Title 501 | Chapter 006 | Regulation 540REG
PROPOSED
This document is not yet current.
JUSTICE AND PUBLIC SAFETY CABINET
Department of Corrections
(New Administrative Regulation)
501 KAR 6:540.Inmate record.
Section 1.
Definitions.(1)
"Access" means the ability to view the contents of an inmate record.(2)
"Committed name" means an inmate's name, as it appears on the court order committing the inmate to department's custody, at the time of the inmate's initial commitment to the custody of the Department of Corrections.(3)
"Inmate record" means the official record maintained within the offender management system for an inmate committed to the Department of Corrections for service of a felony sentence.Section 2.
Inmate Record.(1)
The official inmate record shall be maintained in the electronic offender management system for an inmate committed to the Department of Corrections. If an inmate does not exist in the offender management system, the inmate shall be entered into the offender management system upon notice of commitment and sentencing to create an electronic inmate record for the inmate.(2)
The inmate record, along with all official documents retained within the inmate record, shall use the inmate's committed name. Any other names used by an inmate shall be considered an alias and documented as an alias within the inmate record.(3)
The inmate record shall be securely maintained and access limited to authorized users. The contents of the inmate record shall be confidential unless release is required by law, including KRS 61.870 – 61.884. Prior to release authorized by KRS 61.870 – 61.884, information contained in the inmate record shall be carefully evaluated to ensure the release of information will not endanger either the inmate or others and is not prohibited by law. Exemptions to KRS 61.870 – 61.884 may apply.(4)
All judgments, pre-sentence investigations, and risk assessments performed by the department shall be retained as part of the inmate's electronic inmate record in the offender management system. The following records to the extent that they exist for an inmate shall be maintained in the inmate record:(a)
Classification:1.
Forty-eight (48) hour notice;2.
Classification appeal;3.
Conflict questionnaire;4.
Conflict resolution;5.
Correctional Psychiatric Treatment Unit segregation contract;6.
CPTU treatment plan;7.
CPTU voluntary form;8.
Criminal history;9.
Custody classification form signed;10.
General classification correspondence;11.
Good time restoration;12.
Inmate family emergency notification form;13.
Risk assessment score/plan;14.
Miscellaneous (classification);15.
On-the job training form;16.
Orientation;17.
Protective custody form;18.
Protective custody refusal;19.
Receipt of handbook;20.
Request for special reclass;21.
Transfer authorization form; and22.
Waiver of forty-eight (48) hour notice;(b)
Judgments/Detainers/Legal:1.
Administrative remedy request/response;2.
Central office records (required in writing by commissioner or designee);3.
Court orders (other);4.
Court orders (sentencing);5.
Detainer;6.
Documentation of time custody sheet;7.
Executive clemency;8.
General correspondence (Offender Information Services);9.
Hold;10.
Inmate grievance;11.
Institution records(required in writing by warden or designee);12.
Miscellaneous (other);13.
Miscellaneous (Offender Information Services);14.
Open records request/response;15.
Orders for appearance; and16.
Warrant;(c)
Parole/Release:1.
Classification appeal;2.
General services psychological evaluations;3.
Home incarceration application;4.
Mandatory reentry supervision;5.
Miscellaneous (parole/release);6.
Notice of discharge;7.
Parole Board correspondence;8.
Parole Board reading material;9.
Parole Board vote sheets;10.
Parole certificate;11.
Parole risk assessment;12.
Pre parole progress report;13.
Presumptive parole;14.
PSI;15.
Sex offender conditional discharge plan;16.
Supervision risk assessment score/plan;17.
Victim impact statement/letter; and18.
Victim notification letter;(d)
Programs:1.
College diploma;2.
Educational good time form;3.
GED;4.
General correspondence (Programs);5.
Miscellaneous (Programs);6.
Pathfinders;7.
Prerelease program;8.
Substance Abuse Program acceptance;9.
SAP appeal;10.
SAP completion;11.
SAP non-acceptance;12.
SAP termination;13.
Sex offender treatment program report;14.
SOTP acceptance;15.
SOTP appeal;16.
SOTP completion;17.
SOTP non-acceptance;18.
SOTP termination; and19.
Vocational diploma;(e)
Security:1.
Forty-eight (48) hour notice;2.
Authorization to delete visitor form;3.
Behavioral control report;4.
Bedside/funeral visit;5.
Controlled work assignment form;6.
Detention order;7.
Emergency notification;8.
Extraordinary occurrence report;9.
Jail report for disciplinary violation;10.
Media release form;11.
Miscellaneous (security);12.
Occurrence report;13.
Removal of visitation restriction;14.
Request for special reclass;15.
Transportation alert review;16.
Visitation restriction;17.
Visiting information form;(f)
Offender Standard Forms:1.
Affidavit to revoke;2.
Client profile report;3.
Conditions of supervision;4.
Custody classification form signed;5.
Custody time credit;6.
Detention order;7.
Disciplinary report - part I;8.
Disciplinary report - part I (prior);9.
Disciplinary report - part II;10.
Disciplinary report - part II (prior);11.
Escape notice flyer;12.
Final disposition hearing note;13.
Final parole revocation hearing note;14.
Grievance acknowledgement letter;15.
Grievance investigation worksheet;16.
Grievance warden response letter;17.
Initial custody classification;18.
Interstate transfer request;19.
Interstate compact investigation request;20.
Mandatory reentry supervision results of final revocation hearing;21.
MRS revocation hearing note;22.
MRS violation warrant;23.
Parole Board assessment summary;24.
Parole denied order;25.
Parole recommended order;26.
Parole violation warrant;27.
Pre-parole progress form;28.
Pre/post-sentence investigation;29.
Prisoner status change;30.
Probation revocation PSI update;31.
Postincarceration supervision results of final revocation hearing32.
PS revocation hearing note;33.
PS violation warrant;34.
Re-classification custody;35.
Reply to interstate compact transfer investigation request;36.
Request for reduction in custody;37.
Results of final disposition hearing;38.
Results of parole revocation rearing;39.
Sex offender conditional discharge results of final revocation hearing;40.
SOCD revocation hearing note;41.
SOCD violation warrant;42.
Sex offender postincarceration supervision results of final revocation hearing;43.
SOPS revocation hearing note;44.
SOPS violation warrant;45.
Special supervision report;46.
Supplemental investigation (PSI);47.
Transfer authority;48.
Transfer request (in-state P&P);49.
Travel permit;50.
Victim notification; and51.
Violation of supervision report.Section 3.
Use of Committed Name and Name Change.(1)
If an inmate obtains a legal name change by court order or other valid legal process after commitment to the DOC, the inmate may provide a copy of the name change order or other valid legal process to the Offender Information Services Office at his institution to register the name as an alias in the inmate record. The inmate shall continue to use the original committed name and inmate number on all forms for or correspondence with the department but may also use the legally changed name as well.(2)
An inmate may use an alias on documents to and for the department if the committed name and number are used first.COOKIE CREWS, Commissioner
APPROVED BY AGENCY: April 11, 2024
FILED WITH LRC: May 15, 2024 at 10:30 a.m.
PUBLIC HEARING AND COMMENT PERIOD: A public hearing on this administrative regulation shall be held on July 23, 2024, 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 July 31, 2024. 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 and 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 administrative regulation establishes the procedures concerning an inmate record for the Department of Corrections.
(b) The necessity of this administrative regulation:
KRS 196.035 authorizes the secretary to promulgate administrative regulations deemed necessary or suitable for the proper administration of the functions of the cabinet or any division in the cabinet. KRS 197.020 requires the Department of Corrections to promulgate administrative regulations for the government and discipline of the penitentiary and for the government and official conduct of all officials connected with the penitentiary, and for the government of the prisoners in their deportment and conduct. KRS 197.110 authorizes the department to promulgate administrative regulations for purposes as the department deems necessary and proper for carrying out the intent of KRS Chapter 197. KRS 439.470 requires the commissioner to promulgate administrative regulations for the conduct of persons placed on probation or parole except not conflict with the conditions of probation imposed by the court or conditions of release imposed by the Parole Board.
(c) How this administrative regulation conforms to the content of the authorizing statutes:
The administrative regulation governs the operations of the department concerning an inmate record. This administrative regulation complies with the requirements to promulgate administrative regulations as stated in (b).
(d) How this administrative regulation currently assists or will assist in the effective administration of the statutes:
The administrative regulation establishes the procedures that govern the operations of the Department of Corrections, its institutions, and its probation and parole offices concerning an inmate record. It provides direction and information to department employees and offenders 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:
This is a new administrative regulation.
(b) The necessity of the amendment to this administrative regulation:
This is a new administrative regulation.
(c) How the amendment conforms to the content of the authorizing statutes:
This is a new administrative regulation.
(d) How the amendment will assist in the effective administration of the statutes:
This is a new administrative regulation.
(3) List the type and number of individuals, businesses, organizations, or state and local governments affected by this administrative regulation:
This affects the Department of Corrections, approximately 3,900 employees and 23,995 inmates, state correctional institutions, offenders on home incarceration, community offenders on probation and parole, jailers, and jail employees.
(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 offenders will have to change their actions to comply with operational procedures. Jailers and jail employees will have to comply for state inmates housed in a jail.
(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 current costs will increase.
(c) As a result of compliance, what benefits will accrue to the entities identified in question (3):
The operational procedures will assist in the effective and orderly management of the department, its correctional institutions, probation and parole offices, and jails housing state inmates.
(5) Provide an estimate of how much it will cost the administrative body to implement this administrative regulation:
(a) Initially:
An increase in cost is not anticipated.
(b) On a continuing basis:
An increase in cost is not anticipated.
(6) What is the source of the funding to be used for the implementation and enforcement of this administrative regulation:
Department of Corrections budgeted funds for the biennium. County budgeted funds for jail operating expenses with payments from the department.
(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:
An increase in fees or funding is not anticipated.
(8) State whether or not this administrative regulation establishes any fees or directly or indirectly increases any fees:
An increase in cost and fees is not anticipated.
(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 IMPACT STATEMENT
(1) Identify each state statute, federal statute, or federal regulation that requires or authorizes the action taken by the administrative regulation.
KRS 196.035, 197.020, 197.110, 439.470
(2) Identify the promulgating agency and any other affected state units, parts, or divisions:
Department of Corrections and jails that house state inmates
(a) Estimate the following for the first year:
Expenditures:
The administrative regulation impacts how the department operates but is not expected to increase expenditures.
Revenues:
This administrative regulation does not generate revenue.
Cost Savings:
Cost savings are not anticipated.
(b) How will expenditures, revenues, or cost savings differ in subsequent years?
The administrative regulation is not expected to change expenditures, revenues, or cost savings in future years.
(3) Identify affected local entities (for example: cities, counties, fire departments, school districts):
A jail has limited obligations concerning inmate records for state inmates incarcerated by the jail.
(a) Estimate the following for the first year:
Expenditures:
The jail record requirements are limited and expenditures are unknown.
Revenues:
This administrative regulation does not generate revenue for a jail.
Cost Savings:
Cost savings are not anticipated.
(b) How will expenditures, revenues, or cost savings differ in subsequent years?
The administrative regulation is not expected to change expenditures, revenues, or cost savings in future years.
(4) Identify additional regulated entities not listed in questions (2) or (3):
Employees and offenders
(a) Estimate the following for the first year:
Expenditures:
The administrative regulation impacts how the department operates but is not expected to increase expenditures.
Revenues:
This administrative regulation does not generate revenue.
Cost Savings:
Cost savings are not anticipated.
(b) How will expenditures, revenues, or cost savings differ in subsequent years?
The administrative regulation is not expected to change expenditures, revenues, or cost savings in future years.
(5) Provide a narrative to explain the:
(a) Fiscal impact of this administrative regulation:
The administrative regulation impacts how the department and its institutions operate but is not expected to have a fiscal impact. The administrative regulation replaces in part an administrative regulation that is being repealed.
(b) Methodology and resources used to determine the fiscal impact:
The procedures were reviewed and a fiscal impact was not identified. It replaces in part an administrative regulation that is being repealed.
(6) Explain:
(a) Whether this administrative regulation will have an overall negative or adverse major economic impact to the entities identified in questions (2) - (4). ($500,000 or more, in aggregate)
An overall negative or adverse major economic impact is not anticipated.
(b) The methodology and resources used to reach this conclusion:
The procedures were reviewed and a fiscal impact was not identified. It replaces in part an administrative regulation that is being repealed.
JUSTICE AND PUBLIC SAFETY CABINET
Department of Corrections
(New Administrative Regulation)
501 KAR 6:540.Inmate record.
Section 1.
Definitions.(1)
"Access" means the ability to view the contents of an inmate record.(2)
"Committed name" means an inmate's name, as it appears on the court order committing the inmate to department's custody, at the time of the inmate's initial commitment to the custody of the Department of Corrections.(3)
"Inmate record" means the official record maintained within the offender management system for an inmate committed to the Department of Corrections for service of a felony sentence.Section 2.
Inmate Record.(1)
The official inmate record shall be maintained in the electronic offender management system for an inmate committed to the Department of Corrections. If an inmate does not exist in the offender management system, the inmate shall be entered into the offender management system upon notice of commitment and sentencing to create an electronic inmate record for the inmate.(2)
The inmate record, along with all official documents retained within the inmate record, shall use the inmate's committed name. Any other names used by an inmate shall be considered an alias and documented as an alias within the inmate record.(3)
The inmate record shall be securely maintained and access limited to authorized users. The contents of the inmate record shall be confidential unless release is required by law, including KRS 61.870 – 61.884. Prior to release authorized by KRS 61.870 – 61.884, information contained in the inmate record shall be carefully evaluated to ensure the release of information will not endanger either the inmate or others and is not prohibited by law. Exemptions to KRS 61.870 – 61.884 may apply.(4)
All judgments, pre-sentence investigations, and risk assessments performed by the department shall be retained as part of the inmate's electronic inmate record in the offender management system. The following records to the extent that they exist for an inmate shall be maintained in the inmate record:(a)
Classification:1.
Forty-eight (48) hour notice;2.
Classification appeal;3.
Conflict questionnaire;4.
Conflict resolution;5.
Correctional Psychiatric Treatment Unit segregation contract;6.
CPTU treatment plan;7.
CPTU voluntary form;8.
Criminal history;9.
Custody classification form signed;10.
General classification correspondence;11.
Good time restoration;12.
Inmate family emergency notification form;13.
Risk assessment score/plan;14.
Miscellaneous (classification);15.
On-the job training form;16.
Orientation;17.
Protective custody form;18.
Protective custody refusal;19.
Receipt of handbook;20.
Request for special reclass;21.
Transfer authorization form; and22.
Waiver of forty-eight (48) hour notice;(b)
Judgments/Detainers/Legal:1.
Administrative remedy request/response;2.
Central office records (required in writing by commissioner or designee);3.
Court orders (other);4.
Court orders (sentencing);5.
Detainer;6.
Documentation of time custody sheet;7.
Executive clemency;8.
General correspondence (Offender Information Services);9.
Hold;10.
Inmate grievance;11.
Institution records(required in writing by warden or designee);12.
Miscellaneous (other);13.
Miscellaneous (Offender Information Services);14.
Open records request/response;15.
Orders for appearance; and16.
Warrant;(c)
Parole/Release:1.
Classification appeal;2.
General services psychological evaluations;3.
Home incarceration application;4.
Mandatory reentry supervision;5.
Miscellaneous (parole/release);6.
Notice of discharge;7.
Parole Board correspondence;8.
Parole Board reading material;9.
Parole Board vote sheets;10.
Parole certificate;11.
Parole risk assessment;12.
Pre parole progress report;13.
Presumptive parole;14.
PSI;15.
Sex offender conditional discharge plan;16.
Supervision risk assessment score/plan;17.
Victim impact statement/letter; and18.
Victim notification letter;(d)
Programs:1.
College diploma;2.
Educational good time form;3.
GED;4.
General correspondence (Programs);5.
Miscellaneous (Programs);6.
Pathfinders;7.
Prerelease program;8.
Substance Abuse Program acceptance;9.
SAP appeal;10.
SAP completion;11.
SAP non-acceptance;12.
SAP termination;13.
Sex offender treatment program report;14.
SOTP acceptance;15.
SOTP appeal;16.
SOTP completion;17.
SOTP non-acceptance;18.
SOTP termination; and19.
Vocational diploma;(e)
Security:1.
Forty-eight (48) hour notice;2.
Authorization to delete visitor form;3.
Behavioral control report;4.
Bedside/funeral visit;5.
Controlled work assignment form;6.
Detention order;7.
Emergency notification;8.
Extraordinary occurrence report;9.
Jail report for disciplinary violation;10.
Media release form;11.
Miscellaneous (security);12.
Occurrence report;13.
Removal of visitation restriction;14.
Request for special reclass;15.
Transportation alert review;16.
Visitation restriction;17.
Visiting information form;(f)
Offender Standard Forms:1.
Affidavit to revoke;2.
Client profile report;3.
Conditions of supervision;4.
Custody classification form signed;5.
Custody time credit;6.
Detention order;7.
Disciplinary report - part I;8.
Disciplinary report - part I (prior);9.
Disciplinary report - part II;10.
Disciplinary report - part II (prior);11.
Escape notice flyer;12.
Final disposition hearing note;13.
Final parole revocation hearing note;14.
Grievance acknowledgement letter;15.
Grievance investigation worksheet;16.
Grievance warden response letter;17.
Initial custody classification;18.
Interstate transfer request;19.
Interstate compact investigation request;20.
Mandatory reentry supervision results of final revocation hearing;21.
MRS revocation hearing note;22.
MRS violation warrant;23.
Parole Board assessment summary;24.
Parole denied order;25.
Parole recommended order;26.
Parole violation warrant;27.
Pre-parole progress form;28.
Pre/post-sentence investigation;29.
Prisoner status change;30.
Probation revocation PSI update;31.
Postincarceration supervision results of final revocation hearing32.
PS revocation hearing note;33.
PS violation warrant;34.
Re-classification custody;35.
Reply to interstate compact transfer investigation request;36.
Request for reduction in custody;37.
Results of final disposition hearing;38.
Results of parole revocation rearing;39.
Sex offender conditional discharge results of final revocation hearing;40.
SOCD revocation hearing note;41.
SOCD violation warrant;42.
Sex offender postincarceration supervision results of final revocation hearing;43.
SOPS revocation hearing note;44.
SOPS violation warrant;45.
Special supervision report;46.
Supplemental investigation (PSI);47.
Transfer authority;48.
Transfer request (in-state P&P);49.
Travel permit;50.
Victim notification; and51.
Violation of supervision report.Section 3.
Use of Committed Name and Name Change.(1)
If an inmate obtains a legal name change by court order or other valid legal process after commitment to the DOC, the inmate may provide a copy of the name change order or other valid legal process to the Offender Information Services Office at his institution to register the name as an alias in the inmate record. The inmate shall continue to use the original committed name and inmate number on all forms for or correspondence with the department but may also use the legally changed name as well.(2)
An inmate may use an alias on documents to and for the department if the committed name and number are used first.COOKIE CREWS, Commissioner
APPROVED BY AGENCY: April 11, 2024
FILED WITH LRC: May 15, 2024 at 10:30 a.m.
PUBLIC HEARING AND COMMENT PERIOD: A public hearing on this administrative regulation shall be held on July 23, 2024, 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 July 31, 2024. 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 and 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 administrative regulation establishes the procedures concerning an inmate record for the Department of Corrections.
(b) The necessity of this administrative regulation:
KRS 196.035 authorizes the secretary to promulgate administrative regulations deemed necessary or suitable for the proper administration of the functions of the cabinet or any division in the cabinet. KRS 197.020 requires the Department of Corrections to promulgate administrative regulations for the government and discipline of the penitentiary and for the government and official conduct of all officials connected with the penitentiary, and for the government of the prisoners in their deportment and conduct. KRS 197.110 authorizes the department to promulgate administrative regulations for purposes as the department deems necessary and proper for carrying out the intent of KRS Chapter 197. KRS 439.470 requires the commissioner to promulgate administrative regulations for the conduct of persons placed on probation or parole except not conflict with the conditions of probation imposed by the court or conditions of release imposed by the Parole Board.
(c) How this administrative regulation conforms to the content of the authorizing statutes:
The administrative regulation governs the operations of the department concerning an inmate record. This administrative regulation complies with the requirements to promulgate administrative regulations as stated in (b).
(d) How this administrative regulation currently assists or will assist in the effective administration of the statutes:
The administrative regulation establishes the procedures that govern the operations of the Department of Corrections, its institutions, and its probation and parole offices concerning an inmate record. It provides direction and information to department employees and offenders 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:
This is a new administrative regulation.
(b) The necessity of the amendment to this administrative regulation:
This is a new administrative regulation.
(c) How the amendment conforms to the content of the authorizing statutes:
This is a new administrative regulation.
(d) How the amendment will assist in the effective administration of the statutes:
This is a new administrative regulation.
(3) List the type and number of individuals, businesses, organizations, or state and local governments affected by this administrative regulation:
This affects the Department of Corrections, approximately 3,900 employees and 23,995 inmates, state correctional institutions, offenders on home incarceration, community offenders on probation and parole, jailers, and jail employees.
(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 offenders will have to change their actions to comply with operational procedures. Jailers and jail employees will have to comply for state inmates housed in a jail.
(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 current costs will increase.
(c) As a result of compliance, what benefits will accrue to the entities identified in question (3):
The operational procedures will assist in the effective and orderly management of the department, its correctional institutions, probation and parole offices, and jails housing state inmates.
(5) Provide an estimate of how much it will cost the administrative body to implement this administrative regulation:
(a) Initially:
An increase in cost is not anticipated.
(b) On a continuing basis:
An increase in cost is not anticipated.
(6) What is the source of the funding to be used for the implementation and enforcement of this administrative regulation:
Department of Corrections budgeted funds for the biennium. County budgeted funds for jail operating expenses with payments from the department.
(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:
An increase in fees or funding is not anticipated.
(8) State whether or not this administrative regulation establishes any fees or directly or indirectly increases any fees:
An increase in cost and fees is not anticipated.
(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 IMPACT STATEMENT
(1) Identify each state statute, federal statute, or federal regulation that requires or authorizes the action taken by the administrative regulation.
KRS 196.035, 197.020, 197.110, 439.470
(2) Identify the promulgating agency and any other affected state units, parts, or divisions:
Department of Corrections and jails that house state inmates
(a) Estimate the following for the first year:
Expenditures:
The administrative regulation impacts how the department operates but is not expected to increase expenditures.
Revenues:
This administrative regulation does not generate revenue.
Cost Savings:
Cost savings are not anticipated.
(b) How will expenditures, revenues, or cost savings differ in subsequent years?
The administrative regulation is not expected to change expenditures, revenues, or cost savings in future years.
(3) Identify affected local entities (for example: cities, counties, fire departments, school districts):
A jail has limited obligations concerning inmate records for state inmates incarcerated by the jail.
(a) Estimate the following for the first year:
Expenditures:
The jail record requirements are limited and expenditures are unknown.
Revenues:
This administrative regulation does not generate revenue for a jail.
Cost Savings:
Cost savings are not anticipated.
(b) How will expenditures, revenues, or cost savings differ in subsequent years?
The administrative regulation is not expected to change expenditures, revenues, or cost savings in future years.
(4) Identify additional regulated entities not listed in questions (2) or (3):
Employees and offenders
(a) Estimate the following for the first year:
Expenditures:
The administrative regulation impacts how the department operates but is not expected to increase expenditures.
Revenues:
This administrative regulation does not generate revenue.
Cost Savings:
Cost savings are not anticipated.
(b) How will expenditures, revenues, or cost savings differ in subsequent years?
The administrative regulation is not expected to change expenditures, revenues, or cost savings in future years.
(5) Provide a narrative to explain the:
(a) Fiscal impact of this administrative regulation:
The administrative regulation impacts how the department and its institutions operate but is not expected to have a fiscal impact. The administrative regulation replaces in part an administrative regulation that is being repealed.
(b) Methodology and resources used to determine the fiscal impact:
The procedures were reviewed and a fiscal impact was not identified. It replaces in part an administrative regulation that is being repealed.
(6) Explain:
(a) Whether this administrative regulation will have an overall negative or adverse major economic impact to the entities identified in questions (2) - (4). ($500,000 or more, in aggregate)
An overall negative or adverse major economic impact is not anticipated.
(b) The methodology and resources used to reach this conclusion:
The procedures were reviewed and a fiscal impact was not identified. It replaces in part an administrative regulation that is being repealed.