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The Oregon Administrative Rules contain OARs filed through August 15, 2014
 
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DEPARTMENT OF CORRECTIONS

 

DIVISION 70

RECORDS MANAGEMENT (INMATE AND OFFENDER)

291-070-0100

Authority, Purpose, and Policy

(1) Authority: The authority for this rule is granted to the Director of the Department of Corrections in accordance with ORS 179.040, 423.020, 423.030, and 423.075.

(2) Purpose: The purpose of this rule is to establish standards for the control, maintenance and disposition of file materials pertaining to individuals committed to the supervision of the Department of Corrections.

(3) Policy: It is the policy of the Oregon Department of Corrections that files on Department of Corrections inmates and offenders will be maintained in a manner which assures the availability of file material necessary for case management. Additionally, relevant file material which serves to preserve an historical record of the individual's period of supervision shall be maintained and retained for specified periods of time following the individual's release from supervision.

Stat Auth: ORS 179.040, 423.020, 423.030, 423.075
Stat Impl: ORS 179.040, 423.020, 423.030, 423.075
Hist.: CD 54-1981(Temp), f. & ef. 12-10-81; CD 17-1982, f. & ef. 6-4-82; CD 21-1983(Temp), f. & ef. 5-16-83; CD 38-1983, f. & ef. 10-14-83; CD 50-1985, f. & ef. 8-16-85; CD 8-1986, f. 4-18-86, ef. 5-15-86; CD 17-1986, f. & ef. 6-30-86; CD 23-1994, f. 12-21-94, cert. ef. 1-3-95; Renumbered from 291-070-0005, DOC 9-2008, f. & cert. ef. 4-10-08

291-070-0110

Definitions

(1) Archives: The state repository for public records having a legal or historical value but for which immediate access is not required. The location where the official files of Department of Correctional felony inmates and offenders are permanently maintained.

(2) Department of Corrections Facility: Any institution, facility, or staff office, including the grounds, operated by the Department of Corrections.

(3) Functional Unit: Any organizational component within the Department of Corrections responsible for the delivery of services or coordination of programs.

(4) Functional Unit Manager: Any person within the Department of Corrections who reports to the Director, Deputy Director, an Assistant Director, or administrator and has responsibility for the delivery of program services or coordination of program operations.

(5) Inmate: Any person under the supervision of the Department of Corrections who is not on parole, post-prison supervision, or probation status.

(6) Offender: Any person under the supervision of the Department of Corrections who is on parole, probation, or post-prison supervision status.

(7) Offender Information and Sentence Computation (OISC): The centralized functional unit which maintains working files after an inmate is released from a Department of Correctional facility.

(8) Record: Includes, but is not limited to, a document, book, paper, photograph, file, sound recording or machine readable electronic record, regardless of physical form or characteristics, made, received, filed or recorded in pursuance of law or in connection with the transaction of public business, whether or not confidential or restricted in use. (ORS 192.005)

(9) Records Officer: Refers to the person designated by a state agency or political subdivision in accordance with ORS 192.105(2)(a). The OISC Administrator is the Department of Corrections Records Officer and has the duty to archive and seal offender records in compliance with these rules.

(10) Retention Schedule: Either a General Schedule published by the State Archivist in the Oregon Administrative Rules in which certain common public records are described or listed by title and a retention period is established for each, or a Special Schedule approved by the state Archivist for the public records of a specific agency.

(11) Sealing Inmate or Offender Records: The physical sealing of offender file material by order of the court accomplished by OISC.

(12) Working File: Those documents maintained in a Department of Corrections facility, Community Corrections office, or functional unit for administrative, operational or case management purposes.

Stat Auth: ORS 179.040, 423.020, 423.030, 423.075
Stat Impl: ORS 179.040, 423.020, 423.030, 423.075
Hist.: CD 54-1981(Temp), f. & ef. 12-10-81; CD 17-1982, f. & ef. 6-4-82; CD 21-1983(Temp), f. & ef. 5-16-83; CD 38-1983, f. & ef. 10-14-83; CD 50-1985, f. & ef. 8-16-85; CD 8-1986, f. 4-18-86, ef. 5-15-86; CD 17-1986, f. & ef. 6-30-86; CD 23-1994, f. 12-21-94, cert. ef. 1-3-95; CD 4-1996, f. 5-23-96, cert. ef. 6-1-96; Renumbered from 291-070-0010, DOC 9-2008, f. & cert. ef. 4-10-08

291-070-0115

Working File

(1) Establishment of Working File: Working files on all Department of Corrections inmates shall be established upon initial reception at a Department of Corrections facility or intake center.

(2) Working files shall remain decentralized to ensure the staff members who work with them have access to them.

Stat Auth: ORS 179.040, 423.020, 423.030, 423.075
Stat Impl: ORS 179.040, 423.020, 423.030, 423.075
Hist.: DOC 9-2008, f. & cert. ef. 4-10-08

291-070-0120

Access to Files

(1) Only employees of the Department of Corrections and representatives of criminal justice agencies shall have authorized access to inmate and offender files. Department of Corrections employees shall request access to inmate/offender files for business purposes directly related to the employee’s current position duties and responsibilities only.

(a) An example of acceptable access would include an employee reviewing an inmate’s/offender’s file because the inmate/offender is in the employee’s housing unit or on the employee’s caseload.

(b) An example of unacceptable access would include an employee reviewing the file on their neighbor for personal background purposes.

(2) The Records Office is a restricted area; only individuals authorized by the OISC Administrator or institution functional unit manager shall enter the Records Office.

(a) In emergency situations, the institution functional unit manager or designee may designate an employee to enter the Records Office and remove working files.

(b) A list of these authorized individuals may be posted in the Records Office.

Stat. Auth.: ORS 179.040, 423.020, 423.030 & 423.075
Stats. Implemented: ORS 179.040, 423.020, 423.030 & 423.075
Hist.: DOC 9-2008, f. & cert. ef. 4-10-08; DOC 30-2008(Temp), f. & cert. ef. 12-16-08 thru 6-12-09; Administrative correction 6-22-09; DOC 14-2009, f. & cert. ef. 7-14-09

291-070-0125

Transporting Working Files

(1) The Department will use proper security controls for transportation of inmate and offender working files during transit between institutions, functional units, agencies or customers.

(2) Each functional unit that sends, receives or transports confidential or sensitive offender information is responsible to assure that the information is protected appropriately during transit from loss, destruction or unauthorized access. (DAS Statewide Policy 107-004-100, Transporting Information Assets).

Stat Auth: ORS 179.040, 423.020, 423.030, 423.075
Stat Impl: ORS 179.040, 423.020, 423.030, 423.075
Hist.: DOC 9-2008, f. & cert. ef. 4-10-08

291-070-0130

Retention and Destruction of Offender Records

(1) The State Archivist grants authorization to Oregon government agencies, in the form of records retention schedules, for the retention or disposition of public records in their custody.

(2) Centralized control over retention and disposition of all records will be in accordance with state statutes.

(3) Agency working files will be maintained in accordance with the approved Special Schedule.

(4) At the time of closure of Community Corrections working files, the closing summary and other required documents will be sent to OISC for archiving in accordance with the State Office Operations Network approved protocol. Community Corrections Offices will retain working file documents in accordance with the State Archivist schedule.

(5) Medical, dental, and mental health treatment files on inmates confined in a Department of Corrections facility will be maintained in accordance with the Department of Corrections rule on Health Services (Inmate) (OAR 291-124).

Stat. Auth.: ORS 179.040, 423.020, 423.030, 423.075
Stats. Implemented: ORS 179.040, 423.020, 423.030, 423.075
Hist.: DOC 9-2008, f. & cert. ef. 4-10-08; DOC 21-2009, f. & cert. ef. 11-20-09

291-070-0135

Public Requests for Inmate/Offender Records

It is the responsibility of all persons using Department of Corrections files, including consultants, contract personnel, and volunteers, to ensure the confidentiality of and provide access to inmate and offender working files in strict accordance with the provisions outlined below:

(1) Inmate and Offender records will be released in accordance with the Department of Corrections rule on Release of Public Record (OAR 291-037).

(2) Verbal inquiries regarding Department of Corrections files and records from any source, including the inmate, will be responded to in accordance with the Department of Corrections rule on Release of Public Information (OAR 291-039).

Stat Auth: ORS 179.040, 423.020, 423.030, 423.075
Stat Impl: ORS 179.040, 423.020, 423.030, 423.075
Hist.: DOC 9-2008, f. & cert. ef. 4-10-08

291-070-0140

Sealing of Inmate or Offender Records

(1) Sealing of a working file or record may only be accomplished after receipt of a certified order from the court;

(2) Upon receipt of a certified order directing a working file or record be sealed, when the inmate’s or offender’s file is available, staff will attach any and all inmate and offender material to the court order and forward the court order and file material to OISC for sealing.

Stat Auth: ORS 179.040, 423.020, 423.030, 423.075
Stat Impl: ORS 179.040, 423.020, 423.030, 423.075
Hist.: DOC 9-2008, f. & cert. ef. 4-10-08

The official copy of an Oregon Administrative Rule is contained in the Administrative Order filed at the Archives Division, 800 Summer St. NE, Salem, Oregon 97310. Any discrepancies with the published version are satisfied in favor of the Administrative Order. The Oregon Administrative Rules and the Oregon Bulletin are copyrighted by the Oregon Secretary of State. Terms and Conditions of Use

Oregon Secretary of State • 136 State Capitol • Salem, OR 97310-0722
Phone: (503) 986-1523 • Fax: (503) 986-1616 • oregon.sos@state.or.us

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