Chapter 7 – Adult Case Records Information

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.