JUSTICE AND PUBLIC SAFETY CABINET

Department of Corrections

(Amendment)

 

      501 KAR 6:270. 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

      NECESSITY, FUNCTION, AND CONFORMITY: KRS 196.035, 197.020, 439.3105, 439.3107, 439.345, 439.470, and 439.551 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," June, 28, 2017[August 11, 2015], are incorporated by reference. Probation and Parole Policies and Procedures include:

27-06-02   Access to Services (Amended 6/4/15)

27-07-01   Cooperation with Law Enforcement Agencies (Amended 6/4/15)

27-08-01   Critical Incident Planning and Reporting and Use of Force (Amended 8/11/15)

27-09-01   Community Resources (Amended 6/4/15)

27-10-01   Pretrial Diversion (Amended 6/4/15)

27-10-02   Mandatory Re-Entry Supervision (Amended 6/4/15)

27-10-03   Post-incarceration Supervision (Amended 6/4/15)

27-11-01   Citizen Complaints (Amended 6/4/15)

27-11-02   Employee-Offender Interaction (Amended 6/4/15)

27-12-01   Case Classification (Amended 8/11/15)

27-12-03   Initial Interview and Intake of New Case (Amended 8/11/15)

27-12-04   Conditions of Supervision Document and Request for Modification (Amended 6/4/15)

27-12-05   Releasee's Report Document (Amended 6/4/15)

27-12-06   Grievance Procedures for Offenders (Amended 6/4/15)

27-12-07   Administrative Caseloads (Amended 6/4/15)

27-12-11   Guidelines for Monitoring Financial Obligations (Amended 6/4/15)

27-12-13   Community Service Work (Amended 8/11/15)

27-12-14   Offender Travel (Amended 6/4/15)

27-13-01   Drug and Alcohol Testing, Assessment, and Referral of Offenders (Amended 6/4/15)

27-14-01   Interstate Compact (Amended 6/4/15)

27-15-01   Investigating and Reporting Violations and Unusual Incidents (Amended 6/4/15)

27-15-02   Home Incarceration, Curfew, and Electronic Monitoring for Community Offenders (Added 6/4/15)

27-15-03   Graduated Sanctions and Discretionary Detention (Amended 6/28/17[6/4/15])

27-16-01   Search, Seizure, and Processing of Evidence (Amended 8/11/15)

27-17-01   Absconder Procedure (Amended 7/11/12)

27-18-01   Probation and Parole Issuance of Detainer or Warrant (Amended 7/11/12)

27-19-01   Preliminary Revocation Hearing (Amended 6/4/15)

27-20-03   Parole Compliance Credit (Amended 6/28/17[3/12/12])

27-21-01   Apprehension of Probation and Parole Violators (Amended 12/16/11)

27-23-01   In-state Transfer (Amended 7/11/12)

27-24-01   Releasing Offender from Active Supervision (Amended 12/16/11)

27-24-02   Reinstatement of Offenders to Active Supervision (Amended 7/11/12)

27-26-01   Assistance to Former Offenders and Dischargees (Amended 7/11/12)

27-30-01   Sex Offender Registration (Amended 12/16/11)

27-30-02   Sex Offender Supervision (Amended 7/11/12)

28-01-01   Probation and Parole Investigation Reports, Confidentiality, Timing, and General Comments (Amended 12/16/11)

28-01-02   Probation and Parole Investigation Documents (Administrative Responsibilities) (Amended 12/16/11)

28-01-03   Presentence, Post-sentence, and Other Investigative Reports (Amended 3/12/12)

28-01-08   Calculation of Custody Time Credit (Amended 9/11/12)

28-03-01   Parole Plan Investigation, Half-way Houses, and Sponsorship (Amended 3/12/12)

28-03-02   Release on Parole (Amended 12/16/11)

28-04-01   Furlough Verifications (Amended 7/11/12)

      (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.

 

JAMES ERWIN, Acting Commissioner

      APPROVED BY AGENCY: June 13, 2017

      FILED WITH LRC: June 28, 2017 at 2 p.m.

      PUBLIC HEARING AND PUBLIC COMMENT PERIOD: A public hearing on this administrative regulation shall be held on August 23, 2017, at 9:00 a.m. at the Justice and Public Safety Cabinet, 125 Holmes Street, Frankfort, Kentucky 40601. Individuals interested in being heard at this hearing shall notify this agency in writing by five workdays prior to the hearing, of their intent to attend. If no notification of intent to attend the hearing was received by that date, the hearing may be cancelled. A transcript of the public hearing will not be made unless a written request for a transcript is made. If you do not wish to be heard at the public hearing, you may submit written comments on the proposed administrative regulation. Written comments shall be accepted through August 31, 2017. Send written notification of intent to be heard at the public hearing or written comments on the proposed administrative regulation to the contact person.

      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 establishes policies and procedures relating to supervision of offenders on probation and parole.

      (b) The necessity of this administrative regulation: To conform to the requirements of KRS 196.075, 439.3107, 439.3108, 439.3406(6), 439.470, and 439.562.

      (c) How this administrative regulation conforms to the content of the authorizing statutes: This regulation updates policy and procedures relating to supervision of offenders on probation and parole and other types of supervised release.

      (d) How this administrative regulation currently assists or will assist in the effective administration of the statutes: The regulation and material incorporated by reference establishes policies and procedures relating to supervision of offenders and provides direction and information to Probation and 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 amendment updates policies and procedures for the Division of Probation and Parole and addresses statute revisions in the last legislative session.

      (b) The necessity of the amendment to this administrative regulation: To update policies and procedures and address statute revisions from the last legislative session for offenders on supervision for which regulations are required by the authorizing statutes.

      (c) How the amendment conforms to the content of the authorizing statutes: The amendment updates policy and procedures relating to supervision of offenders. The Department is authorized to implement or amend practices or procedures to ensure the safe and efficient operation of the Division of Probation and Parole.

      (d) How the amendment will assist in the effective administration of the statutes: The amendment provides staff and offenders updated policies and procedures to comply with statutory changes and improve operations.

      (3) List the type and number of individuals, businesses, organizations, or state and local governments affected by this administrative regulation: This affects 860 Kentucky Department of Corrections Division of Probation and Parole employees, 46,481 offenders, and 120 Circuit Courts and the Parole Board.

      (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: Department of Corrections staff will have to learn the updates in the policies and procedures. The Department will provide routine training to staff. Offenders will have to abide by revised policies.

      (b) In complying with this administrative regulation or amendment, how much will it cost each of the entities identified in question (3): This amendment does not change the cost for the offenders or other organizations.

      (c) As a result of compliance, what benefits will accrue to the entities identified in question (3): Compliance with statutory changes is required. Offenders, who are eligible, will benefit from legislative changes that allow for them to obtain supervised compliance credit if compliant. Offenders will benefit from efficient probation and parole supervision, more streamlined supervision processes, and focused intervention strategies. The Division of Probation and Parole will allocate resources to supervision services and programs according to nationally recognized evidence based practices.

      (5) Provide an estimate of how much it will cost the administrative body to implement this administrative regulation: Due to changes needed in the Kentucky Offender Management System, the cost is estimated to be approximately $285,000.

      (a) Initially: The amendment to the regulation updates supervision practices but does not add costs beyond what is budgeted to the Department of Corrections. The Department continues to staff as funding levels allow.

      (b) On a continuing basis: The amendment to the regulation updates supervision practices but does not add costs beyond what is budgeted to the Department of Corrections. The Department continues to staff as funding levels allow.

      (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.

      (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 will be necessary to implement the amendment of this administrative regulation.

      (8) State whether or not this administrative regulation established any fees or directly or indirectly increased any fees: The releasing authority sets fees for most offenders. This regulation sets supervision fees for Interstate Compact offenders. This regulation also sets fees for drug testing required for offenders on supervision. No increase in fees has been made in this amendment.

      (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 amendment to this regulation impacts the operations of the Kentucky Department of Corrections, 120 Circuit Courts, and the Parole Board.

      (2) Identify each state or federal statute or federal regulation that requires or authorizes the action taken by the administrative regulation. KRS 196.030, 196.037, 196.070, 196.075, 197.045, 439.310, 439.3106, 439.3107, 439.3108, 439.3406, 439.346, 439.348, 439.430, 439.470, 439.480, 439.551, 439.552, 439.561, 439.563, 532.050, 532.220, 533.020, 533.030, 533.050, 533.250, 533.256.

      (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? The releasing authority sets fees for most offenders. This regulation sets supervision fees for Interstate Compact offenders, which is estimated to generate approximately $150,000-200,000 annually. These fees are allocated to the Kentucky general fund. This regulation also sets fees for drug testing required for offenders on supervision. In CY 2016, the Division collected over $819,000 in drug testing fees. Drug testing fees collected are allocated to Department of Corrections restricted funds. This amendment does not affect revenue.

      (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. This amendment does not affect revenue. This amendment will allow for eligible parolees to be released from supervision earlier due to supervised compliance credit; however, with the growing population, the increased use of discretionary detention, and immediate releases, it is estimated that revenue will not be affected by this amendment.

      (c) How much will it cost to administer this program for the first year? For changes to the Offender Management System it is estimated to cost around $285,000.

      (d) How much will it cost to administer this program for subsequent years? The Department continues to staff as funding levels allow.

      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: