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<chapter num="07" heading="Case Management Process" title_num="12" subtitle_num="02">
  <regulation prefix="Regulation" num=".01" heading="Definitions.">
    <paragraph num="A.">
      <text>In this chapter, the following terms have the meanings indicated.</text>
    </paragraph>
    <paragraph num="B.">
      <text>Terms Defined.</text>
      <paragraph num="(1)">
        <text>“CARC” means a community adult rehabilitation center established under Correctional Services Article, Title 11, Subtitle 3, Annotated Code of Maryland, and COMAR 12.02.03.</text>
      </paragraph>
      <paragraph num="(2)">
        <text>“Commissioner” means Commissioner of the Division of Correction, or designee.</text>
      </paragraph>
      <paragraph num="(3)">
        <text>“Confidential material” means:</text>
        <paragraph num="(a)">
          <text>Addresses and telephone numbers on victim impact letters;</text>
        </paragraph>
        <paragraph num="(b)">
          <text>Police reports;</text>
        </paragraph>
        <paragraph num="(c)">
          <text>Juvenile records;</text>
        </paragraph>
        <paragraph num="(d)">
          <text>Presentence investigations;</text>
        </paragraph>
        <paragraph num="(e)">
          <text>Psychological reports, psychiatric evaluations, evaluation reports, and social histories;</text>
        </paragraph>
        <paragraph num="(f)">
          <text>Parole progress file; and</text>
        </paragraph>
        <paragraph num="(g)">
          <text>Correspondence relating to therapy.</text>
        </paragraph>
      </paragraph>
      <paragraph num="(4)">
        <text>“Division” means Division of Correction.</text>
      </paragraph>
      <paragraph num="(5)">
        <text>“Escape” means a documented incident of unauthorized absence from lawful confinement or custody, except for an inmate on work release, or an inmate assigned to the central home detention unit who is convicted solely of unauthorized absence or being out of bounds.</text>
      </paragraph>
      <paragraph num="(6)">
        <text>“G housing identifier” means that the inmate has been reviewed for placement in the general population and is considered suitable for double-celling or dormitory housing.</text>
      </paragraph>
      <paragraph num="(7)">
        <text>Inmate Records.</text>
        <paragraph num="(a)">
          <text>“Inmate records” means the written information that is assembled, maintained, and used in accordance with the provisions of Correctional Services Article, §§3-601—3-608, Annotated Code of Maryland.</text>
        </paragraph>
        <paragraph num="(b)">
          <text>“Inmate records” includes:</text>
          <paragraph num="(i)">
            <text>Police reports and other relevant information concerning the crime for which the inmate was most recently convicted and the sentence imposed for that conviction;</text>
          </paragraph>
          <paragraph num="(ii)">
            <text>The inmate's prior criminal and juvenile history, and relevant records concerning it;</text>
          </paragraph>
          <paragraph num="(iii)">
            <text>Presentence investigation, parole, probation, and other reports that have been prepared concerning the inmate;</text>
          </paragraph>
          <paragraph num="(iv)">
            <text>School records;</text>
          </paragraph>
          <paragraph num="(v)">
            <text>Information concerning the inmate's prior medical and mental health history, including relevant medical and hospital records and reports; and</text>
          </paragraph>
          <paragraph num="(vi)">
            <text>Other relevant information, records, and reports concerning the inmate's social, physical, or mental condition and history.</text>
          </paragraph>
        </paragraph>
        <paragraph num="(c)">
          <text>“Inmate records” does not mean separate Division records maintained by the mental health and health services units.</text>
        </paragraph>
      </paragraph>
      <paragraph num="(8)">
        <text>“MAP” means mutual agreement programming which is a process of negotiating agreements among an inmate, the Maryland Parole Commission, and the Division.</text>
      </paragraph>
      <paragraph num="(9)">
        <text>“S housing identifier” means that special factors preclude the inmate's assignment to the general population and require single-celling. Special factors include a history of the following:</text>
        <paragraph num="(a)">
          <text>Aggressive behavior;</text>
        </paragraph>
        <paragraph num="(b)">
          <text>Medical problems;</text>
        </paragraph>
        <paragraph num="(c)">
          <text>Mental health problems; or</text>
        </paragraph>
        <paragraph num="(d)">
          <text>Victimization by other inmates.</text>
        </paragraph>
      </paragraph>
    </paragraph>
  </regulation>
  <regulation prefix="Regulation" num=".02" heading="Case Management Procedure.">
    <paragraph num="A.">
      <text>In classifying an inmate committed to its custody, the Division uses a review in accordance with Correctional Services Article, §9-305, Annotated Code of Maryland, which requires:</text>
      <paragraph num="(1)">
        <text>The consideration of case information; and</text>
      </paragraph>
      <paragraph num="(2)">
        <text>An administrative process.</text>
      </paragraph>
    </paragraph>
    <paragraph num="B.">
      <text>Case management team membership, when team action is required, shall be comprised of staff approved by the Commissioner.</text>
    </paragraph>
    <paragraph num="C.">
      <text>An inmate who escapes from, or while assigned to, a minimum or prerelease security facility shall, upon return, be housed within a medium security facility without case management action.</text>
    </paragraph>
    <paragraph num="D.">
      <text>An inmate with a sentence of life or death shall be initially classified to not less than the maximum security level.</text>
    </paragraph>
    <paragraph num="E.">
      <text>An inmate received into the Division with a sentence of 1 year or less for a nonviolent offense, absent documentation to the contrary, shall be classified to the minimum security level or the prerelease security level.</text>
    </paragraph>
    <paragraph num="F.">
      <text>The Commissioner shall designate which actions shall be reviewed by case management staff.</text>
    </paragraph>
    <paragraph num="G.">
      <text>An inmate may pursue informal remedy of complaints regarding a case management action or formal remedy by writing to the Inmate Grievance Office.</text>
    </paragraph>
    <paragraph num="H.">
      <text>The warden shall ensure that the parties concerned in the case management process understand that:</text>
      <paragraph num="(1)">
        <text>Reclassification does not imply that a change will occur, but rather, serves as a means of systematically monitoring progress; and</text>
      </paragraph>
      <paragraph num="(2)">
        <text>Simply achieving a score which makes an inmate eligible for a change does not guarantee or imply that a change will occur.</text>
      </paragraph>
    </paragraph>
    <paragraph num="I.">
      <text>Notwithstanding the provisions of this or any other regulation and consistent with the law, the Commissioner, and those the Commissioner authorizes, have the discretion to modify, suspend, or terminate for any reason the process described in this regulation. Similarly, the Commissioner or the Commissioner's representatives retain the discretion to modify the classification and assignment of any inmate at any time for any reason.</text>
    </paragraph>
  </regulation>
  <regulation prefix="Regulation" num=".03" heading="Case Management Approval Process.">
    <paragraph num="A.">
      <text>The assigned case management specialist shall prepare the appropriate form to consider the actions designated in this regulation and submit the completed form for team or administrative review.</text>
    </paragraph>
    <paragraph num="B.">
      <text>A reviewing supervisor or members of a team shall:</text>
      <paragraph num="(1)">
        <text>Review the completed form;</text>
      </paragraph>
      <paragraph num="(2)">
        <text>Record their recommendations and rationales;</text>
      </paragraph>
      <paragraph num="(3)">
        <text>Sign the form;</text>
      </paragraph>
      <paragraph num="(4)">
        <text>Check the box provided on the form to reflect their personal concurrence or nonconcurrence with the recommended action;</text>
      </paragraph>
      <paragraph num="(5)">
        <text>If nonconcurring, record in the space provided a brief supporting rationale;</text>
      </paragraph>
      <paragraph num="(6)">
        <text>Ensure compliance with a written request from a crime victim to read a victim impact statement at a case management hearing at which an inmate is considered for:</text>
        <paragraph num="(a)">
          <text>Family leave,</text>
        </paragraph>
        <paragraph num="(b)">
          <text>Special leave, and</text>
        </paragraph>
        <paragraph num="(c)">
          <text>Home detention; and</text>
        </paragraph>
      </paragraph>
      <paragraph num="(7)">
        <text>Forward the form to the warden or designee for review.</text>
      </paragraph>
    </paragraph>
    <paragraph num="C.">
      <text>The warden shall review a case management action which, by law or Division directive, requires the warden's personal review.</text>
    </paragraph>
    <paragraph num="D.">
      <text>The warden shall review a case management recommendation in §C of this regulation and:</text>
      <paragraph num="(1)">
        <text>Approve the recommendation; or</text>
      </paragraph>
      <paragraph num="(2)">
        <text>With a written rationale:</text>
        <paragraph num="(a)">
          <text>Disapprove the recommendation,</text>
        </paragraph>
        <paragraph num="(b)">
          <text>Order further proceedings, or</text>
        </paragraph>
        <paragraph num="(c)">
          <text>Make an independent decision different from the recommendation of case management staff.</text>
        </paragraph>
      </paragraph>
    </paragraph>
    <paragraph num="E.">
      <text>The warden of the Maryland Reception, Diagnostic, and Classification Center may substitute another institution of the same security level of the institution recommended by case management staff for an inmate's initial placement.</text>
    </paragraph>
    <paragraph num="F.">
      <text>The Commissioner shall encourage each warden to review personally all case management recommendations, but with the exception of the specific case management action in §C of this regulation, may delegate them to a designee who shall review and:</text>
      <paragraph num="(1)">
        <text>Approve the recommendation; or</text>
      </paragraph>
      <paragraph num="(2)">
        <text>With a written rationale:</text>
        <paragraph num="(a)">
          <text>Disapprove the recommendation,</text>
        </paragraph>
        <paragraph num="(b)">
          <text>Order further proceedings, or</text>
        </paragraph>
        <paragraph num="(c)">
          <text>Make an independent decision different from the recommendation of case management staff.</text>
        </paragraph>
      </paragraph>
    </paragraph>
    <paragraph num="G.">
      <text>A warden or, as permitted, a warden's designee shall sign and date the appropriate case management form in the spaces provided and return it to the inmate's assigned case management specialist for further processing.</text>
    </paragraph>
    <paragraph num="H.">
      <text>The following case management recommendations which have been approved by a warden shall be submitted to the Commissioner:</text>
      <paragraph num="(1)">
        <text>Family leave;</text>
      </paragraph>
      <paragraph num="(2)">
        <text>Special leave;</text>
      </paragraph>
      <paragraph num="(3)">
        <text>Interstate Corrections Compact transfer;</text>
      </paragraph>
      <paragraph num="(4)">
        <text>MAP requirement;</text>
      </paragraph>
      <paragraph num="(5)">
        <text>Case management staff recommendation regarding contractual transfer to the Federal Bureau of Prisons, regardless of the nature of the staff's or the warden's recommendation; and</text>
      </paragraph>
      <paragraph num="(6)">
        <text>Assignment to the home detention program.</text>
      </paragraph>
    </paragraph>
    <paragraph num="I.">
      <text>The Commissioner shall review a case management recommendation in §H of this regulation and:</text>
      <paragraph num="(1)">
        <text>Approve the recommendation; or</text>
      </paragraph>
      <paragraph num="(2)">
        <text>With a written rationale:</text>
        <paragraph num="(a)">
          <text>Disapprove the recommendation,</text>
        </paragraph>
        <paragraph num="(b)">
          <text>Order further proceedings, or</text>
        </paragraph>
        <paragraph num="(c)">
          <text>Make an independent decision different from the recommendation of the warden.</text>
        </paragraph>
      </paragraph>
    </paragraph>
    <paragraph num="J.">
      <text>The Commissioner shall ensure that the assigned case management staff shall:</text>
      <paragraph num="(1)">
        <text>Notify the inmate of the final result of action required by this regulation;</text>
      </paragraph>
      <paragraph num="(2)">
        <text>Distribute the required form; and</text>
      </paragraph>
      <paragraph num="(3)">
        <text>Ensure that the final result is recorded on the inmate institutional progress sheet, along with the date of the final action.</text>
      </paragraph>
    </paragraph>
    <paragraph num="K.">
      <text>The Commissioner shall ensure that:</text>
      <paragraph num="(1)">
        <text>An employee involved in the case management process is trained in the use of this regulation;</text>
      </paragraph>
      <paragraph num="(2)">
        <text>A review of this regulation is provided to a newly received inmate as part of orientation; and</text>
      </paragraph>
      <paragraph num="(3)">
        <text>An authorized terminal operator enters complete and accurate data after each initial security designation and security reclassification.</text>
      </paragraph>
    </paragraph>
  </regulation>
  <regulation prefix="Regulation" num=".04" heading="Access to Records.">
    <paragraph num="A.">
      <text>The Division shall compile and maintain a complete record and history of an inmate.</text>
    </paragraph>
    <paragraph num="B.">
      <text>The Division shall also record a full and accurate description of an inmate committed to it, including photographs.</text>
    </paragraph>
    <paragraph num="C.">
      <text>The Division shall seek the cooperation of State and local officials and agencies in order to obtain required information. Division staff shall promptly request the information, records, and reports from these officials to ensure that this section is complied with.</text>
    </paragraph>
    <paragraph num="D.">
      <text>A warden may grant access to an inmate's records, except for a presentence investigation, without a written request, to:</text>
      <paragraph num="(1)">
        <text>A provider of medical services, if the record is necessary to assure medical care;</text>
      </paragraph>
      <paragraph num="(2)">
        <text>The inmate's attorney;</text>
      </paragraph>
      <paragraph num="(3)">
        <text>An individual authorized by court order;</text>
      </paragraph>
      <paragraph num="(4)">
        <text>An individual authorized by law;</text>
      </paragraph>
      <paragraph num="(5)">
        <text>A Maryland judge; and</text>
      </paragraph>
      <paragraph num="(6)">
        <text>A State's attorney.</text>
      </paragraph>
    </paragraph>
    <paragraph num="E.">
      <text>A warden may grant access to an inmate's records, except for a presentence investigation, with a written request, to an:</text>
      <paragraph num="(1)">
        <text>Employee of a State department or agency if the request is in the furtherance of the employee's lawful duties;</text>
      </paragraph>
      <paragraph num="(2)">
        <text>Employee of a State, federal, or local law enforcement agency, if the request is in the furtherance of the employee's lawful duties; and</text>
      </paragraph>
      <paragraph num="(3)">
        <text>Inmate or individual who has the written authorization of the inmate.</text>
      </paragraph>
    </paragraph>
    <paragraph num="F.">
      <text>The Commissioner shall ensure that before granting access to an individual identified in §§D and E of this regulation, except a Maryland judge or a State's attorney, a warden shall also be satisfied that the records:</text>
      <paragraph num="(1)">
        <text>Shall be used only for legitimate purposes of the individual or agency receiving them and not for an improper or unauthorized purpose; and</text>
      </paragraph>
      <paragraph num="(2)">
        <text>May not be further disseminated to an individual or agency not authorized to receive them.</text>
      </paragraph>
    </paragraph>
    <paragraph num="G.">
      <text>The Commissioner shall ensure that a warden grants access to an inmate's presentence investigation, upon request, to the inmate's attorney or to a State's attorney. The Commissioner shall ensure that a warden denies other requests for access to an inmate's presentence investigation unless the access is specifically granted by a court order or the access is requested for the use of a correctional institution.</text>
    </paragraph>
    <paragraph num="H.">
      <text>The Commissioner shall ensure that:</text>
      <paragraph num="(1)">
        <text>Records are reviewed in the presence of an institutional employee;</text>
      </paragraph>
      <paragraph num="(2)">
        <text>A charge authorized by law is made for all photocopies provided; and</text>
      </paragraph>
      <paragraph num="(3)">
        <text>A log containing the following is maintained:</text>
        <paragraph num="(a)">
          <text>Date of review,</text>
        </paragraph>
        <paragraph num="(b)">
          <text>Name of inmate,</text>
        </paragraph>
        <paragraph num="(c)">
          <text>Commitment number of the inmate,</text>
        </paragraph>
        <paragraph num="(d)">
          <text>Name of the person requesting access,</text>
        </paragraph>
        <paragraph num="(e)">
          <text>Reason for the request, and</text>
        </paragraph>
        <paragraph num="(f)">
          <text>Warden's signature for each approved request for access to inmate records.</text>
        </paragraph>
      </paragraph>
    </paragraph>
    <paragraph num="I.">
      <text>Attorney Access to Base File Information.</text>
      <paragraph num="(1)">
        <text>An attorney shall provide the Commissioner with a minimum of 24 hours notice in writing. A specific reason for the request shall be stated by the attorney. Merely noting “legal” is insufficient.</text>
      </paragraph>
      <paragraph num="(2)">
        <text>Before review, the attorney shall provide the warden with an authorization for release of records form signed by the inmate.</text>
      </paragraph>
      <paragraph num="(3)">
        <text>The Commissioner shall ensure that an attorney is required to show proper identification before access is permitted.</text>
      </paragraph>
      <paragraph num="(4)">
        <text>An attorney may review only those records for which the request has been made in accordance with this regulation.</text>
      </paragraph>
      <paragraph num="(5)">
        <text>If the records are to be reviewed by an employee or agent of the attorney, the Commissioner shall ensure that proper identification accompanies the employee and can be produced upon request.</text>
      </paragraph>
      <paragraph num="(6)">
        <text>Records shall be reviewed in the presence of an institutional employee.</text>
      </paragraph>
      <paragraph num="(7)">
        <text>Medical records which are the property of the Division are maintained by an outside medical provider. A request for these records shall be made in writing directly to the medical provider.</text>
      </paragraph>
    </paragraph>
    <paragraph num="J.">
      <text>Inmate Access to Base File Information.</text>
      <paragraph num="(1)">
        <text>An inmate may obtain access to base file information in accordance with procedures described in this section.</text>
      </paragraph>
      <paragraph num="(2)">
        <text>A request for records review shall be submitted in writing to the warden and an acknowledgement of a request received shall be sent to the inmate.</text>
      </paragraph>
      <paragraph num="(3)">
        <text>A review shall be scheduled within a reasonable time and conducted in the presence of Division staff.</text>
      </paragraph>
      <paragraph num="(4)">
        <text>The name of an inmate shall be placed on a list maintained by the records department for inmates requesting file review.</text>
      </paragraph>
      <paragraph num="(5)">
        <text>Records department personnel shall schedule records review.</text>
      </paragraph>
      <paragraph num="(6)">
        <text>The records department shall ensure that material to which an inmate may not have access is removed.</text>
      </paragraph>
      <paragraph num="(7)">
        <text>An inmate shall be permitted to review the inmate's base file once every 6 months, unless additional reviews are approved by the warden.</text>
      </paragraph>
    </paragraph>
    <paragraph num="K.">
      <text>Inmate Access to Confidential Psychological Information.</text>
      <paragraph num="(1)">
        <text>An inmate may obtain access to confidential psychological information in the inmate's base file in accordance with procedures described in this section.</text>
      </paragraph>
      <paragraph num="(2)">
        <text>An inmate shall send a written request for access to the warden.</text>
      </paragraph>
      <paragraph num="(3)">
        <text>A warden shall review a request with the appropriate psychology staff and decide if access may be granted.</text>
      </paragraph>
      <paragraph num="(4)">
        <text>Access to psychological information may be denied by the warden if, in the opinion of the psychology staff, access to this information is psychologically contraindicated.</text>
      </paragraph>
      <paragraph num="(5)">
        <text>If access is denied, the warden shall ensure that a summary of the records that are compatible with the inmate's current level of functioning shall be prepared and made available.</text>
      </paragraph>
    </paragraph>
    <paragraph num="L.">
      <text>Fees.</text>
      <paragraph num="(1)">
        <text>The custodian of records shall collect a fee for copying and a fee for preparation of the materials from the requesting party. However, the custodian may not levy a preparation fee for the first 2 hours of official employee time that is needed to respond to a request. Copying and preparation fees shall be posted in the records department.</text>
      </paragraph>
      <paragraph num="(2)">
        <text>A charge may not be made if the total amount of the fee is $1 or less.</text>
      </paragraph>
      <paragraph num="(3)">
        <text>The Commissioner may waive the fee if the waiver is in the public interest.</text>
      </paragraph>
      <paragraph num="(4)">
        <text>Photocopying will be done only after normal procedures have been followed for withdrawing money from the inmate's financial account or, in the case of outside parties, upon satisfactory arrangements for payment by the requesting party.</text>
      </paragraph>
    </paragraph>
    <paragraph num="M.">
      <text>Appeals.</text>
      <paragraph num="(1)">
        <text>If permission for access is granted, the records shall be reviewed in the presence of Division personnel. A record of this review shall be placed in the inmate's base file by records department personnel.</text>
      </paragraph>
      <paragraph num="(2)">
        <text>If permission is denied, the person making the request shall be notified in writing. This notification shall be made part of the inmate's base file. An appeal of the warden's decision to deny access may be made to the office of the Commissioner. The Commissioner shall make a final determination on the request in accordance with COMAR 12.11.02.11.</text>
      </paragraph>
    </paragraph>
  </regulation>
  <regulation prefix="Regulation" num=".05" heading="Request for Inactive Inmate Records Maintained at the State Records Center.">
    <paragraph num="A.">
      <text>A case management manager, supervisor, or designee shall ensure that a reference request form is prepared when an inmate's records are requested from the State Records Center.</text>
    </paragraph>
    <paragraph num="B.">
      <text>A case management manager, supervisor, or designee shall notify the State Records Center of the records which are needed for review and obtain the records at the State Records Center, Waterloo, Maryland.</text>
    </paragraph>
    <paragraph num="C.">
      <text>When the records are no longer needed, the case management manager, supervisor, or designee shall return the record to the State Records Center.</text>
    </paragraph>
  </regulation>
  <annotations>
    <annotation type="Authority">Correctional Services Article, §§2-109(c), 3-601, and 3-603, Annotated Code of Maryland</annotation>
    <annotation type="History" subtype="Administrative History">Effective date: May 27, 1991 (18:10 Md. R. 1117)</annotation>
    <annotation type="History" subtype="Administrative History">Regulations .02, .03, and .05 amended as an emergency provision effective July 30, 1991 (18:17 Md. R. 1912); emergency status extended at 18:26 Md. R. 2828; emergency status expired February 28, 1992; amended permanently effective March 30, 1992 (19:6 Md. R. 675)</annotation>
    <annotation type="History" subtype="Administrative History">Regulations .01—.05 amended effective June 17, 1996 (23:12 Md. R. 872)</annotation>
  </annotations>
</chapter>