Tenn. Comp. R. & Regs. 0420 — Correction

Chapter 0420-01-01 Repealed

Tenn. Comp. R. & Regs. 0420-01-01-.01 REPEALED

Authority. T.C.A. § 41-24-115. Administrative History: New rule filed August 7, 1986; effective November 29, 1986. Repeal filed November 27, 2013; effective April 30, 2014.

Tenn. Comp. R. & Regs. 0420-01-01-.02 REPEALED

Authority. T.C.A. § 41-24-115. Administrative History: New rule filed August 7, 1986; effective November 29, 1986. Repeal filed November 27, 2013; effective April 30, 2014.

Tenn. Comp. R. & Regs. 0420-01-01-.03 REPEALED

Authority. T.C.A. § 41-24-115. Administrative History: New rule filed August 7, 1986; effective November 29, 1986. Repeal filed November 27, 2013; effective April 30, 2014.

Tenn. Comp. R. & Regs. 0420-01-01-.04 REPEALED

History

Authority: T.C.A. § 41-24-115.
Administrative History: New rule filed August 7, 1986; effective November 29, 1986. Repeal filed November 27, 2013; effective April 30, 2014.

Tenn. Comp. R. & Regs. 0420-01-01-.05 REPEALED

History

Authority: T.C.A. § 41-24-115.
Administrative History: New rule filed August 7, 1986; effective November 29, 1986. Repeal filed November 27, 2013; effective April 30, 2014.

Tenn. Comp. R. & Regs. 0420-01-01-.06 REPEALED

History

Authority: T.C.A. § 41-24-115. Administrative History. New rule filed August 7, 1986; effective November 29, 1986. Repeal filed November 27, 2013; effective April 30, 2014.

Chapter 0420-01-02 Release of Inmate Records Information

Tenn. Comp. R. & Regs. 0420-01-02-.01 POLICY

Information contained in inmate records maintained by the Department of Correction will be available to the public upon demand, except for the information which is confidential by law or the release of which would place the safety of an employee, law enforcement officer or informant, or other inmate in jeopardy.

History

Authority: T.C.A. §§4-3-603, 4-3-606 and 4-6-140.
Administrative History: New rule filed September 19, 1989; effective December 27, 1989.

Tenn. Comp. R. & Regs. 0420-01-02-.02 LOCATION

The Department of Correction's official inmate record files are located in the Rachel Jackson State Office Building, 320 Sixth Avenue North, Nashville, Tennessee. Institutions may not release information from their inmate institutional files directly to the public.

History

Authority: T.C.A. §§4-3-603, 4-3-606 and 4-6-140.
Administrative History: New rule filed September 19, 1989; effective December 27, 1989.

Tenn. Comp. R. & Regs. 0420-01-02-.03 REQUEST FOR INMATE INFORMATION

Any individual wanting to view and/or retrieve information contained in a current or former inmate’s record must first submit a written request for the desired information. This request for information must include:

(1) The name, address and telephone number of the person making the request, (2) The reason for the request, and (3) What information or documents are requested. (A list of available information will be provided on request.)

History

Authority: T.C.A. §§4-3-603, 4-3-606 and 4-6-140.
Administrative History: New rule filed September 19, 1989, effective December 27, 1989.

Tenn. Comp. R. & Regs. 0420-01-02-.04 ACCESS

(1) Because the Department of Correction maintains its inmate records on microfilm, advance arrangements to view and/or retrieve information from the Department's inmate record files must be made.

(2) Arrangements to view and/or retrieve information from inmate record files may be made by contacting:

Public Information Officer Department of Correction Fourth Floor, Rachel Jackson State Office Building 320 Sixth Avenue North Nashville, Tennessee 37243-0465 (3) Members of correctional, law enforcement, judicial or social services agencies should contact:

Manager Operational Support Services Management Information Services Department of Correction Ground Floor, Rachel Jackson State Office Building 320 Sixth Avenue North Nashville, Tennessee 37243-0465 (615) 741-0737

History

Authority: T.C.A. §§4-3-603, 4-3-606 and 4-6-140.
Administrative History: New rule filed September 19, 1989; effective December 27, 1989.

Tenn. Comp. R. & Regs. 0420-01-02-.05 PROCESSING OF REQUEST FOR INMATE INFORMATION

The manager of the Department's operational support services section, or a designee, will be responsible for gathering and initially reviewing the requested inmate information and will respond directly to information requests originating from members of correctional, law enforcement, judicial or social services agencies. The public information officer shall respond to all other requests for inmate information after obtaining the desired information from the operational support services manager/designee. Charges for copies of records shall be assessed in accordance with Rule 0420-01-03 Charges for Producing Copies of Public Records.

History

Authority: T.C.A. § §4-3-603, 4-3-606, 4-6-140 and 10-7-506(a).
Administrative History: New rule filed September 19, 1989; effective December 27, 1989. Public necessity rule filed November 20, 2008; effective through May 4, 2009. Public necessity rule filed November 20, 2008 and effective through May 4, 2009 expired effective May 5, 2009; rule reverted to its previous status. Amendment filed August 31, 2009; effective January 29, 2010.

Tenn. Comp. R. & Regs. 0420-01-02-.06 CONFIDENTIAL INMATE INFORMATION

(1) The following information is considered confidential and shall not be released to the general public absent a valid court order or subpoena:

(a) Inmate medical or mental health records.

(b) Inmate educational records.

(d) The name or any identifying information relating to any Department of Correction employee, law enforcement officer or informant or inmate, the public disclosure of which would tend to place the safety of said individual in jeopardy. Inmates may, however, review and obtain copies of their educational, medical or mental health records as provided for in Department of Correction policy, and copies of these records may be released with the inmate's consent.

(2) Any individual whose request for information from an inmate's record is denied shall be informed of the reason for the denial of the request and may appeal any such denial to the commissioner, or an individual designated by the commissioner to hear such appeals.

(3) Any individual whose request for inmate information is denied following appeal to the commissioner, or his designee, may obtain judicial review of the denial pursuant to TC.A. §§10-7-505.

History

Authority: T.C.A. §§4-3-603, 4-3-606, 4-6-140 and 10-7-504.
Administrative History: New rule filed September 19, 1989; effective December 27, 1989.

Chapter 0420-01-03 Charges for Producing Copies of Public Records

Tenn. Comp. R. & Regs. 0420-01-03-.01 PURPOSE

Following the publication of the Schedule of Reasonable Charges for Copies of Public Records developed by the Office of Open Records Counsel pursuant to Tenn. Code Ann. § 8-4-604(a), these Rules are promulgated for the purpose of establishing and implementing charges for producing copies of public records of the Tennessee Department of Correction. Other statutory provisions, such as Tenn. Code Ann. § 10-7-506(c), describe charges that may be assessed when specific records are requested for a specific use.

History

Authority: T.C.A. §§ 4-3-603, 4-3-606 and 10-7-503(a).
Administrative History: Public necessity rule filed November 20, 2008; effective through May 4, 2009. Public necessity rule filed November 20, 2008 and effective through May 4, 2009 expired effective May 5, 2009; rule reverted to previous status. Original rule filed August 31, 2009; effective January 29, 2010.

Tenn. Comp. R. & Regs. 0420-01-03-.02 DEFINITIONS

(1) “Labor” means the time reasonably necessary to produce the requested records and includes the time spent locating, retrieving, reviewing, redacting, and reproducing the records.

(2) “Labor threshold” means the labor of the employee(s) reasonably necessary to produce requested records for the first hour incurred by the Department in producing the records.

(3) “Production costs” means all reasonable costs the Department incurred to produce the public records requested by the requesting party. Production costs include copying costs, labor costs, and delivery costs, as described in these Rules.

(4) “Public record” means any record of the Department that is required to be open to inspection under the provisions of the Tennessee Public Records Act, Tenn. Code Ann. §§ 10-7-501 et seq.

(5) “Public Records Designee” or “PRD” means the person at each institution or other unit of the Department who receives and coordinates public records requests and maintains documentation of public records requests, responses, and charges.

(6) “Requesting party” means the person who requests to inspect or copy public records of the Department. To have access to public records, a requesting party must be a citizen of the State of Tennessee.

History

Authority: T.C.A. §§ 4-3-603, 4-3-606 and 10-7-503(a).
Administrative History: Public necessity rule filed November 20, 2008; effective through May 4, 2009. Public necessity rule filed November 20, 2008 CHARGES FOR PRODUCING COPIES OF PUBLIC RECORDS 0420-01-03 and effective through May 4, 2009 expired effective May 5, 2009; rule reverted to previous status. Original rule filed August 31, 2009; effective January 29, 2010.

Tenn. Comp. R. & Regs. 0420-01-03-.03 PRODUCTION COSTS

Except as otherwise provided in these Rules, the PRD shall charge the requesting party for production costs as defined in Rule 0420-01-03-.02(3). The production costs charged to the requesting party shall be reasonable. The Schedule of Reasonable Charges for Copies of Public Records, published by the Office of Open Records Counsel, will be used as a guideline to determine the amount a requesting party will be charged for producing copies of public records. The PRD shall utilize the most cost efficient method of producing copies of public records.

History

Authority: T.C.A. §§ 4-3-603, 4-3-606 and 10-7-503(a).
Administrative History: Public necessity rule filed November 20, 2008; effective through May 4, 2009. Public necessity rule filed November 20, 2008 and effective through May 4, 2009 expired effective May 5, 2009; rule reverted to previous status. Original rule filed August 31, 2009; effective January 29, 2010.

Tenn. Comp. R. & Regs. 0420-01-03-.04 COPYING COSTS

Copying costs include the costs related to making copies of the public records requested by the requesting party by photographic or other means of duplication.

(1) The PRD shall assess a charge of $0.15 per page for each standard 8 ½ x 11 or 8 ½ 14 black and white copy produced.

(2) If a public record is maintained in color, the PRD shall advise the requesting party that the record can be produced in color if the requesting party is willing to pay the higher charge for a color copy. If the citizen then requests a color copy, the PRD shall assess a copy charge of 50 cents per page for each 8 ½ x 11 or 8½ x 14 color copy produced.

(3) The charge for a duplex copy shall be the same as the charge for two (2) separate copies.

(4) If a copy of a public record is produced on a medium other than 8 ½ x 11 or 8 ½ x 14 paper, the PRD shall assess a copy charge equal to the actual cost of producing a copy of the public record, taking into consideration the amount of material, equipment costs, and the cost of the alternative medium.

(5) If the requested records exist electronically, but not in the format requested or a new or modified computer program or application is necessary to put the records in a readable and reproducible format or it is necessary to access backup files, the PRD shall charge the requesting party the actual costs incurred in producing the records in the format requested or in creating or modifying a computer program or application necessary to put the records in a readable and reproducible format or in accessing backup files.

(6) Electronic records will be produced only in a read-only format.

(7) If the PRD utilizes an outside vendor to produce copies of the requested records because the Department is legitimately unable to produce the copies, the cost charged by the vendor to the Department shall be recovered from the requesting party.

(8) If the PRD is charged a fee to retrieve requested records from the Tennessee State Library and Archives or from any other entity having possession of requested records, the PRD shall charge the requesting party the cost charged the Department for retrieval of the records.

History

Authority: T.C.A. §§ 4-3-603, 4-3-606 and 10-7-503(a).
Administrative History: Public necessity rule filed November 20, 2008; effective through May 4, 2009. Public necessity rule filed November 20, 2008 and effective through May 4, 2009 expired effective May 5, 2009; rule reverted to previous status. Original rule filed August 31, 2009; effective January 29, 2010. CHARGES FOR PRODUCING COPIES OF PUBLIC RECORDS 0420-01-03

Tenn. Comp. R. & Regs. 0420-01-03-.05 LABOR COSTS

The PRD shall charge the requesting party the hourly wage of the employee(s) reasonably necessary to produce the requested records above the labor threshold defined in Rule 1720-01-11.02(2). The “hourly wage” is based upon the employee(s) base salary and does not include benefits. In calculating the labor costs to be charged to the requesting party, the PRD shall:

(1) First, determine the number of hours each employee spent producing the requested public records;

(2) Second, subtract the one (1) hour threshold from the number of hours the highest paid employee spent producing the request;

(3) Third, multiply the total number of hours to be charged for the labor of each employee by that employee’s hourly wage; and (4) Fourth, add together the totals for all the employees involved in the request to determine the total amount of the labor costs to be charged to the requesting party.

History

Authority: T.C.A. §§ 4-3-603, 4-3-606 and 10-7-503(a).
Administrative History: Public necessity rule filed November 20, 2008; effective through May 4, 2009. Public necessity rule filed November 20, 2008 and effective through May 4, 2009 expired effective May 5, 2009; rule reverted to previous status. Original rule filed August 31, 2009; effective January 29, 2010.

Tenn. Comp. R. & Regs. 0420-01-03-.06 DELIVERY COSTS

The PRD shall charge the requesting party for the costs incurred by the PRD in delivering the records to the requesting party, in addition to any other charge permitted by these Rules.

(1) Delivery of copies of public records to the requesting party shall be by hand delivery when the requesting party returns to the PRD’s office to retrieve the requested records. If the requesting party chooses not to return to the PRD’s office to retrieve the copies, the PRD shall deliver records to the requesting party through the United States Postal Service.

(2) In the discretion of the PRD, copies of public records may be delivered through other means, including electronically.

History

Authority: T.C.A. §§ 4-3-603, 4-3-606 and 10-7-503(a).
Administrative History: Public necessity rule filed November 20, 2008; effective through May 4, 2009. Public necessity rule filed November 20, 2008 and effective through May 4, 2009 expired effective May 5, 2009; rule reverted to previous status. Original rule filed August 31, 2009; effective January 29, 2010.

Tenn. Comp. R. & Regs. 0420-01-03-.07 PAYMENT OF PRODUCTION COSTS

If the requesting party requests copies of public records, the following provisions concerning payment of production costs shall apply:

(1) The PRD shall provide the requesting party an estimate of the production costs before initiating the production of copies of the requested public records.

(2) The PRD may require payment in full of all production costs before copies of public records are delivered or otherwise made available to the requesting party.

(3) Production costs must be paid by cash or check. Cash payments must be for the exact amount of the production costs. Checks must be made payable to The Department of Tennessee for the exact amount of the production costs.

(4) The PRD will provide a receipt to the requesting party upon receipt of payment of the production costs.

CHARGES FOR PRODUCING COPIES OF PUBLIC RECORDS 0420-01-03

History

Authority: T.C.A. §§ 4-3-603, 4-3-606 and 10-7-503(a).
Administrative History: Public necessity rule filed November 20, 2008; effective through May 4, 2009. Public necessity rule filed November 20, 2008 and effective through May 4, 2009 expired effective May 5, 2009; rule reverted to previous status. Original rule filed August 31, 2009; effective January 29, 2010.

Tenn. Comp. R. & Regs. 0420-01-03-.08 WAIVER OF PRODUCTION COSTS

Waiver of production costs for copies of public records shall be in accordance with the following provisions:

(1) The PRD shall provide copies of public records without charge if all production costs, as defined in Rule 0420-01-03-.02(3), do not exceed Three Dollars ($3.00).

(2) The PRD shall provide copies of materials for meetings of the Board of Trustees and its committees without charge when requested contemporaneously with the meeting .

(3) When the requesting party is a federal, state, or local government agency, the PRD shall provide the requested copies of public records without charge.

(4) When the requesting party is a current employee of the Department, the PRD shall provide the requesting party copies of his/her employment records without charge.

(5) The PRD may provide copies of the following records without charge if the Department will not incur significant production costs in providing the records: current enrollment data, basic budget information, history of the Department, biographical data for Department employees, Department policies and procedures, general facts and figures about the Department, and similar information.

History

Authority: T.C.A. §§ 4-3-603, 4-3-606 and 10-7-503(a).
Administrative History: Public necessity rule filed November 20, 2008; effective through May 4, 2009. Public necessity rule filed November 20, 2008 and effective through May 4, 2009 expired effective May 5, 2009; rule reverted to previous status. Original rule filed August 31, 2009; effective January 29, 2010.

Tenn. Comp. R. & Regs. 0420-01-03-.09 REQUESTS FOR COPIES FOLLOWING INSPECTION

The PRD shall not assess a charge to inspect public records, unless otherwise required by law. However, if the requesting party, after requesting to inspect public records, requests copies of public records, the PRD shall charge the requesting party for all production costs.

History

Authority: T.C.A. §§ 4-3-603, 4-3-606 and 10-7-503(a).
Administrative History: Original rule filed August 31, 2009; effective January 29, 2010.

Chapter 0420-02-01 County Corrections Incentive Program

Tenn. Comp. R. & Regs. 0420-02-01-.01 PREFACE

(1)Under the authority of T.C.A. §41-8-108, the Department of Correction is required to establish rules for the general administration of the County Corrections Incentive Program.

(2)For the purposes of this program all definitions as stated in T.C.A. §41-8-103, apply.

(3)The Department of Correction hopes that by carrying out the responsibilities of the County Corrections Incentive Act, T.C.A. §41-8-101, et. seq., both state and county governments will mutually benefit by:

(a)helping to alleviate overcrowding in state correctional facilities; and (b)assisting counties in upgrading local correctional facilities and programs.

History

Authority: T.C.A. §§41-8-102, 41-8-103 and 41-8-108. Administrative History. Original rule filed February 19, 1975; effective March 21, 1975. Repeal by chapter 913 of the Public Acts of 1980; effective May 2, 1980. New rule filed October 19, 1984; effective January 14, 1985. Repeal and new rule filed November 5, 1986, effective February 28, 1987.

Tenn. Comp. R. & Regs. 0420-02-01-.02 APPLICATION PROCEDURES

(1)Participation by any county in the per diem subsidy programs is voluntary.

(2)Counties with jails certified by the Tennessee Corrections Institute under current standards need not make formal application to participate in that program.

(3)On an annual basis non-certified counties must submit an Application for Participation. To qualify for subsidies within a contract year, application must be made within the first 6 months of that year.

(4)The Department of Correction will forward proposed contracts and blank applications to all noncertified counties in anticipation of each fiscal year.

(5)Each non-certified county seeking participation will submit with the proposed contract a completed application, including at minimum the following information:

(a)An itemization of the improvements to be made in the facility. Such improvements may be to the physical plant, to correctional staffing, or to correctional programming and should include those recommended in the most recent report of the jail inspection division. Improvements approved in one contract period cannot be funded again in subsequent years.

(b)Signatures both of the Sheriff or of the Workhouse Superintendent, as applicable, and of the County Executive.

Authority. T.C.A. §§41-8-104, 41-8-105 and 41-8-108. Administrative History: Original rule filed February 19, 1975, effective March 21, 1975. Repeal by chapter 913 of the Public Acts of 1980; effective May 2, 1980. New

rule filed October 19, 1984; effective January 14, 1985. Repeal and new rule filed November 5, 1986, effective February 28, 1987.

Tenn. Comp. R. & Regs. 0420-02-01-.03 APPROVAL AND AMENDING OF APPLICATIONS

(1)Upon receipt of the application, the Commissioner of Correction will either approve or disapprove the county for participation pursuant to evaluation of the improvements to be made. Should the application not be approved, the Commissioner will notify the County Executive and Sheriff/Superintendent of the reason(s) for disapproval. The county may submit a new application within 60 days of such disapproval.

Any approved application becomes Attachment A to the contract between the applicant county and the Department of Correction.

(2)Attachment A may be amended at any time during the contract year by submission of forms for that

purpose. Amendments, like applications, must be signed by the County Executive and Sheriff/Superintendent and approved by the Commissioner.

rule filed October 19, 1984; effective January 14, 1985. Repeal and new rule filed November 5, 1986, effective February 28, 1987.

0420-2-1-04 CONTRACT PROCEDURES.

(1)Certified counties will not be required to contract with the Department in order to receive per diem reimbursement under the County Corrections Incentive Act.

(2)The Commissioner will enter into contracts with non-certified counties approved through the application process.

(a)The term of the contract shall not be greater than one year.

(b)Contract provisions shall include, at minimum: 1.The date it becomes effective 2.The per diem rates applicable for detainee and prisoner days 3.The maximum dollar amount for which the state is liable under the term of the contract 4.The county's commitment to engage in certain improvements to the jail, as stated in the Application for Participation 5.The county's commitment to expend all funds received under the contract only on county correctional programming, facilities or staff, and/or to establish a dedicated reserve account for specific future jail construction 6.The county's commitment to provide to the Commissioner quarterly financial reports on incentive program receipts and expenditures 7.Other standard contract language as required by state regulation.

History

Authority: §§T.C.A. 41-8-104 and 41-8-108.
Administrative History: Original rule filed February 19, 1975; effective March 21, 1975. Repeal by chapter 913 of the Public Acts of 1980; effective May 2, 1980. New rule filed October 9, 1984; effective January 14, 1985. Repeal and new rule filed November 5,1986, effective February 28,1987.

Tenn. Comp. R. & Regs. 0420-02-01-.05 COMPENSATION

(1)All funds for the program will be dispersed from the State Prosecution Fund by the Office of the State Comptroller. The county shall submit to the Judicial Cost Accountant claims for the subsidies provided by the contract. The claim must be filed within ninety (90) days following the end of the month in which the prisoners were held. Upon certification by the Judicial Cost Accountant of the validity of the claim, the county shall be compensated as provided by the contract.

(2)All claims for subsidies filed with the Judicial Cost Accountant shall include the following:

(a)Prisoner's Name (b)Jail Docket Numbers (c)Offense (d)Circuit or Criminal Court Case Number (e)Original Commitment Date (f)Indictment Date (g)Dates of Confinement (h)Judgment Dates (i)Terms of Judgment (j)Release Date (k)Terms of Release (l)Such other information as may be necessary to ascertain the subsidy due for individual prisoners.

(3)Claims not filed within the limits provided for by T.C.A. §41-8-106 (c), shall not be payable.

(4)Claims for subsidies filed with the Judicial Cost Accountant shall be signed by the Sheriff or Superintendent and by the Circuit or Criminal Court Clerk with the Clerk's seal attached.

(5)For the purpose of this program, state prisoners shall be defined in the following manner.

(a)State Prisoner - A state prisoner is a prisoner for which the state is responsible for the costs of prosecution as defined by T.C.A. §40-25-131. A subsidy day paid for the board of a state prisoner falls under one of two classifications as defined by Tennessee Code Annotated, chapter 8 of Title 41. 1."Detainee Day" refers to each day each state prisoner was held by a county prior to judgment, which shall include acquittal, or prior to delivery to the Department of Correction during a designated contract period. 2."Prisoner Day" refers to each day each state prisoner was held by a county pursuant to T.C.A. §40-23-104 or 40-35-311. "Prisoner Day" also refers to each day each state prisoner sentenced to the Department of Correction was held by a county after the first five (5) days of incarceration following sentencing, during a designated contract period, provided that said prisoner's transport to the Department of Correction was delayed pursuant to Section 19 of the Comprehensive Correction Improvement Act of 1985 and/or pursuant to the order of a federal court.

(b)If a state prisoner enters a plea of guilty to a felony charge which is accepted by a court or is tried by a court and found guilty of a felony offense and is sentenced to serve the sentence locally pursuant to T.C.A. §40-23-104 or 40-35-311, the prisoner is changed from the "detainee" classification to the "prisoner" classification the day following the date of sentencing to the local facility.

(c)Billing for the subsidy for a state prisoner classified as "detainee" shall begin in the month in which the prisoner is indicted on the felony charge. At that time the county shall bill for the days prior to the indictment during which the prisoner was incarcerated on the indicted charge.

(d)Guilty to a Misdemeanor Offense - A state prisoner entering a plea of guilty to a misdemeanor offense which is accepted by a court or a state prisoner tried by a court and found guilty of a misdemeanor offense shall become a county prisoner the day following the court's acceptance of the guilty plea or the day following the misdemeanor conviction. A subsidy shall not be payable by the state for a prisoner serving a sentence as a result of a misdemeanor conviction.

(e) Parole or Probation - A state prisoner who has been released on parole or probation shall not become a state prisoner again as a result of a misdemeanor conviction unless said prisoner shall also be charged with violation of the terms of the parole or probation and a revocation hearing shall have been held regarding said charge. This does not prevent a state prisoner on parole or probation from being incarcerated and classified as a state prisoner as a result of an additional felony indictment subsequent to the prisoner's release on parole or probation. Billing for the subsidy for a prisoner on parole or probation shall not begin until the month in which the revocation hearing is held. The subsidy for a state prisoner held on parole or probation violation shall begin with the first day of the prisoner's incarceration pursuant to the charge of parole or probation violation. Subsidy for a state prisoner held on parole or probation violation shall be at the "detainee" rate until the revocation hearing. If parole or probation is revoked, with a resulting felony term to be continued or begun, subsidy shall be paid after the revocation at the prisoner rate for each day the prisoner is held subsequent to T.C.A. §40-23-104 or 40-35-311, or for each day the transport of a prisoner sentenced to Tennessee Department of Correction is delayed (after 5) pursuant to Section 19 of the Community Correctional Improvements Act of 1985 and/or pursuant to the order of a federal court.

(f) Return from Department of Correction. - The subsidy for a state prisoner returned to a local jail from custody of the Department of Correction for a postconviction proceeding, or as a witness, or for other proceeding, shall be at the “detainee” rate for the county. The subsidy for such a state prisoner shall begin with the date the prisoner is received and be payable through the date the prisoner is returned to the Department of Correction.

(g) Non-Consecutive Days - The subsidy for a state prisoner serving non-consecutive days shall be payable as for other state prisoners provided the billing for the subsidy shall indicate the actual days served. A subsidy shall not be payable for a state prisoner serving non-consecutive days for the days that the prisoner is not incarcerated.

(h)Work Release - The subsidy for a state prisoner on work release shall be as follows: 1.The full subsidy shall be payable for those days on which the prisoner does not leave the workhouse or jail. 2.The subsidy for the days on which the state prisoner leaves the jail for occupational purposes shall be equivalent to the difference between the "detainee" rate and the "prisoner" rate for the county.

(i)Release for Scholastic, Medical or Other Purposes - The full subsidy shall be payable for those days on which a state prisoner leaves the workhouse or jail for scholastic, medical, or other purposes, provided, however, that no subsidy will be due for those days that the prisoner does not return to the jail for a minimum of 8 hours during a twenty-four hour period.

(j)Hospitalization - A subsidy shall not be payable for those whole days during which a state prisoner is confined in a hospital and the state is liable for the expenses of the hospitalization under provisions of T.C.A. §41-4-115 (b). The subsidy for a prisoner hospitalized shall end with the day the prisoner is transferred to the hospital and start again with the day the prisoner returns from the hospital.

(k) Transfer Between Local Facilities - When a state prisoner is transferred between two facilities each of which is eligible for the subsidy and the transfer occurs on the same date, the facility releasing the prisoner shall be entitled to charge for the date the facility releases the prisoner. The facility receiving said prisoner shall not begin charging for the prisoner until the day following the date the prisoner is received.

(l)Pending Transfer to the Department of Correction - A subsidy shall be payable for a state prisoner sentenced in one county and held in another county pending transfer to the Department of Correction at the rate applicable according to definitions provided above.

History

Authority: T.C.A. §§40-23-104, 40-25-131, 40-35-311, 41-8-106, 41-4-131, 41-4-132, 41-4-133, 41-4-139.
Administrative History: Original rule filed February 19, 1975; effective March 21, 1975. Repeal by chapter 913 of the Public Acts of 1980; effective May 2, 1980. New rule filed October 19, 1984; effective January 14, 1983. Repeal and new rule filed November 5, 1986; effective February 28, 1987.

Tenn. Comp. R. & Regs. 0420-02-01-.06 USE OF INCENTIVE SUBSIDY BY COUNTIES

(1)Regardless of the certification status of a county's correctional facility, all incentive funds received must be dedicated exclusively for use in the county's correctional program.

(2)No more than twenty-five percent (25%) of funds received for service provided in non-certified jails may be used to pay for current corrections operating expenses. Seventy-five percent (75%) shall be used to fund those improvements included in the Application for Participation.

(3)County appropriations in support of corrections in non-certified counties may not be diminished to the extent of any subsidy received under the incentive program; in no case shall county fiscal support for the jail be diminished below that provided in the county's budget for that year immediately preceding the first year of program participation.

History

Authority: T.C.A. §41-8-107.
Administrative History: Original rule filed February 19, 1975; effective March 21, 1975. Repeal by chapter 913 of the Public Acts of 1980; effective May 2, 1980. New rule filed October 19, 1984; effective January 14, 1985. Repeal and new rule filed November 5, 1986; effective February 28, 1987.

Tenn. Comp. R. & Regs. 0420-02-01-.07 ACCOUNTING PROCEDURES

(1)Each participating county shall maintain documents for all charges against the State and all expenditures made with County Corrections Incentive funds. The books, records, and documents of the participating county insofar as they relate to the money received or expenditures made in regard to the program must be maintained for a minimum of three years following the end of the contract year.

(2)All books, records, and documents of the participating county insofar as they relate to the County Corrections Incentive Program shall be subject to audit at any reasonable time and upon reasonable notice by the Department of Correction, the Comptroller of the Treasury, or their duly appointed representatives. The records shall be maintained in accordance with generally accepted accounting principles and at no less than those recommended in the Accounting Manual for recipients of grant funds in Tennessee, published by the Comptroller of the Treasury, State of Tennessee.

(3)Each participating county, regardless of the certification status of its correctional facility, shall submit to the Commissioner a report regarding income and expenditures related to incentive funds on a quarterly

basis.

(a)Quarterly reports must be submitted no later than the fifteenth day of October, January, April and July.

(b)The report shall include the following: 1.The amount of incentive funds received during the quarter 2.The amount of any expenditures made with incentive funds during the quarter (i)non-certified counties must itemize and document those expenditures (ii)certified counties will report the total amount of incentive funds spent in the correctional program over the time period 3.The amount of funds placed in a dedicated reserve account for jail construction/renovation and the total accumulated amount in that account 4.The amount to be carried forward into the next quarter 5.Signatures of the person completing the report, along with signature of the County Executive certifying the correctness of the report.

(c)Non-certified counties must submit, in addition to four quarterly reports, a final report by December 31 following the close of the contract year. This report will account for receipts and expenditures of incentive funds which follow the fourth quarterly report. The final report should indicate a zero (0), with all funds having been expended or accounted for in the reserve account.

(d)Failure to submit financial reports shall result in the withholding of any monies claimed or due.

Such failure may also result in termination of a present contract and will be considered in the assessment of any future contract applications.

History

Authority: T.C.A. §41-8-108.
Administrative History: Original rule filed February 19, 1975; effective March 21, 1975. Repeal by chapter 913 of the Public Acts of 1980; effective May 2, 1980. New rule filed October 19, 1984; effective January 14, 1985. Repeal and new rule filed November 5, 1986; effective February 28, 1987.

Tenn. Comp. R. & Regs. 0420-02-01-.08 TERMINATION OF COUNTY PARTICIPATION

(1)Any county may voluntarily withdraw from the program at any time by providing written notice to the Commissioner, signed by the County Executive and the Sheriff/Superintendent (2)It shall be the responsibility of the Department to determine:

(a)Whether the county has complied with all laws and regulations applicable to the program.

(b)Whether the county is fulfilling its contract obligations, including those addressed in the Application for Participation.

Should the Commissioner determine that a county has not met its contract obligations, has not used program funds in accordance with law or regulation, or has violated any other provision of law or

regulation applicable to the program, he may terminate that county's participation. Such termination will be executed by means of written notice to the County Executive and the Sheriff/Superintendent.

History

Authority: T. C.A. §41-8-108.
Administrative History: Original rule filed February 19, 1975; effective March 21, 1975. Repeal by chapter 913 of the Public Acts of 1980; effective May 2, 1980. New rule filed October 19, 1984; effective January 14, 1985. Repeal and new rule filed November 5, 1986; effective February 28, 1987.

Tenn. Comp. R. & Regs. 0420-02-01-.09 PREFACE

(1)The Department of Correction is required to establish rules for the general administration of the County Corrections Incentive Act.

(2)For the purposes of this program, all definitions as stated in Tennessee Code Annotated, Section 41-8- 103 apply.

(3)The State Funding Board is authorized to make grants or loans, as funds are available, to any approved applicant county to assist such county in the construction or renovation of a correctional facility.

History

Authority: T.C.A. §§41-8-103, 41-8-108 and 41-8-109.
Administrative History: Original rule filed April 21,1987; effective July 29, 1987.

Tenn. Comp. R. & Regs. 0420-02-01-.10 GRANT APPLICATION PROCEDURES

(1)Any county participating in the County Corrections Incentive Program may apply for a grant.

(2)The application submitted by a county shall conform to a format provided by the Department of Correction and shall include the following information:

(a)The amount of requested funding and the total cost of the proposed project.

(b)The certification status of existing county correctional facilities as established by the Tennessee Corrections Institute.

(c)The total rated inmate capacity of the county's present facilities and of the proposed new and/or expanded facility.

(d)The average daily inmate population of present facilities, by facility, over the last calendar year, broken out by number of pre-trial detainees, sentenced misdemeanants, sentenced felons.

(e)The total number of felons sentenced to the Department of Correction from that county over the last calendar year.

(f)The percentage of the proposed new bedspace which will be dedicated to the housing of convicted felons. (Such percentage must be at least equal to the percentage of the project proposed to be supported by State funding.)

(g)A detailed description of the project, including a copy of blueprints and the name and address of the architectural or engineering firm retained to design the project.

(h)Anticipated project beginning and completion dates.

(i)A description of programs which the county plans for state inmates and the percentage of that population anticipated to be involved in those programs.

(j)A description of programs the county presently has or intends to implement to provide alternatives to the incarceration of non-violent felons.

(k)A proposal regarding the types of state prisoners with regard to offense committed and sentences imposed that the county will commit to housing in the new facility.

(1)A certification that the planned project will meet Tennessee Corrections Institute and American Correctional Association standards applicable to jails.

(m)A management proposal for the facility, i.e., a statement regarding what entity will be responsible for daily operational management of the facility.

(n)If it is not the county's intention to commit in perpetuity the above proposed percentage of new bedspace to state inmates, a statement of its alternative proposal.

(o)If reimbursement for state inmates committed to the new facility is to be sought at a rate other than that established under Tennessee Code Annotated, Section 41-8-106, a statement of the per diem to be sought and documentation for the basis of that per diem. (Reimbursements may not be sought in excess of reasonable allowable cost, as determined by the Comptroller of the Treasury.)

History

Authority: T.C.A. §§41-8-105, 41-8-108 and 41-8-111.
Administrative History: Original rule filed April 21, 1987; effective July 29, 1987.

Tenn. Comp. R. & Regs. 0420-02-01-.11 REVIEW OF GRANT APPLICATIONS

(1)No county's application will be considered unless all required information is provided.

(2)All applications will be reviewed by the Department of Correction and ranked as necessary.

(3)No proposal will be approved unless it clearly appears to offer a more cost-effective alternative to adding State facilities over a reasonable period of time.

(4)Should the ranking of applications be necessary, such ranking will be based upon the Department's estimation of:

(a)the project's relative impact upon the State's capacity to incarcerate felon offenders, and construction and operation.

(5)The Department of Correction will submit to the State Funding Board all eligible proposals, approved by the Commissioner and rank ordered as necessary.

(6)At the same time, the Department will submit those proposals to the Legislative Select Oversight Committee for its review.

History

Authority: T.C.A. §§41-8-105 and 41-8-108.
Administrative History: Original rule filed April 21, 1987; effective July 29, 1987.

Tenn. Comp. R. & Regs. 0420-02-01-.12 CONTRACT TERMS FOR GRANTS

(1)The State Funding Board shall enter into contracts with those counties selected for grants as funds are available.

(2)No county shall award any construction contract in reliance on a grant until such time as the Building Commission has approved plans pursuant to Tennessee Code Annotated, Section 4-15-102, and the State Funding Board and county have executed a contract pursuant to Tennessee Code Annotated,

Section 4-15-102, when a grant proposal has been approved.

(3)Provisions of the contract shall include:

(a)An agreement by the State to fund a certain amount, up to 100%, of the actual cost of the approved project.

(b)An agreement by the county to reserve a certain percentage of new cell space for state prisoners, the percentage being at least equal to the percentage of State funding. Such agreement is in perpetuity unless otherwise provided for through the repayment of grant funds.

(c)An agreement regarding the types of state prisoners to be housed in the new or expanded facility, with regard to offenses committed and sentences imposed. The county must agree to house all felons sentenced to six years or less, space available, and may agree to house others if necessary to keep all reserved beds filled.

(d)An agreement to complete all construction in accordance with American Correctional Association and Tennessee Corrections Institute standards and to operate and maintain the project in accordance with those standards.

(e)An agreement by the county to repay grant funds received should it breach or withdraw from the contract.

(f)An agreement that pursuant to an order of the sentencing judge, state inmates who cannot be controlled in the county facility may be transferred to the Department of Correction.

(g)An agreement by the county that in all its contracts dealing with construction of the project, it will require compliance with the prevailing wage rates as provided in Tennessee Code Annotated,

Section 12-4-401, et. seq. and it shall require surety bonds in accordance with Title 12, Chapter 4,

Part 2 of Tennessee Annotated.

(h)An agreement by the county to proceed expeditiously with and complete the project.

(i)An agreement by the county to comply with all rules, regulations and procedural guidelines established by the State for the administration of the grant program and with all State statutes applicable to the program.

(j)An agreement by the county to submit progress and status reports as required by the State.

(k)An agreement as to the amount the State will pay the county for housing state prisoners in the new cell space. This amount may be up to the "reasonable allowable cost" as determined by the Comptroller of the Treasury and the Commissioner of Finance and Administration.

(l)An agreement as to the entity that will manage the new cell space.

(m)If applicable, an agreement as to the implementation of Tennessee Code Annotated, Section 41-8- 111(4).

History

Authority: T.C.A. §§41-8-108 and 41-8-111.
Administrative History: Original rule filed April 21, 1987; effective July 29, 1987.

Tenn. Comp. R. & Regs. 0420-02-01-.13 PAYMENT OF GRANT FUNDS TO SELECTED COUNTIES

(1) The grant shall be paid to the county in three (3) installments. The first such payment shall be made within thirty (30) days after the contract has been fully executed. The amount of such payment shall be that which the parties agree is necessary to initiate architectural services, but shall not exceed one-tenth (1/10) of the total grant awarded. The second payment shall be made during the progress of the construction at approximately the mid-point of completion of the project as certified by the project architect. The amount of this payment may be agreed to by the parties, but not be a greater portion of the total grant amount than that portion of the project certified as having been completed. The remainder of the grant shall be paid following the completion of the construction as certified by the project architect’s certificate of completion and a certification from the County Executive that the project has been completed. Prior to the final payment, the county will submit to the State proper documentation, which will include the actual invoice or a copy thereof, and evidence that the county has paid the contractor or vendor.

History

Authority: T.C.A.§§41-8-108, 49-8-109, and 41-8-111.
Administrative History: Original rule filed April 21, 1987; effective July 29, 1987.

Tenn. Comp. R. & Regs. 0420-02-01-.14 COUNTY'S FAILURE TO COMPLY WITH GRANT REGULATIONS

In the event any county having entered into a grant contract pursuant to the County Corrections Incentive Program shall fail to comply with the rules, regulations and procedural guidelines established by the Department of Correction and the State Funding Board for the administration of the grant program and with all State statutes applicable to the grant program, the following sanctions shall be employed:

(1)The Commissioner shall deliver by certified mail a written notice to the county of the failure to comply.

(2)In the event that such county shall fail to comply within sixty (60) days of the receipt of such notice, the Commissioner shall withhold any grant funds still due the county under the contract and may deliver by certified mail a written notice to the county to remit those grant funds already awarded under the contract.

(3)In the event that such county shall fail to remit the amount set forth in such notice within sixty (60) days of the receipt of such notice, the Commissioner shall notify the Commissioner of Finance and Administration and request that a part of any State shared taxes apportioned to such county be withheld until the full grant amount awarded has been remitted.

History

Authority: T.C.A. §41-8-108.
Administrative History: Original rule filed April 21, 1987; effective July 29, 1987.

Chapter 0420-02-02 Tennessee Community Corrections Program

Tenn. Comp. R. & Regs. 0420-02-02-.01 PREFACE

Under the authority of Title 40, Chapter 36 of the Tennessee Code Annotated, the Commissioner of the Tennessee Department of Correction is responsible for the development of administrative regulations, standards and administrative policies in accordance with the requirements of the Administrative Procedures Act for the statewide implementation of the Tennessee Community Corrections Act.

History

Authority: T.C.A. Section 40-36-105.
Administrative History: Original rule filed December 30, 1986; effective February 13, 1987.

Tenn. Comp. R. & Regs. 0420-02-02-.02 PURPOSE

The Tennessee Community Corrections Act Regulations are developed to accomplish the following purposes:

(1) Clarify and interpret the elements of the Tennessee Community Corrections Act of 1985 for state and local officials throughout the State of Tennessee.

(2) Prescribe minimum standards for the establishment, administration, and evaluation of community corrections under the provisions of the Tennessee Community Corrections Act.

(3) Provide quantifiable measurements which will form the basis of the Department's statewide evaluation of the Act and its grantees.

(4) Serve as a foundation for Department of Correction's Administrative Policies, as well as local program operational policies and procedures.

History

Authority: T.C.A. Section 40-36-105.
Administrative History: Original rule files December 30, 1986; effective February 13, 1987. Amendment filed March 8, 1993; effective June 29, 1993.

Tenn. Comp. R. & Regs. 0420-02-02-.03 DEFINITIONS

For the purpose of this program, all definitions in Tennessee Code Annotated, Title 40, Chapter 36, Part 1 shall apply. In addition, the following definitions shall apply:

(1) Jurisdiction - Jurisdiction means a judicial district.

(2) Grantee - Grantee means any entity which contracts with the Tennessee Department of Correction for the receipt of Community Corrections Act funds.

(3) On-Site Visit - Any visit by the Tennessee Department of Correction or office of the State Comptroller for the purpose of monitoring compliance with state standards.

(4) Community Corrections Manager - The position in a local community corrections program responsible for the daily administration of the program and primary contact with the Tennessee Department of Correction.

(5) Non-Custodial Community Corrections - Non-custodial community corrections options do not involve housing of the offender in a jail, workhouse or community facility. Examples include, but are not limited to: community service supervision; victim restitution supervision and victim/offender mediation; alcohol/drug outpatient treatment; house arrest; and psychiatric counseling.

(6) Community Residential Treatment - Community residential treatment options include, but are not limited to: emergency shelters, detoxification centers, community residential restitution centers for non-violent offenders and probation/parole violators, community residential treatment centers for special need offenders, and probation/parole violators, inpatient drug/alcohol treatment, and day reporting centers.

(7) Department - Department means the Tennessee Department of Correction.

History

Authority: T.C.A. Sections 40-36-105, 40-36-202 and 40-36-302.
Administrative History: Original rule filed December 30, 1986; effective February 13, 1987. Amendment filed March 8, 1993; effective June 29, 1993.

Tenn. Comp. R. & Regs. 0420-02-02-.09 APPLICATION PROCESS AND PROCEDURES

(1) Sub Contracts.

(a) Qualified private agencies may contract with the grantee for the provision of specialized offender services. The grantee is encouraged to utilize existing local human services providers for the treatment of offender needs. Subcontracts with qualified private agencies for the treatment, guidance, training or other rehabilitative services to individuals and families shall be written and shall outline the following:

Specifics of the services being purchased.
Agreed-upon rate of payment for the services.
Terms of the contract.
Conditions for contract termination.
Regular progress reports to ensure that the services agreed to are being provided.

(2) Community Corrections Application Development.

(a) Community corrections applications shall be developed in accordance with the Department's Administrative Policies and Procedures by each applicant seeking community corrections funds.

(b) County-Operated - Each community corrections advisory board shall be involved in the development of the local community corrections plan and submit it to the county legislative body for approval prior to submission to the Department.

(c) Private-Agency Operated - Each agency's board of directors shall be involved in the development of the community corrections plan and formally approve it prior to its submission to the Department.

(3) Types of Programs Eligible for Funding - Community corrections funds shall only be used by the grantee for sanctions and services which are consistent with the goals and mandates of the Tennessee Community Corrections Act. Funds shall be used only to expand existing services, to develop new/innovative services within the locality and State of Tennessee, and to renovate, acquire and operate a community residential facility.

(4) Restrictions on Act Funding.

(a) Community corrections funds shall not be utilized by the local unit of government or private agency to substitute for an already existing program funded by a local, state, or federal funding source.

(b) Construction, renovation, or operation of a county/municipal jail or state facility is not permitted with these funds.

(5) Application Process - Each applicant shall apply annually to the Department for community corrections funding through a process described in the Department's administrative policies and procedures.

(6) Criteria for Allocation of Community Corrections Funds - The Department shall prescribe in its administrative policies and procedures the criteria to be used for evaluating applications and allocating community corrections funds.

History

Authority: T.C.A. Section 40-36-105.
Administrative History: Original rule filed December 30, 1986; effective February 13, 1987. Amendment filed March 8, 1993; effective June 29, 1993.

Tenn. Comp. R. & Regs. 0420-02-02-.04 APPLICATION

These rules apply to the Tennessee Department of Correction and every grantee, potential grantee, and subcontractor seeking or receiving funds under the Tennessee Community Corrections Act.

History

Authority: T.C.A. Section 40-36-301.
Administrative History: Original rule filed December 30, 1986; effective February 13, 1987. Amendment filed March 8, 1993; effective June 29, 1993.

Tenn. Comp. R. & Regs. 0420-02-02-.05 POLICY

In accordance with T.C.A. Title 40, Section 36, it is the policy of the State of Tennessee to punish selected felony offenders and other special needs felony offenders in front-end community based alternatives to incarceration, thereby reserving secure confinement facilities for violent felony offenders and to provide state funding to local governments and qualified private agencies for the establishment of local sanctions and services for eligible offenders under this Act.

History

Authority: T.C.A. Section 40-36-103. Administrative History; Original rule filed December 30, 1986; effective February 13, 1987. Amendment filed March 8, 1993; effective June 29, 1993.

Tenn. Comp. R. & Regs. 0420-02-02-.06 GOALS

The Department and its grantees shall administer community corrections within the State of Tennessee which accomplishes the following goals:

(1) That the felony offenders sentenced to community correction programs would have been incarcerated had the community corrections option not been available.

(2) Establish a range of local sanctions and services available for the judge at sentencing beyond what is presently available in the jurisdiction.

(3) Create a more informed and supportive local and statewide public constituency for community corrections within the State of Tennessee.

(4) Require the offender to pay financial restitution to the victim(s) of crime, and/or perform community service work for the local government and community agencies as ordered by the court and assure that payment and service are being provided.

(5) Successfully terminate a minimum of 60% of community corrections offenders.

(6) That the felony conviction rate for offenders who have successfully completed behavior contracts within community corrections does not exceed 10% one year after termination.

(7) Operate cost efficient and effective programs.

(8) Reduce admissions to incarceration from local communities to the greatest extent possible based on funded resources.

History

Authority: T.C.A. Section 40-36-104.
Administrative History: Original rule filed December 30, 1986; effective February 13, 1987. Amendment filed March 8, 1993; effective June 29, 1993.

Tenn. Comp. R. & Regs. 0420-02-02-.07 . ELIGIBILITY AND SENTENCING STANDARDS

(1) Offender Eligibility Standards - In addition to the eligibility standards set forth in T.C.A. 40-36-106, probation violators, both technical and new felony convictions, who are on probation for an eligible offense and juvenile offenders who have been sentenced as adults for an eligible offense are eligible for consideration for community corrections placement.

(2) Sentencing Standards - The time actually served in a community corrections program means the period of time between the placement of an offender in a community corrections program by a court and the date of any issuance of any capias or warrant for the offender for the violation of the terms of the court's order of sentence to community corrections, or until successful completion of the program per court order, expiration of sentence or discharge by the court.

History

Authority: T.C.A. Sections 40-36-105 and 40-36-106.
Administrative History: Original rule filed December 30, 1986; effective February 13, 1987. Amendment filed March 8, 1993; effective June 29, 1993.

Tenn. Comp. R. & Regs. 0420-02-02-.08 LOCAL COMMUNITY CORRECTIONS ADVISORY BOARD/COMMITTEE

(1) Establishment of Community Corrections Advisory Board/Committee.

(a) Funding may be granted to a county upon the establishment of a local community corrections advisory board. Each community corrections advisory board shall serve the county(s) and be representative of all in its jurisdiction.

(b) When it is more cost-effective and feasible for one or more jurisdictions to join together, there may be one community corrections advisory board committee serving all the counties involved.

(c) A private agency is not required to establish a separate community corrections advisory committee. The agency's board of directors may serve as the advisory committee if it meets the membership requirements set forth in T.C.A. Section 40-36-201.

(2) Duties of Community Corrections Advisory Board/Committee.

(a) Each community corrections advisory board/committee shall be responsible for:

Performing the duties enumerated in T.C.A. Section 40-36-202.
Adopting written by-laws.
Adopting local program policies and procedures which conform to standards promulgated by the Department.
Adopting a table of organization designating lines of authority.
Reviewing potential bidders for offender services and making recommendations regarding sub-contracts which present no conflicts of interest with the community corrections advisory board/committee, county legislative body or community correction program staff.
Developing a public education program and implementing public information activities at a minimum of once per quarter which inform and educate the general public regarding the need for diversion of non-violent offenders from confinement and the benefits of these programs to the local community.
Conducting business in accordance with the Sunshine Act, T.C.A. Section 8-44-101 et seq.
A community corrections advisory board/committee shall not be responsible for determining individual offender eligibility or termination.

(3) Membership/Appointment of Board/Committee.

(a) Each community corrections advisory board/committee shall demonstrate that its membership represents a reasonable cross-section of the local population, including minority and female representation.

(b) The by-laws of the community corrections advisory board/committee shall be written and presented to each incoming member.

(c) At a minimum, a multi-jurisdictional community corrections advisory board/committee shall include at least one of each type of representative required by T.C.A. Section 40-36-201. There shall be a representative from each of the judicial districts being served.

(4) Training of Community Corrections Advisory Board.

(a) The community corrections manager shall develop and conduct a local orientation program, approved by the Department of Correction, for each community corrections advisory board/committee and provide documentation of its orientation program.

(b) All community corrections advisory board/committees shall undergo in-service training as provided by the grantee and the Department to keep board members up-to-date in the field of community corrections. Each program shall document training by incorporating the training curriculum into the board minutes and by providing an attendance sheet.

(5) Meetings of the Board and its Committees.

(a) At a minimum, each community corrections advisory board/committee shall meet on a monthly basis during the first three months of a new program and on a quarterly basis thereafter.

(b) Minimally, each board shall elect a chairperson, vice-chairperson and secretary.

(c) The program manager shall document all meetings. Each committee should met a minimum of once per year, except for the executive committee which shall meet a minimum of twice per year.

(d) Each community corrections advisory board/committee should have the following committees:

Executive Committee - Conducts transactions of the board which need to be acted upon immediately or discusses issues which may jeopardize the public image of the unit/department (i.e., emergency budget modifications, behavior of clients or staff which may detrimentally affect the department). A report shall be given to the full board at its next regularly scheduled meeting.
Finance Committee - Reviews the proposed community corrections budget and makes a recommendation to the full board regarding its adoption.
Public Education Committee - Develops, conducts and monitors a public education program for the unit which informs and educates the public about the need for diversion.
Program Committee - Monitors the effectiveness of local community correctional services and makes recommendations to the full board regarding needed modification; along with the community corrections manager, reviews innovative community corrections programs in operation in the United States for potential replication; reviews and recommends potential subcontracts for services to the full boards; reviews proposed program policies and procedures and makes recommendations to the full board regarding their adoption.

History

Authority: T.C.A. Sections 40-36-201 and 40-36-202.
Administrative History: Original rule filed December 30, 1986; effective February 13, 1987. Amendment filed March 8, 1993; effective June 29, 1993.

Tenn. Comp. R. & Regs. 0420-02-02-.10 PROGRAM STANDARDS

The department shall develop minimum program standards that govern the operation of all community correction programs.

History

Authority: T.C.A. Sections 40-36-106 and 40-36-302.
Administrative History: Original rule filed December 30, 1986; effective February 13, 1987. Amendment filed March 8, 1993; effective June 29, 1993.

Tenn. Comp. R. & Regs. 0420-02-02-.11 FINANCIAL STANDARDS

(1) Uniform Accounting System.

(a) Each grantee shall establish and maintain a uniform accounting system as prescribed by the State's Comptroller of the Treasury and the Department. Each grantee shall administer their financial affairs in accordance with generally accepted accounting practices.

(b) Recipients shall account separately for community corrections funds.

(2) Auditing Requirements.

(a) Each grantee shall cooperate with the State's Comptroller of the Treasury and the Department in any or all audits of all books of accounts and financial records.

(b) An audit of all financial records and books of accounts shall be conducted annually and completed within nine months after the end of the grant year. Each grantee shall be audited by a licensed independent accountant selected by the Board and approved by the Comptroller. One copy of each audit shall be furnished to the board, the Department and Comptroller of the Treasury, and made available to the press.

(c) The Comptroller of the Treasury shall insure that audits are prepared in accordance with the generally accepted governmental auditing standards and determine if the audits meet minimum audit standards prescribed by the Comptroller. No audit may be accepted as meeting the requirements of this section until approved by the Comptroller.

(3) Local Responsibility for Administration of Funds. The applicant shall designate one fiscal agent who is responsible for the administration of all community corrections funds. In multi-jurisdictional programs, one fiscal agent shall serve all counties involved.

(4) Method of Payment.

(a) Community corrections funds shall be granted through a written formal contract on an annual basis in a form prescribed by the Commissioner and approved by the Comptroller.

(b) Each new grantee may receive up to 15% of its yearly grant at the beginning of the grant year and thereafter on a monthly reimbursement basis after the receipt and approval of a request for funds invoice, program monitoring report(s) and a financial monitoring report. The Department may readjust the monthly allocation of funds if a surplus exists within the grantee's budget.

(5) Allocation of Funds. All funds, including interest earned and supervision fees, shall only be used for eligible offenders and services. Any funds not spent by the recipient shall be reported to the Department at the end of the fiscal year. These unspent funds, along with any supplemental funding provided by the Tennessee General Assembly, may be used at the discretion of the Commissioner for eligible offenders and services.

(6) Financial Monitoring System.

(a) Each participant shall participate in the statewide financial monitoring system as set forth by the Commissioner in administrative policies and procedures. Each participant shall prepare and submit all reports required by the Department on a timely basis.

(b) Each fiscal agent shall establish and maintain a financial monitoring procedure which will provide the financial information required by the Department and the Comptroller of the Treasury.

(c) The fiscal agent and/or designee shall be responsible for approving all financial expenditures and for providing required financial reports to the grantee and the Department.

(d) The grantee shall maintain financial records for a minimum of three years.

(7) Withdrawal.

(a) Any participant can withdraw from participation in the program established by the Tennessee Community Corrections Act with written authorization of the county legislative body or board of directors after written notification is given to the Commissioner during the fourth quarter of the grant year. Recipients who request withdrawal shall be terminated on the last day of the grant year.

History

Authority: T.C.A. Sections 40-36-303, 40-36-304, and 40-36-305.
Administrative History: Original rule filed December 30, 1986; effective February 13, 1987. Amendment filed March 8,. 1993; effective June 29, 1993.

Tenn. Comp. R. & Regs. 0420-02-02-.12 PERFORMANCE CRITERIA

(1) Conditions of Compliance.

(a) In order to remain eligible for continued grant funding through the Tennessee Community Corrections Act, the grant recipients shall:

Demonstrate compliance with mandatory state rules, standards and administrative policies and procedures as evaluated annually by the department.

Programs may receive a waiver from a specific standard (not rules) only with official written approval from the department. Such waivers shall be for a specific period of time not to exceed twelve months.

Demonstrate compliance with the goals outlined in rule 0420-2-2-.06.
Demonstrate that the per capita cost per community corrections client is less than the cost of state or local incarceration and is an effective and efficient use of such funds.
Demonstrate achievement of the required functions of each community corrections advisory board/committee as outlined in rule 0420-2-2-.08.
Demonstrate that the profiles of offenders served in community corrections resemble those who would have been incarcerated rather than placed on regular probation.

(2) Statewide Evaluation and Monitoring.

(a) Each recipient shall participate in a statewide evaluation of the Tennessee Community Corrections Act, including the rules and standards covering community corrections.

(b) The Department shall establish and operate a statewide management information system to monitor the effectiveness of community corrections by participating counties and private agencies. Each program shall participate in the management information system as required by the department.

(3) Conditions of Non-Compliance.

(a) A recipient shall be subject to withdrawal of community corrections funds by the Tennessee Department of Correction when it is in violation of one or more of the following:

The Community Corrections Act, T.C.A. §40-36-101 et seq.
The written formal grant agreement.
Tennessee Department of Correction Rules.
Administrative Policies and Procedures.
Program Standards.

(b) If the Commissioner determines that there are reasonable grounds to believe that a grantee is not in compliance, the grantee shall:

Receive written notice of non-compliance from the Commissioner.
Within 30 days of receipt of written notice, prepare and submit an action plan to describe the actions to be taken by the grantee to correct deficiencies.
After approval by the Commissioner, the grantee has 45 days to correct deficiencies.
The Commissioner may suspend any part or all of the funding, if the deficiencies are not corrected within 45 days from the approval of the action plan, or if no satisfactory action plan is submitted within 30 days from receipt of written notice.

(c) Distribution of community corrections funds can be temporarily suspended until compliance is achieved or there may be termination of funds at the discretion of the Commissioner.

History

Authority: T.C.A. Sections 40-36-105, 40-36-303, 40-36-304 and 40-36-305.
Administrative History: Original rule filed December 30, 1986; effective February 13,1987. Amendment filed March 8, 1993; effective June 29, 1993.

Tenn. Comp. R. & Regs. 0420-02-02-.13 REPEALED

History

Authority: T.C.A. Sections 40-36-105, 40-36-303, 40-36-304 and 40-36-305.
Administrative History: Original rule filed December 30, 1986; effective February 13,1987. Repeal filed March 8, 1993; effective June 29, 1993.

Chapter 0420-02-03 County Correctional Incentives Program Participation and Fund Distribution Subsidy Grant Funds

Tenn. Comp. R. & Regs. 0420-02-03-.01 PREFACE

Under the authority of T.C.A. § 41-8-108, the Department of Correction is authorized and directed to establish rules for the general administration of the County Correctional Incentives Act.

History

Authority: T.C.A. §§ 41-8-102, 41-8-103, and 41-8-108; and Public Chapter 869 and Public Chapter 1037, 1988 Tenn. Public Acts.
Administrative History: Original rule filed September 13, 1988, effective December 28, 1988. Repeal and new rule filed February 5, 1990; effective May 29, 1990.

Tenn. Comp. R. & Regs. 0420-02-03-.02 APPLICABILITY

(1) Pursuant to the County Correctional Incentives Act, T.C.A. §§ 41-8-101 et seq., the rules and regulations set forth in this Chapter shall, as of July 1, 1989, govern the disbursement of funds for all counties housing convicted felons in local correctional facilities. These rules will also apply to those counties which elect to house certain felons sentenced under T.C.A. § 40- 35-104(b) to serve their sentences in county correctional facilities beginning on or after July 1, 1992.

History

Authority: T.C.A. §§ 41-8-103 and 41-8-108; and Public Chapter 869 and Public Chapter 1037, 1988 Tenn. Public Acts.
Administrative History: Original rule filed September 13, 1988; effective December 28, 1988. Repeal and new rule filed February 5, 1990; effective May 29, 1990.

Tenn. Comp. R. & Regs. 0420-02-03-.03 AGREEMENT TO CONTRACT TO HOUSE FELONS

(1) In accordance with T.C.A. § 41-8-106, as of July 1, 1992, no county shall be required to house convicted felons with a sentence of one or more years confinement unless the county, through the authority of its county commission, has chosen to contract with the Department of Correction to house certain felons in county correctional facilities.

(2) Those counties which desire to contract with the Department of Correction to house felons after July 1, 1992, must notify the Commissioner of Correction of their intent by November 1, 1989. To be effective said notification must be in the form of a certified copy of a resolution which has been approved by majority vote of the county commission following comment from the sheriff and chief executive officer concerning the proposal.

(3) Once a county has properly notified the Commissioner of Correction of its intent to contract with the Department of Correction to house certain felons after July 1, 1992, or has properly contracted with the state to house certain felons after July 1, 1992, that county shall not be allowed to alter its intent nor cancel its contract with the state unless and until the county has provided the state with two (2) years advance notice.

History

Authority: T.C.A. §§ 41-8-102, 41-8-103, 41-8-106, and 41-8-108; and Public Chapter 869 and Public Chapter 1037, 1988 Tenn. Public Acts.
Administrative History: New rule filed September 13, 1988; effective December 28, 1988. Repeal and new rule filed February 5, 1990; effective May 29, 1990.

Tenn. Comp. R. & Regs. 0420-02-03-.04 FAILURE TO COMPLY WITH SUBSIDY GRANT REGULATIONS

Receipt by a county of subsidy funds under this chapter shall be conditioned upon full compliance with the terms and requirements set forth herein. Failure to comply with any of the terms and requirements set forth herein shall constitute grounds for temporarily or permanently withholding further subsidy grant payments to the county or adjusting the amount of such payments. The Commissioner of Correction also retains the authority to require the repayment of any subsidy grant funds received by a county found by the commissioner to be in material noncompliance with the terms and requirements set forth herein.

History

Authority: T.C.A. §§ 41-8-102, 41-8-103, and 41-8-108; and Public Chapter 869 and Public Chapter 1037, 1988 Tenn. Public Acts.
Administrative History: Original rule filed September 13, 1988; effective December 28, 1988. Repeal and new rule filed February 5, 1990; effective May 29, 1990.

Tenn. Comp. R. & Regs. 0420-02-03-.05 COMPENSATION

(1) All funds for the subsidy grant program will be dispersed from the State Prosecution Fund administered by the Office of the State Comptroller.

(2) The Judicial Cost Accountant will determine the amount of each county's subsidy grant in consultation with the Department of Correction based upon the reasonable allowable costs which are incurred by a county that has agreed to house state felons.

(3) A county's reasonable allowable cost for housing felons for the state will be determined by the Judicial Cost Accountant in consultation with the Department of Correction upon the county's submission of cost data sheets and supporting schedules, in such form as is established by the Judicial Cost Accountant, showing the actual, reasonable and necessary costs incurred by the county in housing felons in a local correctional facility.

(4) A cost will be considered “reasonable, and “allowable, if, in its nature or amount, it does not exceed that which would be incurred by an ordinary and prudent person conducting a similar enterprise.

(5) The state will reimburse a participating county for the state’s proportionate share of the total reasonable allowable cost incurred by the county in operating a correctional facility in an amount which will equal the state’s proportionate share of the facility's total inmate population as represented by the number of convicted felons housed therein.

(6) Once the Department of Correction notifies a county that it has the capacity to house some or all of the felons who have been sentenced to confinement with the Department of Correction but which the county is holding and requests that the sheriff convey them to a reception center by a certain date, the State will reimburse the county at a flat rate of $18 or $20 for the cost of housing those felons after that date, the amount to be determined in accordance with 0420-02-03-.07(2)(e).

(7) Should the amount of appropriated funds be insufficient to reimburse counties at the rates established pursuant to these rules, the commissioner may establish a temporary rate schedule to insure that total reimbursement does not exceed the budgeted amount. The temporary rate schedule may give priority to contractual obligations established pursuant to T.C.A. § 41-8-106 and then provide a standard rate for all other counties as funds become available.

History

Authority: T.C.A. §§ 9-1-116, 41-8-103, 41-8-106, and 41-8-108; and Public Chapter 869 and Public Chapter 1037, 1988 Tenn. Public Acts.
Administrative History: Original rule filed September 13, 1988; effective December 28, 1988. Repeal and new rule filed February 5, 1990; effective May 29, 1990. Amendment filed September 26, 1990, effective December 29, 1990. Amendment filed February 26, 1991; effective May 29, 1991. Amendment filed March 25, 1992; effective June 29, 1992.

Tenn. Comp. R. & Regs. 0420-02-03-.06 REASONABLE ALLOWABLE COSTS

(1) The direct personnel cost of both full-time permanent employees and part-time employees will be considered a reasonable allowable cost as will personnel benefits, including insurance programs, retirement programs and other employer contribution plans which are provided by the county. A county, however, must submit its compensatory plan to the Judicial Cost Accountant so that the reasonableness of its staffing and compensation may be determined by the Commissioner of Correction. Unless a county can demonstrate that a greater portion of its sheriff's salary and benefits should be considered to be part of the county's correction expenses, fifty percent (50%) of the salary and benefits which are paid to a county's sheriff will be deemed to be part of the county's correction expenses. The State reserves the right to deem unallowable any direct personnel costs which are in excess of the State’s compensation for similar positions or if the facility's staffing level appears excessive. The Commissioner of Correction shall notify the Judicial Cost Accountant if such an adjustment is deemed necessary.

(2) Expenditures for part-time or contract services (e.g., janitorial, laundry, legal, maintenance and repair, medical and dental, etc.) and consultants will also be considered reasonable allowable costs, except for medical costs incurred by the county outside of the correctional facility which will remain subject to reimbursement under other State procedures.

(3) Other direct costs for inmate care and treatment and facility maintenance and operation will be considered as part of a county's total reasonable allowable cost. The cost of land will not be included as part of a county's reasonable allowable cost, however, depreciation expense on fixed assets other than land may be included when computing reasonable allowable costs to the extent that such items were not part of any State or Federal grant provided the county for construction, renovation or equipment. Annual depreciation on buildings and major renovation shall be allowed at four percent (4%) of the original cost. Buildings and renovations will be considered fully depreciated twenty-five (25) years after construction.

Depreciation will not be allowed after a building or renovation has been fully depreciated.

Interest expense incurred in the financing of a building or renovation may be included in the cost basis for capital depreciation. The initial expense of acquiring equipment for a new facility, major renovation or addition may be included as part of the basis for calculating annual facility depreciation or may be expensed as regular equipment cost over a period of no less than three (3) years. Depreciation on renovations and other fixed assets shall be treated as a capital expenditure and recorded in a county's fixed asset group of accounts, provided that generally accepted accounting principles are followed. Fines and penalties are considered to be unallowable costs.

(4) In lieu of claiming depreciation expenses, a county may request, conditioned upon acceptance of the proposal by the commissioner, that the Department of Correction pay a percentage, corresponding to the percentage of the facility which will be available (whether or not actually utilized) to house such felons, of the actual cost of the debt service incurred by the county in constructing or renovating correctional facilities primarily dedicated to housing felons sentenced locally pursuant to T.C.A. § 40-35-104(b). Debt service payable as a reasonable allowable cost under this provision includes any required reimbursement to a debt service reserve fund established under debt instruments, as well as trustees' and rating agencies' fees. Not withstanding any other provision of these rules, the Department may pay debt service for the county in accordance with a debt service schedule as a reasonable allowable cost from the time the county incurs the debt service, regardless of whether, at the time, the facility being financed by the debt issue is actually housing felons sentenced pursuant to T.C.A. § 40-35-104(b), and regardless of whether the county has submitted verification, monthly reports or other information required under these rules.

(5) The normal indirect costs incurred by a county housing felony prisoners will be considered in determining a county's “reasonable allowable cost.” Indirect costs are costs incurred for accounting functions, data processing, purchasing and similar services furnished by other county departments to support the correctional facility. A county may claim two percent (2%) of total direct cost in lieu of establishing an indirect cost allocation plan. If a county has an indirect cost allocation plan established in accordance with the U.S. Office of Management of the Budget's Circular A87, a copy of the plan may be submitted and the facility will be reimbursed for its total allowable indirect costs as reflected in the OMB Circular A87.

Duplication of the same cost item as both a direct and an indirect cost, however, will not be allowed.

(6) Revenues and income received by a county correctional facility for housing inmates on behalf of another governmental entity will serve to proportionately reduce the amount paid to a county for housing felony inmates for the State, excluding any amounts set forth in a debt service schedule pursuant to subsection (4). All revenues and income received by a county correctional facility for housing inmates on behalf of another governmental entity must be identified as to source and reported to the Judicial Cost Accountant; the total inmate days for which a county is reimbursed for housing inmates on behalf of another governmental entity must be deducted from total facility population, however.

(7) Medical costs for State prisoners which are incurred as emergency hospitalization expenses shall not be included in determining daily cost but must be reimbursed under the provisions of T.C.A. § 41-4-115(b). Any other related expense, such as the cost of guarding a state prisoner during emergency hospitalization, will be considered an allowable cost and should be included when determining the daily inmate cost. Any reimbursement received for such costs must also be included as an offsetting revenue.

History

Authority: T.C.A. §§ 41-1-108, 41-8-102, 41-8-103, 41-8-106, and 41-8-108; and Public Chapter 869 and Public Chapter 1037, 1988 Tenn. Public Acts.
Administrative History: Original rule filed September 13, 1988; effective December 28, 1988. Repeal and new rule filed February 5, 1990, effective May 29, 1990. Amendment filed September 26, 1990, effective December 29, 1990. Amendment filed February 26, 1991; effective May 29, 1991.

Tenn. Comp. R. & Regs. 0420-02-03-.07 PAYMENT OF COMPENSATION

(1) Compensation to counties for housing felons locally will be paid by establishing an average daily cost for care of the felony inmates based upon the criterion of “reasonable allowable costs” as outlined above. Payment shall initially be made by establishing an interim (estimated) daily inmate cost for each county to be followed by payment on an annual basis of the difference between the interim daily inmate cost and what is determined to be a county's actual daily inmate cost for that year.

(2) Interim Rate (a) Each county's interim daily inmate cost will be established for each fiscal year beginning on July 1. A county's interim daily rate shall be based on 90% of its estimated operating costs for the fiscal year divided by the total estimated inmate days for the fiscal year. An interim cost data sheet and supporting schedules as designed by the Judicial Cost Accountant must be certified by the chief executive officer of the county and filed with the Judicial Cost Accountant within thirty (30) days after adoption of the county's budget. The sheriff or other appropriate official must certify the total estimated inmate days.

(b) The county must submit a copy of the compensatory plan for its correctional officers and employees at the same time that its interim daily inmate cost estimate is filed with the Judicial Cost Accountant.

(c) In the event a county's budget has not been approved by the appropriate legislative body by August 31 of a fiscal year, an interim daily inmate cost may be established by dividing the net operating expenses for the previous fiscal year by the total estimated inmate days for the fiscal year for which the rate applies.

(d) Any county which filed a final cost determination for the previous fiscal year may elect to have its interim daily inmate cost established by using the new operating cost of the previous fiscal year, increased by three percent (3%), as a base prior to establishment of the interim cost as provided by paragraph (a) above. Should a county choose to utilize this method, the county's chief executive officer shall promptly notify the Judicial Cost Accountant of this decision by letter.

(e) A county may, on an annual basis, elect to be reimbursed for incarcerating state prisoners at a flat rate in lieu of basing the amount of such reimbursement on the criterion of “reasonable allowable cost”. In the event a county wishes to make such an election, the County Commission must pass a resolution providing that, for the forthcoming fiscal year, the county has elected to be reimbursed for housing state prisoners at the applicable flat rate of reimbursement and must notify the Judicial Cost Accountant of its decision by letter accompanied by a certified copy of said resolution.

Claims for reimbursement for nonparticipating facilities will be filed in the same manner as claims of participating facilities. The flat rate of reimbursement will vary based upon a county's operating capacity as determined by the Tennessee Correction Institute. If the county's rated capacity on January 1 of the preceding fiscal year is greater than, or equal to, one hundred (100) inmates, a county so choosing will be reimbursed at the rate of twenty dollars ($20.00) per day for each convicted felon it houses; otherwise, the county will be reimbursed at the rate of eighteen dollars ($18.00) per day for each convicted felon it houses. Notwithstanding any other provision in these rules, no county, even those receiving reimbursement based upon the “reasonable allowable cost” criterion, shall receive less than eighteen dollars ($18.00) per day for each convicted felon it houses.

(f) If extenuating circumstances occur during a fiscal year which cause an appreciable variance in the interim daily inmate cost or a county's operating capacity, the county may submit a request for adjustment of its interim daily inmate cost rate to the Judicial Cost Accountant. The Judicial Cost Accountant, in consultation with the Department of Correction, shall determine the reasonableness of all requests for interim rate changes and notify each county of approval or disapproval of its request.

(g) The interim daily inmate cost shall be used in billings for the actual state prisoners incarcerated during the fiscal year. Billings to the state shall occur on a monthly basis.

Payment on behalf of the state shall be made to a county following approval of a county's monthly billing by the Judicial Cost Accountant. The final monthly payment by the state to a county for a fiscal year shall not be payable until determination of actual daily inmate cost and approval of all of a county's monthly billings for state prisoners.

The final payment to a participating county shall be sufficient to reimburse the county one hundred percent (100%) of the actual cost of housing state prisoners which the county incurred in the preceding fiscal year.

(h) Notwithstanding any other provision in these rules, the Commissioner of Correction shall have the authority, upon application by the county, the submission of such information as the commissioner may require and consultation with the Comptroller of the Treasury, to determine a county's interim reimbursement rate. Any county which has its interim rate so determined by the commissioner must still complete and submit to the Judicial Cost Accountant cost data sheets and supporting schedules in order that an actual daily inmate cost may be determined for the county as provided in paragraph 0420-02-03-.07(3) of these rules.

(3) Actual Rate (a) Within sixty (60) days after the end of each fiscal year, each participating county shall determine its actual daily cost for detaining state prisoners based on its actual operating costs for the year divided by the total number of inmate days for the same year. A final cost data sheet, in such form as may be established by the Judicial Cost Accountant in consultation with the Department of Correction, must be completed and certified by the chief executive officer of the county. The sheriff or other appropriate official shall certify the total actual inmate days for the year.

(b) The final compensation paid to a county by the state for the fiscal year will be equal to the state’s proportionate share of the total allowable operating costs of the facility.

(c) Upon determining its actual daily inmate cost, a county shall, within thirty (30) days, submit a report to the Judicial Cost Accountant which must include the cost data sheet and supporting schedules showing the computation of the actual daily inmate cost. If additional funds are due the county over and above what has been paid to a county in interim rates payments, an invoice for the difference shall be included or, if an overpayment has occurred, a payment credit given to the state.

(4) (a) Monthly subsidy payments shall be made only after the Judicial Cost Accountant receives from the county a report containing the following information about each state prisoner housed in the facility for the preceding month:

Prisoner's Name 2. Jail Docket Numbers 3. Offense(s) Resulting in Commitment 4. Circuit or Criminal Court Case Number 5. Dates of Confinement 6. Judgment Dates 7. Terms of Judgment 8. Release Date 9. Terms of Release 10. Offender's TDOC MIS Number 11. Such other information as may be necessary to ascertain the subsidy due for individual prisoners.

(b) The reports required by section 0420-02-03-.07(4)(a) must be submitted within sixty (60) days following the end of a month for which a subsidy payment is being requested.

Upon written request of the sheriff or superintendent, and upon good cause being shown, the Commissioner of Correction may authorize up to an additional thirty (30) days for the filing of any such report.

(c) Reports required by section 0420-02-03-.07(4)(a) shall be signed by the sheriff or superintendent and by the Circuit or Criminal Court Clerk with the clerk's seal attached.

(d) For purposes of the subsidy grant program and the filing of reports required by this

section, “state prisoner” shall mean an individual held in a local correctional facility following conviction on a felony charge, including those felons who are sentenced to local confinement, confined for violation of parole under T.C.A. § 40-28-121, or whose probation or alternative sentencing agreement has been revoked.

History

Authority: T.C.A. § 41-8-108.
Administrative History: Original rule filed February 5, 1990; effective May 29, 1990. Amendment filed September 26, 1990; effective December 29, 1990.

Tenn. Comp. R. & Regs. 0420-02-03-.08 ACCOUNTING PROCEDURES

(1) Each county shall maintain adequate documentation for all expenditures made by each of its correctional facilities.

(2) Each participating county must maintain a daily log for each of its correctional facilities containing the names of all individuals (i.e. felons, misdemeanants, pretrial detainees, parole violators, etc.) incarcerated in the facility, indicating the reason they are incarcerated therein, and reflecting when they were admitted to or removed from the facility.

(3) The books, records, and documents of the participating county facility, insofar as they relate to the money received or expenditures made in regard to the program, must be maintained for a minimum of three (3) years.

(4) All books, records, and documents relating to the County Corrections Incentive Program shall be subject to audit at any reasonable time upon reasonable notice by the Department of Correction, the Judicial Cost Accountant, or their duly appointed representatives. The records shall be maintained in accordance with generally accepted accounting principles and at no less than those recommended in the Accounting Manual for recipients of grant funds in Tennessee published by the Comptroller of the Treasury, State of Tennessee.

(5) In the event that a county has been reimbursed pursuant to T.C.A. § 41-8-106(h) for housing convicted felons for a continuous period of three (3) or more fiscal years and has received the maximum amount allowed per prisoner per day as reasonable allowable costs during this period, then the county shall thereafter be presumed to be entitled to the full maximum amount allocated per prisoner per day as reimbursement of reasonable allowable costs for housing such prisoners and will not be required to provide documentation to the department regarding costs incurred beyond information necessary to determine the number of prisoner days for which the county is entitled to reimbursement.

History

Authority: T.C.A. §§ 41-8-106 and 41-8-108.
Administrative History: Original rule filed February 5, 1990; effective May 29, 1990. Amendment filed May 13, 2022; effective August 11, 2022.

Tenn. Comp. R. & Regs. 0420-02-03-.09 PRIVATELY MANAGED COUNTY CORRECTIONAL FACILITIES

Any county which contracts with a private nongovernmental entity for management and operation of its local correction facility must still comply with the procedures and requirements set forth in these rules in order to receive reimbursement from the state based upon the reasonable allowable cost of housing state felons.

History

Authority: T.C.A. § 41-8-108.
Administrative History: Original rule filed February 5, 1990; effective May 29, 1990.

Tenn. Comp. R. & Regs. 0420-02-03-.10 PREFACE – ACCREDITATION STIPEND

(1) Pursuant to T.C.A. § 41-8-108, the Tennessee Department of Correction is required to establish rules for the general administration of the County Correctional Incentives Act.

(2) For purposes of this Program, all definitions as stated in T.C.A. § 41-8-103 apply.

(3) In addition to Subsidy Grant Funds, eligible counties may also receive an Accreditation Stipend for the purposes of implementing and/or improving access to evidence-based programming to help ensure successful reentry into society, reducing recidivism and improved rehabilitation services.

History

Authority: T.C.A. §§ 41-8-102, 41-8-103, 41-8-106, and 41-8-108; and Section 18 of Public Chapter 410 (2021).
Administrative History: New rules filed May 13, 2022; effective August 11, 2022.

Tenn. Comp. R. & Regs. 0420-02-03-.11 DEFINITIONS

(1) “Eligible County” means a county with a local correctional facility accredited by the TCI as Tier 1 or Tier 2 and that the Department determines meets the following:

(a) The county houses convicted felons;

(b) The county administers a Department-approved validated risk-needs assessment to all felons within forty-five (45) days of admission to the county facility;

(d) All felons housed by the county are eligible to participate in evidence-based programming that is matched to each felon’s risk and needs and are not required to participate in programs not indicated as needed by the risk and needs assessment;

(e) The county makes reasonable efforts to select evidence-based programming that fits the demonstrated needs of the county’s felony offender population by serving a substantial portion of the felons, rather than a narrow subset of felons; and (f) The county is compliant with, or is making reasonable efforts to comply with, the federal Prison Rape Elimination Act of 2003 (34 U.S.C. §§ 30301 et seq.).

(2) “Evidence-Based Programming” means a program or programs shown by scientific research to effectively reduce recidivism rates and increase an offender’s likelihood of success following release from incarceration. Programs can focus on education, vocational training, mental health, substance abuse and rehabilitation, or building healthy relationships.

(3) “Recidivism Rate” means the number of unique felons released from incarceration and the number of those unique felons who subsequently return to incarceration within three years of release.

(4) “TCI” means the Tennessee Corrections Institute.

History

Authority: T.C.A. § 41-8-106 and Section 18 of Public Chapter 410 (2021).
Administrative History: New rules filed May 13, 2022; effective August 11, 2022.

Tenn. Comp. R. & Regs. 0420-02-03-.12 ACCREDITATION STIPEND APPLICATION PROCEDURES

(1) Any eligible county participating in the County Correctional Incentives Program may apply to the Department for an Accreditation Stipend, however participation by any eligible county is voluntary.

(2) Eligible counties with local correctional facilities accredited by the TCI as Tier 1 or Tier 2 must make formal application to the Department.

(3) The application submitted by an eligible county for the Accreditation Stipend must conform to the format provided by the Department and must include the following information:

(a) Which Tier of accreditation the county received from the TCI.

(b) A description of the evidence-based programs the county presently has implemented for state inmates.

Information and resources regarding TDOC approved evidence-based programming can be found at https://www.tn.gov/correction/redirect--rehabilitation/reentry-success-act.html (c) The percentage of the county’s state inmate population anticipated to be involved in the evidence-based programs.

(d) The results of the risk and needs assessment administered by the county for state inmates.

(e) Signatures of the Sheriff or the Workhouse Superintendent, as applicable.

History

Authority: T.C.A. § 41-8-106 and Section 18 of Public Chapter 410 (2021).
Administrative History: New rules filed May 13, 2022; effective August 11, 2022.

Tenn. Comp. R. & Regs. 0420-02-03-.13 REVIEW OF ACCREDITATION STIPEND APPLICATIONS

(1) No county’s application for an Accreditation Stipend will be considered unless all required information is provided.

(2) All applications for an Accreditation Stipend will be reviewed by the Department for approval or disapproval. In the event an application is not approved the Department will notify the Sheriff/Superintendent of the reason(s) for the disapproval. The county may submit a new application within 60 days of such disapproval.

History

Authority: T.C.A. § 41-8-106 and Section 18 of Public Chapter 410 (2021).
Administrative History: New rules filed May 13, 2022; effective August 11, 2022.

Tenn. Comp. R. & Regs. 0420-02-03-.14 COMPENSATION FOR ACCREDITATION STIPEND

(1) The amount of the Accreditation Stipend is:

(a) Three dollars ($3.00) per day for each convicted felon housed in counties that have received a Tier 1 accreditation from the TCI and (b) Six dollars ($6.00) per day for each convicted felon housed in counties that have received a Tier 2 accreditation from the TCI.

(2) The county must submit to the Judicial Cost Accountant claims for the Accreditation Stipend in the same manner as the county submits claims for Subsidy Grant Funds.

History

Authority: T.C.A. § 41-8-106 and Section 18 of Public Chapter 410 (2021).
Administrative History: New rules filed May 13, 2022; effective August 11, 2022.

Tenn. Comp. R. & Regs. 0420-02-03-.15 ANNUAL REPORTING AND REVIEW TO MAINTAIN ACCREDITATION STIPEND

(1) Each county must complete the Annual Accreditation Stipend Report established by the Department and submit such report to the Commissioner on or before October 1 of each year beginning in the year 2022.

(2) The Annual Accreditation Stipend Report shall, at a minimum, include the following:

(a) Offender name, date of birth, and TDOC number, (b) Offender program completion, beginning and end dates, and (c) Overall percentage of felons who enroll in the evidence-based programming and complete the course of programming in a timely manner.

(3) The Department will determine the successful percentage is satisfactory based on the historical completion outcomes for the particular programming. A satisfactory percentage is a percentage that is equal to or less than similar TDOC programs as reported in TDOC’s most recently published Statistical Abstract.

History

Authority: T.C.A. § 41-8-106 and Section 18 of Public Chapter 410 (2021).
Administrative History: New rules filed May 13, 2022; effective August 11, 2022.

Tenn. Comp. R. & Regs. 0420-02-03-.16 COUNTY’S FAILURE TO COMPLY WITH ACCREDITATION STIPEND

REGULATIONS.

(1) If a county fails to maintain eligibility and compliance warranting the Accreditation Stipend, then the Department may withhold Accreditation Stipend payments to the county or adjust the amount of such payments, as appropriate.

(2) In the case of material noncompliance or ineligibility the Department may require the county to repay any Accreditation Stipend payments made to the county during the period of material noncompliance or ineligibility.

(3) After a county has received the Accreditation Stipend for three (3) years, the Department will annually review the recidivism rate as defined in the Chapter 1400-05 Voluntary Accreditation Standards for Local Correctional Facilities to ensure that the recidivism rate is lower than that of the offenders who did not participate in evidence-based programming for which the local correctional facility was accredited. The Department may require a county to develop a corrective action plan if the programming in the county did not reduce the recidivism rate by a satisfactory percentage.

History

Authority: T.C.A. § 41-8-106 and Section 18 of Public Chapter 410 (2021).
Administrative History: New rules filed May 13, 2022; effective August 11, 2022.

Chapter 0420-03-01 Repealed

Tenn. Comp. R. & Regs. 0420-03-01-.01 REPEALED

History

Authority: T.C.A. §§ 4-5-102, 4-3-603, 4-3-606, and 4-6-102.
Administrative History: Original rule filed February 13, 1981; effective April 15, 1981. Repeal filed November 27, 2013; effective April 30, 2014.

Tenn. Comp. R. & Regs. 0420-03-01-.02 REPEALED

History

Authority: T.C.A. §§ 4-5-102, 4-3-603, 4-3-606, and 4-6-102.
Administrative History: Original rule filed February 13, 1981; effective April 15, 1981. Repeal filed November 27, 2013; effective April 30, 2014.

Tenn. Comp. R. & Regs. 0420-03-01-.03 REPEALED

History

Authority: T.C.A. §§ 4-5-102, 4-3-603, 4-3-606, and 4-6-102.
Administrative History: Original rule filed February 13, 1981; effective April 15, 1981. Repeal filed November 27, 2013; effective April 30, 2014.

Tenn. Comp. R. & Regs. 0420-03-01-.04 REPEALED

History

Authority: T.C.A. §§ 4-5-102, 4-3-603, 4-3-606, and 4-6-102.
Administrative History: Original rule filed February 13, 1981; effective April 15, 1981. Repeal filed November 27, 2013; effective April 30, 2014.

Tenn. Comp. R. & Regs. 0420-03-01-.05 REPEALED

History

Authority: T.C.A. §§ 4-5-102, 4-3-603, 4-3-606, and 4-6-102.
Administrative History: Original rule filed February 13, 1981; effective April 15, 1981. Repeal filed November 27, 2013; effective April 30, 2014.

Tenn. Comp. R. & Regs. 0420-03-01-.06 REPEALED

History

Authority: T.C.A. §§ 4-5-102, 4-3-603, 4-3-606, and 4-6-102.
Administrative History: Original rule filed February 13, 1981; effective April 15, 1981. Repeal filed November 27, 2013; effective April 30, 2014.

Tenn. Comp. R. & Regs. 0420-03-01-.07 REPEALED

History

Authority: T.C.A. §§ 4-5-102, 4-3-603, 4-3-606, and 4-6-102.
Administrative History: Original rule filed February 13, 1981; effective April 15, 1981. Repeal filed November 27, 2013; effective April 30, 2014.

Tenn. Comp. R. & Regs. 0420-03-01-.08 REPEALED

History

Authority: T.C.A. §§ 4-5-102, 4-3-603, 4-3-606, and 4-6-102.
Administrative History: Original rule filed February 13, 1981; effective April 15, 1981. Repeal filed November 27, 2013; effective April 30, 2014.

Tenn. Comp. R. & Regs. 0420-03-01-.09 REPEALED

History

Authority: T.C.A. §§ 4-5-102, 4-3-603, 4-3-606, and 4-6-102.
Administrative History: Original rule filed February 13, 1981; effective April 15, 1981. Repeal filed November 27, 2013; effective April 30, 2014.

Tenn. Comp. R. & Regs. 0420-03-01-.10 REPEALED

History

Authority: T.C.A. §§ 4-5-102, 4-3-603, 4-3-606, and 4-6-102.
Administrative History: Original rule filed February 13, 1981; effective April 15, 1981. Repeal filed November 27, 2013; effective April 30, 2014.

Tenn. Comp. R. & Regs. 0420-03-01-.12 REPEALED

History

Authority: T.C.A. §§ 4-5-102, 4-3-603, 4-3-606, 4-6-102.
Administrative History: Original rule filed February 13, 1981; effective April 15, 1981. Repeal filed November 27, 2013; effective April 30, 2014.

Tenn. Comp. R. & Regs. 0420-03-01-.14 REPEALED

History

Authority: T.C.A. §§ 4-5-102, 4-3-603, 4-3-606, 4-6-102.
Administrative History: Original rule filed February 13, 1981; effective April 15, 1981. Repeal filed November 27, 2013; effective April 30, 2014.

Tenn. Comp. R. & Regs. 0410-03-01-.11 REPEALED

History

Authority: T.C.A. §§ 4-5-102, 4-3-603, 4-3-606, and 4-6-102.
Administrative History: Original rule filed February 13, 1981; effective April 15, 1981. Repeal filed November 27, 2013; effective April 30, 2014.

Tenn. Comp. R. & Regs. 0410-03-01-.13 REPEALED

History

Authority: T.C.A. §§ 4-5-102, 4-3-603, 4-3-606, and 4-6-102.
Administrative History: Original rule filed February 13, 1981; effective April 15, 1981. Repeal filed November 27, 2013; effective April 30, 2014.

Chapter 0420-03-02 Repealed

Tenn. Comp. R. & Regs. 0420-03-02-.01 REPEALED

History

Authority: T.C.A. §§ 4-5-102, 4-3-603, 4-3-606, and 4-6-102.
Administrative History: Original rule filed February 13, 1981; effective April 15, 1981. Repeal filed November 27, 2013; effective April 30, 2014.

Tenn. Comp. R. & Regs. 0420-03-02-.02 REPEALED

History

Authority: T.C.A. §§ 4-5-102, 4-3-603, 4-3-606, and 4-6-102.
Administrative History: Original rule filed February 13, 1981; effective April 15, 1981. Repeal filed November 27, 2013; effective April 30, 2014.

Tenn. Comp. R. & Regs. 0420-03-02-.03 REPEALED

History

Authority: T.C.A. §§ 4-5-102, 4-3-603, 4-3-606, and 4-6-102.
Administrative History: Original rule filed February 13, 1981; effective April 15, 1981. Repeal filed November 27, 2013; effective April 30, 2014.

Tenn. Comp. R. & Regs. 0420-03-02-.04 REPEALED

History

Authority: T.C.A. §§ 4-5-102, 4-3-603, 4-3-606, and 4-6-102.
Administrative History: Original rule filed February 13, 1981; effective April 15, 1981. Repeal filed November 27, 2013; effective April 30, 2014.

Tenn. Comp. R. & Regs. 0420-03-02-.05 REPEALED

History

Authority: T.C.A. §§ 4-5-102, 4-3-603, 4-3-606, and 4-6-102.
Administrative History: Original rule filed February 13, 1981; effective April 15, 1981. Repeal filed November 27, 2013; effective April 30, 2014.

Tenn. Comp. R. & Regs. 0420-03-02-.06 REPEALED

History

Authority: T.C.A. §§ 4-5-102, 4-3-603, 4-3-606, and 4-6-102.
Administrative History: Original rule filed February 13, 1981; effective April 15, 1981. Repeal filed November 27, 2013; effective April 30, 2014.

Tenn. Comp. R. & Regs. 0420-03-02-.07 REPEALED

History

Authority: T.C.A. §§ 4-5-102, 4-3-603, 4-3-606, and 4-6-102.
Administrative History: Original rule filed February 13, 1981; effective April 15, 1981. Repeal filed November 27, 2013; effective April 30, 2014.

Tenn. Comp. R. & Regs. 0420-03-02-.08 REPEALED

History

Authority: T.C.A. §§ 4-5-102, 4-3-603, 4-3-606, and 4-6-102.
Administrative History: Original rule filed February 13, 1981; effective April 15, 1981. Repeal filed November 27, 2013; effective April 30, 2014.

Chapter 0420-03-03 Repealed

Tenn. Comp. R. & Regs. 0420-03-03-.01 REPEALED

History

Authority: T.C.A. §§ 4-5-102, 4-3-603, 4-3-606, and 4-6-102.
Administrative History: Original rule filed January 24, 1989, effective May 1, 1989. Repeal filed November 27, 2013; effective April 30, 2014.

Tenn. Comp. R. & Regs. 0420-03-03-.02 REPEALED

Authority. T.C.A. §§ 4-5-102, 4-3-603, 4-3-606, and 4-6-102. Administrative History: Original rule filed January 24, 1989, effective May 1, 1989. Repeal filed November 27, 2013; effective April 30, 2014.

Tenn. Comp. R. & Regs. 0420-03-03-.03 REPEALED

History

Authority: T.C.A. §§ 4-5-102, 4-3-603, 4-3-606, and 4-6-102.
Administrative History: Original rule filed January 24, 1989; effective May 1,1989. Repeal filed November 27, 2013; effective April 30, 2014.

Tenn. Comp. R. & Regs. 0420-03-03-.04 REPEALED

History

Authority: T.C.A. §§ 4-5-102, 4-3-603, 4-3-606, and 4-6-102.
Administrative History: Original rule filed January 24, 1989, effective May 1, 1989. Repeal filed November 27, 2013; effective April 30, 2014. -- 1 of 1 --

Chapter 0420-03-04 Selection of News Media Representatives to Attend an Execution of a Death Sentence

Tenn. Comp. R. & Regs. 0420-03-04-.01 PREFACE

Under the authority of T.C.A. §40-23-116, the Department of Correction is authorized to promulgate rules that establish criteria for the selection of news media representatives to attend an execution of a sentence of death.

History

Authority: T.C.A. §40-23-116.
Administrative History: Original rule filed July 28, 1999; November 29, 1999. Repeal and new rule filed November 22, 2000; effective February 6, 2001.

Tenn. Comp. R. & Regs. 0420-03-04-.02 APPLICABILITY

Pursuant to the authority of T.C.A. §40-23-116, these rules shall apply to all news media agencies and their representatives.

History

Authority: T.C.A. §40-23-116.
Administrative History: Original rule filed July 28, 1999; November 29, 1999. Repeal and new rule filed November 22, 2000; effective February 6, 2001.

Tenn. Comp. R. & Regs. 0420-03-04-.03 DEFINITIONS

(1)Community Print News Media Agency: A Print News Media Agency other than a Metro Print News Media Agency.

(2)General Interest and Coverage: The handling of a broad range of spot news such as traffic accidents, fires, disasters, governmental events, as well as economic, business, social, sports, and human interest news.

(3)Metro Print News Media Agency: A Print News Media Agency which maintains a full-time presence at the state Capitol, covering day-to-day operations of state government.

(4)News Media Agency: A Print, Radio or Television News Media Agency or The Associated Press.

(5)News Media Agency Representative: A person Regularly Employed by a News Media Agency and designated by such News Media Agency to attend and witness an execution of a death sentence on behalf of the New Media Agency.

(6)Print News Media Agency: A newspaper of general circulation, bearing a title or name, regularly issued at least as frequently as once a week for a definite price, having second class mailing privilege, being not less than four (4) pages, published continuously during the immediately preceding one-year period, which is published for the dissemination of news of general interest, coverage and circulation in an area within Tennessee.

(7)Radio News Media Agency: The Tennessee Radio Network or a radio broadcast station which regularly disseminates news of general interest and coverage and has either its city of license (as determined by the federal government) or broadcast transmitter located in Tennessee.

(8)Regularly Employed: Employed on a consistent, continuing basis and not solely for the purpose of witnessing an execution of a sentence of death or otherwise on a temporary or short-term basis.

(9)Television News Media Agency: A television broadcast station which regularly disseminates news of general interest and coverage and has either its city of license (as determined by the federal government) or broadcast transmitter located in Tennessee.

(10)Warden: Warden of the Riverbend Maximum Security Institution.

History

Authority: T.C.A. § 40-23-115; § 40-23-116.
Administrative History: Original rule filed November 22, 2000; effective February 6, 2001.

Tenn. Comp. R. & Regs. 0420-03-04-.04 APPLICATION AND SELECTION PROCESS

(1)The selection of News Media Agency Representatives shall be by drawing to be held at Riverbend Maximum Security Institution, 7475 Cockrill Bend Industrial Road, Nashville, Tennessee.

(2)The Public Information Office of the Department of Correction shall notify all News Media Agencies of a scheduled drawing through issuance of an advisory to the Associated Press. An announcement will also be published in the Tennessee Administrative Register; provided, however, in the event the Department has insufficient advance notice of an execution date to meet publication deadlines for the Tennessee Administrative Register, the announcement shall be issued as soon as practicable after the Department receives notice of the execution date.

(3)The advisory and announcement shall include the following:

(a)Deadline date, time and location for receiving applications from a News Media Agency desiring to be included in the open drawing to witness the execution of the death sentence.

(b)Date, time, and location where the open drawing will take place.

(4)To be eligible for the drawing, a News Media Agency shall submit an application on a form provided by the Department of Correction on or before the deadline specified in the advisory and/or notice. The applicant agency shall designate its News Media Agency Representative and the news media pool for which it qualifies under these rules. The Department will accept only one (1) application from each News Media Agency. A person may be named as a News Media Agency Representative on only one (1) application.

(5)The Warden or designee shall assign an identifying number to each application received. Prior to the commencement of the drawing the Warden or designee shall post a list containing the News Media Agency name, News Media Agency Representative name, number and assigned category of each application which meets the requirements set forth in this rule.

(6)Procedure for Drawing:

(a)From those applications received which meet the requirements set forth in this rule, a total of seven (7) News Media Agencies shall be selected. The agencies shall be selected from the following categories in the following order: 1.The Associated Press (one application); 2.One News Media Agency in the county where the offense occurred; 3.One Metro Print News Media Agency; 4.One Community Print News Media Agency; 5.Two Television News Media Agencies; and 6.One Radio News Media Agency.

(b)In the event more than one qualifying application is received for category (a)(ii), the applications not selected in that category shall be reassigned to appropriate categories.

(c)If one or more categories cannot be filled due to an insufficient number of qualifying applications in the category, qualifying applications remaining after all other selections have been made shall be combined into one selection pool from which an application shall be drawn to fill each unfilled position.

(d)After seven (7) News Media Agency Representatives have been selected through the process set out in (a) through (c), all remaining applications shall be combined into one selection pool from which a first alternate and a second alternate shall be drawn. Alternates shall be allowed, in order of selection, to substitute for a News Media Agency Representative selected as a witness who is unable to attend and witness the execution of a death sentence.

(7)After the drawing the Department of Correction shall promptly issue an advisory to the Associated Press identifying the News Media Agency Representatives selected.

(8)News Media Agency Representatives shall be subject to the approval of the Warden. The Warden may, in the Warden’s discretion, disapprove or exclude a witness for reasons of safety or security. No News Media Agency Representative shall be related to the condemned prisoner or the condemned prisoner’s victim or victims or have any personal interest in the case. News Media Agency Representatives must be eighteen (18) years of age or older.

(9)The Department of Correction will allow no substitution of News Media Agencies or News Media Agency Representatives.

(10)In the event the execution does not take place within one (1) year of the date of the drawing, the Commissioner, in the Commissioner’s sole discretion, may cancel the result of a drawing and, if necessary, direct that a new drawing be held.

History

Authority: T.C.A. § 40-23-116.
Administrative History: Original rule filed November 22, 2000; effective February 6, 2001. 0420-3-4.-05 WITNESS GUIDELINES (1)No News Media Agency Representative allowed to witness the execution of a death sentence shall have exclusive rights to the story. Immediately after the execution of the death sentence is complete, all News Media Agency Representatives shall make themselves available for a news conference of other news media representatives and shall remain at the news conference until it is completed. (2)The news conference shall be held at a location designated by the warden immediately following the execution. (3)Photographic or recording equipment are prohibited at the execution site during the execution. (4)News Media Agency Representatives shall abide by all departmental and institutional rules and policies, and the directives of authorized staff. Failure of a witness to do so may result in the witness being excluded and /or removed from the premises. The News Media Agency Representative and the News Media Agency being represented shall be ineligible to attend future executions without the specific approval of the Commissioner. Authority: T.C.A. § 40-23-116.

Chapter 0420-04-01 County Grants for Community Intervention Services

Tenn. Comp. R. & Regs. 0420-04-01-.01 PURPOSE OF COUNTY GRANTS FOR COMMUNITY INTERVENTION SERVICES

The

purpose of the County Grants for Community Intervention Services is to plan for and implement community-based programs designed to accomplish the following:

(1)to reduce the average daily institutional population within the Department of Correction (DOC)

Youth Services facilities by 120 youth, (2)to keep youth close to home and community, (3)to assist counties in developing programs designed to provide dispositional alternatives for juvenile courts, (4)to support initiatives by communities to provide local services to their own youth.

History

Authority: T.C.A. §§4-3-603 and 4-3-606.
Administrative History: Original rule filed October 28, 1986; effective January 27, 1987. Amendment filed April 27, 1987; effective July 29, 1987.

Tenn. Comp. R. & Regs. 0420-04-01-.02 ELIGIBILITY

The Department of Correction, Youth Services Division, may award a grant to any entity of government, except in any county which is currently under another contract and receiving funds from DOC to provide dispositional alternatives to commitment, or to a Tennessee private or public corporation. A county may exercise its option to not submit an application and to allow another entity of government or a Tennessee public or private corporation to apply for funding in place of the county.

History

Authority: T.C.A. §§4-3-603 and 4-3-606.
Administrative History: Original rule filed October 28, 1986; effective January 27, 1987. Amendment filed April 27, 1987; effective July 29, 1987. Amendment filed January 20, 1988; effective April 27, 1988.

Tenn. Comp. R. & Regs. 0420-04-01-.04 CONTINUATION OF PROJECTS

Grants may be renewed at the end of the fiscal year; however, grants may be terminated or their renewal denied for failure to comply with the purpose of the funds and the terms of the contract.

History

Authority: T.C.A. §§4-3-603 and 4-3-606. Administrative History. Original rule filed October 28, 1986; effective January 27, 1987.

Tenn. Comp. R. & Regs. 0420-04-01-.05 MATCHING FUNDS

There shall be no requirement for applicants to provide matching funds; however, the applicant may choose to provide cash funds or in-kind services to enhance the project.

Authority.- T.C.A. §§4-3-603 and 4-3-606. Administrative History. Original rule filed October 28, 1986; effective January 27, 1987. Amendment filed April 27, 1987; effective July 29, 1987.

Tenn. Comp. R. & Regs. 0420-04-01-.06 REALLOCATION OF REVERTED FUNDS

Reverted funds may be reallocated to existing projects or new projects not previously funded due to a lack of available funds.

History

Authority: T.C.A. §§4-3-603 and 4-3-606.
Administrative History: Original rule filed October 28, 1986; effective January 27, 1987.

Tenn. Comp. R. & Regs. 0420-04-01-.07 ALLOWABLE EXPENDITURES

Funds may be used to provide or to purchase distinct new services, to expand existing services which will adhere to the purpose of the funds, or to continue projects currently funded with Community Intervention Services grants.

(1)Expenditures may include new personnel costs, necessary equipment, travel for personnel, purchase of services, supplies and operating costs for non-residential services.

(2) Indirect/overhead costs will be allowed to cover the grant's share of agency costs not directly attributable to the grant project. If the applicant must have an Indirect Cost Allocation Plan for another funding source, the applicant must submit an Indirect Cost Allocation Plan as approved by state or federal government. If an Indirect Cost Allocation Plan is not required by another funding source the applicant may budget indirect/overhead costs subject to the following limitations:

(a) the applicant may budget indirect/overhead expenses not to exceed five percent (5%) of the overall project budget;

(b) the applicant may budget indirect/overhead expenses not to exceed ten percent (10%) of the personnel cost, including salaries and benefits, for the project; or (c) the applicant may submit a line item indirect/overhead cost budget, each item to be subject to approval by DOC.

(3) Costs for secure and non-secure residential services must be reflected as per diem rates, subject to approval by DOC. The applicant must describe the method used to determine the per diem rate.

(a) any secure residential facility used must provide documentation that it is certified by the Tennessee Corrections Institute;

(b) any non-secure residential facility used must provide documentation that it is licensed by the Department of Human Services or the Department of Mental Health/Mental Retardation.

(4) Any funds used for travel, meals, or lodging are subject to the maximum amounts and limitations specified in the State Comprehensive Travel Regulations.

(5) Any personnel hired with grant funds may not assume duties regularly performed by a Youth Services Officer; e.g. intake, regular probation, pre-sentence investigations, etc. (T.C.A. § 37-1- 106). Such personnel may work only with youth ordered to be served by the project.

(6) Any staff hired by juvenile courts responsible for implementing court-operated projects must meet educational and training requirements as established by the Tennessee Children's Services Commission for Youth Services Officers.

History

Authority: T.C.A. §§4-3-603 and 4-3-606. Administrative History. Original rule filed October 28, 1986; effective January 27, 1987. Amendment filed April 27, 1987; effective July 29, 1987. Amendment filed January 20, 1988; effective April 27, 1988.

Tenn. Comp. R. & Regs. 0420-04-01-.08 UNALLOWABLE EXPENDITURES

Funds shall not be used for the following:

to supplant existing local funds previously budgeted during the last three fiscal years of the county 2. to provide or expand salaries or expenses of juvenile court judges, referees, or youth services officers;
to acquire, construct or renovate facilities;
to place youth in out-of-state programs;
to provide matching funds for applications for federal or state grants; or 6. to pay any expense not included in the approved budget submitted as part of the application, provided that revisions in the approved budget may be allowed subject to prior approval by DOC.

History

Authority: T.C.A. §§4-3-603 and 4-3-606.
Administrative History: Original rule filed October 28, 1986; effective January 27, 1987. Amendment filed April 27, 1987; effective July 29, 1987

Tenn. Comp. R. & Regs. 0420-04-01-.09 MULTI-COUNTY PROJECTS

Applicants are encouraged to submit applications designed to serve multiple counties. In such instances, a cooperative agreement between the applicant, each participating juvenile court, and the county executives in participating counties must be included in the application. At a minimum, the applicant must agree to provide services as described in the application and each participating court must agree to use the services only as a dispositional alternative to commitment to DOC and to set as a target the maximum number of youth it will commit to DOC during the project period, such target number to be agreed upon by DOC.

History

Authority: T.C.A. §§4-3-603 and 4-3-606.
Administrative History: Original rule filed October 28, 1986; effective January 27, 1987. Amendment filed April 27, 1987; effective July 29, 1987.

Tenn. Comp. R. & Regs. 0420-04-01-.03 ALLOCATION OF FUNDS

Funds will be awarded by competition, based upon established criteria outlined in the funds availability notice. Applicants must provide documentation including, but not limited to, the following: that the project will impact the average daily population within DOC facilities, that the juvenile court will agree to use the project's services only as a dispositional alternative to commitment to DOC Youth Services for delinquent offenders and status offenders who have violated valid court orders; that the juvenile court will agree to establish as a target the maximum number of youth it will commit to DOC during the project period, such target number to be agreed upon by DOC; that the juvenile court does not have access to adequate existing resources to provide services as a dispositional alternative to DOC, that all expenditures are justifiable and reasonable; that the project will be cost effective; and that the community supports the project.

History

Authority: T.C.A. §§4-3-603 and 4-3-606.
Administrative History: Original rule filed October 28, 1986; effective January 27, 1987. Amendment filed April 27, 1987; effective July 29, 1987.

Tenn. Comp. R. & Regs. 0420-04-01-.10 NATURE OF PROGRAMS

(1) The types of programs which may be funded include, but are not limited to, the following, or any combination thereof:

(a)Residential 1. group homes;

residential treatment centers; or 3. foster homes.

(b) Non-residential 1. intensive family counseling;

intensive probation;
crisis intervention;
day treatment;
victim/offender reconciliation; or 6. community service/restitution (2) Children Eligible to Receive Services. The juvenile court judge should consider the extent and nature of prior delinquent or unruly behaviors, the extent and nature of the presenting offense, whether the offense was committed in an aggressive and premeditated manner, and the possible rehabilitation of the child through services funded.

(a)as a disposition, the juvenile court judge may order a child to receive service in lieu of commitment to DOC, under the following circumstances:

an adjudicated delinquent child may receive residential or non-residential services, or 2. an unruly child who has been adjudicated for violating a valid court order may receive non-residential services only; and 3. in each case, the child shall be commitable to the Department of Correction and otherwise would have received a DOC facility placement, (b)no child tried in a criminal court as an adult may be sentenced by a judge of criminal jurisdiction to receive services;

(c) the juvenile court judge shall provide to DOC documentation that each child receiving services meets eligibility criteria.

History

Authority: T.C.A. §§4-3-603 and 4-3-606.
Administrative History: Original rule filed October 28, 1986; effective January 27, 1987.

Tenn. Comp. R. & Regs. 0420-04-01-.11 COMMITTEES

(1)Project Advisory Committees. Each grantee shall establish a Project Advisory Committee.

(a)the function of the Project Advisory Committee shall be to:

(i)assist in the development of the local project;

(ii)oversee future budget development;

(iii)conduct public relations activities in the community; and (iv)oversee the operation and local evaluation of the project.

(b)The project director shall appoint the members of the Project Advisory Committee including:

(i)the county executive or designee;

(ii)the juvenile court judge or designee;

(iii)a representative from DOC;

(iv)a representative from DHS;

(v)a representative from the mental health field;

(vi)a representative from the school system;

(vii)the Tennessee Children’s Services Commission district coordinator; and (viii)a representative from the private sector; and (ix)if the grantee is a corporation, the chief executive officer or designee.

(c)The Project Advisory Committee members shall adopt such by-laws as necessary to fulfill its stated function. The chair shall be elected by the members.

(2)DOC shall establish a County Grants Review Committee.

(a)The function of the Committee shall be to:

(i)review and recommend changes in the rules governing the distribution of funds;

(ii)review applications;

(iii)recommend grants to be awarded; and (iv)evaluate the project’s progress semi-annually or as needed.

(b)Members of the Committee shall include: 1.Three (3) employees of the DOC appointed by the Commissioner of Correction. 2.The executive administrative assistant to the Tennessee Council of Juvenile and Family Court Judges; and 3. One representative from the private sector.

(c )The Committee shall establish such guidelines as necessary to fulfill its stated function.

(d)The DOC representative shall serve as chair and DOC shall provide staff support to the Committee.

(3)All meetings of the Project Advisory Committee, and the County Grants Review Committee shall be open to the public.

History

Authority: T.C.A. § §4-3-603 and 4-3-606.
Administrative History: Original rule filed October 28, 1986; effective January 27, 1987. Amendment filed April 27, 1987; effective July 29, 1987. Amendment filed April 21, 1989; effective July 29, 1989

Tenn. Comp. R. & Regs. 0420-04-01-.12 APPLICATION PROCEDURES

(1)By March 1 of each year, DOC Youth Services shall mail to each eligible county and to other eligible applicants an application packet containing the funds availability notice, concept paper forms, application forms, rules to govern the distribution of the funds, and a copy of the contract which will be used.

(2)DOC staff will be available to provide assistance to applicants in completing application forms.

(3)Applicants are encouraged to submit a concept paper, due on April 1 of each year, to be reviewed by project staff for strengths and deficits. Such concept paper must include at a minimum the following: a brief description of the services to be provided, a description of the target population, a statement of impact relating to the number of commitments to DOC , and a line item estimated budget.

(4)Two copies of the application with original signatures and ten additional copies must be received by 4:00 p.m., CST on May 1 of each year. If May 1 is a holiday or on the weekend, the deadline shall be 4:00 p.m., CST on the next state business day.

(5)Applications received after the deadline shall be returned unopened to the sender.

(6)Applications not including the following shall be rejected without further consideration.

(a)letters of endorsement from the DOC regional or district director, the juvenile court judge(s), and the sheriff((s) of the affected geographic areas;

(b)original signatures of the parties legally authorized to enter into contracts if an entity of government is the applicant. Any application submitted by a county or municipal government must also include the signature of the juvenile court judge exercising jurisdiction in that county or municipality.

(c)original signature of the agency director if the applicant is a public or private corporation; and (d)documentation of agreement from the juvenile court judge to use the services only as a dispositional alternative to commitment to DOC and to set as a target the maximum number of youth it will commit to DOC during the project period.

(7)All applicants will be automatically notified of receipt of and the identification number assigned to their application. If acknowledgment is not received within three weeks after the deadline date, the applicant should notify DOC Youth Services.

(8)Contents of all applications shall be public information after grant contracts are fully executed.

Such information will be made available for inspection upon request during regular state business hours.

(9)Public and private corporation applicants must include the following in the application:

(a)a description of the agency’s qualifications to provide the services described including any previous grants;

(b)the agency’s charter of incorporation; and (c)a list of the agency’s Board of Directors.

History

Authority: T.C.A. § §4-3-603 and 4-3-606.
Administrative History: Original rule filed October 28, 1986; effective January 27, 1987. Amendment filed April 27, 1987; effective July 29, 1987. Amendment filed January 20, 1988; effective April 27, 1988.

Tenn. Comp. R. & Regs. 0420-04-01-.13 APPLICATION REVIEW PROCESS

(1)Review by DOC staff. All applications shall be reviewed by doc staff to insure that the application form is complete and includes required documents, that the signatures of the parties required to sign the application is designed to comply with the stated purpose of the funds and these rules governing the distribution of the funds.

(2)Review by the County Grants Review Committee. The County Grants Review Committee shall convene to review all applications not affected by Rule 0420-4-1-.12(6) submitted and to make recommendations regarding approval or disapproval of applications and any special conditions which should be imposed upon the grantee. The Committee should conclude its review activities before the beginning of each fiscal year and present its recommendations to the Commissioner of DOC or his designee. The Commissioner or his designee shall award the grants.

(3)Notification of Approval/Disapproval. Within three weeks of the awarding of grants, DOC staff shall notify in writing each applicant of DOC’s decision to approve or disapprove its application. Approval notices will include the amount of funding approved and any special conditions placed on the award.

History

Authority: T.C.A. §§ 4-3-603 and 4-3-606.
Administrative History: Original rule filed October 28, 1986; effective January 27, 1987. Amendment filed April 27, 1987; effective July 29, 1987.

Tenn. Comp. R. & Regs. 0420-04-01-.14 GRANT CONTRACTS

DOC staff shall send a grant contract to each applicant having an application approved. DOC must receive the grant contract signed by the parties who signed the application and the contract must be signed by the Commissioner of Correction before any claims for reimbursement will be accepted. Such grant contract must be on a form approved in advance by the Tennessee Department of Finance and Administration.

History

Authority: T.C.A. §§ 4-3-603 and 4-3-606.
Administrative History: Original rule filed October 28, 1986; effective January 27, 1987. Amendment filed April 27, 1987; effective July 29, 1987.

Tenn. Comp. R. & Regs. 0420-04-01-.15 EFFECTIVE GRANT DATES

Each grant shall become effective upon the signature of the Commissioner of Correction and will terminate on June 30 of each year, the end of the State’s fiscal year. All projects shall be designed to begin accepting clients within 45 days of the effective date.

Tenn. Comp. R. & Regs. 0420-04-01-.16 PAYMENT PROCEDURES

(1)All payments shall be made on a reimbursement basis except for initial payment of an advance of funds up to fifteen percent (15%) of the total contract. Where an advance of funds is desired, the requested advance should be set forth in the grant application. The request shall specify the percentage of advance and a justification for the advance.

(2)Claims for reimbursement shall be accepted on the 15 th day of each month during the term of the Contract, except that the final claim for June 15-30 shall be submitted by July 5. Claim forms will be provided by DOC.

(3)Only reimbursements for approved expenditures shall be paid. Any revision in the grant budget must be requested in writing, and approved in writing by DOC prior to expenditure of the funds.

Such requests must be signed by the parties required to sign the application and contract.

(4)Each reimbursement claim must be accompanied by a completed project progress report, and other documentation as required ,on forms provided by DOC.

(5)The grantee shall keep on file all invoices, payroll records, canceled checks, and other necessary fiscal documents to verify expenditures claimed and comply with state audit requirements for grants.

History

Authority: T.C.A. §§ 4-3-603 and 4-3-606.
Administrative History: Original rule filed October 28, 1986; effective January 27, 1987. Amendment filed April 27, 1987; effective July 29, 1987. Amendment filed April 21, 1989; effective July 29, 1989.

Tenn. Comp. R. & Regs. 0420-04-01-.17 MONITORING AND EVALUATION

(1)DOC staff shall make on-site visits as needed to monitor and evaluate projects, but shall make the on-site visits no less than once per year.

(2)The purpose of the on-site visits is to provide technical assistance, to ensure that services are being provided, to determine the applicant’s adherence to the terms of the grant, and to verify that records are maintained and in proper order.

(3)Items to be inspected during the on-site visit shall include claims for reimbursement, fiscal records, programmatic records, and court intake and disposition records.

(4)DOC staff monitoring the projects shall, in person and in writing, advise the grantee of any problems or significant findings found during the site visit and shall maintain copies of all correspondence in the grant file.

History

Authority: T.C.A. §§ 4-3-603 and 4-3-606.
Administrative History: Original rule filed October 28, 1986; effective January 27, 1987.

Tenn. Comp. R. & Regs. 0420-04-01-.18 CONFIDENTIALITY

All records of youth served must be collected and maintained in a manner to insure the protection of the youth’s rights to privacy and confidentiality.

History

Authority: T.C.A. §§ 4-3-603 and 4-3-606.
Administrative History: Original rule filed October 28, 1986; effective January 27, 1987.