JUSTICE AND PUBLIC SAFETY CABINET

Department of Corrections

(Amended After Comments)

 

      501 KAR 6:020. Corrections policies and procedures.

 

      RELATES TO: KRS Chapters 196, 197, 439

      STATUTORY AUTHORITY: KRS 196.035, 197.020, 439.470, 439.590, 439.640, 532.260

      NECESSITY, FUNCTION, AND CONFORMITY: KRS 196.035, 197.020, 439.470, 439.590, and 439.640 authorize the Justice and Public Safety Cabinet and Department of Corrections to promulgate administrative regulations necessary and suitable for the proper administration of the department or any of its divisions. These policies and procedures are incorporated by reference in order to comply with the accreditation standards of the American Correctional Association. This administrative regulation establishes the policies and procedures for the Department of Corrections.

 

      Section 1. Incorporation by Reference. (1) "Department of Corrections Policies and Procedures," March 14[January 12], 2017 [November 7, 2016], are incorporated by reference. Department of Corrections Policies and Procedures include:

1.2         News Media (Amended 6/10/14)

1.4         The Monitoring and Operation of Private Prisons (Amended 5/15/08)

2.1         Inmate Canteen (Amended 2/26/16)

2.12       Abandoned Inmate Funds (Amended 2/26/16)

3.1         Code of Ethics (Amended 12/10/13)

3.5         Sexual Harassment and Anti-Harassment (Amended 12/10/13)

3.9         Student Intern Placement Procedure (Amended 11/7/16)

3.10       Appearance and Dress for Nonuniformed Staff (Amended 9/13/10)

3.11       Drug Free Workplace Employee Drug Testing (Amended 12/10/13)

3.1         Employee Time and Attendance Requirements (Amended 6/14/16)

3.17       Uniformed Employee Dress Code (Amended 1/12/17[2/26/16])

3.22       Staff Sexual Offenses (Amended 12/10/13)

3.23       Internal Affairs Investigation (Added 8/25/09)

5.1         Research and Survey Projects (Amended 12/10/13)

5.3         Program Evaluation and Measurement (Amended 6/9/15)

6.1         Open Records Law (Amended 5/14/07)

6.2         Inmate Record (Added 11/7/16)

8.2         Fire Safety (Amended 3/14/14)

8.7         Notification of Extraordinary Occurrence (Amended 3/14/14)

9.4         Transportation of Inmates to Funerals or Bedside Visits (Amended 6/9/15)

9.6         Contraband (Amended 2/26/16)

9.8         Search Policy (Amended 5/13/14)

9.13       Transport to Court - Civil Action (Amended 07/09/07)

9.18       Informants (Amended 9/13/10)

9.19       Found Lost or Abandoned Property (Amended 10/14/05)

10.2       Special Management Inmates (Amended 1/12/17[2/26/16])

10.3       Safekeepers and Contract Prisoners (Amended 9/15/04)

11.2       Dietary Procedures and Compliance (Amended 1/12/17[3/14/14])

11.4       Alternative Dietary Patterns (Amended 1/12/17[3/14/14])

13.1       Pharmacy Policy and Formulary (Amended 1/15/15)

13.2       Health Maintenance Services (Amended 2/26/16)

13.3       Medical Alert System (Amended 3/14/14)

13.5       Advance Healthcare Directives (Amended 6/14/16)

13.6       Sex Offender Treatment Program (Amended 11/7/16)

13.7       Involuntary Psychotropic Medication (Amended 10/14/05)

13.8       Substance Abuse Program (Amended 10/12/12)

13.9       Dental Services (Amended 10/14/05)

13.10     Serious Infectious Disease (Amended 3/14/14)

13.11     Do Not Resuscitate Order (Amended 8/9/05)

13.12     Suicide Prevention and Intervention Program (Added 8/25/09)

13.13     Behavioral Health Services (Amended 11/7/16)

13.15     Inmate Observer Program (Added 8/12/16)

14.1       Investigation of Missing Inmate Property (Amended 10/14/05)

14.2       Personal Hygiene Items (Amended 8/20/13)

14.3       Marriage of Inmates (Amended 1/12/17[2/26/16])

14.4       Legal Services Program (Amended 3/14/14)

14.5       Board of Claims (Amended 10/14/05)

14.6       Inmate Grievance Procedure (Amended 1/12/17[6/14/16])

14.7       Sexual Abuse Prevention and Intervention Programs (Amended 6/14/16)

14.8       Lesbian, Gay, Bisexual, Transgender, and Intersex Offenders (Added 3/14/17)

15.1       Hair, Grooming and ID Card Standards (Amended 8/12/16)

15.2       Rule Violations and Penalties (Amended 8/12/16)

15.3       Meritorious Good Time (Amended 11/7/16)

15.4       Program Credit (Amended 6/12/12)

15.5       Restoration of Forfeited Good Time (Amended 2/26/16)

15.6       Adjustment Procedures and Programs (Amended 11/7/16)

15.7       Inmate Accounts (Amended 10/14/16)

15.8       Possession or Use of Unauthorized Substance and Substance Abuse Testing (Amended 1/12/17[10/14/05])

16.1       Inmate Visits (Amended 1/12/17[10/12/12])

16.2       Inmate Correspondence (Amended 11/7/16)

16.3       Inmate Access to Telephones (Amended 10/12/12)

16.4       Inmate Packages (Amended 8/12/16)

16.5       Video Visitation (Added 8/12/16)

17.1       Inmate Personal Property (Amended 6/14/16)

17.2       Assessment Center Operations (Amended 6/9/15)

17.3       Controlled Intake of Inmates (Amended 3/14/14)

17.4       Administrative Remedies: Sentence Calculations (Amended 8/12/16)

18.1       Classification of the Inmate (Amended 1/15/15)

18.2       Central Office Classification Committee (Amended 8/20/13)

18.3       Confinement of Youthful Offenders (Added 6/9/15)

18.5       Custody and Security Guidelines (Amended 6/14/16)

18.7       Transfers (Amended 5/13/16)

18.9       Out-of-state Transfers (Amended 2/26/16)

18.11     Placement for Mental Health Treatment in CPTU or PCU (Amended 6/14/16)

18.12     Referral Procedure for Inmates Adjudicated Guilty But Mentally Ill (Amended 2/15/06)

18.13     Population Categories (Amended 2/26/16)

18.15     Protective Custody (Amended 2/26/16)

18.16     Information to the Parole Board (Amended[Effective] 3/14/14)

18.17     Interstate Agreement on Detainers (Amended 07/09/07)

18.18     International Transfer of Inmates (Amended 5/14/07)

19.1       Governmental Services Program (Amended 10/12/12)

19.2       Sentence Credit for Work (Amended 2/26/16)

19.3       Inmate Wage/Time Credit Program (Amended 1/15/15)

20.1       Educational Programs and Educational Good Time (Amended 8/25/09)

21.1       Library Services (Added 3/14/14)

22.1       Privilege Trips (Amended 10/14/05)

22.2       Recreation and Inmate Activities (Added 3/14/14)

23.1       Religious Programs (Amended 8/12/16)

25.2       Public Official Notification of Release of an Inmate (Amended 10/14/05)

25.3       Prerelease Program (Effective 11/15/06) [25.4     Institutional Inmate Furloughs (Amended 07/09/07)]

25.6       Community Service Center Program and Jail Placement (Amended 11/7/16)

25.10     Administrative Release of Inmates (Amended 8/12/16)

25.11     Victim Services Notification (Amended 8/25/09)

25.12     Home Incarceration Program (Added 8/12/16)

26.1       Citizen Involvement and Volunteer Service Program (Amended 10/12/12)

      (2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Justice and Public Safety Cabinet, Office of Legal Services, 125 Holmes Street, 2nd Floor, Frankfort, Kentucky 40601, phone (502) 564-3279, fax (502) 564-6686, Monday through Friday, 8 a.m. to 4:30 p.m.

 

RODNEY BALLARD, Commissioner

      APPROVED BY AGENCY: March 14, 2017

      FILED WITH LRC: March 14, 2017 at 2 p.m.

      CONTACT PERSON: Amy V. Barker, Assistant General Counsel, Justice & Public Safety Cabinet, 125 Holmes Street, Frankfort, Kentucky 40601, phone (502) 564-3279, fax (502) 564-6686, email Justice.RegsContact@ky.gov.

 

REGULATORY IMPACT ANALYSIS AND TIERING STATEMENT

 

Contact Person: Amy Barker

      (1) Provide a brief summary of:

      (a) What this administrative regulation does: This regulation incorporates by reference the policies and procedures governing the Kentucky Department of Corrections (DOC) including the rights and responsibilities of employees and the inmate population.

      (b) The necessity of this administrative regulation: To conform to the requirements of KRS 196.035, 197.020, 439.470, 439.590, 439.640, and 532.260 and to meet American Correctional Association (ACA) standards requirements.

      (c) How this administrative regulation conforms to the content of the authorizing statutes: The regulation governs the operations of the Kentucky Department of Corrections. The authorizing statutes permit the Secretary of the Cabinet or his delegate and the Commissioner to implement or amend practices or procedures to ensure the safe and efficient operation of the Kentucky Department of Corrections.

      (d) How this administrative regulation currently assists or will assist in the effective administration of the statutes: The regulation and material incorporated by reference establish the policies and procedures that govern the operations of the Department of Corrections and its institutions. It provides direction and information to Corrections employees and inmates concerning the operations of the department.

      (2) If this is an amendment to an existing administrative regulation, provide a brief summary of:

      (a) How the amendment will change this existing administrative regulation: The amendment maintains the Kentucky Department of Corrections compliance with ACA standards and updates practices for the department and its institutions.

      (b) The necessity of the amendment to this administrative regulation: To conform to the requirements of KRS 196.035 and 197.020 and update practices for the department and its institutions.

      (c) How the amendment conforms to the content of the authorizing statutes: The authorizing statutes permit the Secretary of the Cabinet or his delegate and the Commissioner to implement or amend practices or procedures to ensure the safe and efficient operation of the Kentucky Department of Corrections.

      (d) How the amendment will assist in the effective administration of the statutes: The amendment provides staff and inmates information concerning the effective and orderly management of the state correctional institutions.

      (3) List the type and number of individuals, businesses, organizations, or state and local governments affected by this administrative regulation: This affects the Kentucky Department of Corrections, 3,992 employees, 24,154 inmates, visitors, volunteers, and others who enter state correctional institutions.

      (4) Provide an analysis of how the entities identified in question (3) will be impacted by either the implementation of this administrative regulation, if new, or by the change, if it is an amendment, including:

      (a) List the actions that each of the regulated entities identified in question (3) will have to take to comply with this administrative regulation or amendment: Staff and inmates will have to follow the changes made in the policies and procedures. The institutional employees and inmates of the Department of Corrections will have to change their actions to comply with any operational changes made by this amendment. Others who enter correctional institutions will have to comply with policies and procedures concerning entry, search, contraband and others when they enter an institution.

      (b) In complying with this administrative regulation or amendment, how much will it cost each of the entities identified in question (3): An exact cost of compliance is unknown, but it is not anticipated that the amendment to this administrative regulation will increase current costs.

      (c) As a result of compliance, what benefits will accrue to the entities identified in question (3): The operational changes will assist in the effective and orderly management of the state correctional institutions.

      (5) Provide an estimate of how much it will cost the administrative body to implement this administrative regulation:

      (a) Initially: CPP 3.17 changes causing the DOC and American Flag patches to be on each side of the jacket and the uniform. Initial costs are expected to increase by approximately $50,000. No increase in funding is anticipated to cover this cost.

      (b) On a continuing basis: These patches will cost approximately $5,000 to $10,000 at the most on an annual basis after the first year. No increase in funding is anticipated.

      (6) What is the source of the funding to be used for the implementation and enforcement of this administrative regulation: Kentucky Department of Corrections budgeted funds for the biennium.

      (7) Provide an assessment of whether an increase in fees or funding will be necessary to implement this administrative regulation, if new, or by the change if it is an amendment: No increase in fees or funding is anticipated.

      (8) State whether or not this administrative regulation established any fees or directly or indirectly increased any fees: The regulation establishes fees for inmates, e.g. health services co-pays, photo ID fee, etc. The amendment does not increase any fees.

      (9) TIERING: Is tiering applied? No. Tiering was not appropriate in this administrative regulation because the administrative regulation applies equally to all those individuals or entities regulated by it.

 

FISCAL NOTE ON STATE OR LOCAL GOVERNMENT

 

      (1) What units, parts, or divisions of state or local government (including cities, counties, fire departments, or school districts) will be impacted by this administrative regulation? The amendments to this regulation impact the operation of the Kentucky Department of Corrections and each state correctional institution.

      (2) Identify each state or federal statute or federal regulation that requires or authorizes the action taken by the administrative regulation. KRS 196.035, 197.020, 439.470, 439.590, 439.640, and 532.260 and to meet American Correctional Association (ACA) standards requirements.

      (3) Estimate the effect of this administrative regulation on the expenditures and revenues of a state or local government agency (including cities, counties, fire departments, or school districts) for the first full year the administrative regulation is to be in effect.

      (a) How much revenue will this administrative regulation generate for the state or local government (including cities, counties, fire departments, or school districts) for the first year?

      (b) How much revenue will this administrative regulation generate for the state or local government (including cities, counties, fire departments, or school districts) for subsequent years? The regulations involves limited fees for medical co-pays, replacement id cards, and other similar items. The revenue is very minimal in comparison to the funds budgeted to the department.

      (c) How much will it cost to administer this program for the first year? The amendments to this regulation impact how the Kentucky Department of Corrections and state correctional institutions operate. The costs for the amendments are not expected to increase the Kentucky Department of Corrections budgeted funds for the biennium. The uniform patch change to include both the DOC patch and American Flag patch on the jacket and the uniform is expected to increase costs by approximately $50,000 for the initial set up.

      (d) How much will it cost to administer this program for subsequent years? The amendments to this regulation impact how the Kentucky Department of Corrections and state correctional institutions operate. The costs for the amendment are not expected to increase costs for the Kentucky Department of Corrections budgeted funds for the biennium. The costs for the patches are expected to be approximately $5,000 to $10,000 at the most on an annual basis after the first year.

      Note: If specific dollar estimates cannot be determined, provide a brief narrative to explain the fiscal impact of the administrative regulation.

      Revenues (+/-):

      Expenditures (+/-):

      Other Explanation: