ATTACHMENT A - 1 INDIANA DEPARTMENT OF ... Total.pdfI. RE-ENTRY PORTFOLIO: A manila envelope, kept...

ATTACHMENT A - 1

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INDIANA DEPARTMENT OF CORRECTION

ACCESS - ASSIGNMENT - MOVEMENT - RELEASE

Dat:e Internal External

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DO NOT FILE ON TOP OF THIS CARD

State Form 31594 (A/7-89}

ATTACHMENT A - 2


OFFENSES -- SENTENCES

Court Cause DOS Offense Sentence Date No. Comptd.

File on top except for discharge from final sentence.

State Form 31599

ATTACHMENT A - 3

INDIANA DEPARTMENT OF CORREC~ION

EXTERNAL INTEREST

--No Long<'r

Date Com.'llents Wanted D.a t:e

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-

-

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State Form 31669 (R/7-S9)

ATTACHMENT A - 4


CONDUCT SiJ!"l'LARY

Date Code Infraction Disposition


tate Form 31679 (R/7-89)

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' ATTACHMENT A - 5

INDIANA DEPARTMENT OF CORRECTION ~

CLEMENCY - PAROLE - SENTENCE

Sentence

Date Action Comments


State For~ 31682

ATTACHMENT B

ADULT OFFENDER FACILITY / CENTRAL OFFICE PACKETS (3/1/2017)

SECTION I ACCESS - ASSIGNMENT - MOVEMENT-RELEASE, State Form 31594

On top of all documents.

CREDIT-TIME/RELEASE RECORD, State Form 5549 or OIS printout.

Under State Form 31594. ADULT OFFENDER ARRIVAL AND IDENTIFICATION,

State Form 4837R2 or OIS printout. Under State Form 5549.

REVIEW AND/OR RELEASE OF OFFICIAL RECORD, State Form 36083. STATE POLICE FINGERPRINT CARD, State Form 36207, and envelope.

Facility packet only. On bottom -- under all documents.

Indiana Offender DNA Database State Form 47808 Offender Telephone System PIN Form HEALTH CARE SERVICES.

DEMAND FOR HEARING - WAIVER OF HEARING, State Form 4900.

DENTAL DOCUMENTS.

HEALTH CARE SERVICES REFUSAL FORM, State Form 9262.

WAIVER OF DENTAL, MEDICAL PSYCHIATRIC AND/OR PSYCHOLOGICAL TREATMENT. MEDICAL DOCUMENTS. NOTICE OF TRANSFER AND RIGHT TO HEARING, State Form 3803. NOTICE OF TRANSFER AND RIGHT TO HEARING (EMERGENCY) State Form 3804. SPECIAL MEDICAL INFORMATION, State Form 3294R.

SECTION I (CONTINUED)

TRANSFER REQUEST TO THE DEPARTMENT OF MENTAL HEALTH, State Form 6588.

PROFILE OF OFFENDER.

ADULT OFFENDER FACILITY / CENTRAL OFFICE PACKET SECTION II ADMISSION/SENTENCE(S)/TRANSFER/DISCHARGE OFFENSES - SENTENCES, State Form 31599

On top except for CERTIFICATE OF FINAL DISCHARGE, State Form 49, when the last of all sentences is satisfied.

PHOTOGRAPH.

Under State Form 31599. EXTERNAL/INTERNAL COMMITMENT CHANGE, State Form 37148R.

Under photograph. DISCHARGE.

CERTIFICATE OF FINAL DISCHARGE, State Form 49. On top of photograph or on top of all documents when the last of all sentences is satisfied. DISCHARGE DOCUMENTS NOT SPECIFIED FOR OTHER SECTIONS.

ABSTRACT OF JUDGEMENT.

Most recent under photograph. Initial and amendments. Original -- Facility Copy -- Central Office

COMMITMENT CONFIRMATION DOCUMENTS. INTAKE UNIT FINGERPRINT CARD, State Form 34871. OFFENDER STATUS DISPOSITION REPORT, State Form 9320. PLEA AGREEMENT. TRANSFER AUTHORITY, State Form 1736R. OTHER ADMISSION MATERIALS/DOCUMENTS NOT SPECIFIED FOR OTHER SECTIONS. Pre-Sentence Investigation

ADULT OFFENDER FACILITY / CENTRAL OFFICE PACKET

SECTION III

EXTERNAL INTEREST

EXTERNAL INTEREST, State Form 31669.

On top of all documents. AGREEMENT ON DETAINERS.

NOTICE OF UNTRIED INDICTMENT, INFORMATION OF COMPLAINT AND OF RIGHT TO REQUEST DISPOSITION, Form I, State Form 3362. SUPPLEMENT TO FORM I, AGREEMENT ON DETAINERS, State Form

12109. INMATES' NOTICE OF PLACE OF IMPRISONMENT AND REQUEST FOR DISPOSITION OF INDICTMENTS, INFORMATION OR COMPLAINTS, Form II. CERTIFICATE OF INMATE STATUS, Form III. OFFER TO DELIVER TEMPORARY CUSTODY, Form IV. EXPLANATION OF RIGHTS UNDER ARTICLE IV OF AGREEMENT ON

DETAINERS, State Form 12114. PRISONER'S AGREEMENT TO TEMPORARY TRANSFER OF CUSTODY, Form V-A, State Form 12108. EVIDENCE OF AGENT'S AUTHORITY TO ACT FOR RECEIVING STATE, Form VI. PROSECUTOR'S ACCEPTANCE OF TEMPORARY CUSTODY OFFERED IN CONNECTION WITH A PRISONER'S REQUEST FOR DISPOSITION OF A DETAINER, Form VII. PROSECUTOR'S ACCEPTANCE OF TEMPORARY CUSTODY OFFERED IN CONNECTION WITH ANOTHER PROSECUTOR'S REQUEST FOR DISPOSITION OF A DETAINER, Form VIII. PROSECUTOR'S REPORT ON DISPOSITION OF CHARGES, Form IX.

APPREHENSION ORDER.

CERTIFICATES/LICENSES: Birth, Death, Divorce, Marriage, etc.

CERTIFICATION OF RECORDS, State Form 36084.

COURT DOCUMENTS: Letters.

COURT ORDER.

DETAINER.

SECTION III (CONTINUED)

EXTRADITION ORDER/WAIVER. FILINGS.

INTERLOCUTORY ORDER.

LEGAL CORRESPONDENCE.

LEGAL DOCUMENTS NOT SPECIFIED FOR OTHER SECTIONS.

LIMITED POWER OF ATTORNEY, State Form 3494R.

NOTICE OF TORT CLAIM.

RECEIPT BY OFFENDER.

DOC POLICIES AND PROCEDURES. DISCIPLINARY CODE HANDBOOK (AADP). EXECUTIVE DIRECTIVES. FACILITY PROHIBITED ACTS/RULES. OFFENDER HANDBOOK. ORIENTATION/TRAINING. PROGRAM RULES.

REQUEST FOR PROTECTION, State Form 24308R2.

SAFEKEEPER NOTIFICATION TO COURTS.

SECURITY CLASSIFICATION NOTIFICATION TO COURTS.

SUBJECT'S AGREEMENT TO PARTICIPATE / CONSENT TO DISCLOSE INFORMATION, State Form 13252.

SUMMONS.

TEMPORARY LEAVE.

APPLICATION FOR TEMPORARY LEAVE FOR A COMMITTED OFFENDER, State Form 7797R2. TEMPORARY LEAVE AGREEMENT FOR A COMMITTED OFFENDER, State Form 8522R2.

WARRANT/WANTED.

WARRANT FOR RETAKING OFFENDER, State Form 38928.

Certified copy. SECTION III (CONTINUED)

WANTED, State Form 7899. Notify wanting office.

NOTIFY, State Form 1511.

Notify wanting office.

NOT WANTED, State Form 8048. Warrant withdrawn by wanting office.

VOIDING DOCUMENTS.

WORK RELEASE--FINANCIAL.

FINANCIAL AGREEMENT, State Form 3948R. PARTICIPATION IN SAVINGS ACCOUNT.

WRIT.

ADULT OFFENDER FACILITY / CENTRAL OFFICE PACKETS SECTION IV CONDUCT CONDUCT SUMMARY, State Form 31679.

On top of all documents. DISCIPLINARY.

CONDUCT REPORT, State Form 39590. DISCIPLINARY HEARING APPEAL, State Form 3988R. DISCIPLINARY HEARING REPORT, State Form 3958R. INFORMAL CONDUCT REPORT, State Form 3958R.

File only when offender fails to comply with the agreed upon sanction(s). NOTICE OF DETENTION, State Form 1703. NOTICE OF DISCIPLINARY HEARING, State Form 39585R2. PETITION FOR RESTORATION OF CREDIT TIME, State Form 6949R. PROMOTION IN CREDIT CLASS. REPORT OF INVESTIGATION OF INCIDENT, State Form 39591. SEGREGATION ADMITTANCE REPORT, State Form 39588. DOCUMENTS NOT SPECIFIED FOR OTHER SECTIONS.

ESCAPE.

IDACS/NCIC ABSCONDER/ESCAPEE APPREHENSION REPORT. IDACS/NCIC ABSCONDER/ESCAPEE REPORT. SUPPLEMENTAL ESCAPEE APPREHENSION REPORT. SUPPLEMENTAL ESCAPEE REPORT. DOCUMENTS NOT SPECIFIED FOR OTHER SECTIONS.

NOTICE OF WITNESS/LAY ADVOCATE, State Form 35447R2.

ADULT OFFENDER FACILITY / CENTRAL OFFICE PACKETS SECTION V CORRESPONDENCE / PROPERTY / VISITATION CORRESPONDENCE.

CORRESPONDENCE LIST. GENERAL/MISCELLANEOUS CORRESPONDENCE.

Not specified for other sections. REQUEST TO CORRESPOND WITH ANOTHER CONFINED PERSON,

State Form 11985R. REQUEST FOR HELP, INTERVIEW, SERVICES. DOCUMENTS AND LETTERS FROM DOC OFFICIALS, GOVERNOR, ETC. NOT SPECIFIED FOR OTHER SECTIONS.

PROPERTY.

INVENTORY OF OFFENDER PERSONAL PROPERTY, State Form 4876R. NOTICE OF CONFISCATED PROPERTY, State Form 36030R. RECEIPT BY OFFENDER FOR PERSONAL PROPERTY. DOCUMENTS NOT SPECIFIED FOR OTHER SECTIONS. INMATE TRUST FUND/SAVINGS ACCOUNT RECEIPTS.

VISITATION.

RELATIVE SHEET. VISITING CARD. VISITING LIST, State Form 18530.

GRIEVANCES

ADULT OFFENDER FACILITY / CENTRAL OFFICE PACKETS

SECTION VI CLASSIFICATION, PAROLE, PROGRAMS, RCA, WORK RELEASE CLEMENCY - PAROLE - SENTENCE State Form 31682

On top of all documents. CLASSIFICATION.

CLASSIFICATION APPEAL, State Form 9260. CLASSIFICATION DESIGNATION, State Form 7263 or OIS Form. CLASSIFICATION HEARING REPORT, State Form 3412. INTER-FACILITY TRANSFER REPORT, State Form 44355. OFFENDER EVALUATION AND PERFORMANCE REPORT, State Form 3380. STUDY RELEASE APPLICATION, State Form 2251R. TRANSFER HEARING: NOTICE TO HEARING OFFICER AND OFFENDER, State Form 5572. TRANSFER HEARING REPORT, State Form 5556. WORK/STUDY RELEASE-RCA: NOTIFICATION, STATEMENT AND CLEARANCE, State Form 9319. DOCUMENTS NOT SPECIFIED FOR OTHER SECTIONS.

PAROLE/CLEMENCY.

ACTION OF THE PAROLE BOARD, State Form 3945R. APPLICATION FOR PAROLE RECONSIDERATION. ARREST REPORT -- Parole Services. CLEMENCY HEARING WAIVER, State Form 3718. CLEMENCY PETITION/CLEMENCY REOPENING FILING WAIVER, State Form 3674. CONDITION PAROLE RELEASE AGREEMENT, State Form 23R. DECLARATION OF DELINQUENCY, State Form 1917R2. FINAL DISCHARGE RECOMMENDATION. INTRA-DEPARTMENT COMMUNICATION -- Parole Services. NOTICE /DISPOSITION BY PAROLE BOARD, State Form 22224. OFFENDER CLEMENCY HEARING ELIGIBILITY, State Form 37160. PAROLE ADJUSTMENT REPORT. PAROLE VIOLATON REPORT. PRE-PAROLE INVESTIGATION REQUEST, State Form 1096/R. PROBABLE CAUSE HEARING REPORT. REPORT OF INVESTIGATION AND DECISION OF PAROLE BOARD, State Form 7004R. REQUEST TO REOPEN CLEMENCY CASE, State Form 38713R. SPECIAL REPORT -- Parole Agent. TRANSMITTAL FORM - PAROLE VIOLATION.

SECTION VI (CONTINUED)

WAIVER OF PROBABLE CAUSE HEARING NOTIFICATION. DOCUMENTS NOT SPECIFIED FOR OTHER SECTIONS.

PROBATION.

Probation release reporting instructions.

PROGRAMS.

CERTIFICATES (Copies -- academic, vocational, etc.). PROGRAM ASSIGNMENTS. DOCUMENTS NOT SPECIFIED FOR OTHER SECTIONS.

REGULATED COMMUNITY ASSIGNMENT.

REGULATED COMMUNITY ASSIGNMENT AGREEMENT, State Form 2436R2. DOCUMENTS NOT SPECIFIED FOR OTHER SECTIONS.

WORK/STUDY RELEASE.

DOCUMENTS NOT SPECIFIED FOR OTHER SECTIONS. GENERAL PROGRESS.

ACTIVITIES/CLUBS. NOTICE TO CLOSE MISDEMEANANT RECORDS, State Form 22569R. TRAINTING REPORTS. DOCUMENTS NOT SPECIFIED FOR OTHER SECTIONS.

BEHAVIORAL/PROGRESS REPORTS. EDUCATIONAL TRANSCRIPTS. PETITION FOR CLEMENCY, State Form 1213R3. PROGRESS REPORT -- Facility/Parole.

ADULT OFFENDER FACILITY / CENTRAL OFFICE PACKETS SECTION VII RESTRICTED ACCESS INFORMATION FEDERAL DOCUMENTS.

FBI FINGERPRINT DOCUMENTS. FBI REPORTS (RAP SHEETS). IDACS/NCIC DOCUMENTS/PRINT-OUTS/REPORTS. ALL OTHER FEDERAL DOCUMENTS RELATING TO THE OFFENDER.

INVESTIGATIVE MATERIALS.

Exclude REPORT OF INVESTIGATION OF INCIDENT, State Form 39591. PAROLE/CLEMENCY PROTEST DOCUMENTS. DIAGNOSTIC SCREENING INTERVIEW FORM. PSYCHIATRIC DOCUMENTS/EVALUATIONS. PSYCHOLOGICAL DOCUMENTS/EVALUATIONS. PSYCHOLOGICAL TESTS/RESULTS. DIAGNOSTIC AND CLASSIFICATION SUMMARY. Any information that is obtained under an agreement of confidentiality or information the disclosure of which would potentially be a threat to the safety and security of the facility or any of the individuals involved.

01-04-104 ATTACHMENT B JUVENILE FACILITY PACKET

3/1/2017

SECTION I LEGAL. Apprehension Orders. Commitment Order. Court social history. Crime investigations. Detainers. Death Certificate. Escape notices. Interlocutory orders. Requisitions. Release of information documents. Warrants.

SECTION II DISCIPLINE. Conduct reports. Detention profiles. Grievances. Hearing reports. Other disciplinary problem reports.

SECTION III PROGRESS. Admission summary. Cottage transfers. Progress reports.

SECTION IV RECEIPTS AND CORRESPONDENCE Interview slips. Letters. Off grounds documents. Receipts for money.

SECTION V PAROLE Parole documents.

JUVENILE FACILITY PACKET

(CONTINUED)

SECTION VI MISCELLANEOUS Material not indicated in previous sections.

SECTION VII CONFIDENTIAL Dental reports. Medical reports. Psychiatric reports. Psychological evaluations.

ATTACHMENT C DOC RECORDS WAREHOUSE PROCEDURES

FOR OFFENDER RECORDS 3/1/2017

I. DEFINITIONS: For the purpose of these procedures, the following definitions are presented:

A. DEPARTMENT RECORDS COORDINATOR (DRC): The staff person(s) designated by the Commissioner to oversee the development, maintenance and disposition of records within the department and who serves as the department’s liaison with the IARA

B. FACILITY RECORDS COORDINATOR (FRC): The person appointed by the

Facility Head to oversee the development, maintenance and disposition of records, including the development of records retention schedules for the facility.

C. FORMS AND RECORDS MANAGEMENT DIVISION: The division within the

IARA responsible for the development of records retention schedules and for establishing the rules the maintenance, storage and disposition of records.

D. IARA: Indiana Archives and Records Administration.

E. IRIS: IDOC Records Imaging System F. PAROLE PACKET: The records of an offender released to Parole supervision

which detail the offender’s period of community supervision and which are maintained in a District Parole Office during the period of supervision.

G. RECORDS RETENTION SCHEDULE: The guidelines developed and approved

by the Commission that define how long, where and in what form a record series shall be kept.

H. RECORD SERIES: Any documents or records that are filed in a unified

arrangement and have similar physical characteristics or relate to a similar function or activity.

I. RE-ENTRY PORTFOLIO: A manila envelope, kept in the offender packet,

containing information and documents compiled by staff for each offender with an EPRD that includes originals or copies of certificates, resumes, birth certificates, Social Security cards, BMV-issued identification cards, and other materials to be used in the community and provided to the offender upon release.

I. GENERAL PROCEDURES:

A. Offender Records shall be maintained in accordance with the following retention

schedules:

1. Offender (Adult and Juvenile) facility packets (Record Series # 86-368) (not including Parole District Packets and Central Office packets) – 10 years.

2. Pre-Dispositional Diagnostic Records (Record Series # 86-435) – 1 year after the offender is released or transfer to the Offender (facility) packet if the offender is committed to the Department.

3. Safekeeper Records (Record Series # 89-76) – 3 years after release or transfer to offender packet if committed to Department.

4. Out-of-State Parole Records (Record Series # 90-071) – 1 year after the Department closes its interest in the offender or transfer to the offender packet if the offender is committed to the Department.

5. Offender Packet – Parole District Office – 3 years after discharge or the closing of interest in the case.

B. The Reception Diagnostic Center shall operate a records storage warehouse for all

Department of Correction adult male offender records. The Miami Correctional Facility shall operate a records storage warehouse for all Department of Correction adult female and juvenile male and female records.

Records currently in storage at the State’s Records Warehouse shall remain in that Warehouse until the records are eligible for destruction. Records currently in the State’s Records Warehouse shall not be transferred to the Department’s Records Storage Warehouse unless the records are returned to the Department for another reason.

C. In accordance with the administrative procedures for Policy 00-04-102, each

facility shall designate a staff person to serve as its Facility Records Coordinator.

1. The Facility Head shall provide the name, telephone number and e-mail address of the Facility Records Coordinator to the Department’s Supervisor of Records in Central Office. This information shall be updated in accordance with the administrative procedures for Policy 00-04-102.

2. The Department’s Records Coordinator shall provide a list of all Facility Records Coordinators to the designated Supervisor of the RDC Offender Records Warehouse and to the Supervisor of the Records Warehouse at the Miami Correctional Facility.

3. Contacts by the facilities to the Miami Correctional Facility and RDC Warehouse shall be through the Department Records Coordinator, or Facility Records Coordinators, or other staff that have been designated in writing by the Deputy Commissioner of Administration or appropriate Facility Head.

III. RETENTION OF OFFENDER RECORDS AT FACILITIES:

Offender records shall be maintained by the facility that released the offender to parole/probation, discharge, death, Contract Work Release Facility, the Community Transition Program, or was supervising the offender when the offender’s case was closed for a period of two (2) months from the date that the offender was released or the offender’s case was closed.

A. Offender records shall be maintained by the facility that released the offender to: Parole/Probation, Discharge, Death, Community Transition Program, Contract Work Release Facility, Or was supervising the offender when the offender’s case was closed, for a period of two (2) months from the date that the offender was released or the offender’s case was closed.

B. The entire offender packet must be scanned in to IRIS, before packet is sent to the appropriate warehouse for storage.

C. During the two (2) months holding period following the offender’s release or the

offender’s case being closed, the facility shall gather all records pertaining to the offender that have been maintained separately from the facility packet.

D. These additional records shall be either filed in the offender’s facility packet or

attached to the facility packet. For example, the offender’s medical packet shall be attached to the facility packet using rubber bands or other appropriate devices.

E. Prior to transferring the offender’s facility packet to the appropriate Records Storage

Warehouse for storage, facility staff shall ensure that all related records are either placed in the offender’s facility packet or attached to the facility packet, and have been scanned in to IRIS.

F. If packet still contains the RE-ENTRY PORTFOLIO, and it still contains a Social

Security Card, the Social Security Card is to be removed from the envelope and mailed to the Director of Re-Entry and Medicaid Services.

G. If any records regarding the offender are discovered after the two (2) months period

and the facility packet has been transferred to the appropriate location for holding or storage, the facility shall: 1. Scan discovered records in to IRIS. 2. Place the offender’s records in a manila file folder; 3. Clearly mark on the file folder:

a. The offender’s name; b. DOC Number; and c. Date of Release.

4. If the facility has more than one (1) file folder to send, the file folders shall be arranged chronologically by the DOC Numbers.

5. Loose documents shall not be sent. If loose documents are received, they shall be returned to the facility with instructions to follow these procedures.

6. File folders with additional information shall be sent to the appropriate holding or storage location when offender packets are transferred.

7. Upon receipt of the file folders, staff shall determine the location of the offender’s facility packet and shall file the additional documents in the offender’s facility packet.

H. The facility shall place in boxes all offender facility packets for offenders released

or the case closed for at least two (2) months.

1. The boxes used shall be the standard one (1) cubic foot Records Center records boxes.

2. Staff shall complete SF 23605, “Offender Transport Order,” listing of all offender packets placed in the box and include the following records information:

a. Offender Name b. DOC Number c. Number of packets, institutional and medical c. Date of Release/Closing of interest in the case d. Anticipated date when the records may be destroyed e. The number of the box

3. The facility shall maintain a copy of the list and shall place a copy inside the storage box for staff at the Warehouse.

4. A label shall be placed on each box that includes:

a. The record series number and title of the records in the box. b. The name of the facility submitting the records.

c. The number of the box (Facilities shall start with Box # 001 on the first box and continue sequentially until all boxes have been numbered.)

5. Boxes shall be filled but shall not be packed so tightly that records cannot

easily be removed from the box.

IV. TRANSFER OF PAROLED OFFENDER RECORDS FOR HOLDING:

A. ADULT FACILITIES: 1. The facility packets for offenders who are released on parole supervision

shall be held at the releasing facility for two (2) months as indicated in Procedure III A.

2. At the end of the two (2) months and after all documentation regarding the offender has been filed in the offender’s facility packet, the facility shall prepare a list of all packets of offenders who have been released on parole.

3. The entire offender packet must be scanned into IRIS, before packet is sent to an Intake Unit for storage.

4. These offender packets shall be boxed separately from all other packets of offenders who have been released.

5. The facility shall label the box(es) as “Active Paroled Offenders.” 6. An OFFENDER TRANSPORT ORDER shall be prepared for these

packets. 7. The facility shall contact the appropriate Intake Unit:

• Reception Diagnostic Center (adult males) • Rockville Correctional Facility (adult females)

8. In conjunction with the Intake Unit, the facility shall make arrangements

to transfer these offender packets for holding until the offender is

discharged from parole supervision or returned to the Department as a parole violator.

9. The Intake Units shall establish a separate area to hold the packets of offenders who are under parole supervision.

10. When the offender is discharged from parole supervision, the Intake Unit shall be notified. The Intake Unit shall pull the offender’s packet from the active paroled offender holding area and prepare to transfer it to the designated Records Storage Warehouse in accordance with the procedures indicated in Procedure V.

11. If the paroled offender is returned to the Department as a parole violator, the Intake Unit shall be notified and shall pull the offender’s packet from the holding area. The Intake Unit shall transfer the paroled offender’s packet to the department facility where the offender is housed. An OFFENDER TRANSPORT ORDER shall be used to track the transfer of the packet.

B. JUVENILE FACILITIES:

1. The facility packets for juveniles who are released on parole supervision

or by any other form of release shall be held at the releasing facility for two (2) months as indicated in Procedure III A.

2. At the end of the two (2) months and after all documentation regarding the offender has been filed in the offender’s facility packet, the facility shall prepare a list of all packets of offenders who have been released.

3. After the juvenile packet has been held for two (2) months, all filing has been placed in the packet and the list of packets has been prepared, the releasing juvenile facility shall prepare an OFFENDER TRANSPORT ORDER to transfers the packets to the appropriate juvenile intake unit: • Madison Juvenile Correctional Facility (juvenile females) • Logansport Juvenile Correctional Facility (juvenile males)

4. The intake units shall receive the records from the juvenile releasing

facilities and shall maintain these records until the juvenile reaches his/her eighteenth birthday, or is released from parole.

5. When the juvenile reaches his/her eighteenth birthday, or is released from Parole. the intake unit shall box the packets and shall follow the procedures as indicated in Section III to transfer the juvenile packets to the Miami Correctional Facility Records warehouse for storage for the remainder of the records retention period.

V. TRANSFER OF RELEASED OFFENDER (PROBATION, DISCHARGE, ETC.) TO

DEPARTMENT RECORDS WAREHOUSE:

A. ADULT FACILITIES

Once the storage boxes have been filled, the Facility Records Coordinator shall complete State Form 23628, RECORD TRANSMITTAL AND RECEIPT.

1. The completed State Form 23628 and the lists of packets, including

offender name and DOC #, shall be sent to the Records Coordinator at the

appropriate storage location for review and approval. If the State Form 23628 is not completed correctly or other problems are discovered, it will be returned to the Facility Records Coordinator.

2. If the staff at the storage facility approves the State Form 23628, the sending Facility Records Coordinator shall be contacted and a date and time arranged for the records to be transferred to the storage location.

3. Once the arrangements have been made for these records, the sending facility shall be responsible for transporting the approved records to the appropriate warehouse. The sending facility shall not use transportation staff from RDC to transport the records. Staff from the sending facility shall be required to wait at the warehouse while the records are checked in and approved by the warehouse staff. The sending facility shall be required to ensure that the offender records are boxed properly and that only those records approved for transfer are taken to the storage location on the designated date and time.

(NOTE: Only those records approved shall be accepted and all boxes shall be labeled correctly. Otherwise, the Warehouse staff will not accept the records and they will be returned to the facility. Also, staff at the sending facility shall be responsible for ensuring that the records in the boxes are as indicated on the prepared list. Warehouse staff shall not be responsible for ensuring the content of the boxes complies with the list. The sending Facility Records Coordinator shall ensure that if the offender records are those for offenders currently on parole, the box numbers are listed on the TRANSPORT ORDER. If the offender records are for offenders who have been released to probation or by discharge, the box numbers shall be listed in order on the RECORD TRANSMITTAL AND RECEIPT. Boxes of paroled adult offenders and adult offenders released to probation or by discharge shall not be mixed; these records must be handled separately and listed on separate TRANSPORT ORDER forms. Boxes of paroled adult offenders and adult offenders released to probation or by discharge shall be loaded separately and are to be loaded in numerical order so that they may be processed more quickly at the receiving storage location. Records normally shall only be received during the storage location’s regular operational hours unless prior arrangements have been made with the Supervisor of the storage location.)

4. Only the number of boxes approved by the Warehouse staff shall be transferred to the Records Warehouse by designated staff.

5. When the records are received at the Warehouse, staff at the Warehouse

shall determine the storage location for the records and shall indicate the approved storage location on State Form 23628.

6. A copy of State Form 23628 shall be returned to the sending facility with

the storage locations indicated. The Facility Records Coordinator shall maintain a file of these forms until all of the records on the form have been destroyed.

7. Upon receipt of the boxes from the facility, Warehouse staff shall verify that the correct number of boxes have been obtained and shall enter the records into the electronic records tracking system.

a. Warehouse staff shall designate a location for the storage of the

records and shall record the location on the appropriate State Form 23628. A copy of the State Form 23628 with the designated location shall be sent to the Facility Records Coordinator of the sending facility and a copy to the Supervisor of Records Department Records Coordinator in Central Office.

b. Warehouse staff shall note the anticipated destruction date and enter the destruction date into the tracking system.

c. Warehouse staff shall place the records in the designated location for storage.

NOTE: Offenders may be used to place the boxes in the proper storage location if they are properly supervised to ensure that the offenders do not open the boxes and do not have access to any of the records in the boxes.

8. Records Warehouse staff shall monitor those records stored in the

warehouse using the electronic records tracking system for the eligible date of destruction.

9. Offender packets/records shall not be placed in U.S. Mail for any reason without prior approval of the Executive Director of Classification, or the Department Offender Records Coordinator.

B. JUVENILE FACILITIES:

Juvenile facilities shall follow the same procedures as indicated in V. A; however, it will not be necessary for the juvenile intake units to separate the packets of juveniles released on parole or on probation or by discharge. The juvenile intake units holding the juvenile packets shall prepare all juvenile packets for storage in the records storage warehouse in the same manner.

C. DISTRICT PAROLE OFFICES: The District Parole Offices shall maintain the District Parole Office parolee records for the three (3) years retention period and not transfer the offender’s records to the storage location.

VI. RETRIEVAL OF RECORDS FROM WAREHOUSE:

The facility may retrieve offender records from the Warehouse using the following procedures: A. The Facility Records Coordinator shall refer to the approved State Form 23628

and submit a written request for records retrieval to the Department Warehouse with the following information:

1. Title and Record Series Number 2. Box or carton number containing the record needed

3. Location of the Record

4. Anticipated destruction date 5. Name of the Requestor 6. Description of the specific record requested (offender name, number, etc.) 7. Any timeframes in which the records are needed.

B. The Facility Records Coordinator or designee shall complete State Form 24019, REQUEST FOR RECORD, using the above information and shall send this form to the Department Records Warehouse in sufficient time to allow for the retrieval of the needed records.

C. Upon receipt of State Form 24019, the Warehouse staff shall locate the designated

records NOTE: Offenders may be used to retrieve boxes of records from storage.

However, only staff shall open boxes and remove records from the boxes.

D. Once the records have been retrieved, Warehouse staff shall contact the requesting Facility Records Coordinator to determine the most cost-effective method of returning the records to the facility.

E. Warehouse staff shall attach a copy of the State Form 24019 to the record when it

is sent to the requesting facility. F. When the facility is finished with the records, the Facility Records Coordinator or

designee shall ensure that the records are complete and that State Form 24019 is attached to records.

G. Upon receipt of the record from the facility, the Warehouse staff shall determine

the location of the record and shall re-file the record in the same location as indicated on the State Form 24019.

H. Offender packets/records shall not be placed in U.S. Mail for any reason without

prior approval of the Executive Director of Classification, or the Department Records Coordinator.

VII. DESTRUCTION OF RECORDS AT WAREHOUSE:

Warehouse staff shall monitor the offender records stored at the warehouse to ensure that records are destroyed in accordance with the appropriate records retention schedules. A. When offender records appear to have reached their destruction date, Warehouse

staff shall review the records and the records retention schedule governing the records to determine whether the approved records retention period has been met.

B. When it is determined that the records have met or exceeded the records retention

schedule, if the Records Series calls for sampling by the State Archives, Warehouse staff shall contact the State Archives to advise of the records’ eligibility for destruction and their anticipated destruction date.

1. Warehouse staff shall pull the records from storage. 2. Warehouse staff shall follow the directions from the State Archives to

prepare them for transfer to the State Archives for sampling.

3. Warehouse staff shall not conduct the sampling; but, shall cooperate with the State Archives staff in transferring the records to the State Archives for processing.

4. Warehouse staff shall complete SF 48883, STATE ARCHIVES RECORD TRANSMITTAL AND RECEIPT, indicating the required information and the number of boxes being transferred.

5. Once the records have been transferred to the State Archives, Warehouse staff shall receive a copy of the SF 48883 back from State Archives and shall maintain a file of the information provided.

C. If the records retention schedule does not call for sampling by State Archives (i.e.

Safekeeper, Out-of-State Parole, Pre-Dispositional Diagnostic records), Warehouse staff shall prepare State Form 16, RECORDS DESTRUCTION NOTIFICATION, and send it to the Department Records Coordinator.

1. The Department Records Coordinator shall review the State Form 16 and

ensure that the records are eligible for destruction and there is no reason (e.g., pending litigation, etc.) why the records should not be destroyed.

a. If there is a reason that the records should not be destroyed, the

Department Records Coordinator shall send a written notice to the Warehouse advising that the records are not to be destroyed and return the State Form 16 with the notice.

b. If the records are approved for destruction, the Department Records Coordinator shall sign the State Form 16 and send it to the Records Management Division, Commission for review and approval.

c. Upon receipt of the approved State Form 16 from the Commission, the Department Records Coordinator shall send an approved copy to the Department Warehouse.

d. If the State Form 16 is not approved by the Commission, the Department Records Coordinator shall contact the Commission to determine why the request to destroy the records was not approved. The Department Records Coordinator shall work with the Commission and the Warehouse to resolve any issues.

e. Upon receipt of the approved State Form 16, Warehouse staff shall: (1) Pull the designated records; (2) Determine the most appropriate method of destruction; and, (3) Destroy the records in accordance with these procedures.

f. Offender records authorized for destruction shall be destroyed in a

manner that shall ensure the complete destruction of the records so that none of the information may be obtained.

g. Following the destruction or transfer of the records, Warehouse staff shall indicate in the electronic records tracking system that the records have been destroyed or transferred to the State Archives for sampling and destruction.

State of Indiana Indiana Department of Correction

Effective Date 3/1/2017

Page 1 of

26

Number

01-04-104

POLICY AND ADMINISTRATIVE PROCEDURE Manual of Policies and Procedures

Title THE ESTABLISHMENT, MAINTENANCE AND DISPOSITION OF OFFENDER RECORDS Legal References (includes but is not limited to) IC 4-1-6-1; IC 5-14-3-1; IC 11-8-2-5(a)(8); IC 11-8-2-5(a)(10); IC 11-8-2-5(a)(12); IC 11-8-5-1; IC 11-10-1-2; IC 11-10-2-4; IC 11-13-3-3; IC 35-38-1-13; 210 IAC 1-6; 240 IAC 6-1

Related Policies/Procedures (includes but is not limited to) 00-03-101 00-01-102 01-04-101 02-01-101

Other References (includes but is not limited to) ACA Standards

I. PURPOSE:

This policy and administrative procedure presents the parameters for the establishment, maintenance, release, and disposition of offender records by the Department of Correction.

II. POLICY STATEMENT:

The Department of Correction shall develop and maintain an offender records system that will maintain necessary information on all offenders committed to the Department. Information placed in the system shall be collected in a manner that provides the greatest degree of current, accurate data and facilitates program planning, development, implementation, and review.

The data contained in the offender records system shall be controlled to ensure the confidentiality and security of the information and to protect the integrity of the record. The release of information or data contained in the system shall be based upon appropriate statutes, promulgated rules, Department policies, and administrative directives. Information maintained by the Department shall be destroyed only upon approval by the Indiana Archives and Records Administration (IARA).

POLICY AND ADMINISTRATIVE PROCEDURE Indiana Department of Correction Manual of Policies and Procedures Number

01-04-104 Effective Date

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2 Total Pages

26 Title THE ESTABLISHMENT, MAINTENANCE AND DISPOSITION OF OFFENDER RECORDS III. DEFINITIONS:

For the purpose of this policy and administrative procedure, the following definitions are presented: A. AGENT: A third party who meets statutory requirements and has written

consent to gain access to certain offender records. (210 IAC 1-6-4[B]) B. ASSISTANT DEPARTMENT RECORDS COORDINATOR (ADRC):

Assistant to the Department Records Coordinator, the Commissioner’s designee responsible for the management and control of Department offender records.

C. CLASSIFICATION OF INFORMATION: The degree of access that

applies to information in the official record which complies with the following:

1. Unrestricted – Information pertaining to an offender that is

considered by law as public information and which may be released to anyone.

2. Restricted – Information pertaining to an offender that may be accessed by the subject of the records, the subject’s agent and other limited persons based upon their need to access the record but which may not be release to the general public.

3. Confidential – Information pertaining to an offender which is

considered by statute or rule as confidential. All juvenile records are designated as confidential.

D. COMMITMENT ORDER: A court document that orders a person to the

custody of the Department and specifies the length of the offender's commitment (e.g., State Form 8466, “Abstract Of Judgment,” State Form 9176, “Dispositional Order,” Sentencing Order, or Pre-Sentence Investigation).

E. CRIMINAL HISTORY DATA: Information collected by criminal justice

agencies or individuals consisting of identifiable descriptions and notations of arrests, indictments, information, or other formal criminal charges. Any dispositions, including sentencing and correctional system intake, transfer and release, including information obtained from a federal Department of Justice Information System.



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26 Title THE ESTABLISHMENT, MAINTENANCE AND DISPOSITION OF OFFENDER RECORDS F. CRIMINAL INTELLIGENCE INFORMATION: Information relating to

a pending investigation(s) of alleged criminal conduct or other misconduct of offenders.

G. DATA SUBJECT: An individual about whom personal information is

indexed or may be located under his/her name, personal number, or other identifiable particulars in a personal information system.

H. DEPARTMENT RECORDS COORDINATOR (DRC): The

Commissioner’s designee responsible for the management and control of Department offender records.

I. DETAINER: A warrant placed against a person in a federal, state, or local

correctional facility that notifies the holding authority of the intention of another jurisdiction to take custody of that individual.

J. DISCHARGE: The final separation or unconditional release of an

offender from the jurisdiction of the Department of Correction.

K. DISPOSITIONAL ORDER: A juvenile court document which orders a juvenile delinquent to the Department and states the offense(s) for which the juvenile was adjudicated.

L. DOC NUMBER: The number assigned by the Department to identify an

offender.

M. EXPUNGEMENT: To erase or delete a portion or an entire adult or juvenile offender record by court order or administrative procedure.

N. FACILITY RECORDS COORDINATOR (FRC): The Facility Head’s

designee responsible for the management and control of facility offender records.

O. GUARDIAN: A person appointed by a court invested with the power and

charged with the duty of taking care of the person and/or managing the property of another. One who legally has the care and management of the person or the estate, or both, of a child during his/her minority.

P. IDOC RECORDS MANAGEMENT SYSTEM (IRIS): The electronic

storage system used by the Department for the storing and maintenance of offender records.



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26 Title THE ESTABLISHMENT, MAINTENANCE AND DISPOSITION OF OFFENDER RECORDS

Q. LIMITED CRIMINAL HISTORY: Information with respect to any arrest, indictment, information or other formal criminal charge, which includes a disposition.

R. OFFENDER: An adult or juvenile person committed to a department of

correction (federal, state, or local) and housed or supervised in a facility either operated by the department of correction or with which the department of correction has a contract, including an adult or juvenile under parole supervision; under probation supervision following a commitment to a department of correction; in a minimum security assignment, including an assignment to a community transition program.

S. OFFENDER DATA CARD: A standardized personal information card that contains pertinent physical, criminal, management, and dispositional data related to an offender.

T. OFFENDER PACKET: The offender records developed and/or

maintained by the facility in which the offender is housed during his/her period of confinement with the Department.

U. OFFICIAL RECORD (Offender Record): The data maintained by the

Department for each offender received into its care and custody and which provides the source of written, printed, photocopied, or electronically stored materials pertaining to services, programs and other official actions performed on behalf of the offender compiled and maintained as a part of an offender packet.

V. PERSONAL INFORMATION: Any information that describes, locates,

or indexes anything about an individual or that affords a basis for inferring personal characteristics including, but not limited to, education, financial transactions, medical history, criminal or employment records, finger and voice prints, photographs, or his/her presence, registration or membership in an organization or activity or admission to a facility.

W. PREDISPOSITION OFFENDER: An offender who is to be sentenced by

the court, and is subject to commitment to the Department, to be temporarily committed to the Department for not more than thirty (30) days for evaluation, classification, and determination of proposed assignment.

X. PRIOR COMMITMENT HISTORY: A sentence of confinement,

regardless of where served, for any length of time, served prior to the current commitment period.



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26 Title THE ESTABLISHMENT, MAINTENANCE AND DISPOSITION OF OFFENDER RECORDS Y. RE-ENTRY PORTFOLIO: A folder of information and documents

compiled by staff for each offender with an Earliest Possible Release Date (EPRD) that includes originals or copies of certificates, resumes, birth certificates, Social Security cards, BMV-issued identification cards, and other materials to be used in the community and provided to the offender upon release. The Re-Entry Portfolio Face Sheet shall be used when creating a Re-Entry Portfolio on behalf on an offender.

Z. SAFEKEEPER: An adult, prior to sentencing, who is approved by the

Commissioner to be housed by the Department upon request of a court and a jail. The adult’s placement in the county jail has proven to pose a substantial threat to the safety of others, or places the offender in danger of serious bodily injury, or death.

IV. RECORDS IDENTIFICATION AND OFFENDER NUMBERING SYSTEM: A. OFFENDER PACKETS AND RECORDS:

The offender record includes all recorded data, except fiscal and internal affairs records, maintained by the Department which pertains to committed or court ordered offenders.

1. Types of Packets:

a. Offender Packets:

1) Adult (includes Department commits, Pre-Dispositional, and Escape); and,

2) Youth (juvenile)

b. Parole Services Packets:

1) Adult Parolees; 2) Youth on Community Supervision; and, 3) Interstate Compact Offenders.

2. Facility Records:

a) Admission Records; b) Conduct Records; c) Parole Records;



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d) Classification Records; e) Custody Records; f) Program Records; g) Work/Maintenance Records; h) Education Records; i) Correspondence: j) Offender Grievance; k) Confidential Records; and, l) Re-Entry Portfolio.

B. OFFENDER NUMBERING SYSTEM:

1. The Department Offender Numbering System identifies the

offender and serves as a cross-reference to the offender's name and other departmental records.

a. The Department Offender Numbering System shall:

(1) Include the identifier, “DOC,” for each offender.

This indicates the Department is the issuing agency followed by a set of six (6) unique numbers.

(2) Control the issuance of numbers through a central

location; b. Once a six (6) digit number is assigned it shall follow the

offender through repeated returns to the Department regardless of the type of commitment or court order (e.g. youth who returns as an adult, pre-dispositional or safekeeper returned as a regular commitment, or recommitment with a new sentence).

c. Adult Intake Facilities shall contact the DRC prior to

assigning a number to any offender under the age of eighteen (18). The DRC shall determine whether the offender is a Youth Incarcerated as an Adult, or an Alternatively Sentenced Juvenile. The DRC shall be responsible for instructing the Adult Intake Unit on procedures for issuing a new number.

2. The Offender Numbering System contained in this policy and

administrative procedure is a continuation and expansion of the



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system that became effective January 1, 1985. All other systems are grouped together and referred to as "prior" numbering systems.

3. All numbers assigned to offenders shall contain the prefix: DOC.

The three (3) letters shall be capitalized and shall identify the number as a Department issue. The number shall consist of six (6) digits. The complete number consists of three (3) capital letters followed by a six (6) digit number; e.g. DOC 851234.

4. The Department Record Coordinator (DRC) is responsible for the allocation of DOC numbers to the Intake Units or selected facility locations.

The DRC shall allocate numbers to the following Intake Units, and to other facilities as needed on an individual basis: a. Logansport Juvenile Intake/Diagnostic Facility (Juvenile

Male); b. Madison Juvenile Correctional Facility (Juvenile Female); c. Indiana State Prison (Male Offenders with Death

Sentences); d. Indiana Women's Prison (Female Offenders with Death

Sentences); e. Reception/Diagnostic Center (Adult Male); f. Rockville Correctional Facility (Adult Female); and,

g. Central Office Administration (COA).

5. The Intake Units are responsible for:

a. The assignment or reassignment of a DOC number to each offender legally committed or court ordered to the Department and received by the Intake Unit; and,

b. The assignment of DOC numbers in sequence beginning

with the lowest number in the Unit's allotment.

6. A DOC number shall be assigned to each adult and juvenile offender under the following circumstances:

a. Individuals received as initial commitments to the

Department; b. Individuals received as safekeepers;



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c. Individuals received for pre-dispositional diagnostic

services; or,

d. Individuals received by the Department for other purposes (e.g., offenders approved by the Commissioner to be housed in the Department at the request of a county sheriff).

8. When an offender who has been assigned a “new” DOC number,

and later is inadvertently assigned a second “new” DOC number the following shall apply:

a. The first number should be reapplied whenever possible;

b. If duplication is discovered, the DRC shall be notified;

b. If historical data may be compromised, then the intake

facility shall notify the DRC;

c. If the duplication is discovered after the offender has been transferred from an intake facility the controlling facility shall notify the DRC;

d. The DRC shall be the final authority for determining which

DOC number shall be used.

9. Each DOC number allocated or issued to Intake Units or offices by the DRC must be accounted for in one of the following ways:

a. Offender name associated with a number; b. Voided number; or, c. Unused number.

V. PACKET DEVELOPMENT: A. PACKET DEVELOPMENT/RETRIEVAL:

1. Offender Packets:

a. All jackets shall be letter size, 8 1/2" x 11" with a tab.



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b. All adult and juvenile facility records shall be contained in a packet. The packet shall be contained in a green six (6) section self-contained jacket with tabs, or jacket approved by the DRC.

c. Each Intake Unit is responsible to provide jackets for the

facility packets that it develops.

d. Each adult and juvenile offender packet shall contain a removable Confidential section. The Confidential section shall:

1) Contain a letter-size manila folder shall be used for

the Confidential section with an “acco” fastener at the top of the inner right side;

2) The words, “SECTION VII, CONFIDENTIAL,” in

two (2)-inch block lettering shall be stamped horizontally on the outside front cover;

3) The Section VII Confidential folder shall be

maintained between Sections V and VI of the offender packet; and,

These folders shall be provided by the Intake Unit, facility, or office that initiates the respective packet(s).

e. The tab on the green, maroon, and manila jackets shall

identify the offender associated with the records. Each tab shall face the inside of the jacket and shall list in order the following information:

1) DOC Number; 2) Offender's commitment last name followed by a

comma; and,

3) Offender's commitment first name.

f. Each facility shall ensure the following:

(1) Each staff person who regularly files / scans documents in any offender packet / IRIS must have



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ready access to the listing of documents for each of the sections.

(2) Court Materials

(a) File original documents as received from the

court in the facility packet; and, (b) Copies of legal size court documents may be

reduced to 8 1/2" x 11" if legibility is not impaired.

(3) Department documents are to be 8 1/2" x 11" or

smaller (4) Documents to be filed / scanned in both the

offender packet and IRIS shall be filed in the same section of both, unless otherwise indicated.

(5) Each document is to be "acco" fastened within the

respective section. No loose papers shall be in any section of the packet.

(6) File and scan only one (1) copy of each document

unless specifically authorized by the staff person responsible for the local offender records unit.

(7) Each document shall clearly and legibly identify the

offender by name and DOC number. If not easily discernible, the staff person who submits the document(s) for filing / scanning is responsible to insert the offender's name and DOC number in the upper right corner of the document. Additional information is useful on each document, (e.g. date and source of the document).

(8) Staff designated by the facility shall be trained in

filing, scanning, and records handling.

(9) File / scan in chronological order in each section with the most recent dated document on top, unless otherwise indicated (e.g. yellow forms [front sheets] are to be filed and remain on top of the respective



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section. NOTE: Offender photographs shall be placed on the top in Section 2.)

(10) The list of documents in Attachment B of this

policy and administrative procedure for each section is both specific for enumerated documents and examples of documents to be filed in a particular section (i.e. the section listings are specific but not all inclusive). Documents similar to those listed shall be filed in that section. Facility forms without a State Form number shall be reported to the DRC. An attempt shall be made to standardize the form for Department usage.

(11) Some of the lists specify the sequence of filing

selected documents (e.g. on top, under top, on bottom). The remaining documents are presented in alphabetical order, but the list does not imply the sequence of filing. These documents shall be filed in chronological order during the serving of the sentence.

(12) As section cover forms become filled with entries,

place a new form on top and continue. Forms are: State Forms 31594, 31599, 31669, 31679, and 31682. (See Attachment A)

(13) Insert entries on the face of the form only. Staff

shall not make entries or write on the back of any such form.

(14) When an offender turns-over-to (TOT) a new

sentence, the same packet shall continue to be used. New packets are not to be developed because of a change in the offender's status or sentence.

(15) If a facility or office receives documents to be filed

for an offender not currently assigned to that facility, the facility is responsible to ascertain the offender's current location and forward the documents to the appropriate facility or storage warehouse.



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g. If a packet becomes unwieldy in size an addendum shall be developed. Addendum(s) to a packet shall be organized in the same format as the original packet.

(1) The original packet shall be labeled "#1 of 1."

(2) The first addendum to a packet shall be labeled “#2

of 2" and subsequent addenda shall continue as, #3 of 3, etc.

(3) The addenda shall be considered an extension of the

original packet and shall not contain documents duplicated solely for the creation of the addenda.

(4) The most current information shall be contained in

the original packet and shall proceed chronologically through the addenda. All packets shall be stored together as one (1) packet.

h. Each facility and office records unit shall develop and maintain a sign-out system to account for each active offender packet that is released to an individual including the individual's office or agency.

2. Packet Retrieval:

Upon receipt of an individual, the facility shall ascertain if the individual has previously been committed to the Department. If it is so determined, the facility shall retrieve the offender’s prior active/inactive records and incorporate them into new records. The retrieval process shall be in accordance with Attachment C.

VI. CLASSIFICATION, ACCESS, REVIEW, CHALLENGE, EXPUNGEMENT,

RELEASE, AND SECURITY OF INFORMATION: A. CLASSIFICATION OF INFORMATION:

1. Unrestricted:

Unrestricted (public) information includes, but is not limited to, the following:



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a. Offender's commitment name; b. Offender's DOC number; c. Alias(es); d. Age (Birth month, day and year); e. Court documents:

(1) State Form 8466, “Abstract Of Judgment;” (2) Court orders; (3) Docket sheet; (4) Warrant/detainer; and, (5) Any sentencing information;

f. Date of beginning Department incarceration--after arrival; g. Current Projected Release Date (PRD); h. Earliest Possible Release Date (EPRD); i. Maximum Release Date (MRD); j. Date received at facility; k. Transfer date; l. Current and past status:

1) Facility to which assigned or present location if

different from assigned facility except when transfer is imminent or in process;

2) Program assignment; e.g., education, farm,

industries, work--excluding progress report;

3) Releases--excluding offender's address:

(a) Court order--after return to court's jurisdiction;

(b) Death; (d) Discharge--after discharge; (e) Escape/abscond;

(f) Parole/Community Supervision; (g) Transfer to another jurisdiction, excluding

witness relocation program; m. Parole Board/Clemency Commission:

1) Eligibility/hearing date;

2) Action taken; 3) Clemency action by Governor; and,



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4) Executive Order Number; n. Community Transition Program information; o. Location; and, p. Conduct summary:

(1) Number of reports; (2) Offense and code; and, (3) Disposition.

2. Restricted:

Restricted information includes, but is not limited to, the following.

a. Education records; b. Medical records; c. Sex Offender records; d. Substance Abuse records; e. Disciplinary code reports; f. Criminal History; g. Employment records; h. Finger and voice prints; i. Photographs; j. Facility summaries; k. Psychiatric and psychological reports; l. Social History reports; m. Progress reports; and, n. Voice/Telephone recordings.

3. Confidential:

Information that may not be inspected by an offender or his/her agent including, but not limited to the following:

a. Criminal intelligence;

b. Federal criminal justice documents relating to the offender; c. Internal investigative materials - excluding State Form

39591, “Report of Investigation of Incident;” c. Parole/Clemency protest documents;



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d. Information received by the Department, whether solicited

or not, that, if disclosed, might result in physical harm to the individual providing such information or to any other individual, including the offender;

b. Information obtained by the Department only upon a promise of confidentiality shall be released to the offender or his/her agent only upon receipt of a valid court order; and,

c. Any other information required by law or promulgated rule to be maintained as confidential.

4. Juvenile Records:

All juvenile offender information is considered confidential.

B. ACCESS TO OFFENDER RECORDS INFORMATION:

1. The following persons, designees, or agencies shall have access to offender records information, within the classifications as indicated:

a. Unrestricted:

Anyone, upon written request.

b. Restricted:

(1) An adult offender who has been committed or court ordered to the Department may access his/her own records;

(2) Authorized agent for an adult offender, upon written

request, with proper authorization:

In order to gain access the following conditions apply:



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(a) The agent shall be free from a current commitment to, legal control of, or receiving correctional services from the Department; or a court probation obligation;

(b) The adult offender shall complete State

Form 46729, “Authorization to Release / Request Information,” identifying the person acting as his/her agent for access to the offender’s records.

(c) The agent shall provide proper identification

upon request of the staff person authorizing access to the information;

(d) If doubt exists as to the identity of the

offender's agent, the offender shall be contacted for verification when possible; and,

(e) If the offender's signed statement identifying

the agent is not on file with the facility or office, or is not presented by the agent when making the request to access the information, the agent shall be advised that he/she may obtain such authorization from the offender court order

(3) Health Services records may be released to a

dentist, physician, psychologist, or psychiatrist designated in writing by the adult offender about whom the information pertains. Additionally, Health Services records may be released to an attorney representing the offender upon submission of a State Form 46729, “Authorization to Release/Request Information,” containing the signature of the offender. Health Services records including the following:

(a) Dental; (b) Medical;

(c) Psychiatric; and, (d) Substance Abuse.



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(4) Employees of the following agencies/organizations who need the information in the performance of their lawful duties:

(a) Criminal justice agencies, including

Homeland Security and Law Enforcement agencies;

(b) Family and Social Services Agencies. Upon

notification by the FSSA that the information is for the purpose of locating a parent of an abandoned or deserted child and that the information obtained will be treated as confidential by the division or by the agency, department, or any other state to which the information is released. The following information may be released:

(1) Full name of parent; (2) Social Security Number of parent; (3) Date of birth of parent; (4) Address of parent's residence; (5) Amount of wages earned; and, (6) Number of dependents claimed on

state and federal tax withholding forms;

(c) Internal Revenue Service;

(d) Probation Officers;

(e) Prosecutor Offices;

(f) Public Defender (State);

(g) Social Security Administration;

(h) U.S. Postal Service;

(i) Office of the Attorney General;

(j) Department of Mental Health;



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(k) Disability Determination Bureau;

(l) Health Care Staff providing services for an

offender in or under Department custody/care;

(m) Governor and Governor's staff; and,

(n) Parole/Clemency Board.

(5) The Commissioner may release restricted information when it is determined that there exists a compelling public interest for disclosure that overrides the interests to be served by non-disclosure.

(6) Department employees as approved by the

Commissioner, Facility Head or designee who need the information in the performance of their lawful duties;

(7) Person(s) designated by a court order enforceable in

the State of Indiana;

(8) Researchers in accord with the administrative procedures for "Research and Statistics," Policy 00-04-201;

c. Confidential:

(1) Adult Offenders

(a) Department employees as approved by the Commissioner, Facility Head or designee who need the information in the performance of their lawful duties; and,

(b) Persons designated by an Indiana court

order.

(2) Juvenile Offenders:



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(a) Department employees as approved by the Commissioner, Facility Head or designee who need the information in the performance of their lawful duties;

(b) Juvenile records may be released to a parent

or legal guardian or a legal representative of the youth, parent, or legal guardian upon specific written request, unless the release of such record(s) is contrary to the health, welfare, or safety of the youth.

(c) Persons designated by an Indiana court

order. (3) The Commissioner may release confidential

information when it is determined that there exists a compelling public interest for disclosure that overrides the interests to be served by non-disclosure.

(4) Researchers in accord with administrative

procedures for "Research and Statistics," Policy 00-04-201;

2. A person authorized to access an offender’s record at a higher level

of security shall be entitled to have access to records maintained at a lower level of security.

3. When providing access to offender records, staff shall be attentive in maintaining the safety and security of the facility(ies).

C. REVIEW AND RELEASE OF OFFENDER RECORDS INFORMATION:

1. Upon receipt of a written request (SF 46729), or court order, the

staff person who receives the request shall forward it to the staff person(s) responsible to approve a request for disclosure, review, and/or release of offender records information. Requests for records shall be completed by the facility in which the offender and packet are currently located. Requests for records of offenders that have been released shall be forwarded to Central Office Records for response.



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2. Upon receipt of an official request to access an offender’s record,

the staff person(s) responsible to consider information shall: a. Verify that the requester satisfies the criteria for access to

requested information;

c. Request clarification and/or additional documentation as pertinent;

d. Approve the request if the requester satisfies the criteria;

e. Deny the request if the requester fails to satisfy the criteria;

f. Inform the requester of the appeal procedure;

g. Record on State Form 31594, “Access - Assignment -

Movement - Release,” the following information, at minimum:

(1) Requester's name and DOC number if an offender;

(2) Agency or function represented; (3) Purpose of request; (4) Date access was granted or denied; and, (5) Name of staff person granting or denying access;

h. File/scan forms in offender's packet as appropriate.

2. An authorized staff person(s) responding to approved requests for

offender records information shall allow disclosure, review and/or release of records in accord with Section IV, B, of this policy and administrative procedure;

3. Access to offender record information may be denied:

a. When the requester fails to submit a request for access in accordance with this policy and administrative procedure or to satisfy the eligibility requirements as stated in Section IV, B, of this policy and administrative procedure; and/or,

b. When the staff person designated as being responsible for

the offender records determines that to release the records



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would not be in the best interests of the offender or the Department.

4. The following appeal process shall be applied, if a request for

access to an offender’s records is denied, in whole or in part:

a. The requester shall be directed to appeal, in writing, to the DRC; and,

b. If the appeal is not approved, a written appeal may be made

within thirty (30) days of the denial of the appeal to the Commissioner or designee who shall review the request and notify the requester of the final decision.

5. Unauthorized disclosure or failure to protect restricted or

confidential information:

a. Any staff person who knowingly or intentionally discloses information classified as restricted or confidential commits a Class A misdemeanor; and,

b. Any staff person may be disciplined in accordance with

State Personnel Department rules if he/she intentionally, knowingly or recklessly discloses or fails to protect information classified as restricted or confidential. Improper disclosure of restricted or confidential information by a staff person is cause for disciplinary action up and including dismissal of the staff person.

D. CHALLENGE OF OFFENDER RECORD INFORMATION:

1. An offender must give written notice to the Department to challenge, correct, or explain information contained within his/her record;

2. The challenge must pertain to specific documents and/or issues

within the offender's record;

3. An investigation shall be made under the authorization of the Facility Head or DRC to determine the status or content of such reports as alleged by the challenger; the investigator shall determine if the reports challenged are properly a part of the record



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and, in fact, do contain the elements that are challenged and ascertain the source of the challenged information;

4. If the challenged data was generated or received by sources other

than the Department, the offender is to be advised to direct his/her request to change or delete such information to the authoring agency and the offender in turn is to be advised of the last known address of the authoring agency or person;

5. If after such an investigation, information is found to be

incomplete, inaccurate, not pertinent, not timely, or not necessary to be retained for statutory responsibilities or related services, it shall be promptly corrected or deleted from the offender's record;

6. When such a change in the record does occur, each facility holding

or retaining a duplicate record of such information shall be advised to correct those copies of duplicates accordingly;

7. If a dispute concerning information in an offender's record is not

resolved by the investigation, the offender shall be notified and shall be advised that he/she may file a statement of not more than two hundred (200) words setting forth his/her position with the Facility Head, who shall ensure that the statement is included in the offender’s record with the disputed information;

8. If there is an addition, deletion, or statement of offender's position,

the Department official responsible for maintaining that record shall advise the offender of any previous recipient(s) and supply the previous recipient(s) a copy of the addition, deletion or offender's statement of position, in accordance with provisions of IC 4-1-6-5; the Department official notifying any previous recipient(s) shall require an acknowledgment that the additions, deletions or offender's statement of position was received.

E. EXPUNGEMENT OF OFFICIAL RECORD:

When a facility receives a court order to seal or expunge specific records in an offender’s file, the facility shall forward the order to the Executive Director of Classification. The Executive Director or designee shall verify the order. Once verified, the Executive Director shall order the records sealed via the Director of Operational Support. The Director of Operational Support shall contact the affected facility, Parole District, or the Department’s record warehouse to cause the specified records to be



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sealed or expunged and placed in the confidential section of the offender’s record. Once completed, the facility shall advise the Executive Director or designee that the task has been completed. The Executive Director or designee shall make the necessary adjustments to the offender information system, the Offender Case Management System (OCMS), and the Department’s website Offender Locator function to comply with the court order. Records ordered to be sealed or expunged shall be placed in a manila envelope. The outside of the sealed manila envelope shall display the following language, “Not for Public Information. Release only to a verified criminal justice agency. In the event that a criminal justice agency requests access to the sealed records, the request shall be forwarded to the Executive Director of Classification for verification. When verified, the Executive Director shall order the specified records be released to the criminal justice agency, through the DRC. The DRC shall contact the affected facility to release the sealed records to the criminal justice agency. Once the record has been released, the facility shall advise the Executive Director or designee that the task has been completed.

F. SECURITY OF OFFENDER RECORDS:

1. Facilities shall:

a. Designate a specific room or location as an offender

records storage area. This area must be capable of being secured from offender and other traffic and must be capable of being locked during all hours other than normal business hours.

b. Ensure that access to the records storage area is limited and

no unauthorized individuals are allowed into the offender record storage area.

c. Develop and maintain a list of staff authorized to access the

offender records:

(1) Multiple lists may be required due to the need to maintain specific offender records in separate locations within a facility; and,



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(2) Access to one area of the offender record does not automatically authorize access to all areas of the record.

d. Supervise education, dental, medical, psychological,

psychiatric, and other packet information kept in other locations, such as in the Health Services Unit or school. These records shall be secured and unauthorized persons are denied access to these records. These files shall be secured during non-business hours and maintained in a prescribed records storage area.

e. Maintain a system to account for records removed from a

records storage area indicating the date of removal, the offender record removed, and the person who removed the record. All offender packets shall be accounted for at the end of the business day.

f. Ensure offender records remain out of a records storage

area only as long as necessary for the immediate work to be completed. Staff shall use IRIS when possible to reduce packet movement.

g. Ensure offender records outside the secure records storage

area are secured by lock and key in the absence of the staff person(s) working with the records.

h. No confidential section of an offender packet, shall be

allowed to be viewed, stored, or enter any area near offenders.

i. Ensure that all of the offenders' records are collected and

properly assembled before the offenders are transferred or before the records are transported to the Records Storage Facility.

j. Non-Departmental personnel shall not remove an offender record. Non-Departmental personnel, such as the Attorney General’s or Governor’s office, may use IRIS for access to offender records.



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k. When a facility receives a Social Security Card for an offender, and it is determined the offender is no longer in custody, due to death or release, the Social Security Card shall be mailed to the Executive Director of Re-Entry and Medicaid as soon as possible. The Executive Director of Re-Entry and Medicaid has a specific time frame in which the Social Security Administration is to be notified.

2. Transportation of Offender Records:

a. Security of offender records shall be maintained during transport;

b. Offender records shall be transported by:

(1) Local Department staff;

(2) Other Department staff (e.g., Intake Unit

transportation staff) (3) Certified or registered mail with return receipt

requested only when approved by the Executive Director of Classification; or,

(4) The Indiana Archives and Records Administration (IARA).

c. Offender records shall be transported simultaneously with

the individual.

3. Offender packets shall not be transferred with an offender when the offender is being transferred to the Community Transition Program (CTP) or a contract work release facility (X series facilities in the offender information system).

South Bend Work Release/Re-Entry Center is not a contract facility, and the packet shall accompany the offender being transferred. Packets not accompanying the offender to CTP or a contract work release/Re-Entry center shall be retained by the sending facility for two (2) months (Attachment C).



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3. Each State agency collecting, maintaining or transmitting personal information shall treat the information in the same manner as the originating agency in terms of classification and security.

G. REQUESTS FOR OFFENDER RECORDS INFORMATION FOR

RESEARCH:

All requests for access to offender records to provide research information shall be made in accordance with Policy and Administrative Procedure 00-04-201, "Research and Statistics."

VII. STORAGE, RETRIEVAL AND DISPOSITION:

All offender records shall be maintained in accordance with established Records Retention Schedules. Each facility with offender records shall maintain those records until authorized to transfer them or dispose of them. The Department has established Records Storage Warehouses to store the offender records of those offenders who have been released from the Department. In order to store these records so that they may be disposed of in accordance with the approved Records Retention Schedule, the records of offenders released on Parole supervision shall be handled separately from the offender records of those offenders released to probation or by discharge or court order. Attachment C presents the procedures to be followed when an offender is released from the Department and the manner in which records shall be transferred to the approved Records Storage Warehouse.

VIII. STAFF TRAINING: Facility Heads, DRC, ARC, and Inter-Facility Storage Site Supervisors are responsible

for initial and continuing staff training pertaining to this policy and administrative procedure.

Training assistance may be requested from the Division of Staff Development and

Training. IX. APPLICABILITY AND APPROVAL:

This policy and administrative procedure is applicable to all Department facilities and staff.

__________________________ ________________________ Commissioner Date

State of Indiana Indiana Department of Correction

Effective Date 3/1/2017

Page 1 of

24

Number

04-01-104

POLICY AND ADMINISTRATIVE PROCEDURE Manual of Policies and Procedures

Title INMATE TRUST FUND Legal References (includes but is not limited to) IC 4-10-10-1

IC 4-24-6-1et seq. IC 11-8-2-5(a)(9) IC 11-10-7-5 IC 11-10-8-6 IC 11-10-12-1(a)(1) IC 11-10-12-2(a)(1) & (2) IC 11-10-12-3 IC 11-10-15-1

Related Policies/Procedures (includes but is not limited to) 00-01-102 02-01-101 02-01-103 02-01-104 02-01-106 02-01-108 02-02-102

Other References (includes but is not limited to) ACA: ACI: 4-4025, 4-4027, 4-4031, 4-4033, 4-4034, 4-4044, 4-4045, 4-4047 JTS: 1B-07, 1B-19, 1B-20, 1B-21, 5H-08 CO: 2-CO-1B-05, 2-CO-1B-14

I. PURPOSE:

The purpose of this policy and administrative procedure is to present guidelines for the initiation, maintenance, use and review of the accounts established to hold offender monies in trust.

II. POLICY STATEMENT:

The Department of Correction shall establish an Inmate Trust Fund account for all offenders confined in Department facilities and shall deposit all monies held in trust for offenders in a federally insured depository, in accordance with applicable statutes. Any personal funds that an offender brings into the Department or that are deposited with the Department for the use and benefit of the offender shall be held in trust in the offender’s Inmate Trust Fund account. The Department may restrict the sources of funds sent to offenders and the disbursements that offenders may make.

The Department shall maintain individual records for each offender’s account in order to ensure exact accounting of all receipts and disbursements for funds held in trust. A system of review shall be used to ensure compliance with all laws, rules, accepted accounting procedures, and proper accounting of all funds received or disbursed.



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24 Title INMATE TRUST FUND

When an offender is released from the Department, the offender shall be given all funds that are available in the offender’s Inmate Trust Fund account. Any funds not available at the time of the offender’s release shall be sent to the offender as soon as possible. In addition to the funds generally available to the offender, the offender shall be given all funds in the offender’s Re-Entry Administrative Account at the time of release from the Department. These funds shall be included with the offender’s Inmate Trust Fund at the time of the offender’s release.

III. DEFINITIONS

For the purposes of this policy and administrative procedure, the following definitions apply:

A. BUSINESS ADMINISTRATOR: The administrator at a facility responsible for

the coordination and control of fiscal recording and processing. B. BUSINESS DAY: Mondays through Fridays, excluding weekends and State

holidays.

C. COURT ORDERED JUDGMENT: A court order demanding payment of funds from an offender's Inmate Trust Fund account.

D. HOLD ON ACCOUNT: A restriction on an offender's Trust Fund account

prohibiting the withdrawal of funds, except for the withdrawal of funds in accordance with this policy and administrative procedure.

E. IMMEDIATE FAMILY: The immediate family of an offender is his/her father,

mother, siblings, spouse, children, grandparents, grandchildren, and legal guardians including those with a “step,” “half,” or adoptive relationship and those persons with the same relationship to the offender's spouse.

F. INDIGENT OFFENDER: An offender who has a Trust Fund account balance of

less than fifteen dollars ($ 15.00) (not including any monies in the offender’s Re-Entry Administrative Account) on the day of request and has not had a total of more than fifteen dollars ($ 15.00) credited to the Trust Fund account (not including the offender’s Re-Entry Administrative Account) in the preceding thirty (30) days.

G. INMATE TRUST FUND: The fund established by IC 4-24-6-1 containing money

held for an offender while incarcerated in a Department facility or a contract facility housing offenders committed to the Department.



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H. MEDICAL CO-PAYMENT: The costs assumed by an offender for the provision of Health Care related services or goods while incarcerated in a Department or contract facility.

I. OFFENDER: An adult person or juvenile person committed to a department of

correction (federal, state, or local) and housed or supervised in a facility operated by the department of correction, including an adult or juvenile under parole supervision; under probation supervision following a commitment to a department of correction; in a minimum security assignment, including an assignment to a community transition program.

J. RE-ENTRY ADMINISTRATIVE ACCOUNT: A special savings-type account in

the offender’s Inmate Trust Fund account comprised of a percentage of monies earned by the offender through a work assignment or employment which shall be maintained to provide funds to the offender upon his/her release from the Department.

IV. INITIATION OF THE OFFENDER ACCOUNT AT AN INTAKE UNIT (See Facility

Directive):

All monies that accompany an offender to an intake unit shall be receipted. State Form 9415, “Receipt Trust Fund,” shall be used for this purpose. These monies shall be placed in the Inmate Trust Fund account under the offender's name. During the initial orientation at the intake unit, all adult offenders shall be presented with State Form 3494, “Limited Power of Attorney, “ and be requested to sign this form. The purpose and necessity of this form shall be explained to the offender. If the offender refuses to sign this form, monies, to include state pay and money sent in to the offender, shall be posted to the offender’s Inmate Trust Fund account. If the offender refuses to sign the form, no monies shall be disbursed from the offender’s Inmate Trust Fund account except for court ordered payments, restitution and the purchase of hygiene and over-the-counter medications from the commissary. It shall not be necessary for the offender to sign any other "Limited Power of Attorney" forms during the period of confinement in a departmental facility. Juveniles are not required to sign State Form 3494 due to their legal status; however, during orientation juveniles shall be advised of the Inmate Trust Fund and its operation. When the offender’s Inmate Trust Fund account is established, the facility shall ensure that the offender is advised of the Re-Entry Administrative Account and that any monies set



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aside in this account will be a part of the Inmate Trust Fund; however, the offender shall not be allowed to access these monies until the offender is released from the Department. When an offender is transferred from an intake unit to another facility or from one facility to another, the receiving facility shall establish an Inmate Trust Fund account for the offender as soon as possible. Any funds received with the offender shall be deposited in the offender’s Inmate Trust Fund account in accordance with this policy and administrative procedure. A facility directive shall specify the manner in which the above actions are taken.

V. RE-ENTRY ADMINISTRATIVE ACCOUNT:

In order to assist adult offenders at the time of their release, the Department shall establish a Re-Entry Administrative Account for all adult offenders. However, offenders whose Earliest Possible Release Date (EPRD) is after the date when the offender would be eighty (80) years of age are not eligible for a Re-Entry Administrative Account, unless: • The offender’s appeals have not been exhausted; • The Department determines that the offender may have a Re-Entry Administrative

Account; and, • The offender agrees to have a Re-Entry Administrative Account.

If a Re-Entry Administrative Account is established for these offenders, the offender shall be required to adhere to all Department procedures regarding the operation and use of the Re-Entry Administrative Account. When an offender is provided a work assignment (including a PEN Products or joint venture work assignment or obtains employment in a Department Community Re-Entry Center), the offender shall be advised that fifteen percent (15%) of the offender’s earnings, after all required deductions have been made, from the work assignment will be placed in the offender’s Re-Entry Administrative Account. (NOTE: Monetary gifts, donations, checks or money orders from other sources, such as retirement checks, tax refund checks, etc., placed in the offender’s Inmate Trust Fund or monies the offender may have in other private accounts are not subject to the fifteen percent (15%) deduction for the Re-Entry Administrative Account.) This account shall be mandatory for all offenders who have a work assignment and receive pay for that assignment, except as indicated above. The offender shall be advised that fifteen percent (15%) of his/her earnings from a work assignment shall be deducted from the offender’s earnings after all other statutorily required deductions, including court fees and restitution, are taken. This fifteen per cent (15%) of



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the offender’s earnings shall be placed in the Re-Entry Administrative Account. (NOTE: The 15% deduction shall not be taken from any earnings that are credited to the offender’s Inmate Trust Fund account after the offender has been released from the Department.) The offender’s earnings shall be deposited in the offender’s Inmate Trust Fund and subsequently distributed in the following order: A. OFFENDERS WITH FACILITY WORK ASSIGNMENTS AND PEN WORK

ASSIGNMENTS: 1. Court ordered costs or fines imposed as a result of conviction of an offense

under Indiana law, unless the costs or fines are being paid by other means.

2. Restitution either by a court or by a Disciplinary Hearing.

3. Medical Co-payments.

4. Fifteen percent (15%), if available, placed in the offender’s Re-Entry Administrative Account. (NOTE: The fifteen percent (15%) shall be based upon the offender’s earnings after the above deductions are made and shall not be deducted until the above deductions are made from the offender’s Inmate Trust Fund account. After the above deductions are made from the offender’s earnings, fifteen percent (15%) shall be deducted from any remaining funds and this amount shall be placed in the Re-Entry Administrative Account.)

5. Any amount remaining shall be placed in the offender’s Inmate Trust Fund

for the offender’s personal use.

B. OFFENDERS WITH JOINT VENTURE/PRIVATE EMPLOYER WORK ASSIGNMENTS WITHIN A FACILITY: 1. Not less than twenty percent (20%) of the offender's gross earnings shall be

given to the offender or retained by the Department. If retained by the Department, the amount, with accrued interest if interest on the amount is earned, must be returned to the offender not later than at the time of the offender's release on parole or discharge.

2. State and federal income taxes and Social Security deductions.



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3. The expenses of room and board, as fixed by the Department and the State

Budget Agency, in facilities operated by the Department, or, if the offender is housed in a facility not operated by the Department, the amount paid by the Department to the operator of the facility or other appropriate authority for room and board and other incidentals as established by agreement between the Department and the appropriate authority. The fee shall be forty percent (40%) of the offender’s weekly earning less the deductions listed in Procedures B. 1. and B. 2. NOTE: Subsistence fees and Violent Crime Victim’s Compensation

fees shall not be collected from monetary gifts or monies transferred from other facilities; however, subsistence fees and Violent Crime Victim’s Compensation fees are to be deducted from Workers’ Compensation benefits.

4. The support of the offender's dependents, when directed by the offender or

ordered by the court to pay this support. If the offender's dependents are receiving welfare assistance, the appropriate local office of the division of family resources or welfare department in another state shall be notified of these disbursements.

5. Ten percent (10%) of the offender's gross earnings, to be deposited in the

violent crime Victim’s Compensation Fund established by IC 5-2-6.1-40.

6. Fifteen percent (15%) shall be placed in the offender’s Re-Entry Administrative Account. (NOTE: The fifteen percent (15%) shall be based upon the offender’s earnings after the above deductions are made and shall not be deducted until the above deductions are made from the offender’s Inmate Trust Fund account. After the above deductions are made from the offender’s earnings, fifteen percent (15%) shall be deducted from any remaining funds and this amount shall be placed in the Re-Entry Administrative Account.)

7. Any remaining amount shall be given to the offender or retained by the

Department in accord with subsection B. 1.

8. An offender may request that additional funds in his/her Trust Fund account be placed in his/her Re-Entry Administrative account. The offender shall document this request on State Form 35720, “Request for Remittance,” and submit it to the facility business office. If the request is in accordance with



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Department policy and procedures, the request may be approved and the funds placed into the offender’s Re-Entry Administrative Account.

C. OFFENDERS WORKING FOR PRIVATE EMPLOYERS IN A WORK

RELEASE PROGRAM:

1. State and federal income taxes and social security deductions not otherwise withheld shall be calculated, but not deducted from the earnings, for the purpose of determining further required deductions.

2. The cost of membership in an employee organization required by the

offender’s employment in a Work Release program.

3. Ten percent (10%) of the offender’s gross earnings, to be deposited in the Violent Crime Victim’s Compensation Fund.

4. Not less than fifteen (15%) of the offender’s gross earnings, if that amount

of the gross is available after the above deductions, must be returned with accrued interest to the offender not later than at the time of release on parole or discharge. The payment of the fifteen percent (15%) will occur after ten (10) business days from the date of deposit of the offender’s check to allow clearance of the check by the bank.

6. The expense of room and board (subsistence fees), as fixed by the

Department and the State Budget Agency, in facilities operated by the Department, or, if the offender is housed in a facility not operated by the Department, the amount paid by the Department to the operator of the facility or other appropriate authority for room and board. The fee shall be forty percent (40%) of the offender’s weekly earning less the deductions listed in Procedures C. 1. and C. 2. NOTE: Subsistence fees and Violent Crime Victim’s Compensation

fees shall not be collected from monetary gifts or monies transferred from other facilities; however, subsistence fees and Violent Crime Victim’s Compensation fees are to be deducted from Workers’ Compensation benefits.

7. Court ordered costs or fines imposed as a result of conviction of an offense

under Indiana law, unless the costs or fines are being paid by other means.

8. Restitution ordered by a court or a Disciplinary Hearing.



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9. Fifteen percent (15%) shall be placed in the offender’s Re-Entry Administrative Account. (NOTE: The fifteen percent [15%] shall be based upon the offender’s earnings and shall not be deducted until the above deductions are made from the offender’s Inmate Trust Fund account. After the above deductions are made from the offender’s earnings, fifteen percent [15%] shall be deducted from any remaining funds and this amount shall be placed in the Re-Entry Administrative Account.)

10. An amount approved by the Superintendent to pay for the support of the

offender’s dependents when directed by the offender or ordered by the court.

11. Pay to the victims or others for any unpaid obligations of the offender with

the written consent of the offender and the approval of the Superintendent. If the offender’s dependents are receiving welfare assistance, the appropriate welfare department shall be notified of these disbursements

12. Any remaining amount shall be given to the offender or retained by the Department in accordance with Procedure C, 4.

The offender shall not be given access to the funds in his/her Re-Entry Administrative Account until the offender is released from the Department, either to Parole or Probation, to a Community Transition Program (CTP), by court order releasing the offender from the custody of the Department through a modification of the offender’s sentence, or by discharge. The funds in the Re-Entry Administrative Account shall be returned to the offender at the time of his/her release along with any other funds due the offender from the Inmate Trust Fund account. In order to assist the offender in planning for his/her release and Re-Entry into the community, during each Case Plan review, staff shall review any Financial Responsibility Plan (FRP) that has been developed for the offender. Staff shall indicate on the FRP the total amount of funds currently in the offender’s Inmate Trust Fund account, the amount of funds available to the offender in the offender’s Inmate Trust Fund and the amount of funds in the offender’s Re-Entry Administrative Account. The offender’s FRP shall be available for review on OCMS.

VI. DETERMINING INDIGENT STATUS OF OFFENDER:

When an offender submits a request (e.g., for legal copying, legal mail for an indigent hygiene kit, etc.) and indicates that he/she is indigent, designated staff shall review the



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offender’s Inmate Trust Fund account to determine whether the offender meets the criteria for being considered indigent. In order to be indigent, an offender must have a balance in his/her Inmate Trust Fund account of less than $15.00 on the date of the request AND must not have had more than $15.00 credited to his/her Inmate trust fund account within the last 30 (thirty) days. When making this determination, funds in the offender’s Re-Entry Administrative Account or funds placed in that account during the last 30 (thirty) days shall not be considered. Only funds in the offender’s regular Inmate Trust Fund account to which the offender may have access shall be considered.

An offender who does not meet the criteria for indigent status, but who does not have sufficient funds in his/her Inmate Trust Fund account shall be treated as an indigent offender for purposes of providing legal copies, legal mail, and personal hygiene supplies, in accordance with Policy and Administrative Procedure 00-01-102, “Offender Access to the Courts,” and Policy and Administrative Procedure 02-01-104, “Offender Clothing, Grooming and Personal Hygiene.” A “hold” may be placed on the offender’s account requiring the offender to pay for any copying costs or postage for legal mail that was provided to the offender when the offender had insufficient funds to cover these costs. Under no circumstances shall funds be withdrawn from the offender’s Re-Entry Administrative Account to pay for these items or to reimburse the facility for the cost of copying or postage. Whenever funds are taken from an offender’s account to pay court filing fees, restitution, etc., the facility shall attempt to allow the offender to retain at least five dollars ($5.00) in the Inmate Trust Fund account in order to purchase personal hygiene items and over-the-counter medications.

VII. MONIES IN PHYSICAL POSSESSION OF OFFENDER (See Facility Directive):

After monies are received from an offender at an intake unit or other facility, all monies in the physical possession of an offender shall be considered prohibited property and shall be confiscated. Any monies confiscated shall not be placed in the offender's Inmate Trust Fund Account. Instead, the offender may be charged with a disciplinary violation and the money deposited into the facility's Inmate Recreation Fund Account.

Community Re-Entry Centers and Level One facilities that allow offenders to possess money in accordance with the facility's operational procedure or facility directive shall be exempt from this section of this policy and administrative procedure. However, if an offender is found to be in possession of more money than authorized by the facility’s operational procedures or facility directives, the excess monies may be confiscated and a disciplinary violation prepared if it appears that the offender has obtained these monies in violation of the facility’s rules and operational procedures/directives.



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VIII. INTEREST BEARING ACCOUNTS AND CHECKING ACCOUNTS (See Facility Directive):

Offenders committed or ordered to the Department who possess an interest-bearing account or checking account at the time of intake may keep such accounts and shall be entitled to all interest. The check book, saving passbook, certificate of deposit book, customer copy of money orders or cashier's checks, or other instrument of transfer shall be prohibited property and may be stored by the facility or sent to a friend or relative of the offender at the offender's request. Such items may be obtained for use only upon approval of the Superintendent. Approval for such requests shall be based on the security needs of the facility. Offenders may not open accounts other than the Inmate Trust Fund Account without approval of the Superintendent. Approval for such requests shall be based on:

A. Security and safety needs of the facility; B. The purpose for opening the account; C. The amount of money involved; and, D. The rehabilitative value of the account to the offender.

The opening of an account with a bank shall be subject to the bank’s requirements and applicable laws for opening a bank account. With the exception of offenders assigned to a Community Re-Entry Center, an offender shall not be released to go to a bank to open an account. The Department or facility shall not be responsible for a bank refusing to open an account due to the offender not being permitted to go to the bank to do so. Possession of an interest bearing account or checking account shall not be considered an offender business activity as determined by Policy and Administrative Procedure 02-01-116, “Offender Business Activities.” In no instance shall two (2) or more offenders open a joint account. With the approval of the Superintendent or designee, an offender may request that an immediate family member, or a friend, open the bank account on his/her behalf. Under no circumstances shall a staff member or volunteer in the Department be a co-signatory on an account with an offender. This procedure shall apply to all offenders under the care, custody and control of the Department. A Facility Directive shall specify the manner in which an offender may open such accounts, the manner in which access is obtained to these accounts, and the notification and accounting procedures to be followed for identifying interest entries and all other deposits and withdrawals.



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IX. FINANCIAL TRANSACTIONS BETWEEN STAFF/VOLUNTEERS AND

OFFENDERS: Financial transactions between offenders shall not be permitted without the prior written approval of the Superintendent(s). Offenders found to be attempting or completing financial transactions, including the sending of monies from one offender to another or the sending of monies from the family/friends of one offender to another, shall be subject to disciplinary action in accordance with the administrative procedures for Policy 02-04-101, “The Disciplinary Code for Adult Offenders,” or Policy 03-02-101, “Code of Conduct for Juvenile Offenders.” Any such monies confiscated by a facility shall be returned to the sender, if the sender is not an offender and the name and address of the sender is available. The monies shall be deposited in the Inmate Recreation Fund if the sender is an offender or the sender’s name and address cannot be determined. Financial transactions between staff or volunteers and offenders, other than those transactions authorized in this, or other administrative procedures, shall be strictly prohibited without the prior written approval of the Superintendent of the facility housing the offender and, if the facility where the staff person is employed or the volunteer provides services is different, the Superintendent of that facility. In making a decision regarding such transactions between staff or volunteers and offenders, the Superintendent(s) shall review the reason for such transaction and the potential impact on the safety, security, and integrity of the facility. If the financial transaction is approved, the Superintendent shall provide a written approval to the staff person or volunteer and the offender, as well as placing a copy of the approval in the offender’s facility packet.

X. SOURCES OF FUNDS (See Facility Directive):

Monies received for an offender may come from the following sources: A. The offender, upon his/her initial arrival at a Department intake unit;

B. Gift/donation from immediate family or friends on the offender’s approved Visitors List;

C. State pay or pay from an approved work program/assignment (e.g. PEN Products,

joint ventures, Community Re-Entry employer, etc.);

D. Facility approved program participation (arts, crafts, etc.);

E. Another facility upon the offender's inter-facility transfer; or,



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F. Other sources, such as pension checks, government checks, legal settlements, inheritances, etc., as approved by the Superintendent.

Offender solicitation of funds shall be in accordance with Policy and Administrative Procedure 02-01-103, “Offender Correspondence.”

The Superintendent of a Division of Youth Services facility shall determine whether money, including cash, may be left by visitors or shall be sent through the mail. Money may be placed in the offender’s Inmate Trust Fund account through electronic means, such as a direct deposit from an employer, or through other approved electronic transfers of funds, such as through a contractual clearinghouse. Any funds received by way of a check or money order that are approved by the Superintendent shall be deposited and placed in a hold status for up to ten (10) business days to ensure the validity of the instrument. Cash may be accepted in the following circumstances:

• A Department Intake Unit may accept cash upon an offender's arrival; and, • Community Re-Entry Center Superintendents may authorize the acceptance of cash

from an offender's employer. All money, direct deposits, electronic transfers, checks and money orders accepted by Department facilities shall be in United States currency. Foreign currency or checks/money orders made payable in foreign currency shall not be accepted. Any foreign currency or checks/money orders payable in foreign currency are prohibited property and shall be returned to the sender. If the offender brings foreign currency into the facility, the offender shall be advised that it is prohibited property and that the foreign currency shall be disposed of in accordance with Policy and Administrative Procedure 02-01-101, “Offender Personal Property.” A Facility Directive shall specify the manner in which monies may be obtained from family and friends in accordance with this policy and administrative procedure.

XI. TRUST FUND DEPOSITORIES:

All money received for an offender shall be deposited into a facility operated checking account. This checking account shall be named the "Inmate Trust Fund Account for the (facility name)." The depository shall be either a member of the Federal Deposit Insurance Corporation (FDIC), the Federal Savings and Loan Insurance Corporation (FSLIC), or their successors. These funds also may be invested in Certificates of Deposit (CD's), savings



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accounts under FDIC or FSLIC and United States government securities as indicated in Procedure XVI, "Investment of Excess Inmate Trust Funds."

XII. RECEIPT OF MONIES FOR THE INMATE TRUST FUND:

All monies received for an offender shall be receipted in triplicate. The only exception to this requirement is money received from within the Department such as State pay or Inmate Trust Fund checks from other facilities. State Form 9415, “Receipt Trust Fund,” shall be used for this purpose. These receipts shall be numbered and issued sequentially. If a facility receives funds in more than one location, a separate receipt book shall be used at each location. The Superintendent or designee shall be accountable for funds deposited into the Inmate Trust Fund account. The receipt shall be distributed as follows:

A. A copy shall be forwarded to the Business Office, along with the money to be

deposited, to post the money into the offender's Trust Fund account;

B. A copy shall be given to the visitor, when visitors are permitted to leave money, or to the offender, if the money is received through the mail or submitted to the facility by the offender (e.g., an offender in a Community Re-Entry Center turning in a paycheck); and,

C. A copy shall remain in the receipt book or in a file in the receiving area if individual

receipts are used. The white and pink copies shall be maintained in accordance with all appropriate record retention schedules.

XIII. ACCOUNTING OF FUNDS:

Each Superintendent or designee shall be accountable for any money held in trust for an offender lost as a result of official misconduct. Staff involved with the accounting of money in the Inmate Trust Fund account shall adhere to the highest accounting standards and shall abide by all accounting rules of the State of Indiana.

The facility shall maintain a complete record of all receipts to, and disbursements from, the Inmate Trust Fund account. The Inmate Trust Fund Program portion of the offender information system shall be used to maintain the individual offender accounts within the Inmate Trust Fund account.



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In addition to the individual accounts, the facility shall maintain a Control Section. All receipts to, and disbursements from, the Trust Fund account shall be entered in total in the Control Section. Receipts to the account shall be posted to the ledger on the date that the funds are received. Disbursements shall be posted to this ledger on the date the withdrawal of the funds is processed. The employee responsible for posting receipts and disbursements of offender funds shall not receive money from visitors or through the mail nor issue receipts for money received. Additionally, the employee responsible for the posting of receipts shall not be permitted to execute a withdrawal from the Trust Fund account. Each individual receipt and disbursement shall be entered on the proper account page of the appropriate offender in the offender information system Trust Fund Program.

A trial balance shall be taken at the end of the business day. The daily ending balance of the sum of the individual offender accounts should equal the ending daily balance in the Control Section. If these amounts are not equal, an error has been made since the last trial balance. All entries since the last trial balance are to be examined until the error is identified and corrected.

At the end of each month, the account bank statements shall be reconciled with the Control Section as well as reconciled with the computer trial balance. Any bank service charges shall be paid with a check from the facility’s operating account. The bank statement showing a deduction for the service charges may be used as an invoice to obtain reimbursement for these expenditures from the State Auditor.

XIV. REQUEST FOR WITHDRAWAL OF FUNDS (See Facility Directive):

Each offender shall be required to complete a written request in order to withdraw money from his/her Trust Fund account. State Form 35720, “Request for Remittance,” or similarly approved form shall be used for this purpose. Every effort shall be made to provide the funds authorized by the offender within ten (10) business days after receipt by staff of the approved written request for withdrawal. This maximum time limitation is not intended to delay the weekly draw process which is usually accomplished in a shorter time frame.

Adult offenders who refuse to sign the “Limited Power of Attorney” form during the intake process or who rescind the “Limited Power of Attorney” form shall not be permitted to request withdrawals from the Inmate Trust Fund account. The facility shall continue to withdraw funds for mandated reasons, such as court ordered judgments, court filing fees or restitution. However, the offender shall not be permitted to purchase items from the



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commissary other than personal hygiene and over-the-counter medications, purchase mail order items or send money to family or friends, etc. The offender’s funds shall remain in the Inmate Trust Fund account until the offender’s release at which time these funds shall be provided to the offender in accordance with this policy and administrative procedure. The following are allowable purposes for withdrawal of funds from the Inmate Trust Fund account:

A. Payment to an Offender upon Release:

At the time an offender is released from the Department, the offender's available balance from the Trust Fund account may be given to the offender in the form of a check, an approved debit card, or any other form as approved by the Department. The facility shall ensure that only those funds which have been posted to the offender's account and have cleared the bank are given to the offender. Staff shall ensure that any monies which have been deposited, but have not cleared the originator's account, shall not be given to the offender until the monies have cleared and been credited to the Trust Fund account. Staff shall not anticipate State pay nor credit it to the offender before the actual warrant has been received from the Auditor’s Office and credited to the offender's account. The Superintendent or designee shall ensure that any outstanding amounts, such as commissary purchases, release advances, and orders for restitution are deducted from the account prior to giving funds to the offender.

Additionally, those offenders who have a Re-Entry Administrative Account shall have all of the available funds in this account provided to the offender upon the offender’s release. These monies shall be provided to the offender in the same manner as the balance in the offender’s Inmate Trust Fund account and may be included in the same check or on the same debit card as the offender’s other funds. Any funds held after the offender's release shall be sent to the offender at his/her last known address within sixty (60) calendar days of release.

B. Transfer of Offender:

When an offender is transferred from one Department facility to another (including contract facilities), the offender's Trust Fund account shall be transferred to the receiving facility within ten (10) business days from the date of the transfer. If the Trust Fund account cannot be transferred within the ten (10) business day period, a letter shall be sent to the receiving facility and filed in the offender's facility packet indicating the reason. The sending facility shall ensure that all appropriate



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deductions are made from the Trust Fund account prior to transferring the Trust Fund account to the receiving facility, including deductions for the offender’s Re-Entry Administrative Account. Any funds received by the sending facility after the offender has been transferred shall be sent to the receiving facility as soon as possible. The receiving facility shall ensure that the funds received are placed in the appropriate account (i.e., funds in the offenders Re-Entry Administrative Account are placed in that account and not in the general Inmate Trust Fund account).

In order to ensure that an offender’s funds are transferred within the established time limit, the Superintendent or designee shall ensure that the facility Business Administrator or the staff person designated to process transactions in the Inmate Trust Fund account, receives a list of all transferred offenders. This list shall include the name and number of the offender, the date the offender was transferred, and the receiving facility. The Business Administrator or designated staff person shall review this list and indicate the date that the offender’s Trust Fund account balance is transferred. This list shall be updated on a weekly basis. If the offender’s funds are not transferred within the ten (10) business day period, the Business Administrator or designated staff shall notify the Superintendent and explain why the funds have not been transferred. The Superintendent or designee shall notify the receiving facility. Waiting for the offender’s final State pay shall not be sufficient reason for delaying the transfer of any available funds to the receiving facility.

C. Commissary Purchases:

An offender may authorize money to be withdrawn from his/her Trust Fund account for the purchase of commissary items or other items that are purchased through an approved vendor or contractor. The offender shall be required to complete the approved commissary order form which shall serve as his/her authorization for funds to be withdrawn from his/her Inmate Trust Fund account.

D. Payment of Medical Co-Payment:

Offenders who request certain medical services or goods from the contracted medical services provider shall be assessed a co-payment. The co-payment assessed shall be determined in accordance with the procedures established for medical co-payment and the applicable promulgated rules. Offenders shall be assessed a five dollar ($5.00) co-payment for non-emergency / non-injury visits to Health Care Services staff and a five dollar ($5.00) co-payment for all new



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prescriptions, unless otherwise provided in this policy and administrative procedure. An offender shall not be assessed co-pays if;

1. The offender does not have funds in his/her trust fund account at the time the service is provided;

2. The offender does not have funds in his/her trust fund account within thirty (30) days after the service is provided;

3. The service provided is an emergency; 4. The service provided as a result of an injury received in the facility; or, 5. The service is provided at the request of the Superintendent.

Co-pay shall not be required for:

1. Mental Health Services; 2. Substance Abuse (Addiction Recovery) Services; 3. Staff-initiated contacts; 4. Immunizations, tests, and/or other treatments and procedures instituted by

the Department for public health concerns; 5. Ancillary services, such as diagnostic procedures; 6. Admission to a hospital or emergency services; 7. Medical packet or electronic medical record reviews or visits for the

purpose of facility transfers.

E. Other Approved Requests from the Offender:

An offender may request that funds be withdrawn from his/her Trust Fund account for other expenditures. Authorized expenditures shall include: 1. Money sent to immediate family members, as listed in the offender's packet,

or for the support of a child;

2. Purchase of mail order items or items from vendors or contractors as approved by the facility; and,

3. Purchases related to the rehabilitative, spiritual, or personal growth of the

offender and approved by the facility.

The facility shall develop a Facility Directive for submitting and approving these requests in accordance with this policy and administrative procedure.



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XV. WITHHOLDING OF FUNDS (See Facility Directive):

The Chief Financial Officer, or the Superintendent, or their designees, may place a hold on an offender's Trust Fund account to pay for certain obligations or for the offender’s protection. When it is determined that a hold should be placed on an offender’s Trust Fund account, certain withdrawals shall continue to be made. Such withdrawals shall include: purchases from the commissary for personal hygiene and over-the-counter medications, payments for legal copies or mailings, and any other withdrawal authorized by the Superintendent.

In those cases where it is determined that an offender’s Inmate Trust Fund account is to be “frozen” or a hold placed on it, staff shall notify the offender of such action in writing with a copy given to the facility’s business office and a copy placed in the offender’s facility packet. This notice shall include the date that the hold was placed on the account, the reason for the action and, if known, the anticipated date when the hold will be lifted. Once a determination is made to remove a hold on an offender’s Inmate Trust Fund account, the offender shall be notified in writing that the hold has been removed and the date that the hold will be lifted. A hold may be placed on the offender’s Trust Fund account for the following purposes: A. Court Ordered Judgments:

When the facility receives a court ordered judgment against an offender, the Superintendent or designee shall ensure that the order is authentic. Any question regarding the court order shall be referred to the Department's Legal Services Division. After the court order has been verified, the facility's Business Administrator or designated staff shall disburse the amount ordered from the offender's Trust Fund account. The offender shall be advised of the court order and the disbursement of the funds whenever funds are withdrawn from the account for this purpose. If the balance in the offender's Trust Fund account is less than the court ordered amount, the Business Administrator or designated staff shall "freeze" the offender's Trust Fund account. However, expenditures for purchase of legal copies/mail, personal hygiene items, over-the-counter medications or court fees shall continue to be authorized. This "freeze" shall remain in effect until the court order is satisfied. Upon satisfaction of the court order, the offender shall be advised in writing that the "freeze" has been removed.



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B. Court-Ordered Filing Fees:

Offenders who file civil actions in either State or Federal court and who are permitted to proceed in forma pauperis may be required to pay court filing fees. These filing fees may be paid in full or the court may order that the facility make an initial payment followed by monthly payments until the fees have been paid in full. The facilities shall abide by the administrative procedure for Policy 00-01-102, “Offender Access to the Courts.” The offender shall be notified in writing of his/her Trust Fund account status and the amount of any withdrawal for court-ordered filing fees on a periodic basis.

Additionally, the Trust Fund Clerk shall note in the offender’s facility packet, Section III, when an offender has a court order to pay filing fees and the balance due. Whenever an offender is transferred from one facility to another, staff at the receiving facility shall review Section III of the offender’s packet. The receiving facility’s Business Administrator or designated administrative staff shall be advised of any existing court order for fees.

C. Restitution:

An offender who acknowledges the responsibility for the loss, damage and/or destruction of State-owned property, or property belonging to another shall make restitution. The offender shall complete State Form 35720, “Request for Remittance,” indicating the amount owed.

An offender who is found guilty through disciplinary action may be asked to complete a “Request for Remittance." It is not necessary to complete this form if it is indicated on State Form 39585, “Report of Disciplinary Hearing,” that restitution is a sanction. When insufficient funds are available in an offender’s Trust Fund account to make restitution, further expenditures from the fund shall be prohibited until the restitution is paid in full. Expenditures for legal copies/mail, personal hygiene items, over-the-counter medications and to satisfy court orders or court fees shall be allowed. The offender shall be notified in writing of his/her Trust Fund account status and the amount of any withdrawal on a periodic basis. Designated staff shall issue a check from the Trust Fund account made payable to the facility when restitution is made to the State for the destruction of State-owned



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property. State Form 14313, “Report of Collections and Receipts Due the State Treasurer,” shall be completed and submitted. The designated staff shall ensure that all appropriate bookkeeping entries are made relative to the withdrawal of funds.

D. Protection of the offender: If the Superintendent or other staff reasonably believes that an offender is a victim of extortion involving the offender's Trust Fund account, the facility shall conduct an investigation. During this investigation, with the approval of the Superintendent, the offender’s account may be frozen and only withdrawals approved by the Superintendent or designee may be authorized. Upon completion of the investigation, the Superintendent or designee shall determine whether it is in the best interests of the offender and the facility to freeze the offender's Trust Fund account. The results of the investigation and the Superintendent's or designee's actions shall be documented in writing and made a part of the offender's facility packet.

If the Superintendent determines that it is appropriate to freeze the Trust Fund account of the offender allegedly attempting to extort another offender’s funds, the facility may freeze the alleged extortionist’s account until the completion of the investigation and any disciplinary action. The Superintendent shall determine the appropriate length of time the Trust Fund account shall be frozen. If the offender is not charged with a disciplinary violation or is found not guilty, the account shall be unfrozen immediately.

If a decision is made to freeze the account for the offender's protection, the Superintendent or designee shall advise the designated staff in the Business Office to place a hold on the offender's account. The offender shall be notified of the decision to freeze his/her Trust Fund account. The offender also shall be advised that disbursements shall only be permitted for the purchase of legal copies, personal hygiene items, and over-the-counter medications and to satisfy court orders or court filing fees and other purchases approved by the Superintendent or designee. The offender may appeal this decision in accordance with Policy and Administrative Procedure 00-02-301, “The Offender Grievance Process.”

The Superintendent or designee shall notify the affected offender in writing of the decision to unfreeze his/her Trust Fund account.



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A facility directive shall be developed by each facility to ensure that withholding of funds from an offender’s Inmate Trust Fund are in accordance with this policy and administrative procedure.

XVI. INVESTMENT OF EXCESS INMATE TRUST FUNDS:

Each facility Business Office shall determine the average weekly draw against the Inmate Trust Fund account. Funds on deposit in the Inmate Trust Fund account in excess of daily withdrawal needs may be invested in Federally Insured Banks or Savings and Loan Institutions by the Business Administrator. These excess funds may be placed in savings accounts, certificates of deposits (CDs), or government securities. It shall be the Business Administrator's responsibility to obtain the highest rate of interest available from these financial institutions.

Certificates of deposits or securities shall be held in the Business Office in a secured area, preferably within a locked safe. Renewal notices shall be attached to the original certificate and secured.

Interest earned on these investments shall be deposited into the Inmate Recreation Fund on a monthly basis or as the interest becomes available to the facility. State Form 16952, “Inmate Trust Fund Balance Sheet,” shall be used to record any interest accrued and transferred to the Inmate Recreation Fund.

XVII. FUND INHERITANCE:

If a confined offender dies, the lawful heirs or devisees shall be entitled to any money credited to and held in trust for such offender including the Re-Entry Administrative Account, in accordance with the procedures established for Policy 02-01-101, "Offender Personal Property." If the heirs or devisees of the offender are unknown, the money in the trust account shall be maintained for a period of one (1) year from the date of death.

At the end of the one (1) year period, if no heir or devisee claims the money, the money shall be paid to the clerk of the circuit court of the county from which the offender was committed. A letter of explanation indicating the circumstances shall accompany the check. If the clerk of the circuit court refuses to accept this money, the facility shall treat the money as unclaimed property and submit it in accordance with the procedures for submitting unclaimed property to the Office of the Attorney General.



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XVIII. OFFENDER ESCAPE:

Should an offender escape from custody, any money credited to that offender’s Trust Fund account shall be held in trust for a period of one (1) year from the date of escape. During this period, the account shall not be closed but classified as inactive. At the end of the one (1) year period, if the escaped offender has not been apprehended and made a claim to such money, the money shall be remitted to the clerk of the circuit court of the county from which the offender was committed. A letter of explanation indicating the circumstances shall accompany the check. If the clerk of the circuit court refuses to accept this money, the facility shall treat the money as unclaimed property and submit it in accordance with the procedures for submitting unclaimed property to the Office of the Attorney General, as indicated in Procedure XX. In no case shall money from an escaped offender's account be given to family or friends. If the offender is apprehended and returned to custody, the Trust Fund account, including any funds in the offender’s Re-Entry Administrative Account, may be transferred to the offender’s location. The transfer request shall be made by the offender in writing and notarized. The receiving facility shall review the request and if approved, shall forward the money to the offender's location within ten (10) business days of receipt of the written request.

XIX. DISPOSITION OF UNCLAIMED FUNDS FOR RELEASED OFFENDERS:

All available funds posted in the offender’s Inmate Trust Fund account shall be given to the offender at the time of release. If money remains in an offender's Inmate Trust Fund account or the offender’s Re-Entry Administrative Account after the offender's release, it shall be sent to the offender as indicated previously in Procedure XIV. A. This money shall be forwarded as soon as it becomes available; but, in no case shall the money be held longer than 60 days from the date of the offender’s release or from the date that the money is available in the offender’s Inmate Trust Fund account.

The facility shall request the assistance of the offender's Parole/Probation Officer in locating the offender in those cases where checks are returned. Following unsuccessful attempts to locate the offender, the money shall be held for one (1) year as of December 31 following the offender’s release. After that date, the money shall be remitted to the Office of the Attorney General as unclaimed property, as indicated in Procedure XX, "Outstanding Trust Fund Checks."



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XX. OUTSTANDING TRUST FUND CHECKS:

In accordance with IC 32-34-1-20(c)(7), Inmate Trust Fund checks which have been outstanding for a period of one (1) year or more shall be reported to the Office of the Attorney General, Unclaimed Property Section annually. The Business Administrator or designated staff shall review the Inmate Trust Fund annually to determine whether any outstanding checks exist. The facility shall record any checks that have been outstanding one (1) or more years as of June 30 of the previous year. The facility shall report any checks that have been outstanding one (1) year or more using the electronic forms available online at:

www.IndianaUnclaimed.com. The facility shall write a check payable to the State of Indiana from the Inmate Trust Fund for the total amount of the facility’s outstanding checks. The original report and check shall be sent to the Office of the Attorney General, Unclaimed Property Section. The facility shall retain a copy of these documents. This report shall contain the following information:

A. Name of the payee and complete address; B. Check number; C. Date of issue of each check; D. Amount of each check issued; and, E. The total of all checks listed.

This report shall be submitted to the Office of the Attorney General, Unclaimed Property Section, by November 1 of each year. A copy of the information provided to the Office of the Attorney General shall be maintained by the facility and a copy sent to the Department’s Controller. Following the submission of the report and the check, the Business Administrator or designated staff shall clear the reported outstanding checks from the Control and from the applicable individual offender ledgers.



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XXI. MONTHLY REPORT:

State Form 16952, “Trust Fund Balance Sheet,” shall be completed by the designated staff after reconciliation of the monthly bank statement. This report shall be forwarded to the Superintendent for review.

Two (2) copies of the State Form 16952 shall be sent to the Chief Executive Officer/Finance and Performance who shall forward the second copy to the State Board of Accounts.

A copy of the monthly State Form 16952 shall be maintained in the facility's Business Office in accordance with the appropriate record retention schedules.

XXII. APPLICABILITY

This policy and administrative procedure shall be applicable to all facilities, staff and offenders committed to the Department. _____signature on file_______ ________________________ Robert E. Carter, Jr. Date Commissioner

ATTACHMENT A - 1 INDIANA DEPARTMENT OF ... Total.pdfI. RE-ENTRY PORTFOLIO: A manila envelope, kept...

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