WHAT IS OBJECTIVE JAIL CLASSIFICATION? GUIDING PRINCIPLES OF OBJECTIVE JAIL CLASSIFICATION

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1 WHAT IS OBJECTIVE JAIL CLASSIFICATION? A formal process for separating and managing inmates and administering facilities based upon agency mission, classification goals, agency resources and inmate program needs. The process relies on trained classification staff, use of reliable and valid data, and conducting process assessment and outcome evaluation. Reliable GUIDING PRINCIPLES OF OBJECTIVE JAIL CLASSIFICATION Reflects the degree of consistency in decision-making among classification staff; Valid Reflects the degree of prediction attributed to classification instruments; Security Reflects the architectural design and staffing resources provided by the facility-protection of the community and the public; Custody Reflects the level of supervision the inmates require based on the classification score or decision point - protection for staff and inmates from themselves and others within the facility; Equitable Produces classification decisions that are even-handed, justifiable and defendable; Easily used Uncomplicated for staff to understand and use Behavior based Recognized behavior (past and present) as a primary predictor of risk to security, self, others, and the community; Least restrictive housing Promotes efficiency of operations and maximizes existing facility resources in light of custody and security requirements; Programs based upon needs Inmate programs should be selected and evaluated (if offered) based upon valid and reliable data made available by the objective jail classification system.

2 Agency mission statement OBJECTIVE JAIL CLASSIFICATION SYSTEM COMPONENTS Sheriffs agencies or departments of corrections may have an overall mission statement. If so, the OJC goals should be consistent with the statement (i.e., an agency mission statement is not mandatory in order to have an OJC system). Classification goals and objectives Clearly stated expectation of what the OJC system is expected to achieve for the jail, (e.g., reduced inmate violence, reduced escapes, reduced facility vandalism, reduce unnecessary inmate movement, proper inmate program assignments). Classification policy and procedures Concise statements of what tasks are required to complete all steps of classifying an inmate. Identify which staff persons are responsible for completing the tasks and how the tasks are to be completed; Risk Assessment Instruments Data dictionary Initial screening - first step in collecting information during booking - looking for life safety, security, and obvious health concerns Initial custody - conduct primary classification based upon verified objective data, prior to placement in inmate housing Needs assessment - screens inmates for program needs and services, inside or outside the facility (optional) Override - reflects those cases in which staff recommend a departure from the scored classification level (i.e., not a free-standing instrument - included on the initial custody form). In general, classification systems should produce an override rate of no more than 15%. The distribution of these overrides should be evenly balanced (50% upward and 50% downward). Reclassification - reconsider classification status of inmates generally after a period of time (e.g., 30 to 90 days.) Jail behavior and other established variables may be considered to possibly change the inmate's classification. Change in classification may affect housing assignments, program eligibility, etc. Definitions of data elements, abbreviations, codes, etc. Inmate housing plan The housing plan describes where each custody level of the inmate population is housed in the facility. Remember that maximum and minimum custody inmates must be housed separately, and that the custody level of the inmates may not exceed the construction level of the housing in which they are placed (e.g., you cannot house a maximum custody inmate in a dorm built to medium or minimum security).

3 Staff training Staff must be trained on the principles, procedures and instruments of OJC for assessments, housing assignments, reassessments and inmate needs. Process evaluation or assessment Prescribed tasks and responsibilities designed to ensure that all tasks and functions of the OJC process are achieved in a proper and timely fashion. Management reports A database that includes the critical elements necessary to produce essential management reports and information required to establish jail program policies, facility planning, agency budgets, inmate programs, human resources needs, etc.

4 POINT ADDITIVE SCALES VERSUS DECISION TREES These are the two OJC systems approved for use in Texas. No strong guidelines can be given regarding the relative merits of the two approaches. Preferences among jail staff for either approach vary. Some pertinent issues include: Predictive Accuracy There is no clear advantage to either method in terms of making accurate predictions. New research work may be required to investigate this issue. Organizational Flexibility Both methods can produce differing numbers of categories (3, 4, 5, 6, etc.). This choice depends on how many categories a facility wishes to use and how best to coordinate the inmate categories with available bed space. Again, both methods are flexible and can be tailored to meet the requirements of the particular facility. Legal Issues Both methods appear to equally comply with the legal requirements of objective data, rational decision rules, clarity, and logic. Face Validity/Ease of Understanding Decision trees are generally more "face valid" and intuitive. Thus, if staff resistance, staff training, and staff "understanding" of the classification system are prioritized, then the "decision tree" approach may be preferred. Ease of Use If the classification system being used is not computerized, then the "decision tree" approach may again be preferred, since it does not involve arithmetic and is easier to use. However, if the system is computerized, then the level of arithmetic is irrelevant, and there may be little difference between the two approaches. Note that if a computerized version of the Decision Tree is to be used, it must be purchased from Northpointe (see page 79, paragraph 1 B). Vulnerability to Erroneous Data Both methods are highly vulnerable to errors in the risk factors, although they are vulnerable in different ways. Decision trees will provide totally wrong classification assignments when there are errors in the yes/no responses (risk factors) used early in the process. Point scales are vulnerable if there are errors in those risk factors that receive high point values (e.g., past violent convictions, escape attempts, etc.). They are relatively immune to errors in risk factors that receive small point values (e.g., social stability factors). Clarity of the Classification Categories The decision tree assigns inmates to categories that are clearly defined by splits on the tree. There is high precision and little ambiguity in the meaning of each category. The point scale, by contrast, especially if there are only three levels (maximum, medium, and minimum), produces categories that are quite ambiguous. There are several ways an inmate could obtain the points needed for the maximum or medium categories. Thus, if clarity of meaning and unambiguous definitions are important, the decision tree may be the preferred alternative.

5 THE ADVANTAGES OF AN OBJECTIVE JAIL CLASSIFICATION SYSTEM Regardless of its size and complexity, a jail s primary responsibility is to safely and securely detain all individuals remanded to its custody. Classification is an essential management tool for performing this function. By definition, classification is the process of placing things or people into classes according to some rational idea or plan. A good system of classifying inmates will reduce escapes and escape attempts, suicides and suicide attempts, the unnecessary incarceration of non-threatening prisoners, and unwarranted inmate-on-inmate assaults. All of these outcomes conserve valuable resources by reducing expenditures for legal fees and court costs, overtime pay, and medical expenses. Moreover, inmate classification can lead to more effective jail operations and more consistent decision making regarding the assignment of inmates to appropriate custody levels. An effective classification system is one that meets its identified goals and objectives while adhering to the fundamental principles of inmate management. A consistent classification system is one that facilitates the same classification and screening conclusions among all classification staff and assures fair and equitable processing of the inmates. Effective and objective classification systems will save money by moving inmates inappropriately held in highly secure, costly housing to less secure, less expensive settings. Consistent classification allows for the redistribution of personnel according to the custody requirements of inmates, which permits better daily administration and crisis management. However, it is not reasonable to expect classification, by itself, to reduce the level of staffing needed in jail facilities. The advantages of an objective system go beyond those associated with cost savings and improved management. An effective classification system will also provide: Standardized inmate custody profile information and other inmate-specific data, in support of ongoing management, planning and policy development; Improved security and control of inmates by identifying and providing surveillance for the appropriate group, and by assisting the corrections staff in knowing what kind of inmate is where; Assistance in the effective use of personnel based on an understanding of inmates differing program and custody needs; Information for monitoring and evaluating program goals; Assistance in population management by identifying those inmate groups who may be eligible for various release programs, and by helping decision-makers project the level of security required for future bed space needs. Objective inmate classification contributes to efficient jail operations. Information about the inmate is collected and a program is developed based upon custodial requirements and the inmate s needs. An orderly method is furnished for assessing the varied needs and requirements of each inmate, from commitment to release.

6 ISSUES IN IMPLEMENTING OBJECTIVE JAIL CLASSIFICATION Most jail classification systems may be categorized as either subjective or objective. When using the subjective approach, decisions are reached based upon the agency s correctional philosophy, the jail s physical design, and the inmate s own characteristics. The assumption underlying such systems is that experienced staff know the inmates and will make the most appropriate decisions. Problems arise because not all staff are experienced, they do not all possess equal ability to make classification decisions in a consistent or valid manner, and it is unlikely that staff know all inmates well enough to classify them accurately. Objective systems employ standardized screening instruments and assessment tools to determine inmates custody and/or program needs. Completion of the forms leads to recommendations for custody designation and programming. The role of staff expertise and judgment is confined to agreement or disagreement with these recommendations. Objective classification systems are characterized by the following elements: Using test and classification instruments that have been validated for inmate populations; Using the same components and decision criteria approach with all inmates; Fostering similar decisions among classification staff on comparable cases; Assigning inmates to custody levels consistent with their background; Structuring classification decision-making authority while minimizing overrides; and Limiting discretionary decision-making to ensure uniformity in agency operations and minimizing the potential for unfavorable litigation.

7 T C J S - STANDARDS CLASSIFICATION AND SEPARATION OF INMATES CHAPTER Objective Classification Plan (a) Each sheriff/operator shall develop and implement an objective classification plan approved by the Commission by January 1, The plan shall include principles, procedures, instruments and explanations for classification assessments, housing assignments, reassessments and inmate needs. Plans utilizing an objective classification system shall be submitted and approved by the Commission. The following principles and procedures shall be addressed: (1) inmates shall be classified and housed in the least restrictive housing available without jeopardizing staff, inmates or the public, utilizing the following risk factors which include any or all of the following: (A) current offense or conviction; (B) offense history; (C) escape history; (D) institutional disciplinary history; (E) prior convictions; (F) alcohol and/or drug abuse; and (G) stability factors. (2) classification criteria shall not include race, ethnicity or religious preference; (3) custody levels and special housing needs shall be assessed to include minimum, medium and maximum custody levels and the placement and release of inmates to and from special units including protective custody, administrative separation, disciplinary separation and mental and medical health housing; (4) minimum and maximum custody level inmates shall be housed separately. All other custody level inmates should be housed separately. When under direct, visual supervision, inmates of different custody levels may simultaneously participate in work and program activities; (5) juveniles shall be separated by sight and sound from adults in accordance with the Family Code, 51.12; (6) female inmates shall be separated by sight and sound from male inmates. When under direct, visual and proximate supervision, males and females may simultaneously participate in work and program activities; (7) when housed together and separately from all other inmates, contracted TDCJ-ID and federal inmates may be classified solely by approved TDCJ-ID and federal classification policies and procedures, respectively. Housing units for contracted TDCJ-ID and federal inmates shall be approved by TDCJ-ID and federal officials, respectively, to ensure that the inmates custody level does not exceed the construction level of the assigned housing;

8 Classification and Separation of Inmates 271 (b) (c) (8) persons assigned to a detoxification cell shall be transferred to a housing or holding or holding area as soon as they can properly care for themselves; (9) the status of persons confined to a violent cell shall be reassessed and documented at least every 24 hours for continuance of status; (10) inmates who require protection or those who require separation to protect the safety and security of the facility may be housed in administrative separation. The status of inmates placed in administrative separation shall be reviewed and documented at least every 30 days for continuance of status. Inmates housed in administrative separation shall retain access to services and activities, unless the continuance of the services and activities would adversely affect the safety and security of the facility; and (11) single cells may be utilized for disciplinary or administrative separation. Inmates in administrative separation shall be provided access to a day room for at least one hour each day. Inmates in disciplinary separation shall be provided a shower every other day. The following classification procedures shall be conducted utilizing the approved classification instruments: (1) Intake Screening. To be completed immediately on all inmates admitted for purposes of identifying any medical, mental health or other special needs that require placing inmates in special housing units; (2) Initial Custody Assessment. To be completed on all newly admitted inmates prior to housing assignments to determine custody levels. (3) Custody Reassessment/Review. A custody reassessment shall be conducted within days of the Initial Custody Assessment and immediately upon any disciplinary action and/or change in legal status which would affect classification. A documented classification review to determine the necessity for a complete reassessment shall be conducted every days thereafter. A Needs Assessment Instrument may be used to assess the needs and qualifications of inmates for participation in vocational, educational, mental health, substance abuse and other treatment or work programs..2 Housing Scheme. Each sheriff/operator shall establish a housing scheme designating the construction security level (minimum, medium, maximum) of each facility, housing unit and bed. Custody level assignments shall not exceed the construction security level..3 Training. The plan shall provide that all staff whose duties include classification, shall undergo at least four hours of training on the principles, procedures and instruments for classification assessments, housing assignments, reassessments and inmate needs..4 Appeals. The plan shall provide that a documented appeals process shall be provided for classification assessments, housing, work and program assignments and reassessments..5 Validation. Prior to implementation, classification instruments other than those recommended by the Commission and documentation of validation shall be submitted for approval.

9 .6 Records. Records shall be maintained on classification assessments, housing, work and program assignments, reassessments and appeals..7 Audit. The plan shall provide that an annual, internal audit shall be conducted on the classification system. Audit records shall be maintained for Commission review. The audit shall assess the following features of the objective classification system: (1) inmates are classified prior to placement in inmate housing; (2) inmates are housed according to their assigned custody levels; (3) the override rate is acceptable; and (4) classification instruments are completed in an accurate and timely manner. DISCIPLINE AND GRIEVANCES CHAPTER Inmate Discipline Plan. Each sheriff/operator shall develop and implement a written disciplinary plan, approved by the Commission, governing inmate conduct. The plan shall provide for the firm, fair, and consistent application of rules and regulations. Facilities housing contracted TDCJ-ID inmates may adhere to TDCJ-ID disciplinary policies and procedures for these inmates, when they are housed together, and separately from all other inmates. Facilities housing federal inmates may adhere to federal disciplinary policies and procedures for these inmates, when they are housed together, and separately from all other inmates. For purposes of inmate discipline, violations of institutional rules and regulations shall be divided into Minor Infractions and Major Infractions. (1) Minor Infractions. Violations of rules and regulations which do not represent serious offenses against persons and do not pose a serious threat to institutional order and safety. Sanctions shall be limited to: (A) counseling; (B) verbal or written reprimand; (C) in podular, direct supervision facilities, temporary restriction to cells for a period not to exceed twenty-four hours; (D) loss of privileges for a period not to exceed fifteen days; and (E) disciplinary separation for a period not to exceed fifteen days. (2) Major Infractions. Violations of rules and regulations which constitute serious offenses against persons and property and pose a serious threat to institutional order and safety. Sanctions may include: (A) loss of good conduct credit; (B) loss of privileges for a period not to exceed thirty days; (C) removal from work details or programs; and (D) disciplinary separation for a period not to exceed thirty days. (3) Disciplinary Due Process Requirements. (A) (B) (C) provisions shall be made for a disciplinary hearing before a neutral and impartial board or officer which shall not include anyone involved in the claimed violation or charges; provisions shall be made for the selection of a disciplinary board and disciplinary officer. In facilities of 50 capacity or less, this may be one person. Disciplinary hearings may be conducted by a disciplinary officer for incidents defined as Minor Infractions; provisions shall be made for at least twenty-four hours written notice to be given to the inmate of the claimed violation or charges against him/her;

10 (D) provisions may be included for inmates to waive the right to a disciplinary hearing provided proper notification is given prior to the signing of the waiver. The waiver shall include the appropriate identification of charges, the allowable sanctions, and the sanctions offered by the waiver. A waiver shall not include the loss of good time as a sanction; (E) provisions shall be made for the disclosure of the evidence against the person charged with the violation, although confidential informants may be protected; (F) provisions shall be made for an opportunity to be heard in person and to present documentary defensive evidence when not unduly hazardous to institutional safety and correctional goals. (G) provisions shall be made for inmates to call relevant witnesses on his or her behalf for disciplinary hearings when not unduly hazardous to institutional safety and correctional goals; (H) provisions shall be made permitting the inmate to seek the aid of another inmate if the inmate is illiterate or where the complexity of the issue makes it unlikely that the inmate will be able to collect and present the evidence necessary for an adequate comprehension of the case. If that is not permissible, substitute aid from the staff or from an inmate designated by the staff should be provided; (I) provisions shall be made for a written statement by the disciplinary board or disciplinary officer at the conclusion of the hearing indicating the evidence relied upon and reasons for the disciplinary action taken. The statement shall be delivered to the inmate and the Sheriff/Operator and shall be placed in the inmate's disciplinary file; and (J) provisions shall be made for a documented appeals process, if requested by the inmate, by a person or persons not a member of the disciplinary board. (4) The following sanctions are prohibited: (A) deviation from normal feeding procedures; (B) corporal punishment; (C) administration of any form of disciplinary action or supervision by inmates; (D) deprivation of clothing or bedding; inmates who destroy bedding or clothing may be deprived of such items. This shall be reviewed and documented every twenty-four hours; (E) use of a violent cell; (F) deprivation of items necessary to maintain an acceptable level of personal hygiene; (G) deprivation of correspondence privileges when the offense is unrelated to a violation of the institutional rules and regulations regarding correspondence. In no case shall privileged correspondence be suspended; and (H) deprivation of physical recreation or physical exercise.

11 Discipline and Grievances Inmate Rules and Regulations. Every facility shall have prescribed rules and regulations governing inmate conduct. A copy of the institutional rules and regulations shall be made available to each inmate and read to illiterate inmates. A written acknowledgement by the inmate that the rules have been explained shall be retained. A translation shall be provided in an understandable language when necessary. The rules and regulations shall outline both Major and Minor Infractions, the types and ranges of possible sanctions for each category, due process requirements and specific procedures for filing a grievance. The rules and regulations, as provided to the inmate, shall be submitted to the Commission for approval..3 Inmate Grievance Plan. Every facility shall have and implement a written plan, approved by the Commission, for inmate grievance procedures. This plan shall be an administrative means for the resolution of grievances. It supplements, but does not replace any informal grievance procedure. Each plan shall: (1) provide for the selection of member(s) to constitute a grievance board. In facilities of 50 capacity or less, this may be 1 person. An inmate may also be a member; (2) provide details on what constitutes grounds for initiation of a grievance: (A) violation of civil rights; (B) criminal act; (C) unjust denial or restriction of inmate privileges; (D) prohibited act by facility staff. (3) provide maximum time limits not to exceed 60 days with interim response not to exceed 15 days for written replies by the grievance board; (4) provide for the expeditious handling of emergency grievances where delay could subject the inmate to personal injury or other damages; (5) provide safeguards to prevent reprisals against the inmate in the resolution of a grievance; (6) provide for meaningful relief of a substantiated grievance (i.e., reinstatement of good time, additional visitation privileges); (7) provide a documented appeals process if requested by the inmate by a person or persons not a member of the grievance board; (8) provide for the release of information to inmates and employees only when specifically approved by the sheriff/operator or designee.

12 New Information Contracted Inmates Reassessments Probation & Parole Violators Classification Interview

13 CONTRACTED INMATES Standards now allow contracted TDCJ-ID and Federal inmates to be classified according to TDCJ- ID or Federal classification policies, provided these inmates are all housed together and separate from all other inmates. TDCJ-ID and Federal officials must approve housing for their inmates, to ensure that their inmates custody level does not exceed the construction level of the assigned housing. Standards now also allow facilities housing contracted TDCJ-ID and Federal inmates to adhere to TDCJ-ID or Federal disciplinary policy, provided these inmates are all housed together and separate from all other inmates. REASSESSMENTS When conducting a reassessment, several considerations must be kept in mind. Since the original classification was based on objective information that is recognized and accepted by the courts, the reassessment must be an extension of the initial or primary classification. To do this, the reassessment should consider all of the objective criteria that was used during the first assessment in addition to any new information that may be available either due to the period of time that has elapsed since the last classification or by an incident or status change triggering the review. When this documented information is coupled with the previous classification information, it produces a fair and consistent on-going classification which will assist in the assessment of the inmate s potential for greater or lesser assaultive risk, greater or lesser risk for escape, an established pattern of non-compliance with facility rules and regulations, demonstrating an improvement in compliance with facility rules and regulations, and involvement or lack of involvement in needed self-help programs offered within the facility. Remember to review any identified detainers, warrants or holds to determine continued validity. Some of these may have been satisfied or determined to be of minimal seriousness, such as traffic warrants. Holds, detainers or warrants other than for the charges for which the inmate is incarcerated would typically not allow an inmate to be reclassified lower than medium custody. When considering reclassifying an inmate to minimum custody it is important to revisit the stability factors or family/ties employment information, as this may affect program eligibility. Those inmates having ties to the community may be more appropriate for certain programs, as may misdemeanants versus felons. The classification officer should ensure adherence to objective and fair standards while protecting staff, inmates, public safety and the security of the facility. A custody reassessment shall be conducted within days (select a regular time period within this range) of the Initial Custody Assessment and immediately upon any disciplinary action and/or change in legal status which would affect classification. Following this first reassessment, a documented classification review to determine the necessity for a complete reassessment shall be conducted within your regularly scheduled cycle (30 90 days). You need only to develop a form or method to document that these reviews have been conducted. A common suggestion is to staple a form to the inside cover of the classification file, with spaces for the date, the officer s initials, and notation to the effect that the review was conducted and no full reassessment was found to be necessary.

14 PROBATION & PAROLE VIOLATORS Point Additive: If the offender is brought in on a technical probation or parole violation with no new criminal charges, score it as a moderate (2 pts). Then consider the entire criminal history to identify the most severe conviction in the criminal history to score the offense history section. If there is a new criminal charge, determine the severity of this offense and score the most severe. Then consider the entire criminal history to identify the most severe conviction in the criminal history to score the offense history section. Decision Tree: A technical parole or probation violation will be considered non-assaultive (answer no); the probated or paroled offense will be considered in the second box (was it an assaultive felony or not?). If there is a new criminal charge, the question is whether or not the new charge is assaultive, and the second box will address the question of whether the probated or paroled offense was an assaultive felony. CLASSIFICATION INTERVIEW If you are not currently conducting classifications with face-to-face interviews, it is recommended that you consider implementing this procedure. The average time to classify with an interview is 15 minutes not a great deal of time, especially given that it helps to ensure accuracy. Interviews serve to provide the officer with information that is often not found in arrest reports and criminal histories, particularly information regarding community ties; i.e., family, employment. The more you know about your inmates, the better you ll be able to make accurate decisions about where they should be housed and what programs or privileges they should be provided. The interview will also add to the inmate s understanding of the process that determines his housing, work and program assignments.

15 ADDITIVE SYSTEM National Council on Crime and Delinquency NCCD Model

16 EXPLANATION OF INITIAL CUSTODY ASSESSMENT SCALE The Initial Custody Assessment Scale is used during initial classification to establish a recommended custody rating. The custody rating is based upon the numerical score assigned to seven risk factors. The seven risk factors are Severity of Current Offense/Conviction; Serious Offense History; Escape History; Institutional Disciplinary History; Prior Felony Convictions; Alcohol and/or Drug Abuse; and Stability Factors. 1. CUSTODY EVALUATION Items A, B and C are used to identify inmates who pose a serious risk to persons, property and institutional order and safety. An additive score of seven or higher in Items A, B and C automatically assesses a Maximum Custody Rating. A. SEVERITY OF CURRENT OFFENSE/CONVICTION Determine the most serious, current offense, detainer, warrant, or conviction by using the Severity of Offense Scale. If the offender is brought in on a technical probation or parole violation with no new criminal charges, score it as a moderate (2 pts). Then score the offense for which the probation or parole was granted in the Offense History section. If there is a new criminal charge, determine the severity of this offense and score the most severe. Again, the probated or paroled offense will be scored in the Offense History section. B. SERIOUS OFFENSE HISTORY Determine the most serious, prior conviction by using the Severity of Offense Scale. When determining prior convictions, consider the conviction a felony or misdemeanor, as reported, based upon the category of the convicted offense at the time it was committed. Note also that a probated sentence IS a conviction. C. ESCAPE HISTORY Consider any previous offenses of Escape from (Secured) Custody, Escape from Felony Arrest or Jail, to include attempts, and Unauthorized Absence from a Community Corrections Facility or Assigned Program, excluding current offense if scored in Item A (definition in CCP 38.06, Escape). Add the three scores assessed in Items A, B and C and enter the cumulative score in the subtotal box. An inmate scoring 7 or more points on sections A, B, and C shall be assessed as Maximum Custody. The total score will be 7, maximum custody. Note: the remaining items may be completed if the inmate scores 7 or more, but do not total the score. This information may then be considered on the reassessments.

17 Items D, E, F and G identify inmates who do not pose a serious risk to persons, property and institutional order and safety. D. INSTITUTIONAL DISCIPLINARY HISTORY Consider entire disciplinary history, where a finding of guilt has been assessed, including current incarceration. Minor Infractions involve violations of rules and regulations which do not represent serious offenses against persons and do not pose a serious threat to institutional order and safety. Major Infractions involve violations of rules and regulations which constitute serious offenses against persons and property and pose a serious threat to institutional order and safety. E. PRIOR FELONY CONVICTIONS Determine the number of prior convictions, excluding the current offense. This should include the last 5 years of street time. If juvenile felony conviction information is available, this should be included if they fall within the last 5-year period. Note that a probated sentence IS a conviction. F. ALCOHOL AND/OR DRUG ABUSE Determine whether substance abuse has led to emotional, social, economic and/or legal difficulties. The degree of personal disruption can provide insight. Self-reporting and prior arrest histories are the most frequent sources of information. G. STABILITY FACTORS Stability Factors provide an opportunity to lower the custody score. Add the scores in D, E and F, and subtract the score in Item G. Enter the sum in the subtotal box. Add the two subtotals and enter the cumulative score in the area designated COMPREHENSIVE CUSTODY SCORE. 2. SCALE SUMMARY AND RECOMMENDATIONS A. CUSTODY CLASSIFICATION CHART Based on the scores assessed in the Custody Evaluation Section, use the Custody Classification Chart to determine the appropriate custody rating. Excluding the current offense(s), determine whether there are any outstanding warrants, detainers or pending offenses which may pose a security risk. B. CUSTODY LEVEL Circle the appropriate custody level.

18 C. SPECIAL MANAGEMENT CONCERNS This Item is designed to address management issues that may warrant specific attention in the form of housing and supervision required. Check or circle the applicable concerns. Note that these concerns often are the determining factor in housing decisions. For the most part, housing decisions should not affect custody level. (A decision to utilize separation or single housing should not require an override.) D. OVERRIDE OF SCALE CUSTODY LEVEL If there are factors that warrant a custody level different from that which is indicated by the point total (i.e., court ordered, etc.), circle yes and document the specific reasons in the designated area. Otherwise, circle no. E. RECOMMENDED CUSTODY LEVEL Circle the appropriate custody level. F. SIGNATURE OF ASSESSMENT STAFF MEMBER AND DATE ASSESSMENT COMPLETED Classification Officer signature and date of assessment. G. SUPERVISORY REVIEW OF OVERRIDE Supervisory personnel indicate whether the Recommended Override is approved or disapproved. 1. WRITTEN EXPLANATION OF DISAPPROVAL Supervisory personnel document the specific reasons for the decision to disapprove in the designated area. 2. FINAL CUSTODY LEVEL Supervisory personnel circle the Final Custody Level. 3. SIGNATURE OF SUPERVISOR AND DATE OF OVERRIDE REVIEW Supervisory personnel sign and date. H. RECOMMENDED HOUSING ASSIGNMENT Indicate the recommended housing assignment.

19 CUSTODY LEVEL DEFINITIONS Maximum Custody Level: Inmates receiving a maximum custody level assessment are identified as those usually confined for serious offenses of violence, who possess an extensive level of criminal sophistication and who may or may not have demonstrated a propensity for violence in an institutional setting. Such inmates require close supervision and maximum security. Medium Custody Level: Inmates receiving a medium custody assessment level are identified as those usually confined for felony offenses, who possess a moderate level of criminal sophistication and who have not demonstrated a propensity for violence in an institutional setting. Such inmates require moderate supervision, may participate in certain work and program activities, and qualify for medium security. Minimum Custody Level: Inmates receiving a minimum custody level assessment are identified as those usually confined for lesser offenses, who possess a lower level of criminal sophistication and who have not demonstrated a propensity for violence in an institutional setting or a disregard for the institutional rules and regulations. Such inmates require less supervision, may participate in work and program activities, and qualify for minimum security.

20 EXPLANATION OF CUSTODY REASSESSMENT SCALE The Custody Reassessment Scale is used to reassess a custody rating. The reassessed custody rating is based upon the numerical score assigned to seven risk factors. The seven risk factors are Severity Of Current Offense/Conviction; Serious Offense History; Escape History; Number of Disciplinary Convictions; Most Serious Disciplinary Conviction; Prior Felony Convictions; and Alcohol and/or Drug Abuse. 1. CUSTODY EVALUATION Items A, B and C are used to identify inmates who pose a serious risk to persons, property and institutional order and safety. An additive score of seven or higher on Items A, B and C automatically assesses a Maximum Custody Rating. A. SEVERITY OF CURRENT OFFENSE/CONVICTION Determine the most serious current offense, detainer, warrant, or conviction by using the Severity Of Offense Scale. If the offender was brought in on a technical parole or probation violation, score it as a moderate (2 points); the probated or paroled offense will be considered in the Serious Offense History section. A new criminal offense will be scored as any other, and the paroled or probated offense will be scored in the Serious Offense History section. B. SERIOUS OFFENSE HISTORY Determine the most serious prior conviction by using the Severity of Offense Scale. C. ESCAPE HISTORY Consider any previous offenses of Escape from (Secured) Custody, Escape from Felony Arrest or Jail, to include attempts, and Unauthorized Absence from a Community Corrections Facility or Assigned Program, excluding current offense if scored in Item A (definition in CCP 38.06, Escape). Add the three scores assessed in Items A, B and C and enter the cumulative score in the subtotal box. An additive score of seven or higher in Items A, B and C classifies the inmate with a Maximum Custody Rating. At this point, stability factors from the initial assessment maybe considered, although an override would still be required for a level less than maximum. Facilities desiring to use this option should provide written procedures.

21 Items D, E, F and G are used to identify inmates who do not pose a serious risk to persons, property, institutional order, or safety. D. NUMBER OF DISCIPLINARY CONVICTIONS Indicate the number of disciplinary convictions since the last classification assessment. E. MOST SERIOUS DISCIPLINARY CONVICTIONS Rate the most serious disciplinary conviction since the last classification assessment. F. PRIOR FELONY CONVICTIONS Determine the number of prior felony convictions, excluding the current offense. Again, note that a probated sentence is a conviction. G. ALCOHOL AND/OR DRUG ABUSE Determine whether substance abuse has led to emotional, social, economic and/or legal difficulties. The degree of personal disruption can provide insight. Self-reporting and prior arrest history are the most frequent sources of information. Add the four scores assessed in Items D, E and F; subtract the score in item G and enter in the area designated subtotal. Add the 2 subtotals together and enter the total score in the designated Total Comprehensive Custody Score. 2. SCALE SUMMARY AND RECOMMENDATIONS A. CUSTODY CLASSIFICATION CHART Based on the scores assessed in the Custody Evaluation Section, use the Custody Classification Chart to determine the appropriate custody rating. B. CUSTODY LEVEL Circle the appropriate custody level. C. SPECIAL MANAGEMENT CONCERNS This Item is designed to address management issues that may warrant specific attention and staff intervention in the form of housing and supervision. Annotate the applicable concerns.

22 D. OVERRIDE OF SCALE CUSTODY LEVEL If there are factors that warrant a custody level different from that which is indicated by the point total, circle yes and document the specific reasons in the designated area. Otherwise, circle no. E. RECOMMENDED CUSTODY LEVEL Circle the appropriate custody level. F. SIGNATURE OF REASSESSMENT STAFF MEMBER AND DATE REASSESSMENT COMPLETED Classification officer sign and date. G. SUPERVISORY REVIEW OF OVERRIDE Supervisory personnel indicate whether the Recommended Override is approved or disapproved. WRITTEN EXPLANATION OF DISAPPROVAL Supervisory personnel document the specific reasons for the decision in the designated area. FINAL CUSTODY LEVEL Supervisory personnel indicate the Final Custody Level. SIGNATURE OF SUPERVISOR AND DATE OF OVERRIDE REVIEW Supervisory personnel sign and date the review. H. RECOMMENDED HOUSING ASSIGNMENT Indicate the recommended housing assignment.

23 CUSTODY LEVEL DEFINITIONS Maximum Custody Level: Inmates receiving a maximum custody level assessment are identified as those usually confined for serious offenses of violence, who possess an extensive level of criminal sophistication and who may or may not have demonstrated a propensity for violence in an institutional setting. Such inmates require close supervision and maximum security. Medium Custody Level: Inmates receiving a medium custody assessment level are identified as those usually confined for felony offenses, who possess a moderate level of criminal sophistication and who have not demonstrated a propensity for violence in an institutional setting. Such inmates require moderate supervision, may participate in certain work and program activities, and qualify for medium security. Minimum Custody Level: Inmates receiving a minimum custody level assessment are identified as those usually confined for lesser offenses, who possess a lower level of criminal sophistication and who have not demonstrated a propensity for violence in an institutional setting or a disregard for the institutional rules and regulations. Such inmates require less supervision, may participate in work and program activities, and qualify for minimum security.

24 DECISION TREE SYSTEM Corrections Management, Inc. (CMI) The Primary Security Level Assignment Form is copyrighted and may not be altered or transformed into an automated version without a licensing agreement from CMI.

25 EXPLANATION OF DECISION SPLITS FOR PRIMARY CLASSIFICATION CURRENT OFFENSE ASSAULTIVE FELONY Is the inmate's current charge(s) or convictions) one of the offenses listed on the ASSAULTIVE FELONY CRIME list requiring a "YES" response? NOTE: A technical parole or probation violation will be considered non-assaultive (answer no); the probated or paroled offense will be considered in the second box (was it an assaultive felony or not? as found in the Assaultive Felony Offense list). If there is a new criminal charge, the question is whether or not the new charge is assaultive, and the second box will address the question of whether the probated or paroled offense was an assaultive felony. PRIOR ASSAULTIVE FELONY CONVICTION Does the inmate have a conviction history of one or more of the assaultive felony type offenses listed on the ASSAULTIVE FELONY CRIME list? While a "yes response is required if a history of prior felony assault convictions exists, consideration may be given to the elapsed time of the prior conviction which could be grounds for override consideration after completion of the tree. For example, a prior conviction for felonious assault ten years ago may be given override consideration if the classification officer feels it is warranted. When determining prior convictions, consider the conviction a felony or misdemeanor, as reported, based upon the category of the convicted offense at the time it was committed. Note also that a probated sentence IS a conviction. ESCAPE HISTORY Is there a current offense or prior record of an Escape from (Secured) Custody, Escape from Felony Arrest or Jail, or an Attempt to Escape from (Secured) Custody, Felony Arrest or Jail? Note: If there is a record of a walk-away from a non-secure facility or court ordered program such as a half-way house, work release center, or residential program, answer no to this risk split. The circumstances of the walk-away should, however, be reviewed on a case-by-case basis. If it is felt that the circumstances surrounding the walk-away presently warrant an escape security concern, use the override option documenting your reason for the concern and assign the appropriate security/custody level. THREE OR MORE FELONY CONVICTIONS Is there a record of three or more prior felony convictions, not including the current offense, in the past five years of street time? (Street time is defined as that period of time not spent in a correctional facility.) Juvenile felony-type convictions are included if they fall within the last five-year period.

26 DETAINER, WARRANTS OR PENDING OFFENSES Excluding the current offenses(s), are there any outstanding warrants, detainers or pending offenses (excluding the charges for which the inmate is being booked) which may pose a security risk? For example, an outstanding traffic warrant with a limited "pick-up" radius may, by department consensus, not be considered as a yes response in the tree. You may also wish to designate probation/parole violation holds which are still pending a disposition decision as a Yes response here as well. KNOWN PAST/PRESENT INSTITUTIONAL BEHAVIOR PROBLEM Are there any major infractions during this or previous incarcerations? (Refer to list of major infractions) A serious behavior problem is one in which assaultive behavior or serious acts or threats of aggression against staff or other inmates have occurred. PRE-SENTENCE OR POST SENTENCE Is the current offense(s) pending or has a sentence been rendered? If there are multiple offenses, all offenses must be resolved before an inmate may be considered post sentence. F1, F2, F3 FELONY; OR FS FELONY OR MISDEMEANANT Is the most serious, current pending offense a Capital Felony, First Degree Felony, Second Degree Felony, or Third Degree Felony; or a State Jail Felony or Class A, B or C Misdemeanor? Note: The intent is - based on the current charges and offender s criminal history is this inmate likely to receive a prison sentence if convicted? CURRENT OFFENSE FELONY OR MISDEMEANOR Is the most serious current conviction a felony or a misdemeanor? If the most serious offense is a civil offense consider it as a misdemeanor for purposes of the decision split. COMMUNITY TIES Is there immediate family in the community? Has the inmate resided in the area for longer than a year? Has the inmate been steadily employed in the area for six months or longer? Note: This decision split is intended to determine the inmate s ties to the community. Each jail will need to determine what constitutes their geographic range definition of "community". HIGH RISK FACTORS If the inmate poses a grave threat to self, staff, or fellow inmates, check the specific reason in the designated area. A high risk designation may or may not require an override, depending on housing options. (A decision to utilize separation or single housing should not require an override.)

27 SPECIAL CONDITIONS If an inmate has a need or condition which requires special attention, check the specific reason in the designated area. A special condition may or may not require an override, depending on housing options. (A decision to utilize separation or single housing should not require an override.) EXPLANATION OF DECISION SPLITS FOR PRIMARY CLASSIFICATION SECOND PAGE: OVERRIDE If it is determined that circumstances require deviation from the initial custody level assignment, it is considered an override. If an override is used, circle yes and document the reason in the designated area. If not, circle no. Override reasons may include: Assaultive threats toward staff Increased risk of escape Serious institutional behavior history Inmate under investigation for additional crimes New charges may be added Hold, detainer for assaultive felony offense Known gang leader Suspected drug trafficker Inmate faced with lengthy prison term (20+ years) Mentally unstable Lengthy period of street time since last assaultive offense Notorious/particularly heinous offense Inmate well known to staff Developmentally disabled RECOMMENDED SECURITY DESIGNATION Circle the recommended security designation. SIGNATURE OF ASSESSMENT STAFF MEMBER AND DATE ASSESSMENT COMPLETED Classification Officer signature and date of assessment. SUPERVISORY REVIEW OF OVERRIDE Supervisory personnel indicate whether the recommended override designation is approved or disapproved. WRITTEN EXPLANATION OF DISAPPROVAL Supervisory personnel document the specific reasons for the decision in the designated area.