# COMAR Title 12 — Department of Public Safety and Correctional Services

## Subtitle 02 — Division of Correction

### Chapter 24 — Case Management

**Authority:** Correctional Services Article, §§2-109(c) and 3-602(d), Annotated Code of Maryland

**Administrative History:** Effective date: May 27, 1991 (18:10 Md. R. 1117)

**Administrative History:** Chapter revised effective June 23, 2003 (30:12 Md. R. 789)

**Administrative History:** Regulation .02D amended as an emergency provision effective March 23, 2012 (39:8 Md. R. 532); amended permanently effective May 28, 2012 (39:10 Md. R. 660)

**Administrative History:** Regulation .05D amended effective June 6, 2016 (43:11 Md. R. 635)

#### Regulation .01 Definitions.

*COMAR 12.02.24.01*

A. In this chapter, the following terms have the meanings indicated.

B. Terms Defined.

  (1) “Case management” means the process employed to identify and address inmate needs.

  (2) “Case manager” means the case management specialist assigned to each inmate in the case management process.

  (3) “Commission” means the Maryland Parole Commission.

  (4) “Discipline” means any of the following fields of correctional service:

    (a) Substance abuse treatment;

    (b) Classification;

    (c) Custody;

    (d) Education;

    (e) Medical;

    (f) Psychology; or

    (g) Social work.

  (5) “Division” means Division of Correction.

  (6) Escape.

    (a) “Escape” means a documented incident of an inmate's unauthorized absence from custody.

    (b) “Escape” does not include an inmate on work release or assigned to the central home detention unit, who is convicted solely of unauthorized absence or being out of bounds.

  (7) “Incarceration” has the meaning stated in COMAR 12.12.06.01B.

  (8) “Inmate case record” means documentation assembled, maintained, and used under Correctional Services Article, §3-601, Annotated Code of Maryland.

  (9) “Inmate programming” means the process of placing an inmate in programs that address the inmate's risks and needs.

  (10) “Mutual agreement programming (MAP)” means a process of negotiating agreements between an inmate, the Maryland Parole Commission, and the Division that provides the inmate with a guaranteed parole release date.

  (11) “Special housing identifier” means a case management assignment that requires single-celling.

#### Regulation .02 Case Management.

*COMAR 12.02.24.02*

A. With the approval of the Commissioner, case management shall be used to:

  (1) Classify the inmate to a security level;

  (2) Change the inmate's security level;

  (3) Assign the inmate to housing;

  (4) Prepare recommendations for parole of an inmate;

  (5) Determine an inmate's eligibility for leave;

  (6) Determine the propriety for transfer between facilities;

  (7) Facilitate Interstate Corrections Compact transfer;

  (8) Determine the inmate's eligibility for participation in MAP;

  (9) Determine the propriety of an early parole hearing;

  (10) Determine the inmate's eligibility for programming assignment; and

  (11) Assign the inmate to programs involving:

    (a) Treatment;

    (b) Training; or

    (c) Employment.

B. The Commissioner or the Commissioner's designee may:

  (1) Modify, suspend, or terminate the case management process; or

  (2) Modify the classification and assignment of any inmate.

C. Security and Housing Classification Requirements.

  (1) An inmate returned to custody after an escape from an assignment to a minimum security or pre-release facility shall be housed in a medium security facility without case management action.

  (2) Upon receipt into the custody of the Commissioner, an inmate sentenced to life imprisonment or the death penalty shall be classified at the maximum security level.

D. A recommendation based on a case management determination that an inmate is eligible for a change in the inmate's classification level may not entitle the inmate to the change.

E. An inmate may appeal the case management actions.

F. An informal appeal under §E of this regulation shall be made in writing to the:

  (1) Warden for case management actions if the warden is the final approving authority; or

  (2) Commissioner for case management actions if the Commissioner is the final approving authority.

G. A formal appeal under §E of this regulation shall be made to the Inmate Grievance Office according to procedures established by the Inmate Grievance Office.

H. The Commissioner shall ensure that:

  (1) Employees involved in the case management process are trained in the case management requirements;

  (2) A review of the case management regulations is part of orientation for a newly received inmate; and

  (3) An authorized terminal operator enters complete and accurate case management information concerning initial security designation and security reclassifications in the inmate's record.

#### Regulation .03 Case Management Review Team.

*COMAR 12.02.24.03*

A. At a minimum, a case management review team shall consist of:

  (1) A chairman that may be a:

    (a) Case management manager;

    (b) Case management specialist II; or

    (c) Facility administrator or a correctional officer holding the rank of captain or lieutenant;

  (2) The inmate's assigned case manager, if available; and

  (3) A correctional officer holding the rank of sergeant or above.

B. In addition to the members identified in §A of this regulation, any of the following employees are encouraged to be part of the team:

  (1) Psychologist;

  (2) Vocational or academic instructor, or both;

  (3) State Use Industries manager or designee; or

  (4) Social worker.

#### Regulation .04 Case Management Procedure.

*COMAR 12.02.24.04*

A. An assessment of the inmate shall be completed before developing a case management plan. The assessment, at a minimum, shall address the following areas concerning the inmate:

  (1) Security risk of the inmate;

  (2) Criminal history;

  (3) Nature and circumstances of the inmate's current offense;

  (4) Substance abuse assessment;

  (5) Medical evaluation;

  (6) Work and skill training history;

  (7) Educational data; and

  (8) Other information such as psychological assessments or evaluations.

B. The case manager assigned to the inmate shall prepare the proper documentation and submit the paperwork to the case management supervisor.

C. The case management supervisor shall:

  (1) Review the documentation;

  (2) Develop and record recommendations and rationale;

  (3) Sign the form;

  (4) Ensure that, if a nonconcurrence is recorded, a brief explanation is included on the form;

  (5) Ensure that, if a crime victim has filed a request for the reading of the victim impact statement, the statement is read during a case management review where the inmate is considered for:

    (a) Family leave;

    (b) Special leave; or

    (c) Home detention; and

  (6) Forward the form to the warden or the warden's designee.

D. Review.

  (1) A warden should review all case management recommendations.

  (2) Except for those actions identified by law requiring a warden's review, a designee may be assigned to conduct reviews of case management actions.

E. The warden, or if permitted, a designee, shall review case management actions that:

  (1) Override a recommendation of reclassification;

  (2) Involve an increase or decrease in an inmate's security level;

  (3) Affect work release;

  (4) Affect community adult rehabilitation center transfers; or

  (5) Affect case management recommendations which require the warden's review.

F. The warden or designee may:

  (1) Approve the case management recommendations; or

  (2) Provide a written rationale for:

    (a) Disapproving the recommendations;

    (b) Ordering further action on the proposal; or

    (c) Deciding a course of action different than that recommended.

G. Except for actions under §H of this regulation, a warden or if permitted, a warden's designee, shall sign and date the appropriate case management form and return the document to the inmate's assigned case manager for processing.

H. After completing the following case management outcomes, a warden or designee shall forward the case to the Commissioner for review:

  (1) Transfer to the Maryland Correctional Adjustment Center;

  (2) Special leave;

  (3) Interstate Corrections Compact transfer; or

  (4) Case management recommendations regarding contractual transfer to the Federal Bureau of Prisons, regardless of case management or warden's recommendation.

I. The Commissioner of Correction shall review the warden's recommendation concerning issues in §H of this regulation and have the same options as identified for the warden under §F of this regulation.

#### Regulation .05 Inmate Programming.

*COMAR 12.02.24.05*

A. Inmate programming shall ensure that inmates:

  (1) Are assessed to determine risks and needs;

  (2) Have, if appropriate, an individualized written program plan that addresses identified risks and needs; and

  (3) Are monitored for implementation of the program plan.

B. A multidisciplinary approach to programming shall be used in the case management process.

C. The Division shall determine inmate eligibility for programming based on:

  (1) The number of inmates that can be served with available program resources; and

  (2) The principle that inmates closest to release from incarceration have priority for receiving program services.

D. Inmate participation in programming may be restricted:

  (1) If the inmate is in special confinement housing, such as administrative or disciplinary segregation, or protective custody and demonstrates other special needs based on:

    (a) Aggressive behavior;

    (b) A medical or mental health condition; or

    (c) Victimization;

  (2) Consistent with established case management procedures, if the inmate’s case manager or other authorized staff member determines that participation in programming while in special confinement housing would pose a threat to:

    (a) Facility safety and security; or

    (b) The safety of the inmate, staff, or other participants; or

  (3) Because programming in the special confinement housing status at the facility:

    (a) Is not available to an inmate; or

    (b) Would not be beneficial to the inmate.

E. An inmate is expected to recognize and communicate the inmate's own needs.

F. For an inmate to progress to lower levels of security the inmate shall:

  (1) Meet objective classification criteria; and

  (2) Participate in programs planned to address the inmate's needs.

G. Consistent with available resources, the Division shall provide an inmate with programs which address the inmate's needs.

H. Upon receipt of the final decision on a case management recommendation, the inmate's case manager shall:

  (1) Notify the inmate of the final result;

  (2) Distribute the required form; and

  (3) Ensure that the final result is recorded on the inmate institutional progress sheet, along with the date of the final action.

I. The case manager shall monitor assigned case management plans to ensure that each is being implemented. The case manager shall:

  (1) Take appropriate action to ensure that program activities are conducted as scheduled in the plan;

  (2) Regularly:

    (a) Assess inmate progress;

    (b) Provide counseling when necessary; and

    (c) If appropriate, propose changes to the plan; and

  (3) Report to a supervisor each incident where a case management program plan requirement has not been implemented.

#### Regulation .06 Case Management Parole Hearing Procedures.

*COMAR 12.02.24.06*

A. Pre-Parole Hearing Procedure.

  (1) The Commission shall provide each institution with:

    (a) A master list of inmates scheduled for parole hearings, 60 days before the date of the earliest hearing on the list; or

    (b) A qualified list of inmates scheduled for parole hearings that reflects additions and deletions, 30 days before the date of the first hearing on the list.

  (2) Upon receipt of a list of inmates scheduled for a parole hearing, a case management supervisor shall assign a case manager to complete and distribute, at least 20 days before the date of the first hearing, a pre-parole summary for each inmate scheduled.

  (3) A case management supervisor shall ensure that:

    (a) The inmate's assigned case manager or a designated case manager attends an inmate's parole hearing; and

    (b) The inmate's record is available at the parole hearing.

  (4) For programming purposes, an inmate may be considered for an early parole hearing if the inmate:

    (a) Has a term of confinement that does not exceed 16 years;

    (b) Is not presently incarcerated because of parole or mandatory release revocation;

    (c) Is not presently incarcerated for violation of probation which resulted from the commission of a new offense; or

    (d) Does not have two prior sentences of 6 months or more.

  (5) The case manager shall record the case manager's recommendation concerning the inmate's request for an early parole hearing and related rationale on a classification assignment sheet and forward it to the warden for review.

  (6) The warden shall conduct those activities as provided under Regulation .04D—F of this chapter.

  (7) A warden approving the recommendation for an early parole hearing shall send a written request that includes the rationale for the action to the Commission for approval.

B. Post-Parole Hearing Procedures.

  (1) If the parole hearing results in a decision to hold the case for additional information or an administrative refusal, within 30 calendar days the inmate's assigned case manager shall:

    (a) Take action to resolve the reason, or reasons, for the decision to hold the case or the administrative refusal; and

    (b) Notify the Commission employee conducting the parole hearing that the identified issue or issues has or have been addressed.

  (2) Except for cases decided by two or more parole commissioners, the inmate may file a written exception to the decision within 5 days of the final written parole decision.

  (3) If an inmate is approved for parole and is subsequently convicted of a Category I, II, or III infraction as determined by the Commissioner of Correction or is reclassified to greater security level, the inmate's case manager shall notify the Commission in writing of the conviction or increase in security level, or both, not later than 5 working days from date of conviction or reclassification, or sooner if parole is imminent.

  (4) After receipt of the Division's report under §B(3) of this regulation, the Commission may take action considered appropriate including suspending the decision to approve the parole and scheduling a subsequent hearing to:

    (a) Rescind the decision to approve;

    (b) Extend the date of parole release; or

    (c) Affirm the original decision.

  (5) After a parole hearing decision to disapprove an inmate for parole, the inmate's case manager shall:

    (a) Counsel the inmate on the effect the parole decision has on the inmate's status and future programming; and

    (b) Refer the inmate, based on the inmate's proximity for release, for case management review which may recommend continuing or changing the inmate's assignment, housing, or security or custody levels.

#### Regulation .07 Inmate Case Records.

*COMAR 12.02.24.07*

A. Inmate Case Record.

  (1) The Division shall maintain a record and history for each inmate that includes:

    (a) A complete physical description;

    (b) A current photograph;

    (c) Information concerning the current crime or crimes of which the inmate was convicted;

    (d) The sentence or sentences imposed for the conviction or convictions;

    (e) The inmate's prior criminal and juvenile history;

    (f) Presentence investigation, parole, probation, and other reports that have been prepared concerning the inmate;

    (g) School records; and

    (h) Other information, records, and reports concerning the inmate.

  (2) The Division shall work with State and local officials to obtain information for the inmate case record.

B. Access to Inmate Case Records.

  (1) Except for a record of a presentence investigation, a warden may grant access to inmate case records without a written request to:

    (a) A medical service provider if the information is necessary to provide proper medical care;

    (b) An individual authorized by court order;

    (c) An individual authorized by law;

    (d) A Maryland judge; and

    (e) A State's attorney.

  (2) Except for a record of a presentence investigation, a warden may grant access to inmate case records upon a written request to:

    (a) Employees of a State department or agency if the request is in the furtherance of the employee's lawful duties;

    (b) Employees of a State, federal, or local law enforcement agency, if the request is in the furtherance of the employee's lawful duties;

    (c) The inmate's attorney; and

    (d) Inmates or individuals who have written authorization from the inmate or inmates whose record or records are to be accessed.

  (3) Before a warden grants access to an individual identified in §B(1) and (2) of this regulation, except for a Maryland judge or a State's attorney, the warden shall establish that the records:

    (a) Shall be used only for legitimate business related purposes of the individual or agency; and

    (b) May not be further disseminated to a person or government unit not authorized to review the records.

  (4) A warden shall grant access to an inmate's presentence investigation report only to:

    (a) The inmate;

    (b) The inmate's attorney;

    (c) A State's attorney;

    (d) A party when authorization is granted by a court order;

    (e) A correctional institution;

    (f) A parole, probation, or pretrial release official of this State, any other state, or the United States;

    (g) A public or private mental health facility in this State or another state if the inmate has been or is being evaluated for commitment for treatment as a condition of probation; or

    (h) A community substance abuse treatment provider in this State or another state if the inmate will be treated or evaluated for treatment by the provider as a condition of probation.

  (5) The warden shall ensure that:

    (a) Inmate case records are reviewed in the presence of an institution employee;

    (b) A fee, established under §I of this regulation, is collected for photocopies; and

    (c) A log is maintained reflecting the:

      (i) Date of review;

      (ii) Name of the inmate whose record was reviewed;

      (iii) Commitment number of the inmate whose record was reviewed;

      (iv) Name of the person requesting access and conducting the review;

      (v) Reason for the request; and

      (vi) Warden's signature for each approved request for access to inmate case records.

C. Attorney Access to Inmate Case Records.

  (1) An attorney requesting access to an inmate's record shall:

    (a) Make a written request to the warden;

    (b) Make the request with a minimum of 24 hours notice;

    (c) Provide a specific reason for the request, which shall include the factual basis for a need for legal purposes; and

    (d) Before accessing the record:

      (i) Provide written authorization for release of the records signed by the inmate; and

      (ii) Display proper identification.

  (2) An attorney may be granted access to only those records specifically requested under §B of this regulation.

  (3) If the records are to be reviewed by an employee or agent of the attorney making the request, proper identification shall be produced by the attorney's employee or agent before access to the record is granted.

D. Access to Inmate Medical Records.

  (1) Inmate medical records are the property of the Division and maintained by a contracted medical provider.

  (2) A request for records under this section shall be made in writing to the warden.

  (3) The warden shall review and forward the request to the contracted medical provider.

  (4) The medical provider shall arrange for the records to be forwarded to the warden who shall arrange for review by the inmate.

  (5) Following the inmate's review, the warden shall ensure that the records are returned to the medical provider.

E. Inmate Access to the Inmate's Case Record.

  (1) For an inmate to access that inmate's case record, the inmate shall submit a written request for records review to the warden.

  (2) The warden shall acknowledge receipt of the request.

  (3) The inmate's name shall be recorded on a list maintained by the records department of inmates requesting record review.

  (4) Within a reasonable period of time, record department personnel shall schedule the inmate's record review.

  (5) Records department personnel shall ensure that material that an inmate may not have access to is removed before the scheduled review. Under this section, an inmate is not entitled to review:

    (a) Presentence investigation documents;

    (b) Medical records; and

    (c) Mental health records.

  (6) An inmate shall be permitted to review the inmate's record once every 6 months, unless additional reviews are approved by the warden.

F. Inmate Access to Psychological Information.

  (1) An inmate may obtain access to psychological information in the inmate's record by a written request to the warden.

  (2) A warden shall review an inmate's request with the appropriate psychology staff and determine if access may be granted.

  (3) Access to psychological information shall be determined according to the provisions under Health-General Article, §4-307, Annotated Code of Maryland.

  (4) 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 is prepared and made available to the inmate.

G. Documenting Access and Denial of Access to Records.

  (1) If access is granted, a record of the review shall be placed in the inmate's record.

  (2) If access is denied, the person making the request shall be notified in writing and a copy of the notification shall be included in the inmate's record.

H. Appeals.

  (1) An appeal of a warden's decision to deny access to inmate records may be made to the Commissioner of Correction.

  (2) The Commissioner shall make a final determination on the request as provided under COMAR 12.11.02.11.

I. Fees.

  (1) The custodian of records shall collect a fee for copying and a fee for preparation of the materials from the requesting party.

  (2) A fee may not be charged for the first 2 hours of official employee time that is needed to respond to a request.

  (3) Fees for copies and preparation time shall be posted in the records department.

  (4) A charge may only be made for a total that is greater than $1.

  (5) If it best serves the public interest, the warden may waive costs associated with preparation and providing copies.

  (6) Photocopies may not be provided unless:

    (a) Procedures have been followed to withdraw the cost from the inmate's financial account; or

    (b) For noninmate requests, after arrangements for payment by the requesting party have been made.

#### Regulation .08 Request for Inmate Case Records Maintained at the State Records Center.

*COMAR 12.02.24.08*

A. If a request to review inmate case records is approved under the provisions of this chapter and the records to be reviewed are maintained at the State Records Center, before the scheduled date for the review a case management manager, supervisor, or designee shall:

  (1) Complete a reference request form;

  (2) Follow established procedures to contact and request retrieval of the records; and

  (3) Retrieve the records at the designated State Records Center.

B. When the records are no longer needed, the case management manager, supervisor, or designee shall return the records to the State Records Center.

#### Regulation .09 Waiver of Extradition.

*COMAR 12.02.24.09*

A. The Commissioner of the Division of Correction shall ensure that a waiver of extradition form is completed by an inmate before authorizing leave, work release, or home detention for an inmate.

B. A case management supervisor shall ensure that the waiver of extradition form is filed in the inmate case record.