Central and Medical Files: Control, Maintenance, and Disposition of

Idaho
Department of
Correction

Standard
Operating
Procedure

Division of
Management
Services

General
Administration
Control Number:
120.03.05.002
Version:
2.1
Page Number:
1 of 12
Adopted:
6-11-2008
Reviewed:
3-24-2010

Title:
Central and Medical Files: Control,
Maintenance and Disposition of

This document was approved by Tony Meatte, chief of the Division of Management
Services, on 3/24/10(signature on file).
BOARD OF CORRECTION IDAPA RULE NUMBER
None
POLICY STATEMENT NUMBER 120
Control, Maintenance, and Disposition of Case Management and Medical Files
POLICY DOCUMENT NUMBER 120
Control, Maintenance, and Disposition of Case Management and Medical Files
DEFINITIONS
Standardized Definitions List
Case Management File: An approved collection of legal documents, reports, submissions,
statements, and support materials used in making decisions about an inmate (inmate),
parolee, or probationer regarding classification, treatment, programming, management, and
parole or clemency.
Custodian of Records: The IDOC employee responsible for the custody of, control of, or
authorized access to an IDOC record(s).
Facility: A building or residence--including the property and land where the building or
residence is located--owned, leased, operated, or managed by the Board or Department.
Facility Head: The person primarily responsible for overseeing, managing, or operating a
Department facility.
History Files: Files that have been retired due to the inmate completing his sentence.
Inmate: A person under the legal care, custody, supervision, or authority of the Board--
including a person within or without the State of Idaho pursuant to agreement with another
state or contractor.
Inmate Information Management Oversight Committee: A committee chaired by the
manager of the IDOC Central Records Unit and composed of a representative from each
IDOC division, the Commission of Pardons and Parole, and a Deputy Attorney General for
the purpose of overseeing the management of IDOC inmate records.
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Inmate System: A common term used for the Department’s Corrections Integrated System
(CIS) and Reflections, which are computer databases used for the tracking of inmates.
Parolee: An inmate who (1) is released from a facility by the paroling authority prior to the
completion of his sentence, (2) agrees to comply with certain conditions established by the
paroling authority, and (3) remains under the control of a probation and parole officer (PPO)
for the established period of supervision.
Probationer: An inmate who the courts allow to continue to live and work in the community-
-instead of being sent to prison--while being supervised by a probation and parole officer
(PPO) for an established period of time.
PRTTRANS Form: A one (1) page report, generated by the Inmate System, that is part of
the IDOC Prisoner in Transit Packet.
State Record Center: A unit within the Idaho Department of Administration that provides
records management services to state agencies to include records management
consultation, storage and rotation records, and the output of records to microfilm.
Supervising District: The Division of Community Corrections district responsible for
supervising the probationer or parolee.
PURPOSE
The purpose of this standard operating procedure (SOP) is to develop procedures to ensure
that inmates’ central and medical files are consistently maintained. These procedures will
ensure:
• Confidentiality,
• The availability of files for individual case analysis,
• Protection against unauthorized access and/or removal of files, and
• The proper maintenance and retirement of files.
SCOPE
This SOP applies to any Idaho Department of Correction (IDOC) employee who is
authorized to have access to the types of central and medical files described herein.
RESPONSIBILITY
Director of IDOC and Division Chiefs
The director of IDOC and chiefs of the Divisions of Prisons, Community Corrections,
Education and Treatment, and Management Services are responsible for overseeing
and monitoring the provisions provided herein.
Custodians of Records
Custodians of records shall be responsible for implementing and following the
procedures provided herein.
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Table of Contents
General Requirements ......................................................................................................... 4
1. Confidentiality of Central Files ........................................................................................ 4
2. Security of Central Files ................................................................................................. 4
Lost File Process Steps ............................................................................................ 5
3. Creation of the Central File ............................................................................................. 6
Process Steps .......................................................................................................... 6
4. Contents of the Central File ............................................................................................ 7
Medical Problem List ................................................................................................ 7
Psychological Reports .............................................................................................. 7
Case Notes ............................................................................................................... 8
For Civil Commitments ............................................................................................. 8
Expanding Approved Contents for the Central File ................................................... 8
5. Exceeding Physical Limits of the Central File ................................................................. 8
6. Expunging, Sealing, or Removing a Document from the Central File .............................. 9
7. Movement of the Central and Medical Files .................................................................... 9
Medical Files ............................................................................................................. 9
Transferring Files ...................................................................................................... 9
Retiring and Maintaining Files ................................................................................. 10
Requesting History Files ......................................................................................... 10
Process Steps: Transferring or Retiring Files .......................................................... 10
8. Monitoring .................................................................................................................... 11
9. Clarification .................................................................................................................. 12
References ......................................................................................................................... 12
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GENERAL REQUIREMENTS
Note: For the purpose of this SOP only, the “case management file” shall also be known as
the “central file.”
1. Confidentiality of Central Files
In accordance with the Health Insurance Portability & Accountability Act (HIPAA) of 1996
(Public Law 104-191), an IDOC inmate has a right to understand and control how his health
information is used. Therefore, the IDOC considers an inmate’s central file to be
confidential. However, the IDOC also has a requirement to fill requests for the central file or
any portion of the file pursuant to the Idaho Public Records Law (Idaho Codes 74-101 thru
74-126). As a result, staff shall follow the following guidance to determine which records
may be disclosed:
• Department Manual, Public Records Manual
• Department Policy 108, Public Access to Records;
• IDAPA 06.01.01, Rules of the Board of Correction, Section 108, Idaho Public
Records Act; and
• Idaho Criminal Rule (I.C.R) 32, Standards and Procedures Governing Presentence
Investigations and Reports.
Information contained in central files shall not become the topic of conversation other than
for professional purposes among staff. Under no circumstances shall the contents of an
inmate’s file be discussed with or disclosed to any other inmate.
2. Security of Central Files
• Wardens, administrators, and district managers shall designate a custodian of record
(i.e., records custodian) to be responsible for the maintenance and accountability of
central files. (Note: For official records custodians, see IDAPA 06.01.01, Rules of the
Board of Correction, Section 108, Idaho Public Records Act.)
• Central files shall be (a) accessible only to approved staff, (b) locked in filing cabinets
or in a locked room, and (c) maintained in numerical order in all facilities. (Note:
Central files maintained at NICI, the CWCs, and district office may be maintained
alphabetically or numerically.)
• Central files shall not be taken out of a facility, office, or unit without the approval of
the custodian of record (or designee).
• The staff member who checks out the file(s) from the filing cabinet(s) or locked room
shall be responsible for the security and return of the file(s). (Note: Central files shall
not be maintained in inappropriate places where physical damage is likely to occur.)
• Central files shall not be checked out by one (1) individual and then given to another.
• The individual who checks out the central file(s), or users of the file(s), shall not
handle the file(s) carelessly and shall not leave the file(s) in open view.
• Each facility or district office shall use the inmate file location link in the
Corrections Integrated System (CIS) to record the movement of an inmate’s file
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when moving from an IDOC facility or district office to an IDOC facility or
district office. For further assistance with CIS, see your designated super user.
• Central files must be checked in and returned to the locked filing cabinet or locked
room every day. If it becomes necessary to keep files overnight, permission must be
obtained from the records custodian. (Note: Permission may be granted only if the
security of the files can be assured.)
Central files shall be made available to IDOC and the Commission of Pardons and Parole staff
members who require the files for purposes within the scope of their duties and responsibilities.
(Note: Anyone who requests copies of a central file or record for personal reasons must submit
a public records request to the records custodian in accordance with Department manual, Public
Records Manual.
• The manager of the Central Records Unit (located at Central Office) must approve
access to a central file being requested by a non-IDOC facility employee (e.g., a
contract drug and alcohol treatment provider). (See appendix A, Memorandum of
Understanding Regarding Pre-sentence Investigation Reports.)
• Lost central files or any problems arising out of this SOP shall be reported
immediately to the manager of the Central Records Unit after the following steps
have been taken.
Lost File Process Steps
Functional Roles and
Responsibilities Step
Tasks
CIS steps are in bold
Custodian of Records 1
Query the Corrections Integrated System (CIS) to see
where the file was logged last.
Custodian of Records 2
• If the file was last logged at your facility, office, or
unit, send an email to only those staff members
working in your facility, office, or unit, asking if they
have the file.
• If the file was last logged at another facility, office, or
unit, send an email to only those staff members
working in both your facility, office, or unit and the
other facility, office or unit, asking if they have the
file.
Custodian of Record 3
After the appropriate facilities, offices, or units have been
contacted and the file still cannot be located, contact the
Central Records Unit to see if they have the file.
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Functional Roles and
Responsibilities Step
Tasks
CIS steps are in bold
Central Records Unit
Manager (or designee) 4
If the file is not in your unit, the next course of action is at
your discretion (e.g. to send additional emails throughout
the Department.).
For further assistance with CIS, see your designated CIS super user.
3. Creation of the Central File
A central file is created when a certified court order is received that grants the IDOC
custody, supervision, and/or jurisdiction of the inmate.
• Reception/Diagnostic Unit (RDU) facilities will create the central file for inmates
sentenced to incarceration.
• The supervising district will create the central file for inmates sentenced to probation
supervision.
• The Central Records Unit will create the central file when an inmate, who is under
the jurisdiction of another state, is brought to Idaho and charged for a crime
committed in Idaho, and returned to the state that holds jurisdiction.
• An IDOC number shall be assigned to any inmate that does not have a previously
assigned IDOC number. (Note: The IDOC number shall follow the inmate throughout
any period of custody/supervision. If it is discovered that an inmate has more than
one [1] active IDOC number, notify the Central Records Unit.)
• To ensure the same information is shared within different divisions of the IDOC and
the Commission of Pardons and Parole, there shall be only one (1) active central file
for each inmate, parolee, or probationer.
• The central file shall be created using a legal-size, compartmentalized file folder
containing six (6) sections. (See appendix B, Central File Contents.)
• The last name (typed or printed in uppercase letters), first name (typed or printed in
upper and lowercase letters), middle name or middle initial (if known), and IDOC
number shall be placed on the tab of the central file. (Note: All information will need
to be on one [1] line. Do not place decimals in the inmate number.)
• The records described in appendix B shall be placed in the central file.
Process Steps
Functional Roles and
Responsibilities Step
Tasks
CIS steps are in bold
RDU Staff Member
or
Supervising District
Staff Member
or
Central Record Unit
Staff Member
1
Create the central file for all inmates as identified in section
3 of this standard operating procedure (SOP).
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Functional Roles and
Responsibilities Step
Tasks
CIS steps are in bold
RDU Staff Member
or
Supervising District
Staff Member
or
Central Records Unit
Staff Member
2
Create a central file record in the Corrections Integration
System (CIS). (Note: RDU and supervising district staff
members create only the central file record. The medical
file record will be created by the medical staff.)
• Under the file location link, log the creation of the
central file record by entering the received by,
received date, file location (e.g., where the file is
being received), and the reason.
For further assistance with CIS, see your designated CIS super user.
4. Contents of the Central File
Note: To ensure confidentiality, also see section 1 of this SOP.
The contents of the central file include legal documents, reports, submissions, statements,
and support documents used in making decisions about the following:
• An inmate, pre-parolee, parolee, or probationer regarding classification, treatment,
programming, management; and
• Parole or clemency.
Note: Any pictures or depictions of child pornography that are included as
attachments to the Pre-sentence Investigation Report shall not be included in the
central file.
The contents of the central file, the order of placement, and the assigned file sections can
be found in appendix B, Central File Contents. (Note: Only the primary documents have
been listed. For documents that have not been listed, please contact the Central Records
Unit for the placement instruction.)
Medical Problem List
• The records custodian shall coordinate receipt of the medical problem list.
• The list will be placed in every central file leaving an institution or CWC going to a
district office.
• The list may be required for request for information (RFI) packets, temporary
files, transfer files, etc.
• The list shall be dated.
Psychological Reports
A copy of each psychological report completed while an inmate is incarcerated will be
placed in the medical file.
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Maintenance, and Disposition
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Case Notes
With the exception of in-state IDOC-contracted correctional facilities (such as the Idaho
Correctional Center [ICC]), IDOC facilities no longer creates team case management
(TCM) files but some are still in circulation.
When a TCM file is still in circulation, staff may transfer the case notes from the TCM file
to the central file (does not apply to in-state IDOC-contracted correctional facilities).
However, before transferring any case notes from the TCM file to the central file, staff
will obtain supervisor approval. If approval is given to transfer the case notes to the
central file, supervisors must also verify that the TCM file is completely free of case
notes and all were transferred to the central file. Once the TCM file is verified to be free
of case notes, the TCM file can be destroyed (does not apply to in-state IDOC-
contracted correctional facilities).
Note: In any event, staff shall never destroy case notes or TCM files that contain
case notes.
For Civil Commitments
Central files for civilly committed individuals shall contain:
• A written order or agreement to house the civil commitment;
• A narrative of the designated examiner’s interview; and
• A copy of the discharge document
At discharge or release of the civil commitment, only demographic information and the
written order to commit and discharge shall be maintained in the file. Place all remaining
documents into the civil medical file.
Expanding Approved Contents for the Central File
Documents new to the central file (e.g., a new form) must be approved. The approval
process includes the following:
• A written request approved by the facility head or district manager,
• Submission to the manager of the Central Records Unit, and
• The approval of the Inmate Information Management Oversight Committee.
5. Exceeding Physical Limits of the Central File
There are two (2) primary causes for the central file to exceed the physical limits of the file
folder:
• Voluminous presentence investigations with attachments, and/or
• Long-term inmates.
To avoid the potential loss of documents, an additional file(s) may be created. The additional
file(s) shall be identified, for example, as part 1 of 2 and part 2 of 2 or part 1 of 3, part 2 of 3,
and part 3 of 3 (so forth and so on). Advice regarding file division may be obtained from the
manager of the Central Records Unit.
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6. Expunging, Sealing, or Removing a Document from the Central File
Permanent removal of a document from a central file must be
• Authorized by the manager of the Central Records Unit, or
• Removed according to an established retention schedule.
An order to expunge or seal a record received from a court or other constituted authority is
to be given to the manager of the Central Records Unit for action.
7. Movement of the Central and Medical Files
In principle, the central file moves simultaneously with the inmate when the inmate makes a
permanent move from an IDOC facility or district office to an IDOC facility or district office.
• Files shall move as outlined in appendix C, File Movement Matrix.
• Files of inmates placed in contract bed facilities shall be forwarded to Central
Records Unit unless otherwise specified.
• A File Transfer Sheet (appendix D) shall be placed on top of each file moving from
one (1) location to another.
• Files shall be logged into CIS, under the inmate file location link, by the
records custodian to record the movement of all central files leaving or
entering a facility or district office. For further assistance with CIS, see your
designated super user.
• Hand-written logs shall be stored for a three (3) year period. (Note: Further
maintenance and storage of the logs shall be at the discretion of the records
custodian.)
Medical Files
• The medical file shall remain at the IDOC facility housing the inmate.
• When the inmate goes on probation or parole, the medical file shall not be sent to a
district office. (Note: Medical file movement is outlined in appendix C, File Movement
Matrix.
• When the inmate is placed in a contract bed facility, the medical files shall be
forwarded to the Central Records Unit unless otherwise specified. (See appendix C.)
Transferring Files
Temporary Transfers Requiring an Overnight Stay
If an inmate is moved temporarily to an IDOC facility or to a non-IDOC facility and the
movement requires an overnight stay, an IDOC Prisoner in Transit Packet (See
appendix C, File Movement Matrix, paragraph 3) must be prepared and sent to the
temporary location.
Out-of-State Transfers
If an inmate is transferred to an out-of-state contract bed facility, an Out-of-State
Transfer File (See appendix E, Transfer Files for Out-of-State Transfers) must be
prepared and sent to the housing facility.
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Retiring and Maintaining Files
The Central Records Unit is responsible for the retirement and maintenance of the
central, medical, and TCM files (if available) for inmates incarcerated in IDOC facilities.
• Until the IDOC develops a maintenance and retention guide that is specific to IDOC
records and files, the Central Records Unit shall use the State of Idaho’s Records
Management Guide as a procedural model. Therefore, the Central Records Unit will
send all inactive files (i.e., files of inmates who have been released from IDOC
custody or supervision) to the State Record Center to be stored for a period of 15
years. After the 15 year period, the inactive files will be sent to State Archives for
permanent retention.
• With the exception of the files of sex inmates who are required to register, the central
files of inmates who have not served facility time shall be placed in the inactive
(dead) files of the sentencing district. (Note: The files shall be maintained for two [2]
years. If the probationer returns to IDOC custody within those two [2] years, the file
shall be reactivated. If the probationer does not return to IDOC custody within those
two [2] years, the files shall be destroyed.)
• The probation file of sex inmates requiring registration will be sent to the Central
Records Unit to retire to the State Record Center. (Appendix D, File Transfer Sheet,
shall be used for these files.)
Note: When retiring TCM files, also see section 4, subsection titled ‘case notes’.
Requesting History Files
• History files may be requested by contacting the Central Records Unit.
• The “history” central file serves as a resource and shall not be incorporated into
another existing file.
• The history medical file may be merged with the current medical file.
Process Steps: Transferring or Retiring Files
Functional Roles and
Responsibilities Step
Tasks
CIS steps are in bold
Transferring Staff
Member 1
If a file transfer is required due to the inmate’s release or
transfer to a facility or district, locate the central file. (Note:
Medical files are transferred by authorized medical staff
and are not sent to district offices. See appendix C, File
Movement Matrix.)
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Functional Roles and
Responsibilities Step
Tasks
CIS steps are in bold
Transferring Staff
Member 2
Process the file transfer in the Corrections Integration
System (CIS) by doing the following:
• Under the file location link, log the movement of the
file by entering the sent by, sent date, file location
(e.g., the facility or district office transferring the file),
and the reason.
Transferring Staff
Member 3
Place a File Transfer Sheet (appendix D) on top of the file,
and package the file for transport to the new facility, district
office, or Central Records Unit.
Transferring Staff
Member 4
Send the file with the “appropriate” transport source (e.g., if
appropriate, send the file with the inmate on the transport
bus).
Receiving Staff Member 5
When the file arrives from the sending facility, district office,
or Central Records Unit, process receipt of the file.
• Under the file location link, log the movement of the
file by entering the received by, received date, file
location (e.g., the facility, district office, or Central
Records Unit receiving the file), and the reason.
Receiving Staff Member 6
Store the file in a secure location within facility, district
office, or Central Records Unit.
For further assistance with CIS, see your designated CIS super user.
8. Monitoring
• The records custodian at the facility or district office shall maintain and move central
and medical files as outlined in this SOP.
• Documents, reports, submissions, etc. for the central and/or medical file shall be
placed into the file prior to transferring or moving the file. (Note: Documents, reports,
submissions, etc. for the central file shall be placed on the prongs in the appropriate
section of the file [see appendix B, Central File Contents]).
• Each IDOC work unit maintaining inmate files shall conduct an annual inventory of
active files against an Inmate System-generated roster of inmates assigned to that
work unit. (Note: Monthly inventories are suggested. Discrepancies shall be
investigated and reconciled.)
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• The manager of the Central Records Unit shall audit compliance with this SOP in
accordance with appendix F, Audit of the Central File.
9. Clarification
For clarification of central file issues not covered in this SOP contact the manager of the
Central Records Unit located at Central Office.
REFERENCES
Appendix A, Memorandum of Understanding Regarding Pre-Sentence Investigation Reports
(Aka Rule 32 Letter)
Appendix B, Central File Contents
• Appendix B (Labels)
Appendix C, File Movement Matrix
Appendix D, File Transfer Sheet
Appendix E, Transfer Files for Out-of-State Transfers
Appendix F, Audit of the Central File
Department Manual, Public Records Manual
Department Policy 108, Public Access to Records
Idaho Code, Section 20-224, Information Regarding Prisoners to be Secured
Idaho Code, Section 20-226, Records of Prisoners
Idaho Code, Section 20-243, Delivery of Convicted Persons to Penitentiary or Board—Copy
of CommitmentReceipt for Delivery of Prisoner
Idaho Codes, Sections 74-101 thru 74-126 (Idaho Public Records Law)
Idaho Criminal Rule (I.C.R) 32, Standards and Procedures Governing Presentence
Investigations and Reports
IDAPA 06.01.01, Rules of the Board of Correction, Section 108, Idaho Public Records Act.
Public Law 104-191, Health Insurance Portability & Accountability Act (HIPAA) of 1996
State of Idaho, Department of Administration, Records Management Manual
– End of Document –
IDAHO DEPARTMENT OF CORRECTION
Memorandum of Understanding Concerning Pre-sentence Investigation Reports
(Aka Rule 32 Letter)
Appendix A
120.03.05.002
(Appendix last updated 6/11/08)

The Idaho Department of Correction (IDOC) has access to pre-sentence investigation reports
(hereinafter PSI) for each inmate committed to the custody of the Board of Correction by an
Idaho court pursuant to Idaho Criminal Rule 32. Rule 32 also provides for strict confidentiality of
the PSI and the information contained therein. Violation of Rule 32 may subject the violator and
the IDOC to sanctions for contempt of court.

As a provider of services to the IDOC, you may have access to an inmate's PSI and the
information contained in it. This Memorandum of Understanding governs such access.

1. Access to the PSI and the information therein is only allowed as needed to fulfill the duties
and responsibilities under your contract or agreement with the IDOC. If there is no legitimate
penological need for the information in the PSI, do not read it or request to read it. This principle
applies equally to IDOC employees, so do not assume that an IDOC employee is always
utilizing the information from a PSI in an authorized manner.

2. If you have obtained information contained in a PSI, you may not share that information with
or disclose it to anyone outside of the IDOC. You may disclose the information from the PSI to
employees of the IDOC only as necessary to fulfill the duties and responsibilities under your
contract or agreement with the IDOC. Information from the PSI should rarely, if ever, be given to
an inmate. An inmate must obtain a court order to review his or her own PSI.

3. If you prepare a report or other document that is based upon information obtained from the
PSI, you may not release that report or document to anyone outside of the IDOC until and
unless the information in your report that is obtained from the PSI is redacted. The report or
document may be released within the IDOC only to those persons who have a legitimate need
for the information obtained from the PSI and only to the extent necessary to fulfill the duties
and responsibilities under your contract or agreement with the IDOC.

4. If you retain employees or sub-contractors to fulfill the duties and responsibilities under your
contract or agreement with the IDOC, it is your responsibility to ensure that each of them has
read and understood this Memorandum.

5. You and each of your employees and sub-contractors are responsible to know, understand,
and follow the IDOC Rules, Policy, Procedure, and Division Directives governing access to
inmate information and records.

I HAVE READ AND FULLY UNDERSTAND THE FOREGOING MEMORANDUM AND AGREE
TO ABIDE BY ITS TERMS AND CONDITIONS.

Dated this day of , 20_____.

Signature of Contractor or Service Provider IDOC Contract Number

Print Name
IDAHO DEPARTMENT OF CORRECTION
File Movement Matrix
Appendix C
120.03.05.002 Page 1 of 3
(Appendix last updated 3/24/10)

1. All files (C-File, TCM File, and Medical File) will be in clearly labeled envelopes or boxes.
2. A file transfer sheet will be completed and taped to the outside front cover of the file (appendix D).
3. If an inmate is moved temporarily to an IDOC facility or county jail, an IDOC Prisoner in Transit Packet will be prepared and sent to the temporary location. The packet will
include:
A. Copy of the PRTTRANS form (listed in the movement menu of the Inmate System) including attachments listed on Prisoner in Transit form.
B. Any other document(s) that is pertinent to the safe overnight housing of the inmate. (Note: “Other documents” refer to the current Admission Summary,
Escape Flyer, Time Computation Report, Scar and Tattoo Sheet, and a photograph.)
4. If an IDOC inmate is transferred to an out-of-state facility, an out-of-state transfer file shall be created and sent with the inmate. (See appendix E for file contents and
instructions.)
Files Sent from a District (to include all filing) Files Move From Files Move To Special Conditions
Probation Violation Resulting in Incarceration
C-File
District Office Appropriate
RDU facility
Day of sentencing to incarceration, also upon request of RDU
facilities.
Parole Violators – Non Absconder
C-File
District Office Appropriate
RDU facility
Day end of on-site hearing or immediately if on-site hearing is
waived or if inmate is transported to an IDOC facility.
Parole Violators – Absconder
C-File
District Office Appropriate
RDU facility
Upon issue of Commission warrant. File is required for NCIC
entry.
Probationers Discharges/Death (Having time in an IDOC facility
or a sex offense requiring registration. Includes interstate
probation.)
C-File
District Office Central
Records Unit
Week of discharge. (In the event of a death, the PPO shall
include a death certificate or official documents pronouncing
death [e.g., a death notice, obituary, letter from the coroner,
or news article].)
Probationers Discharges/Death (No time in IDOC facility and no
sex offense requiring registration. Includes interstate probation.)
C-File
District Office Sentencing
district’s dead
files
Per CCD policy. (In the event of a death, the PPO shall
include a death certificate or official documents pronouncing
death [e.g., a death notice, obituary, letter from the coroner,
or news article].)
Parolee Discharge (Having time in an IDOC facility or a sex
offense requiring registration. Includes interstate parole.)
C-File
District Office Central
Records Unit
Upon placement of gold seal discharge in C-File.
Parolee Death
C-File
District Office Central
Records Unit
Within four (4) weeks following death, but only if the gold seal
has been placed into the file. (Also requires death certificate
or official documents pronouncing death [e.g., a death notice,
obituary, letter from the coroner, or news article].)
Deported Parolee
C-File
District Office District Office File remains active until the Commission for Pardons and
Parole issues a gold seal.
Interstate Parole (No time in IDOC facility and no sex offense
requiring registration.)
District Office District dead
files
Per CCD policy.
Court Probation
C-File
Supervising
District
Sentencing
District
Per CCD policy.
Probation Violator as an Intrastate Case District
supervising the
intrastate case
when the bench
warrant is
received
District where
the bench
warrant was
issued
Within one (1) week.

Appendix C
120.03.05.002
(Appendix last updated 3/24/10) Page 2 of 3

Files Sent from an Institution (to include all filing) Files Move From Files Move To Special Conditions
RIDER Ends with Probation Recommendation
C-File

IDOC Facility
Sentencing
District Day of move from facility.
Medical File IDOC Facility Central
Records Unit Within 60 days of move.
RIDER Ends with Retention Recommendation
C-File IDOC Facility Appropriate
RDU Facility Day of move from facility.
Medical File IDOC Facility Appropriate
RDU Facility Within 60 days of move.
TERMER TRANSFERRED TO OUT-OF-STATE CONTRACT BED
C-File IDOC Facility Central
Records Unit Day of move from facility.
Medical File IDOC Facility Out-of-State
Facility
Temporary inmate file (see appendix E) and medical file to be
transported with inmate.
TERMER PAROLES to CCD District
C-File IDOC Facility District Office Day of parole.
Medical File IDOC Facility Central
Records Unit Within 60 days of move.
TERMER PAROLES to other than CCD
C-File IDOC Facility Central
Records Unit Day of parole.
Medical File IDOC Facility Central
Records Unit Within 60 days of move.
TERMER TO PROBATION on all active cases
C-File IDOC Facility Sentencing
District Day of move from facility.
Medical File IDOC Facility Central
Records Unit Within 60 days of move.
INMATE TO COUNTY JAIL Security Hold or Court Ordered
Temp
All Files
Remain at the
facility as long as
security hold or
court temp
Remain at the
facility as long
as security
hold or court
temp
IDOC Prisoner in Transit Packet to Jail with transport. (Note:
See page one [1] of this appendix.)
INMATE TO SPECIAL HANDLING
All Files IDOC Facility Central
Records Unit Day of Transport.
INMATE TO COUNTY JAIL for Jail Housing
Male Inmate Files
All Files
IDOC Facility

Central
Records Unit
IDOC Prisoner in Transit Packet to Jail with transport. (Note:
See page one [1] of this appendix.)
Female Jail Housing (Includes all counties except Ada)
All Files IDOC Facility PWCC Day of transport.
Female Ada County Jail Housing
C-File IDOC Facility Central
Records Unit
IDOC Prisoner in Transit Packet to Jail with transport. (Note:
See page one [1] of this appendix.)
Medical File IDOC Facility Central Office
Medical Unit Day of Transport.
INMATE TO ADA COUNTY WORK RELEASE
C-File IDOC Facility Central
Records Unit
IDOC Prisoner in Transit Packet to Jail with transport. (Note:
See page one [1] of this appendix.)
Medical File IDOC Facility SICI Medical Day of Transport.

Appendix C
120.03.05.002
(Appendix last updated 3/24/10) Page 3 of 3

Files Sent from an Institution (to include all filing) Files Move From Files Move To Special Conditions
Unit
FINAL DISCHARGE
C-File IDOC Facility Central
Records Unit

Within two (2) weeks of discharge.
Medical File IDOC Facility Central
Records Unit Within 60 days of discharge.
DECEASED
C-File IDOC Facility Central
Records Unit
Within four (4) weeks following death. (Requires official
notification of death, such as a death certificate, death notice,
obituary, letter from the coroner, or news article.)
Medical File (Step 1)
IDOC Facility Central Office
Medical Unit
Make copies of medical documents for facility use. Send file
the same working day for review to the health authority. (See
SOP 401.06.03.011, Death: Procedure in the Event of an
Inmate’s.)
Medical File (Step 2) Central Office
Medical Unit
Central
Records Unit
The health authority will return to the Central Records Unit
when the review is completed.
Escape
C-File
IDOC Facility Central
Records Unit

Within two (2) weeks of escape.
Medical File IDOC Facility Central
Records Unit Within 60 days of escape.
Non-IDOC Inmate Return to Sentencing State
All Files (Step 1)
IDOC Facility Central
Records Unit
C-file: Within two (2) weeks following discharge.
Medical file: Within 60 days following discharge.
All Files (Step 2) Central Records
Unit
State Record
Center

IDAHO DEPARTMENT OF CORRECTION
File Transfer Sheet

Appendix D
120.03.05.002
(Appendix last updated 3/24/10)
FROM: TO: DATE:

INMATE NAME: NUMBER:

FILES SENT FROM AN INSTITUTION OR COMMUNITY WORK CENTER TO:
√ INSTITUTION/CWC √ CENTRAL RECORDS
Transfer (Institution to Institution) Sentence Discharge (Gold Seal)
RDU Facility- Retained Jurisdiction With Drop
Jurisdiction Recommendation
Parole Interstate Compact or Detainer
Parole Re-Instatement And Discharge
√ DISTRICT Jail Housing/Contract Beds
Parole – (In-State) Escapee
Retained Jurisdiction With Probation
Recommendation
URGENT-Requested by Legal./Central
Records
√ OTHER
Parole Reinstatement In-State
FILES SENT FROM COMMUNITY CORRECTIONS DISTRICT TO:
√ INSTITUTION/CWC √ CENTRAL RECORDS
RDU Facility-Probation Violator to Prison Parole Discharge/Death (Gold Seal must be
in file)
RDU Facility-Parole Violator to Prison Probation/Parole Discharge – Interstate -
Having time in an IDOC Facility or a sex
offense requiring Idaho sex inmate
registration
RDU Facility-From Court To Prison Commitment
(Timer)
RDU Facility-From Court To Retained Jurisdiction Probation Discharge /Death/Deported - after
Retained Jurisdiction or sex a offense
requiring registration in Idaho.
RDU Facility-Parole Absconder
√ DISTRICT √ OTHER
Transfer (District to District)
FILES SENT FROM CENTRAL RECORDS TO:
√ INSTITUTION-CWC √ DISTRICT
Jail Housing Return Probation Supervision
RDU/Interstate Inmate/Parolee Return/Escapee Parole Supervision
√ REQUESTED BY: √ OTHER

File Logged in CIS File Logged out of CIS
IDAHO DEPARTMENT OF CORRECTION
Transfer Files for Out-of-State Transfers

Appendix E
120.03.05.002
(Appendix last updated 6/11/08)
A temporary inmate file will be created and sent for each inmate being transferred to an
out-of-state contract bed facility.

1. The record clerk at the housing facility shall prepare a temporary file and send it to the
staging facility. The record clerk at the staging facility shall make it available to inmate
placement 24 hours prior to the move.
2. The temporary inmate file will be composed of:
A. One (1) letter sized file folder with the right side of the folder punched and equipped
with a two (2)-prong fastener.
B. Copies of the following documents placed on the prongs and appearing top to bottom
in this order:

DOCUMENT LOCATION

QT PROFILE QTPROFILE
(A Current) Admission Summary INMATE ADM (PRTADS)
Official Time Computation Report Central File
Most recent Classification detail INMATE CLASS (QTCLAS)
Classification History INMATE CLASS (QTCLAS)
Disciplinary History DISCIPLINARY (QTDISCIP)
Rule 32 Letter (Appendix A) & PSI (no attachments) PSIPRT (or from Central File)
Detainer QTDETAIN
IDAHO DEPARTMENT OF CORRECTION
Audit of Central File
Appendix F
120.03.05.002
(Appendix last update 3/24/10)
CONTROL, INFORMATION, DISPOSITION AND MONITORING

1. Central Records Unit staff will review randomly selected central files and/or
Corrections Integrated System (CIS) central file movement records (as determined in
the yearly audit plan) for each correctional facility and Division of Community
Corrections district.
2. Central files will be compared to the automated inmate record for (a) consistency and
completeness, and (b) compliance with standard operating procedure (SOP)
120.03.05.002, Central and Medical Files: Control, Maintenance, and Disposition of.
3. CIS file movement will be monitored (a) by comparing the Inmate System move
record to incoming and outgoing logs, and (b) for compliance with data entry
instructions.
4. The results of the audit shall be documented and include the type and frequency of
the errors found, as well as any procedural or operational problems observed during
the audit.
Note: Audit results will be forwarded to the division chief and the work unit manager
within the same quarter as the audit. If a file audit is conducted for a contract bed
facility, the audit result will be given to the contract monitor to distribute.