Chapter 7 – Adult Case Records Information

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.