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  #1  
Old 05-30-2006, 11:23 AM
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Default WA DOC Management, Budget, and Administrative Support Services Policies

Please check the Washington DOC website for regular updates:
http://www.doc.wa.gov/Policies/default.aspx?show=100


WA DOC Management, Budget, and Administrative Support Services Policies

200.000 Trust Accounts for Offenders


Deductions


Deduction Matrix


Sub Accounts


200.200 Offender Welfare Betterment Account

200.210 Facility Offender Stores


200.380 Legal Financial Obligations and Cost of Supervision


210.025 Gate Money/Transportation Funds


210.060 Donations


240.100 Food Services Program


Kitchen Sanitation Checklist


260.050 Research Review and Use


280.510 Public Disclosure of Records


280.925 Offender Access to Electronic Data


290.100 Patents, Copyrights, and Royalties

Last edited by PattiD1157; 06-18-2006 at 05:08 PM..
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Old 05-30-2006, 11:25 AM
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Default 200.000 Trust Accounts for Offenders

STATE OF WASHINGTON
DEPARTMENT OF CORRECTIONS POLICY DIRECTIVE

PRISON/PRE-RELEASE/WORK RELEASE

NUMBER DOC 200.000

SIGNATURE DATE
JOSEPH D. LEHMAN, SECRETARY
EFFECTIVE DATE
11/03/03
PAGE NUMBER
1 of 6

TITLE TRUST ACCOUNTS FOR OFFENDERS

SUPERSESSION:

DOC 200.000 effective 1/22/02; DOC 200.710 effective 1/24/03

REFERENCES:

DOC 100.100 is hereby incorporated into this Policy Directive; RCW 4.84; RCW .94a.030, 760, 780; RCW 9.95.210, 214, 310-370; RCW 10.64.120; RCW 11.08; RCW 72.04A.120; RCW 72.09.110, 111, 480; RCW 72.11; RCW 72.65.050, 060; ACA 4-4046; ACA 4-4047; ACA 4-4292; ACA 7D-30; ACA 7D-32; ACA 7D-33; DOC 440.000 Personal Property for Offenders; DOC 440.100 Disposition of Property of Deceased Offenders; RAP 14.1 et seq; RAP 16.15, CR 11; 28 U.S.C § 1915, § 1920, § 1923; Trust Accounting Manual

POLICY:

I. The Department shall provide for the prudent management of state resources, be accountable to the citizens of the state, and recognize that offenders share a fiscal obligation with the Department. The Department shall provide criteria for offender trust account operations, deposits, withdrawals, and transfers for offenders in Prison, Pre-Release, and Work Release to ensure fiscal accountability and safeguarding of state assets. [4-4292] Criteria shall include orderly, consistent, and timely collection of an offender's legal financial obligations (LFO), child support, current liabilities, and debt.

II. Accounting and reporting will be in accordance with policies, regulations, and procedures published by the Office of Financial Management (OFM) and any supplemental instructions in the form of memos and/or manuals issued by the Office of Administrative Services (OAS) Business Services.

III. This Policy Directive is applicable to any person committed to the custody of the Department who resides in a correctional facility, to include persons received from another state, state agency, county, or federal jurisdiction.

DIRECTIVE:

I. Bank Accounts

A. Offender funds shall be maintained in an authorized Federal Deposit Insurance Corporation (FDIC) financial institution (bank) checking account. All offender funds in the custody of the Department shall be consolidated into one account by facility/region and deposited in an agency-approved local bank by the business office.

B. The funds shall be maintained in non-interest bearing accounts. [4-4046]

C. Fees such as, but not limited to, stop payment or non-sufficient funds (NSF) check charges shall be deducted from the appropriate offender account. Refer to the Trust Accounting Manual for details.

D. Offenders will not be allowed to make voluntary deposits to or maintain separate individual savings, checking, investment accounts, or certificates of deposits for funds received by the Department.

II. Sub Accounts

A. Offender funds are maintained in the Trust Accounting System (TAS) detailing transactions in Sub Accounts (attached).

III. Deposits

A. All funds received will be deposited to the bank on a daily basis. Deposits posted by the bank will be reconciled to the deposit recorded in TAS.

B. Offender signatures are not required on the back of a check, money order, or cashiers check if the business office uses an endorsement stamp to deposit to the offender’s trust account and the bank.
1. Personal checks are only accepted in Olympia OAS and designated Work Release facilities. Work Release facilities will use DOC 19-104 Transmittal of Trust Funds with the offender’s DOC number on the back of the check, money order, cashiers check, or EFT/ACH statement and endorsement stamp where appropriate.
C. All funds received will be deposited to an offender’s account in total. No deductions may be made from an offender’s funds until posting to TAS has been completed. All funds received in any form are held in trust for the offender’s use.

D. Community Services Revolving Fund (CSRF) loans are available for all offenders transferred, paroled, or released to a Work Release facility, including county placement offenders. Loans to county placement offenders are based upon time of commitment per Sub Account (attached).
1. CSRF loans are not subject to mandatory deductions.
2. The maximum amount available for any offender housed in a Work Release facility is $300. Additional loans may be approved. Refer to the Trust Accounting Manual for details.
IV. Exempt Deposits

A. The following exempt deposits are exempt from all deductions:
1. Transfers from another Department facility or business office.
2. Education sub account.
3. Postage sub account.
4. Medical sub account.
5. Vendor refunds, when the offender has proof the purchase was made with funds from the facility account. If proof is not provided, the funds are considered non-exempt from mandatory deductions.
6. Tribal funds protected by federal law or court order.
7. Voided checks.
8. Veteran’s and Social Security Disability Benefits when received directly from the federal agency.
B. The following exempt deposits are exempt from mandatory deductions only and are subject to other deductions:
1. Proceeds from lawsuits filed pursuant to the United States Code 42 U.S.C. Sec.1983.
2. Income tax returns from Class I wages only.
V. Deductions From Deposits

A. Deductions, as specified in this Policy Directive, Deductions (attached), and the Deduction Matrix (attached), will be taken at the time each deposit is posted to an offender's trust fund.

VI. Contracts and Outside Vendor Credit Accounts

A. Offenders will not utilize credit cards, time payment plans, or any type of credit account while under the jurisdiction of the Department.
1. Offenders will not enter into any contract while under the jurisdiction of the Department without the approval of the Secretary/designee.
2. The above restrictions do not apply to offenders on community supervision unless otherwise ordered by the court.
VII. Withdrawals

A. Withdrawals from offender accounts include, but are not limited to, the following:
1. Internal Revenue Service (IRS) tax levies,
2. Non-LFO court orders,
3. Office of Support Enforcement (OSE) Order to Withhold and Deliver (OWD), refer to the Order to Withhold and Deliver section of this Policy Directive,
4. Costs, sanctions, and attorneys' fees (i.e., non-LFO court orders),
5. Store purchases,
6. Health care services co-payment,
7. Postage,
8. Lost or damaged keys and IDs,
9. User fees (i.e., TV fees, TV rentals, etc.),
10. Education,
11. Other purchases made in compliance with DOC 440.000 Personal Property for Offenders, and
12. An approved withdrawal through the facility's or business office's approval process.
B. Offenders are not allowed to directly or indirectly transfer funds between other offender's accounts or exchange funds or items of value with staff, other offenders, volunteers, or sponsors. [4-4047] [7D-30] Offenders may not withdraw money to establish or deposit to accounts, investments, certificates of deposit, or credit accounts outside of the Department’s offender trust account. Offenders are not allowed to bank through the mail or conduct monetary transactions except through the Department’s offender trust account.

C. Withdrawals for fees, assessments, deposit corrections, stores, and other transactions will be handled as current transactions and deducted from the offender's spendable balance. Withdrawals from an offender's account cannot draw the spendable balance below zero.

D. Offenders may request, upon proof of personal indebtedness, payments to creditors providing the offender has sufficient funds to cover the request and postage.

VIII. Order to Withhold and Deliver (OWD)

A. An offender's trust fund balance, including savings sub accounts and amounts held by the Department for shipping costs, store purchases, etc., are subject to collection by OSE, Department of Social and Health Services (DSHS) through an OWD.
1. Pursuant to RCW 72.65.060, earnings of Work Release participants are not subject to garnishment, attachment, or execution, including OWDs.
2. An offender’s education sub account is exempt from collection of an OSE OWD.
IX. Exceptions

A. Court orders specifying deduction percentages and/or payment amounts as part of the Judgment and Sentence (J&S) while the offender is incarcerated will be processed prior to any other deductions or withdrawals.

B. Offenders who are employed by a Class I industry, and who have LFO deductions, are exempt from the 20 percent debt collection on wages until such time as the LFO is satisfied.

C. [7D-32] Work Release room and board deductions for offenders participating in a Work Release program will be deducted daily. In the event that an offender's daily spendable balance is less than his/her daily room and board obligation, that portion of the unpaid room and board will become a debt of the offender and collected in the priority order listed on Deductions according to the Deduction Matrix (attached).
1. Violators will not be charged for Work Release room and board.
D. An offender shall receive the balance of his/her trust account upon release from the Department. At the discretion of the facility Superintendent/Community Corrections Supervisor (CCS) or designee, $50 maximum may be placed on hold to cover the costs of shipment of personal property, outstanding medical co-pays, or other outstanding obligations not received in the business offices. Any amount known to be owed by the offender may be withheld. After 2 weeks, the $50 or any balance will be forwarded to the offender.

E. Based upon the offender Work Release plan, and with the approval of the Work Release Supervisor/designee, an offender may be released with an amount of money sufficient to provide adequate community placement, provided funds are available in the offender’s account.

X. Unclaimed Property

A. Accounts/funds of offenders that are on escape status, or when the offender’s address is unknown, will be held for 6 months by the Department. After 6 months, the account will be closed and the funds deposited to CSRF as unclaimed property.

B. If an offender is returned to the Department, the offender may request the funds be returned by completing DOC 09-012 Request for Unclaimed Property within 5 years of deposit to the CSRF.

C. Property of deceased offenders will be handled per DOC 440.100 Disposition of Property of Deceased Offenders and RCW 11.08.

DEFINITIONS:

Words/terms appearing in this Policy Directive may be defined in the Glossary section of the Policy Directive Manual.

ATTACHMENTS:

Deductions [7D-33]
Deduction Matrix
Sub Accounts

DOC FORMS (See Appendix):

DOC 09-012 Request for Unclaimed Property
DOC 19-057 Mandatory Savings Account Access
DOC 19-104 Transmittal of Trust Funds
DOC 19-105 Inmate Banking System Request for Advance and Promissory Note
DOC 19-106 Inmate Banking System Check Request
DOC 20-305 Correspondence Study Request
  #3  
Old 05-30-2006, 11:26 AM
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Default Deductions

DEDUCTIONS


DEDUCTIONS:

Deductions specified in this attachment and displayed in the Deduction Matrix will be taken at the time each deposit is posted to an offender’s trust fund.

The deposit types and percentages are displayed on the Deduction Matrix. Further detail for any of the following deductions can be found in the Trust Accounting Manual.

I. MANDATORY DEDUCTIONS:

A. Mandatory deductions are required as per RCW 72.09.111 and 72.09.480. Mandatory deductions are taken as a percentage of the deposit type. The mandatory deductions and percentages are:
Crime Victim Compensation (CVC) – 0 percent to 5 percent
CVC are deductions sent to Labor and Industries (L&I) to assist victims of crime.
Cost of Incarceration (COI) – 0 percent to 20 percent
COI is used to support the Department Correctional Industries work programs for offenders.
Savings – 10 percent to 12 percent.
Savings is also a sub account in the offender’s trust fund. Further details of the offender’s savings sub account are listed in Sub Account attachment.
II. LEGAL FINANCIAL OBLIGATIONS (LFO):

A. LFO deductions are taken in accordance with an offender’s Judgement and Sentence (J&S). 20 percent for Prison offenders or 10 percent for Work Release offenders will be deducted from deposits for offenders that meet the requirements stated in the Trust Accounting Manual and on the Deduction Matrix.

B. LFO is forwarded to the appropriate county clerk until the offender’s obligations are satisfied. Refunds of LFO will not occur after the payment has been sent to the appropriate county. The offender must contact the appropriate county for a refund to be returned to his/her account.

III. FILING FEES:

A. Filing fees are withheld and forwarded to the Federal District Court in accordance with the Prison Litigation Reform Act (PLRA). Obligations established by the offender’s declaration of In Forma Pauperis (IFP) will be collected at 20 percent deductions for each, until all are satisfied.

IV. COSTS, SANCTIONS, AND ATTORNEY FEES (non-LFO court orders):

A. Costs, Sanctions, and Attorney Fees (CSAF) are orders received from the Attorney Generals Office. Per RCW 72.09.450 collections of CSAF will be collected leaving the indigency level remaining on the offender’s account. Current indigency level is defined in RCW 72.09.015 as $10. Collections will continue until the CSAF balance is paid in full.

B. Other non-LFO court orders will be collected as stipulated in the court order.

V. OFFICE OF SUPPORT ENFORCEMENT (OSE) ORDER TO WITHHOLD ANDDELIVER (OWD):

A. Offenders’ sub accounts are subject to an OWD per sub accounts attachment.
However, OSE Payroll Deduction Notice (PDN) will be returned to OSE.

VI. DEBTS:

A. Debt collections will occur at the time a deposit is made to an offender’s account. 20 percent will be collected until all outstanding debt is satisfied.

B. Offender debts will be liquidated in the order depicted. A percentage of deposits to the offender’s account listed on the Deduction Matrix will be deducted and applied to debt in the following priority order:
1. Outstanding loan balance to CSRF (debt over 45 days old);
2. Un-reimbursed Work Release room and board;
3. Outstanding misdemeanant Cost of Supervision (COS) debt;
4. Outstanding felony COS debt;
5. Outstanding Offender Minimum Management Unit (OMMU) COS debt;
6. Outstanding conversion COS debt;
7. Outstanding from out-of-state COS debt;
8. Health care services co-payment;
9. Television fees;
10. Replacement hygiene items;
11. Postage;
12. Copy costs;
13. ID cards;
14. Property damage; and
15. Other Department restitution. All Department restitution including electronic monitoring and fees not listed above shall be recovered based on the oldest debt first, regardless of origin.
C. The CSRF loan balance collections will be forwarded to OAS Business Services, LFO/COS Accounting Section for disposition. All other offender debts will be deposited in accordance with procedures in the Trust Accounting Manual.

D. Debt balances may be collected in full from the offender’s available balance at the time the offender is discharged from the custody of the Department. Available balance of an offender’s account is the amount of funds to be released to the offender. However, at the Superintendent’s/Work Release Supervisor’s discretion, an offender may retain sufficient funds for establishing personal residence upon release.

E. An outside party may pay the offender’s debt. The outside party must send a signed memo/letter with the money order or cashiers check in the exact amount of the outstanding debt. Checks will be accepted at Headquarters and designated Work Release facilities only. The outside party cannot designate which debt is to be paid. Debt will be paid in the priority designated in DOC 200.000 Trust Accounts for offenders. Any amount exceeding the debt balance will be treated as an “other” deposit and mandatory deductions will be taken.

F. The Department will not collect outstanding debt from the offender’s deposits that
would cause his/her spendable sub account balance to fall below $10.

Updated 10/03 3 DOC 200.000a1
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Old 05-30-2006, 11:27 AM
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Deduction Matrix
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Old 05-30-2006, 11:27 AM
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Default Sub Accounts

SUB ACCOUNTS


SUB ACCOUNTS:

An offender’s trust fund account is comprised of sub accounts.
The sub accounts are:
I. Spendable sub account
II. Savings sub account
Work Release savings sub account:
IV. Postage sub account
V. Education sub account
VI. Medical sub account
VII. Community Services Revolving Fund Sub Account (CSRF).
I. SPENDABLE SUB ACCOUNT:

A. The spendable (REG) sub account is the amount of funds available for use by an offender.

B. Offenders are not allowed to request to have funds from other sub accounts transferred to spendable balance for their use.

II. SAVINGS SUB ACCOUNT:

A. The savings (SAV) sub account is the savings required by RCW 72.09.111 and RCW 72.09.480. To request access to mandatory savings, an offender must initiate DOC 19-057 Mandatory Savings Account Access and submit it to his/her Counselor/CCO. Work Release Community Corrections Supervisors (CCS) can approve access to mandatory savings to assist offenders with transition to the community and shall determine the amount the offender may withdraw. For offenders in Prison and Pre-Release to access mandatory savings, approval must be given by the Superintendent and the OCO Deputy Secretary/designee. If the Superintendent disapproves a request, it shall not be forwarded any further. Approved DOC 19-057 Mandatory Savings Account Access shall be sent to the appropriate offender banking unit. See Deduction Matrix.

B. Offenders serving Life Without the Possibility of Parole and death penalty sentences are exempt from mandatory savings.

C. Savings will be available to the offender upon release from the jurisdiction of the
Department.

D. Voluntary deposits to the savings sub account are not allowed.

III. WORK RELEASE SAVINGS SUB ACCOUNT:

A. A Work Release savings (WRSAV) sub account deduction of 12 percent is taken from Work Release pay while an offender is assigned to a Work Release facility.

B. Work Release savings will be released to the offender upon release from the jurisdiction of the Department. Final approval for access to Work Release savings sub accounts shall be by the CCS for emergency use or community placement. DOC 19-057 Mandatory Savings Account Access, initiated by the offender, must be approved prior to access to savings sub accounts. The CCS shall determine the amount of funds the offender may withdraw from his/her Work Release savings sub account. The request must include the offender’s purpose for the use of the savings. The approved form will be forwarded to the appropriate offender banking unit for processing. If the offender is returned to Prison or Pre-Release, only the Work Release savings may be applied to debt per the priority of debt collections in DOC 200.000 Trust Accounts for Offenders and the Trust Accounting Manual.

C. Voluntary deposits to the Work Release savings sub account are not allowed.

IV. POSTAGE SUB ACCOUNT:

A. Funds received from outside sources and designated for the postage sub account are exempt from mandatory deductions per RCW 72.09.480(5).

B. Offender with funds in their postage sub account will request postage, personal property shipping, and mail requests for a private mail courier be taken from the postage sub account. If the postage sub account does not contain enough funds to cover the postage request, the balance of any request will be taken from the offender’s spendable sub account balance. The offender cannot use the funds designated for the postage sub account for any purpose other than postage.

C. The postage sub account is subject to Office of Support Enforcement (OSE) Order to Withhold and Deliver (OWD).

D. Upon release from the jurisdiction of the Department, any balance in the offender’s postage sub account will be subject to mandatory deductions.

V. EDUCATION SUB ACCOUNT:

A. Funds received from outside sources and designated for the education sub account is exempt from mandatory deductions per RCW 72.09.480(5).

B. The education sub account is only to be used for deposits or withdrawals when the offender has followed procedures established in DOC 500.100 Correspondence Education for Offenders. The business office copy of DOC 20305 Correspondence Study Request, approved by the Case Manager and education staff, authorizes the offender’s use of the education sub account. Funds received for an offender without approval will be returned to the sender.

C. An offender may accumulate no more than $1,500 at any time in the education sub account.

D. Upon release from the jurisdiction of the Department, any balance in the offender’s education sub account is released to the offender.

VI. MEDICAL SUB ACCOUNT:

A. Funds received from outside sources and designated for the medical sub account are exempt from mandatory deductions per RCW 72.09.480(5).

B. The medical sub account is only to be used for deposits and withdrawals when the offender has received approval, as specified in the procedures established in DOC 600.020 Elective Offender Paid Health Care. Funds received for an offender without approval will be returned to the sender.

C. The nominal non-refundable processing fee of $50 is withdrawn from the offender’s account when the request is made to use the elective health care. See the Trust Accounting Manual.

D. The medical sub account is subject to an OSE OWD.

E. Upon release from the jurisdiction of the Department, any balance in the offender’s medical sub account is released to the offender.

VII. COMMUNITY SERVICES REVOLVING FUND SUB ACCOUNT:

A. CSRF sub account deposits are funds requested by an offender’s Work Release CCS to assist a Work Release offender in seeking employment. The maximum allowable request for a CSRF Loan is $300. The offender must sign DOC 19105 Inmate Banking System Request for Advance and Promissory Note before the loan is completed.

B. Deposits made to CSRF sub account are not subject to mandatory deductions.

C. Requests for funds from CRSF sub account are approved on DOC 19-106 Inmate Banking System Check Request or DOC 19-106A (long version).

D. The CCS may approve offender requests for additional loans to purchase work-related clothes or equipment. The offender must sign DOC 19-105 Inmate Banking System Request for Advance and Promissory Note before the loan is completed.

E. Community Corrections Jail (CCJ) and Community Corrections Inmate (CCI) offenders can receive a CRSF loan if the offender is unemployed and after signing DOC 19-105 Inmate Banking System Request for Advance and Promissory Note. Counselors must include in the request for a loan the length of time the offender is staying at the Work Release.

F. The amount of the loan depends on the length of the offender’s sentenced time:
1. 0 – 30 days or one month $ 20
2. 31 – 60 days or two months $ 50
3. 61 – 90 days or three months $ 80
4. 91 – 120 days or four months $100
5. 121 – 150 days or five months $120
6. 151 – 180 days or six months $150
G. The CSRF sub account is not subject to an OSE OWD.

Rev. 10/03 4 DOC 200.000a3
  #6  
Old 05-30-2006, 11:29 AM
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Default 200.200 Offender Welfare Betterment Account

PRISON/PRE-RELEASE/ WORK RELEASE

NUMBER DOC 200.200

EFFECTIVE DATE

TITLE OFFENDER WELFARE BETTERMENT ACCOUNT

SUPERSESSION:

DOC 200.200 effective 1/5/05

REFERENCES:

DOC 100.100 is hereby incorporated into this Policy Directive; RCW 43.88.195; RCW 72.09.095; RCW 72.09.470; RCW 74.18.230; WAC 67-35-160; WAC 137-36-040; ACA 4- 4027; ACA 4-4034; ACA 4-4044; DOC 200.050 Purchasing; DOC 200.210 Facility Offender Stores; DOC 210.060 Donations; DOC 235.000 Fixed Asset Inventory; SAAM 20.40; SAAM 75.40; SAAM 80.20.50; SAAM 85.20

POLICY:

[4-4044] The Department will establish an Offender Welfare Betterment Account per RCW 43.88.195. The assets of the betterment fund will be used solely for offender betterment activities. These activities may enhance the security and orderly operation of a facility by reducing idleness and may encourage positive development of community ties.

Accounting for the betterment fund will be in accordance with requirements of this Policy Directive and Office of Financial Management (OFM) State Administrative and Accounting Manual (SAAM).

The authority to spend from the betterment fund is vested with the Department Secretary.

Headquarters and each facility operates and maintains a local sub-account of the betterment fund and is responsible for all operations, accounting, budgeting, and financial reporting activities of its sub-account.

DIRECTIVE

Budget Requirements

Annual budget requirements:

The Office of Correctional Operations (OCO) Deputy Secretary determines the annual budget amount for Family Friendly and Capital Projects.

The Headquarters Offender Welfare Betterment Fund Administrator determines the remainder of the annual budget.

The OCO Deputy Secretary and Department Secretary will review and approve the budget.

Once the budget is approved, the Headquarters Offender Welfare Betterment Fund Administrator will disburse budget allotments to each facility’s sub-account with details of the spending categories.

Any betterment funds not spent in the following spending categories must be returned to the Headquarters Offender Welfare Betterment Account at the end of the year:

Family Friendly,

Capital Projects,

Television systems, and

Law Library books.

Each facility that maintains a betterment fund sub account may prepare an internal annual budget to help monitor expenditures in the various spending categories.

Cash Balance Requirements

The Headquarters Offender Welfare Betterment Fund Administrator will determine and maintain the minimum cash balance level for the Department. At a minimum, this will be 2 months (i.e., 2 times the average month for the year) of budgeted expenditures for the year.

The betterment funds cash balance will be maintained in an interest-bearing checking or savings account.

Source of Funds

Authorized revenue for the betterment fund will be drawn from activities such as:

Offender store excess working capital transfers as determined by DOC 200.210 Facility Offender Stores.

Telephone commission revenues as determined by the contract.

Contracted offender vending machine commissions as determined by the contract.

Donations as defined in DOC 210.060 Donations.

Commissions from non-bagging store operations (i.e., TPR & AVCC-ALF).

Interest earned on betterment funds.


Television/radio income as a result of a rental program.

Recycling.

Miscellaneous (e.g., revenue from lockers purchased by the betterment fund and from contraband as defined by WAC 137-36-040).

Unauthorized revenue includes:

Recoveries of expenditures.

Any revenue-generating activity that is properly accounted for in an enterprise fund (e.g., car washes, curio sales, etc.).

Any revenue generated from vending machines not accessible to offenders (i.e., administrative offices). These funds will be paid to the business enterprise revolving fund administered by the Department of Services for the Blind.

Photo-coupon sales that are a recovery of expenditures. The recovery should go to Fund 651 if the program is operated by a club or group, or to Fund 512 as a function of the institutional stores account.

If the Local Business Advisor considers receipts properly classifiable as due to the betterment fund, s/he will request a determination in writing from the Headquarters Offender Welfare Betterment Fund Administrator. Pending the written determination, the funds will be deposited per SAAM 85.20.

Expenditures

Authorized expenditures are for those activities that contribute to the betterment of the offender population including, but not limited to:

Donations/Stores/Other:

Offender store staff salaries and benefits, the portion of those costs not covered by offender store sales. Facilities will continually monitor and annually report to the OCO Deputy Secretary in an effort to make the store self-supporting.

Donations to non-profit organizations that provide a direct and identifiable benefit to offenders (e.g., Matthew House in Monroe, Spiritual Corrections in the Northeast Region).

Other betterment fund activities and equipment. Supplies generally only benefit one accounting period. There are 2 types of equipment:

Capitalized has a useful life of greater than one year and a unit cost of greater than $5000.


Non-capitalized has a useful life of greater than one year, but costs less than $5000.

Extended Family Visits (EFV):

All EFV program-related expenditures, except for the cost of state employees’ salaries.

Family Friendly:

Expenditures for programs that encourage stronger family relations.

Humanities/Arts Performances/Honorariums:

A maximum of 2 artist in residence programs per biennium. A facility may choose to have none.

Library:

Regular non-law library supplies.

Law library books/subscription, salaries/benefits, and the Headquarters-authorized electronic law library vendor. No other law library expenditures will be paid for from the betterment fund.

Recreation and Hobbies:

Recreation supplies.

Recreational awards and prizes, up to a maximum of $1.00 per offender per year.

Recreation staff salaries and benefits as mandated by the OCO Deputy Secretary. Reimbursement will not exceed actual expenditures.

Hobby craft small tools.

Small common-use tools, which are not individually owned and are not individual raw material supplies, are authorized.

Religious/Cultural Activities:

Religious supplies.

Religious/cultural events:

A maximum of $5 per offender per year.

In addition, facilities may spend $2 per offender per year to enhance in-dining room holiday meals.


Television Systems:


Offender-view television systems (e.g., monthly cable fees, etc.). The purchase of premium movie channels (e.g., HBO, Showtime, etc.) is prohibited.

Televisions for day rooms and televisions for rent by offenders.

Public performance licenses.

This is a Headquarters expenditure and allows for the public viewing of videos other than educational and/or self-help at WCC R-unit only. These locations must comply with the terms of the public performance licensing agreement. All other locations may rent/purchase videos for education or self-help only.

Unit Activities:

Includes such items as houseware and furnishings for Work Releases, barbershop supplies, betterment activities, etc.

Visiting Areas:

Supplies to include games for children, pictures for walls, etc., but not furniture except as part of a common area for use by children.

Regular visit room furniture for adult use will be purchased from appropriated funds.

Capital Projects:

The betterment fund will fund a portion of specified Capital Projects such as EFV units and gym floor refinishing.

Unauthorized expenditures include, but are not limited to:

Expenditures on behalf of identifiable individuals or groups to the exclusion of the majority of the population.

Tort claims.

Magazine/newspaper subscriptions; newspapers for the WCC and WCCW Reception Centers, Pre-Release, and Work Release are an exception.

Offender news letters.

Referee fees.

Hobby craft supplies for individual offender consumption/ownership.


Staff salary expenses related to the EFV program.

Regular adult use furniture for visiting areas.

Typewriters and related supplies for offender use.

Offender wages, legal services, and copies/miscellaneous supplies for the law library.

Video film rentals for other than education or self-help purposes, except WCC R-unit.

Holiday packages or gifts, to include posting money to individual offender accounts.

League/tournament fees.

Loans to offenders.

Superintendents may consider offenders' requests for expenditure of betterment funds, but are not required to honor those requests. Offenders will have no right, title, or other legal interest in the betterment fund and may not challenge any management decision concerning expenditures from such fund in any legal action or proceeding.

All purchases made from the betterment fund will follow competition requirements and purchasing authorities to include procurement through the Department of General Administration when required, as specified in DOC 200.050 Purchasing.

Fund Transfers

Each facility, regardless of offender capacity, will transfer 25 percent of total revenue received into their betterment fund to the Headquarters Offender Welfare Betterment Fund Administrator, P.O. Box 41107 for Crime Victim's Compensation. This 25 percent transfer is considered a reduction of revenue. Funds transferred into the facility from the Headquarters sub-account are not considered revenue and are not subject to the 25 percent transfer for Crime Victim’s Compensation. Headquarters will have already paid the 25 percent.

All fund transfers must be done monthly, no later than the 20th of the month following receipt.

Accounting Requirements

The measurement object of the betterment fund is directed toward the determination of financial position, changes in financial position, and net income. The purpose of the fund is to expend its resources for betterment activities, not to seek profits. Revenues and expenditures are to be accounted for using the modified accrual basis where revenues are recorded when available and objectively measurable and expenditures are recorded in the period in which the fund liability is incurred.

The Department’s Chart of Accounts specifies the types of coding applicable to the betterment fund: appropriation index, program index, object, and revenue sources. Each facility must use its assigned organization index on all betterment fund transactions to produce a general ledger at the sub-account level.

Allowable general ledger codes for the betterment funds are listed in SAAM 75.40.10. Descriptions of what types of items are recordable in each general ledger can be found in SAAM 75.40.20.

The Agency Financial Reporting System (AFRS) Transaction Code User Guide will be used to determine the transaction code(s) necessary to affect the required general ledger accounts. There may be more than one transaction code. Any transaction code used must have a dash (-) or a 3 in the fund type (FT) column. A dash indicates the transaction code is valid in any fund type and a 3 indicates the transaction code is valid in local funds only.

Assets purchased with betterment funds need to be tagged, included in the Capital Asset Management System (CAMS), and counted annually according to DOC 235.000 Fixed Asset Inventory. This includes assets with a value greater than $5000, or small and attractive assets with a value of greater than $500 but less than $5000.

Financial Reporting Requirements

Appropriate facility staff will enter all activity into AFRS by the close of the fiscal month in which the activity occurred. The activity may be recorded at summary level; however, revenue and expenditure activities are not to be netted against each other.

A bank reconciliation, Balance Sheet, and Statement of Revenues, Expenditures, and Changes in Fund Balance will be prepared for the betterment fund and sent to the Headquarters Offender Welfare Betterment Fund Administrator on a monthly basis. [4-4034] If a facility has an offender store, a monthly income statement will also be prepared and sent to the Headquarters Offender Welfare Betterment Fund Administrator.

Audit Requirements

Betterment fund sub-accounts are subject to internal audit. The Internal Audit Manager will determine the nature, timing, and scope of these audits, consistent with internal procedures and with procedures contained in SAAM 20.40. [4-4027].

The betterment fund is subject to audit by the Office of the State Auditor.

DEFINITIONS:

Words/terms appearing in this Policy Directive may be defined in the Glossary section of the Policy Directive Manual.

ATTACHMENTS:

None

DOC FORMS (See Appendix):

None
  #7  
Old 05-30-2006, 11:30 AM
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Default 200.210 Facility Offender Stores

TITLE FACILITY OFFENDER STORES

SUPERSESSION:

DOP 200.210 effective 8/1/93; DOC 700.020 effective 10/1/93

REFERENCES:

DOC 100.100 is hereby incorporated into this Policy Directive; DOC 440.080 Hygiene and Grooming for Offenders; DOC 650.040 Over The Counter (OTC) Health Related Store Items

POLICY:

I. Prison and Pre-Release facilities may operate facility offender stores for the benefit of offenders. The stores shall provide offenders with the opportunity to purchase personal items that are not authorized through other means.

DIRECTIVE:

I. General Requirements

A. The purchasing procedures of the Department of General Administration and the Department’s Office of Administrative Services (OAS) shall be followed. The stores shall be operated on a profit and loss basis. Whenever practical, offender store operations shall be consolidated.

B. Appropriated funds shall not be used to keep the offender store in a financially solvent condition or to absorb any reimbursement of staff salaries and benefits directly associated with the store operation.

C. Offender stores shall be operated independently and shall serve offenders through individual packaging of the offender’s request. An individual package shall typically consist of a bag, which includes the offender’s order blank, merchandise form, and approved list of available items.

D. If the Superintendent chooses to operate a canteen, the canteen shall be operated independently and shall serve offenders through an over-the-counter operation. Typically, this operation shall allow an offender to make purchases of selected merchandise from an approved inventory, using scrip or other methods of payment approved by the OAS Business Services Controller.

II. Selection of Items for Sale

A. Offenders shall have an opportunity to provide input in the selection of store items.
1. The Superintendent shall designate a staff member to review items and advise of those that should not be stocked due to security or safety reasons.
2. Store staff shall review the items for those that should not be stocked for practical reasons (i.e., short shelf life, slow turnover rate, etc.)
B. The Superintendent shall have final approval of items that shall be stocked.

C. Price lists shall be published on at least a quarterly basis and posted throughout the facility to be accessible to offenders; however, prices are subject to change without notice.

D. Stores may have sales on discounted, discontinued, or slow-moving inventory items as necessary.

III. Stores Inventories

A. There shall be a complete monthly physical inventory of all merchandise in stock.

B. Price averaging shall be used to value the cost of items in the inventory system.

C. A method shall be implemented to identify slow-moving inventory items that can be sold for discount.

D. There shall be a standard method for documenting, verifying, and resolving inventory shortages and overages.

E. Breakage and spoilage of items shall be documented, verified, and removed from stock.

F. Inventory shall at all times be secured from pilferage and loss of stock.

IV. Sales

A. Sale of store items shall be made exclusively to the offender population or other fund activities.

B. Canteen operations may sell to both offenders and Department staff.

C. Store orders under $1 shall not be honored, except for the purchase of pre-franked envelopes and personal hygiene items.

D. A system may be established to handle special orders at the discretion of the Superintendent.

E. The Superintendent may establish order limits on maximum dollar amounts, frequency, and quantity.

F. Facilities shall establish a process for merchandise with a warranty to be returned within the manufacturer’s warranty period provided there has not been tampering with the item.

G. There shall be an exchange or credit system established for:
1. Defective merchandise; and
2. Orders and/or items lost prior to offender receipt.
H. Sales using cash, scrip, or checks shall not be allowed through the offender store bagging operations.

I. Sales shall be handled in the following manner:
1. The offender’s account shall be charged; and
2. The offender shall sign a store order request at the time of delivery, acknowledging receipt of goods. Signed receipts shall be returned to offender stores and shall be retained in compliance with the Department’s records retention schedule.
J. Cash and/or scrip may be used for canteen operations and approved vending machines.

K. The Local Business Advisor (LBA) shall maintain an approved, restricted stores list established by the Superintendent/designee for special groups of the offender population (e.g., Intensive Management, Protective Custody, Reception, Segregation, and/or Mental Health units).

V. Mark Up

A. Canteen Operations
1. Items sold in the canteen shall be limited to popcorn, soda pop, chips, ice cream bars, and individual candy bars.
2. There shall be a 20 percent mark-up on all items except popcorn and soda pop, which shall be sold at prices comparable to community establishments.
B. Bagging Operations
1. There shall be a 20 percent mark-up on all items costing up to $100.
2. There shall be a 15 percent mark-up on all items costing from $100.01 to $200.
3. There shall be a 10 percent mark-up on all items costing from $200.01 and up.
C. Miscellaneous Items
1. There shall be a 5 percent mark-up on the least expensive item in each personal hygiene commodity group.
2. Facility-issue personal hygiene items shall be sold at cost to indigent offenders and shall be the only choice of personal hygiene items available to indigent offenders.
D. Pre-franked envelopes and one brand of tobacco shall be sold at cost.

VI. Staffing

A. Department employees shall staff the store operations.

B. Store staff shall be paid from appropriated funds that shall be reimbursed from the store fund.

C. No offender shall work in or have access to a facility store or canteen operation unless direct Department staff supervision is provided.

VII. Working Capital

A. The Superintendent, in conjunction with the LBA, shall identify the amount of working capital necessary to operate the offender store.

B. Amounts in excess of the working capital shall be transferred to the Offender Betterment Fund (Fund 800) following completion of a monthly financial statement.

C. The Superintendent/designee shall initiate an investigation at any time s/he determines that the computed working capital or net profits vary significantly (i.e., 15 percent or more) to determine if necessary corrective action should be initiated.

VIII. Accounting

A. The LBA shall be responsible for maintaining an accounting system and appropriate reports as required by the Washington State Office of Financial Management and the Department’s OAS.

Words/terms appearing in this Policy Directive may be defined in the Glossary section of the Policy Directive Manual.

ATTACHMENTS:

None

DOC FORMS (See Appendix):

None
  #8  
Old 05-30-2006, 11:31 AM
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Default 200.380 Legal Financial Obligations and Cost of Supervision

TITLE LEGAL FINANCIAL OBLIGATIONS AND COST OF SUPERVISION

SUPERSESSION:
DCC 200.380 effective 7/8/99

REFERENCES:

DOC 100.100 is hereby incorporated into this Policy Directive; RCW 9.94A; WAC 137-65

POLICY:

Community Corrections Officer’s (CCO) are responsible for the monitoring of Legal Financial Obligation (LFO) and Cost of Supervision (COS) payments while an offender is on Work Release or active supervision in the community. Classification Counselors are responsible for monitoring LFO payments while an offender is in Prison.

DIRECTIVE:

I. Payment Schedule

A. CCOs will set and modify an offender’s payment schedule, or submit a Special Report to modify a court-ordered payment schedule, when there is a major change in the offender’s financial status.

II. Collections Tools

A. CCOs may issue income withholding documents for Sentencing Reform Act (SRA) felony offenders who are in non-compliance with their payment schedule.
1. DOC 05-530 Notice of Payroll Deduction will be issued if the offender is employed in an ongoing job and receiving regular paychecks.

2. DOC 05-534 Order to Withhold and Deliver will be issued if the offender has scattered employment and is receiving irregular paychecks.

3. DOC 05-533 Order to Withhold and Deliver will be served on either a main office or a branch office of a bank, savings and loan association, or credit union if an offender is known to have an account.

4. DOC 09-043 Wage Assignment Order may be used as a substitute for DOC 05-530 Notice of Payroll Deduction per local practice.
B. Income withholding documents will be issued in addition to a Notice of Violation not as a substitute for a Notice of Violation.

C. Collections by an entity outside of the Department may be pursued per Agency contract.

III Bankruptcy

Upon receipt of bankruptcy filings regarding LFOs, CCOs will continue the routine supervision of the offender.
1. In Chapter 13 Bankruptcy proceedings, no action will be taken by the CCO that could be perceived as an attempt to collect, bill, or coerce payment of Legal Financial Obligations. A special report to the court can be made notifying the status of payment but no recommendation regarding sanction for non-payment will be made. Restitution and other Legal Financial Obligations are non-dischargeable under Chapter 13. Collection efforts will begin once the bankruptcy proceedings have come to an end.

2. During the life of a Chapter 7 bankruptcy matter, which is usually less than six months, the CCO will not make any collection efforts. However, restitution and other Legal Financial Obligations are non-dischargeable under Chapter 7. Collection efforts will begin once the bankruptcy proceedings have come to an end.

3. A billing interrupt to stop automatic billings and Offender Minimum Management Unit (OMMU) violation letters will be initiated on Offender Based Tracking System (OBTS) DP36 screen. Once collection efforts resume, automatic billings will resume.
IV. Payments

CCOs/staff are to accept or receive LFO payments only per policy based upon state auditor’s guidelines.

V. Supervision Fees

A. Monthly supervision fees will be assessed for the period of community supervision, community placement, community service, parole, From Other State (FOS), and gross misdemeanant/misdemeanant supervision.
1. The assessment of supervision fees is suspended for any period of time an offender lives out of state and is supervised by another state.

2. Offenders having a felony or FOS cause and a misdemeanor cause will be assessed for both causes.

3. As of August 1, 1998, if the gross misdemeanor/misdemeanor is part of a split judgment and sentence (i.e. the offender has a felony judgement and sentence and a gross misdemeanor/misdemeanor judgement and sentence with the same cause number in the same county) the offender will only be assessed on the felony component of the cause not the misdemeanant component unless the felony component is not assessable in a given month.
B. Annual supervision fees will be assessed in lieu of monthly fees when all of the following conditions are met.
1. Sentenced on or after July 28, 1991,
2. Placed on monetary status on or after May 1, 1993,
3. The COS requirement was not waived by either Department staff or the ISRB prior to March 1, 1993, and
4. The COS requirement was not waived at any time by the court.
C. The annual COS assessment is made at the end of each 12 month period the offender is under monetary supervision only.

VI. Failure to pay Cost of Supervision

A. CCOs will not recommend to the court that an SRA discharge be granted if there are outstanding supervision fees owing the Department.
1. A recommendation of unsuccessful termination will be made to the Court, 90 days prior to the end of the 10 year monetary supervision period, or at any time in cases where the payment of supervision fees to the Department is the only outstanding sentence condition.
DEFINITIONS:

Words/terms appearing in this Policy Directive may be defined in the Glossary section of the Policy Directive Manual.

ATTACHMENTS:

None

DOC FORMS (See Appendix):

DOC 05-530 Notice of Payroll Deduction

DOC 05-533 Order to Withhold and Deliver-Entity

DOC 05-534 Order to Withhold and Deliver-Employer

DOC 09-043 Wage Assignment Order
  #9  
Old 05-30-2006, 11:32 AM
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Default 210.025 Gate Money/Transportation Funds

TITLE GATE MONEY/TRANSPORTATION FUNDS

SUPERSESSION:
DOC 210.025 effective 10/1/85; DCC 300.320 effective 02/28/95; MG 300.400 effective 3/15/95

REFERENCES:

DOC 100.100 is hereby incorporated into this Policy Directive; RCW 72.02.100

POLICY:

I. Gate money shall be provided upon request to offenders who are being released on an Indeterminate Sentence Review Board (ISRB) Order of Parole, discharged from custody upon expiration of sentence, or discharged from custody as a result of a court order.

II. Designated facility staff shall authorized payment for transportation by the least expensive method of public transportation, not to exceed the cost of $100 for offender eligible per RCW 72.02.100.

DIRECTIVE:

I. Gate Money

A. Offenders serving Sentencing Reform Act (SRA) partial confinement sentences, or partial confinement as a condition of probation, parole, or sanction for violations of community custody are not eligible for gate money.

B. Staff may approve gate money in the amount of $40 for eligible offenders unless the offender has sufficient funds to assume subsistence costs.

C. Up to an additional $60 may be made available for necessary personal and living expenses to offenders paroling to release. The application and need for additional funds should be documented in the offender’s pre-parole/transition plan. The funds require the approval of the Community Corrections Officer and the approval should be documented in the pre-parole/transition plan investigation.

II. Transportation Funds

A. Designated facility staff may authorize payment for an eligible offender’s transportation by the least expensive method of public transportation, not to exceed the cost of $100.

B. Transportation funds shall be used to provide for transportation to the offender’s residence, or the residence designated in the offender’s approved release plan, or to the place from which committed if there is no known residence.

C. Offenders eligible for transportation funds include:
1. All offenders eligible for gate money;
2. Community custody violators (i.e., Community Custody Inmate (CCI), Community Custody Jail (CCJ), and Community Custody Prisons (CCP) violators) who are etermined to be indigent; and
3. Reinstated parolees who are determined to be indigent.
4. Offenders transitioning with the assistance of a Risk Management Intensive Transition (RMIT) Team shall have pre-approved transportation arrangements as developed by the team.
III. Payment Voucher

A. For Work Release facilities, staff shall forward the payment voucher to the Regional Business Office at least 30 days prior to release.

DEFINITIONS:

Words/terms appearing in this Policy Directive may be defined in the Glossary section of the Policy Directive Manual.

ATTACHMENTS:

None

DOC FORMS (See Appendix):

None
  #10  
Old 05-30-2006, 11:32 AM
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Default 210.060 Donations

TITLE DONATIONS

SUPERSESSION: DOC 210.060 effective 11/7/85

REFERENCES:

DOC 100.100 is hereby incorporated into this Policy Directive; DOC 200.200 Offender Welfare/Betterment Account; State Administrative Accounting Manual (SAAM)

POLICY:

I. The Department shall solicit and receive donations in a manner that will serve the best legal interests of the donor and the Department and determine that the donation and/or its restrictions are compatible with state ethics laws, Department interests, policies, and operations. Donations shall be handled in compliance with SAAM.

II. Usefulness, availability of storage space, and potential security risks of proposed donations shall be considered prior to acceptance.

DIRECTIVE:

I. General

A. Donations must be reviewed and approved in writing by the appropriate facility/office authority or designee prior to acceptance.
1. For Facilities, by the Facility Superintendent/Community Corrections Supervisor (CCS).
2. For Field Offices, by the CCS.
3. For Region Offices, by the Regional Administrator.
4. For the Office of Administrative Services or Office of Correctional Operations in Headquarters, by the appropriate Deputy Secretary.
5. For the Office of the Secretary, by the Secretary.
B. How donations are used may be restricted or unrestricted by the donor. Donors should be requested to specify at least a general purpose for the donation.
1. When no purpose is specified, donations may be accepted and the facility/office authority shall determine how the donation will be used.
II. Monetary Donations

A. Monetary donations shall be deposited to the Offender Betterment Fund if the donor:
1. Has not specified a restriction, or
2. Has provided some clear indication but has essentially unrestricted the use of the funds.
B. Monetary donations for which the donor has indicated a relatively specific purpose (e.g., for the benefit of Washington State Penitentiary offenders or the WCCW dog training program) may be deposited to the appropriate account of the Offender Betterment Fund.

III. Receipt of Donations

A. Staff receiving requests to donate items or funds shall ensure DOC 21-966 Donation Approval Request is completed and approved by the appropriate facility/office authority.

B. If the donation is approved, staff receiving the donation shall ensure DOC 21-162 Receipt of Donations is completed and distributed.

C. The Local Business Advisor/Assistant Regional Business Manager or designee is responsible for:
1. Determining if the donation meets the requirements of DOC 235.000 Fixed Asset Inventory or DOC 235.010 Consumable Assets Inventory and should be included in the inventory, and
2. Maintaining documentation of donations received.
D. The receipt of donations shall be acknowledged in a timely manner by letter from the facility/office authority.
1. The letter shall:
a. Express appreciation for the donation,
b. Describe the donation, and
c. Document the date received.
2. With the exception of cash donations, the letter shall not state or confirm the dollar value of the donation.
IV. Donations for Non-Department Use

A. Programs that receive and process donations for non-Department use, such as the Free Materials Distribution program, must be approved by the Secretary.
1. The Secretary may assign a handling fee for donated materials passed on to the non-Department recipients.
2. Handling fees, less direct costs, will be deposited in the Offender
Betterment Fund.
DEFINITIONS:

Words/terms appearing in this Policy Directive may be defined in the Glossary section of the Policy Directive Manual.

ATTACHMENTS:

None

DOC FORMS (See Appendix):

DOC 21-162 Receipt for Donations
DOC 21-966 Donation Approval Request
  #11  
Old 05-30-2006, 11:33 AM
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Default 240.100 Food Services Program

TITLE FOOD SERVICES PROGRAM

SUPERSESSION: DOC 240.100 effective 5/13/03

REFERENCES:

DOC 100.100 is hereby incorporated into this policy directive; RCW 43.19; WAC 246-215; WAC 246-217; ACA 4-4314; ACA 4-4315; ACA 4-4317; ACA 4-4318; ACA 4-4319; ACA 4- 4320; ACA 4-4322M; ACA 4-4324M; ACA 4-4325; ACA 4-4326; ACA 4-4328; ACA 4A-01; ACA 4A-02; ACA 4A-03; ACA 4A-04; ACA 4A-06; ACA 4A-07; DOC 400.025 Identification Cards; DOC 560.210 Religious Freedom for Offenders; DOC 610.240 Medical Diets; DOC 670.005 Health Care Screening for Offender Food Service Workers

POLICY:

The Department will provide facility food service programs that monitor costs and provide cost effective, healthy, and quality meals to staff and offenders in compliance with health and safety requirements.

DIRECTIVE:

Offender Meals for Prison and Pre-Release

Offender meals will be prepared and served under the direct supervision of staff, with an effort made to minimize regimentation; however, physical structure, security concerns, facility schedule, and need for offender supervision will determine how dining halls are operated. [4-4326]

Food served will meet temperature and food quality standards. Meals will meet nutritional guidelines. [4-4317]

Food will not be used as a disciplinary measure. [4-4320]

At least 3 meals, 2 of them hot, will be provided at regular times during each 24-hour day, with no more than 14 hours between the evening meal and breakfast. [4-4328]

Holiday, weekend, and religious variations are allowed as long as basic nutritional goals are met. [4-4328]

When an emergency requires a deviation from normal feeding, the reason and the alteration of planned meals must be documented. Every effort will be made to provide at least one hot meal every day.

Purchases for Prison and Pre-Release

Purchases will be made in compliance with the purchasing and accounting requirements of the Office of State Procurement, Department of General Administration, and RCW 43.19. When purchasing supplies and equipment, wholesale and favorable prices should be considered when possible. [4-4314] DOC 04-111 Checklist for Kitchen Equipment Purchases will be used.

There is a central menu planning process, monitored by the Department Food Program Manager, which considers food costs, dietary requirements, and offender preferences to assist in determining the facility food service budget. [4-4314]

[4-4317] The Department Food Program Manager and/or a Registered Dietitian will prepare and send the General Menu Guide to Facility Food Managers to assist in estimating facility food service requirements. [4-4314] The guide, which will be used to determine the budget for food supplies and to purchase and document meals, will include:

Portions for each meal,

Daily meal plans,

Weekly Menu at a Glance sheets for mainline, vegan, and Kosher,

Nutritional analysis,

Ordering guide, and

Religious, Cultural, and Diversity Observances Guideline.
  #12  
Old 05-30-2006, 11:34 AM
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Default Kitchen Sanitation Checklist

Kitchen Sanitation Checklist
  #13  
Old 05-30-2006, 11:35 AM
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Default 260.050 Research Review and Use

TITLE RESEARCH REVIEW AND USE

SUPERSSESION: DOC 260.050 effective 3/2/01

REFERENCES:

DOC 100.100 is hereby incorporated into this Policy Directive; ACA 3-4068; ACA 3-4106; ACA 3-4108; ACA 3-4109; ACA 3-4110; ACA 3-4373M; ACA 4C-20; ACA 7D-12; Code of Federal Regulation – Title 45, Part 46, U.S. Department of Health and Human Services; DOC 280.510 Public Disclosure of Records; Department’s Research Review Procedures Packet

POLICY:

I. Planning and implementation of policies, practices, and programs should reflect the most current information available from the research and practice literature or from operational studies and program evaluations. [3-4106]

II. Research shall be in compliance with professional and scientific ethics and with state and federal guidelines for the use and dissemination of research findings. [3-4108] 7D12]

III. Research projects designed and conducted by outside professionals will be encouraged. [3-4106]

IV. No facility, community corrections office, or Headquarters unit shall permit or participate in the conduct of research unless the plans or protocols for such research have been reviewed according to Department guidelines and approved by the Secretary/designee.

V. The Department is responsible for safeguarding the rights and welfare of persons under its legal jurisdiction and its employees who potentially could serve as subjects in research directed, sponsored, or approved by the Department or whose personal records are disclosed for the purpose of such research.

DIRECTIVE:

I. General Requirements

A. The Planning and Research Section shall coordinate and assist in the conduct of research projects, as well as conduct research, program evaluations, and operational studies.

B. The Office of Correctional Operations shall coordinate the Research Review process.

C. The Research Advisory Board, composed of facility, field, and management staff, along with the Planning and Research Section, will develop research recommendations and priorities and review research requests.

D. Department staff and outside professionals will follow confidentiality requirements of DOC 280.510 Public Disclosure of Records when conducting and responding to research requests. [3-4068]

E. Staff working with external research project teams will conduct the collection of operational data as outlined in the research design approved by the Research Review Committee.

F. The results of research conducted by outside professionals will be distributed to assure that relevant results may be applied to practice in a timely manner. [3-4106] [3-4108]

G. [3-4106] Staff will use relevant research in the development of new programs. Staff will consult with the Planning and Research Section at the initial stages of program planning, to foster development of research-based programs that are proven to work and to help set performance measures that will aid in program evaluation.

II. Initiation of Internal Requests for Research, Evaluations, or Operational Studies

A. [3-4108] Any facility/office may initiate a research request. Staff will send requests to the Superintendent/Office Supervisor or designee for review and approval. [7D-12] [3-4109] Approved requests will be forwarded to the Secretary/designee for approval.

B. Once a request for a formal research project is approved by the Secretary/designee, the facility Superintendent/Office Supervisor or designee will appoint a staff member to be responsible for: [3-4108]
1. Working with the Research Review Coordinator to have the research design reviewed by the Research Review Committee to ensure compliance with Department Policy Directives; and
2. [7D-12] Providing a final report, through the Superintendent/Office Supervisor or designee, to the Planning and Research Section.
a. The Superintendent/Office Supervisor shall review and comment on research projects before they are disseminated or published.
C. Initiation of operational studies by operational units is encouraged. The Planning and Research Section may provide technical assistance to operational staff who are planning studies. The Planning and Research Section should be informed of the plans for and/or results of such studies. While operational studies will generally have explicit objectives and formal procedures designed to reach those objectives, they will not require the disclosure of personal record information which is not a matter of public record.

III. Planning and Research Section Responsibilities

A. Coordinate and provide direction in the completion of operational studies.

B. Assume a leadership role in research activities related to the development
of program and/or operation goals and outcomes.

C. Train staff on findings of, interpreting, and applying research.

D. Maintain a Research Library at Headquarters and support efforts to make information readily available to staff. [3-4108]

E. Routinely provide statistical reports on the offenders under the Department’s jurisdiction and on selected programs.

F. Collaborate and assist in conducting research by outside professionals.

G. Contract with outside professionals to conduct research.

H. Design and carry out research studies.

IV. Rights and Use of Human Subjects

A. [4C-20] Under no condition will the Department allow human subject research of a bio-medical experimental or psychological nature to include but not limited to: [3-4373]
1. Aversive conditioning;
2. Psychosurgery; and
3. The application of a cosmetic substance being tested prior to sale to the general public.
B. This does not preclude individual treatment based on an offender’s need for a specific medical procedure that is not generally available. [4C-20] [3-4373]

C. [7D-12] [3-4110] Offenders may volunteer for participation in non-medical, non-pharmaceutical, and non-cosmetic research. There will not be any reward, favor, reduction of time, or any other benefit, either written or implied, for participation in research by staff or offenders under the legal jurisdiction of the Department. There will not be any negative sanctions imposed on either staff or offenders under the legal jurisdiction of the Department for refusing to participate in research.

D. The review of research shall determine that:
1. The rights and welfare of persons are adequately protected;
2. Risks to individuals are minimized and are outweighed by the potential benefits to them or by the knowledge to be gained; and
3. The proposed project design and methods are adequate and appropriate in relation to stated project purposes.
E. The Department’s Research Review Procedures Packet will be used by those who wish to conduct research and is available through the Headquarters Research Review Coordinator in the Office of Correctional Operations.

DEFINITIONS:

The following words/terms are important to this Policy Directive and are italicized, and defined in the Glossary section of the Policy Directive Manual: Operational Studies, Research Review Committee, Statistical Reports. Other words/terms appearing in this Policy Directive may also be defined in the Glossary.

ATTACHMENTS:

None

DOC FORMS (See Appendix):

None
  #14  
Old 05-30-2006, 11:36 AM
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Default 280.510 Public Disclosure of Records

TITLE PUBLIC DISCLOSURE OF RECORDS

SUPERSESSION: DOC 280.510 effective 3/30/01

REFERENCES:

DOC 100.100 is hereby incorporated into this Policy Directive; RCW 4.24.550; RCW 9.94A; RCW 9.94A.030; RCW 10.97; RCW 40.24, RCW 42.17; RCW 70.02, 24, 28; RCW 96A.150; RCW 71.05, 09; WAC 137-08, 70; WAC 248-100; WAC 275-55-020; ACA 4-4098; ACA 7D-11; Governor’s Executive Order 00-03; DOC 590.500 Legal Access for Offenders; DOC 640.020 Offender Health Record Management; DOC 804.005 Personnel Files; FBI Order 556-73

POLICY:

I. The Department shall establish a process for the Department to respond to requests for the disclosure of public records pursuant to RCW 42.17. This Policy Directive does not apply to discovery requests made in conjunction with litigation, subpoenas, or other legal pleadings.

II. The handling, maintenance, and privacy of public records shall meet the requirements of RCW 42.17, RCW 10.97, WAC 137-08, and Governor’s Executive Order 00-03.

III. All public records shall be made available for public inspection and copying unless the records are exempt under federal or state law; or providing facilities for copying would unreasonably disrupt the operations of the Department; or inspection would excessively interfere with essential functions of the Department.

IV. Non-disclosure of material may only occur per statutory exemptions.

DIRECTIVE:

I. Responsibility

A. The Public Disclosure Administrator (PDA), located in the Office of Administrative Services (OAS) Contracts, Rules, and Disclosure Section shall:
1. Coordinate the appropriate response to public records requests through designated Public Disclosure Coordinators (PDC);
2. Ensure Department wide procedures for processing requests for public records and a public disclosure manual are up-to-date;
3. Provide training to Department designated staff, in conjunction with the Attorney General’s (AG) Office;
4. Coordinate with the AG’s Office as needed;
5. Act as the Department’s final level Appeals Officer per RCW 42.17.130; and
6. Maintain a current list of PDCs.
B. PDCs shall be designated as follows:
1. For each prison and pre-release by the Superintendent;
2. For each region by the Regional Administrator (RA);
3. For the Office of Correctional Operations (OCO) Headquarters by the OCO Deputy Secretary;
4. For the Office of Administrative Services (OAS) Headquarters by the OAS Deputy Secretary; and
5. For the Office of the Secretary (OS) by the Secretary.
C. The PDCs shall:
1. Be responsible for the implementation of the public disclosure procedure or refer the request as appropriate.
2. Update local procedures for processing requests for public records and maintain an updated public disclosure manual.
3. Attend statewide training and provide training to appropriate staff in their local area.
4. Coordinate with the PDA, other PDCs, AG’s Office, and others involved in the disclosure process as needed.
5. Track the receipt and disposition of public disclosure requests.
II. Public Disclosure Requests
A.
B.
C.
D.

III.
A.
B.
All requests for public records shall be made in writing, which includes FAX, electronic mail, or DOC 05-066 Request for Disclosure of Records to the designated PDC. The request shall include the following information:
1. Name and return address of the person requesting the record;
2. The date of the request;
3. The specific documents requested; and
4. Whether those specific public records have previously been or are currently being requested from the Department by the requestor, and if so, when and to whom the request was submitted.
Offender requests for copies of public records, other than their central file, shall be made in writing to the PDC at the facility where they are incarcerated or the region in which they are supervised. Offenders should complete DOC 05-066 Request for Disclosure Records.

An offender may request to inspect his/her central file by completing and submitting DOC 05-066 Request for Disclosure Records to the facility/local Records Unit. The review will be accomplished in the presence of designated staff in a timely manner.
[4-4098] [7D-11]

Incarcerated offender requests to examine or obtain a copy of information in his/her health record shall be handled per DOC 640.020 Offender Health Record Management.

Within 5 business days of receipt of a request, Department staff shall respond in writing by:
1. Providing the record through either inspection or copying; or
2. Acknowledging receipt of the request and providing a reasonable estimate of the time needed to respond; or
3. Denying the request. The Department’s response denying, in whole or in part, the request shall identify any record withheld and shall include a statement of the specific exemption authorizing the withholding of the record, or any part, and a brief explanation of how the exemption applies to the specific record withheld; or
4. Acknowledging the receipt of a public records request that is unclear, and asking the requestor to clarify the information the requestor is seeking. If the requestor fails to clarify the request, the Department need not respond further.
Additional time may be needed for the Department to respond to a request based on the need to:
Responding to Requests
1. Clarify the request;
2. Locate and assemble the records requested;
3. Notify third persons affected by the request; or
4. Determine whether any of the records, or any part, are exempt from disclosure.
C. After compiling records in response to a request, Department staff shall notify the requestor of the exact copying charges for the requested records. Copying charges are specified in WAC 137-08-110. Payment must be received in the form of a check, money order, or an offender transfer fund form before the copies will be sent.

D. No fee shall be charged for the inspection of public records or for locating public records.

E. With the exception of offender central file requests, all responses to public records provided in response to public records requests made by incarcerated offenders shall be mailed to the requestor through the United States mail. Per RCW 42.17.270 and RCW 42.17.290, incarcerated offenders shall not be permitted to inspect public records except for:
1. Their own central file, and
2. Their own health care record as provided in section II.D of this policy.
F. Requests by incarcerated offenders for copies of legal pleadings and exhibits being submitted to the court and opposing party regarding current conviction, conditions of confinement, and/or challenges to the offender’s sentence shall be handled per DOC
590.500 Legal Access for Offenders.

IV. Appeal Process

A. If the requestor disagrees with a decision to deny the request, or any part, the requestor may appeal to the PDA for review of the decision. The PDA shall review the appeal and affirm or reverse the denial within 2 business days following receipt of the appeal.

B. Final agency action for the purposes of judicial review shall not be considered to have occurred until the PDA has rendered his/her decision on the appeal or until the close of the second business day following receipt of the appeal, whichever occurs first.

C. Any further appeal shall be made to the Superior Court per RCW 42.17.340.

DEFINITIONS:

The following words/terms are important to this Policy Directive and are italicized and defined in the Glossary section of the Policy Directive Manual: Public Record. Other words/terms appearing in this Policy Directive may also be defined in the Glossary.

ATTACHMENTS:

None

DOC FORMS (See Appendix):

DOC 05-066 Request for Disclosure Records
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Old 05-30-2006, 11:38 AM
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Default 280.925 Offender Access to Electronic Data

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  #16  
Old 05-30-2006, 11:39 AM
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Default 290.100 Patents, Copyrights, and Royalties

TITLE PATENTS, COPYRIGHTS, AND ROYALTIES

SUPERSESSION: DOC 290.100 effective 8/1/90

REFERENCES:

DOC 100.100 is hereby incorporated into this Policy Directive; U.S. Code, Title 17; U.S. Code, Title 35; DOC 200.000 Trust Accounts for Offenders

POLICY:

I. The Department has guidelines to clarify the respective rights of offenders and the Department to materials which can be patented or copyrighted. This Policy Directive defines the types of materials which should be designated as Department-sponsored, establishes procedures for administering policy concerning these materials, and establishes policy governing their ownership, use, and rights to income produced.

DIRECTIVE:

I. Determination of Department Sponsorship

A. Department sponsorship means that the offender has employed, without personal charge, the equipment, facilities, materials, or staff services of the Department in developing and producing a work.
1. If a work will place an extraordinary burden on space, equipment, or staff, the offender must have the Superintendent’s permission.
B. Any offender who has a particular project s/he is preparing or is planning to prepare that could be considered Department-sponsored shall initiate a written inquiry to the Superintendent prior to starting the project.

C. The Superintendent shall advise the offender within 14 days whether a work shall be regarded as Department-sponsored.
1. If permission is obtained, the offender shall contact the Copyright and Patent Officer, who is appointed by the Office of Correctional Operations (OCO) Deputy Secretary.
2. If permission is not granted by the Superintendent, the decision may be appealed by letter to the Copyright and Patent Officer.
a. The appeal may not be pursued through the Offender Grievance Program.
3. The offender must agree with this decision, in writing, prior to the beginning of a work. The offender shall forward a copy of the proposal and the offender’s agreement to the Copyright and Patent Officer.
D. When a Department-sponsored work is completed, the offender shall notify the Copyright and Patent Officer in writing before applying for a copyright or patent.
1. The Copyright and Patent Officer shall either authorize or deny the offender’s request to apply for a copyright or patent.
2. If the Copyright and Patent Officer does not authorize application for the patent or copyright, the offender shall have no further claim to any rights in a work produced.
II. Works Subject to Copyright and Patent

A. Works subject to copyright may include:
1. Books, journal articles, texts, glossaries, bibliographies, study guides, laboratory manuals, syllabi, tests, and proposals.
2. Lectures, musical or dramatic compositions, and unpublished scripts.
3. Films, film strips, charts, transparencies, and other visual aids.
4. Video and audio tapes and cassettes.
5. Live video or audio broadcasts.
6. Programmed instruction materials.
7. Computer programs.
8. Other materials.
B. Works subject to patent may include any:
1. Invention,
2. Discovery,
3. Dissertation, or
4. Research results.
III. Ownership of Rights

A. The Department shall have full ownership of rights of Department-sponsored works. The Department may copyright or patent such works when it appears that it will be in the best interest of the Department and the offender.

B. The Department has no claim to works that have not received Department-sponsorship.

C. The Department shall not be required to accept ownership of a copyright or patent.

IV. Royalty Distribution

A. Prior to any royalties being generated, the Copyright and Patent Officer shall make a decision regarding the allocation of royalties for a Department-sponsored work. Decisions shall be in writing and should, when possible, be written at the time the decision is made that a work will have Department-sponsorship.

B. Income from sales or rentals of a Department-sponsored work should comply with the following guidelines pertaining to financial arrangements.
1. For each copyright or patent, any income/royalties received shall first be applied to any extra direct costs or any special cost outlay incurred by the Department. If there is a question about the amount of any extra direct costs, it shall be decided by the Copyright and Patent Officer. This decision may be appealed by letter to the OCO Deputy Secretary.

2. After noted costs are fully recovered by the Department, the next $250 of income/royalties shall be allocated directly to the offender, following which any income shall be divided between the Department and the offender based on the agreement reached at the time it was determined there would be Department sponsorship or, lacking such prior determination, on an equal basis.

3. Any and all subsequent incremental expenses related to production and/or distribution of additional copies of a work shall be recovered from the offender’s share of future sales or rentals.

4. All income/royalties to the Department shall go into the appropriate VISA account or offender betterment fund as determined by the Copyright and Patent Officer. All royalties to the offender shall be handled per DOC 200.000 Trust Account for Offenders.
V. Protection and Liability

A. The Department may investigate allegations of unauthorized use or infringement of materials with Department sponsorship and take appropriate action.
1. The Department shall bear all costs if it initiates such action.
2. All proceeds in excess of such costs and extra direct costs shall be shared by the Department and the offender on the same basis as if it were royalties.
3. The Department is not required to pursue any alleged or actual violation.
DEFINTIONS:

Words/terms appearing in this Policy Directive may be defined in the Glossary section of the Policy Directive Manual.

ATTACHMENTS:

None

DOC FORMS (See Appendix):

None
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