Comprehensive Study Guide on Legal Sealing, Expungement, and Records Management

Legal Terminology: Expungement versus Sealing

• Conceptual Overview: The processes of "sealing" and "expungement" are distinct legal terms that apply based on the specific nature of the case and the legal outcome.
• Expungement Defined: Under Penal Code $1203.4$, expungement applies to convictions including felonies, misdemeanors, and cases where probation was part of the original sentence.
• Sealing vs. Expungement: In some jurisdictions, specifically referenced in the lecture, the term "expungement" is used interchangeably with the "sealing" process, even though they may be functionally the same under specific statutes.

Dismissal Pathways and Specific Penal Codes

• PC $1203.4a$ (Misdemeanors and Infractions):
  • This code applies specifically to misdemeanors and infractions only.
  • It is only applicable when probation was not granted as part of the sentencing.
  • The typical sentence involves either jail time or the imposition of a fine.
  • Timeline: The individual must have completed their sentence and waited a period of $1$\,year since the judgment was entered.
  • Mandatory Clause: There is a mandatory dismissal clause if there has been no new conviction or arrest leading to a conviction within the $1$\,year period following the judgment.
• Discretionary Dismissals:
  • These apply when a defendant did not successfully complete their term of probation.
  • Cases involving DUIs frequently fall under these discretionary considerations.
• Mandatory Dismissals:
  • Applicable to convictions of any misdemeanors or felonies where probation was granted and successfully completed.

Juvenile Record Sealing Under Welfare and Institutions Code

• Welfare and Institutions Code (WIC) $781$:
  • Covers cases involving juvenile arrests.
  • The court has the authority to seal all juvenile records provided the individual meets specific criteria.
  • Disqualifying Criteria: Records cannot be sealed if the individual was convicted of felony misdemeanors involving moral turpitude or rehabilitation violations.
• Proposition $21$ Limitations:
  • If a juvenile committed an offense listed under WIC Section $707(b)$ and was at least $14$\,years of age at the time, their records shall not be sealed.
  • These are generally categorized as violent crimes.
  • Retention Note: Records of these crimes can be ordered unsealed and presented as evidence; therefore, they must be redacted and secured rather than destroyed.
• Welfare and Institutions Code (WIC) $781.5$ (Deferred Entry of Judgment):
  • Applies when a juvenile was granted and completed a deferred entry of judgment as imposed by the court.
  • Case-by-Case Basis: Sealing under this section applies only to the specific arrest event where the deferred entry was granted; it does not automatically seal the juvenile’s entire criminal history.
  • Qualification Requirements:
    • The juvenile must be declared a ward of the court.
    • The offense must not be a violent crime.
    • The individual must not have been committed to the youth authority.
    • Probation must not have been revoked.
    • The individual must be at least $14$\,years old at the time of the hearing to apply.

Operational Procedures for Electronic Records Management Systems (RMS)

• Legal Mandate for Electronic Records: Laws require agencies to "delete references to the arrest" within computer systems.
• Interpretation of "Delete References": Because software systems vary, the law does not dictate a literal "delete" button. Instead, agencies must process records so that if they were accessed, the identity of the person would be impossible to determine.
• RMS Implementation Methods:
  • System Locks: Some systems allow a "lockdown" of the whole case, accessible only by a designated custodian of records.
  • Wizard Tools: Automated workflows that guide the user through redaction and stamping the record as "Sealed."
  • Manual Redaction (Master Name Index):
    • Navigate to the Master Name Index and search for the individual.
    • Identify all involvements (citations, arrests, accidents, incident reports).
    • Open target incident reports and remove the individual's name from the Name Section.
    • Replacement Protocol: Replace the person's name with a new Master Name Record entry where the First Name is "Sealed" and the Last Name is "Record."
    • Narrative Redaction: The narrative paragraph (written by the officer) must be manually edited to remove and replace all occurrences of the individual's name with the term "Sealed Record."

Managing Records Across Departmental Divisions

• Stakeholder Identification: Sealing requires coordination across multiple divisions beyond the records department:
  • Criminal Investigations Division (Detective Bureau): Often maintain separate case filing cabinets with internal copies.
  • Property and Evidence Unit: Electronic and physical logs of seized items.
  • Dispatch (Communication Center): Call for Service (CFS) records in Computer Aided Dispatch (CAD) may contain notations of the arrest.
  • Special Investigations/Juvenile Units: Specialized records often kept separate from general records.
• Action for Duplicates vs. Originals:
  • Duplicates: Printed copies of police reports maintained in detective files are duplicates of the RMS master. These can be destroyed upon sealing.
  • Originals: Original forms generated by specific units (not stored in RMS) must not be thrown away. They should be gathered and stored in a specialized, locked sealing cabinet.
• Retention Requirement: The master record (in the RMS) must be maintained for $3$\,years after sealing.

Retention, Redaction, and Third-Party Systems

• Document Management Systems (DMS): Systems like Laserfiche create risks if they duplicate records stored in the RMS. Sealing requires tracking down copies in all databases.
• Network Storage: Detective "shared drives" ($T$-drive, $S$-drive, etc.) are significant risks for inadvertent disclosure of sealed information.
• Body-Worn Cameras: Software like Evidence.com must have specific controls to ensure sealed video is locked and not shared via external links.
• Jail Management Systems (JMS): Booking records and arrest records within jail systems must also have names redacted or references deleted according to laws.
• Code $793$ (Notification Requirement): Agencies are legally required to respond to the court certifying that records have been sealed. This can be done via a standardized form, a form letter, or a stamped copy of the order.

Legal Implications and Liability

• Criminal Justice Access: In California, criminal justice agencies can still access sealed records for internal purposes or criminal justice investigations, but they cannot be released for public records requests.
• The "Ticking Time Bomb" of Liability: States are passing "Clean Slate" laws and automatic sealing mandates, creating unfunded mandates that overwhelm local agencies.
• New Jersey Case Study: The New Jersey State Police faced a backlog of $46,000$ expungement cases. They were sued for taking up to $2$\,years to process these orders.
• Risk Mitigation: If an individual is denied employment due to an arrest that was legally ordered sealed but not processed by the agency, the agency faces extreme civil liability.

Questions & Discussion

• Question: Do we send a request to the Sheriff to delete an arrest made from their JMS?
  • Response: You should send a copy of the court order or petition to the Sheriff's office so they are notified and can carry out their internal sealing policy. You should also notify other partner agencies or communication centers involved in the arrest.
• Question: How do we seal a record involving a traffic collision?
  • Response: Only redact the traffic collision report if it specifically indicates the person was arrested. If there is no mention of an arrest on the collision report, it does not need to be sealed.
• Question: Can a defendant mark the "Not Arrested" box on an application for all codes?
  • Response: This only applies to the specific arrest that was sealed. If they have other unrelated arrests that were not sealed, they must still disclose those.
• Question: How does a defendant know if records are auto-sealed?
  • Response: They should receive information through their attorney or receive a copy of the order to seal directly from the court.
• Question: Do we keep an order and response for $3$\,years if no records were found on the arrestee?
  • Response: If no records exist, the order and response should be kept for the duration specified in the agency's retention schedule. If not specified, the California baseline is $2$\,years.