (Documents)

• The cumulative case summary shall consist of the following documents:

  • Legal Status Sheet (LSSLegal Status Sheet), CDC Form 188.

  • PORProbation Officer Report.

  • CI&ICriminal Identification and Information SSCHState Summary - Criminal History Report.

  • Psychiatric/psychological evaluation.

  • Institutional Staff Recommendation Summary (ISRSInstitutional Staff Recommendation Summary).

  • Reception Center Readmission Summary, CDC Form 816, (Readmission Summary).

  • Social Factors Sheet.

When completed, the original cumulative case summary shall be retained in the inmate’s C-File.

The inmate shall be provided a copy of the cumulative case summary, excluding the CI&ICriminal Identification and Information SSCHState Summary - Criminal History report and CDC Form 112, prior to initial classification.

The cumulative case summary shall be a concise objective report using simple language with any necessary professional/technical terms explained. The cumulative case summary is a permanent record that is reviewed by other agencies and the courts, and as such it shall be prepared in a professional manner regarding content, grammar, spelling, punctuation and typing. With the exception of the CDC Form 816, Reception Center Readmission Summary case summaries shall be typed with all headings included. The preprinted CDC Form 816 shall be prepared in a legible handwritten manner.

The cumulative case summary shall be complete, accurate and brief, and contain all information that is important to the management of the individual. Sound, objective judgment is required, and all reasonable efforts shall be made to obtain and verify all information. When other documentation is used or quoted, the source/reference material shall be identified such as, “work skill as diesel mechanic, page 9 of the PORProbation Officer Report.” Significant information that cannot be verified shall be noted as such.

Information Gathering

• The inmate’s consent shall be sought when gathering information from outside sources, although the Department may gather such information without consent.

CYASee Division of Juvenile Justice (DJJ) and CDC Discharged Terms Files

• When reception center staff determine that an inmate has a CYASee Division of Juvenile Justice (DJJ) history within the last five years or a CDC discharged term, a request shall be made, as soon as possible, to send the discharged file(s). The counselor shall incorporate the information into the new C-file. Copies of documents may be incorporated as necessary but the actual documents shall not be removed from the discharged C-file(s). Following endorsement by a CSRClassification Staff Representative, the discharged file(s) shall be returned to the archives unit or otherwise disposed of by the records personnel.

Other State or Federal Records

• The casework follow-up section shall request the receiving institution to obtain records for any other state or federal prison terms served.

Format

• The cumulative case summary shall be prepared and assembled in the proper format and order as described in this section.

The CDC Form 112, Chronological History, contains dates and other information on the inmate’s arrival, transfer, release, BPT hearings, holds, and forfeiture and restoration of time credits.

CDC Form 188, Legal Status Sheet, contains the inmate’s legal status and other sentencing information and shall be prepared at the reception center. Those inmates sentenced to life, life without the possibility of parole, or to one year-and-one-day will have CDC Form 188 prepared by the LPULegal Processing Unit in Headquarters.

The PORProbation Officer Report is the main source document for information on inmates committed to the Department. All relevant information shall be neatly underlined in dark ink. The PORProbation Officer Report is obtained from the court and is part of the commitment package.

The inmate’s CI&ICriminal Identification and Information SSCHState Summary - Criminal History report shall be requested from State DOJDepartment Of Justice by the reception center. If not received before the inmate’s transfer, it shall be forwarded to the receiving institution for proper inclusion in the inmate’s C-file.

The Penal Code only requires psychiatric/psychological evaluations on cases convicted for child abuse or neglect (PCPenal Code 3002). Other psychiatric/psychological evaluations shall be prepared when indicated by sound clinical judgment.

PCPenal Code 1203.03 Diagnostic Evaluations

• Reception center staff may prepare a psychiatric/psychological evaluation on cases received for diagnostic study under PCPenal Code 1203.03. These evaluations shall be placed with the cumulative case summary in the C-file.

Staff Referral

• Psychiatric/psychological evaluations shall be prepared for those inmates who, based on staff observation or information from other agencies, appear to have serious psychiatric/psychological problems likely to have a significant affect on institutional adjustment. Evaluations shall be recorded on a CDC Form 128-C, Medical/Psychological Chrono, and placed in the General Chrono section of the C-file.

BPT Psychiatric/Psychological Evaluations

• Staff shall prepare psychiatric/psychological evaluations requested by the BPT. These evaluations shall be placed in the BPT section of the C-file.

Willful Cruelty to a Child (PCPenal Code 3002) Psychiatric/Psychological Evaluations

• Inmates convicted of PCPenal Code 273a (Willful Cruelty Toward Child/Endangering Life, Limb or Health) and PCPenal Code 273d (Inflicting Corporal Punishment Upon Child Resulting in Traumatic Injury) shall receive a psychiatric/psychological evaluation to determine the extent of counseling which may be mandated as a condition of parole as required by PCPenal Code 3002. Referral to psychiatric/psychological staff shall be in sufficient time to allow the completed evaluation to be mailed with the CDC Form 6ll, Release Program Study. The evaluation shall be completed by reception center staff if the inmate is retained for work crew or pre-release.

• Notice shall be made in the Psychiatric/Psychological and Casework Follow-up sections of the ISRSInstitutional Staff Recommendation Summary or Medical/Psychological section of the Readmission Summary when an evaluation is required under PCPenal Code 3002.

An ISRSInstitutional Staff Recommendation Summary shall be prepared about each newly committed inmate. In addition, an ISRSInstitutional Staff Recommendation Summary shall be prepared for parole violators returning with a new term of life imprisonment.

The ISRSInstitutional Staff Recommendation Summary for a pre-sentence diagnostic study case (PCPenal Code 1203.03) shall be prepared in the same format except for the following:

• A criminal history section shall be included between the casework follow-up and the evaluation sections.

• The “EVALUATION” section shall include a recommendation to the court on PCPenal Code 1203.03 cases. If the inmate is subsequently committed to the Department, the “TRANSFER” part of the ISRSInstitutional Staff Recommendation Summary shall be included along with a supplementary evaluation reflecting any significant changes since the diagnostic evaluation.

Supplemental ISRSInstitutional Staff Recommendation Summary Report

• If the incarcerated person is subsequently committed to the Department, a report entitled “Supplemental ISRSInstitutional Staff Recommendation Summary Report” shall be completed to show any significant changes since the diagnostic evaluation and to complete the transfer section.

Source of Report

• The format of the ISRSInstitutional Staff Recommendation Summary and the content of each section shall be as follows:

• List the sources from which the report is prepared such as incarcerated person interview, Probation’s Officer Report (PORProbation Officer Report) or old C-file.

• Include the date the incarcerated person was interviewed and the date of each document.

Confidential Information

• If there is no information requiring placement in the Confidential Materials Folder indicate “None.” If there is confidential information specify the type by using one of the following designations:

  • Enemy;

  • Gang;

  • Notification of interested party; or,

  • Other.

Holds, Warrant or Detainers

• Identify each active Hold, warrant or Detainer (HWDHolds/Wants/Detainer) and Detainer Inquiry (DI) by indicating the offense and Code Section, whether felony, misdemeanor, or probation violation and the County originating the HWDHolds/Wants/Detainer. If the HWDHolds/Wants/Detainer is for ICE, indicate the country of birth. If there are unresolved charges which require a DI, the counselor shall initiate a request for inquiry via Strategic Offender Management System. If a “time server” or concurrent sentence is indicated, list the expiration date. If it is for a consecutive term, indicate the offense and term. HWDHolds/Wants/Detainer received by reception center staff after the incarcerated person’s transfer shall be telephonically communicated to the receiving institution and forwarded by mail.

Medical/Dental

• Record the level of duty assignment and any significant medical problems indicated by medical staff. Indicate the reason(s) if the incarcerated person is judged not medically qualified for camp assignment or has a medical infirmity that may limit the incarcerated person’s ability to work. Describe the type of medication or other medical treatment the incarcerated person receives, if any. Indicate the incarcerated person’s self-reported medical problems.

Psychiatric/Psychological

• When a psychiatric or psychological referral is required, indicate the reason for the referral, such as PCPenal Code 3002 or staff observation. If an evaluation is prepared at the reception center, it shall be placed in the Cumulative Case Summary and the conclusions summarized in this section. State “No Referral” if the incarcerated person is not referred for evaluation.

Work Skills

• Describe the incarcerated person’s work experience and employable skills. Note the sources and any supporting information, including the incarcerated person’s statement.

Narcotics/Drugs/Alcohol

• Indicate the amount and frequency of narcotic, drug, and alcohol use and whether the incarcerated person was considered addicted. Note the source of the information.

Escape History

• Indicate the date(s) and location and describe the type of facility(ies) and means of escape such as failure to return to a work furlough facility, climbed over double fence or armed perimeter, ran from courtroom while under custody of the sheriff, or whether force was used. Note the source of the information. State the reason if no classification points were assessed.

Arson History

• Indicate the date, code section and circumstances of the arson offense. Distinguish arrests and convictions and whether a juvenile or adult at the time. Note the source of information.

Sex-Related Offenses

• Identify all sex-related convictions, detentions and arrests, and include the PCPenal Code number. Indicate the date, location and type of offense, such as rape, unlawful sexual conduct, incest, sodomy or lewd and lascivious conduct. Indicate if the incarcerated person is required to register as a sex offender pursuant to PCPenal Code 290. Indicate if “R” suffix is appropriate or should be evaluated at the receiving institution. Note the source of the information.

Academic/Vocational

• Indicate the last grade completed; whether high school graduate, GEDGeneral Education Development recipient, college graduate, or vocational training certified. Enter the incarcerated person’s test scores and the recommendation for program involvement. Indicate if the incarcerated person is interested in additional instruction.

Casework Follow-Up

• Indicate any pertinent information not available prior to transfer that the receiving institution should obtain. This could include academic, military, employment, medical, psychiatric or prison history documents which may be required by the receiving institution. Be sure to note any outstanding or pending criminal charges requiring follow-up and action taken. A copy of any letter(s) requesting documentation shall be placed in the incarcerated person’s C-file with appropriate notations on the DI in the HWDHolds/Wants/Detainer Section of the C-file. Indicate if the incarcerated person should be evaluated for “R” custody.

Criminal History

• Describe the incarcerated person’s past criminal behavior, including the type of offenses, dispositions, degree of criminal sophistication and adjustment to incarcerations. Evaluate the circumstances and involvement in instant offense and relationship, if any, to pattern of offenses. Do not repeat the details of the offense as reported in the PORProbation Officer Report. The use or threat of excessive force or aggression involved in any criminal behavior, arrests, or incarcerations shall be fully discussed and evaluated. It is essential that all such information be incorporated into the ISRSInstitutional Staff Recommendation Summary.

Evaluation

• The evaluation section shall be brief but reflect a complete picture of the social and personal dynamics of the incarcerated person’s behavior. This section shall also include an evaluation of the incarcerated person’s reaction to authority figures, adjustment to confinement, and attitude and behavior as observed by reception center staff. Facts included in other sections or reports should not be repeated except where needed for illustration. Predictive statements shall be clearly supported by the evaluation.

• The evaluation shall emphasize present functioning, attitudes and behavior, with historical facts referenced only to provide insight to the incarcerated person’s present situation. Include a brief summary of the individual’s overall strengths, weakness, and prospects for both the near and distant future. For PCPenal Code 1203.03 cases, the evaluation shall be the last section and shall include a recommendation to the court.

Reentry

• This section shall only be completed in the reception center if the incarcerated person has six months or less to parole or is assigned to the center’s permanent work crew. Describe the incarcerated person’s plans and resources for employment and residence and any special needs or concerns.

Transfer Classification Score

• Enter the incarcerated person’s classification score from the CDCRCalifornia Department of Corrections and Rehabilitation Form 839, Classification Score Sheet, or CDCRCalifornia Department of Corrections and Rehabilitation Form 840, Reclassification Score Sheet. Designate any suffix, such as “R” (sex crime) or “S” (single cell housing) and indicate the reason.

Community Correctional Facility Eligibility

• Indicate if the incarcerated person’s case factors are consistent with eligibility criteria for community correctional facilities. Specific focus will be on work furlough, if the incarcerated person is within six months of the 1/3 Earliest Possible Release Date and on RTCReturn To Custody facilities, as defined in PCPenal Code 2910.5, if the incarcerated person is within eighteen months of the EPRDEarliest Possible Release Date. In addition, female incarcerated persons will also be identified for eligibility for the Community Participant Mother Programs. Conclude the section by indicating each type of program for which the incarcerated person is eligible and interest in the programs, if eligible.

Institution Recommendation

• The Penal Code requires that placement in an appropriate institution nearest to where the newly committed incarcerated person’s parents, spouse, registered domestic partner, or children lived at the time of commitment be considered unless factors, such as classification criteria, availability of beds or time to serve, make such placement unreasonable. Indicate the institution the incarcerated person requests, if any, whether it qualifies as closest to the home address and any obstacles or benefit from granting the request. Indicate the institution or community correctional facility recommended and one alternate. Provide the reason for the recommendations, not just the score or level.

Administrative Placement

• When a recommendation is made for placement in a security level different from the incarcerated person’s classification score or level, indicate the reason.

Correctional Counselor and Date of Report

• Indicate the name and the job title of the counselor who prepared the report and the date prepared.

Supervisor’s Comments and Recommendation

• The counselor’s supervisor shall review all the material for completeness and accuracy, and indicate if they concur with the institution’s recommendation. If the supervisor’s recommendation is different, give the reason(s). Indicate the supervisor’s name, job title and the date reviewed.

A social factors sheet shall be prepared at the reception center on all new commitment process cases and is a part of the summary.

All aspects of the processing shall be completed prior to the CSRClassification Staff Representative’s review. The reception center staff shall provide the CSRClassification Staff Representative with a blank CDC Form 128-G, Classification Chrono, upon which the inmate’s name, number and the reception center have been typed. Any file from CYASee Division of Juvenile Justice (DJJ) or CDC discharged term used in the report preparation shall be available for the CSRClassification Staff Representative’s review.

Documentation in C-File

• The following documents, with the pages in order, shall be clipped together in the sequence below and placed in the classification portion of the C-file for review by the CSRClassification Staff Representative.

  • CDC Form 128-G (for CSRClassification Staff Representative transfer documentation).

  • CDC Forms 839 or 840.

  • ISRSInstitutional Staff Recommendation Summary or CDC Form 816.

  • CDC Form 812.

  • CDC Form 812-A, if required.

  • Social Factors Sheet.

  • PORProbation Officer Report.

• All other documents in the C-file shall be filed in accordance with the DOMDepartment Operations Manual 72030.

• Any C-Files from prior terms used in the case work-up shall be available for the CSRClassification Staff Representative’s review.

Parole violators RTCReturn To Custody and with new terms (WNTWith a New Term) shall be processed using the Readmission Summary that is similar in format to the Cumulative Case Summary.

The Cumulative Case Summary’s and Readmission Summary’s usefulness depends upon their accuracy and completeness. In some cases, documentation may be received after the preparation of the ISRSInstitutional Staff Recommendation Summary or the CDC Form 816. When this occurs, the following procedures shall be followed:

Reception Center Late Information Processing

• The CCRMCorrectional Case Records Manager is responsible for incorporating all available late legal documents into the C-file prior to the inmate’s transfer. Clinical material and non-legal documentation arriving after completion of the Cumulative Case Summary shall be reviewed by the counselor who completed the original report or a supervising counselor.

• If the material warrants modification of the case factors, the counselor shall up-date the C-file. This shall be accomplished by having the ISRSInstitutional Staff Recommendation Summary retyped, rewriting the CDC Form 816 or by including an addendum following the supervisor’s comments. The counselor shall also correct CDC Forms 839, 840, 812, and 812-A and other documents as needed.

• If information is received after CSRClassification Staff Representative endorsement that could contraindicate transfer to the facility endorsed, the information shall be immediately evaluated and the case resubmitted to a CSRClassification Staff Representative with a new recommendation, and the reasons.

Information Arriving After Transfer

• When the inmate has transferred, legal documents shall be forwarded to the attention of the CCRMCorrectional Case Records Manager at the receiving institution. Non-legal documents received after the inmate has been transferred shall be forwarded to the CCCorrectional Counselor-III or C&PRClassification & Parole Representative at the receiving institution with a notation that the “material has not been included in the Cumulative Case Summary.” Non-legal documents include C-file material from discharged terms, statements pursuant to PCPenal Code 1203.01, letters from victims or next of kin and letters from law enforcement agencies or defense attorneys.

Institutions’ Late Information Processing

• The counselor at the receiving institution shall review the supplemental information and update the new C-file as necessary. This may require a change in the classification score, institution placement, enemy information (CDC Form 812) or confidential information. If the inmate’s classification score level or the placement appears inappropriate for some other reason, the case shall be referred to a CSRClassification Staff Representative by the classification process for transfer review.

The Deputy Director, Institutions or designee, shall ensure that the content of this section is current and accurate.

PCPenal Code §§ 273(a) and (d), 1203.01, 1203.03, 3002, 5068 CCRCalifornia Code of Regulations (15) § 3377.1.