G.02 Prisoner File Management

Policy Standard

• The collection, security, retention and disposal of prisoner information will be managed to ensure compliance with the Department of Correction’s information management policies.

Performance Standards

1. Every prisoner received in to the custody of the Department of Corrections, either on Remand or for Imprisonment or Home Detention, will have an individual general file containing all information received by or generated by the Department of Corrections and / or others relating to that prisoner.
2. The general file will be created at the prison where the prisoner is first received.
3. The general file will contain all information relating to the prisoner and the management of their sentence, including:
   • Details of the prisoner’s committal including all warrants and information received from Courts.
   • Copies of all reports relating to the prisoner, including initial assessments, classification reports, incident reports, misconduct reports, and Parole Board reports.
   • Copies of all reports relating to the management of the prisoner's sentence.
   • Copies of all correspondence relating to the prisoner.
   • Copies of all property lists itemising the prisoner’s property.
   • Copies of all IDU information.
   • Copies of all information relating to the prisoner’s “at risk” status.
   • Details of any approved telephone numbers for the Prisoner Telephone Call Control System (PTCCS).
4. Files of prisoners with a previous penal history will be sourced through IOMS and a request sent to the prison where the file is held.
5. The file contains information which has been lawfully collected and is necessary for the management of the prisoner and his or her sentence. If staff come into possession of any other documents relating to a prisoner, which are not relevant and not listed under standard 3, they should be returned to either the source, the prisoner or the prisoner's property.

File Assembly

Files will be assembled as follows:

1. The front divider is to have printed on it the contents of the alphabetical categories detailed below.
2. All material on the general file will be filed in the following categories separated by an alphabetical divider.

Performance Standards - File Assembly

1. All material is to be filed behind the alphabetical divider.
2. The divider for Category C (at-risk Information) shall be bright red in colour.
3. All material will be filed in chronological order to ensure that sequential events are evident and it is possible to refer to previous documents easily.
4. No irrelevant annotations, pictures or marks are to be made on prisoner records.
5. Naming conventions must be clearly documented.
6. All legal documents must be maintained on the file.
7. Physical documents are to be held securely in the file.
8. Any indicators or flags relating to the prisoner special status are to be clearly identified on the front cover of the file, e.g. “ At Risk”, “VNR”.

Performance Standards - Restrictions

1. The prisoner’s general file will not contain:
   • Medical information relating to the prisoner
     This shall be kept on a special file generated for that purpose. The prisoner’s medical records shall be stored in a secure place in the health centre.
   • Victim Notification (VNR) information
     All VNR information will be maintained by the Prison VNR Co-ordinator (Ref: PPM A.15 “Victim Notification”).
   • Witness Protection Information
   • Current At-risk information
     This will be held on a separate file as required in PPM B.14 (Prisoners At Risk to Themselves). The At-risk file will be securely attached to the prisoner’s general file when the prisoner is deemed to be no longer at-risk and must be clearly identifiable.

Storage

1. Current Files (files of prisoners currently in the prison)
   • All prisoner records are to be stored in lockable, fireproof cabinets in a secure area.
   • Access to prisoner general files is to be on a “need to know’” basis.
   • All access is to be recorded.
   • No file is to be left where unauthorised persons could potentially access it.
   • If the file or information from the file or associated file, is taken off-site, staff must ensure that it is held in a covered folder, satchel or box within the possession or control of staff.
2. Inactive files are to be stored in an area that is secure, vermin proof, fireproof, waterproof and to which access can be controlled.
   • Inactive files may be stored locally or regionally, on site, or off site by arrangement with an off-site storage company.
   • All access is to be recorded.

Security

1. The information on a prisoner’s file is confidential. Care must be taken to ensure that the use, storage, exchange and release of any information comply with the Department’s policies.
2. Access to all information must be on a “need to know” basis and be strictly controlled.

Disaster Recovery

• File recovery must form part of site-specific Business Continuity Plans

File Register

1. At every prison a Central File Register is to be maintained. The register will contain information as to the current location of each file.
2. At prisons where the Receiving Office is the sole repository of prisoner files the File Register will indicate the location of each file, the name of the staff member to whom the file has been issued, and the reason for issue. The register will indicate all cases where the file has been accessed, including date, name, reason etc.
3. At prisons where files are located in the prisoner’s unit a Unit File Register must also be maintained. The register will contain information as to the current location of the file, who has it, and the reason. The register will indicate all cases where the file has been accessed, including date, name, reason etc.
4. On release or transfer out of the unit to another prison, all information relating to that prisoner (e.g. case management, at- risk, medical etc.) is to be collated, the file sealed and dispatched to the Receiving Office, and a note made in the File Register.
5. Should the prisoner be transferred to another unit within the prison, the file is to be sealed and delivered by hand to the receiving Unit Manager / PCO, and a note made in the Unit File Register.

Files in Transit

1. Files in-transit, either within or outside the prison, are the responsibility of the person to whom the file is entrusted. Extreme care must be taken to ensure that unauthorised persons do not gain access to any file during transit.
2. Files in-transit within the prison must be sealed and contained in such a way that the contents are not able to fall free, e.g. use a satchel, briefcase or secure box (Local Procedure).
3. Files in-transit outside the prison must be contained in such a way that the folder cover or any other identifying details, are not visible, and documents are not able to fall free, e.g. use of a satchel, briefcase or secure container. Access to any file during transit must be limited to authorised persons only and a record kept of any such access.
4. Arrangements are made to ensure that any material relevant to a prisoner, who has been released or transferred, is placed on that prisoner’s file. In cases were a prisoner has been transferred, the material is to be forwarded to the receiving prison.

Information Sharing

• The Department of Correction’s Information Sharing protocols with other agencies are to be rigorously adhered to

Information Requests

1.  All requests for information under the Official Information Act 1982 and the Privacy Act 1993 are to be dealt with in accordance with the Department’s’ policies (See PPM E.16; PPM E.17).
2. Requests from non-Department of Corrections persons for prisoner-related information are to be referred to the Regional Manager.