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.