01-07-101 Case Management Line 85.pdf

State of Indiana Indiana Department of Correction

Effective Date

01/01/2026

Page 1 of

Number

01-07-101

POLICY AND ADMINISTRATIVE

PROCEDURE

Manual of Policies and Procedures

Title

THE DEVELOPMENT AND DELIVERY OF PROGRAMS, PRE-RELEASE, AND

CASE MANAGEMENT

Legal References Related Policies/Procedures Replaces

(includes but is not limited to) (includes but is not limited to)

IC 11-8-2-5(a)(8)

IC 11-10-1-2,3,6

IC 11-13-3-6

00-03-201, 01-01-101, 01-03- 103, 01-04-101, 01-04-104, 01-04-105, 01-06-101, 02-01-

01-07-101 (Eff. Date 9-15-2024 /

ED # 24-30)

IC 11-13-8-3 101, 02-01-102, 02-02-101,

IC 11-10-4-9 03-03-101, 04-01-104, 01-04-

HEA 1269 105

I. PURPOSE:

The purpose of this policy and administrative procedure is to establish the development and delivery of Programs, Pre-Release, and Case Management services for individuals committed to the Department of Correction.

II. POLICY:

The Re-Entry process prepares an offender for life after incarceration. This process combines assessment with a multi-disciplinary approach to reduce criminal thinking and behaviors while providing offenders with the necessary skills to succeed in the community.

The Department recognizes the need for a Case Management approach to help prepare the offender for Re-Entry into the community. Case Management coordinates the delivery of treatment services, including the management of evidence-based programs, courses, and activities, which provides for a continuum of supervision and care for agencies serving the offender. Case Management targets a reduction in recidivism through the formulation and implementation of an individualized case plan driven by each offender’s criminogenic needs.

Case Management in a correctional environment is utilized for the following purposes:

POLICY AND ADMINISTRATIVE PROCEDURE

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THE DEVELOPMENT AND DELIVERY OF PROGRAMS, RE-ENTRY, AND

CASE MANAGEMENT

• To provide effective evidence-based programs, courses, activities, and services to address the criminogenic needs of each offender;

• To increase the offender’s potential for successful reintegration into society; and,

• To provide for the safety and security of the community

In order to implement a Case Management process, the Department shall utilize the Unit Team concept. Assessment and classification of the offender facilitates short-term and long-range planning and program development in the correctional system as a whole and at each facility, parole district, or program location.

The Department’s efforts toward reducing recidivism are formulated through Evidence-Based Practices (EBP), and those efforts are set forth in this policy and administrative procedure.

Nationally, EBP methods show success in Re-Entry through all aspects of the Criminal Justice System, not only in correctional facilities.

The Department also recognizes that the majority of individuals incarcerated will be released into the community. These individuals will be released either on parole, probation, or by discharge. In order to increase the potential for successful reintegration into the community, it is necessary that these individuals be provided certain programming and information. To do this, the Department shall develop and operate pre-release programming for all incarcerated adults who shall be released into the community. This programming is intended to provide them with an opportunity to have their release needs identified and considered. To accomplish this task, staff will be expected to utilize all available resources.

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THE DEVELOPMENT AND DELIVERY OF PROGRAMS, PRE-RELEASE, AND CASE

MANAGEMENT

I. DEFINITIONS:

For the purpose of this policy and administrative procedure, the following definitions are provided:

A. ACTIVITY: Facility specific activities that are approved by the Warden, which do not meet the criteria of a program or course.

B. AUDIT: The on-site verification activity such as an inspection or examination of a process or quality system, to ensure compliance with requirements.

C. BIRTH CERTIFICATE: An official document issued to record a person’s birth, including such identifying data as name, gender, date of birth, place of birth, and parentage.

D. CASE MANAGEMENT: The process of identifying and assessing the offender’s risk and needs, developing a Case Plan, linking the offender to appropriate services, monitoring progress, advocating for and holding the offender accountable as needed. Case Management occurs from Intake through release and ensures placement is secured, medical/mental health needs are met, links to appropriate services upon release are provided, and this information is provided to the post-release supervising agency.

E. CASEWORK MANAGER (CWM3): A member of Unit Team that acts as the initial point of contact for day-to-day offender issues in the unit, coordinates Case Management matters and facilitates offender access to programs and services, works with offenders to create Case Plans, and assists in preparing the offender for release.

The CWM3 may be responsible for the supervision of Correctional Caseworkers, maintain an offender caseload, and conduct Continuous Quality Improvement (CQI) assessments as determined by the facility.

F. CASE PLAN: A formal document that integrates information from multiple sources including the Indiana Risk Assessment System (IRAS) to strategically address offender needs by identifying goals and assigning SMART, personalized interventions.

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G. CASE PLAN CREDIT TIME ANALYST: Reviews all CPCT packets submitted from assigned facilities, ensures that all reviews are conducted with an unbiased opinion for either approval or denial based on the case plan documents and IDOC Policy and Procedures, and forwards completed CPCT packets to Classification Department for completion.

H. CASE PLAN CREDIT TIME (CPCT). An earned credit time cut structure that is driven by compliance with interventions, programming, activities, services and/or referrals based on the needs which are indicated in the IRAS and addressed through the individualized case plans to provide each individual opportunity to make progress and earn credit time, as allowed by law.

I. CASE PLAN CREDIT TIME (CPCT) Packet: A series of forms required to submit an offender ’s review for credit time. Forms to be uploaded in the following order:

Scoring Tool, Case Plan, Conduct (if applicable), Offender Performance Evaluation SF3380 (utilized for work, education, and/or programming if applicable), Idle SF57130

J. CASE PLAN CREDIT TIME SUPERVISOR: The position supervises and manages case plan credit time and the case plan credit time analysts.

K. CLASSIFICATION: The process used by the Department to divide offenders into subgroups with the goal of placing each offender in an environment that meets his/her appropriate security level and is consistent with the risk and needs of the individual.

L. COGNITIVE BEHAVIORAL TOOLS: A tool focusing on identifying and changing destructive or disturbing thought patterns that have negative impact on behavior and emotions. (e.g. BITS and Guides)

M. COMMUNITY TRANSITION PROGRAM (CTP): A court supervised program that an offender, at the discretion of the sentencing court, may participate in prior to the offender's earliest possible release date.

N. CONTINUOUS QUALITY I M P R OV E M E NT (CQI): A “best practice” management philosophy that is ongoing in nature and examines processes to identify, analyze, and improve outcomes for service recipients as well as organizational performance. It involves a structured approach to problem-solving, data collection, and analysis to implement changes and enhance the quality of

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Title work and promote better outcomes. CQI looks at effectiveness and efficiency at all levels as well as responsivity, flexibility, and timeliness. CQI provides a framework for organizations to aim for and a way to quantify and document qualitative work in the social services field. It encourages collaboration among team members and focuses on improvements in the processes involved and skills of practitioners using both assessments and coaching.

O. CORRECTIONAL CASEWORKER (CCW4): A member of Unit Team that acts as the initial point of contact for day to day offender issues in the unit, coordinates Case Management matters, facilitates offender access to programs and services, works with offender to create Case Plans, and assists in preparing the offender for release and the Re- Entry process.

P. COURSE: Group or self-study approved by the Commissioner or designee with standardized curriculum that does not qualify for a time cut/earned credit time.

Q. CRIMINOGENIC NEEDS: Characteristics, traits, problems, or issues of an individual that directly relate to the individual’s likelihood to re-offend and commit another crime. Criminogenic needs are broken down into two (2) categories; static and dynamic.

R. DD 214: Certificate of Release or Discharge from Active Duty is a document of the US Department of Defense, issued upon a military service member’s retirement, separation, or discharge from active duty in the US Armed Forces.

S. DELTA: The single source system of record for offenders’ data.

T. DEPUTY WARDEN OF RE-ENTRY (DWR): The Deputy Warden of a facility who supervises and manages the Unit Team Managers, programs, and services.

U. DIRECTOR OF CASE MANAGEMENT: The position responsible for planning and directing the areas of Case Management, Programming, and the Department’s Pre-Release Course.

V. DISCHARGE: The final unconditional release of an offender from the jurisdiction of the Department.

W. DRIVER’S LICENSE TEST: Test administered by the Indiana Bureau of Motor Vehicles which is required to obtain a driver’s license.

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X. DOC ASSIST: The assistance provided by Parole staff in securing a placement for sex offenders that is secured by financial assistance provided by the Department.

Y. EARLIEST POSSIBLE RELEASE DATE (EPRD): The date on which an offender would be entitled to discharge or release, taking into consideration: (1) The term of the sentence; (2) the term of any other concurrent or consecutive sentence which the offender must serve; (3) credit time which the offender has earned prior to sentencing; and, (4) the maximum amount of credit time which the offender would earn if the offender remained in the current credit class during the period of confinement.

Z. EVIDENCE-BASED PRACTICES (EBP): The use of systematic decision- making processes or provision of services which have demonstrated, through available scientific evidence, to consistently improve measurable offender outcomes.

AA. EXECUTIVE DIRECTOR OF PROGRAMS AND RE-ENTRY READINESS:

The position responsible for direction and oversight of the Department’s Programming, and Hoosier Initiative for Re-Entry (HIRE).

BB. FIELD TRAINING OFFICER (FTO): A staff member with specific knowledge, skills, and training who is responsible for the administration of the On-The-Job Training (OJT) program to trainees.

CC. IDOC RECORDS MANAGEMENT SYSTEM (IRIS): The electronic storage system used by the Department for the storing and maintenance of offender records.

DD. INTERSTATE COMPACT OFFENDER TRACKING SYSTEM (ICOTS): A

web-based system that facilitates the transfer of supervision of probationers and parolees from one (1) state to another.

EE. INTERVENTION. Any action taken by staff in creating/updating/editing the case plan designed or intended to intervene or interrupt in the actions, lives, events of an offender; introduce the possibility of change; in some way attempt to help or improve a situation or problem that the offender is or will experience; modify the offender life, options, or outcomes; or assist the offender in some other manner. This may include but is not limited to referrals, programming, courses, activities, Carey BITS and/or Guides, journaling, planning exercises, transitional behaviors, precontemplation exercises, and/or removing barriers or increasing access to services or opportunities. Because interventions are individualized and responsive to personalized circumstances something that meets the criteria of an intervention for one offender may not be an intervention for another offender.

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FF. INDIANA COURT INFORMATION TECHNOLOGY EXTRANET (INcite): A web-based application used to score and store the Indiana Risk Assessment System.

INcite is managed by the Judicial Technology and Automation Committee (JTAC).

GG. INDIANA RISK ASSESSMENT SYSTEM (IRAS): A system consisting of six

(6) separate instruments to be used during specific points in the criminal justice process to identify an offender’s criminogenic needs and risk to reoffend.

HH. INDIANA RISK ASSESSMENT SYSTEM COMMUNITY SUPERVISION

TOOL (IRAS -CST): This tool is designed to assess an offender’s risk to reoffend and identify criminogenic needs to assist in making decisions regarding community supervision. For use by: Probation, Parole, Community Corrections, and Court Alcohol & Drug Programs.

II. INDIANA RISK ASSESSMENT SYSTEM PRISON INTAKE TOOL (IRAS-

PIT): An assessment tool to be used during an offender’s entry into the Department by the permanent housing facility. This tool is designed to assess an offender’s risk to re-offend and identify criminogenic needs to assist in making decisions regarding services.

JJ. INDIANA RISK ASSESSMENT SYSTEM PRISON SUPPLEMENTAL RE-

ENTRY TOOL (IRAS-SRT): An assessment tool designed to reassess an offender’s risk to re-offend prior to his/her release from the Department.

KK. INDIANA RISK ASSESSMENT SYSTEM PRISON STATIC TOOL (IRAS-

ST): An assessment instrument designed to be used for offenders who refuse to participate in the assessment process, or those who are incapable due to severe mental illness.

LL. INTAKE UNIT: A unit designated by the Commissioner to receive offenders from a court for diagnostic and classification purposes.

MM. NEEDS: Those static (cannot be changed) and dynamic (can be changed) risk factors closely associated with an individual’s criminal behavior.

NN. PAROLE: The administrative conditional release of an offender from a facility prior to the expiration of his/her sentence.

OO. PAROLE ASSIST: The assistance provided by Parole staff in securing a shelter or other placement for offenders with no placement options.

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PP. PAROLE SERVICES: The division of the Department that supervises offenders released from a facility to Parole supervision.

QQ. PAROLE VIOLATOR: An offender who has been found by the Indiana Parole Board to have violated one (1) or more conditions of Parole.

RR. PERMANENT HOUSING FACILITY: The initial facility where the offender is housed after leaving the intake facility.

SS. PROBATION: A conditional release ordered by a court allowing an offender to serve a portion of his/her sentence under the supervision of a probation officer in lieu of incarceration.

TT. PROGRAM: An earned credit time/time cut program of study, approved by the

Commissioner or designee, which included any of the following criteria:

Standardized Curriculum, Validated Evidence-Based Practices, and/or Established Performance Measure.

UU. POGRAM BOOK: A document listing activities, courses, and programs available at a facility. That list shall include a description of the enrollment criteria, and the staff person over the activity, course or program. This can be kept electronically or a physical copy, but all re-entry, case management, and program staff must be able to access.

VV. PROGRESS REPORT: The document prepared by Unit Team for distribution upon request to government agencies and other organizations providing a lawful service to offenders during the period of incarceration or upon release to the community.

WW. QUALITY ASSURANCE: The maintenance of a desired level of quality in the

Case Management services or processes, especially by means of attention to every stage of delivery or production. This will encompass a CQI process and Audit portion for each Case Management employee.

XX. RE-ENTRY COORDINATOR: The staff person who is designated by the Warden and credentialed as an OWDS to coordinate the development, operation, supervision, and administration of the Pre-Release Course at the facility.

YY. RE-ENTRY MONITOR (REM): The staff person serving as a resource and trainer for facility staff, contractual staff, and community criminal justice partners regarding Case Management policy expectations, technology issues, and programs throughout the Department.

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ZZ. RE-ENTRY PORTFOLIO: A folder of 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, Bureau of Motor Vehicles (BMV)-issued identification cards, and other materials to be used in the community and provided to the offender upon release.

AAA. SAFEKEEPER: An offender whom a court has determined cannot be managed in a local facility and has ordered the offender to the Department prior to sentencing.

BBB. SENTENCE COMPUTATION AND RELEASE SECTION: A section within the Division of Classification in Central Office that assures accurate and timely computation of offender sentences and provides for the on-time release of offenders to the appropriate community supervision.

CCC. SMART GOALS. Goals used with Offenders on Case Plans, in Re- entry Class and during other aspects of the Case Management Process that are specific, measurable, attainable, relevant, and time based.

DDD. SOCIAL SECURITY CARD: An official government document containing a unique nine (9)-digit number assigned by the Social Security Administration and provided to every US citizen, permanent resident, or temporary working resident.

EEE. SPECIAL NEEDS OFFENDER: An offender who has been diagnosed with mental health or physical health issues that significantly impact the offender’s ability to perform normal activities of daily living.

GGG. STATE IDENTIFICATION CARD: A secure form of identification which would include a name, date of birth, address, and a state identification number.

HHH. SUCCESSFUL TRANSITION AND RE-ENTRY TRAINING (START): A set of Core workshops making up the Pre-Release Course which adheres to Indiana Code 11-13-8-3 and educates all adult offenders with the necessary information, skills, and resources for the purposes of Re-Entry.

III. SUPERVISOR OF CLASSIFICATION: The facility staff person who works with Unit Team to render the final decision on all offender Classification activities within a facility.

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JJJ. TRANSITIONAL HEALTHCARE DEPARTMENT (THD): A section within the Health Services Division of the Indiana Department of Correction that specializes in coordination and continuum of health care when an offender enters and is released from the Department.

KKK. TRANSITIONAL INFORMATION PACKET SERVICES (TIPS): A modified version of workshops used in the Pre-Release Course that provides offenders not eligible for START with information and resources necessary for Re-Entry.

LLL. UNIT TEAM (UT): A grouping of Re-Entry staff members designated by the

Warden, responsible for overseeing an offender’s Re-Entry process.

MMM. UNIT TEAM MANAGER (UTM): The administrator and supervisor of a unit who is responsible for the Casework Manager and Correctional Caseworker.

NNN. VETERAN: An offender with a history of having served in a branch of the US

Armed Forces. Veteran status must be confirmed through the receipt of a DD-214 confirming military service.

OOO. VITAL RECORDS: Documents of life events maintained under governmental authority such as birth certificates, Social Security documents, State identification, etc.

PPP. WALK-THROUGH: A term used to denote placement investigations requests for offenders with forty-five (45) days or less to EPRD.

QQQ. WORKSHOP: A brief, intensive educational course for a relatively small group (up to 25 individuals) of offenders focusing on a specific topic.

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IV. UNIT TEAM EXPECTATIONS AND RESPONSIBILITIES:

The Warden or designee shall establish the working hours and schedule for the Unit Team Staff.

Unit Team Managers, Casework Managers, and Correctional Caseworkers shall be scheduled to ensure their availability to offenders.

If any position designated in this policy and administrative procedure does not exist at a facility, the Warden shall designate a staff position to carry out these duties.

Where the Unit Team Manager and /or Casework Manager is a staffing table position and the position requires direct supervision of other Unit Team staff (i.e. Casework Manager, Unit Team Manager) or will require staff to complete CQI assessments, the Director of Case Management, or designee, shall serve as a member of the interview and selection panel.

Unit Team staff meetings shall be held monthly. A summary of each staff meeting shall be made and maintained by the Unit Team Manager. A copy of this summary shall be forwarded to the Deputy Warden of Re-Entry, the Director of Case Management, and the facility’s assigned Re-Entry Monitor and shall be made available to all unit staff.

Topics required at each monthly meeting include, but are not limited to:

1. Staffing:

a. Vacancies;

b. Staff Resignations;

c. New Staff and Assignments, including review of the OJT packet

2. Programming/Case Management:

a. New programs, courses or activities initiated;

b. Review any changes to Re-Entry policy, procedure, and/or directives.

3. Training Needs:

a. Communication of upcoming Re-Entry training;

b. Discussion of areas within Re-Entry where staff need additional training.

4. Cognitive Behavioral Tools (BITS and Guides)-The number of BITS and Guides completed by each caseworker/casework manager shall be submitted by listing the DOC numbers each staff member completed in each category for the month.

5. Continuous Quality Improvement (CQI)-Performance Measures Covered This section must include all information that was asked to be disseminated from the latest REM Booster Shot that occurred prior to that month’s Unit Team Meeting.

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A. Deputy Warden of Re-Entry Responsibilities:

1. Supervise the Unit Team Managers and other staff designated by the facility Warden.

2. Actively advocate for Unit Team staff by addressing barriers and concerns by ensuring they have the training, support, and resources needed to perform their duties.

3. Coordinate inter-unit activities and relationships between various units and other facility service providers;

4. Monitor unit activities to ensure compliance with the policies and administrative procedures of the Department;

5. Direct appropriate staff in the delivery of services and programs;

6. Notify the Director of Case Management when a Casework Manager or Unit

Team Manager leaves his/her position; and,

7. Other duties as assigned.

B. Unit Team Manager Responsibilities:

1. Supervise, train, and review the performance of Casework Managers assigned to the Unit Team, assessing individual strengths and weaknesses, using regular evaluations and frequent informal reviews of staff performance in accordance with the standards, guidelines, and policies of the Department and the State Personnel Department;

2. Review requests for leave from assigned staff, approve time in UKG/People Soft, and ensure all administrative duties are completed for assigned staff in accordance with State Personnel requirements and payroll requirements:

3. Ensure new Unit Team staff successfully complete and remain proficient in IRAS training, Case Management 101 training, Carey BITS and Guides Training, and when necessary, Continuous Quality Improvement Training:

4. Address the changing needs of the offenders assigned to the unit by continually assessing the relevance of unit programming and re-structure as needed with the approval of the Deputy Warden of Re-Entry;

5. Foster positive channels of communication between Unit Team and other departments at the facility and between Unit Team staff and offenders;

6. Schedule and conduct monthly Unit Team staff meetings;

7. Maintain appropriate records of Unit Team activities;

8. Monitor Unit Team staff for adherence to policy and procedure, using routine CQI assessments and coaching; this includes ensuring that all assigned staff have access to applicable policies and are trained in them;

9. Review and approve Progress Reports for offenders assigned;

10. Review and approve release checklists submitted by case management staff;

11. Coordinate with Custody staff to ensure unit safety and sanitation needs are met;

12. Coordinate with the Physical Plant Director, Safety Hazard Manager, and/or Fire Chief on

Unit safety issues;

13. Act as Deputy Warden of Re-Entry when designated;

14. Coordinate with Classification staff and the Sentence Computation and Release section to assist in preparation for the release of each offender;

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15. Review the quality of reports and documents sent to courts, Parole, probation, etc.

for quality assurance;

16. Ensure implementation of the offender grievance process through the Unit Team;

17. Ensure that information and staff from other areas are included in the decision-making process when recommendations for assignments to a specialized area (e.g., Education, Mental Health Services, etc.) are made;

18. Review the quality of reports and documents sent to COA CPCT Analyst(s) for quality assurance or assigned designee;

19. Ensure that information from Booster shots, Central Office training, and other communications is received and understood by all assigned staff, and booster shots are conducted for staff as needed but at least quarterly; and,

20. Other duties as assigned.

C. Casework Manager Responsibilities:

1. Supervise, train, and review the performance of Correctional Caseworkers assigned to the Unit Team, assessing individual strengths and weaknesses, using regular evaluations and frequent informal reviews of staff performance in accordance with the standards, guidelines and policies of the Department and the State Personnel Department;

2. Successfully complete IRAS Training, Case Management 101 training, Carey BITS and Guides Training, and Continuous Quality Improvement Training;

3. Monitor Correctional Caseworkers for adherence to policy and procedure using routine CQI assessments and coaching;

4. Assess each assigned offender’s risk and needs using the IRAS;

5. Unit Team staff shall solicit information from other staff involved in various areas that may impact the offender’s Case plan including, but not limited to Custody, Classification, Education, Health Service, Recreation, Food Services, Addiction Recovery, and Program staff;

6. Develop, implement, and review each assigned offender’s Case Plan;

7. Compile and complete CPCT packet and submit to UTM;

8. Refer offenders to Programs, Courses and work assignments;

9. Coordinate with all appropriate facility staff to address Re-Entry and release issues;

10. Act as Unit Team Manager when designated;

11. Provide group and individual programming as required;

12. Prepare Progress Reports and release reviews as required; approve assigned caseworkers Progress Reports and release reviews as required;

13. Coordinate with Classification staff to make appropriate Classification recommendations;

14. Conduct unit orientation for newly received offenders;

15. Provide day-to-day assistance for assigned offenders;

16. Prepare reports as required or requested by a supervisor;

17. Maintain high security standards in the unit and facility; and coordinate with UTM and other facility personnel to ensure safety and sanitation standards are maintained:

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18. Review requests for leave from assigned staff, approve time in UKG/People Soft, and ensure all administrative duties are completed for assigned staff in accordance with State Personnel requirements and payroll requirements; and,

19. Other duties as assigned.

D. Correctional Caseworker Responsibilities:

1. Assess each assigned offender’s risk and needs utilizing the IRAS;

2. Successfully complete IRAS Training, Case Management 101 training, Carey BITS and Guides Training, and Continuous Quality Improvement Training;

3. Develop, implement, and review each assigned offender’s Case Plan;

4. Compile and complete CPCT packet and submit to UTM or designee;

5. Unit Team staff shall solicit information from other staff involved in various areas that may impact the offender’s Case plan including, but not limited to Custody, Classification, Education, Health Service, Recreation, Food Services, Addiction Recovery, and Program staff;

6. Refer offenders to Programs, Courses, and work assignments;

7. Coordinate with all appropriate facility staff to address Re-Entry and release issues;

8. Provide group and individual programming as required;

9. Prepare Progress Reports as required;

10. Act as Casework Manager when designated;

11. Coordinate with Classification staff to make appropriate Classification recommendations;

12. Conduct unit orientation for newly received offenders;

13. Provide day-to-day assistance for assigned offenders;

14. Prepare reports as required or requested by a supervisor;

15. Maintain high security standards in the unit and facility; and,

16. Other duties as assigned.

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V. DEVELOPMENT AND IMPLEMENTATION OF PROGRAMS, COURSES, AND

ACTIVITIES:

In order to comply with the required process, facilities interested in adding new programming shall follow the process below:

• Complete State Form 56011, “Application for New Program/Course;”

• The completed State Form 56011 shall be submitted to the Warden for review and approval;

• If approved by the Warden, the completed State Form 56011 and required materials shall be submitted with the Warden’s recommendation to the Executive Director of Programs and Re-Entry with a copy to the appropriate Regional Director.

• The Executive Director of Programs and Re-Entry shall review the submitted State Form 56011 and consult with other staff, as necessary, to review the proposed programming;

• After review and recommendation, the Executive Director of Programs and Re-Entry shall submit the completed State Form 56011 and recommendation to the Deputy Commissioner of Re-Entry and Youth Services;

• If approved by the Deputy Commissioner of Re-Entry and Youth Services, the completed State Form 56011 shall be submitted to the Commissioner for final approval/denial;

• The Executive Director of Programs and Re-Entry shall ensure the final decision by the Commissioner and the completed State Form 56011 are returned to the submitting Warden, including any instructions regarding the Program/Course;

• If approved, the Executive Director of Programs and Re-Entry shall ensure the approved Program/Course is added to Delta and the Department’s Program and Course Catalog;

and,

• Each Facility shall develop and maintain a Program Book for staff reference. The Program Book will include a list of all courses, programs, and activities available at the facility. The book shall include contact information for staff responsible for each course, program, or activity and any criteria for referral/enrollment.

• Wardens have the responsibility of regulating activities offered at the facility. Each facility shall maintain a “Program Book” offered and shall ensure it is updated annually and submitted to the Executive Director of Programs and Re-Entry and the Director of Case Management by January 10th of each year.

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I. RE-ENTRY PROCESS-EPRD 180 DAYS OR MORE:

The following procedures apply to offenders who have one hundred and eighty (180) days or more to EPRD upon arrival at their permanent housing facility.

A. Orientation

The facility orientation shall include information on Case Management and Unit Management processes at the facility.

Facility Orientation shall include but not limited to Sexual Violence Assessment Tool (SVAT), Prison Rape Elimination Act (PREA) Education, Case Management/Unit Team overview, Law Library information, Health Services procedures, Behavioral Health resource, etc. Except in unusual circumstances, reception and orientation for offenders transferred from another Department facility shall be completed within seven (7) calendar days after arrival.

All offenders admitted to the Department after January 1, 2022, with at least six (6) months to their EPRD from arrival at permanent housing unit and who have an EPRD (not an indeterminate sentence) will automatically be entered into the Case Plan Credit Time (CPCT) structure.

All facility Admissions and Orientation programs shall ensure that information on the purpose and benefits of Re-Entry services and obtaining release documentation (i.e. BMV ID, Birth Certificate, Social Security Card, etc.) prior to release are included as part of the Intake process. Institutional packets should be reviewed upon arrival to determine what release documents will be needed prior to release. If an offender does not have a birth certificate available to them, staff at the Intake facility (RDC/RTI) shall work with the offender to apply for the document. If this is not conducted at the Intake facility, the permanent housing facility shall address immediately upon discovery of the need.

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B. Indiana Risk Assessment System (IRAS):

The following staff, Unit Team Manager, Casework Manager, Correctional Caseworker, and/or Intake Unit Classification Specialist designation shall become a certified user of IRAS.

They shall complete any necessary training to obtain the certification within ninety (90) days or next available date of accepting their position and shall maintain the certification as required by Indiana Judicial Center statewide policy. In the event case management staff attempts and fails IRAS certification four (4) times, the facility’s Deputy Warden of Re- Entry shall consult with the Director of Case Management, notifying him/her of this situation to discuss next steps.

Within seven (7) calendar days of receipt of notification of certification, the staff member shall take the necessary steps to become an authorized user of the INcite System by completing and submitting the signed INcite User Agreement (Attachment 1).

A staff member transferring from an agency that uses the IRAS Community Supervision Tool (IRAS-CST), including Parole Services Division, is not required to recertify on the PIT and SRT unless recommended by supervisory staff at the facility. A new INcite User Agreement must be completed to reflect IDOC as the staff person’s current agency in the INcite system.

Scoring documents from the IRAS assessment including the interview guide, offender self-report, and hard copy score sheet do not need to be saved in the offender’s institutional packet.

Risk level overrides should go no higher than one risk level and any override shall require documentation in INcite and in a Case Note. A Case Note shall be entered listing the reason for and level of override. When appropriate, risk level overrides of more than one risk level shall require supervisor approval and an additional Case Note entry by the supervisor documenting review of the override.

1. IRAS Prison Intake Tool (IRAS-PIT)

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The IRAS-PIT shall be completed per the expectations set forth by the University of Cincinnati and the Indiana Office of Court Services by conducting a face-to-face interview with the offender and ensuring the information in the PIT interview guide is discussed. The recommended time allotted for an IRAS-PIT is a minimum of thirty (30) minutes per offender. The IRAS-PIT shall be completed for all incarcerated adults at the facility level and the results entered into the INcite system within thirty (30) calendar days of their arrival at the permanent housing facility. The data from the IRAS-PIT shall be used by Unit Team staff as the foundation for Case Planning and referrals. Offenders shall not be given copies of their IRAS assessment.

a. IRAS-PIT: Refusal to participate:

If an offender refuses the IRAS-PIT assessment, no Program referrals shall be made; however, a “refusal” Case Plan shall be generated and a case note entered documenting the offender’s refusal to participate in the assessment process.

At this time, the IRAS-Static Tool shall be completed in place of the IRAS-PIT by Unit Team staff for the purposes of creating a “refusal” case plan. The IRAS-Static Tool is only intended for those offenders who refuse to participate in the assessment process or those who are incapable due to severe mental illness.

Offenders who are unwilling to participate in the IRAS-PIT assessment process, shall be offered the opportunity to rescind the refusal at each face-to-face contact. If an offender continues to refuse to participate in the IRAS-PIT assessment, no referrals for programming shall be made in the case plan. Staff Referral for Medical Services to Mental Health and Addiction Recovery must be permitted even with a refusal to participate in the IRAS-PIT.

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Staff Referral for Medical Services (including addiction recovery/mental health) should not be documented in the Case Plan due to HIPPA compliance.

Offenders who refuse to participate in the

IRAS-PIT assessment may not be eligible to earn additional credit time including under the CPCT system. If the offender agrees to participate in the IRAS-PIT assessment, the assessment shall be completed within thirty (30) days by Unit Team staff. If an offender initially refuses an IRAS-PIT and decides after that they want to participate in the IRAS process, the offender will then be offered the IRAS-SRT.

When this is completed, a Case Note will be added documenting the offender’s decision to participate.

b. IRAS-PIT: Mental Health offenders

If an offender is unable to participate in the IRAS- PIT due to serious mental illness, or any other significant issue making them unable to participate, a case note shall be entered documenting their inability to participate. At this time the IRAS- Static Tool shall be completed in place of the IRAS-PIT by Unit Team staff. The IRAS-Static Tool is only intended for those offenders who refuse to participate in the assessment process or those who are incapable.

In this instance, a Case Plan shall be generated using the incapable Case Plan type and appropriate referrals and interventions shall be made. Offenders with serious mental illness shall be eligible for educational credit time if medical and/or behavioral goals and interventions are met or the offender is in compliance with treatment in these areas.

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If an offender requiring an IRAS-PIT is received from a prior facility without the assessment on file, Unit Team staff at the receiving facility shall complete the assessment either an IRAS- PIT or IRAS-SRT whichever is appropriate based on the length of time the offender has already been incarcerated.

2. IRAS Supplemental Re-Entry Tool (IRAS-SRT)

The IRAS-SRT shall be completed, and the results entered into the INcite system for all offenders sixty

(60) days prior to the offender’s CTP commencement date or one hundred and eighty (180) days prior to the offender’s release to probation, community corrections, Parole, or discharge, whichever comes first.

The IRAS-SRT is not completed if the IRAS-PIT has been completed within thirty (30) days of the IRAS-SRT due date.

If an IRAS-SRT is completed and entered the INcite system sixty (60) days prior to an offender’s CTP commencement date, another IRAS-SRT will not be required at release.

If the IRAS-SRT cannot be completed due to the offender’s unwillingness or inability, a supervisor shall validate the circumstances and enter a Case Note documenting the reason for the incomplete assessment.

At this time the IRAS-Static Tool shall be completed in place of the IRAS- SRT by Unit Team staff.

An IRAS-SRT is not required when an offender is released from court. In these cases, a Case Note shall be entered documenting the reason that the IRAS-SRT was not completed.

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If an offender loses earned credit time or they have a sentence change after the IRAS-SRT has been completed, and the IRAS- SRT is less than one (1) year old, the sixty (60) day process will not need to be completed again. In the event the IRAS-SRT is more than one (1) year old, the sixty (60) day process will need to be repeated, including completion of a new

IRAS-SRT.

C. Case Planning

Unit Team staff members shall maintain their caseloads in DELTA. Any caseload transfer shall be completed in DELTA within seven (7) days.

The Case plan shall be developed from the IRAS-PIT assessment. If an offender does not have an IRAS-PIT on file due to how long he or she has been incarcerated, an IRAS-SRT shall be completed during the annual review period. That IRAS-SRT will be used to establish risk and need for Case Planning. An SRT can be completed anytime during incarceration to determine a change in the offender’s risks or needs. The Case plan shall be developed, reviewed, and signed by the offender within thirty (30) calendar days of arrival at the housing facility. The Case plan can be updated at any time.

In order for a Case plan to be considered active, the offender must have at least two current/active personal interventions or one current/active personal intervention and one active program referral. All offenders who arrive at the permanent initial housing facility with one hundred and eighty (180) days or more to serve to their EPRD are required to have an active Case Plan.

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1. Risk Level Referral Requirements:

Program referrals shall be associated with an IRAS domain. Offenders whose assessment indicates risk levels of moderate or above shall be referred to appropriate programming. Those offenders with low risk levels should be considered for courses and activities within the facility. Should there be supporting evidence of a high need for an offender with a low-risk score, a Case Note must be entered justifying the need for this referral. Deputy Wardens of Re-Entry are encouraged to implement a process that allows for these types of referrals to be reviewed by appropriate staff prior to referral.

a. Educational Referral Priority:

Education shall be the primary program referral for any offender who does not meet the required educational standard for all other program enrollment. Offenders who refuse the educational referral are ineligible to be referred to any other programming. The exception to this being offenders may be referred (through any channel including self-referral or medical channels) to Addiction Recovery Services for clinical assessment and if deemed clinically appropriate may participate in Addiction Recovery Services. There is no minimum education requirement for an individual to participate in Addiction Recovery Services. An education referral or any other referral or program, course, activity, or job participation will not inhibit an Incarceration Individual from receiving a referral to Addiction Recovery.

Case Plan Credit Time (CPCT) Structure allows offenders who have been deemed by Education Staff and/or by the Correctional Caseworker or Casework Manager to no longer be progressing or to have academically plateaued in educational programing to pursue other case plan

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Title goals/interventions. However, these other goals/interventions must be part of the case plan as determined necessary and appropriate by the Caseworker or Casework Manager. The offender may return to education programming at a future date if recommended by the Caseworker or Casework Manager and in coordination with appropriate Education Staff.

However, if the offender quits, is terminated, or if any referral is closed due to unsuccessful completion of the program/referral, the offender cannot receive the case plan point for the Case Plan Credit Time review period and will automatically fail the Case Plan Credit Time review.

Offenders designated for Purposeful Incarceration (PI) are exempt from the educational/literacy priority referral requirement and shall be referred/brought to the attention of addiction recovery staff for substance abuse assessment before any other programming.

b. Addiction Recovery Priority:

Addiction Recovery referrals can be made at any time for clinical assessment and shall be based on administrative indicators, behavioral indicators or at the request of the offender.

Addiction Recovery is a medical referral and will not be documented in the case plan.

• Administrative indicators include a qualifying screening score at the offender’s Intake facility, a moderate or high IRAS-PIT Substance Abuse domain score, or the offender having been designated for Purposeful Incarceration.

• Behavioral indicators include: an

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Title offender receiving a conduct report related to substance use/possession, an offender testing positive for illegal substances on a urine drug screen, or an offender being seen by Health Services for a suspected or actual acute intoxication.

• Priority regarding Addiction Recovery referrals will be determined by the Addiction Recovery staff after completion of the Comprehensive Substance Use Assessment (CSUA).

Clinical need of the offender will determine priority of Addiction Recovery with other referrals, and whether that offender may participate in programs while in Addiction Recovery.

Clinical recommendation for treatment level and the ability to participate in programs shall be communicated to the caseworker by entering an enrollment Case Note that directs whether they may participate in another time-cut eligible program or employment.

• Offenders have the right to refuse to participate in Addiction Recovery.

D. Program and Course Referrals

1. Referral Process:

All Program and Course referrals shall be completed by assigned Case Management staff. All referrals will be associated with an IRAS domain and supporting rationale should be documented concerning why the referral was made.

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Facilities shall designate staff responsible for the timely entry of program data. All program actions including referral, wait list, start date, end date, and completion type shall be completed within five (5) business days of the action’s occurrence.

If an offender quits or is terminated from a Program, or refuses a referral to a Program, Unit Team shall complete the referral as enrolled and completed on the same date. The offender must not have refused any Program (as defined in this policy and administrative procedure, not a course or activity) referred to and offered, quit the Program, or have been terminated from the Program during the review period to receive the Case Plan point.

A review in the Case Plan along with a Case Note shall be required detailing the circumstances when an offender quits, is terminated, or refuses a Program/Program referral.

If an offender who is enrolled in a Program (not including Addiction Recovery Services) quits, is terminated, or unsuccessfully completes the Program they are ineligible to enroll in any other Program for a period of one hundred and eighty (180) days from the date that the offender is officially removed. In addition, the facility may determine that the offender is course and/or job ineligible and assign the offender to idle status for a fixed period of time, not to exceed one hundred and eighty (180) days. Second Chance courses are the approved exceptions to this rule.

Offenders participating in CPCT structure should continue to pursue medical, behavioral, and other goals/interventions outlined in their individualized Case Plan. However, if the Program referral is closed during the CPCT review period because the offender quits, is terminated, or as an unsuccessful completion, the offender cannot receive the Case Plan point for that review period.

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Offenders may engage in both a structured program (e.g., education, vocational training, cognitive behavioral classes) and hold a facility job assignment at the same time as long as the individual meets the eligibility criteria for both the program and the job…