Chapter 7 – Adult Case Records Information

Court decisions and court orders shall be processed in a uniform manner to ensure proper disposition.

This article sets forth uniform directives for handling and processing court orders and court decisions.

Unless otherwise stated in the opinion or order, decisions of the Court of Appeal in criminal matters are generally final 60 days after filed. The Court of Appeal is one court and is divided into six geographic districts.

Decisions of the Supreme Court are generally final 30 days after filed.

A copy of unpublished Appellate or Supreme Court opinion received in headquarters shall be reviewed by a Correctional Case Records Administrator, and provided to the facility or Parole Case Records (PCR) as applicable, for appropriate disposition or follow-up with the trial court (superior court) or Court of Appeal until the opinion is final.

Published opinions become case law and shall be evaluated by Case Records Services, which, if needed, shall update instructions by an Administrative Bulletin, revision to this manual or regulation change.

A Court of Appeal decision that reverses a “judgment” on appeal is remitted (jurisdiction returned) to the superior court on the date the Court of Appeal’s decision becomes final.

A reversal of “judgment” on appeal in a criminal case is deemed an order for new trial, unless otherwise directed [reference: Penal Code (PCPenal Code) section 1262]. The District Attorney (DA) will usually bring the case to trial within 60 days after the reversal is final (PCPenal Code section 1382).

Removal of an incarcerated person from departmental custody by the sheriff after reversal on appeal does not act as a discharge from departmental records until confirmation from the court or Attorney General’s (AGAttorney General’s) Office is received.

If a defendant is on parole, departmental jurisdiction ceases on the date the decision of reversal is final. If the defendant is returned from court with a new commitment, issue a new CDCRCalifornia Department of Corrections and Rehabilitation number. The old departmental CDCRCalifornia Department of Corrections and Rehabilitation numbers can be reactivated upon approval of the Chief, Case Records Services.

A judgment may be reversed in whole or in part and the order of reversal may include specific instructions to the trial court. Judgments may be affirmed and the matter remanded to the superior court for the limited purpose of re-sentencing.

In those instances where a person is removed from departmental custody and the superior court order or Appellate Court opinion reflects that the judgment is affirmed but the sentence is reversed for the limited purpose of re-sentencing, the case will remain under departmental jurisdiction as out-to-court (OTCOut To Court).

The Correctional Case Records Manager (CCRMCorrectional Case Records Manager), or designee, shall contact the trial court the day after the scheduled court hearing to determine the status of the case if the defendant has not been returned to departmental custody. If the court order does not list the scheduled court hearing date, the initial follow-up contact shall be completed one week after the date of release to the Sheriff’s Office. If an incarcerated person is returned from OTCOut To Court, Case Records staff shall contact the court as necessary, ascertain case disposition, and obtain required certified documents.

The Court of Appeal may modify a judgment by striking a count per PCPenal Code section 654 or striking an improper penalty or enhancement.

In these instances, where a trial court can do nothing about the sentence as modified by the Court of Appeal, the legal status shall be changed in accordance with the opinion upon receipt of a certified copy of the remittitur from the Court of Appeal.

An order in Habeas Corpus proceeding may vacate the judgment in whole or in part or grant other relief including discharge from custody. A petition for writ of habeas corpus is different in purpose and scope than appeals to the Court of Appeal or the California Supreme Court. Such actions would generally be confined to whether the incarcerated person is illegally held, portions of the judgment are defective, or whether the department administrative handling of the case is proper under law.

The superior court of the county where a facility is located has jurisdiction to consider petitions filed by incarcerated persons of that facility regardless of the commitment county. An incarcerated person may also file a petition for a writ of habeas corpus with the Court of Appeal or the California Supreme Court.

The department must comply with resulting orders when those orders are final.

These orders shall be immediately reviewed by the Office of Legal Affairs (OLAOffice of Legal Affairs) to determine such questions as proper procedures or whether to appeal, etc.

The case may be ordered back to the trial court for further proceedings to correct or modify the judgment or sentence.

Where removal of an incarcerated person occurs for return to the trial court pursuant to a Court of Appeal’s order to reverse or vacate the judgment, this acts to discharge the case from departmental records.

Where the judgment and sentence remain valid, but the removal is pursuant to an order for further proceedings, time on the sentence continues to run and the case remains under departmental jurisdiction as OTCOut To Court.

As provided in PCPenal Code section 2620, the order for removal shall state the purpose for which the person is to be brought before the court.

When this information is not included and there is not sufficient time or information on hand to resolve the question as to the purpose for removal, the incarcerated person shall be noted as “OTCOut To Court for further proceedings.” The case records can be corrected later when the purpose for removal has been conclusively determined.

Sources for information include:

• Clerk of the Court of Appeal.

• DA.

• OLAOffice of Legal Affairs.

• Chief, Case Records Services.

• The Deputy AGAttorney General who handled the case at the Court of Appeal level.

• Superior court.

Superior court orders usually do not establish precedents or rules of general application but are limited in application to the specific case ruled upon.

Differences and conflicts between superior court orders in different counties may only be resolved by a higher court.

Published Court of Appeal decisions are effective the date they become final and have the same application on all cases with the same or very similar circumstances. Whether to apply these decisions to other incarcerated persons is decided by Case Records Services in consultation with OLAOffice of Legal Affairs.

These published decisions only apply prospectively unless the decision specifies it is to be applied retroactively.

Unpublished Court of Appeal decisions apply only to the individual case considered.

A state superior court order requiring the physical appearance of an incarcerated person in court (a removal order) shall be signed by a judge, bear the seal of the court, and be certified by the court clerk (two of the three requirements will suffice). For federal court orders, see DOMDepartment Operations Manual section 73040.14.3.

PCPenal Code sections 2620, 2621, and 2625 require court orders must include the reason for removal.

Compliance with orders issued under PCPenal Code sections 2620, 2621, and 2625 is mandatory, unless the order is successfully challenged and vacated by a court. Case Records Services works with OLAOffice of Legal Affairs to hire the Attorney General to challenge these removal orders.

A PCPenal Code section 2620 order requires the appearance of an incarcerated person who is a defendant in a criminal case.

A PCPenal Code section 2621 order requires the appearance of an incarcerated person who is a witness in a criminal case.

A PCPenal Code section 2625 order requires the appearance of an incarcerated person who is a parent or spouse in a family law case.

The order under PCPenal Code sections 2620, 2621, and 2625 shall recite a specific date and may include language the order applies to future hearing dates.

For trials in civil cases, the California Supreme Court held in Payne v. Superior Court, in certain circumstances an incarcerated person may be removed from prison to attend trials.

Facility Administrator Authorization to Attend Civil Matters pursuant to PCPenal Code section 2690:

• Facility administrators are authorized to grant temporary community releases to appropriate incarcerated persons to appear in civil matters when the following conditions are met:

  • The incarcerated person must be eligible for an escorted release to the community.

  • The incarcerated person must be willing to accept such release.

  • The incarcerated person must return within 72 hours of release.

For situations not meeting (h) above, a court order is necessary under subsection (k) or (l) below.

The order must be in substantially the following form:
* County of _______________. The people the State California to the Warden of ______________ and to the Sheriff of _________________ County. An order having been made this day by me that ________________ be produced in court as a party in the case of _______________, the Warden is commanded deliver into the custody of the Sheriff of _______________ County, and the Sheriff is commanded to deliver that person to the court for the purpose of ____________ (recite_purposes) _______ , and to return that person upon the conclusion of the court proceedings. Dated this ____________ day of _______________, 20, ______________ .
* The Correctional Case Records Manager (CCRMCorrectional Case Records Manager) shall consult with the Classification and Parole Representative (C&PRClassification & Parole Representative), or designee, to determine if there are any safety, security or other concerns regarding the removal or transport of the incarcerated person. If concerns exist, the removal order shall be forwarded to OLAOffice of Legal Affairs via Case Records Services. If no concerns exist, the institution shall follow the order for the appearance.
* If the removal order requires CDCRCalifornia Department of Corrections and Rehabilitation to do the transport, it shall be forwarded to OLAOffice of Legal Affairs via Case Records Services.

PCPenal Code section 2690.5 permits a court to issue an order for an incarcerated person to be removed from an institution for a legitimate law enforcement purpose. These orders are often “filed under seal” and have strict redaction requirements and requirements for inclusion into the Central File (C-File). Contact the CCRMCorrectional Case Records Manager for these requirements.

State Supreme Court or Court of Appeal orders must bear the seal of the court and certification by the clerk of said court.

A court order for a two-way electronic audio-video hearing must be obtained from the court, in substantially the following form:  
Good cause appearing, it is hereby ordered the California Department of Corrections and Rehabilitation (CDCRCalifornia Department of Corrections and Rehabilitation) and the Warden of (enter prison name here), shall arrange for (enter incarcerated person’s name and CDCRCalifornia Department of Corrections and Rehabilitation # here) to appear via video conference on (enter date and time here), (enter department and superior court here), as a (enter here)      Defendant (Penal Code section 977.2) (enter here)    Witness (Penal Code section 2624)    (enter here)  Parental/Marital (Penal Code section 2625). In the case of People v.  (enter here), Case No.    (enter here).

A minute order is acceptable if signed by a judge and bears the seal of the court or is certified by the court clerk.

If the court will not issue an order meeting these requirements, the CCRMCorrectional Case Records Manager should contact Case Records Services.

When an incarcerated person is charged with a misdemeanor or felony, CDCRCalifornia Department of Corrections and Rehabilitation may arrange for all court appearances in superior court, except for the preliminary hearing and trial, to be conducted by two-way electronic audio-video communication between the incarcerated person and the courtroom as an alternative to the physical presence of the incarcerated person in the courtroom. The preliminary hearing and trial may be held by two-way electronic audio-video communication if the incarcerated person waives their right to be physically or remotely present, with leave of court and with approval by defendant’s counsel. The court can issue an order requiring the incarcerated person to be physically present in the courtroom.  

In the event of an audio-video appearance, the department shall: 

• Arrange for two-way electronic audio-video communication between the court and state prison for all appearances conducted by two-way electronic audio-video communication.

• Provide properly maintained equipment; a Video Conferencing Scheduler with a back-up assigned to schedule court hearings; staff to facilitate the court hearings; custody staff to monitor the incarcerated persons; and appropriate training for court staff to ensure consistent effective two-way electronic audio-video communication is provided between the prison and the courtroom for all appearances conducted by two-way electronic audio-video communication.

The Video Conferencing Scheduler is responsible for scheduling the following audio-video appointment types:

• Video Court Hearings-criminal, civil, witness, parental, and marital

• Risk Assessment Interviews

• Attorney-Client Interviews

• Office of Internal Affairs Interviews

• Office of the Attorney General Interviews

• Hearings and Consultations by the Board of Parole Hearings

• Board of Parole Hearing Attorney-Client Interviews

• All other appointments requiring the use of video conferencing equipment

Counsel for the incarcerated person shall not be required to be physically present at the institution during any court appearance conducted via two-way electronic audio-video communication. This section shall not be construed to prohibit defense counsel’s physical presence at the institution. If defense counsel physically appears in court, the court and the department shall establish a confidential telephone line to allow for confidential communication between defense counsel and the incarcerated person.

Any referrals that may require advice, review, or representation by the AGAttorney General shall be forwarded to OLAOffice of Legal Affairs via Case Records Services.

In all cases where a sentence of death has been imposed (capital cases), an appeal to the Supreme Court or to the Court of Appeal from a judgment of conviction automatically stays the execution of the judgment under PCPenal Code section 1243. In these cases, if the person is already in CDCRCalifornia Department of Corrections and Rehabilitation custody, the incarcerated person stays in CDCRCalifornia Department of Corrections and Rehabilitation custody during the appeal, pursuant to PCPenal Code section 1217.

In non-capital cases, an appeal to the Supreme Court or the Court of Appeal only stays execution of the judgment if the court orders a stay of execution of the judgment. In these cases, the court clerk must issue a certificate under PCPenal Code section 1245 stating that the court has issued an order staying execution of the judgment. When the sheriff’s office serves CDCRCalifornia Department of Corrections and Rehabilitation with a copy of this certificate, CDCRCalifornia Department of Corrections and Rehabilitation must release the incarcerated person to the sheriff, pursuant to PCPenal Code section 1245. In these non-capital cases, CDCRCalifornia Department of Corrections and Rehabilitation shall discharge the incarcerated person from departmental records upon presentation of the certificate.

The Supreme Court or Court of Appeal may instead issue a Writ of Supersedeas. The Writ should be forwarded to Case Records Services for consultation with OLAOffice of Legal Affairs.

All court orders for the release of an incarcerated person on bail received from an individual other than a deputy sheriff, and bail bond orders received by mail, shall be confirmed before the incarcerated person is released by contacting the clerk of the issuing court.

Court orders releasing an incarcerated person on bail pending appeal serve as a suspension of judgment. The release shall not be recorded as a discharge on departmental records.

When an incarcerated person is released on bail pending appeal, the CCRMCorrectional Case Records Manager shall contact the superior court of the committing county on a semiannual basis to determine the status of the case.

If a copy of a Court of Appeal or Supreme Court opinion is received, which specifies the judgment is reversed and is final, the CCRMCorrectional Case Records Manager shall discharge the case. Utilizing a departmentally approved method, the decision and discharge shall be recorded in the C-File as: “subject discharged by Court of Appeal (or Supreme Court) decision reversing judgment while free on bail.”

If an incarcerated person is returned to departmental custody after posting bail pending appeal, the period of time the incarcerated person was released on bail shall be dead time on departmental records.

A court may issue a Writ of Habeas Corpus directing that an incarcerated person be removed from a facility for a hearing on a Petition for a Writ of Habeas Corpus. These hearings may be before a judge or before a referee who has been appointed by the judge.

An order granting relief on a Petition for Writ of Habeas Corpus and ordering discharge from custody serves to release an incarcerated person from custody.

The AGAttorney General has 60 days to file an appeal in a non-capital case; if OLAOffice of Legal Affairs confirms that the AGAttorney General will not appeal, the incarcerated person may be released at once and discharged.

When a release order is received, the CCRMCorrectional Case Records Manager shall contact the Case Records Services. Case Records Services shall contact OLAOffice of Legal Affairs to consult with the AGAttorney General’s Office to determine if an appeal is to be filed. If so, OLAOffice of Legal Affairs shall ask the AGAttorney General to immediately file a request with the court to stay the release order.

Any order for the return of an incarcerated person to the county of commitment resulting in the discharge of the incarcerated person must be executed by the sheriff. Departmental case records shall reflect a “discharge” on the commitment effective the date the sheriff assumed custody.

When an action is pending in a superior court in which an incarcerated person’s parental or marital rights are subject to adjudication, the superior court may issue an order for the production of the incarcerated person as specified in PCPenal Code section 2625.

For cases in which the court is considering terminating the parental rights of the incarcerated person or the court is considering declaring the child a dependent child of the court, there will be two Judicial Council forms issued by the court – Form JV-450 (Order for Prisoner’s Appearance at Hearing Affecting Parental Rights) and Form JV-451 (Prisoner’s Statement regarding Appearance at Hearing Affecting Parental Rights).

For all other cases regarding parental rights or marital rights, the court will issue an order for removal and not include the Judicial Council forms.

A copy of the order for removal (either a regular order for removal or the Judicial Council forms) shall be transmitted to the Warden of the facility where the incarcerated person is confined not less than 15 days before the date of the hearing. The order shall be executed by the sheriff of the county in which the order was issued (sheriff provides transportation).

Any removal order must be signed by a superior court judge.

When Form JV-450 and Form JV-451 are received, appropriate facility personnel must present them to the incarcerated person. The incarcerated person must sign the Form JV-451 and check boxes regarding their right to be represented, their right to be present at the hearing, and whether they want to be present. When an incarcerated person refuses to sign the Form JV-451 but clearly indicates they are waiving their appearance, facility personnel shall fill out the part of the “Declaration of Official” section of the Form JV-451 regarding the incarcerated person’s statement or conduct showing they are waiving or are not waiving their appearance.

When Form JV-450 and Form JV-451 are received, appropriate facility personnel shall fill out the part of the “Declaration of Official” regarding videoconferencing and telephonic technology.

Two copies of the Form JV-450 and Form JV-451 are made; one for retention in the incarcerated person’s C-File and one for the incarcerated person. The original order shall be returned by mail or to the court via a departmentally approved method.

If the court order does not include the Form JV-451 or if a notice of proceedings and request for removal for out-to-court are made by telephone and the incarcerated person refuses to appear, a CDC Form 1750, Waiver of Court Appearance Form, shall be completed. Case Records staff shall utilize a departmentally approved method to include, mailing the top copy of the completed CDC Form 1750 and court order, if provided, to the court. The second copy shall be filed in the incarcerated person’s C-File and the third copy forwarded to the incarcerated person.

In cases with close pick-up dates, Case Records staff shall telephone the sheriff to advise the incarcerated person has waived their appearance.

Incarcerated person may be removed by the order of a justice court to appear as a witness in a case that involves an offense which is triable only in a justice court.

An incarcerated person may also properly be removed under PCPenal Code section 1567 with a proper order from a justice court for further court action if they were previously tried for a misdemeanor but failed to appear for their probation/sentencing hearing.

Federal Writ of Habeas Corpus Ad Prosequendum orders are issued for the incarcerated person to appear as a defendant and may recite a specific date plus “at such other times as may be ordered by the said court”; and such incarcerated persons may properly be released for court more than once on the same court order.

A federal court has the legal authority to issue a Writ of Habeas Corpus Ad Prosequendum 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.

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.

If a federal Writ of Habeas Corpus Ad Testificandum orders an incarcerated person into court in a civil case, and either the incarcerated person is the plaintiff in the case or the incarcerated person is a witness, the CCRMCorrectional Case Records Manager shall refer the matter to Case Records Services which will consult with OLAOffice of Legal Affairs. When the writ is for a case out-of-state, OLAOffice of Legal Affairs will confer with the Attorney General’s (AGAttorney General) Office.

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.

Incarcerated persons picked up by the U.S.United States Marshal or a Deputy Marshal are transported by the U.S.United States Marshal at no expense to the State.

The department shall transport incarcerated persons in all federal civil rights cases.

Periodically the U.S.United States Marshal’s office or a sheriff’s office may request that an incarcerated person be released to the U.S.United States Marshal or sheriff’s office without service of the court order to the releasing facility.

• These are normally in instances when a transporting agent is in the area of a facility, but the court order is in the marshal’s or sheriff’s office some distance away.

Such releases are to be authorized by the Chief, Case Records Services. Telephone approval may be given after it has been ascertained that a valid court order does exist and shall be confirmed utilizing a departmentally approved method.

The U.S.United States Marshal shall be responsible for the incarcerated person while they are in the federal courthouse or local jail.

Out-of-state removal of an incarcerated person as a witness in a criminal case is authorized per PCPenal Code sections 1334 through 1334.6, the Uniform Act to Secure the Attendance of Witnesses from Without the State in Criminal Cases.

The other state delivers a certificate to the superior court in the county in which the incarcerated person’s facility is located.

The superior court may issue a removal order per PCPenal Code section 2621 authorizing the incarcerated person’s release to the local sheriff for a hearing in the superior court.

At the hearing, the superior court makes findings and if it decides that the incarcerated person must go testify out-of-state, issues either a court order or a subpoena for the incarcerated person to testify out-of-state.

The other state arranges transportation. The incarcerated person shall be returned to the facility with no expense to the State of California.

A federal Writ of Habeas Corpus Ad Testificandum directs the release of an inmate to the temporary custody of the U.S.United States Marshal to testify as a witness in a criminal matter, at a civil court proceeding, or non-judicial matter such as a legislative committee hearing.

• When a federal Writ of Habeas Corpus is received, the Writ shall be reviewed carefully, as it is at the discretion of the federal judge as to whether the U.S.United States Marshal shall provide any of the transportation. In some orders, the responsibility of the Department to transport may be only to jail, in others, it may be to the courthouse. The U.S.United States Marshal shall be responsible for the inmate while they are in the federal courthouse or local jail. If the judge does not exercise their discretion to order the transportation and costs shared, then the Department shall incur the total costs and responsibility of transporting.

If a federal Writ of Habeas Corpus orders an inmate into court in a civil case, the Department shall transport the inmate to court, keeping a record of all costs incurred. The facility’s business manager shall send a bill to the person who requested the inmate’s appearance.

The writ may be honored only when served on a facility within the issuing court’s territorial jurisdiction directing the production of the inmate within that territorial jurisdiction.

When an order that extends outside the territorial jurisdiction of the issuing court is served, the matter shall be referred to the LADLegal Affairs Division (see OLA) for consultation with the Attorney General’s staff prior to honoring the writ.

Federal court orders shall bear the seal of the court and certification by the clerk of the court.

Inmates released to the custody of the U.S.United States Marshal or a Deputy Marshal are transported by the U.S.United States Marshal at no expense to the State.

The Department shall transport inmates in all federal civil rights cases.

Periodically the U.S.United States Marshal’s office or a sheriff’s office may request that an inmate be released without service of the court order to the releasing facility.

• These are normally in instances when a transporting agent is in the area of a facility but the court order is in the marshal’s or sheriff’s office some distance away.

Such releases are to be authorized by the Chief, Correctional Case Records Services. Telephone approval may be given after it has been ascertained that a valid court order does exist and shall be confirmed by FAX.

The removal of an incarcerated person to an agent of another state for trial on pending criminal charges is authorized under the Interstate Agreement on Detainers, PCPenal Code sections 1389 through 1389.8.

The process sometimes starts with a California superior court issuing a removal order for the incarcerated person to be brought to court for a hearing.

Removal of an incarcerated person by an agent of another state for trial on pending criminal charges is authorized upon receipt of an executive agreement between the Governor of California and the Governor of the other state pursuant to PCPenal Code section 1549.

A departmentally approved method to record follow-up for out-to-court incarcerated persons established by the Chief, Case Records Services, shall be utilized and maintained for each incarcerated person on OTCOut To Court status.

Case Records staff shall contact the court the day after the scheduled court hearing to ascertain the incarcerated person’s status. If the court order does not list the scheduled court hearing date, the initial follow-up contact shall be completed one week after the date of release to the Sheriff’s Office. The information developed by the contact shall be recorded utilizing the departmentally approved method and procedure established by the Chief, Case Records Services.

If the court orders the incarcerated person released from custody while OTCOut To Court, Case Records staff shall immediately obtain the necessary certified court documents.

Upon receipt of these documents, appropriate entries shall be made in the C-File.

If an incarcerated person is returned from OTCOut To Court, Case Records staff shall contact the court as necessary, ascertain case disposition, and obtain required certified documents.

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