501 KAR 6:270E
A system of graduated sanctions is required to be adopted by January 1, 2012 pursuant to KRS 439.3107. Corrections Policy and Procedure 27-15-03, which is incorporated by reference in this administrative regulation, promulgates part of this system together with 501 KAR 6:250. This administrative regulation is authorized to be filed as an emergency administrative regulation pursuant to KRS 13A.190(1)(a)(3). An ordinary administrative regulation alone will not cause the system of graduated sanctions to be adopted by the statutory deadline. This emergency administrative regulation shall be replaced by an ordinary administrative regulation. The ordinary administrative regulation is being filed with the Regulations Compiler simultaneously with the emergency administrative regulation. The ordinary administrative regulation is identical to this emergency administrative regulation.
HON. STEVEN L. BESHEAR, Governor
LADONNA H. THOMPSON, Commissioner
JUSTICE AND PUBLIC SAFETY CABINET
Department of Corrections
(Emergency Amendment)
501 KAR 6:270E. Probation and parole policies and procedures.
RELATES TO: KRS Chapters 196, 197, 439
STATUTORY AUTHORITY: KRS 196.035, 197.020, 439.3104, 439.3105, 439.3107, 439.345, 439.470, 439.551, 439.590, 439.640
EFFECTIVE: December 16, 2011
NECESSITY, FUNCTION, AND CONFORMITY: KRS 196.035, 197.020, 439.3105, 439.3107, 439.345, 439.470, 439.551, 439.590, 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 Division of Probation and Parole.
Section 1. Incorporation by Reference.
(1) "Probation and Parole Policies and Procedures," December 16,
2011[September 12, 2008], are incorporated by reference. Probation
and Parole Policies and Procedures include:
27-06-02 Equal Access to Services (Added 1/12/05)
27-07-01 Cooperation with Law Enforcement Agencies (Added 1/12/05)
27-08-01 Critical
Incident Planning and Reporting and Use of Force[and Critical Incident
Reporting] (Amended 12/16/11[12/9/08])
27-09-01 Kentucky Community Resources Directory (Added 1/12/05)
27-10-01 Pretrial Diversion (Amended 4/12/05)
27-10-02 Mandatory Re-Entry Supervision (Added 12/16/11)
27-10-03 Postincarceration Supervision (Added 12/16/11)
27-11-01 Citizen Complaints (Amended 2/13/06)
27-11-02 Staff-Offender Interaction (Added 9/12/08)
27-12-01 Case
Classification (Amended 12/16/11[12/9/08])[27-12-02 Risk Scale
Assessment (Amended 4/12/05)]
27-12-03 Initial
Interview and Intake of New Case (Amended 12/16/11)[(Added 1/12/05)]
27-12-04 Conditions
of Supervision Document and Request for Modification (Amended 12/16/11)[(Added
1/12/05)]
27-12-05 Releasee's Report Document (Added 1/12/05)
27-12-06 Grievance
Procedures for Offenders (Amended 12/16/11)[(Added 1/12/05)]
27-12-07 Administrative
Caseloads (Added 12/16/11)[27-12-08 Supervision Planning (Amended 4/12/05)]
27-12-11 Guidelines
for Monitoring Financial Obligations (Amended 12/16/11[4/12/05])
27-12-13 Community Service Work (Added 1/12/05)
27-12-14 Offender
Travel (Amended 12/16/11[9/12/08])
27-13-01 Drug
and Alcohol Testing of Offenders (Amended 12/16/11[4/12/05])
27-14-01 Interstate
Compact (Amended 12/16/11[4/12/05])
27-15-01 Investigating
and Reporting Violations and Unusual Incidents (Amended 12/16/11)[Supervision
Reporting Documents, Violations and Unusual Incidents (Added 1/12/05)]
27-15-03 Graduated Sanctions and Discretionary Detention (Added 12/16/11)
27-16-01 Search, Seizure, and Processing of Evidence (Amended 12/9/08)
27-17-01 Absconder Procedures (Amended 4/12/05)
27-18-01 Probation and Parole Issuance of Detainer or Warrant (Amended 4/12/05)
27-19-01 Preliminary
Revocation Hearing (Amended 12/16/11[4/12/05]) [27-20-02 Prisoner
Intake Notification (Added 1/12/05)]
27-20-03 Parole
Compliance Credit (Amended 12/16/11) [Prisoner Status Change (Added
1/12/05)]
27-21-01 Apprehension
of Probation and Parole Violators (Amended 12/16/11[12/9/08])
27-23-01 In-state Transfer (Added 1/12/05)
27-24-01 Releasing
Offender from Active Supervision (Amended 12/16/11)[(Added 1/12/05)]
27-24-02 Reinstatement of Offenders to Active Supervision (Added 1/12/05)
27-26-01 Assistance to Former Offenders and Dischargees (Amended 2/13/06)
27-30-01 Sex
Offender Registration (Amended 12/16/11[12/9/08])
27-30-02 Sex
Offender Supervision (Amended 12/16/11[12/9/08])
27-32-01 Student Intern Program (Amended 12/14/05)
27-32-02 Community Based Volunteer Citizen Involvement (Amended 2/13/06)
28-01-01 Probation
and Parole Investigation Reports,[Introduction, Definitions,]
Confidentiality, Timing, and General Comments (Amended 12/16/11[4/12/05])
28-01-02 Probation
and Parole Investigation Documents (Administrative Responsibilities) (Amended
12/16/11)[(Added 1/12/05)]
28-01-03 Presentence,
Postsentence, and Other Investigative Reports (Amended 12/16/11)[Supplemental
and Partial Investigations (Added 1/12/05)]
28-01-08 Calculation
of Custody Time Credit (Amended 12/16/11)[Probation and Parole
Investigation Reports, Partial Investigation Reports and Submissions Schedule
(Amended 4/12/05)]
28-01-09 Release of Information of Factual Content on Presentence or Postsentence Investigation Documents (Added 1/12/05)
28-03-01 Parole
Plan Investigation, Half-way Houses and Sponsorship (Amended 12/16/11)[Parole
Planning, investigation request, halfway houses, Parole Officer to monitor
employment search and sponsorship (Amended 4/12/05)]
28-03-02 Release
on Parole (Amended 12/16/11)[Expedient Release Parole Planning
investigative request (Added 1/12/05)]
28-04-01 Furlough Verifications (Added 1/12/05)
(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.
LADONNA H. THOMPSON, Commissioner
APPROVED BY AGENCY: December 16, 2011
FILED WITH LRC: December 16, 2011 at 4 p.m.
CONTACT PERSON: Amy V. Barker, Justice and Public Safety Cabinet, Office of Legal Services, 125 Holmes Street, Frankfort, Kentucky 40601, phone (502) 564-3279, fax (502) 564-6686.
REGULATORY IMPACT ANALYSIS AND TIERING STATEMENT
Contact Person: Amy Barker (502) 564-3279
(1) Provide a brief summary of:
(a) What this administrative regulation does: This regulation establishes policies and procedures relating to supervision of probation and parole offenders.
(b) The necessity of this administrative regulation: To conform to the requirements of KRS 196.035, 196.037, 196.070, 196.075, 439.3101, 439.3104, 439.3105, 439.345, 439.470, 439.480, 439.551, and 439.552.
(c) How this administrative regulation conforms to the content of the authorizing statutes: This regulation updates policy and procedures and adds language to address new legislative requirements in HB 463 of the 2011 legislative session. The regulation establishes policies and procedures relating to supervision of probation and parole offenders.
(d) How this administrative regulation currently assists or will assist in the effective administration of the statutes: The regulation establishes policies and procedures relating to supervision of probation and parole offenders and provides clear direction and information to probation & parole employees in the supervision of offenders.
(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 amendments revise policies and procedures for probation and parole, adds language to address legislative requirements in HB 463, and makes revisions to comply with American Correctional Association (ACA) standards.
(b) The necessity of the amendment to this administrative regulation: To conform to the requirements of KRS 439.3101, 439.3104, 439.3105, 439.345, 439.470, 439.551, and 439.552.
(c) How the amendment conforms to the content of the authorizing statutes: The amendment promulgates regulations required by HB 463. The Department is authorized to implement or amend practices or procedures to ensure the safe and efficient operation of the Division of Probation & Parole.
(d) How the amendment will assist in the effective administration of the statutes: This will assist the Division of Probation & Parole in operating more efficiently by enhancing supervision strategies, providing methodology for identifying offender programming needs, and adopting the most effective programming and intervention practices.
(3) List the type and number of individuals, businesses, organizations, or state and local governments affected by this administrative regulation: This affects the 684 Kentucky Department of Corrections Division of Probation and Parole employees, 41,000 offenders, and 120 releasing courts.
(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: Probation and parole officers will have to learn new procedures to comply with statutory and regulatory changes. The Department will provide additional training to staff and make changes to the offender management system. Offenders’ supervision will be focused on criminogenic needs with targeted interventions.
(b) In complying with this administrative regulation or amendment, how much will it cost each of the entities identified in question (3): The changes that were necessitated by the HB 463 together with the amendment to this regulation include $1.2 million to update the offender management system. It is anticipated that there will be 54 more staff needed to operate under the changes in HB 463 and this administrative regulation, at an approximate cost of $3.6 million for FY13. This staffing amount includes officers to supervise an increase of 1300-1500 offenders released to mandatory re-entry supervision in 2012.
(c) As a result of compliance, what benefits will accrue to the entities identified in question (3): Offenders will benefit from efficient probation and parole supervision and more streamlined supervision processes. The Division of Probation & Parole will allocate resources to supervision services, interventions, and strategies according to nationally set best practices.
(5) Provide an estimate of how much it will cost to implement this administrative regulation:
(a) Initially: The costs incurred stem initially from the legislative changes and this regulation amendment implements those legislative changes. Initial costs include $1.2 million to update the offender management system. A staffing increase of 54 more staff has been requested for FY13, at an approximate cost of $3.6 million. This includes infrastructure and equipment costs as well as $467,600 for additional costs in leased office space. Additionally, an annual training cost per officer of $411 will total $22,000 for these new staff.
(b) On a continuing basis: The Division is requesting an additional 34 staff in FY14 at a cost of $2.1 million, plus the on-going cost of maintaining the additional staff hired in FY13, estimated at $3.5 million. Additionally there are training and equipment costs for existing staff, estimated in the amount of $240,602 for FY14.
(6) What is the source of funding to be used for the implementation and enforcement of this administrative regulation: Kentucky Department of Corrections budgeted funds and additional funds will need to be allocated by the legislature to fully implement the requirements of HB 463.
(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: The costs incurred stem initially from the legislative changes and this regulation amendment implements those legislative changes. Additional funds will need to be allocated by the legislature to fully implement the requirements of HB 463.
(8) State whether or not this administrative regulation establishes any fees or directly or indirectly increases any fees: The regulation establishes uniformity in the supervision fee paid by Interstate Compact offenders being supervised in Kentucky, in accordance with Interstate Compact requirements. The regulation also sets an amount for drug testing fees for offenders on probation and parole supervision.
(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. Does this administrative regulation relate to any program, service, or requirements of a state or local government (including cities, counties, fire departments, or school districts)? Yes.
2. 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 Kentucky Department of Corrections.
3. Identify each state or federal statute or federal regulation that requires or authorizes the action taken by the administrative regulation. KRS 196.035, 196.037, 196.070, 196.075, 439.310, 439.3101, 439.3104, 439.3105, 439.345, 439.470, 439.480, 439.551, and 439.552.
4. Estimate the effect of this administrative regulation on the expenditures and revenues of a state or local government (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? The releasing authority sets fees for most offenders. This regulation sets supervision fees for Interstate Compact offenders, which is estimated to generate approximately $201,450 annually. These fees are allocated to the Kentucky general fund. This regulation also sets fees for drug testing required for offenders on supervision. In FY 2011, the Division collected $1.5 million in drug testing fees. Drug testing fees collected are allocated to Department of Corrections restricted funds.
(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? It is anticipated that the amount collected will be similar for subsequent years.
(c) How much will it cost to administer this program for the first year? No new program is created. The costs incurred for the regulation stem initially from the legislative changes and this regulation amendment implements those legislative changes. A staffing increase of 54 more staff has been requested for FY13, at an approximate cost of $3.6 million. This includes infrastructure and equipment costs as well as $467,600 for additional costs in leased office space. Additionally, an annual training cost per officer of $411 will total $22,000 for these new staff.
(d).How much will it cost to administer this program for subsequent years? The Division is requesting an additional 34 staff in FY14 at a cost of $2.1 million, plus the on-going cost of maintaining the additional staff hired in FY13, estimated at $3.5 million. Additionally there are training and equipment costs for existing staff, estimated in the amount of $240,602 for FY14.
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: