Chapter 7 – Adult Case Records Information

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.