Record Keeping

Record Keeping

  1. Accuracy

Each district office shall work with the District/Family Courts to ensure that information in PPS files and the court master files are conformed and developed to accurately reflect the client-offender’s updated case record.  Each PPO is responsible to ensure an updated master file is secured with the District Court Clerk.

  1. Security

Case records shall be maintained in a secure area safeguarded from unauthorized or improper access.  Records not in use shall be stored in a locked fireproof file cabinet.  Information shall only be released to persons authorized to receive the information.  See also Navajo Nation Privacy Act, 2 N.N.C. §§ 81 – 92.

Check-Out Log for PPS Files – All removed file documents shall be entered in a check-out log including the name (and affiliation) of the person removing the document or file, and reason for the removal.

  1. Confidentiality

The following may not be disclosed to the public under any circumstances: memoranda submitted to a judge by the probation officer to be used in decision-making, personal notes and correspondence used for the preparation of such memoranda, and other information protected under the Navajo Nation Privacy Act.

In addition, the Chief Probation Officer in consultation with the Staff Attorney of the judicial district in which the PPS office is located may authorize the protection of any information and correspondence that would be potentially harmful to PPS personnel and other persons if made known to the public.

Client-offender Access – Contents of files may be released to the adult client-offender, a juvenile’s parent or guardian or their advocate upon the signing of the proper consent form, subject to the above protections.  In addition, the Chief Probation Officer in consultation with the Staff Attorney of the judicial district in which the PPS office is located may authorize the protection of any information and correspondence that would be potentially harmful to PPS personnel and other persons if made known to the client-offender.

  1. Caseloads

For an individual caseload that is manageable, reasonable, efficient and effective, the optimum number, as recommended by the American Probation and Parole Association, is 32 cases.  The average caseload in Navajo PPS is 50 cases.   When a PPO’s caseload reaches 80 active cases, he/she shall inform the Chief Probation Officer.  The PPO’s caseload shall be evaluated to determine which cases could be discharged early, and recommendations shall be made to the court so that a reasonable caseload is maintained.

  1. Case Numbering

A uniform case file numbering system shall be used in all districts to identify PPS district, client, year, month, and other essential case file information at a glance.  The individual number facilitates chronological control and easy retrieval.  The case file number shall be styled as in the below sample:

KY-07-A001

 |       |      |    |___ Chrono-Number

 |       |      |_____  A = Adult; J = Juvenile

 |       |________  Year

 |____________  Kayenta District 

PPS District Abbreviations:

AL………    Alamo Dist/Fam Ct

AN………    Aneth Dist/Fam Ct

CH………    Chinle Dist/Fam Ct

CP………    Crownpoint Dist/Fam Ct

DK……..    Dilkon Dist/Fam Ct

KY………    Kayenta Dist/Fam Ct

RM……….    Ramah Dist/Fam Ct

SR………..    Shiprock Dist/Fam Ct

TC………..    Tuba City Dist/Fam Ct

TH………..    Tohajiilee Dist/Fam Ct

WR……….    Window Rock Dist/Fam Ct

 

  1. Case FileLabel Format

         Case file labels shall be in the following format:

Sample Adult File Label:

WR-07-A001   GOODGUY, Bill      SS# __________

                                                      CN# _________

Sample Juvenile File Label:

WR-07-J001   GOODGIRL, Joy      SS# __________

                                                      CN# _________

  1. File-KeepingUniformity, generally

The goal is uniformity in all district PPS record keeping.  To this end, district PPS offices shall develop uniformity by folder color or other coding system, maintenance of folders alphabetically, etc.

  1. Content of Case Files

         Case files shall be organized as follows:

LEFT SECTION

1.       Offender Activity Entry Log containing chronological entries;

2.       List of contact persons, including relatives or significant others, place of employment or school and direction on how personal contact can be made;

3.       Commitment papers, most recent on top;

4.       Correspondences from/to probationer/ parolee by PPO;

5.       PPS Correspondence (CONFIDENTIAL)

6.       All other non-court related documents in chronological order.

RIGHT SECTION

1.       ADULT: Photo/Fingerprint card—most recent on top;

2.       JUVENILE: Photo/ Fingerprint card ONLY BY COURT ORDER;

3.       Pre and Post Sentence Reports;

4.       Pre-Dispositional Report (juvenile);

5.       Chronological Arrest Record;

6.       Judgment and Mittimus;

7.       Psychological or mental evaluation;

8.       Probation or Parole Agreements;

9.       Anticipated Discharge Information.

  1. Case FileUpdates

The PPO is responsible for updating case files and documenting the client’s compliance with the terms of a probation / parole order.  The PPO shall update client case files as events unfold.  Regular updates provide for continuity of service if cases are transferred to a different PPO.  The PPO’s in-house record of a client’s compliance may also be presented to the court as evidence at a modification, extension, or revocation hearing.  Therefore, the updates must be regularly and properly maintained.

  1. Case FileReview

A case file review shall be conducted annually by the Chief Probation Officer and other appropriately designated Judicial Branch authorities. 

Active files shall be reviewed and updated as frequently as needed.  Active files shall also be timely reviewed well before the expiration of the client-offender’s supervision period.  The recommended period for review is 30 – 90 days before expiration of the supervision period.

Review of case files shall also be conducted  at the time of transfer or release. Documents no longer appropriate or relevant shall be removed and returned to the Court Clerk. 

  1. Active &Inactive Files

Files are designated “active” or “inactive.”  An example of an inactive file is when a client fails to comply with a judge’s order to appear in court and a bench warrant is issued.  The case is not discharged from probation, but becomes inactive while waiting for the client to be returned to court on the bench warrant. 

  1. Closed FileProtocol 

Originals to Court. Upon completion of PPS supervision, the PPS field office shall make a duplicate copy of all information and hand carry all originals to the District or Family Court where the originals are placed in the closed court files that are stored and destroyed in accordance with Judicial Branch Uniform Case Management Policy. 

Individual Closed Case Files.  An individual closed case file is established for each adult and juvenile by name and stored alphabetically in a locked fireproof file cabinet.  The case folder shall contain the individual’s Social Security Number, Census Number and/or Birth Date.   The duplicate copies of all case information are put into the folder and an index listing is secured on the left side of the case file for easy reference.  The individual case files are very helpful in assessing each individual’s supervision level at initial contact, and in completing Pre-Sentence Reports  in a timely and efficient manner.

Removal/Destruction of Files.  Juvenile closed case files shall be stored for two (2) years or until the juvenile turns eighteen (18) years of age, upon which PPS returns the case file to the court to be destroyed or expunged.  There is no time limit for storage of adult closed case files. 

If an individual has deceased, PPS shall obtain verification through funeral notice, death certificate, Navajo Nation Police Department or Criminal Investigations.  Upon verification, the closed case file is put into a box labeled “deceased.”  Upon archiving, the case file may be destroyed.   The office may retain a CD-ROM of the case file information and store it in a secured fireproof cabinet. 

Access to Closed Files.  Records shall be directly controlled by PPS personnel only.  No unauthorized person(s) shall access a record.

  1. Sealing of Juvenile Files

Pursuant to procedures set forth in 9 N.N.C. § 1119, PPOs may petition the Family Court to seal the file of a minor or a person who was a minor when the file was created.