Chapter 7 – Adult Case Records Information

Penal Code (PCPenal Code) Section 2081.5 requires the Secretary to keep complete case records of all incarcerated persons under the custody of the department. The case records shall be made available to the Board of Parole Hearings (BPHBoard of Parole Hearings (formerly Board of Prison Terms)) at such times and in such forms as BPHBoard of Parole Hearings (formerly Board of Prison Terms) may prescribe.

Case records shall include all information received from the courts, probation officers, sheriffs, police departments, district attorneys, the State Department of Justice, the Federal Bureau of Investigation, and any other interested agencies and persons.

Case records shall also include records of diagnostic findings, considerations, actions, and dispositions with respect to each incarcerated person’s classification, treatment, employment, training, and discipline.

This article defines the authority for and the implementation of the department’s Uniform Case Records System.

Central File (C-File) – The file, maintained on an electronic CDCRCalifornia Department of Corrections and Rehabilitation-approved platform or in hard copy form, containing case records for each incarcerated person.

Only personnel with approval from the Chief Deputy Warden at the institution level, and the Hiring Authority for non-institution personnel, shall have access to an incarcerated, supervised, or discharged person’s C-File or copies of its contents.

C-Files and case records information shall only be accessed, viewed, modified, or received by authorized users.

C-Files shall not be removed from State property.

Hard copies of C-Files shall be kept in a secure container. C-Files needing to be relocated shall be sent via certified or registered mail to ensure safe transport and control.

All hard copies of C-Files that are removed from the Case Records office for any purpose shall be kept in a secure environment under the supervision of personnel authorized to handle such materials.

Hard copies of C-Files shall be housed in or returned to the Case Records office at the close of business each workday or as soon as possible after an emergency.

Except for the Attorney General’s (AGAttorney General) Office, Office of the Inspector General (IG), BPHBoard of Parole Hearings (formerly Board of Prison Terms), and the Governor’s Office, incarcerated, supervised, or discharged persons’ case records shall not be released to any agency or any person outside the department without a court order or a valid authorization from the incarcerated, supervised, or discharged person. The AGs office, the IGs office, BPHBoard of Parole Hearings (formerly Board of Prison Terms), or the Governor’s office may be provided with case records information via any CDCRCalifornia Department of Corrections and Rehabilitation-approved method.

In response to a court order, the incarcerated, supervised, or discharged person’s case record(s) shall be provided via a CDCRCalifornia Department of Corrections and Rehabilitation-approved method. For case records in hard copy form, the documents shall be redacted by, transported by, and remain under the control of a delegated departmental employee, as designated by the Warden or Assistant Deputy Director.

The password(s) and pin(s) provided to unencrypt information assets shall not be provided together in a single communication, but shall be provided in separate emails, letters, or phone calls. If the receiving party takes possession of portable technology and does not return the departmental asset to Case Records, the security and destruction of the asset is the responsibility of the receiving party.

Incarcerated, supervised, and discharged persons are prohibited from accessing
C-File information other than authorized copies of documents within their own C-Files, upon written request. Incarcerated, supervised, and discharged persons shall not have copies of any information that is classified as confidential.

Incarcerated, supervised, and discharged persons, their attorneys, and third parties shall:

• Review copies of C-Files via a CDCRCalifornia Department of Corrections and Rehabilitation-approved method.

• Return any information asset provided by the Case Records office to the Case Records office upon completion of a review.

• Have no direct access to a C-File for any purpose.

Incarcerated persons shall not be assigned in Case Records offices or in any area in which there is access to network computers, except when they are under constant and direct supervision.

Notwithstanding Subsection 71010.4(l), appropriately classified and assigned incarcerated persons may be permitted in Case Records offices to perform such duties as building maintenance or janitorial services.

C-File reviews, information assets used for C-File reviews, and the return of said information assets shall be logged as directed by the Chief, Case Records Services.

Any requests to access or use departmental information assets that are not covered in this section shall be referred to the Chief, Case Records Services by the local Correctional Case Records Manager (CCRMCorrectional Case Records Manager) for approval.

Departmental employees reviewing a C-File shall:

• Consult with the appropriate institution’s Case Records or Parole Case Records (PCR) office concerning any issues related to the C-File or its contents.

• Attempt to assist the institution’s Case Records or PCR office to correct any problems related to the C-File that are identified during review.

The Chief, Case Records Services shall report uncorrected variations to the Director, Division of Adult Institutions.

Counselors, Parole Agents, supervisory staff, and other employees, as assigned, who are responsible for generating evaluations, reports, and chronos, are responsible for the validity and accuracy of information contained in such reports.

Case Records staff shall:

• Interpret court commitment orders.

• Initiate the criminal identification process.

• Analyze an incarcerated person’s legal status to determine the crime(s) and sentence(s) with applicable enhancements, aggravations, limitations, and credit earning eligibility.

• Review an incarcerated person’s current and prior criminal histories to determine State prison eligibility.

• Enter commitment information into an incarcerated person’s C-File.

• Verify the different types of release and discharge dates in the C-File and, as applicable, in BPHBoard of Parole Hearings (formerly Board of Prison Terms) information assets.

• Direct the preparation of legal forms for the transfer, extradition, parole, and discharge of persons under the jurisdiction of the department.

• Analyze and act for the department on subpoenas and collateral court orders.

• Certify departmental case records, as required by law.

• Review the individual case actions of various authorities to assure legal and policy compliance.

• Act as a consultant to departmental staff, court officers, incarcerated persons, and other governmental agencies or authorized persons regarding:

  • Departmental responsibility under pertinent laws and administrative standards.

  • The interpretation and application of laws and standards related to incarcerated persons’ receipt, sentencing, parole, and release.

• Report discrepancies identified during the review of a C-File to the appropriate party for review and remediation.

Variations in the methods of recording vital information, as established by the Chief, Case Records Services, regarding incarcerated, supervised, and discharged persons shall not occur.

Differences of opinions or interpretations as to the processes established by the Chief, Case Records Services between institutions’ Case Records offices and PCR, concerning methods of recording vital information, shall be brought to the attention of Case Records Services for resolution.

• The institutions’ Case Records offices and PCR shall suggest methods for the resolution of differences of opinions or interpretations.

• The final decision on all such issues shall be made by the Chief, Case Records Services.

To ensure the clarity and consistency of information, communications from or on behalf of the Chief, Case Records Services shall be distributed to the CCRMs in writing whenever possible.

Communication shall take place between the Chief, Case Records Services and the CCRMs on technical matters associated with processes related to Case Records functions. Information which may have a direct impact on carrying out Case Records functions shall be communicated to the Chief, Case Records Services. Communication may be conducted verbally or in writing.

The Chief, Case Records Services shall:

• Plan, develop, and administer regulations and policy governing the department’s Uniform Case Records System.

• Assume responsibility and accountability for the accurate interpretation and application of laws, administrative standards, and court decisions related to the processing, maintenance, and control of all case records within the department’s Uniform Case Records System.

• Directly supervise one or more Case Records Administrators.

• Act as an administrative and technical advisor to executive management on matters related to the department’s Uniform Case Records System.

• Act as the primary department liaison to other governmental agencies, courts, and legislators or other persons on matters related to the department’s Uniform Case Records System.

• Determine the functional needs of the departmental Uniform Case Records System and assign the appropriate priorities.

• When available local resources are inadequate to accomplish all assigned Case Records functions and any omission of certain duties may have an impact on an institution’s Case Records office or PCR, the Chief, Case Records Services shall determine the needs of the facility or PCR office and assign appropriate priorities.

• Local variations to established policy or procedure shall occur only with the knowledge and approval of the local Warden, Assistant Deputy Director, and the Chief, Case Records Services, and may be permitted only on a temporary basis.

Case Records Administrators shall:

• Supervise departmental Case Records units.

• Conduct field audits

• Interpret and implement laws.

• Assess the impact of applicable provisions within published court decisions.

• Advise on the implementation of administrative policies.

• Plan and coordinate departmental recordkeeping and training and development programs.

• Provide administrative and procedural support to CCRMs within assigned institutions and PCR offices.

• Act as a liaison between Case Records Services and departmental divisions on matters related to the department’s Uniform Case Records System.

CCRMs shall:

• Direct Case Records functions in institutions, headquarters offices, and PCR.

• Ensure that applicable audits and cross audits of C-Files are performed by a Correctional Case Records Analyst (CCRACorrectional Case Records Administrator), Correctional Case Records Supervisor (CCRSCorrectional Case Records Supervisor), or CCRMCorrectional Case Records Manager, as scheduled and as directed by the Chief, Case Records Services.

• Assume responsibility for the accuracy and legal content of case records in C-Files and the accurate calculations of sentence, parole, and release dates.

• In the event an incarcerated or supervised person is released from an institution or the jurisdiction of the department prior to or later than the correct release date, the CCRMCorrectional Case Records Manager or designee shall call a Case Records Administrator at Case Records Services. Upon confirmation with the Case Records Administrator, the CCRMCorrectional Case Records Manager shall submit a complete report to the Chief, Case Records Services outlining the details of the erroneous release. Including a recommendation to eliminate similar incidents in the future.

CCRSs shall:

• Perform legal and policy interpretations related to the processing, maintenance, and control of incarcerated, supervised, and discharged persons’ case records.

• Supervise the work of CCRAs and clerical staff.

• Act as liaisons regarding case records with county, state, and federal agencies; courts; and departmental units.

CCRAs shall:

• Under the general supervision of CCRSs, perform complex, analytical, and technical work in the processing, maintenance, and control of incarcerated, supervised, and discharged persons’ case records.

• Perform and document assigned audits of C-Files, as scheduled, utilizing an audit checklist and procedure approved by the Chief, Case Records Services.

• Calculate incarcerated and supervised persons’ release and discharge dates, applying credits and enhancements.

• Interpret and apply appropriate laws, policies, and procedures.

• Act as liaisons to other units and outside agencies, entities, and individuals regarding case records.

Supervising Case Records Technicians shall direct the Case Records Technicians (CRTs) in maintaining and processing documents within incarcerated, supervised, and discharged persons’ C-Files.

CRTs are responsible for preparing, processing, and maintaining documents in incarcerated, supervised, and discharged persons’ C-Files.

Pursuant to the provisions of PCPenal Code Section 5055, the following are authorized to sign the indicated documents on behalf of the Secretary:

• Certification of criminal records, pursuant to PCPenal Code Section 969(b).

  • Chief, Case Records Services.

  • Case Records Administrators.

  • CCRMs.

  • CCRSs.

  • CCRAs.

• Letters authorizing transfer to another jurisdiction under a court decision:

  • Chief, Case Records Services.

  • Case Records Administrators.

  • Parole Case Records Administrator.

  • CCRMs.

  • CCRSs.

  • CCRAs.

• Letters authorizing transfer to another jurisdiction under a court decision:

  • Wardens

  • Assistant Deputy Director, Field Operations

• Letters designating other states or federal facilities as the places of confinement for California incarcerated persons in accordance with PCPenal Code Section 2900(b)(2) and (3):

  • Chief, Case Records Services.

  • Case Records Administrators

  • CCRMs.

  • CCRSs.

  • CCRAs.

  • Sacramento Control Office (SACCOSacramento Control Office Unit, Reg. I).

    • Classification and Parole Representative, SACCOSacramento Control Office Unit, Reg. I.

    • CCRMCorrectional Case Records Manager, SACCOSacramento Control Office Unit, Reg. I.

    • CCRSCorrectional Case Records Supervisor, SACCOSacramento Control Office Unit, Reg. I.

    • CCRAs, SACCOSacramento Control Office Unit, Reg. I.
      

Violations of this policy shall be reported, in writing, to the Warden, Assistant Deputy Director, or the Warden’s or Assistant Deputy Directors designee, and the Chief, Case Records Services.

If compliance with any component of this article is not feasible, or if deviation from a component of this article is necessary to support a business function, the respective CCRMCorrectional Case Records Manager shall formally request direction from the Warden, the Assistant Deputy Director, or the Warden’s or Assistant Deputy Director’s designee, and the Chief, Case Records Services. At no time shall the contents of this article supersede a higher legal authority, including a code, regulation, or court decision.

The Director, Division of Adult Institutions or designee shall be responsible for ensuring that the contents of this article are kept current and accurate.

Uniform CRUs are established which have statewide operational responsibility.

This section sets forth the procedures of the CRUs which have statewide functions and application.

The Identification/Warrants (IDInstitutions Division (see DAI)) Unit, Archives Unit, Sacramento Control Office (SACCOSacramento Control Office Unit, Reg. I), and the LPULegal Processing Unit are departmental records units. These units provide centralized services to departmental staff, other law enforcement agencies, and interested persons on the status of persons committed to the Department.

The unit operates 24 hours a day, seven days a week.

Indirectly supervised by a correctional case records administrator.

Directly supervised by an Office Services Supervisor II.

The functions of the IDInstitutions Division (see DAI)/Warrants Unit include:

• Locator.

• Identification number/research.

• Warrant dispatch.

Staff assigned to the unit:

• Locate the region of a parolee’s supervision.

• Identify inmate’s assigned facility housing.

• Provide commitment data to law enforcement and other authorized agencies with a need to know.

• Provide information on persons discharged from the Department since 1957.

• Place holds pursuant to PCPenal Code 3056 and/or W&I 3151 for the P&CSDParole & Community Services Division (see DAPO).

• Conduct file searches and issue new identification numbers for newly received felons and civil addicts committed to the Department.

• Respond to telephone inquiries that require nonconfidential information concerning felons/civil addicts.

• Aid facilities and parole regions in identifying and locating inmates/parolees when the identification number is unknown.

• Maintain the Department’s warrants register.

• Maintain the FAX services for the Department and the BPT .

• Act as headquarters’ duty officer. Receive facility duty officer reports by telefax service.

• Dispatch BPT and NAEANarcotic Addiction Evaluation Authority warrants issued on parolees-at-large, releasees-at-large, and facility escapes. Warrants shall be abstracted by FAX upon request.

• Microfilm and maintain the file of confidential material on discharge cases.

The below-listed resources are available to unit staff to identify, locate, and determine the status of individuals:

• OBISOffender Based Information System.

• DDPSDistributed Data Processing System.

• Microfiche commitments 1976 to current.

• Microfilm commitments prior to 1976.

• Warrants register.

• CLETSCalifornia Law Enforcement Telecommunications System.

All departmental identification numbers shall be issued by the IDInstitutions Division (see DAI) Unit.

• All identification numbers shall be issued in numerical order.

• Receiving facilities shall telephone the unit for assignment of a CDC identification number.

• To facilitate processing the volume of persons received at reception centers, the IDInstitutions Division (see DAI)/Warrants Unit shall issue blocks of numbers.

• In exceptional cases, inmates may be received at a facility other than a reception center. In those instances in which an inmate is received after normal working hours, the facility shall hold the person without a CDC number until the morning of the first workday. On the first workday, a CDC number shall be obtained.

OBISOffender Based Information System shall forward a printout of all facility admits at the close of “moves” each day.

The printout shall include:

• CDC number.

• Full name.

• Date of birth.

• Old CDC numbers (if known).

• CI&ICriminal Identification and Information number (if known).

Upon receipt of this printout, IDInstitutions Division (see DAI) Warrants Unit staff shall research all the available resources to determine whether or not the person has previously been committed to the Department.

Due to the possible effect on the classification and housing of the new inmate, this research shall be given a high priority.

IDInstitutions Division (see DAI) Warrants Unit staff shall promptly advise facility case records staff of the results of the research for old CDC numbers.

An “H” shall prefix all numbers issued to male felons. When all “H” numbers have been issued, a “J” shall prefix all numbers issued to male felons.

A “W” shall prefix all numbers for female felons.

An “N” shall prefix all numbers issued to civil addicts.

• Numbers 1 to 19999 shall be reserved for female civil addicts.

• Numbers 20000 to 99999 shall be reserved for male civil addicts.

The Archives Unit is a departmental function located at CMFCalifornia Medical Facility.

Directly supervised by a Correctional Case Records Supervisor.

Indirectly supervised by the CCRMCorrectional Case Records Manager at CMFCalifornia Medical Facility.

Functionally supervised by a Correctional Case Records Administrator.

Discharge file section:

• Receive and account for case records of discharged inmates delivered to the unit.

• Audit incoming files for completeness and documentation of administrative and release board actions on the CDC Form112, Chronological Inmate History.

Document request and certification section:

• Process requests for documents authorized pursuant to the IPAInformation Practices Act. See CCCorrectional Counselor 1798 for further details.

• Process requests for proof of prior convictions for inmates/residents discharged from the Department. See PCPenal Code 969(b).

Requests for information, documents, or certifications shall indicate:

• Name.

• CDC number.

• Date of discharge as records are filed in date order.

The complete case record of all persons discharged shall be microfiched at the assigned parole region prior to transfer to the Archives Unit. See DOMDepartment Operations Manual 71020.5.6 and71020.5.7 for exceptions.

All records and documents forwarded to the unit shall be identified by name, number, and discharge date on the CDC Form134, Records Transfer Checksheet.

Health records. Retain in hard copy for seven years after discharge, then destroy (CCRCalifornia Code of Regulations (22) 70751[c]).

Fingerprint cards and photographs. Retain in hard copy for 30 years, then destroy.

All other remaining case records retain in microfiche 30 years, then destroy.

Discharge cases that need to be retained in hard copy one year and then processed as in DOMDepartment Operations Manual 71020.5.6, include:

• Out-to-court discharges.

• Prisoners from other agencies.

• Prisoners from the federal prison system or a federal agency.

• DMHDepartment of Mental Health (see Department of State Hospitals DSH) patients received pursuant to W&I 7301.

• Prisoners from other states received pursuant to PCPenal Code 2902 or11190.

• Safekeeping cases pursuant to PCPenal Code 4007.

Hard-copy files of “N” number residents not amenable for treatment shall be retained at the facility/region for six months after discharge and then processed as above.

Hard-copy files of discharged diagnostic study “Z” cases shall be retained in reception centers six months and then forwarded to the Archives Unit where they shall be retained an additional two and onehalf years.

Hard-copy files of discharged public interest cases shall be transferred to the Archives Unit and retained for 30 years prior to referral to the State Archives.

Records of the deceased shall be handled according to the following:

• Retain in the facility or parole region for six months or until conclusion of any litigation.

• Forward files to the Archives Unit where they shall be retained intact for three years from the date of death or conclusion of any litigation, whichever is later.

• The CCRMCorrectional Case Records Manager shall determine the status of the litigation prior to transfer.

Requests for review of discharge records originating outside the Department shall be submitted to the supervisor of the Archives Unit for processing.

Discharge records shall be forwarded to the CCRMCorrectional Case Records Manager of the facility or parole region nearest the requester’s office for subsequent review.

Case records requested by the AGAttorney General’s Office shall be forwarded directly to the requesting deputy.

Case records shall be returned to the Archives Unit as soon as possible after the records have been reviewed.

The supervisor of the Archives Unit shall maintain a listing indicating:

• Name.

• CDC number.

• Discharge date.

• Name of requester.

• Location where file forwarded.

• Date file forwarded.

• Date file returned.

The supervisor of the Archives Unit shall follow up every 30 days to ensure that all records are returned to the unit.

The SACCOSacramento Control Office Unit, Reg. I Unit is located at Region I headquarters.

The SACCOSacramento Control Office Unit, Reg. I Unit is directly supervised by a Correctional Case Records Supervisor.

• Certification of criminal records, pursuant to PCPenal Code Section 969(b).
  

Indirectly supervised by a Case Records Manager.

Functionally supervised by a Correctional Case Records Administrator.

Functions of the SACCOSacramento Control Office Unit, Reg. I Unit include:

• Recording commitments and tracking inmates serving terms in other jurisdictions, including:

  • Escapees from the Department who have been convicted and received by another jurisdiction.

  • Consecutive cases.

  • Concurrent cases.

  • In Re Stoliker cases.

  • Western Interstate Corrections’ Compact cases.

• Verify and document work history on inmates eligible for the work incentive program.

• Make arrangements to have inmates returned to the Department to complete their term when the other jurisdiction makes them available.

Directly supervised by a CCRMCorrectional Case Records Manager.

Indirectly supervised by the Chief, Correctional Case Records Services.

Manually process inmate legal status for all cases with life commitments, zero to one-year and one-day commitments, and other indeterminate terms.

Process commitment and legal status for persons committed pursuant to PCPenal Code 1170 (a)(2) (excessive credit).

Review legal documents and computerized legal status of cases with sentence discrepancies and communicate with the court for resolution.

The LPULegal Processing Unit functions as a reception center and facility case records office for those cases sentenced to State prison pursuant to W&I1731.5(c), but housed in a CYASee Division of Juvenile Justice (DJJ) facility.

LPULegal Processing Unit staff shall communicate with CYASee Division of Juvenile Justice (DJJ) staff and coordinate the maintenance of the records and computation of the correct release date.

Discrepant cases are those cases in which errors in sentencing are detected from the data entered into the OBISOffender Based Information System or detected by case records staff.

LPULegal Processing Unit staff shall review legal documents and case material when received from a reception center or facility and communicate with the court to resolve the discrepancy.

• When no response is received from the court within 45 days, a second letter shall be sent to the trial court.

• When no response is received from the court within 30 days after the second letter, the case shall be referred to the DA’s Office.

• After a case has been referred to the DA’s Office, no further action shall be taken by LPULegal Processing Unit staff.

• When a court responds and states that the previous order shall stand, no further action shall be taken by LPULegal Processing Unit staff.

Upon resolution of any discrepancies or completion of the legal status, the below-listed material shall be forwarded to the appropriate facility/region for inclusion in the C-File:

• CDC Form 188, Legal Status Summary.

• Original case summary and confinement calculation.

• Original, amended, or modified Abstracts of Judgments or MinuteOrders received in LPULegal Processing Unit.

• Copies of all correspondence to or from LPULegal Processing Unit regarding the case.

The Deputy Director, Institutions Division, or designee shall be responsible for ensuring that the contents of this article are kept current and accurate.

PCPenal Code §§ 969(b), 1170(a), 1203.03, 1731.5(c), 2902, 3056, 4007, and 11190.

W&I §§ 1798, 3151, and 7301.

CCRCalifornia Code of Regulations (15) § 70751(c).

CCCorrectional Counselor § 1798.

DOMDepartment Operations Manual § 71020.

The Department has developed and authorized the use of standardized forms and records. These forms and records prepared and used in various offices throughout the Department enable a uniform records system to be maintained.

This section defines the various forms and records and how they are to be prepared and maintained.

A CDC Form 131, Inmate Identification Card, shall be prepared for each inmate received by the Department.

Identification cards shall accompany inmates on transfer between facilities. Inmates may carry their identification cards or, at the discretion of the transporting officer, identification cards may be picked up and retained by the transporting officer while the inmate is in transit. If carried by the transporting officer, identification cards shall be immediately available to staff of any facility layover and to the receiving facility for reissue to the inmates upon arrival at their facility.

Any inmate who loses, mutilates, or destroys an identification card shall be charged for making a new one.

CDC Form 115, Rule Violation Report, shall be prepared and distributed in accordance with the CCRCalifornia Code of Regulations Article 5, and DOMDepartment Operations Manual 52080.

A copy of the CDC Form 115 shall be numbered and filed in chronological order to constitute a register of facility violations in compliance with PCPenal Code 2081.

One copy of the CDC Form 115, with the subsequent investigation reports, shall be given to the inmate and one copy shall be filed in the inmate’s C-File.

Procedures for referring disciplinary reports to the BPT are outlined in this manual, CCRCalifornia Code of Regulations, and the BPT Rules.

State DOJDepartment Of Justice JUS Form 8715 shall be prepared when a violation is to be referred to the local authorities for possible prosecution. Upon return of the completed form from the local authorities, one copy shall be filed in the inmate’s C-File, disciplinary section. The CCRMCorrectional Case Records Manager shall secure a copy of the commitment in any case where the authorities have indicated on JUS Form 8715 that the final disposition was a commitment to State prison.

The CDCRCalifornia Department of Corrections and Rehabilitation Form 106, Visiting Questionnaire, shall be retained in a folder and maintained by visiting room staff.

• The Visiting Questionnaire folder together with the CDC Form 120, Visiting Card, shall be transferred with the inmate.

The CDC Form 128 series (chronos) are used by staff to provide progress reports on inmates.

The original of all reports, except the CDC Form 128-G, Classification Chrono, and the CDC Form 128-E, Vocational Chrono, shall be mounted on CDC Form 108, C-File Chrono SheetGeneral.

The chrono need not be typed. When handwritten, chronos shall be in black ink and legible.

Staff who have contacts of interest with inmates, relatives of inmates, or other persons interested in an inmate are encouraged to document these contacts on the appropriate CDC Form 128.

A route slip or similar device may be used when the chrono is directed to staff members before being placed into the C-File.

The last name of the person writing the report shall be placed on the bottom line on the far right-hand corner.

In addition to the date the report was written, the bottom line shall contain a descriptive title line indicating the subject matter contained in the report.

The CDC Form 128-A (white in color) shall be used only for the purpose of recording minor acts of nonconformance. The CDC Form 128-A shall be affixed to the CDC Form 108 in the disciplinary section of the C-File.

The CDC Form 128-B (canary yellow in color) shall be used by staff when the subject matter to be reported involves matters of classification, parole, or social service.

• This form shall be used by counselors and chaplains when making reports on the religious activity or outside contacts of inmates.

• The number of contacts shall be indicated and any evidence of insight or change of attitude shall be noted.

• Staff shall use this form if none of the other forms in the CDC Form 128 series are applicable to record information regarding contacts with inmates or persons interested in inmates.

• Housing officers shall use the CDC Form 128-B to report such information as the inmate’s relationships with fellow inmates, behavior, personal cleanliness, general attitude, and personality.

• The CDC Form 128-B-1 is initiated when an adverse classification action may occur or a major program change is anticipated.

• CDC Form 128-B shall be affixed to the CDC Form 108 in the general chrono section.

• CDC Form 128-B-1 shall be affixed to the CDC Form 108 in the classification section.

• The CDC Form 128-P, Credit Action, is prepared by the correctional case records staff when manually processing a change in release date.

The CDC Form 128-C (pink in color) is used by the medical, psychiatric, and dental departments in place of a “memo.” An exception is the psychiatric report prepared for the BPT.

• The CDC Form 128-C shall be affixed to the CDC Form 108.

The CDC Form 128-D (white with blue ink) is used for reporting progress (not registration) in day or evening high school courses.

The CDC Form 128-E (blue) is used for reporting progress in day or evening vocational training courses.

CDC Form 128-F (green) is used for reporting progress in day or evening elementary school courses.

The appropriate forms are used for each course in which the student enrolls and shall be completed:

• At the end of each quarter.

• As a progress report prior to a parole board appearance.

• When the inmate drops out of class or for some other reason does not finish the course.

• With the bottom line containing the date and name of the course. The word “Day” or “Evening” (whichever does not apply) shall be crossed out.

• The CDC Forms 128-D and F shall be affixed to the CDC Form 108. The CDC Form 128-E shall be affixed to the CDC Form 109.

The CDC Form 128-G (goldenrod in color) is used to record all classification committee decisions.

The CSRClassification Staff Representative shall use CDC Form 128-G to record the approval or disapproval of transfers. This CDC Form 128-G shall become the official transfer authorization document.

The CDC Form 128-G shall be affixed to CDC Form 108-A.

A “call sheet” serves as a notice of a committee meeting and is issued to all members of the classification committee by one member who is designated as committee secretary. This notice shall list the names of the inmates to be considered and the date and time of the meeting.

A “result sheet” noting committee decisions shall be prepared by the committee secretary and distributed to the CCRMCorrectional Case Records Manager and other facility staff on a need-to-know basis.

The committee recorder shall send notification of committee actions by memo or use of the “Result Sheet” to the Department heads responsible for carrying out the decisions of the committee.

The CDC Form 192, Custody Summary Folder, is no longer prepared at reception centers. Wardens, however, have the option of preparing, using, and maintaining a custody summary folder during the inmate’s stay at the facility.

Upon transfer, parole, or discharge, the custody summary folder shall be destroyed and not forwarded with the remaining departmental records.

Custody summary folders shall not be used for filing confidential information apart from information contained in the confidential folder of the inmate’s C-File.

Nonconfidential documents in the custody summary folder shall be made available for disclosure at the time the inmate or the inmate’s attorney is authorized to examine the nonconfidential portion of the inmate’s C-File.

When screening the custody summary folder for confidential information, it shall be given the same care as a preview screening of the C-File.

The CDC Form 114-A, Detention/Segregation Record, shall be prepared for each inmate housed in lockup status. The record shall be prepared in the lockup housing unit and maintained inside the cell inspection log folder where the inmate is housed.

• Prior to forwarding the records to the case records office, documents shall be placed in an 8 1/2″ x 11″ manila folder. The inmate’s identification number and name shall be affixed in ink to the folder.

• If the inmate is released to the general population, the records shall be forwarded to the case records office for retention with the C-File.

• If an inmate remains in lockup at the same facility for an extended period of time, the records shall be forwarded to the case records office every six months for filing and a new record created by the lockup housing unit staff.

• The case records office shall maintain this “satellite file” in close proximity to the C-File (similar to the manner in which “slough” files were maintained). If the inmate is transferred to another facility, the segregation record file shall be sent with all other records.

The CDC Form 101, Work Supervisor’s Report, shall be routed to the records office for inclusion in the inmate’s C-File on CDC Form 109, Work Report Chrono Sheet.

The CDC Form 144, Control Card, is prepared initially in the reception center and maintained by the case records staff in the facility and parole region.

When an inmate is transferred, paroled, or returned to custody, the card shall be forwarded with the C-File.

Definitions and instructions for completing the control card are discussed below:

• Control Date

  • The control date is that date which next requires action or disposition regarding an inmate or parolee. The cards shall be filed in chronological order by the date in the control date section.

• Number

  • The inmate’s/parolee’s departmental identification number (CDC number).

• Name

  • The inmate’s/parolee’s commitment name.

• Parole Unit

  • This section is for region case records staff to record the parole unit to which the parolee is assigned.

• Lifer Court Notices Required

  • This section is marked to indicate that a notice to the court shall be sent prior to a BPT hearing on lifer cases or other indeterminate sentence law (ISLIndeterminate Sentence Law) cases as requested.

• Parolee-at-Large/Releasee-at-Large (PALParolee-At-Large/RALRelease-At-Large)

  • This section is for region case records staff to record a parolee’s/releasee’s status and the date the parolee/releasee was declared PALParolee-At-Large/RALRelease-At-Large.

The following information shall be entered on ISLIndeterminate Sentence Law cases:

• Parole Date

  • An ISLIndeterminate Sentence Law parole date is entered in this block if the inmate has been granted an ISLIndeterminate Sentence Law parole date by the BPT.

• Primary Term

  • The primary term discharge date is entered in this block if a primary term has been granted by the BPT.

• Board Date/Civil Addict Program (CAPCorrective Action Plan) Annual Review Date

  • The month and year in which an inmate is scheduled for their next ISLIndeterminate Sentence Law board hearing or, for a civil addict, their next annual review date or date specified by the NAEANarcotic Addiction Evaluation Authority .

The following information shall be entered in DSLDeterminate Sentence Law cases:

• Maximum (MaxMaximum) DSLDeterminate Sentence Law Date/CAPCorrective Action Plan Maximum Time in Program

  • The maximum (MaxMaximum) date an inmate may remain in a facility on a DSLDeterminate Sentence Law term or DSLDeterminate Sentence Law recalculation or, in the case of a parolee, the MaxMaximum date a parolee can remain under parole supervision. For civil addicts, this date is the MaxMaximum date a person can remain in the civil addict program.

• DSLDeterminate Sentence Law Release Date/CAPCorrective Action Plan MaxMaximum Time in Custody

  • The date an inmate is scheduled for release on a DSLDeterminate Sentence Law recalculation or, in the case of a parolee returned to custody, the scheduled date for release from custody. For civil addicts, this date is the MaxMaximum date a person can remain in custody.

• Discharge Review Date/CAPCorrective Action Plan Clean Consecutive Months on Outpatient Status (OPSOutpatient Status)

  • The date one year after release to (or returned to) active parole status. For civil addicts, this is the date that shall indicate the conclusion of the clean consecutive months in outpatient status (OPSOutpatient Status) for discharge consideration or the date the civil addict rolls over to civil addict parole.

This section shall be used to record status of extended term screening. Case records staff may record other information in this section as needed.

The CDC Form 112, Chronological Inmate History, shall be filed as the second sheet in the case summary section of the C-File.

If additional pages are needed, the inmate’s name, CDC number, and chronological page number shall be entered at the bottom of each page.

Use of white-out or correction tape is prohibited.

When an entry is no longer valid (e.g., detainer dropped, release date changed, or posting error), a single line shall be drawn through the entry. The notation “No Longer Valid,” the date and staff initials shall be placed adjacent to the lined-through material.

Entries on the CDC Form 112 shall only include inmate movement/location, data affecting legal status, release and discharge date, length of parole, requests from law enforcement agencies, courts, or interested parties requiring responses, and all BPT and NAEANarcotic Addiction Evaluation Authority actions.

All entries on the CDC Form 112 shall be clear, legible and in black ink except those which are specifically designated to be in red ink.

All entries shall be initialed.

Only the abbreviations listed below and the standard facility abbreviations shall be used to provide uniformity.

Rubber stamp specifications:

• All capital letters in plain bold type. Average six characters per inch, letters one-quarter inch high.

Red ink stamp:

• WANTED BY ___ (Write in the agency warrant/hold/detainer number, expiration date. Date stamp document when received and post this in left column.)

• NO LONGER WANTED BY _____ (Write in the agency warrant/hold/detainer number. Use date received. Cross out original wanted notice.)

• NOTICE REQUESTED _____ (Write in kind of request. Note if CDC Form 128-R is confidential.)

Black ink stamp:

• Report requested, PCPenal Code 1170(d).

• Report mailed, PCPenal Code 1170(d).

Handwritten in red ink (sample abbreviations as noted):

• Escaped.

• Escaped while on temporary community leave (TCLTemporary Community Leave).

• Apprehended by _____.

• Apprehended by _____ after expiration of TCLTemporary Community Leave.

• Public interest case.

Handwritten in black ink (sample abbreviations as noted):

• Received (rec’d) reception center, SQRC (condemned), other jurisdiction.

• Rec’d facility-interfacility transfer.

• Rec’d reception center as parole violator returned to custody (PVRTCParole Violator Return To Custody).

• Rec’d reception center as parole violator returned with new term (PVWNTParole Violator Returned With New Term).

• Rec’d community correctional facility.

• Out-to-court (OTCOut To Court)−witness, new trial/new charge (NT/NCNew Charge), further proceedings.

• Court-return to finish term (Crt Ret TFTCourt-Return To Finish Term).

• Court-return with new term (Crt Ret WNTWith a New Term).

• Released to TCLTemporary Community Leave.

• Returned from TCLTemporary Community Leave (Ret’d from TCLTemporary Community Leave).

• Ret’d from escape.

• Paroled to Region _____, unit name (Par to Reg).

• Ret’d to Parole, Region _____, unit name (Ret’d to Par Reg) (after release on appeal bond/bail, court order, including while out-to-court.)

• Discharged.

• Deceased.

• Pardon granted.

• Commutation of sentence.

• File audited.

• Additional commitment rec’d.

• Amended abstract of judgment rec’d, case #_____ (specify what was amended).

• Discharged from previous term, case #_____ (BPT Rule 2649).

• Commitment vacated/recalled/judgment suspended, case #_____.

• Arrested/located.

• Waiver of extradition (out-of-state arrest).

• Reinstate on parole effective _____.

• Schedule for revocation.

• Continue on parole.

• Earliest possible release date (EPRDEarliest Possible Release Date).

• Current release date.

• MaxMaximum release date (MRDMax Release Date).

• Minimum (MINMinimum)/MAX DSLDeterminate Sentence Law date.

• Projected revocation release date (PRRDProjected Revocation Release Date).

• All Board actions, hearing date, dead time, parolee-at-large (PALParolee-At-Large) date, discharge review date (DRDDischarge Review Date), controlling discharge date (CDDControlling Discharge Date), revocation release date (RRDRevocation Release Date), ISLIndeterminate Sentence Law date.

____Days Credit Lost. CDC 115, Dated ____ Log #____

____Days credit Restored. CDC 115, Dated ____ Log #____

The following items shall not be posted:

• Release to out-to-court and return same day.

• Optional/unconditional waiver signed (this shall be part of the BPT action).

Any entries not listed above shall be written out and not abbreviated to provide a clear understanding and meaning of the entry.

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

Eliminate duplication by retaining no more than a single copy of any item.

Retain all legal documents and one copy of all parts of the case summary.

Discard mail envelopes received with items placed in the file after the return address is copied onto the item.

Apply departmental criteria for determining confidentiality before disposing of material.

• All nonconfidential material removed from the file shall be given to the inmate unless otherwise indicated.

• Confidential material removed from the file shall not be given to the inmate but shall be destroyed.

No material shall be removed from the C-File which affects the facility security or the health and safety of inmates or others. If material does affect either, the specified retention schedule for that item is waived and the item shall be retained in the file. For example:

• A threat on a person’s life might be documented on an informational chrono, which according to the retention schedule is due for purging. Because of the safety issue, the reviewer shall retain that chrono in the file.

Do not use local “in-house” forms in lieu of departmental forms. In cases where a local form was used, purge it according to the criteria established for the departmental form.

The following instructions apply to the types of documentation which may be found in a case file and shall be followed in the purge processes:

• Board Report

  • Retain in hard copy; microfiche at discharge.

• Psychiatric Evaluation

  • Retain in hard copy; microfiche at discharge.

• Responses to PCPenal Code 3042 Notice

  • Retain in hard copy; microfiche at discharge.

• Statement by Judge and DA

  • Not usually received on CDC form, but is the PCPenal Code 1203.1 statement which shall be retained in hard copy; microfiche at discharge.

• Writs Filed by Life Prisoners

  • Regardless of the issue raised or the named parties, writs shall be retained until discharge. Numerous writs filed by litigious inmates may be retained in a separate file. Microfiche at discharge.

• Correspondence Regarding the Prisoner and the Offense

  • Retain in hard copy; microfiche at discharge.

• CDC Form 101, Work Supervisor’s Report

  • Retain in hard copy; microfiche at discharge.

• CDC Form 102, Release Statement and Clothing Authorization

  • Purge all but most recent one.

• CDCRCalifornia Department of Corrections and Rehabilitation Form 104, Property and Cash Receipt– Arrival

  • Do not file in C-File. Maintain current copies in property room.

• CDC Form 105, Application for Mail and Visiting Privileges

  • Do not file in C-File. Retain in visiting office.

• CDCRCalifornia Department of Corrections and Rehabilitation Form 106, Mail and Visiting Privilege Questionnaire

  • Do not file in C-File. Retain in visiting office.

• CDC Form 112, Chronological History

  • Retain in hard copy; microfiche at discharge.

• CDC Form 114-A, Isolation-Segregation Record

  • Retain in hard copy; microfiche at discharge.

• CDC Form 114-D, Order and Hearing for Placement in Segregation Housing

  • Retain in hard copy; microfiche at discharge.

• CDC Form 115, Rule Violation Report (Administrative)

  • Retain in hard copy; microfiche at discharge.

• CDC Form 115-A, Serious Rule Violation Report

  • Retain in hard copy; microfiche at discharge.

    • Incident reports attached to CDC Forms 115 retained in hard copy; microfiche at discharge.

• CDC Form 122, Property and Cash Receipt–Release

  • Do not file in C-File. Retain in property room.

• CDC Form 123, Body Receipt

  • Retain in hard copy; microfiche at discharge.

• CDC Form 126, Certificate of Driver Eligibility

  • Retain in hard copy; microfiche at discharge.

• SOMSStrategic Offender Management – Notification in Case of Inmate Death, Serious Injury, or Serious Illness CDC Form 128-A, Custodial Counseling

  • Retain in hard copy; microfiche at discharge.

• CDC Form 128-B, General Chrono

  • Retain in hard copy; microfiche at discharge.

• CDC Form 128-B-1, Notice of Classification Hearing

  • Retain in hard copy; microfiche at discharge. These are needed for accreditation.

• CDC Form 128-C, Medical-Psych-Dental

  • Retain in hard copy; microfiche at discharge.

• CDC Form 128-C-1, Reception Center Medical Clearance/Special Instructions

  • Retain in hard copy; microfiche at discharge.

• CDC Form 128-D, E, and F, Education Progress Reports

  • Retain in hard copy; microfiche at discharge.

• CDC Form 128-G, Classification Chrono

  • Retain in hard copy; microfiche at discharge.

• CDC Form 128-L, Education College

  • Retain until BPT hearing (documentation, parole consideration, progress or rescission) which occurs after the conduct documented on the form, then purge.

• CDC Form 128-M, Group Test Results

  • Retain in health records.

• CDC Form 128-O, Document Receipt

  • Retain in hard copy; microfiche at discharge.

• CDC Form 128-P, Loss of Credit Notification

  • Purge all but most recent notice.

• CDC Form 128-P-1, Notice of Work Credits

  • Purge all but most recent notice.

• CDC Form 128-R, Requested Notice of Escape or Transfer of Custody

  • Retain in hard copy; microfiche all but most recent notice.

• CDC Form 138, Fingerprint Card

  • Retain in hard copy.

• CDC Form 146, ReleaseMotion Pictures, etc.

  • Retain in hard copy; microfiche at discharge.

• CDC Form 158, Certification of Education Achievement

  • Do not file in C-File. Retain in education/vocational office.

• CDC Form 161, Warden’s Checkout Order

  • Do not file in C-File. Retain in separate record office file for one year in addition to the current year.

• CDC Form 188, Cumulative Case Summary-Face Sheet

  • Retain in hard copy; microfiche at discharge.

• CDC Form 191, Inmate Time Card

  • Retain in hard copy; purge 60 days after last credit gain unless an appeal is pending.

• CDC Form 193, Trust Account Withdrawal Order

  • Do not file in C-File. Retain in trust office.

• CDC Form 198-A, Source of Information

  • Retain in hard copy; microfiche at discharge.

• CDC Form 202, Request for Education Record

  • Do not file in C-File. Retain in education office.

• CDC Forms 203, 204-A, 205-A, 206, 207-A, and 208

  • All these forms are obsolete.

• CDC Form 209, Psychological Test Results

  • Retain in health record.

• CDC Form 241, Request for Military Service Data

  • Purge when answer received.

• CDC Form 248-A, Letter of Inquiry Re: Application for Employment

  • Retained in C-File only until reply is received, then purge.

• CDC Form 255, Off-Site Work Assignment Eligible List

  • Do not file in C-File. Retain in custody office.

• CDC Form 260, Personal Clothing Disposition

  • Do not file in C-File. Retain in property room.

• CDC Form 279-L, Facility Appearance Evaluation Sheet

  • Retain in hard copy; microfiche at discharge.

• CDC Forms 294 and 295, Western Interstate Corrections Compact Agreement and Cooperative Transfer Agreement

  • Retain in hard copy; microfiche at discharge.

• CDC Forms 341, 342, 343, and 344, Discharge Certificates

  • Retain in hard copy; microfiche at discharge.

• CDC Form 345, Power of Attorney and Authorization for Deposit

  • Retain latest in hard copy; microfiche at discharge.

• CDC Forms 360, 360-A, 361, 362-A, and 362-B, NAEANarcotic Addiction Evaluation Authority Vote Sheet

  • Retain in hard copy; microfiche at discharge.

• CDC Form 600, Wanted Persons System NotificationAddendum A

  • Retain current wants in hard copy. Purge upon cancellation.

• CDC Form 602, Inmate/Parolee Appeal Form

  • Retain in hard copy; microfiche at discharge.

• CDC Form 611, Release Program Study

  • Purge all but most recent one. Microfiche at discharge.

• CDC Form 616, Form Letter–Request for Disposition of Probation, Waiver of Appearance and Right to Attorney

  • Purge when adjudicated.

• CDC Forms 629-A and 629-B SHUSecurity Housing Unit term of initial confinement, and re-determination of SHUSecurity Housing Unit confinement term.

  • Retain in hard copy attached to CDC 115, microfiche at discharge.

• CDC Form 643, Demand for Hearing and Trial

  • Retain in hard copy; microfiche at discharge.

• CDC Form 644, Notice of Presumptive Death

  • Microfiche at discharge.

• CDC Form 661, Form Letter to Inmate Re: Wanted by Other Agencies

  • Retain in hard copy; microfiche at discharge.

• CDC Form 669, Motion to Dismiss Criminal Charges Pending

  • Retain in hard copy; microfiche at discharge.

• CDC Form 678, Confinement Computation Retain in hard copy; microfiche at discharge.

• CDC Form 679-A Credit/Term Computation

  • Retain in hard copy; microfiche at discharge.

• CDC Form 679-A Credit/Term Computation

  • Retain in hard copy; microfiche at discharge.

• CDC Form 695, Appeals Office Screening Decision

  • Retain in hard copy; microfiche at discharge.

• CDC Form 801, Notice of Detainer

  • Retain in hard copy, purge when returned to Department custody or paroled.

• CDC Form 802, Interstate Compact/Placement Agreement

  • Retain in hard copy; microfiche at discharge.

• CDC Form 804, Notice of Pending CDC 115

  • Retain in hard copy; purge when CDC 115 is adjudicated.

• CDC Form 810, Confidential Information Listing

  • Retain latest in hard copy; microfiche at discharge.

• CDC Forms 811 and 811-A, Confidential Information Removal Notice

  • Retain latest in hard copy; microfiche at discharge.

• CDC Forms 812, Notice of Critical Case Information– Safety of Persons; 812-A, Notice of Critical Information–Prison Gang Identification; and 812-B, Notice of Critical Information–Disruptive Group Identification

  • Retain in hard copy; microfiche at discharge.

• CDC Form 813, Release From Liability

  • Retain in hard copy; microfiche at discharge.

• CDC Form 819, Personal/Confidential Information Disclosure/Access Log

  • Retain in hard copy; microfiche at discharge.

• CDC Form 833, Record Release Authorization

  • Retain in hard copy; microfiche at discharge.

• CDC Form 839, Initial Classification Score Sheet

  • Retain in hard copy; microfiche at discharge.

• CDC Form 840, Reclassification Score Sheet

  • Retain in hard copy; microfiche at discharge.

• CDC Form 850, Detainer Summary

  • Retain in hard copy; microfiche at discharge.

• CDC Form 888, Notice of Request for Search

  • Do not file in C-File. Retain in visiting office.

• CDC Forms 913 and 914, Override and Sentence Date Entry

  • Do not file in C-File.

• CDC Form 916, Credit Time Waiver

  • Retain in hard copy; microfiche at discharge.

• CDC Form 958, Application for Restoration of Credits

  • Retain in hard copy; microfiche at discharge.

• CDC Form 1502, Activity Report

  • Retain in hard copy; microfiche at discharge.

• CDC Form 1503, Parolee Face Sheet

  • Retain in hard copy; microfiche at discharge.

• CDC Form 1504, Parole Release Authorization

  • Retain in hard copy; microfiche at discharge.

• CDC Form 1506, Transfer/Correction/Residence Change

  • Retain in hard copy; purge at discharge.

• CDC Form 1507, Record of Interview (Reentry)

  • Retain in hard copy; microfiche at discharge.

• CDC Form 1508, Parolee’s Monthly Report

  • Do not file in C-File.

• CDC Form 1509, Assistance Receipt

  • Do not file in C-File.

• CDC Form 1510, Loan Repayment Receipt

  • Do not file in C-File.

• CDC Form 1512, Form Letter Permit to Drive a Vehicle.

  • Obsolete, purge.

• CDC Form 1515, Notice and Conditions of Parole

  • Retain in hard copy; purge at discharge.

• CDC Form 1515-L, Conditions of Release

  • Retain in hard copy; microfiche at discharge.

• CDC Form 1519, Request to Exercise/Restore Civil Rights

  • Obsolete, purge.

• CDC Form 1521-A, Actions of the Parole & Community Services Division

  • Retain in hard copy; purge at discharge.

• CDC Form 1521-B, Charge Sheet

  • Retain in hard copy; purge at discharge.

• CDC Form 1521-C, Case Summary

  • Retain in hard copy; purge at discharge.

• CDC Form 1521-D, Recommendation Review Decision Sheet

  • Retain in hard copy; purge at discharge.

• CDC Form 1524, PALParolee-At-Large Report

  • Retain in hard copy; purge at discharge.

• CDC Form 1526, Visitation Permit

  • Retain in hard copy; purge at discharge.

• CDC Form 1529, Parole and Probation Form A, Reply to Parole Investigation Request

  • Retain in hard copy; purge at discharge.

• CDC Form 1530, Parole and Probation Form B, Report of Violation

  • Retain in hard copy; purge at discharge.

• CDC Form 1531, Parole and Probation Form 1, Parole Investigation Request

  • Retain in hard copy; purge at discharge.

• CDC Form 1532, Parole and Probation Form 2, Report of Sending State

  • Retain in hard copy; purge at discharge.

• CDC Form 1533, Parole and Probation Form 3, Agreement to Return

  • Retain in hard copy; purge at discharge.

• CDC Form 1534, Parole and Probation Form 4, Parole Progress and Conduct Report

  • Retain in hard copy; purge at discharge.

• CDC Form 1535, Out-of-State Travel Permit

  • Retain in hard copy; purge at discharge.

• CDC Form 1536, Request for Cooperative Investigation

  • Retain in hard copy; purge at discharge.

• CDC Form 1538, Opening and/or Closing Notice

  • Retain in hard copy; purge at discharge.

• CDC Form 1539, Tracer Letter #1 (PALParolee-At-Large)

  • Do not file in C-File.

• CDC Form 1540, Final Request Concerning Parolee (PALParolee-At-Large)

  • Do not file in C-File.

• CDC Form 1541, Request for Submission of Monthly Report

  • Do not file in C-File.

• CDC Form 1548, Parolee Outpatient Clinic Referral

  • Do not file in C-File.

• CDC Form 1551, Transfer Investigation Request

  • Do not file in C-File.

• CDC Form 1570, Guidelines for Parole

  • Do not file in C-File.

• CDC Form 1580, Request for Criminal Record (DOJDepartment Of Justice)

  • Do not file in C-File.

• CDC Form 1600, Arrival ReportWork Furlough Inmates

  • Retain in hard copy; purge at discharge.

• CDC Form 1601, DepartureWork Furlough

  • Retain in hard copy; purge at discharge.

• CDC Form 1604, Agreement of State Prisoner to Participate in Community Correctional Facility Program

  • Retain in hard copy; purge at discharge.

• CDC Form 1608, NAEANarcotic Addiction Evaluation Authority Vote Sheet

  • Retain in hard copy; microfiche at discharge.

• CDC Form 1610, Authorization and Waiver Methadone Maintenance Program

  • Do not file in C-File.

• CDC Form 1611, Request for Furlough Absence

  • Do not file in C-File.

• CDC Form 1614, Employment Information

  • Do not file in C-File.

• CDC Form 1628-B, NAEANarcotic Addiction Evaluation Authority Board Report ReviewSpecial Comments

  • Retain in hard copy; microfiche at discharge.

• CDC Form 1632, Discharge ReviewRetain in Parole Report

  • Retain in hard copy; purge at discharge.

• CDC Forms 1664 Through 1672, Agreement on Detainers

  • Retain in hard copy; microfiche at discharge.

• CDC Form 1676, Hearing Data (Case Data)

  • Retain in hard copy; microfiche at discharge.

• CDC Form 7252, Request Authorization for Temporary Removal for Medical Treatment

  • Retain in hard copy; microfiche at discharge.

P&CSDParole & Community Services Division (see DAPO) Forms:

• P&CSDParole & Community Services Division (see DAPO) Form 101, Form Letter

  • Obsolete, purge.

• P&CSDParole & Community Services Division (see DAPO) Form 102, Corrected Discharge Date/Notification of Death

  • Obsolete, purge.

• P&CSDParole & Community Services Division (see DAPO) Form 103, Form Letter

  • Retain in hard copy; purge at discharge.

• P&CSDParole & Community Services Division (see DAPO) Form 104, Form Letter

  • Obsolete, purge.

• P&CSDParole & Community Services Division (see DAPO) Form 105, Affidavit

  • Obsolete, purge.

• P&CSDParole & Community Services Division (see DAPO) Form 106, MemoTransmittal

  • Obsolete, purge.

• P&CSDParole & Community Services Division (see DAPO) Form 107, Weekly Discharge List

  • Retain in hard copy; purge at discharge.

• P&CSDParole & Community Services Division (see DAPO) Form 180, P&CSDParole & Community Services Division (see DAPO) Route Slip

  • Do not file in C-File.

• P&CSDParole & Community Services Division (see DAPO) Forms 181 and 181-B, Costs of Detention

  • Do not file in C-File.

• P&CSDParole & Community Services Division (see DAPO) Form 182, Cooperative Case Referral

  • Obsolete, purge.

• P&CSDParole & Community Services Division (see DAPO) Form 183, Prescription

  • Obsolete, purge.

• P&CSDParole & Community Services Division (see DAPO) Form 184, POCMonthly Activities Report

  • Do not file in C-File.

• P&CSDParole & Community Services Division (see DAPO) Form 185, Records Card

  • Obsolete, purge.

Non-departmental forms:

• Abstract of Judgment

  • Retain in hard copy; microfiche at discharge.

• Minute Order

  • Retain in hard copy; microfiche at discharge.

• Charging Document

  • Retain in hard copy; microfiche at discharge.

• Sentencing Transcript

  • Retain in hard copy; microfiche at discharge.

• PORProbation Officer Report

  • Retain in hard copy; microfiche at discharge.

• Appellate Opinion:

  • Lifer Cases

    • Retain in hard copy; microfiche at discharge.

  • Nonlifer Cases

    • If affirmed, destroy when final.

• Remittitur

  • Retain in hard copy; microfiche at discharge.

• Board Decision

  • Retain in hard copy; microfiche at discharge.

• Requests for Notice of Board Hearings and Correspondence From Victims and Next-of-Kin

  • Retain in hard copy; microfiche at discharge.

• General Correspondence

  • Purge at review for documents two years old except items containing crucial information in the judgment of the reviewing counselor; microfiche at discharge.

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

  • Retain in hard copy; microfiche at discharge.

• Current FBIFederal Bureau of Investigation Reports

  • Retain in hard copy; microfiche at discharge.

• Arrest Reports Re: Instant Offenses or Requested by NAEANarcotic Addiction Evaluation Authority

  • Retain in hard copy; microfiche at discharge.

• All Violation Reports

  • Retain in hard copy; microfiche at discharge.

• All Referrals to Outpatient Status/Civil Addict Parole

  • Retain in hard copy; microfiche at discharge.

• All Release Program Studies (Outpatient Status/Civil Addict Parole)

  • Retain in hard copy; microfiche at discharge.

A CDC Form 135 shall be prepared listing the number and name of each inmate being transferred.

A separate CDC Form 135 shall be prepared for each facility or facility of a complex.

Under “Remarks,” the sending facility shall note those cases requiring emergency or special handling (e.g., emergency psychiatric, serious escape risk, SHUSecurity Housing Unit placement) but not confidential information.

The inmate’s privilege group shall be indicated in the remarks.

The CDC Form 135 shall be prepared in quintuplicate, signed by case records staff, and forwarded with the case records to the receiving and release (R&RReceiving and Release) sergeant for further processing.

The CDC Form 135 shall be signed by the transporting officer as a receipt for the inmates and their records.

One copy of the CDC Form 135 shall be returned by R&RReceiving and Release to the case records office of the sending facility where it shall be retained for one year in addition to the current year.

One copy of the CDC Form 135 shall be delivered to the sending facility control room.

The remaining three copies of the form shall be carried by the transportation officer to the receiving facility for the following distribution:

• One copy and any confidential information to the receiving facility’s control room.

• One copy with the inmate’s records to the case records office of the receiving facility where it shall be retained for one year in addition to the current year.

• The remaining copy is retained by the transporting officer.

Case records staff of a layover facility shall prepare a new CDC Form 135 listing all inmates being transferred from their facility including those enroute.

The new CDC Form 135 shall be used as a receipt for the inmates and their records on departure from the layover facility.

Notations shall be made under “Remarks” to indicate the origin of the transfer (e.g., en route from CIMCalifornia Institution for Men).

When it is apparent that the departmental transportation vehicle shall arrive at a layover facility after regular working hours, the sending facility shall FAX the names, numbers, and destination of those inmates who are stopping over.

This shall enable the case records staff of the layover facility to prepare the CDC Form 135 in advance.

For each parole violator picked up at a county jail by departmental transportation, the receiving facility’s staff shall prepare a CDC Form 123, Body Receipt, upon arrival.

Any confidential memos/chronos shall be delivered to receiving facility staff for immediate evaluation.

A CDC Form 134 shall be prepared in duplicate listing the records for transfer to another facility or parole region and using the inmates listed on the CDC Form 135 or the CDC Form 161.

An entry shall be made in each square of the sheet after the inmate’s name to indicate that the record is enclosed, delayed, or nonexistent. The disposition of the Form 134 is as follows:

• The original of the Records Transfer Checksheet shall accompany the records to the records office of the receiving facility/region where it shall be retained one year in addition to the current year.

• The duplicate shall be retained by the records office of the sending facility/region one year in addition to the current year.

The IW/TIP requires proper recording and documentation of an inmate’s participation in a work/training assignment for the purpose of granting worktime credit.

DOMDepartment Operations Manual 73030 of this manual provides detailed procedures for the completion and processing of the CDC Form 191, Inmate Time Card, and worktime credit chronos.

• Time cards shall be filed in the general chrono section of the inmate’s C-File.

If a time card is received in the case records office after an inmate and his records have been transferred, the information from the card shall be entered into the computer.

After entry into the computer, the time card shall be mailed immediately by first-class mail to the receiving case records office for placement in the inmate’s C-File.

The time collection computer program does not permit granting of worktime credits when there are gaps in an inmate’s record.

Timely entry of correct worktime data for each day is absolutely necessary.

A missing time report is computer-generated which enables each facility and parole region (community correctional center cases only) to receive a monthly listing of missing computer entries of worktime records.

The missing time report provides a method for staff to make immediate follow-up of any missing time thereby enabling case records staff to grant accurate worktime credits in a timely manner.

The missing time report shall be routed to facility department heads for further distribution to supervisor(s) for follow-up.

Staff shall review their timekeeping records and prepare a time card or chrono for inmates under their supervision who are listed on the report.

The missing time report is printed in CDC numerical order within the following categories:

• Not vested.

• Vested.

Missing time information shall continue to be shown on each monthly listing until a time card or time chrono has been received and entered into the computer by case records staff.

The Deputy Director, Institutions Division, or designee shall be responsible for ensuring that the contents of this article are kept current and accurate.

PCPenal Code § 2081.5.

CCRCalifornia Code of Regulations (15) (3).

DOMDepartment Operations Manual §§ 52080 and 73030.

Inmates received by the Department must be accompanied by proper documentation and authorization, and their identity must be verified to prevent inadvertent acceptance of persons not legally committed to CDCRCalifornia Department of Corrections and Rehabilitation.

If CDCRCalifornia Department of Corrections and Rehabilitation Intake Control Unit (ICU) has been notified by a county that a new commitment prisoner or a referral pursuant to Penal Code (PCPenal Code) Section 1203.03 is ready to be transported, the Department is unable to accept delivery by the fifth working day, and the abstract of judgment or minute order has been completed, PCPenal Code Section 4016.5(d) states that county shall be reimbursed for costs incurred resulting from the prisoner’s detention.

California Code of Regulations (CCRCalifornia Code of Regulations), Title 2, Division 2, Financial Operations, Chapter 1, Victim Compensation and Government Claims Board, Section 776, states a county is entitled to reimbursement for allowable expenses incurred in the transportation of a State prisoner to a State institution.

This Section establishes standard procedures for the orderly acceptance and processing of inmates in a controlled, expedient manner into departmental institutions.

This Section establishes standard procedures for the reimbursement to a county when the county has notified CDCRCalifornia Department of Corrections and Rehabilitation of the detention of a new commitment State prisoner in a county facility in excess of five working days from the date of county notification to ICU.

This Section also establishes standard procedures for reimbursement of allowable expenses incurred in the transportation of State prisoners.

Inmates received by CDCRCalifornia Department of Corrections and Rehabilitation include:

• New commitments.

• Diagnostic commitments [PCPenal Code 1203.03].

• Safekeepers (PCPenal Code 4007).

• Out-to-court returns with new terms or to finish terms.

• Parole Violators With New Terms (PVWNTParole Violator Returned With New Term) or Parole Violators Returned To Custody (PVRTCParole Violator Return To Custody).

• Outpatient returnees with new commitments or to finish commitments.

CDCRCalifornia Department of Corrections and Rehabilitation shall reimburse a county for each day of a prisoner‘s detention, starting on the day following the fifth working day (Monday through Friday, excluding holidays as outlined in Government Code Section 19853) after the county notifies CDCRCalifornia Department of Corrections and Rehabilitation it has a prisoner ready for transfer to CDCRCalifornia Department of Corrections and Rehabilitation and delivery is denied.

Reimbursement begins for each day in excess of five working days from the date the county notified CDCRCalifornia Department of Corrections and Rehabilitation ICU that delivery of the prisoner was denied.

The county will not be reimbursed for the detention of a prisoner for any period of time prior to notification and within the five working days after notification.

Notification Processes:

• Notification to CDCRCalifornia Department of Corrections and Rehabilitation ICU shall be on or before the Friday prior to the week of transport. If a county’s designated Receiving Center (RCReception Centers) is unable to accept delivery of the prisoner, the county shall contact ICU. ICU will either:

  • Direct the county to deliver the prisoner to an alternate RCReception Centers with available beds; or

  • Verify that CDCRCalifornia Department of Corrections and Rehabilitation is currently unable to accept delivery of the prisoner at any RCReception Centers.

If a county refuses or is unable to deliver the prisoner to the designated or alternate RCReception Centers, the county will no longer be eligible for reimbursement. Upon notification from CDCRCalifornia Department of Corrections and Rehabilitation ICU of the inability to accept delivery of the prisoner at any RCReception Centers, the county shall e-mail, in CDCRCalifornia Department of Corrections and Rehabilitation’s approved format, the following information to CDCRCalifornia Department of Corrections and Rehabilitation ICU:

• The name of each detained prisoner denied delivery to CDCRCalifornia Department of Corrections and Rehabilitation, along with his or her criminal investigation and identification number, and date of birth;

• The certified abstract of judgment date or minute order date for each prisoner denied transfer;

• Verification the prisoner denied delivery by CDCRCalifornia Department of Corrections and Rehabilitation is medically fit for transport.

Priority shall be given to inmates incurring non-routine medical expenses who are otherwise medically capable of transporting to CDCRCalifornia Department of Corrections and Rehabilitation. If a county attempts to deliver a prisoner to CDCRCalifornia Department of Corrections and Rehabilitation without notifying ICU and the RCReception Centers is unable to accept delivery of the prisoner, the date of notification will be the date the county attempts to deliver the prisoner to CDCRCalifornia Department of Corrections and Rehabilitation. In the event beds become available at an RCReception Centers for the prisoner whose delivery was initially denied, CDCRCalifornia Department of Corrections and Rehabilitation will notify the county of the bed availability and the county shall arrange for delivery of the prisoner to the identified RCReception Centers. The county shall deliver the prisoner within two working days of CDCRCalifornia Department of Corrections and Rehabilitation’s notification of bed availability. If the county is unable to deliver the prisoner within two working days, reimbursement will not be authorized for any additional days.

CDCRCalifornia Department of Corrections and Rehabilitation is responsible for reimbursement to counties for expenses incurred for the transportation of the State prisoner from a county facility to CDCRCalifornia Department of Corrections and Rehabilitation as outlined in CCRCalifornia Code of Regulations, Title 2, Section 776. Reimbursement claims must be submitted to CDCRCalifornia Department of Corrections and Rehabilitation within six months of the end of the month in which the costs were incurred.

Reception centers or receiving institutions shall prepare required departmental forms on inmates received with new commitments.

In processing arrivals at institutions, standard procedures shall be followed.

In processing arrivals the R&RReceiving and Release sergeant shall:

Verify that new/additional commitments are valid and certified. The court order is deemed certified if it has any two of the following:

• Original judge’s signature.

• Original county/court clerk’s signature.

• Original county seal.

Refer to Correctional Case Record Manager (CCRMCorrectional Case Records Manager) any questionable documents for verification.

Make a print of arrival’s right index finger on the commitment document.

Assign a CDC identification number (CDC number) for new commitments.

Record each newly admitted inmate’s number and name in the reception center roster.

Prepare Forms

• Prepare a Body Receipt in duplicate and distribute:

  • Original to person delivering inmate.

  • Copy to C-File.

Receive new arrival’s cash, securities, and other personal property and complete a CDCRCalifornia Department of Corrections and Rehabilitation Form 104, Property and Cash Receipt Arrival, in quadruplicate and distribute:

• White, retained in R&RReceiving and Release.

• Yellow, to inmate.

• Green, to trust office with case/securities.

• Pink, to remain with valuable property envelope.

Have inmate complete a CDCRCalifornia Department of Corrections and Rehabilitation Form 345, Authorization for the Secretary to Maintain Trust Account, and forward to C-file.

Prepare the Strategic Offender Management System (SOMSStrategic Offender Management) – Notification in Case of Inmate Death, Serious Injury, or Serious Illness, on all new commitments.

• The CCRMCorrectional Case Records Manager shall prepare the SOMSStrategic Offender Management-Notification in Case of Inmate Death, Serious Injury or Serious Illness for commitments received by mail.

• This information is used to prepare the FBIFederal Bureau of Investigation Form FD-249; Fingerprint Cards, and then the form is destroyed.

• The chrono section of the “Notification in Case of Inmate Death, Serious Injury, or Serious Illness” shall be removed and forwarded to Case Records for the C-File.

CDC Form 103-B

• The CDC Form 103-B, Associate Warden–Custody Inmate Record Card, may be used in a facility at the discretion of the Warden. This form is not a part of the inmate C-file and shall not be retained therein.

New arrivals may send civilian clothing out of the facility at their own expense or designate that the facility dispose of it.

Four sets of fingerprints and complete information shall be provided on four FBIFederal Bureau of Investigation Form FD-249, except for 90-day placements (PCPenal Code 1203.03).

R&RReceiving and Release Responsibility

• On 90-day placements, only one FBIFederal Bureau of Investigation Form FD-249 shall be sent to California Department of Justice (DOJDepartment Of Justice) on an FBIFederal Bureau of Investigation card.

Required Information

• The following information is required on all FBIFederal Bureau of Investigation Form FD-249s:

  • Date subject was received by the facility.

  • County of commitment.

  • Commitment offense(s).

  • Court case number(s), crime(s) including probation revocation when applicable, proper code section(s), and sentence(s) shall be specified.

  • For diagnostic cases, the charge shall be “PCPenal Code 1203.03.” The charge resulting in PCPenal Code 1203.03 commitment shall not be reflected.

  • Inmate’s full commitment name [see DOMDepartment Operations Manual 73010.6.1], CDC number, contributing facility’s identification number, and the name of the facility submitting the card.

Additional Commitments

• If an additional commitment is involved, indicate the type.

  • Court return with new term.

  • Additional commitment received by mail.

  • Escape return with new term.

  • PVWNTParole Violator Returned With New Term.

  • Civil Addict cases shall specify outpatient return with a new commitment.

Parole Violators

• PVRTCParole Violator Return To Custody:

  • In the charge box, note “Parole Violator” or “Outpatient Returnee.”

  • In the final disposition box, note “P.R.T.C.”

• PVWNTParole Violator Returned With New Term:

  • In the charge box, note “Parole Violator with New Term” and include county, case number, code and section number, and offense in narrative form.

  • In the final disposition box, place the new term(s) (i.e., Parole Violator with New Term and years of term. Do not include code number).

Audit of Information

• All FBIFederal Bureau of Investigation Form FD-249s shall be audited to ensure that they are proper, accurate, and complete in form.

• FBIFederal Bureau of Investigation Form FD-249s that do not contain all the required information shall be returned to the processing facility by DOJDepartment Of Justice.

• Returned FBIFederal Bureau of Investigation Form FD-249s shall be forwarded to the facility of confinement for correction and resubmission to DOJDepartment Of Justice.

• On a daily basis, and no later than four working days after receipt of the inmate, two of the FBIFederal Bureau of Investigation Form FD-249s shall be mailed to:

  • California Department of Justice Bureau of Criminal Information and Analysis 4949 Broadway Room F-109 Sacramento, CACorrectional Administrators 95820-1528

Records Office

• The remaining two FBIFederal Bureau of Investigation Form FD-249s will be filed in the C-file. One shall be permanently retained there, and the other one shall be sent out to the Division of Adult Parole Operations (DAPODivision of Adult Parole Operations (formerly P&CSD)) when the inmate is released on parole.

Inmate photographs must meet the following specifications:

• Photographs and negatives produced for other than institutional use shall have both the front and side views of the inmate. The size of the picture and negative shall be three inches (height) by four inches (width) with no border. The side view shall be on the left side of the photograph facing the front view.

• All photographs shall be taken in a reduction scale of 7:1. The ground glass on the camera will be marked to provide 2 3/8 inches from the top of the head to the bottom of the number board.

  • Number boards shall be used on all front view photographs and be approximately eight inches (width) by four inches (height). They shall contain only the following information:

  • “CALIFORNIA PRISON” in 1/2 inch letters. Civil addict commitments will show as “CALIFORNIA REHABILITATION CENTER.”

    • Inmate’s CDC number in one inch numbers.

    • Inmate’s name in 1/2 inch letters (initials and last name).

    • Date photograph taken in 1/2 inch numbers.

• Photographs shall reflect as nearly as possible the normal appearance of the inmate. Excessive smiles or squints that distort the shape of the eyes and mouth shall be avoided.

  • Inmates shall be photographed every five years or when there is a distinct change in physical appearance.

Staff Responsibility

• Staff shall refer inmates to the institutional photo lab for a new photograph when their appearance differs markedly from the photograph on their privilege or identification card or in the C-file.

• Referrals shall be in writing with a copy to CCRMCorrectional Case Records Manager.

Upon receiving information that an inmate has a prior CDC number and was discharged on or after 1-1-80, the following shall be done.

• Reception Center Case Records Staff

  • Query Offender Based Information System (OBISOffender Based Information System) for confidential file flag.

    • If there is a confidential flag, immediately contact IDInstitutions Division (see DAI)/Warrants Unit Confidential Folder clerk.

    • Request the Confidential Folder and have pertinent information relayed immediately for use by custody and counseling staff prior to receipt of the folder.

• IDInstitutions Division (see DAI)/Warrants Unit

  • Mail Confidential Folders by First Class Mail the same day request is received.

    • If the material in the Confidential Folder is deemed nonconfidential (see DOMDepartment Operations Manual 61020) the IDInstitutions Division (see DAI)/Warrants Unit, Confidential Folder clerk, shall be notified to remove the confidential flag from OBISOffender Based Information System.

    • The Confidential Folder, with the notation “Deemed Nonconfidential,” shall be returned to the Archives Unit with the discharged file.

The CCRMCorrectional Case Records Manager shall communicate with the appropriate regional CCRMCorrectional Case Records Manager, using the telephone, FAX, or OBISOffender Based Information System, advising them of the receipt of the parole violator(s) and shall request that the case files be forwarded immediately.

• Case files on parole violators (PVRTCParole Violator Return To Custody or PVWNTParole Violator Returned With New Term) shall be requested daily.

• Parole regions shall forward requested files to the institution immediately.

Non-life commitment parolees who have been revoked and returned to prison with a new commitment shall not be automatically discharged.

Case Records Staff

• Case Records staff shall determine whether or not to discharge a prior commitment for a parolee returned to prison with a new commitment in accordance with BPHBoard of Parole Hearings (formerly Board of Prison Terms) Rule 2649.

• A parolee who has been returned with a new commitment but whose parole has not been revoked shall be presented to the BPHBoard of Parole Hearings (formerly Board of Prison Terms) on the Miscellaneous Proceedings Calendar at the reception center or receiving facility.

The PCPenal Code 4007 provides for housing of county prisoners in State prisons for safekeeping, hospitalization, or because the county jail is unsafe or unfit. The Warden shall immediately, upon receiving such prisoner, advise The Director in writing.

Records Office Responsibility

• The IDInstitutions Division (see DAI)/Warrants Unit will issue all “S” numbers and the headquarters OBISOffender Based Information System staff will enter all “Admission” movements.

• The following information shall be telephoned to the IDInstitutions Division (see DAI)/Warrants Unit prior to receiving an “S” number:

  • Reviewing facility’s name.

  • Name, title, and telephone number of person requesting the “S”

  • number.

  • Safekeeper’s date of birth.

  • Safekeeper’s ethnicity.

  • Safekeeper’s CI&ICriminal Identification and Information number (or state that the CI&ICriminal Identification and Information number is unavailable).

  • Admitting agency.

• The C-file shall be processed in accordance with DOMDepartment Operations Manual 71020.5.7.

Information from the following documents may be used in the preparation of the case summary. Upon receipt they shall be placed in the C-file.

• Abstracts of Judgment or Minute Orders.

• Statements of judge and DA.

• PORProbation Officer Report.

• Transcript of proceedings at the time of sentence.

• Copy of the indictment or information.

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

• All correspondence pertaining to the inmate’s case.

Responsibility of Case Records Staff

• The CCRMs are responsible for incorporation into the case summary all legal information pertaining to the inmate’s case, e.g., statement of the judge and DA.

Instructions for completion of the legal status section of the case summary are in DOMDepartment Operations Manual 73010.

Newly received commitments not processed by the reception center or for whom a recent case summary is not available shall have a case summary prepared by the C&PRClassification & Parole Representative or designee of the facility to which the inmate is assigned.

When an inmate is received on a felony sentence and was previously a “Z” case, the following shall occur:

Request the “Z” file from the Archives Unit if it has been shipped to that unit. When it is received:

• Destroy the following material from the “Z” file:

• All worksheets used by staff during processing.

• CDC Form 112, Chronological History.

• SOMSStrategic Offender Management-Notification in Case of Inmate Death, Serious Injury or Serious Illness.

• FBIFederal Bureau of Investigation Form FD-249, Fingerprint Card.

• CDCRCalifornia Department of Corrections and Rehabilitation Form 345, Authorization for the Secretary to Maintain

• Trust Account.

• Draw a line through the “Z” number on the medical file; place the new

• CDC number on the file and forward it to the medical department.

• If part of the case summary is used, the new CDC number shall be typed above the “Z” number and the “Z” number lined out.

• Draw a line through the “Z” number on all remaining material and incorporate it into the new C-file. Materials not used shall be destroyed.

The Legal Processing Unit (LPULegal Processing Unit) records commitments for persons sentenced pursuant to PCPenal Code 1170(a) (2) and not delivered to prison.

The PCPenal Code 1170(a) (2) provides for disposition of cases in which the amount of pre-prison credit exceeds the sentence under the Determinate Sentence Law (DSLDeterminate Sentence Law). The BPHBoard of Parole Hearings (formerly Board of Prison Terms) rules provide the same provisions for cases sentenced under the Indeterminate Sentence Law (ISLIndeterminate Sentence Law).

DSLDeterminate Sentence Law

• Upon receiving a judgment under the provision of PCPenal Code 1170(a)(2), LPULegal Processing Unit shall process the case as follows:

• To conform with DSLDeterminate Sentence Law commitments:

  • Term(s) shall be calculated and a CDC Form 188 prepared.

  • If the preprison credit exceeds the DSLDeterminate Sentence Law term including period of parole, the CCRMCorrectional Case Records Manager shall notify the sentencing court that the person has completed the prison term and period of parole and should be released from custody.

  • If the preprison credit exceeds the DSLDeterminate Sentence Law term, but not the period of parole, the case shall be presented to the BPTH for consideration of waiver of parole. The court shall be advised of the BPTH decision. If parole is not waived, the court shall be advised to order the individual to the appropriate parole office for parole supervision.

  • If the preprison credit does not exceed the DSLDeterminate Sentence Law term, the CCRMCorrectional Case Records Manager shall notify the court. The notification shall include information reflecting the computation and the amount of time remaining to be served.

ISLIndeterminate Sentence Law

• To conform with ISLIndeterminate Sentence Law commitments:

  • Term(s) shall be recalculated pursuant to PCPenal Code 1170.2(a) using a CDC Form 678, Cumulative Case Summary Confinement Computation, and the case screened for possible extended term hearing.

  • The CDC Form 678, Probation Officer Report (PRO), Information, and related documents shall be presented to the BPHBoard of Parole Hearings (formerly Board of Prison Terms) for review and disposition.

  • If the person is not scheduled for an extended term hearing and is overdue for release on the date calculated under PCPenal Code 1170.2(a), the CCRMCorrectional Case Records Manager shall notify the sentencing court that the prison term is completed and the person should be released from custody. If the preprison credit does not satisfy the period of parole, the court shall be advised to order the person to report to the appropriate parole office for parole supervision.

  • If the person is not overdue for release or if the person is scheduled for an extended term hearing, the CCRMCorrectional Case Records Manager shall notify the court that the person must be delivered to the Department. The notification to the court shall include a copy of the CDC Form 678 or BPHBoard of Parole Hearings (formerly Board of Prison Terms) Form 1091, Screening Form, and include the amount of time remaining to be served unless the person is scheduled for an extended term hearing.

Person Not Delivered

• Those cases that require a person not be delivered shall be processed as follows:

  • Assign CDC number.

  • Route to OBISOffender Based Information System for input of commitment information.

  • Prepare departmental records.

  • If discharged, microfiche and forward all documents to the Archives

  • Unit.

  • If paroled, forward all documents to the appropriate parole region

  • CCRMCorrectional Case Records Manager.

Note: CDC numbers and departmental records shall not be issued and/or prepared until it has been determined that the pre-prison credit exceeds the term and the person will be discharged or placed under parole supervision.

In certain situations courts will sentence a person directly to the Department for parole supervision. The appropriate parole authority will make the final decision to retain or waive parole supervision.

If a new arrival is identified as a former Division of Juvenile Justice (DJJDivision of Juvenile Justice (formerly CYA)) ward or is being discharged to the Department’s jurisdiction, the CCRMCorrectional Case Records Manager shall contact DJJDivision of Juvenile Justice (formerly CYA) ward master files.

The DJJDivision of Juvenile Justice (formerly CYA) will provide a copy of the clinical summary for use by the counselor. If a complete file is needed, it will have to be specifically requested.

Individuals confined in facilities outside California’s jurisdiction may request disposition of charges pending in California pursuant to PC1389, Interstate Agreement on Detainers. Upon completion of court proceedings, these individuals must be returned to the sending jurisdiction.

If a California commitment is received to run concurrent with previously imposed terms, the Director is authorized to designate a facility of another jurisdiction as the place of reception on the California term (PCPenal Code 2900).

Region I, Case Records Office is responsible for processing these cases.

The received date on the CDC Form 188, Legal Status, shall be either:

• The date of receipt by the other jurisdiction after sentencing by California.

• The date of sentencing in California if the subject was not present.

The term’s start date shall be the same as the received date except for probation revocation cases.

The term’s start date on probation revocation cases shall be the date the inmate was originally received by the other jurisdiction.

The CDC Form 112 shall be posted as follows.

Example:

• 01/01/73-Received at Colorado State Prison.

• (Date of Detainer)-Colorado State Prison designated as place of reception on this term pursuant to PC2900.

• 01/01/74-Received at NRC-CMFCalifornia Medical Facility (transfer from Colorado State Prison).

The Director, Division of Adult Institutions, or designee shall be responsible for ensuring that the contents of this article are kept current and accurate.

PCPenal Code §§ 1170(a)(2), 1170.2(a), 1203.03, 1389, 2081.5, 2082, 2900, 2901, 3058.5, 4007, and 4016.5(d).

GCGovernment Code §§ 19853.

Government Claims Board Section 776.

Uniform records shall be maintained on persons under the jurisdiction of the Department.

This section sets forth the procedures for the uniform preparation of an inmate’s C-File and other departmental records pertaining to an inmate.

The C-File is the central depository for copies of all documents, correspondence, and reports pertaining to each inmate.

A C-File is inaugurated for each new inmate upon admission in the Department.

The C-File is divided into 11 sections. Specific items are designated to be filed in respective sections.

Like documents shall be grouped together in chronological order, most recent information on top.

Microfiche duplicate copy of previously filmed records.

Confidential file folder containing material designated as confidential.

All inmate case records, C-File, subsidiary records, and inmate records’ cards shall be moved with the inmate at time of transfer.

See DOMDepartment Operations Manual 72010 for use and preparation of CDC Form 134, Records Transfer Check Sheet.

• The facility case records office shall provide an advance transfer notice to each facility department of the names and identification numbers of each inmate scheduled for transfer.

• The notice shall include the inmate’s destination, date, and time of transfer, and the date and time the records are required to be delivered to the case records office.

• Each facility department shall deliver to the case records office their respective records at the time stated.

• In the event of emergency transfer and/or time does not permit advance written notice, case records staff shall telephone the departments and request immediate delivery of the records.

• The sending facility/parole region shall affix all material in C-File prior to transfer.

• All case records for each inmate shall be transferred with the inmate to the receiving facility, except as provided in DOMDepartment Operations Manual 72030.7.

• Legal documents and worktime records received after the case records have been transferred shall be forwarded expeditiously by First Class Mail to the CCRMCorrectional Case Records Manager of the receiving facility.

• Parole violators will have files returned from parole regions to the receiving facility as provided in DOMDepartment Operations Manual 75010.14.3.

The receiving and release (R&RReceiving and Release) sergeant of the sending facility shall collect and process inmates’ identification cards.

Cards are retained for immediate return to the inmate upon arrival at the receiving facility.

The receiving facility shall ascertain that all IDInstitutions Division (see DAI) cards have been delivered by the transporting staff and are returned to the inmates upon arrival at the facility.

When an inmate is transferred to another facility for out-to-court release, the following listed records only shall be transferred with the inmate:

• CDC Form 103-B Card.

• Health Record (medical/psychiatric file).

• CDC Form 120, Visiting Records Card.

• Chrono or memos setting forth any special handling or needs.

• Photocopy of transfer FAX or removal order.

• Photocopy of last CDC Form 128-G.

• Photocopy of CDC Form 812/812(a)/812(b).

• Photocopy of CDC Form 839/840.

• Photocopy of up-to-date legal status summary.

• Photocopy of current Abstract of Judgment(s).

• CDC Form 801, Departmental Detainer.

• Two photographs.

The records shall be placed in a manila envelope clearly labeled with the inmate’s name and CDC number.

All other case records shall be retained at the sending facility/region (community correctional facility cases).

Sending facility staff shall be responsible for all casework and term computations.

The en route facility shall ensure that any body receipts, court documents, or any other case material is forwarded with the inmate at the time of their return to the sending facility.

If an inmate paroles/discharges while out-to-court, the sending facility shall notify the en route facility and the holding law enforcement agency to remove the Department’s detainer.

The sending facility shall notify the parole unit and region staff of the change in status and the parolee’s location.

Both facilities shall ensure that all of the inmate’s records are forwarded to the designated region case records office.

If the inmate discharges while out-to-court, the en route facility shall return all of the records to the sending facility where they shall be retained in hard copy one year and then processed as in DOMDepartment Operations Manual 71020.5.4.

Both facilities shall ensure that all of the inmate’s records are forwarded to the sending facility.

When an inmate is released to parole, all case records shall be forwarded to the appropriate region case records office no later than 10 working days after release.

Facility departments shall review the daily movement sheet each day and shall immediately forward the records of each released inmate to the case records office.

Miscellaneous File Material

• Miscellaneous file material received in the case records office, after the records have been forwarded to the region case records office, shall be screened by supervisory staff. Only material that may affect the security of the facility or inmate shall be forwarded to the region for filing.

• A CDC Form 134 shall be prepared and completed.

• All records for each inmate shall be secured together for packaging and shipping.

Legal documents

• Legal documents received after the records have been forwarded shall be expeditiously mailed by first-class mail to the CCRMCorrectional Case Records Manager of the appropriate parole region.

Region case records staff shall microfiche each inmate’s/parolee’s records within 30 days of discharge.

Records of all inmates/residents discharged directly from the facility shall be forwarded to the appropriate region to be microfiched.

If the microfiching is contracted to a private vendor, the region case records office shall ensure that the records are processed and forwarded to the Archives Unit.

The microfiche format shall follow the order of filing for C-Files.

File material from satellite records, visiting, education, etc., which are included in the C-File, shall be microfiched on the appropriately designated or miscellaneous microfiche.

Not to be microfiched

• The following records shall not be microfiched and the hard copies of these files shall be forwarded to the Archives Unit with the microfiches of the C-File:

  • Medical and psychiatric files.

  • Fingerprint cards.

  • Photographs.

  • Files of discharged “Z” cases (those referred for diagnostic commitment under PCPenal Code 1203.03).

Facility/region case records staff shall process cases of deceased inmates as provided in DOMDepartment Operations Manual 71020.5.8.

C-Files that contain fiches in the old microfiche format:

• The previous master and duplicate fiches shall be placed in envelopes labeled “old format.”

• All new fiches shall be made in the revised format and placed in separate envelopes.

• The envelope containing the old master fiches shall then be securely fastened together with the envelope containing the new master fiches to form one file for shipment. The envelopes containing the old and new duplicate fiches shall likewise be secured together to form another file for shipping.

One master and one duplicate set of fiches, excluding the confidential folder, shall be made and sent to the Archives Unit located at CMFCalifornia Medical Facility in Vacaville.

The C-File confidential folder, the folder master, and the duplicate fiches (fiche #10, confidential) shall be sent to the IDInstitutions Division (see DAI)/Warrants Unit. The IDInstitutions Division (see DAI)/Warrants Unit shall fiche the confidential material.

Any files (master or duplicate fiche, or hard copy) sent to the Archives and IDInstitutions Division (see DAI)/Warrants Units shall be accompanied by a CDC Form 134, Records Transfer Check sheet, which clearly indicates the inmate’s/parolee’s full name, CDC number, and the date of their discharge. Microfiche and hard copy files shall be forwarded from the parole regions to the Archives Unit no less than once a week.

All masters and duplicates shall be shipped and stored in such a manner as to prevent mutilation or destruction. Masters shall be packaged and mailed separately from the duplicates to prevent chemical damage to the masters and to reduce the risk of loss.

Case records staff shall determine if the used C-File folders are reusable. Serviceable folders shall be shipped to the nearest reception center for reuse and unserviceable folders discarded.

Upon completion of microfiching, the DGSDepartment of General Services or the State-approved local contractor shall be contacted to destroy the original file documents.

The Deputy Director, Institutions Division, or designee shall be responsible for ensuring that the contents of this article are kept current and accurate.

PCPenal Code § 2081.5.

DOMDepartment Operations Manual § 71020.

Detainers shall be processed in a uniform manner to ensure proper disposition.

This article sets forth the policies for the uniform processing of detainers placed against incarcerated, supervised, and discharged persons, by other agencies or those placed with another agency by the department.

Detainers are documents received from a law enforcement or prosecutorial agency indicating an incarcerated person is wanted by that agency. Written legal authority is provided with the detainer, e.g. arrest warrant, or court order, and specifies the basis for the detainer.

Detainers are issued by the department to place a hold on an incarcerated person released to another agency prior to their release date. These detainers, referred to as holds herein, are covered in the DOMDepartment Operations Manual section 72040.11.

The department’s detainer policies provide, information regarding any detainer, or detainer inquiry response shall be recorded utilizing a departmentally approved platform and called to staff attention within four hours of receipt to determine what effect, if any, the detainer might have on the incarcerated person’s custody.

Designated staff are responsible for evaluating detainers and determining whether immediate action is necessary. This action may include notifying the watch commander for consideration of higher custody placement or notifying the Correctional Counselor (CCCorrectional Counselor)-I/II or Classification and Parole Representative (C&PRClassification & Parole Representative) for casework follow-up. This decision shall be recorded by the designated staff utilizing a departmentally approved method.

Designated staff shall also review detainers received on incarcerated persons temporarily housed (en route and out-to-court), as the receiving facility may no longer be appropriate based on the offense. In such cases, the C&PRClassification & Parole Representative at the receiving facility shall be contacted.

The Warden or Assistant Deputy Director is authorized to designate staff to evaluate detainers. However, this responsibility shall not be sub-delegated. Those delegated to evaluate detainers shall come from one of the following staff positions:

• C&PRClassification & Parole Representative

• Watch Commander

• Captain

• Captain/Associate Warden (AWAssociate Warden)

• Chief Deputy Regional Administrator

• Correctional Counselor (CCCorrectional Counselor)-II

The designated evaluator shall immediately restrict the incarcerated person’s movement to ensure the security of the facility and the public if the evaluation warrants it.

The title of the position designated shall be submitted to the Deputy Director, Institutions, with a copy to the Office of Legal Affairs.

Unless authorized by the Secretary, no employee of the department shall request a detainer be lifted or make an appeal on behalf of an incarcerated person.

If a justifiable hardship is placed on an incarcerated person due to the continuance of a detainer, the Warden shall present a factual statement concerning the circumstances to the Secretary. Further action shall be taken only with the Secretary’s approval.

The following positions have certain responsibilities to ensure the detainer system works accurately:

• Mail Room Supervisor

  • The mail room supervisor shall establish a procedure to ensure all correspondence to the facility, which may include actual, or detainer inquiry information, is immediately delivered to appropriate Case Records personnel. Such correspondence includes communication from other law enforcement agencies, District Attorneys (DAs), Immigration and Customs Enforcement (ICE) and any out-of-state corrections office, prison, or parole division.

  • Mail addressed to incarcerated persons from the above agencies shall not be delivered to the Case Records office.

• Case Records Staff

  • All detainer or detainer related correspondence received shall be immediately opened, date/time stamped, initialed, and delivered to the appropriate staff as established by the Chief, Case Records Services and assigned by the Correctional Case Records Manager (CCRMCorrectional Case Records Manager). Telephonic communication that indicates an incarcerated person may be wanted shall be referred to the staff assigned by the CCRMCorrectional Case Records Manager at a classification not less than a Correctional Case Records Analyst (CCRACorrectional Case Records Administrator).

  • Staff, at a classification established by the Chief, Case Records Services and as assigned by the CCRMCorrectional Case Records Manager, shall prepare letters of inquiry, utilizing a departmentally approved method, to resolve detainer inquiries based on requests initiated by CCCorrectional Counselor I/II and CCRACorrectional Case Records Administrator staff, and complete necessary follow-ups on any communication received from law enforcement agencies.

  • The initial request to obtain information shall be completed within two working days with follow-up to law enforcement agencies and prosecutors pursuant to a process schedule established by the Chief, Case Records Services or until disposition has been obtained. Telephonic follow-up should be utilized by assigned staff, if a disposition has not been obtained by the final comprehensive audit completed by a CCRACorrectional Case Records Administrator, prior to release. Follow-up for a detainer inquiry submitted to ICE is only completed when no response has been received for the initial inquiry within 15 to 30 days prior to release.

  • If a detainer exists or is believed to exist on an incarcerated person, assigned Case Records staff shall follow procedures established by the Chief, Case Records Services.

  • Case Records staff assigned by the CCRMCorrectional Case Records Manager shall record any information regarding an actual detainer or detainer inquiry in accordance with procedures established by the Chief, Case Records Services. This includes information received in the form of documentation, telephonic information, untried indictments, hearsay, incarcerated person’s statements, etc.

• Correctional Counselor

  • Upon an incarcerated person’s arrival, the counselor shall interview the incarcerated person and review all available reports, including, but not limited to:

    • Probation Officers Report.

    • Abstract of Judgment.

    • Sentencing transcript.

    • Parole reports.

    • Arrest history from Criminal Identification and Information (CI&ICriminal Identification and Information) and Federal Bureau of Investigation (FBIFederal Bureau of Investigation) State Summary Criminal History (SSCHState Summary - Criminal History)s.

  • The counselor shall initiate a request for inquiry, utilizing an approved departmental platform, for all felony arrests without dispositions that occurred within two years of the date the incarcerated person was last received by the department.

  • The counselor shall also initiate an inquiry for misdemeanor offenses that occurred during the same period for incarcerated persons who are within three months of release at reception.

  • Requests for inquiry shall also reflect comments made by the incarcerated person which pertain to recent criminality or references to criminal acts that might be found in the Central File (C-File).

  • Requests for inquiry shall be promptly submitted to the Case Records office for follow-up.

  • Counselors at receiving facilities shall review the incarcerated person’s C-File and complete the inquiry if information is found to warrant such.

• Watch Commander

  • The Watch Commander shall review the CLETSCalifornia Law Enforcement Telecommunications System terminal every four hours during first watch, third watch, and on weekends. They shall complete a departmentally approved process to record actions taken on all detainers received and manually forward the detainer request to Case Records for processing during business hours on the next business day.

  • They shall also designate the incarcerated person’s custody based on detainers received

• Classification and Parole Representative (C&PRClassification & Parole Representative)

  • Prior to any Temporary Community Leave (TCLTemporary Community Leave), the C&PRClassification & Parole Representative or other designated staff shall review the incarcerated person’s C-File for detainer information and complete the request for temporary leave/removal form.

  • Prior to release to a community program or parole, the C&PRClassification & Parole Representative shall review the incarcerated person’s C-File for detainer information and document findings utilizing a departmentally approved method.

• Classification Services Representative (CSRClassification Staff Representative)

  • Before approval for transfer of any incarcerated person, the CSRClassification Staff Representative shall review the incarcerated person’s C-File for detainer information and, if appropriate, take the required action.

Case Records Staff

• Incoming mail or other communication from a police department, sheriff’s office, DA’s office, ICE, any federal law enforcement agency, or an out-of-state department of corrections office, prison or parole division shall be immediately opened, time stamped, and initialed. The incarcerated person’s custody location shall be determined immediately.

• All detainers shall be promptly hand-carried to the appropriate staff assigned by the CCRMCorrectional Case Records Manager at a classification not less than a CCRACorrectional Case Records Administrator.

• All information received either at the time of an incarcerated person’s arrival or prior to the incarcerated person’s arrival, which indicates the subject may be involved in other crimes where a detainer may exist, shall be given to the staff assigned by the CCRMCorrectional Case Records Manager at a classification not less than a CCRACorrectional Case Records Administrator (except traffic violations).

• Letters of inquiry shall be initiated utilizing a departmentally approved method on matters meeting the criteria for a detainer inquiry as follows:

  • Felony arrests, without disposition, that occurred within two years of the date the incarcerated person was received by the department.

  • Incarcerated person comments about recent criminal acts.

  • References to recent criminal activity in file material.

  • Misdemeanor offenses, without disposition, that occurred within two years of the date the incarcerated person was last received by the department, if the incarcerated person is within three months of release at the time of reception.

  • Documentation indicating the incarcerated person may be wanted by ICE.

• In the reception centers, actual detainers included with the “prison packet” or arriving before the counselor has begun processing the case, shall be reviewed by the appropriate staff assigned by the CCRMCorrectional Case Records Manager at a classification not less than a CCRACorrectional Case Records Administrator. The CCRACorrectional Case Records Administrator will process the detainer utilizing a departmentally approved method and procedure established by the Chief, Case Records Services.

• A detainer included with information received at the time of the incarcerated person’s reception, or the detainer arrives before the case has been processed, shall be recorded by staff assigned by the CCRMCorrectional Case Records Manager, at a classification not less than a CCRACorrectional Case Records Administrator, in accordance with a departmentally approved method and procedure established by the Chief, Case Records Services.

• The detainer shall then be processed as part of the incarcerated person’s prison packet by the counselor during the reception center processing.

Reception centers shall not be required to initiate or follow-up on detainer inquiry requests except for those pertaining to incarcerated persons requiring inquiry to ICE, pending imminent release to parole, or discharging from the reception center. Follow-up for a detainer inquiry submitted to ICE is only completed when no response has been received for the initial inquiry within 15 to 30 days prior to release. It shall be the responsibility of the receiving facility to review the incarcerated person’s C-File for any detainer inquiries initiated at the reception center and to complete the initial inquiry and any required follow-up as previously specified.

If a move to a community placement program, parole, or TCLTemporary Community Leave is approved, assigned Case Records staff shall follow procedures established by the Chief, Case Records Services in accordance with a deparmentally approved method to determine if any detainers have been recorded in the incarcerated person’s C-File within 24 hours of the actual move. If there are no detainers in place, the approval of the move shall not be affected. If a detainer is received on the same day or subsequent to the approval of a move, assigned Case Records staff shall immediately notify the C&PRClassification & Parole Representative or the Assistant Regional Administrator (ARA) for review of the move approval and action in accordance with aforementioned procedures for processing detainers.

CLETSCalifornia Law Enforcement Telecommunications System inquiries shall be made on all incarcerated persons prior to any release date to determine if the incarcerated person is wanted.

If a detainer is received for an incarcerated person at another departmental location, the following shall be accomplished by Case Records staff assigned by the CCRMCorrectional Case Records Manager at a classification not less than a CCRACorrectional Case Records Administrator:

• Process the detainer utilizing a departmentally approved method and procedure established by the Chief, Case Records Services.

• Promptly notify the affected location and record the actions taken following a process established by the Chief, Case Records Services utilizing a departmentally approved method.

Counselor

• Where there is any indication of the need for a detainer inquiry, the counselor shall provide as much information as possible utilizing a departmentally approved method to alert assigned Case Records staff.

Case Records

• Assigned Case Records staff shall:

  • Within two working days after receipt, make initial contact with the agency that may hold the warrant/detainer, using a departmentally approved method, to request disposition of the detainer.

  • Follow-up shall be pursuant to a process schedule established by the Chief, Case Records Services or until disposition has been obtained. Follow-up during the parole period shall be by telephone. Follow-up for a detainer inquiry submitted to ICE is only completed when no response has been received for the initial inquiry within 15 to 30 days prior to release.

  • Complete associated tasks utilizing a process established by the Chief, Case Records Services and departmentally approved methods to record actions taken related to a detainer inquiry.
    

If a detainer is received for a person not identified as being in the department’s custody, Case Records staff assigned by the CCRMCorrectional Case Records Manager shall:

• Telephone the jurisdiction which issued the detainer for possible additional identification data.

• If still unable to identify, return the detainer to the issuing jurisdiction and advise the subject is not in the department’s jurisdiction.

Prior to parole or transfer to a community program, assigned Case Records staff shall follow procedures and time constraints established by the Chief, Case Records Services in accordance with a departmentally approved method to audit the C-File, and determine if any detainers have been recorded in the incarcerated person’s C-File If a detainer arrives on the same day or after the approval of the move, assigned Case Records staff shall:

• Immediately notify the C&PRClassification & Parole Representative and the Chief Deputy Administrator for review of the move.

• The C&PRClassification & Parole Representative or ARA shall notify Case Records staff of their decision from the review.

If a detainer is received after an incarcerated or supervised person has been released or discharged, the following action shall be taken:

• If the detainer indicates a felony offense and the incarcerated person has been released to parole, Case Records staff shall process the detainer utilizing a departmentally approved method and procedure established by the Chief, Case Records Services to ensure the supervising parole unit is informed.

• Case Records staff shall also notify the detainer issuing agency by a departmentally approved method as soon as possible following the procedure established by the Chief, Case Records Services to include advising them of the released person’s status and the address of the supervising parole office.

• If the incarcerated person has been completely released or discharged from the jurisdiction of the CDCRCalifornia Department of Corrections and Rehabilitation, the Case Records staff shall notify the issuing agency by a departmentally approved method, of the released person’s status and return the detainer to the issuing agency following procedure established by the Chief, Case Records Services.

• If the detainer indicates other than a felony offense, the detainer shall be returned to the issuing agency by a departmentally approved method following procedures established by the Chief, Case Records Services advising them of the released person’s status. In the case of supervised persons’, the issuing agency shall be advised of the address of the supervising parole office.

• All such actions shall be documented in accordance with procedures set forth by the Chief, Case Records Services.

An incarcerated person may request disposition of a detainer, in writing, directed to Case Records staff who shall prepare the required legal forms for signature by the incarcerated person. Counseling staff are responsible for delivery of the forms to the incarcerated person, witnessing the signature of the incarcerated person, and return of these forms to records.

If the detainer is from a California agency for untried charges, the incarcerated person may request disposition of pending charges by filing a Demand for Trial in accordance with the provisions of Penal Code (PCPenal Code) section 1381.

Untried Charges

• Demands for trial should not be initiated in the reception centers.

Case Records Staff

• Case Records staff shall mail the demand packet to the DA by certified mail, return receipt requested.

Trial Within 90 Days

• PCPenal Code section 1381 stipulates a person must be brought to trial within 90 days after written notification of the place of confinement. The 90-day period starts the day the DA acknowledges receipt of the demand packet.

Case Records Staff

• If the incarcerated person is not brought to trial at the conclusion of the 90-day period, Case Records staff shall prepare:

  • An Affidavit in Support of Motion to Dismiss Pending Charges.

  • A Motion to Dismiss Criminal Charges Pending.

  • A Cover Memo – Motion to Dismiss.

  • An Order of Dismissal.

• All forms shall be forwarded to the court and the DA’s office having jurisdiction of the matter.

Violation of Probation

• If the detainer is for a violation of probation in a California county, the incarcerated person may file a request for disposition of probation in accordance with provisions of PCPenal Code section 1203.2a.

• A Request for Disposition of Probation, Waiver of Appearance and Right to Attorney (PCPenal Code section 1203.2a), shall be used to request disposition of probation.

Incarcerated Person

• The incarcerated person may fill out a Request for Disposition of Probation, Waiver of Appearance and Right to Attorney form and forward it to Case Records. Case Records staff shall view the submitted form as a request for Case Records staff to complete the process. The incarcerated person may also ask Case Records to process a disposition of probation on their behalf utilizing a request for interview form.

Case Records Staff

• Upon the incarcerated person’s written request, Case Records staff shall:

  • Prepare the form for signature by the incarcerated person utilizing a departmentally approved method.

  • Mail the completed form to either the Superior Court or probation officer by certified mail, return receipt requested following procedures established by the Chief, Case Records Services.

When a detainer for untried charges is lodged by an agency of the federal government or an agency of a member state of the interstate agreement on detainers (IAD), the interstate form provided shall be used to notify the incarcerated person of the detainer and to request disposition of the pending charges.

The IAD does not apply to violation of probation or violation of parole.

PCPenal Code section 1389 provides for the surrender of temporary custody of a prisoner to the jurisdiction of the federal government or another state which is signatory to the IAD where they are wanted for prosecution, except Louisiana and Mississippi.

If a detainer is lodged for untried charges by an agency of a state which is not a member of the IAD, the incarcerated person may only be released for trial in accordance with an executive agreement between governors in compliance with PCPenal Code section 1549, or a Writ of Habeas Corpus ad Prosequendum is used.

When a prosecutor requests custody of an incarcerated person pursuant to PCPenal Code section 1389, Article IVIntravenous, the following shall be done:

• Case Records Staff

  • Case Records staff shall provide the incarcerated person (via their counselor) with a copy of the explanation of incarcerated person’s rights under article IVIntravenous of the interstate agreement.

  • Afford incarcerated persons an opportunity to sign a Form II of the IAD wherein the incarcerated person waives extradition to:

    • The proceedings contemplated in the requesting state.

    • Serve sentence after completion of the California sentence.

• Court Arraignment

  • If the incarcerated person does not sign a Form II, Case Records staff shall plan for the incarcerated person to be taken before a magistrate prior to the offer of temporary custody being issued (PCPenal Code section 1550.1) following procedure established by the Chief, Case Records Services.

  • The purpose of the court arraignment is to give the incarcerated person an opportunity to waive their right to petition for a Writ of Habeas Corpus and to waive the 30-day period for the Governor’s intervention.

• Incarcerated Person Waiver

  • This waiver is accomplished by the incarcerated person completing an Agreement to Temporary Transfer of Custody in the presence of the court and the court signing the form.

• Incarcerated Person Does Not Waive

  • If the incarcerated person refuses to waive their rights, the court shall fix a reasonable time for the incarcerated person to file a petition for a Writ of Habeas Corpus. When the time has elapsed, a hearing guided by extradition law shall be held.
    

If the incarcerated person demands trial and waives extradition by executing Form II, a court arraignment is not required and Case Records staff shall proceed based on the incarcerated person’s demand for trial pursuant to PCPenal Code section 1389, Article III.

Instructions for the preparation, distribution and use of the various forms are contained in the heading of each form.

• Case Records Staff

  • The Case Records office shall mail all forms by certified mail, with a return receipt requested.
    

Tinghitella v. California (9th CCCorrectional Counselor, 1983) held that an incarcerated person has a statutory right under the IAD to be sentenced in absentia within 180 days after delivery of an appropriate demand for sentencing.

• The court held that the IAD applies to sentencing as well as to untried indictments and thus where there is proper demand for return for sentencing said demand must be met.

• The court held however that an incarcerated person is not entitled to demand to be transferred to another jurisdiction for the purpose of sentencing if they fled that jurisdiction after conviction but before sentencing.

If an incarcerated person demands sentencing in absentia to any agency of the federal government or an agency of a member state of the IAD, Case Records staff shall notify the incarcerated person of their rights by issuing a “Notice of Conviction…” A request for sentencing shall also be executed by submission of an “Inmate’s Notice of Place…”

If a detainer is lodged by an agency of the federal government or an agency of a member state of the IAD, Case Records staff shall notify the incarcerated person of the detainer and their right to demand sentencing.

If a request for temporary custody is received from any agency of the federal government or an agency of a member state of the IAD, the following shall be done:

• Case Records Staff

  • Case Records staff shall advise the prosecuting officer that the incarcerated person waived the right to be present for sentencing by absconding from the jurisdiction of the court and may be sentenced in absentia by completing a “Notice of Inmate’s Right to…”
    

Instructions for the preparation, distribution and use of the forms are contained in the heading of each form.

• Case Records Staff

  • Case Records staff shall mail all forms by certified mail, with a return receipt requested.

If a detainer is lodged based on an incomplete prior prison term by a facility or paroling agency of another state or the federal government, the provisions of the court decision In re: Stoliker are applicable (see DOMDepartment Operations Manual section 72040.10 for instructions).

Each agency that filed a detainer against an incarcerated person shall be notified of the incarcerated person’s pending release or parole 90 days prior to the tentative release date.

Notification to ICE shall only occur 15 to 30 days prior to release.

The department shall release an incarcerated person to the agency that placed the first detainer. However, if multiple detainers are on file, and one is based upon a judgment and sentence to a prison term, the initial offer of custody shall be to the agency holding the prison term detainer.

ICE will not assume custody of incarcerated persons for deportation proceedings unless the incarcerated person has completed/taken care of all pending legal issues, including misdemeanor charges, or if other agencies which have placed a detainer have declined to take custody.

When multiple detainers are on file and the incarcerated person is released to one of the detainers, the remaining detainers shall be given to the transporting officers. The other agencies shall be notified of the release and of the agency that assumed custody.

In the case of an incarcerated person’s death, the detainer shall be returned to the notifying agency. Subsequently, Case Records staff shall cancel the incarcerated person’s entire detainer computerized history utilizing a departmentally approved method and process as established by the Chief, Case Records Services

Case Records staff shall send the notification letter to the U.S.United States Marshal of the district in which the facility is located. The letter shall state which marshal’s office filed the detainer, the incarcerated person’s current release date, and whether the incarcerated person is eligible for a parole date advancement.

A copy of the letter shall also be mailed to the:

• U.S.United States Marshal’s office that filed the detainer.

• Bureau of Prisons, U.S.United States Bureau of Prisons Correctional Programs.
  

An incarcerated person may be released directly to the agency lodging the detainer. Pursuant to PCPenal Code section 4755, any incarcerated person who has a detainer lodged against them by law enforcement or another agency may be:

• Released within five calendar days prior to or five calendar days after the scheduled release date. If more than 400 miles away, release may be five court days prior or five court days after the scheduled release date.

This release procedure permits other agencies to pick up departmental incarcerated persons and transport them during regular business hours or, in some instances, at a more convenient time. (Exception: See DOMDepartment Operations Manual section 72040.8.1 for ICE requirements.)

These supervised persons are entitled to release funds under PCPenal Code section 2713.1. In these cases, Division of Adult Parole Operations (DAPODivision of Adult Parole Operations (formerly P&CSD)) staff shall delay in requesting release funds from the facility of release either until after the incarcerated person is released from local custody or until the release date from local custody has been determined. Funds by alternative departmentally approved methods shall be provided pending receipt of release funds.

Release to ICE may occur prior to the scheduled release date. Incarcerated persons shall not be retained beyond the scheduled date of release for ICE detainers. PCPenal Code section 3060.7 applies for supervised persons with a high control designation.

Incarcerated persons released to ICE are not entitled to release funds under PCPenal Code section 2713.1. However, they shall be provided cash assistance when departmental policy provides for it by parole staff in the event they are released pending or following deportation hearings.

PCPenal Code section 11177 provides a supervised person from another state may be returned to the state of original conviction for violation of parole if the supervised person is residing in California pursuant to the provisions of the interstate parole compact.

An incarcerated person being discharged or paroled may be released directly to an agent of another paroling agency only if:

• The detainer is for violation of parole.

• The incarcerated person was legally residing in California and under supervision of DAPODivision of Adult Parole Operations (formerly P&CSD), Interstate Compact Unit, at the time of their incarceration on the California term.

Case Records shall communicate with the compact administrator of the other state and verify both conditions above in section 72040.8.2(b)(1) and (b)(2) exist, prior to releasing any incarcerated person to an agent of another state.

When an incarcerated person is to be released to an agent of another state, Case Records staff shall arrange for the incarcerated person’s release at a time convenient to the transporting officers within normal business hours.

An incarcerated person may be released on parole directly to the agent of another jurisdiction when the detainer is based upon a conviction and sentence only if:

• The commitment in the receiving state is subsequent to the California commitment.

• The incarcerated person had initially demanded trial in the receiving state in accordance with the provisions of the IAD or waived their rights before the court by signing Form V-A.

• A copy of the incarcerated person’s request (Agreement on Detainers, Form II) or incarcerated person’s waiver (Agreement on Detainers, Form V-A) is in the incarcerated person’s C-File.

If, however, the incarcerated person’s initial release to the receiving state was under Article IVIntravenous of the Agreement on Detainers (the prosecutor requested temporary custody and the incarcerated person did not sign the Form II of the Agreement on Detainers), the executive authority of the receiving state shall forward a requisition to the Governor’s office to initiate formal extradition procedures and an extradition hearing shall be held.

See DOMDepartment Operations Manual section 72050 of this manual for information.

Case Records staff shall follow procedures established by the Chief, Case Records Services, utilizing a departmentally approved method to update the detainer section of the C-File whenever an incarcerated person is released to a detainer.

When the Case Records office receives notification, a detainer previously placed on an incarcerated person has been dropped or expired, the computerized history for that detainer shall be updated

In re: Stoliker (1957) 49 Cal. 2nd 75, requires the department to make an incarcerated person available to the U.S.United States Attorney General or their authorized representative for concurrent service of a previously imposed federal term.

While the decision referred specifically to federal terms, subsequent interpretation by the courts has applied the decision to states as well. A superior court order and Attorney General’s Opinion applies In re: Stoliker to any concurrent case regardless of which term was first imposed.

In re: Stoliker does not apply to California sentences ordered to run consecutively with other jurisdiction sentences.

Incarcerated persons with detainers for unexpired sentences from other jurisdictions may submit a written request to the Secretary for transfer to the other jurisdiction for service of their sentence concurrent with the California sentence. The request shall be submitted to the facility CCRMCorrectional Case Records Manager for processing.

Correctional Case Records Manager

• The CCRMCorrectional Case Records Manager shall process the incarcerated person’s request on a Nature of Transfer Availability–In re Stoliker form to officials of the other jurisdiction to determine if that jurisdiction agrees to assume custody of the incarcerated person.

• Information on referrals shall be sent to the correctional agency or department of the state placing the detainer or the U.S.United States Bureau of Prisons (see DOMDepartment Operations Manual section 72040.7.1) and shall include:

  • The California offense.

  • The California sentence.

  • The anticipated California release date.

  • A copy of the most recent progress report.

  • A copy of the detainer and accompanying documents.

Agency Declines Custody

• If the other agency declines to take custody after notification of availability of the incarcerated person, Case Records staff shall notify the incarcerated person.

Transfer of Records

• Upon transfer of an incarcerated person to another jurisdiction, the Case Records staff shall place a Notice of Detainer form, with a certified copy of the commitment papers into the C-File and notify the Sacramento Central Office (SACCOSacramento Control Office Unit, Reg. I). An appropriate entry shall be entered into the C-File.

• If an incarcerated person escapes, is subsequently convicted and sentenced to a period of confinement to another jurisdiction, whether it’s consecutive or concurrent to the California sentence, and if the incarcerated person remains in the other jurisdiction, the Case Records staff shall update the C-File utilizing a departmentally approved method, pursuant to procedure established by the Chief, Case Records Services. Case Records staff shall verify the other jurisdiction has a detainer from the department on file to hold the incarcerated person for return to California. Case Records staff shall issue a detainer from the department to the other jurisdiction if one is not already in place.

Incarcerated persons transferred under In re: Stoliker shall be returned to the department’s custody when ready for release from the other agency if their California term has not been completed.

Incarcerated persons transferred in accordance with In re: Stoliker shall waive extradition prior to leaving the state of origin.

If the incarcerated person shall not waive extradition, formal extradition procedures shall be initiated. SACCOSacramento Control Office Unit, Reg. I staff shall be kept advised of the status of each case so extradition papers can be processed before the release date.

Case Records staff shall notify federal authorities when a prisoner serving a federal sentence concurrent with a State term is received at a facility and/or transferred within the department. Notification shall be mailed to the U.S.United States Bureau of Prisons (see DOMDepartment Operations Manual section 72040.7.1).

• Case Records Staff

  • When an incarcerated person is transferred to federal custody under In re: Stoliker, Case Records staff shall send a certified copy of the judgment(s) and a letter to the facility where the incarcerated person is confined.
    

A departmental hold shall be placed with the receiving agency by Case Records staff, who shall create a Notice of Detainer form, for the following incarcerated persons released to another agency:

• Escapees who are apprehended and in the custody of another agency.

• Incarcerated persons released under the interstate agreement on detainers (PCPenal Code section 1389).

• Incarcerated persons released under executive agreement (PCPenal Code section 1549).

• Incarcerated persons released under the uniform act to secure witnesses from outside the State in criminal acts (PCPenal Code section 1334).

• Incarcerated persons serving sentences in other jurisdictions.

• Incarcerated persons released to California agencies for trial, witnesses in criminal cases or civil proceedings in parental or marital cases (PCPenal Code sections 2620, 2621, and 2625).

• Incarcerated persons released to another jurisdiction’s detainer pending parole (PCPenal Code sections 2690 and 4755).

The detainer shall be issued to ensure the incarcerated person is returned to departmental custody to serve the unexpired portion of existing sentences or ensure the incarcerated person remains in custody until the California scheduled release date.

• Case Records Staff

  • Case Records staff shall prepare the Notice of Detainer in triplicate to include the following:

    • A notation shall be made to contact the Department’s Case Records office prior to release of the incarcerated person by the receiving jurisdiction.

    • If the incarcerated person is released to a detainer pending parole, a notation shall be made not to release prior to the actual parole date.

    • If an incarcerated person paroles/discharges while out-to-court, the sending facility shall notify the holding law enforcement agency to remove the department’s detainer.

    • The sending facility shall notify the parole unit and region staff of the change in status and the supervised person’s location.

    • If the incarcerated person is released out-of-state or to the federal government, the SACCOSacramento Control Office Unit, Reg. I address shall be used as the unit to be notified of pending release.

• Receiving and Release

  • A copy shall be retained in the C-File until the second copy is returned by Receiving and Release staff, who shall verify the incarcerated person was released.

  • The original and second copy shall be signed by the transporting officer or agent of the receiving jurisdiction at the time of release acknowledging receipt. The original shall be given to the officer/agent assuming custody and the second copy forwarded to Case Records.

  • Case Records staff shall replace the unsigned copy in the C-File with the signed copy utilizing a departmentally approved method and process established by the Chief, Case Records Services.

• Case Records Staff

  • Upon the physical return of the incarcerated person to departmental custody, the Notice of Detainer shall be removed from the C-File utilizing a departmentally approved method and process established by the Chief, Case Records Services.

The Deputy Director, Facility Support, Division of Adult Institutions, or designee shall be responsible for ensuring the contents of this section are kept current and accurate.

A federal Writ of Habeas Corpus Ad Testificandum in a criminal case directs the removal of an incarcerated person to the temporary custody of the U.S.United States Marshal to testify as a witness in a criminal matter.

A federal court has the legal authority to issue a Writ of Habeas Corpus Ad Testificandum for an incarcerated person outside of its territorial jurisdiction.

If the court hearing is out-of-state or if the court hearing is in-state and there are safety concerns, the CCRMCorrectional Case Records Manager shall contact Case Records Services which will consult with OLAOffice of Legal Affairs.

If the judge does not order the U.S.United States Marshal to transport, then the department shall incur the total costs and responsibility of transporting.

Federal court orders shall bear the seal of the court and certification by the clerk of the court. An electronically filed copy is certified if the stamp across the top is in blue ink. If the CCRMCorrectional Case Records Manager has questions about the authenticity of the blue ink stamp, the CCRMCorrectional Case Records Manager shall contact Case Records Services which will consult with OLAOffice of Legal Affairs.

The Department shall comply with the Uniform Criminal Extradition Act for the surrender of inmates or for extradition of inmates in custody outside the state.

This section sets forth the uniform procedures for processing extradition requests.

It is unlawful under PCPenal Code 1550.1 and 1550.2 to deliver an inmate to an agency of a demanding state until the inmate is taken before a magistrate.

There is no legal provision for the Department to take an inmate before a magistrate to consider extradition prior to the parole release date. Therefore, most inmates shall be released to the custody of a local law enforcement agency with the accompanying warrants.

Occasionally, an extradition hearing may be held at the institution by a local magistrate prior to the inmate’s release. These inmates shall be delivered directly to the out-of-state agents when paroled or discharged, on the authority of a waiver signed by a judge or upon a judge’s approval.

The CCRMCorrectional Case Records Manager shall contact and arrange for the appropriate agency to take custody of the inmate on the scheduled parole release date:

• The local law enforcement agency if the inmate has to be taken before a magistrate.

• The out-of-state agency if a waiver has been signed by a judge or upon the judge’s approval.

An inmate/parole violator may be released pursuant to PCPenal Code 4755 for the convenience of an out-of-state transporting agency. [See DOMDepartment Operations Manual 72040.8].

Arrangements must be made sufficiently in advance of the scheduled parole release date to ensure that the appropriate documents (as described in this section of the manual) are available for delivery to the agency assuming custody.

PCPenal Code 1549 provides that when an inmate is wanted in another state for prosecution and is held in this state, the Governor of California and the Governor of the other state may enter into an Executive Agreement. The Department temporarily surrenders custody of the inmate to the other state for prosecution on the condition that the inmate is returned when prosecution is terminated.

Inmates under sentence of death and wanted in another state shall be processed under Executive Agreement.

Upon receipt of an Executive Agreement the CCRMCorrectional Case Records Manager shall arrange to take the inmate before a magistrate, prior to offering him/her to the out-of-state agent. The Executive Agreement is sufficient authorization to remove the inmate from the institution for the hearing.

The CCRMCorrectional Case Records Manager of the releasing California institution shall maintain contact with the other state to ensure the inmate is returned.

If the CCRMCorrectional Case Records Manager finds that the inmate was placed in prison in the other state to serve a sentence, the prosecuting attorney in the other state shall be contacted and an attempt made to have the inmate returned to California in accordance to the Executive Agreement. If the prosecuting attorney refuses to cooperate, the AGAttorney General’s Office shall be contacted for assistance in having the inmate returned to California.

PCPenal Code 1547 through 1558 contain information regarding the Uniform Criminal Extradition Act. These provisions are used when the Department requests extradition to return California escapees or parole violators from outside the state.

When the parole violator or escapee refuses to waive extradition, a number of documents must be supplied to initiate a Governor’s warrant for their return to California.

When returning inmates from outside the state, the following documents shall be supplied to the Interstate Unit which shall prepare the package for the Governor’s warrant:

• Four certified copies by case records staff of each of the information(s)/complaint(s), indictment(s), and Judgment(s)/ commitment(s). Each document must bear two of the following thereon:

• Signature of the county clerk.

• Signature of the judge.

• County seal.

Each document must also be certified by case records staff as a true and correct copy of the original in the C-File.

• Four exemplified (by the Superior Court) copies of each of the information(s)/complaint(s), indictment(s), Judgment(s)/ commitment(s) pursuant to PCPenal Code 1207. Each must be signed by the duly elected county clerk and by the judge of the Superior Court of the county of commitment. Exception: The State of Florida requires an affidavit by the judge stating the judgment and sentence against the individual.

• Four copies of an affidavit executed under penalty of perjury by the CCRMCorrectional Case Records Manager to certify the records covering the inmate’s commitment, subsequent actions by the parole board, subsequent transfers between institutions, assignment to camp, if any, and circumstances of escape.

• Four copies of fingerprints, pictures, and description.

• Statement of where and by whom the fugitive is being held and the means by which the institution has been notified of such facts.

Parole Violators Additional documentation

• The extradition package for the return of a parole violator must include documentation that the parolee is still subject to the jurisdiction of the paroling authority. Therefore, certificates of term fixing actions from the date the parolee was originally received by the Department shall be included.

When the fugitive has waived extradition before a magistrate and agrees to accompany the Department’s agent, staff of the P&CSDParole & Community Services Division (see DAPO) Interstate Unit shall be contacted to arrange pickup of the fugitive. One copy of the waiver shall be forwarded to the Interstate Unit as a necessary document to the state agent’s appointment as the agent authorized to take custody and deliver the fugitive to the proper California authorities (nunc pro tunc). Except in unusual circumstances, the fugitive will be transported by private transportation agents.

Parolees

• At the time transportation is arranged on a parolee, Interstate Unit will contact the regional case records staff requesting that, no later than the next working day, a telecopy of the following documents be sent to the designated reception center:

  • Cumulative Case Summary.

  • Photo.

  • Fingerprint.

• A cover memo boldly marked “Interstate Transportation Case” shall accompany the packet and a copy of the memo shall be telecopied to the attention of the Interstate Transportation Unit.

Inmate

• Upon notification that an inmate/escapee is to be delivered to a designated reception center, a packet will be compiled by the jurisdiction holding the C-file. The packet shall be boldly marked “Interstate Transportation Case” and shall contain in addition to the above named documents the commitment orders.

• The packet will be sent by courier to the designated reception center.

The Deputy Director, Institutions Division, or designee, shall ensure that the contents of this section are accurate and current.

PCPenal Code §§ 1207, 1549.1 – 1558, and 4755.

Notification of the release, transfer of custody to another jurisdiction, escape, discharge, or death of an incarcerated person may be provided upon written request.

Notification to local authorities of the release of an incarcerated person shall be
provided as mandated by law.

Notification to an incarcerated person of their statutory requirement to register with
local authorities shall be provided as mandated by law.

Statutory testing, and evaluations, shall be completed pursuant to the applicable
mandate.

The purpose of this article is to provide guidelines for the following:

• Requests for the notification of an incarcerated person’s release.

• Compliance with statutory mandates for notification of an incarcerated person’s release to specified law enforcement agencies and district attorneys.

• Notification to an incarcerated person, the Department of Justice (DOJDepartment Of Justice) and local authorities of a statutory requirement to register upon an incarcerated person’s release from departmental custody.

• Compliance with testing and evaluations statutorily required or ordered by the court.

Legal Mandate: As included in this article, a statute which Case Records acts on, when applicable, to ensure compliance on behalf of the department, e.g., Penal Code (PCPenal Code) sections 290, 290.6, 457.1, 646.92, 3058.6, 3058.61, 3058.65, 3058.8, 3058.9, 3060.6, 11150, and 11155.

Written requests for notification of release received by Case Records from individuals defined as victim, victim’s next of kin, and victim’s immediate family member, shall be forwarded to the Office of Victim and Survivor Rights and Services (OVSRSOffice of Victim and Survivor Rights and Services).

OVSRSOffice of Victim and Survivor Rights and Services will record requestor contact information in the Central File (C-File) and note the notification requirement.

OVSRSOffice of Victim and Survivor Rights and Services shall include the written request submitted for notification, into the C-File according to OVSRSOffice of Victim and Survivor Rights and Services policy and procedure.

Notification shall be provided by Case Records and Parole Case Records (PCR) staff upon request to local authorities and entities pursuant to applicable statutes, e.g., PCPenal Code sections 270, and 11155 according to processes established by the Chief, Case Records Services, utilizing a departmentally approved method.

Notification shall be provided to local authorities as stated within applicable statutes, e.g., PCPenal Code sections 290.6, 457.1, 646.92, 3058.6, 3058.61, 3058.9, 3060.6, and 11150 according to processes established by the Chief, Case Records Services.

When a request for notification has been made a matter of record by OVSRSOffice of Victim and Survivor Rights and Services, the requester shall be notified by appropriate program of the incarcerated person’s:

• Escape.

• Authorized release from departmental custody.

• Transfer to a community program (e.g., Male Community Reentry Program or Female Community Reentry Program).

• Placement in alternative custody (e.g., Alternative Custody Program, Medical Parole, Reprieves).

• Release to parole.

• Discharge.

• Release from custody for any other reason (e. g., bail).

• Transfer of custody to another agency.

• Death.

Notification to the requestor of release, discharge, transfer of custody to another agency, and an incarcerated person’s death shall be provided:

• In writing, e.g., mail or e-mail, by the Correctional Counselor (CCCorrectional Counselor)-III Reception Center, the Classification & Parole Representative (C&PRClassification & Parole Representative) or the Correctional Case Records Manager (CCRMCorrectional Case Records Manager), utilizing a departmentally approved notification form, and processed pursuant to the applicable statute(s), e.g., PCPenal Code sections 3058.8 and 3058.65.

• Immediately, when there is any change in the date of release after a notice has been sent, notification shall be re-sent pursuant to the applicable statute(s). If the date of release moves outside the statutory timeframe and again comes within the time constraints mandated, notification shall be re-sent.

When the requestor does not reside at the last known address provided to the department, the CCCorrectional Counselor-III or C&PRClassification & Parole Representative as applicable, shall make a diligent, good faith effort to learn the whereabouts of the requestor utilizing departmentally approved methods (e.g. Directory Assistance, Local Law Enforcement, OVSRSOffice of Victim and Survivor Rights and Services).

When current contact information for a requestor is discovered, after the return of an undelivered notification, written notification by Case Records staff shall be made to the current address of the requestor, even if the notification information was verbally provided to the requestor by the CCCorrectional Counselor-III or C&PRClassification & Parole Representative.

Upon an immediate release, the CCCorrectional Counselor-III or C&PRClassification & Parole Representative as applicable, shall immediately notify the requestor by the most expedient means possible by phone and mail or email.

In the event of an incarcerated person’s escape, notification to the chief of police of the city and sheriff of the county in which the incarcerated person resided at the time of arrest and conviction, and the victim or next of kin of the victim shall be immediately notified by the most expedient means possible, (e.g., telephone, local law enforcement, e-mail) in accordance with CCRCalifornia Code of Regulations Title 15 section 3296.

The C&PRClassification & Parole Representative shall have the responsibility to notify the individuals listed above in subsection (f) in writing, within 30 days after the escapee’s return to custody as noted in PCPenal Code section 11155(b).

Notification, subsequent notifications and attempts to notify a requestor, for events noted in Section 72060.6 (a)(1) through (9), in writing or by other departmentally approved means, shall be documented and included in the incarcerated person’s C-File pursuant to procedures established by the Chief, Case Records Services.

Written and verbal information containing or documenting personal data of requestors, (e.g., names, addresses, phone numbers), shall be maintained in the confidential section of the incarcerated person’s C-File pursuant to CCRCalifornia Code of Regulations Title 15 section 3321.

Requests for notification received or identified after release of an incarcerated person to parole supervision, shall be addressed by PCR staff.

Requested notifications of release, escape, or death, for supervised persons serving a parole revocation in a county jail, shall be processed by PCR staff.

Notification of a statutory mandate to register upon release from departmental custody to an incarcerated person, shall be provided as stated within applicable statutes, e.g., PCPenal Code sections 290, and 457.1, according to processes established by the Chief, Case Records Services, utilizing a departmentally approved method.

When applicable, e.g., PCPenal Code section 290.016, pre-registration of a statutory requirement to register shall be completed according to processes established by the Chief, Case Records Services, utilizing a departmentally approved method.

Case Records staff shall utilize a departmentally approved method, following procedures established by the Chief, Case Records Services, to accomplish compliance with statutorily mandated or court ordered actions, testing and evaluations, e.g., PCPenal Code sections 645, 1170(d), 1202.1, 3002.rom individuals shall be processed as follows:

Violations of this policy shall be reported to the Warden, Assistant Deputy Director, or the Warden’s or Assistant Deputy Director’s designee, and the Chief, Case Records Services.

The Director, Division of Adult Institutions, or designee shall be responsible for ensuring the contents of this article are kept current and accurate.

The Wanted Persons System (WPSWanted Persons System) shall be used to ensure prompt notification to other agencies of persons wanted by the Department.

This section sets forth uniform procedures for processing notifications on escapees, parolees who have absconded from parole supervision, or inmates who have been released prior to their scheduled release dates and must be returned to custody.

The WPSWanted Persons System is an automated data system providing information on persons wanted by various law enforcement agencies. It encompasses:

• CLETSCalifornia Law Enforcement Telecommunications System.

• DOJDepartment Of Justice WPSWanted Persons System.

• The National Crime Information Center (NCICNational Crime Information Center).

• All Points Bulletin (APBAll Points Bulletin).

• The CDC WPSWanted Persons System.

The CLETSCalifornia Law Enforcement Telecommunications System is a data computer system that facilitates entries into the following systems:

• DOJDepartment Of Justice WPSWanted Persons System. Entries into this system shall not appear outside the state. A WPSWanted Persons System notification remains in the system until cancelled.

• NCICNational Crime Information Center. This system is maintained by the FBIFederal Bureau of Investigation with State DOJDepartment Of Justice assuring proper statewide operation. A want entered into NCICNational Crime Information Center shall appear nationwide upon inquiry. A requirement of a want entered into NCICNational Crime Information Center is that the person shall be extradited.

The APBAll Points Bulletin is a separate system that operates through CLETSCalifornia Law Enforcement Telecommunications System. APBs are routed to statewide terminals programmed to receive them. APBs are sent after regular working hours, holidays and weekends, to the Identification (IDInstitutions Division (see DAI))/Warrants Unit to enter the APBAll Points Bulletin into the WPSWanted Persons System/NCICNational Crime Information Center. The APBAll Points Bulletin is automatically purged after 72hours.

Facility/parole staff shall follow these procedures when an inmate escapes, or fails to return from a temporary community leave, or is released prior to his/her scheduled release date and should be returned to custody.

Prepare a CDC Form 140, State Prison Escape Bulletin, in accordance with the Department’s escape plan.

Initiate an APBAll Points Bulletin at the earliest possible time. FAX a CDC Form 600A, APBAll Points Bulletin FAX Worksheet, to the IDInstitutions Division (see DAI)/Warrants Unit.

The IDInstitutions Division (see DAI)/Warrants Unit shall enter the want into the CLETSCalifornia Law Enforcement Telecommunications System/WPSWanted Persons System which automatically generates entry into the NCICNational Crime Information Center system, and OBISOffender Based Information System using the escapee’s CDC number as the warrant number. These wants shall indicate the escapee is wanted to finish their term.

Facilities shall not enter the “permanent” want; however, they retain responsibility for:

• Presenting the facts to the DA within 72 hours and obtaining a warrant for the escapee’s arrest. The local sheriff’s office is responsible for entering a want on the escape charge.

• Teletyping notice to the Chief, Correctional Case Records Services, giving escape information, county warrant number and whether the county has entered a want on the escape charge.

• Prompt notification to the Chief, Correctional Case Records Services, of an escapee’s apprehension.

• Canceling any APBs issued by the facility when the escapee is apprehended within 72 hours.

• Making notifications pursuant to the DOMDepartment Operations Manual 72060.

Escape notices shall adhere to the following:

• CDC Form 600, Wanted Persons System NotificationAddendum A, shall be available for use in preparing APBs.

• The descriptive information shall be completed in the order shown as adopted by agencies of State DOJDepartment Of Justice.

• APBs and cancellations on escapes from conservation camps or emergency firefighting crews shall clearly indicate that the escape was from a Department facility.

• The CDC Form1 40 shall be 81/2″ x 11″. List the descriptive information in the order shown. Where case records material describes tattoos or other physical oddities, give adequate descriptive detail. The use of the term “multiple tattoos” shall not be used unless preceded by a specific description and location of one or more of them. The name of co-escapee(s), if any, shall be noted under “additional data.”

• Escape bulletins posted in public places shall have the personal information removed (lower portion of the form). The IPAInformation Practices Act prohibits posting of personal information in a public place without the consent of the person. Other law enforcement agencies posting these forms assume responsibility for removal of this information.

Facility staff shall ensure that local law enforcement each receive:

• A minimum of 12 escape bulletins.

• A minimum of six glossy photographs.

• A copy of the escapee’s CI&ICriminal Identification and Information SSCHState Summary - Criminal History report.

• A case summary.

• A list of visitors, correspondents and addresses, if known.

Escape bulletins shall also be distributed to headquarters, special services units, facilities, and parole regions so mutual assistance may be given in the apprehension and return of escaped prisoners.

If the escapee has a close relative or crime partner on parole, an escape bulletin shall also be forwarded to the appropriate parole unit office.

Escape bulletin cancellations shall be distributed to the same agencies that receive the escape bulletin, immediately following the apprehension of the escapee. The original escape bulletin shall be used by stamping “cancelled” across the bulletin along with the effective date of the cancellation.

To close an escapee’s records under the “presumption of death,” their age shall be 70 years or older and whereabouts unknown for 7 years or more.

The CCRMCorrectional Case Records Manager shall initiate the presumptive death procedure:

• Obtain a current FBIFederal Bureau of Investigation SSCHState Summary - Criminal History.

• Complete a CDC Form 644, Certificate of Presumptive Death.

• Forward the original and one copy to the Chief, Correctional Case Records Services, for approval.

The original certificate shall be returned to the facility for permanent retention in the inmate’s C-File. The copy shall be forwarded to State DOJDepartment Of Justice, CI&ICriminal Identification and Information. Upon receipt of the signed certificate, the CCRMCorrectional Case Records Manager shall:

• List the “presumptive death” on the daily report of arrivals and departures.

• Post the action to the CDC Form 112, Chronological History.

• File the original certificate in the inmate’s C-File.

• Send the C-File to the designated region records office for microfiching. They shall forward the microfiche to the archives unit.

This acts to remove all departmental active records on the inmate.

When notified of the escape of a Department inmate housed in another state or federal prison, Region I case records staff shall send a FAX to the Chief, Correctional Case Records Services.

Follow the same procedures as for any other escapee except:

• Obtain a warrant from the DA for the escapee’s arrest on escape charges.

The interstate compact unit shall make every effort to encourage the authorities of the facility where the escape occurred to:

• File local charges.

• Enter a want on escape charges, including the Department as an agency to be notified when the escapee is apprehended.

Pursuant to the W&I 3002, escape from a civil addict facility is a felony. Follow the same procedures as for any other escapee.

If sentenced to state prison on the escape charge, the civil addict commitment shall be referred back to the committing court as unsuitable. Discharge procedures shall be followed.

After an escapee has been at-large one year, and their whereabouts remain unknown, an exclusion letter shall be prepared and sent to the court of commitment pursuant to W&I 3053. Upon completion of the exclusion process, a FAX shall be sent to the IDInstitutions Division (see DAI)/Warrants Unit requesting removal of the want from the WPSWanted Persons System and the departmental warrants’ register.

An escapee apprehended by departmental personnel cannot be released to county officials for prosecution on an escape charge until a superior court issues an order as provided in PCPenal Code 2620. A warrant issued by a municipal court for apprehension and return of an escapee is not sufficient authority for surrendering custody of an inmate.

An escapee apprehended and released to a departmental employee shall be returned to a facility as soon as possible for safekeeping until released in accordance with PCPenal Code 2620.

An escapee arrested by officials not connected with CDC shall be held by the arresting agency for prosecution.

18 USC 1073 provides for the issuance of a warrant for the apprehension of a person under commitment for murder, kidnapping, burglary, robbery, mayhem, arson, rape, assault with a dangerous weapon, extortion by threat or coercion, or an attempt to commit any of the above offenses. When an inmate committed for one of these offenses escapes and there is reason to believe the escapee left the state, the Warden shall notify the resident agent of the FBIFederal Bureau of Investigation.

The U.S.United States Attorney of the district in which the facility is located shall be notified by letter of the issuance of the warrant of arrest and that the prisoner shall be extradited if apprehended. They shall be provided with the information outlined in the escape report and requested to issue a warrant in accordance with the 18 USC 1073.

Upon apprehension of an escapee, the Warden shall request immediate custody, and if the request is granted, the escapee shall be returned immediately to the facility. If immediate custody cannot be obtained, the Warden shall place a hold using a CDC Form 801, Notice of Detainer, for the return of the prisoner when they become available for return.

County warrants charging escape expire after three years. The CCRMCorrectional Case Records Manager shall review the list of escapees monthly. Any escapee at-large for two-and-one-half years shall be referred to the DA to obtain a Grand Jury indictment prior to the expiration of the three-year period.

When extradition procedures are initiated, an “affidavit of escape” shall be prepared and forwarded to the Captain, Transportation Unit. This document is required by the controller’s office so that the transportation officers may be reimbursed for expenses incurred in returning the escapee to California.

A parolee is an absconder when it is determined by the BPT that the parolee’s whereabouts are unknown.

When it has been determined that the parolee is at-large, the Parole Agent shall prepare a CDC Form 600 and submit it to the regional records staff with a CDC Form 1524, Parolee At Large Report (PALParolee-At-Large Report).

The CDC Form 600 shall be reviewed for completeness by an office technician or higher and sent to the BPT Central Office Calendar with the PALParolee-At-Large Report, or returned to the Parole Agent for completion. The following information shall be included on the CDC Form 600:

• Known aliases (AKA).

• Social Security Numbers (SSISupplemental Security Income) and additional date(s) of birth (ADB) which are recorded on the CI&ICriminal Identification and Information SSCHState Summary - Criminal History report.

• Scars, marks, and tattoos – indicate location and description.

Caution codes shall be included in the caution field. If multiple caution codes are required, enter the most serious caution in the caution field and type out the second caution, in English, as the first item in the miscellaneous field. The “X” caution code shall be entered in the miscellaneous field with an explanation. Use prior history to determine caution. The following caution codes shall be used:

• A = Armed and dangerous

• E = Escape risk

• M = Mentally disturbed

• S = Suicidal

• X = Miscellaneous

  • Miscellaneous field shall contain the commitment offense, not the felony code numbers.

  • The agent’s name and telephone number shall be used by IDInstitutions Division (see DAI)/Warrants Unit staff, but not entered into CLETSCalifornia Law Enforcement Telecommunications System. This information shall be provided to the arresting agency upon apprehension.

  • The reference field shall be used to indicate the region and unit office.

The facility/region case records office shall maintain a log of the CDC Form 600 entry and cancel requests.

IDInstitutions Division (see DAI)/Warrants Unit

• When a CDC Form 600 is received from the BPT, the IDInstitutions Division (see DAI)/Warrants Unit shall:

  • Date stamp the CDC Form 600.

  • Compare the name and date of birth and contact region case records staff concerning any major discrepancies. Change CI&ICriminal Identification and Information and FBIFederal Bureau of Investigation numbers to conform to the CI&ICriminal Identification and Information SSCHState Summary - Criminal History.

  • Enter the want in OBISOffender Based Information System and perform a QCQuality Control review of the FAX entry.

  • Send a list daily of wants entered and cancelled to each regional case records office.

A NCICNational Crime Information Center warrant review shall be completed on all suspended PALParolee-At-Large cases after 60 months in PALParolee-At-Large status.

Parole Agent (4-6 Weeks Prior to Annual and 60Month review)

• Secures and reviews current CI&ICriminal Identification and Information and FBIFederal Bureau of Investigation arrest records for any arrest during period parolee has been PALParolee-At-Large.

(At 60-Month Review)

• Reviews case files of all PALParolee-At-Large cases for commitment offense and prior criminal history if no arrests are noted on CI&ICriminal Identification and Information sheets.

• Forwards copy of original CDC Form 1524, with completed CDC Form 1524-A attached, to BPT recommending:

  • Discharge and recall warrant (if commitment offense and prior criminal history were property offenses with minimum or no history of violent behavior).

  • Discharge and recall warrant (if determined there is minimal chance of parolee being located or committing new crimes, and a minimal history of violence or arrests are indicated by CI&ICriminal Identification and Information or FBIFederal Bureau of Investigation records).

  • Retain in PALParolee-At-Large status and in NCICNational Crime Information Center (if there is a history of violence; CI&ICriminal Identification and Information records show arrests; and there is a probability of parolee being located).

• Current CI&ICriminal Identification and Information and FBIFederal Bureau of Investigation arrest records and legal status summary sheet shall be attached to PALParolee-At-Large report.

• Submits report to unit supervisor.

Unit Supervisor

• Reviews and submits report to BPT for action.

Parole Agent

• The Parole Agent forwards CDC Form 1676, Charge Sheet/Revocation Tracking/Scheduling Request, by FAX to the IDInstitutions Division (see DAI)/Warrants Unit to cancel a warrant.

The IDInstitutions Division (see DAI)/Warrants Unit

• Cancels the warrant in the CLETSCalifornia Law Enforcement Telecommunications System thereby removing the want from NCICNational Crime Information Center and WPSWanted Persons System, and cancels the warrant in the OBISOffender Based Information System.

During normal business hours, the Parole Agent shall contact the region case records office to place a PCPenal Code 3056 hold on a PALParolee-At-Large in custody. After normal duty hours, the agent shall contact the IDInstitutions Division (see DAI)/Warrants Unit to request that a hold be placed and the want cancelled.

When a law enforcement agency requests a hold, the IDInstitutions Division (see DAI)/Warrants Unit shall abstract a warrant to the agency with a copy to the region case records office.

Holds and warrant abstracts forwarded to requesting law enforcement agencies shall include the name and telephone number of a staff contact person. The abstract shall also include the charges, any AKAs and the requesting agency’s booking or case number, if known, on the wanted person.

The region case records office shall notify the Parole Agent of the hold by the next working day. The agent shall immediately identify the subject.

A warrant is no longer active once it has been cancelled in State DOJDepartment Of Justice CLETSCalifornia Law Enforcement Telecommunications System. Once a warrant has been cancelled, it must be reissued for cause by the BPT in order to be used as the basis for entering a want into the state WPSWanted Persons System or NCICNational Crime Information Center. Some warrants for suspended parolees are inadvertently cancelled due to:

• A warrant abstract has been sent to a law enforcement agency on the wrong subject.

• The parolee has been released by a local agency over a CDC hold or detainer.

• Data entry error.

Parole Agent

• Submits a copy of the original CDC Form 1524, the BPT Form 1135, Miscellaneous Decision, and completed CDC Form 600, to regional records upon determining that a warrant has been incorrectly cancelled.

Records Staff

• Forwards PALParolee-At-Large package to BPT central office.

BPT Staff

• Reissues warrant, FAX signed copies of the BPT Form 1135 and CDC Form 600 to IDInstitutions Division (see DAI)/Warrants Unit and forwards a copy of the BPT Form 1135 to the parole unit.

Regional Records Staff

• Posts BPT action to CDC Form 112.

IDInstitutions Division (see DAI)/Warrants Unit Staff

• Reenters want into CLETSCalifornia Law Enforcement Telecommunications System and OBISOffender Based Information System.

Parole Agent

• Forwards CDC Form 1676 by FAX to IDInstitutions Division (see DAI)/Warrants Unit to cancel warrant.

IDInstitutions Division (see DAI)/Warrants Unit Staff

• Cancels warrant in the CLETSCalifornia Law Enforcement Telecommunications System thereby removing the want from NCICNational Crime Information Center and WPSWanted Persons System, and cancels warrant in OBISOffender Based Information System.

If a PALParolee-At-Large is arrested or located in California and there are no violations of the type reserved for decision by the BPT, the RPARegional Parole Administrator may order reinstatement on parole.

The interstate parole office shall abstract a warrant during the normal workday. The IDInstitutions Division (see DAI)/Warrants Unit shall abstract a warrant on weekends and after normal work hours on PALs where a code two warrant has been issued by the BPT.

The IDInstitutions Division (see DAI)/Warrants Unit shall forward, to the Interstate Unit, three certified copies of the BPT warrant on any case where an abstract warrant has been issued or when the BPT has acted to issue a warrant as a detainer only.

The Parole Agent shall submit a written report to the BPT recommending a disposition. The BPT shall determine whether the parolee shall be discharged, referred for supervision in the other state, or scheduled for revocation proceedings.

Emergencies include:

• A parolee/PALParolee-At-Large is apprehended out-of-state and shall be released unless a warrant is immediately issued. The Department’s verbal or regular FAX request to detain shall not suffice to hold the subject.

• The parolee/PALParolee-At-Large’s misconduct is of such a serious nature that any delay incurred by requesting a hold through regular channels would amount to gross negligence on the part of the Department.

• The parolee/PALParolee-At-Large is located/arrested out-of-state and the existing code one warrant needs to be upgraded to code two and a return-to-prison order shall be completed.

These emergencies require submittal to the BPT on a BPT Form 1135.

The Parole Agent shall initiate action for a want by telephoning the region CCRMCorrectional Case Records Manager or other region staff as determined by the RPARegional Parole Administrator.

Depending on the need, the agent shall relay such information as is required for the BPT Form 1135, and if needed, the information for filling out a CDC Form 600 for issuance of a warrant. The region CCRMCorrectional Case Records Manager may determine the type of information needed for the agent.

The CCRMCorrectional Case Records Manager shall:

• Maintain control over regional emergency requests.

• Prepare the BPT Form 1135 and/or CDC Form 600, if a want is to be issued.

• Telefax the BPT Form 1135 and a CDC Form 600 to the BPT for action.

The BPT shall:

• Sign the BPT Form 1135.

• Issue a warrant number and complete the entry level and date of warrant.

• Send the CDC Form 600 to the IDInstitutions Division (see DAI)/Warrants Unit for entry into the WPSWanted Persons System.

• Notify the region CCRMCorrectional Case Records Manager of the action by telefax.

• Telefax the CDC Form 600 to IDInstitutions Division (see DAI)/Warrants Unit. Send the original CDC Form 600 and the warrant to the IDInstitutions Division (see DAI)/Warrants Unit.

Upon receiving a request from the supervising Parole Agent for a releasee-at-large (RALRelease-At-Large) want, the region CCRMCorrectional Case Records Manager shall complete the CDC Form 600, then forward it, along with the NAEANarcotic Addiction Evaluation Authority action to suspend outpatient status, to the IDInstitutions Division (see DAI)/Warrants Unit.

The date of the warrant section shall reflect the date the action was taken by the NAEANarcotic Addiction Evaluation Authority. The “miscellaneous field” of the CDC Form 600 shall indicate “civil addict commitment.” The criminal charges that were suspended shall also be included for entry into the WPSWanted Persons System. RALRelease-At-Large wants are code one only. Incomplete forms shall not be processed but returned to the originator for completion.

The IDInstitutions Division (see DAI)/Warrants Unit shall enter the want into the WPSWanted Persons System.

The Parole Agent shall contact the region case records office during normal business hours to place a W&I3151 hold on a RALRelease-At-Large in custody and instruct them to request cancellation of the want. After normal business hours, the agent shall contact the IDInstitutions Division (see DAI)/Warrants Unit to request that a hold be placed and the want cancelled.

Upon notification that the RALRelease-At-Large has been apprehended and is in custody, the region CCRMCorrectional Case Records Manager shall FAX the IDInstitutions Division (see DAI)/Warrants Unit requesting the removal of the want upon reinstatement action of the NAEANarcotic Addiction Evaluation Authority.

The Deputy Director, Institutions Division, or designee shall be responsible for ensuring that the contents of this article are kept current and accurate.

18 USC 1073.

PCPenal Code §§ 2620, 3056, 5054.1, and 11155.

W&I §§ 3002, 3053, and 3151.

DOMDepartment Operations Manual §§ 72060, 81040, and 81080.

Uniform legal status information shall be maintained on persons under the jurisdiction of the Department.

This section sets forth the procedures for the uniform preparation of an inmate’s legal status.

Legal status information contained in the C-File includes:

• CDC Form 112, Chronological History.

• Legal Status Summary.

• PORProbation Officer Report or Circumstances of Offense.

• FBIFederal Bureau of Investigation Report.

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

Legal status information shall be assembled and prepared on all newly arrived inmates by the reception center case records staff.

Case Records Specialists (CRSCorrectional Case Records Specialist)

• Legal data used in the preparation of the CDC Form 188, Legal Status Summary, shall be audited by CRSs. They shall:

Review

• Review, compare, and analyze all available legal documents, such as: Abstracts of Judgment, Minute Orders, transcripts of proceedings at time of sentencing, charging documents, appellate court opinions, remittiturs, and other court orders to ensure accuracy, compatibility, and intent of the sentencing court.

Determine

• Determine sentence case relationship and appropriate application of credit for entry into OBISOffender Based Information System and preparation of the Legal Status Summary.

Request

• Request missing documents, necessary to complete the legal portion of the case summary, from the county clerk’s office. Requests for proceedings at time of sentencing should not be made until the third or fourth week after the inmate’s arrival to permit routine transcribing and mailing by the courts. PCPenal Code 1203.01 statements shall be requested from the court of commitment for cases not referred to the probation department.

  • Occasionally, an inmate may transfer from the reception center prior to receipt of documents and completion of the legal section. The receiving facility specialist shall ensure all pertinent documents/corrections are subsequently received and processed, and that amendments to the legal status summary are made.

Forward

• Forward to the Health Care Manager a weekly list of those inmates who are required to provide blood and saliva samples pursuant to PCPenal Code 290.2. Such samples shall be collected as soon as possible after the inmate leaves the reception center.

Review

• Review all computer generated Legal Status Summary Sheets and commitment documents for data entry error.

Correct

• Correct Legal Status Summary Sheets which are discrepant due to the lack of computer program edits, e.g., consecutive sex offenses, by causing a manual (M) calculation entry of the data. Cases discrepant due to an error in sentencing shall remain discrepant in OBISOffender Based Information System until an amended document is received.

Refer

• Refer discrepant cases which require communication to the trial court to the LPULegal Processing Unit for resolution. Referrals shall include an analysis of the case factors and photocopies of complete court documents necessary for the unit to communicate with the court.

  • Copies of any amended/new legal documents subsequently received on discrepant cases shall be forwarded to LPULegal Processing Unit following correction of, or addition to, the legal status summary.

Determine

• Determine statutorily required reports, referrals, notices, and registration requirements. Make appropriate entries on the CDC Form 112; CDC Form 144, Control Card, and cause entry into OBISOffender Based Information System, as program edits allows, for:

  • Arson offenses, as specified in PCPenal Code 457.1 and 11150.

  • Sex offenses, as specified in PCPenal Code 290.

  • Controlled substance offenses, as specified in H&SCHealth and Safety Code 11590.

  • Reports to the court, as specified in PCPenal Code 1170(d).

  • Notices, as specified in PCPenal Code 3058.6 and 3058.8.

Edit Error PCPenal Code 457.1

• OBISOffender Based Information System programming for entry on the Legal Status Summary is available only for PCPenal Code 290, 1170(d), and 11150 and H&SCHealth and Safety Code 11590 requirements. Due to a program edit error, PCPenal Code 457.1 shall be indicated on the Legal Status Summary as PCPenal Code 11150 and, unless registration is ordered by the court and reflected on the commitment document(s), the entry shall be modified manually to read “Notification required per PCPenal Code 11150.”

Continue To Audit

• Facility/region specialists shall continue to audit legal status information, and make necessary records/corrections/amendments. They shall:

  • Time Cards

    • Audit inmate time cards for recorded work credit.

    • Minimum met bubbled on the scannable time card is a combination of actual time worked, ETOExcused Time Off, and security time for both fulltime and halftime assignments.

  • Holiday Credit

    • Holiday credit shall be granted for all State holidays in the appropriate credit earning status for inmates in credit qualifying groups. Holiday credit shall be automatically posted to OBISOffender Based Information System from scanned time cards.

  • ETOExcused Time Off

    • An inmate assigned for a minimum of 20 days in any month shall earn 16 hours of ETOExcused Time Off in full-time assignments and 8 hours in half-time assignments for each month. An additional 8 hours of credit for full-time and 4 hours of credit for half-time shall be granted for any time actually worked on any State holiday. A maximum of 192 hours for full-time and 96 hours for half-time may be accrued. ETOExcused Time Off shall be used in increments of 2 hours. ETOExcused Time Off used in excess of ETOExcused Time Off earned shall be recorded as an absence.

  • Review

    • Review recording of all other worktime documentation including CDC Form 115, Rule Violation Reports; CDC Form 128-G, classification actions; general and medical chronos; and computer entries of credit gains, losses, restorations, and dead time.

  • Calculate

    • Make appropriate calculations and recordings of BPHBoard of Parole Hearings (formerly Board of Prison Terms) decisions.

  • Respond

    • Respond to inquiries from inmates and answer inmate appeals on legal status issues.

  • Record

    • Make proper recordings of all actions/decisions affecting an inmate’s legal status on the CDC Form 112.

  • Disposition

    • Determine disposition of Holds/Wants/Detainers and take appropriate action for resolution.

Periodic audits of the C-File shall be made by CRSs. Audits which include all requirements previously listed in this section shall occur whenever the following exist:

• Upon initial intake at any receiving facility.

• Sixty days prior to an inmate’s scheduled parole/release date.

• Ten days prior to an inmate’s scheduled parole/release date.

• Upon receipt of an additional commitment following initial intake.

• Upon transfer to facilitate federal deportation.

• Every 30 days beginning 9 months prior to release on notorious or special interest cases.

Prior to Transfer

• An audit prior to any transfer, except for deportation purposes, shall consist of proper recording and disposition of Holds/Warrants/Detainers/Notices, proper recording of worktime documentation, and the generation of an updated Legal Status Summary as a result of a work credit gain.

Three Months Prior to BPHBoard of Parole Hearings (formerly Board of Prison Terms) Hearing

• Three months prior to any scheduled BPHBoard of Parole Hearings (formerly Board of Prison Terms) hearing, an inmate’s C-File shall be audited for accurate computation and recording of the Minimum Eligible Parole Date (MEPD) and any decisions previously made by the BPHBoard of Parole Hearings (formerly Board of Prison Terms).

The CDC Form 112 is the first page of the case summary.

A CDC Form 188 shall be prepared manually by the LPULegal Processing Unit to record the legal status of inmates committed to the Department with an active life term or Indeterminate Sentence Law term pending implementation of a computer generated legal status program for these cases.

Identifying data on the CDC Form 188 shall include, but not be limited to, the following:

Department Identification Number

• Show the assigned departmental identification number (CDCRCalifornia Department of Corrections and Rehabilitation Number).

Name

• Commitment Name.

• The commitment name shall be recorded as reflected on the original Abstract of Judgment/Minute Order by which the inmate was delivered to the custody of the Department.

• If the Abstract contains two or more names, the first name shown shall be used as the commitment name. If one of the names is documented as the true name, the true name shall be shown as the commitment name.

• Names on subsequent commitment documents which differ from the original commitment name shall be recorded as Also Committed As (ACAAmerican Correctional Association), e.g., Jones, George; ACAAmerican Correctional Association: Jones, John.

• If the individual is received with multiple cases, use the name on the case sentenced the earliest.

• If the individual is received with cases from multiple counties, use the name on the Abstract prepared by the county which delivered the individual.

Name Change Procedures

• Subject to Section 1279.5 of the California Code of Civil Procedure, no person under the jurisdiction of the California Department of Corrections and Rehabilitation shall be allowed to file a petition to change his or her name except as permitted by the Department. Delegation of the Secretary’s authority to permit an inmate or parolee to file a petition for a change of name has been granted to the Associate Directors (AD) of the DAIDivision of Adult Institutions (formerly Institutions Division) and to the Deputy Director of the DAPODivision of Adult Parole Operations (formerly P&CSD). The following procedures shall be followed:

  • Each inmate or parolee request for a legal name change shall initially be reviewed and approved or denied by either the responsible Warden or RPARegional Parole Administrator.

  • If circumstances do not exist to grant approval, the Warden or RPARegional Parole Administrator shall respond to the inmate or parolee in writing stating the reasons for the denial. A copy of the response shall be placed in the inmate’s/parolee’s central file.

  • If the Warden or RPARegional Parole Administrator determines the request should be granted, the request shall be forwarded to the appropriate AD or to the Deputy Director, DAPODivision of Adult Parole Operations (formerly P&CSD), along with a cover memo stating the reasons for granting the request. A copy of the memo shall be placed in the miscellaneous section of the inmate’s/parolee’s central file.

  • If approved, the AD, DAIDivision of Adult Institutions (formerly Institutions Division), or the Deputy Director, DAPODivision of Adult Parole Operations (formerly P&CSD), shall forward a letter to the court accompanying the inmate’s or parolee’s request explaining why the Department is recommending approval for the legal name change. A copy of this letter shall be placed in the miscellaneous section of the inmate’s or parolee’s central file.

  • If the AD, DAIDivision of Adult Institutions (formerly Institutions Division), or Deputy Director, DAPODivision of Adult Parole Operations (formerly P&CSD), does not approve the request, a letter will be forwarded to the inmate or parolee stating the reasons for the denial, a copy of which will be placed in the miscellaneous section of the central file.

  • When a court ordered name change is received as a result of a department approval, the Correctional Case Records Manager shall notify the facility mailroom and visiting room of the change if the person is an inmate, or the agent of record if a parolee. The court order shall be filed along with the other documents regarding the request for name change in the person’s central file.

  • The mailroom and visiting room staff of the facility shall update their records to reflect the additional name of the inmate.

  • The original commitment name of the inmate or parolee shall remain on all departmental records and shall continue to be used on all Department records.

  • The new legal name shall be recorded in the OBISOffender Based Information System as an “Also Committed As…”

  • The inmate shall be notified to inform all persons who may visit or write him/her that they must use the inmate’s departmental identification number when using the inmate’s new name.

  • If an institution or parole office receives a court ordered legal name change that had not been recommended for approval by the Department, but the order was not the result of a successful court challenge against a previous departmental disapproval of the name change, the appropriate Warden or RPARegional Parole Administrator shall forward the order to the Department Secretary or his or her designee for appropriate action pursuant to Section 1279.5 of the Code of Civil Procedure. If an institution or parole office receives a court ordered name change as the result of a successful court challenge against a previous departmental disapproval of the name change, the Warden or RPARegional Parole Administrator shall process the name change in accordance with this section.

Ethnicity

• Ethnic Group: American Indian, Black, Cambodian, Chinese, Columbian, Cuban, Filipino, Guamanian, Guatemalan, Hawaiian, Indian (from India), Jamaican, Japanese, Korean, Laotian, Mexican, Nicaraguan, Puerto Rican, Salvadorian, Samoan, Thai, Vietnamese, and White (includes Hindu, Portuguese, Spanish, and West Indian).

The date the controlling term starts is as follows:

• The term start date shall be the same as the date received by the Department on the controlling commitment.

• If an additional commitment is received by mail and the date of sentence is prior to the original received date, the original received date shall be the term start date.

• If a concurrent commitment which becomes the controlling case is received by mail where the inmate is sentenced in absentia, the date the commitment was received shall be the term start date and postsentence credit shall be calculated and applied to the term.

• If an additional commitment which becomes the controlling case is received, where the inmate has gone out to court for sentencing, the term start date is the date the inmate returns to the Department from the prosecuting jurisdiction.

• If an additional commitment is pursuant to a probation revocation, the original received date shall be the term start date.

Federal or Out-of-State Prisoner

• If a federal or out-of-state prisoner goes out to court and receives a California Controlling Commitment term, the term start date is the date the prisoner is received in the other jurisdiction after sentencing on the California case.

• If a federal out-of-state prisoner is sentenced in absentia to a California Controlling Commitment term, the term start date is the date sentenced.

• If a federal or out-of-state prisoner receives a California Controlling Commitment term pursuant to a probation revocation, the original received date in the other jurisdiction shall be the term start date.

Maximum Release Date

• The Maximum Release Date (MRDMax Release Date) is calculated by adding the controlling term to the term start date, minus preprison custody credits, and plus any dead time (at-large on escape status/while released on appeal bond or bail).

• The facility CCRMCorrectional Case Records Manager shall ensure that the MRDMax Release Date is calculated and entered. On manually prepared CDC Form 188s, any subsequent adjustment to the original MRDMax Release Date shall be entered in pencil to permit correction or change.

• If one of the controlling offenses is a life term, the maximum release date shall be shown as “to be determined.” If one of the controlling offenses has an ISLIndeterminate Sentence Law sentence, the maximum release date shall be calculated and entered after the BPHBoard of Parole Hearings (formerly Board of Prison Terms) has set the term.

Minimum Release Date/MINMinimum DSLDeterminate Sentence Law/EPRDEarliest Possible Release Date/MEPD

• An inmate’s release date or parole eligibility date may be recorded as a Minimum Determinate Sentence Law (DSLDeterminate Sentence Law) Release Date (MINMinimum DSLDeterminate Sentence Law), Earliest Possible Release Date (EPRDEarliest Possible Release Date), or Minimum Eligible Parole Date (MEPD), depending on the controlling term.

DSLDeterminate Sentence Law Non-IW/TIP

• Non-IW/TIP DSLDeterminate Sentence Law terms have a MINMinimum DSLDeterminate Sentence Law date which is the maximum release date minus goodtime credit plus any credit losses or dead time.

DSLDeterminate Sentence Law IW/TIP

• IW/TIP DSLDeterminate Sentence Law terms have an EPRDEarliest Possible Release Date. The EPRDEarliest Possible Release Date is the maximum release date minus vested credits, plus credit losses or dead time and less the potential amount of goodtime credit to be earned based upon credit earning status.

• Information relating to the IW/TIP is found in DOMDepartment Operations Manual 73030.4 and 73030.6.3.

Indeterminate/Life Term

• If one of the controlling offenses has an indeterminate or life term, manual entry of the MEPD into OBISOffender Based Information System will be made at the time of initial audit and changed as necessary due to any recalculation.

Parole Period

• The parole period entry shall reflect the maximum parole period required by law (e.g., one year, three years, five years, life).

Sosa Credit

• Any preprison credit in excess of the term assessed for a particular offense must be used to reduce the maximum parole period (In re Sosa (1980) 102 Cal. App. 3d 1002). This entry shall read: “________ years minus ________ days In re Sosa.” If additional credits are received, which are applicable under In re Sosa, the entry shall be changed accordingly.

Base Term

For the base term, show the base term for the controlling offense.

• If the controlling offense has a determinate term, the entry shall be a four digit entry.

• EXAMPLE:
  5 Year Term = 05-00
  5 Year 8 Months Term = 05-08

  • Whether the controlling offense has an indeterminate or determinate term of one-year-and-one-day, show the base term as 1-year-and-1-day.

  • If the controlling offense has a life term, show the base term as life.

  • If the controlling offense has an indeterminate life term of 25-life, 20-life, 15-life, etc., the base term shall be recorded as such.

Enhancements/Consecutive (CSControl Services) Terms

• Enter the total sentence for any enhancement(s) and/or CSControl Services term(s) added to the controlling term, including:

  • Prior prison terms or prior felony convictions.

  • Enhancements pursuant to PCPenal Code §§ 12022, 12022.2, 12022.3, 12022.4, 12022.5, 12022.6, 12022.7 12022.75, 12022.8, 12022.9; H&SCHealth and Safety Code §§ 11370.2, 11370.4, 11379.8, etc..

  • CSControl Services subordinate terms (PCPenal Code 1170.1).

  • Wholly CSControl Services DSLDeterminate Sentence Law terms.

  • CSControl Services ISLIndeterminate Sentence Law terms.

• The entry for this section shall be a four digit entry.

• EXAMPLE:
  8 Months = 00-08
  4 Years = 04-00

• Whether the CSControl Services term is for an indeterminate or determinate term of one-year-and-one-day, show the term as 1-year-and-1-day.

• If the CSControl Services term is for a life term, show the term as life.

• If the CSControl Services sentence is for an indeterminate term of 25-life, 20-life, or 15-life, show the term as such.

• If the CSControl Services sentences/enhancements are combined, they shall be recorded as:
  Life + 4 years = Life + 04-00
  25-Life + 4 years = 29-Life
  25-Life + 25-Life = 50-Life
  4 years + 1-year-and-1-day = 04-00 + 1-year-and-1-day

• Total Term: Show the total term for the controlling case(s). This is the sum of the base term and enhancements/CSControl Services sentences.

The preprison credit entry shall reflect the credit granted by the court(s) and reflected on the Abstract(s) of Judgment/Minute Order (s) for the controlling principal term and any CSControl Services counts or cases, plus credit administratively granted by the Department. The credits shall be recorded by the specific type of credit, whether accurately reflected on the Abstract/Minute Order and/or administratively granted.

• Preprison credit includes:

  • PCPenal Code 2900.5

    • PCPenal Code 2900.5. Reflect only actual days in local custody even if the Abstract of Judgement reflects a combination of PCPenal Code 1203.03 and PCPenal Code 2931 credit.

    • Whether included in whole or in part on the Abstract of Judgement, reflect the following:

  • PCPenal Code 1203.03

    • PCPenal Code 1203.03. Actual days in the Department’s custody as a “Z” case.

  • PCPenal Code 2900.1

    • PCPenal Code 2900.1. Actual amount of time served in the Department for the same offense.

  • CRCCalifornia Rehabilitation Center

    • CRCCalifornia Rehabilitation Center credit. Actual days confined under the Civil Addict Program, including time in custody on parole hold (our hold only).

  • Mental Health

    • Mental health credit. Days confined as incompetent to stand trial (PCPenal Code 1375.5).

  • PCPenal Code 4019

    • PCPenal Code 4019. Reflect days of goodtime credit granted by the court for time spent in local custody, as a condition of probation or pursuant to People v. Sage.

  • PCPenal Code 2931

    • Reflect goodtime credit granted for prior departmental time served on the same offense as PCPenal Code 2900.1. The CDC Form 112, for the prior term shall be reviewed to determine if there are losses of credit.

  • Total Credit

    • Total preprison credit. Reflect the total days of credit granted excluding credit applied pursuant to In re Sosa.

  • In re Sosa

    • Credits applied pursuant to In re Sosa shall not be reflected in this section but shall be applied to the parole period as specified in DOMDepartment Operations Manual 73010.6.2.