I. POLICY: To ensure that institutional rules
and regulations are enforced through an unbiased and prudent factfinder and to
protect the due process rights of inmates throughout the entire disciplinary
process. Anyone responsible for supervision or coming in contact with inmates
is authorized to initiate the disciplinary process. The behavior of offenders
committed to the custody of the department shall be controlled in a completely
impartial and consistent manner.
II. EXPLANATION:
The Department shall establish and designate two Disciplinary
authorities to hear and adjudicate all reports of infractions of institutional
rules and regulations that are referred to them. These authorities shall be
designated as the Major Disciplinary Hearing Officer and the Minor Disciplinary
Committee, respectively. When inmate behavior requires discipline, procedures
shall be followed which ensure that no unnecessary disciplinaries are written
and that:
A. There is no bias in favor
of the charging officer;
B. There
is no presumption of guilt;
C.
There is a reliable method of determining whether an infraction has in fact
occurred;
D. Blatant forms of
partiality which can result from prior knowledge, involvement, bias, or
personal interest in a particular case is minimized.
III. General Rules for Major Disciplinaries:
A. To prevent the filing of unnecessary
disciplinaries, reasonable effort should be made to first counsel the inmate
about his/her behavior.
B. The
Major Disciplinary Court shall consist of one Hearing Officer, who shall have
singular authority for determining guilt or innocence and assessment of
appropriate punishment.
C. At
regular units within a 50-mile radius of the Central Administrative Office,
hearings will be conducted by a series of hearing officers assigned to the
Central Office. These hearing officers will be randomly rotated from unit to
unit to hear cases as needed.
D. At
regular units outside a 50-mile radius of the Central Office and Work Release
Centers, hearings will be conducted by staff members recommended by the
Warden/Center Supervisor and approved by the Disciplinary Hearing
Administrator. The Disciplinary Hearing Administrator will ensure these staff
members are properly trained and will regularly review the hearings conducted
by these hearing officers.
E. The
officer who serves the disciplinary shall have the authority to appoint a
counsel substitute at the time the disciplinary is served. In making the
appointment, the inmate shall be allowed a staff counsel substitute who can
also assist the inmate through the appeal if necessary.
F. Disciplinary action(s) shall be determined
by a schedule of punishments that are based on the seriousness of the rule
violated.
G. The appeal process
shall be directed to the Warden/Center Supervisor, then to the Disciplinary
Hearing Administrator and then to the Director.
IV. Training:
A. The Disciplinary Hearing Administrator
will be responsible for maintaining an instructional folder containing
information on the proper procedures for holding major disciplinary hearings,
rules and regulations of each unit, plus other pertinent information which
could be helpful in implementing these policies and procedures. The folders
will be available to all interested parties who have reasons for such
reviews.
B. Hearing Officers will
be required to review and be knowledgeable of all the policies and procedures
(Inmate Handbook, Employee Handbook, AR's of the Arkansas Department of
Correction, etc.).
V.
Behavior Rules and Regulations:
A. The
following rules and regulations shall govern inmate behavior at all units.
|
CATEGORY ONE |
(GROUP DISRUPTION) |
PENALTY CLASS |
|
01-1. |
Banding together without administrative approval for the
purpose of demonstration, work stoppage, disruption of unit operations, or the
like. |
A |
|
01-2. |
Taking over a part of the physical plant. |
A |
|
01-3. |
Involvement in writing, circulating or signing a petition
or similar declaration that poses a threat to the security of the
facility. |
A |
|
CATEGORY TWO |
(INDIVIDUAL DISRUPTIVE BEHAVIOR) |
|
02-1. |
Aiding or abetting in the commission of any rule
violation. |
Same as Rule V iolated |
|
02 -2. |
Under the influence of and/or any use of illegal drugs,
alcohol, intoxicating chemicals or any medication in an unauthorized
manner. |
A |
|
02-3. |
Monetary Misconduct--Entering into unauthorized
contractual agreements, failure to turn in all checks or monies received (i.e.,
buying articles on time payment, failure to turn in tips received on work
release). |
B |
|
02-4. |
Employment Misconduct--Quitting a work release job
without prior approval, getting fired for misconduct on the job, tardiness or
shirking duties, failure to notify center staff when too ill to
work. |
C |
|
02-5. |
Unauthorized use of mail or telephone, to include passing
unauthorized messages. |
B |
|
02-6. |
Unauthorized contacts with the public while on work
release or away from the unit/center. |
B |
|
02-7. |
Correspondence/conduct with a visitor in violation of
regulations. |
C |
|
02-8. |
Running from or otherwise resisting
apprehension. |
A |
|
02-9. |
Interfering with the taking of count. |
A |
|
02-10. |
Tattooing. |
B |
|
02-11. |
Self-mutilation. |
A |
|
02-12. |
Failure to keep one's person or quarters in accordance
with regulations. |
C |
|
02-13. |
Breaking into, or causing disruption of, an inmate
line. |
B |
|
02-14. |
Not wearing ID or not having clothing marked according to
center/unit policy. |
C |
|
02-15. |
Tampering with, or blocking, any lock or locking
device. |
A* |
|
02-16. |
Refusal to submit to substance abuse testing for
determination of violation of Rule 02 -2. |
A |
|
02-17. |
Creating unnecessary noise. |
C |
|
02-18. |
Play which is aggressive or disruptive, in other than
designated recreation areas. |
C |
|
CATEGORY THREE
|
(PRESENT IN UNAUTHORIZED AREA) |
|
03 -1. |
Out of place of assignment. |
A |
|
03-2. |
Outside living quarters after specific hours. |
A |
|
03-3. |
Unexcused absence from work/school assignment or other
program activity. |
B |
|
03-4. |
Unauthorized presence in another's cell/living
quarters. |
A |
|
CATEGORY FOUR |
(BATTERY) |
|
04-1. |
Battery--Use of physical force on the person(s) of
another. |
A |
|
04-2. |
Aggravated Battery--Use of a weapon or dangerous physical
force on the person(s) of another. |
A |
|
04-3. |
Rape or forced sexual act. |
A |
|
CATEGORY FIVE |
(MENACING) |
|
05-1. |
Seizing one or more persons as hostage. |
A |
|
05-2. |
Written threats of bodily harm or death to another
person(s). |
A |
|
05-3. |
Assault--Any willful attempt or threat(s)
to inflict injury upon the person of another. |
A |
|
05-4. |
Making sexual threats to another person. |
B |
|
05-5. |
Provoking or agitating a fight. |
B |
|
05-6. |
Throwing or otherwise ejecting bodily fluids or excrement
on the person of another. |
A |
|
CATEGORY SIX |
(EXTORTION) |
|
06-1. |
Demanding/receiving money or favors or anything of value
in return for protection against others, to avoid bodily harm, or being
informed upon. |
A |
|
CATEGORY SEVEN |
(THEFT) |
|
07-1. |
Unauthorized use of state property/supplies. |
B* |
|
07-2. |
Breaking into another inmate's room/locker. |
A |
|
07-3. |
Taking of property or possession of stolen
property. |
A |
|
CATEGORY EIGHT |
(DESTRUCTION OF PROPERTY) |
|
08-1. |
Destruction or intentional misplacement of state
property. Value of destruction from $25.00 and above. |
A |
|
08-2. |
Destruction or intentional misplacement of state
property. Value of destruction from $11.00 to $24.99. |
B |
|
08-3. |
Destruction or intentional misplacement of state
property. Value of destruction from 1* TO $10.99. |
C |
|
08-4. |
Destruction or intentional misplacement of property of
another person. |
B |
|
08-5. |
Setting a fire. |
A* |
|
08-6. |
Adulteration of any foods or drinks with intent to harm
others. |
A |
|
CATEGORY NINE
|
(POSSESSION/MANUFACTURE OF CONTRABAND) |
|
09-1. |
Possession/introduction of any fireworks, explosive or
unauthorized combustible substance.
|
A |
|
09-2. |
Possession/introduction of any gun, firearm, A weapon,
ammunition, knife, sharpened instrument, or unauthorized tool.
|
A
|
|
09-3. |
Possession/introduction of any drug, narcotic A
intoxicant, chemical, OR drug paraphernalia not prescribed by medical
staff.
|
A
|
|
09-4. |
Possession or movement of money or currency, A unless
specifically authorized.
|
A
|
|
09-5. |
Possession of clothing or property not C issued or
authorized by the center/unit.
|
C
|
|
09-6. |
Possession of loose scrip.
|
B |
|
09-7. |
Possession of staff uniforms or clothing A resembling
staff uniforms, or unauthorized civilian clothing or identification.
|
A |
|
09-8. |
Manufacture of intoxicants. |
A |
|
09-9. |
Counterfeiting, forging, or unauthorized possession of
any document, article of identification, money, security, or official
paper. |
A |
|
09-10. |
Possession of gambling paraphernalia not specifically
authorized by the center/unit. |
C |
|
CATEGORY TEN |
(SEXUAL ACTIVITY) |
|
10-1. |
Engaging in sexual activity with another consenting
person. (Second or subsequent offense within six months is Class
A). |
B |
|
10-2. |
Making sexual proposals to another person. (Second or
subsequent offense within six months is Class A). |
C |
|
10-3. |
Indecent exposure. |
B |
|
10-4. |
Bestiality. |
B |
|
CATEGORY ELEVEN |
(DISRESPECT TO STAFF) |
|
11-1. |
Insolence to a staff member. |
A |
|
11-2. |
Using abusive/obscene language to a staff
member. |
A |
|
11-3. |
Making profane/obscene gestures to a staff
member. |
A |
|
CATEGORY TWELVE |
(DISOBEDIENCE TO ORDERS) |
|
12 -1. |
Failure to obey verbal and/or written orders of
staff. |
A |
|
CATEGORY
THIRTEEN |
(FALSE STATEMENT) |
|
13-1. |
Deliberately giving misinformation or falsely accusing
(an) other(s) in the course of an official investigation. |
A |
|
13-2. |
Lying to a staff member about reason for being in an
area, authorization for activity and the like. |
B |
|
13-3. |
Malingering, feigning an illness. |
B |
|
CATEGORY
FOURTEEN |
(GAMBLING) |
|
14-1. |
Preparing or conducting a gambling operation. |
A |
|
14-2. |
Participating in games of chance for
gain/profit. |
B |
|
CATEGORY FIFTEEN |
(TRAFFICKING AND TRADING) |
|
15 -1. |
The purchase or exchange of unauthorized articles or of
authorized articles through unauthorized channels. |
A |
|
15-2. |
Asking, coercing or offering inducement to anyone to
violate Department policy or procedure, inmate rules and regulations,
center/unit operating procedures or any state or federal laws. |
A |
|
CATEGORY SIXTEEN |
(ESCAPE) |
|
16-1. |
Escape, or attempt to escape from the custody of the
Department of Correction. |
A |
|
16-2. |
Failure to return from any approved activity or furlough
at the designated time. |
A |
|
CATEGORY
SEVENTEEN |
(LAW VIOLATION) |
|
17-1. |
Any act or acts defined as felonies or misdemeanors by
the state of Arkansas. |
A |
Any felony is subject to criminal prosecution regardless of
disciplinary action within, the Arkansas Department of Correction.
* Sanctions require monetary restitution.
B. Determination of Charges
Only one rule violation may be charged for a given behavior. The
violation cited should be that which most accurately categorizes the behavior.
However, a disciplinary report may cover an incident which is made up of a
sequence of several distinct behaviors of which each is in violation of
rules.
Example: An inmate stays in the barracks, missing work call (Rule
3-3, Unexcused absence from work). A correctional officer finds him/her in the
barracks and gives him/her a direct order to join his/her work detail. The
inmate refuses (Rule 12-1, Failure to obey an order) and stands up and
threatens to punch the officer if the officer doesn't leave him/her alone (Rule
5-3, Assault).
VI. Major Disciplinary Court
A. Establishment of Court
The Major Disciplinary Court at each unit shall be composed of a
single hearing officer who will be directed in the performance of these duties
by the Disciplinary Hearing Administrator who is assigned to the Central Office
and is responsible to the Director.
B. Responsibilities of the Major Disciplinary
Hearing Officer.
1. The Major Disciplinary
Hearing Officer is charged with the responsibility of ensuring that all rules
promulgated by the Arkansas Department of Correction regarding major
disciplinary hearings are fully complied with. The Hearing Officer may delegate
authority to fill out forms, but will be held responsible for their
content.
2. In all major
disciplinary proceedings, the Hearing Officer shall fully explain the charges
and inform the inmate of the possible consequences if found guilty. The Hearing
Officer shall further ensure that there is no undue air of hostility in the
proceedings and that the proceedings and deliberations are not conducted in a
perfunctory manner. The Hearing Officer will be vigilant in averting any racial
discrimination during the proceedings and/or in the assessment of punishment.
Any such signs of discrimination will be immediately reported to the
Warden/Center Supervisor and the Director.
3. The Hearing Officer shall hear all of the
facts of the case and shall have singular authority for deciding guilt or
innocence and the punishment assessed.
4. Regarding guilty pleas, the Hearing
Officer must ensure that the inmate knows to what he/she is pleading guilty.
Guilty pleas will be monitored to determine whether the inmate offers any
supporting evidence indicating innocence of the charge as written.
5. The responsibilities of the Hearing
Officer regarding counsel substitutes are enumerated under Section VI J
(1)
C. Responsibilities
of the Chief Security Officer of the building or field.
1. Prior to the major disciplinary hearing,
the Chief Security Officer will review all disciplinariey and may do one of the
following:
(a) Forward disciplinary to the
Disciplinary Hearing Officer with his initials on the report.
(b) Reduce to Minor Disciplinary.
(c) Dismiss charges and file disciplinary
report as matter of record.
(d)
Convert minor disciplinary to major disciplinary.
Regarding provision (b) and (c) above, the Chief Security Officer
will consult with the charging person on any decision which results in
dismissal or reduction. In the event the Chief Security Officer dismisses the
disciplinary reports, a copy of the dismissed disciplinary shall be forwarded
to the Assistant Warden for Security or Center Supervisor for filing as a
matter of record. Copies of said reports are not to be
included in the inmate's permanent jacket. Reasons for such dismissals should
be documented on the face of the disciplinary reports.
2. The Chief Security Officer may
set reasonable limitations on the number of inmate witnesses called. When such
limitations are imposed, the Chief Security Officer should document the reasons
therefor on the Major Disciplinary Form F-831-1 under "Witness Statements". In
the event that a limit (usually five) is placed upon inmate witness statements,
the same limit must be applied to statements taken from officers.
D. General Considerations
1. The Major Disciplinary Form F-831-1 will
be used in filing major disciplinary reports against inmates. When filling it
out, the charging person will be specific in informing the inmate in writing of
the details of the rule infraction. The charging person should at least answer
who, what, when, where, how, and why when filling out the major disciplinary
form. The charging person should be the employee/contracted staff with the most
direct knowledge of the event. Once the disciplinary report is written, the
charging person may seek assistance from others for purposes of correcting any
mistakes in grammar or punctuation. However, the actual content of the
disciplinary report must not be changed.
2. The major disciplinary form F-831-1 must
be signed by the charging person, affirming that the information contained
therein is true and correct. Any other supporting documents (such as incident
reports) which have relevance should be attached to the major disciplinary
form. The completed form and any attachments should be forwarded immediately to
the chief security officer.
3. If
there are witnesses to the infraction, then their written statements should be
attached to the charging person's affidavit of the incident. These witness
statements can be inmates, employees, and/or free world persons who have
firsthand knowledge of the infraction. Witnesses may be called before the
Disciplinary Court. If so, their statements will be taped. If written witness
statements are submitted to the Disciplinary Court, they will be read into the
tape.
4. It will be the
responsibility of the Hearing Officer to thoroughly study all the available
documents concerning the major disciplinary reports. He/she will determine
whether or not an additional investigation should be made into this incident.
An extension of time may be granted pursuant to the guidelines established
herein.
5. The Hearing Officer may
refer for investigation any disciplinary episode he/she thinks is appropriate
and/or may request a polygraph examination under extraordinary circumstances
per AR-014.
6. The inmate being
charged will be placed on investigative status, barracks arrest, unassigned
status, limited status or full duty depending upon the security needs of the
institution. This action may be taken during the pending investigation and/or
disciplinary hearing by the senior officer on duty, or his designee. Final
authority in such actions resides with the chief of building security or
his/her supervisors. In the event that an inmate is placed on investigative
status or barracks arrest, and is subsequently assessed punitive time resulting
from the rule infraction, the court may, in its discretion, credit the time
spent on investigation to the punitive sentence.
E. Major Disciplinary Court Hearings
1. The Major Disciplinary Court shall meet as
often as necessary at a place and time convenient between the hours of 6:00
a.m. and 6:00 p.m., in order to administer the institutional disciplinary
functions as expeditiously as possible. It is recommended that the court meet
at least one day each week. The court should avoid convening on weekends and
holidays, so as to minimize interference with inmate visitation. However, if
security considerations mandate such meetings, or if the Warden/Center
Supervisor determines that administrative necessity dictates such meetings, the
court may convene on a weekend or holiday to perform its functions. In the
event that such meetings are needed, the court should restrict its business to
that which is necessary to alleviate the concerns expressed by the
Warden/Center Supervisor.
2. A
charged inmate must be given at least twenty-four hours prior notice of an
impending disciplinary proceeding. The inmate may call witnesses by giving the
notifying officer the names of the individuals he/she wishes to call. The
manner in which the statements from these witnesses are presented to the court
shall be within the discretion of the Major Disciplinary Court Hearing
Officer.
3. The Major Disciplinary
Court is expected to convene for a hearing within three days (excluding
weekends and holidays) after the occurrence of the disciplinary episode (of the
writing of the disciplinary) or in cases where the episode was concealed three
days after the date of discovery of the episode. The Disciplinary Court's
objective shall be to try all disciplinary actions within three days of the
occurrence of the incident or discovery of episode. However, a disciplinary
action will not be reversed for procedural error on grounds of not receiving a
timely hearing so long as the hearing is conducted within five days (excluding
weekends and holidays) of the disciplinary episode or discovery of episode. No
disciplinary will be heard after five days (excluding weekends and holidays)
from the time of the infraction or discovery of episode except pursuant to a
valid extension.
Thus, an inmate receiving a disciplinary on Tuesday at 9:00 a.m.
should be tried by 9:00 a.m. the following Tuesday. An inmate charged at 10:00
p.m. Tuesday should be tried by 6:00 p.m. the following Tuesday, etc. The
disciplinary will be tried within one calendar week, within the constraints of
the rule against trying disciplinary before 6:00 a.m. or after 6:00 p.m.
4. Upon convening to consider
cases of inmate violations of rules and regulations, the Major Disciplinary
Court shall cause the inmate to appear before it unless the inmate waives in
writing or through behavior. In the event that an inmate wishes to waive
his/her appearance, a waiver form will be completed and a copy provided to the
charged inmate.
5. Once the inmate
is present before the Major Disciplinary Court, the tape recorder will be
turned on, the tape reading noted, and the time and date entered. The charged
inmate will then be identified by name and ADC number.
6. The Hearing Officer will identify
himself/herself in the presence of the inmate and inform the inmate that this
is, in fact, a Major Disciplinary Court Hearing.
7. The Hearing Officer will scrutinize the
disciplinary report to determine whether all time limits have been complied
with. All other procedural requirements must be verified.
8. It must be determined whether all witness
statements requested by the inmate and all other items of physical or
documentary evidence are present before the court. The court may summon any and
all additional witnesses that it may deem necessary to accomplish its
functions. Witnesses' statements may be taken in writing, orally, or by
telephone.
All written witness statements, whether taken prior to the
hearing or obtained at the request of the court, must be read into the tape and
a copy attached to the disciplinary records. In cases where there are numerous
witness statements and there is no substantial difference between the
statements, one statement may be read into the tape and the Hearing Officer may
indicate the names of the other witnesses and the fact that their statements
are consistent. The choice of how the witness statement will be taken is left
to the discretion of the Major Disciplinary Hearing Officer. If more
information or clarification is needed from the charging person or other
witnesses, such information may be obtained through the means described above
(written, oral, telephone). In the event that such testimony is obtained by
causing the witness to be present before the court, the charged inmate is not
to be allowed in the room during such testimony, as the inmates do not have a
right to cross-examination. The inmate will receive from the hearing officer a
statement of fact(s) if provided by the charging officer. The hearing officer
may grant an extension to the inmate. If the witness is not readily available
to provide additional testimony, an extension for further investigation may be
granted by the hearing officer.
9. The inmate should be informed that he/she
has been charged with a specific disciplinary offense and should be further
informed that the possible consequences of a finding of guilty include possible
loss of privileges, loss of good time, loss of class status, assignment to
punitive isolation, additional duty, change in assignment/unit, restitution, or
any combination of the above.
10.
The inmate should then be asked whether the nature of the proceeding and the
possible consequences are understood. If it appears that the inmate does not
understand, the policy regarding counsel substitutes (see Section VI J(1)) must
be adhered.
11. The rule
violation(s) and the charging person's report will then be read to the
inmate.
12. The inmate will be
asked to enter a plea of guilty or not guilty. Guilty pleas must be explored to
determine whether the inmate is certain of what he/she is pleading. Any refusal
to enter a plea shall be construed as a plea of not guilty.
13. The inmate must be afforded an
opportunity to speak in his/her own behalf and any documentary evidence which
the inmate wishes to submit should be accepted. Such evidence will not include
witness statements.
All witness statements are to be gathered by ADC employees after
the inmate has submitted a witness list to the notifying officer. Inmates will
not be allowed to gather and submit witness statements on their own.
14. After the inmate has made a
statement and/or presented a defense, he/she is to be asked to step outside the
hearing room. The witness statements will then be read into the tape. The tape
recorder will then be turned off for deliberation.
15. The hearing officer must carefully weigh
all evidence before it, with special emphasis upon individual pieces of
"primary evidence". Rumor or suspicion about an inmate's behavior shall not be
taken into account.
16. After the
hearing officer has weighed all of the evidence, a decision shall be made
regarding guilt/innocence.
17. In
the event that the inmate is found guilty, punishment must be imposed within
the guidelines enumerated herein.
18. The tape recorder will then be turned on
again giving the time of day and the inmate returned to the hearing room. The
inmate must then be informed as to the finding of guilt or innocence on each
particular rule violation and must be informed of the punishment, if any,
imposed.
19. The inmate must be
informed of his right to appeal and to obtain staff assistance in the
fashioning of said appeal if needed.
20. The inmate will receive an oral statement
detailing the reason for the finding of guilt or innocence at the time the
hearing officer informs the inmate of the verdict. The hearing officer will
reduce these reasons to writing prior to the conclusion of that business day
and provide a typed copy to the inmate within twenty-four hours. The inmate is
not required to sign the typed copy. It is sufficient to indicate that the
inmate signed (or refused' to sign) the original copy.
21. When the Disciplinary Hearing Officer has
completed his/her work for the day, the hearing officer shall complete and sign
the disciplinary court report form provided. The original signed form shall be
forwarded to the Disciplinary Hearing Administrator with copies to the
Warden/Center Supervisor and records office. All disciplinary hearings shall be
taped in their entirety and the tapes shall be preserved by the Disciplinary
Hearing Administrator for a period of three years. In addition, the
administrator may (if deemed desirable) cause transcripts of the hearing to be
made.
22. Once the Disciplinary
Hearing Officer's report has been signed, the disciplinary action shall not be
altered in any way except as provided herein.
F. Disciplinary Actions
1. The Major Disciplinary Hearing Officer,
upon determining that an inmate is guilty of violations of institutional rules,
may apply any or all of the sanctions from the penalty class of the most
serious rule violated. Additional sanctions may be applied from the penalty
class corresponding to the additional rule(s) violated. However, sanctions
defined in terms of days (i.e., days good time, punitive segregation, loss of
privileges, and extra duty) may not be applied more than once per disciplinary
action.
2. Any or all sanctions may
be suspended for up to six months.
G. Range of Allowable Sanctions
1. Penalty Class "A"
a. Punitive Segregation 1-30 days.
b. Loss of earned good time up to 365 days
(loss of all earned good time is allowable for escape or riot).
c. Loss of designated privileges, 1-60
days.
d. Restitution of actual cost
of lost or destroyed property not to exceed $50.00.
e. Assign to hoe squad or like job until
reassigned by Classification Committee according to guidelines approved by
Board of Correction.
f. Reduce up
to three steps in class.
g.
Recommend to Classification Committee for change of assignment/unit.
h. Extra duty up to two hours per day for up
to thirty days.
2.
Penalty Class "B"
a. Punitive Segregation 1-15
days.
b. Loss of earned good time
1-150 days.
c. Loss of designated
privileges 1-45 days.
d.
Restitution of actual cost of lost or damaged property not to exceed
$24.99.
e. Extra duty up to two
hours per day for up to 15 days.
f.
Formal reprimand and/or warning.
g.
Recommend to Classification Committee for change of assignment/unit.
h. Reduce up to two steps in class.
3. Penalty Class "C"
a. Punitive Segregation 1-10 days.
b. Loss of earned credits 1-60
days.
c. Loss of designated
privileges 1-30 days.
d.
Restitution of actual cost of misused or lost property not to exceed
$10.99.
e. Extra duty up to two
hours per day for up to ten days.
f. Formal reprimand/warning.
g. Recommend to Classification Committee for
change of assignment/unit.
h.
Reduce one step in class.
H. Appeal Process
1. At the time of notification of the verdict
in a disciplinary proceeding, the inmate will be notified that he/she has the
right to appeal any decision of, or disciplinary action taken by the
Disciplinary Hearing Officer, directly to the Warden/Center Supervisor of the.
unit/center involved. This notification will be documented by having the inmate
sign the face sheet of the disciplinary indicating that he/she understands the
right to appeal. The appeal shall be submitted in writing within three days
after the filing of the Disciplinary Hearing Officer's report and shall set
forth in detail the grounds for such appeal. In the event the inmate is
illiterate, the hearing officer shall, at the request of the inmate, direct the
inmate's counsel substitute (Section VI J(1)) to assist him/her in writing his
appeal letter. The Warden/Center Supervisor has thirty calendar days from
receipt of the appeal to respond. If the inmate is not satisfied with the
response, he/she has three days to appeal to the Disciplinary Hearing
Administrator, who has thirty days to respond. If the inmate disagrees with the
response, he/she has three days to appeal to the Director. In all steps, the
inmate shall set forth in detail the grounds for such an appeal. If the inmate
fails to receive responses in the appeal time frame, he/she may appeal to the
next level. Upon receipt of such written appeal, the Warden/Center Supervisor
shall review the case, and in the event that the inmate is serving punitive
time as a result of the disciplinary infraction, the Warden/Center Supervisor
should answer the appeal within ten calendar days if possible. Upon review, the
Warden/Center Supervisor may affirm the action of the Disciplinary Hearing
Officer or alter it as he deems just and proper except at no point in the
appeal process shall the penalty be increased. If an inmate is dissatisfied
with the responses from the Warden/Center Supervisor on his appeal, he/she may
continue the appeal and direct it to the Disciplinary Hearing Administrator.
The appeal shall be submitted in writing within three days after the decision
of the Warden/Center Supervisor is received and shall set forth in detail the
grounds for such an appeal. The Disciplinary Hearing Administrator has five
days to respond to the appeal. If an inmate is dissatisfied with the response
of his/her appeal of the disciplinary to the Disciplinary Hearing
Administrator, he/she may then appeal the disciplinary action to the Director
within three days after receiving the decision of the Disciplinary Hearing
Administrator.
2. Any inmate who
files an appeal to which he alleges facts which are not true, knowing that the
statements are not true, or in which he fails to state the full, true facts,
deliberately intending to mislead the Warden/Center Supervisor, Disciplinary
Hearing Administrator or the Director, shall be deemed guilty of violation
number 13-1 of institutional rules and regulations and shall be dealt with
accordingly.
3. In cases where a
disciplinary report is written by a Warden/Center Supervisor, the inmate may
bypass the appeal to the Warden/Center Supervisor and appeal to the
Disciplinary Hearing Administrator.
I. Extensions
1. In exceptional cases, limited extensions
of time may be granted by the respective Warden/Center Supervisor for the
following reasons:
(a) Escaped inmates not in
custody
(b) Inmates out to
court/hospital or otherwise off the unit/center
(c) Inmates awaiting decision of prosecuting
attorney reference filing of felony charge
(d) When the case requires more extensive
investigation
(e) Emergency
situation exists at the unit/center
(f) Volume of disciplinaries scheduled for
hearing is excessive and more time is needed to ensure a fair determination in
each case.
2. The
Hearing Officer may grant an extension if additional information or
investigation is needed in order to arrive at a fair decision.
3. In the event that an extension is granted,
a copy of the extension form shall be forwarded to the charged inmate. An
extension may be granted for a period of up to five additional working days. If
a greater length of time is needed, then the extension must be renewed and will
not exceed five days per extension. The Director may approve any extension over
thirty days total. The Warden/Center Supervisor may give an indefinite
extension while the inmate is absent from the Unit/Center.
4. Regarding escapes, the time limit will not
begin to run until the inmate is returned to the unit where the disciplinary
hearing will be held. The Warden/Center Supervisor should check the appropriate
box on the extension form and enter the time and date when the inmate was
returned to the unit/center. The time and date entered will serve as the
starting point for the time limit.
J. Special Cases
1. Counsel Substitutes
The following inmates shall be entitled to a counsel substitute
in disciplinary proceedings:
(a) Those
inmates so designated by the chief security officer, or the investigating
officer.
(b) Those inmates who the
Disciplinary Hearing Officer believes are illiterate or incompetent (records of
School District and/or Mental Health will be checked).
(c) Inmates facing disciplinary proceedings
where the issues involved are so complex that he/she is not likely to
understand the nature of the charges.
(d) Any inmate not able to understand and
speak the English language.
(e)
Inmates assigned to a Mental Health Program for treatment of mental disorder or
mental retardation.
NOTE: Regarding (a) and (b) of the above: The decision regarding
the need for a counsel substitute shall be based upon a combination of two
factors. Any inmate who has an I.Q. of 60 or below and a reading level of below
fourth grade will automatically be granted a counsel substitute. When this
information is not available, a subjective decision should be made as to
whether the inmate should receive a counsel substitute and automatically refer
any inmate for whom this information is unavailable to mental health and/or
educational personnel for testing so that the proper documentation can be
maintained. Regarding (e) of the above: some inmates will be exempt from the
disciplinary process entirely per Administrative Regulation #834. Those who are
subject to the disciplinary process shall be appointed counsel substitute. The
counsel substitutes shall consist of members of the staff as designated by the
Warden/Center Supervisor. These individuals will be on notice that they are the
counsel substitutes and should be prepared to be at the service of the
Disciplinary Hearings. The Warden/Center Supervisor shall prepare a list of
approved counsel substitutes who shall be immediately available to the
investigating officer, the chief security officer and the Disciplinary Hearing
. Officer on request. When it is determined that an inmate is in need of a
counsel substitute by the officer who serves the disciplinary and/or the chief
security officer, the counsel substitute should be notified in advance so that
he/she can be on notice of which inmate is involved and the nature of the
disciplinary. When the counsel substitute determination is made by the
Disciplinary Hearing Officer at the hearing, he/she shall immediately recess or
postpone the disciplinary hearing so that the counsel substitute may have an
opportunity to meet with the accused inmate prior to the entering of a plea.
The Disciplinary Hearing Officer should then proceed with the next
disciplinary, having noted the starting and stopping place on the tape prior to
the recess and further noting the starting and stopping place on the tape when
the disciplinary hearing is reconvened with the counsel substitute present.
Thus, the Disciplinary Hearing Officer will not have to sit idly and wait while
the counsel substitute confers with the inmate.
It should be noted that counsel substitutes have no voice in the
decision making of the court. Furthermore, when the counsel substitute performs
the required duties for an inmate in a disciplinary hearing, the counsel
substitute shall not remain in the disciplinary hearing room during
deliberation.
All inmates have the right to refuse a counsel substitute and no
inmate will be forced to utilize the services of a counsel substitute
involuntarily. Those inmates who refuse a counsel substitute for any reason
will not be afforded the opportunity to have a different person assigned. Any
refusal is a waiver of the counsel substitute and the refusal by the inmate
should be noted on tape and the disciplinary form, and the disciplinary should
proceed without any counsel substitute.
In the event that a counsel substitute requires more time to
prepare the necessary information for a fair determination of the disciplinary,
the hearing officer may grant an extension of time for further
investigation.
Once the Disciplinary Hearing Officer has made a decision and
advised the inmate of the appeal procedure, the counsel substitute will be
responsible for aiding the inmate in the appeal process. The responsibility of
the counsel substitute to the inmate shall be restricted to the presentation of
evidence in the inmate's behalf at the disciplinary hearing and any subsequent
proceedings, and providing an adequate explanation of the charges and
consequences to the inmate both before and after the hearing.
2. Use of Confidential Information
and Informants
(a) No disciplinary will be
adjudicated without the testimony of at least one individual who has firsthand
knowledge of the incident. In cases not involving informants, the charging
person should have firsthand knowledge of the event in question.
(b) If the Disciplinary Hearing Officer is to
rely on informants' statements, it will have before it at least the names and
actual written statement of the informant (the charged inmate has no right to
confront and cross-examine an informant against him nor to know the informant's
statement or identity) so that the information or charge may be explored, if
necessary, by the hearing officer. This procedure further provides some minimal
assurance that a determination of fact is not based on error or deception. It
is mandatory that any time confidential informant information is forwarded to
the Disciplinary Hearing Officer, then it is the responsibility of the
Disciplinary Court Hearing Officer to ensure that the confidential information
does not become known to other inmates. This information should be marked
confidential and forwarded to the Disciplinary Hearing Administrator to be
maintained in a separate file.
(c)
In cases where a disciplinary is written based upon confidential firsthand
knowledge from an informant, the records must contain the informant's signed
statement in language that is factual rather than subjectively conclusive and
must establish by its specificity that the informant spoke with personal
knowledge of the matters contained in such statement.
(d) In cases where the charging person is
able to verify confidential information obtained from an informant, thus giving
the charging person firsthand knowledge of the event, it is not necessary to
have the informant's name and statement before the hearing officer.
(e) In the event that the Major Disciplinary
Hearing Officer uses as evidence an investigative report which is classified as
confidential, the hearing officer is responsible for ensuring that the
confidential report is safely returned to its original source without becoming
known to inmates or unauthorized staff. When describing the report under
"Evidence Relied Upon", it is sufficient to use the phrase "Confidential
Report", and state the conclusion of the report without detailing any of the
specifics contained in the report.
3. Contraband and Other Physical Evidence
If physical evidence is involved in or crucial to the
determination to be made by the Disciplinary Hearing Officer (such as weapons
or contraband), then that evidence will be presented to and considered by the
hearing officer. The general policy is that in any instance where there is any
form of physical evidence, such evidence should be presented to the hearing
officer. In cases where it is administratively burdensome to present such
evidence, (such as drugs or quantities of perishable items), either a
photograph of the evidence or a lab/written report indicating the exact nature
of the evidence must be presented. In no case will an inmate be found guilty of
possession of contraband or fighting with or possessing a weapon unless the
hearing officer has before him/her either the actual evidence in question, a
photograph of said evidence, or a lab/written report indicating that the
substance is in fact contraband. In the event that institutional safety unduly
complicates the task of presenting physical evidence because of the present
location of the hearings, then the location will have to be changed. The
location of the hearing should be changed only as a last resort, i.e.,
photographs of the physical evidence are either not available or do not provide
the hearing officer with the information necessary to reach a fair
determination of fact. Actual contraband which is presented to the hearing
officer may be disposed of following the hearing, but must be described in
great detail under "Evidence Relied Upon". Contraband must be disposed of
pursuant to AR 401. Photographs and lab/written reports should be attached to
the disciplinary report and made a part of the inmate's permanent file.
4. Malingering
(a) Certain disciplinary reports will require
testimony from health staff. This requirement arises when the inmate's defense
is that he/she was too ill to abide by an institutional rule. The most frequent
rule violation which applies to this defense is rule violation 13-3. The
requirement is that whenever a charged inmate's defense is illness, the unit
health staff must be contacted to determine whether the inmate was examined for
a complaint of illness and whether, in the opinion of the person or persons who
examined the inmate, the inmate was feigning illness or not sufficiently ill to
justify the rule violation.
(b) A
statement from the health staff will be obtained either by telephone or by
written statement. If written, the statement will be attached to the
disciplinary report and made a part of the inmate's permanent file. If by
telephone, the statement should be repeated aloud so that it will be recorded
and should be quoted on the Disciplinary Hearing Action Form F-831-3 under
"Evidence Relied Upon". The written statements should also be noted under
"Evidence Relied Upon". If the proper health entry is not made under "Evidence
Relied Upon", indicating the source and content of the testimony from the
health staff, the disciplinary action will be deemed invalid and expunged from
the inmate's records.
(c) There are
two other frequent scenarios where the inmate is charged and the defense is
illness. The first arises when the inmate is not present for his work
assignment at the beginning of the working day, is given a disciplinary, then
comes to court and claims he/she was too ill to work.
In such a case, the health staff will be contacted to determine
the extent of the inmate's illness. If health staff state that the inmate did
not come to the health staff to solicit health attention on the date of the
infraction, then the defense becomes invalid as it is the responsibility of the
inmate to go to the health staff for treatment of an illness. If health staff
state that the inmate did solicit treatment from health staff, but was not
sufficiently ill to warrant not working, the statement should be entered under
"Evidence Relied Upon" and considered in conjunction with any other evidence
available to the court. If the health staff personnel state that the inmate was
in fact too ill to perform his/her designated work task, the inmate shall be
found not guilty.
The second scenario arises when the inmate is already performing
his work assignment, and complains of illness. In such cases the inmate should
be sent or escorted to the health staff. If the inmate receives a "lay-in",
then there should be no disciplinary report. If the inmate does not receive a
lay-in and is ordered to go to work but persists in refusing to do so, a
disciplinary may be written and the requirement of contacting health staff will
again apply. If the inmate is sent back to work and returns to work, he should
only be given a disciplinary when the officer has some concrete evidence that
the entire episode was contrived to harass staff or to temporarily avoid work.
In such a case, the health staff must also be contacted to determine whether in
the opinion of the person or persons who examined the inmate in that the inmate
was feigning illness. In such cases, if any significant illness was determined
at present, even though not sufficient to warrant a lay-in, the inmate should
be found not guilty.
(d)
Upon contacting the health staff for information pursuant to the above, the
name and statement of the person contacted must be entered under "Evidence
Relied Upon".
5.
Damaging Property .
(a) Any inmate who is
found guilty of destroying property must/may be ordered to make restitution by
the Disciplinary Court, depending upon individual circumstances.
(b) In the event that the Disciplinary
Hearing Officer finds that a culpable inmate intentionally destroyed or damaged
property, the hearing officer shall levy against the institutional account of
the inmate for the reasonable value of the property destroyed or the reasonable
value of repair to damaged property. The Disciplinary Court Hearing Officer
shall be responsible for making sufficient inquiry to determine such values. In
any case, the total amount of the levy may not exceed $50.00. The levy against
the inmate account shall continue until the obligation is fully
discharged.
(c) In cases where the
hearing officer finds that an inmate did in fact damage or destroy property
under circumstances indicating that such destruction was the result of
negligence as opposed to willful intent, the hearing officer is not required to
levy against the inmate account. In such cases, the hearing officer should
examine such matters as whether the inmate knew or should have known that the
behavior in question would be likely to cause property to be damaged or
destroyed, whether the inmate acted in direct contravention, of written or
verbal orders, or any other circumstances which reflects light upon the
appropriateness of levying against the inmate account. The Disciplinary Hearing
Officer should thoroughly explore such circumstances before reaching a
conclusion that a levy would be appropriate. Should the hearing officer impose
such a levy, it must be for the full amount of the damage or destruction, up to
a maximum of $50.00, and shall continue until the obligation is fully
discharged.
(d) The reasoning
supporting any decision to order restitution for damaged property must be fully
detailed under "Reasons for Punishment" on Form F-831-3.
(e) The Disciplinary Hearing Officer shall
not, under any circumstances, order restitution between inmates, or between
inmates and staff. Restitution shall only be used as a tool to discourage the
destruction of property by causing inmates to take fiscal responsibility for
such destruction.
(f) Inmates who
are found guilty of purposefully destroying property in an amount exceeding
$500.00, are subject to a charge of criminal mischief, a Class C felony. A
monthly report detailing such violations should be forwarded to the Prosecuting
Attorney's Office. That office will determine whether any prosecutions are
appropriate. Those inmates included in the report shall be notified of the
possibility that felony charges will be filed. Inmates may be charged with unit
disciplinary plus the filing "of criminal charges.
K. Specific Prohibitions
1. No Disciplinary Hearing Officer shall sit
as a Disciplinary Hearing Officer when the person is the charging person.
Furthermore, charging persons are not to supervise the charged inmate during
the disciplinary proceedings. Any person whose knowledge of a particular
disciplinary episode is more than peripheral should not be the hearing
officer.
2. No employee or contract
personnel of the Department of Correction is to communicate to a Disciplinary
Hearing Officer by way of suggestion or order that the hearing officer shall
find one way or the other on a disciplinary. No employee of the Department or
contract personnel is to recommend to a hearing officer a particular punishment
if the inmate is found guilty.
3.
Employees who sit as a hearing officer are to make their decision on guilt or
innocence based solely upon the evidence presented to them in disciplinary
court and are not to follow instructions of a supervisor in making their
decisions whether the inmate is guilty or innocent.
4. If the hearing officer is instructed as to
the manner in which he or she makes a finding on a disciplinary or on the
punishment to assess, he/she shall disqualify himself/herself from hearing that
disciplinary and will report the communication to the Disciplinary Hearing
Administrator.
5. Any hearing
officer or supervisor who believes that he/she is unable to render an objective
decision in a particular case, should request disqualification from that case.
In the case of the Disciplinary Hearing Administrator, the request will be made
to the Director.
L.
Records
1. Not guilty verdicts
(a) Disciplinary reports which result in a
finding of not guilty shall not be made a part of the inmate's permanent file.
Such reports must be forwarded to the Assistant Warden/Center Supervisor for
filing as a matter of personal record.
2. Expungements
(a) Disciplinary reports which indicate a
finding of guilty and which are reversed by the Wardens/Center Supervisors,
Disciplinary Hearing Administrator or Director are to be expunged from the
inmate's permanent file. Such reversals may be imposed as the result of an
appeal, or as a result of administrative review of the reports for procedural
error. In such cases, the disciplinary reports will be removed from the the
inmate's permanent file and forwarded to the Assistant Warden/Center Supervisor
for filing as a matter of record. Such reversals shall also restore all good
time or class status which may have been reduced by the Major Disciplinary
Hearing Officer.
3.
Suspended Sentence
(a) Inmates who are found
guilty of rule violations and assessed punishment may receive a suspended
imposition of the sentence. In such cases, the disciplinary report will become
a part of the inmate's permanent file. If the inmate is found guilty of another
rule violation during the period of a previously imposed suspended sentence,
the suspended punishment must be revoked and imposed and additional punishment
pursuant to the subsequent disciplinary episode may also be imposed. The
punishment may be made consecutive.
4. Guilty Verdicts
(a) All disciplinary hearing report forms
which render a verdict of guilty shall be transmitted by the Hearing Officer to
the Supervisor of Records who will promptly note the action taken against each
inmate. The Supervisor of Records shall thereupon make whatever changes are
required regarding statutory good time, meritorious good time, parole interview
date and institutional status and cause them to be made a part of the inmate's
permanent file.
M. Major Disciplinary Forms
The major disciplinary forms consist of six separate forms. Forms
F-831-1, F-831-2, and F-831-3 must be completed entirely pursuant to every
major disciplinary hearing, regardless of the verdict.
1. Form F-831-1
(a) The charging person is responsible for
providing the Major Disciplinary Hearing Officer with accurate reports of rule
violations. All information pertaining to the charge(s) must be detailed by the
charging person. The charging person must sign an affirmation regarding the
accuracy of the charges.
(b) The
notification officer must indicate his/her name and the time and date the
inmate was notified of the impending major disciplinary action. The inmate may
call witnesses at the time of notification by informing the notification
officer of those individuals he/she wishes to call as witnesses. The
notification officer should then list the witnesses called and instruct the
inmate to sign the form under "Witness Statements". If the inmate refuses to
sign, such refusal should be noted with the initials of the notifying
officer.
(c) The chief security
officer (Building or Field Majors or their designees) must review each
disciplinary report prior to a hearing for screening purposes. After indicating
the appropriate decision, the chief security officer must initial and date the
form under "C.S.O. Review".
(d)
There must be an indication of whether an extension was granted and if so,
whether the extension form was completed.
(e) The hearing officer is reminded of the
policy on counsel substitutes. When assigned, it should be so indicated and the
name of the counsel substitute entered. When not assigned the appropriate space
should be marked.
(f) A copy of
Form F-831-1 shall be forwarded to the inmate.
2. Form F-831-2
(a) The Major Disciplinary Hearing Officer
must ensure that all information at the top of Form F-831-2 is correct. Care
should be taken to note the time when the hearing starts and stops, as well as
the exact location on the tape recorder. If the inmate refuses to attend, there
is a reminder that the waiver form must be completed. In all cases, the
inmate's plea will be entered accurately.
(b) Statements made by inmates in their
defense or otherwise should be entered in as great detail as possible under
"Inmate's Statement". The inmate should be asked to sign beneath said
statements indicating that the above is in fact what he/she stated. In the
event that the inmate refuses to sign, the hearing officer should so indicate
and initial the form.
(c) Under
"Questions", the hearing officer should indicate the general line of
questioning pursued. The hearing officer should probe for any and all
additional information which could aid in reaching a fair determination of
fact.
(d) The hearing officer must
indicate the verdict reached and the punishment agreed upon, and shall indicate
the class that the inmate may be placed in.
(e) Under "Factual Basis for Decision", the
hearing officer must give a short synopsis of the facts as the hearing officer
perceives them after reviewing all of the evidence. This section should not be
confused with "Evidence Relied Upon" or "Reasons for Punishment". This should
include a summary of the reasons for finding the inmate guilty or not guilty.
In fulfilling this function, it is not sufficient to adopt and copy the exact
wording of the disciplinary report.
(f) The hearing officer must initial this
form in the bottom right hand corner.
(g) The inmate must be provided a copy of
this form.
3. Form
F-831-3
(a) Under "Evidence Relied Upon", the
hearing officer must include a list of the individual pieces of evidence that
were relied upon in reaching a disposition. Short-hand phrases such as
"Officer's Statement" will not be sufficient to perform this function. The
evidence must not only be described, but must be explained. The content of any
evidence relied upon should be given. Thus, if a charging person's report is to
be relied upon, the hearing officer should so state and then proceed to explain
exactly what it was in the person's report that the hearing officer relied
upon. In cases where weapons or contraband are involved, a notation should be
made in the proper slot indicating the form in which it was observed and
further describing the item with particularity.
(b) In any case where the hearing officer
makes a finding of guilty notwithstanding the fact that there was some evidence
which purported to exonerate the inmate, the hearing officer must include a
statement indicating the reason why such evidence was discounted.
(c) Under "Reasons for Assessment of
Punishment", the hearing officer must state why he/she felt the particular
disciplinary warranted the punishment assessed.
It is not enough to state, "nature and seriousness of offense and
past history". It is important that the Disciplinary Hearing Officer keep in
mind that the purpose served is that of providing an independent reviewing
authority with an adequate basis from which to determine why a particular
inmate received the particular punishment imposed. Special care should be given
to document reasons for differences in punishments given to different inmates
in the same incident. Factors to be weighed in assessing the punishment should
include, but not be limited to: the seriousness of the offense and the extent
to which the offense threatened institutional security; the number of major
disciplinaries received by the inmate for similar offenses, the overall
institutional record of the inmate; the attitude of the inmate including
his/her willingness to cooperate fully with the Disciplinary Hearing Officer;
personal factors which may have influenced the inmate to behave poorly (i.e.,
death in the family); inmate's willingness or lack thereof to return to work
and perform as expected; any hostility which the inmate may have exhibited
toward the Disciplinary Hearing Officer; any remorse the inmate may show
regarding his/her behavior; any effect a contemplated punishment may or may not
have in impressing upon the inmate the need for behavior modification; any
effect a contemplated punishment may have in terms of rewarding the inmate with
a second chance if the hearing officer believes behavior will improve as a
result thereof; the class status of the inmate should be kept in mind when
assessing the punishment (punitive time may not be necessary for a Class I
inmate if the hearing officer feels that a class reduction would sufficiently
impress upon the inmate the prohibition against the particular behavior). As
mentioned, the above are suggested factors to take into consideration when
assessing punishment and are by no means exhaustive. The hearing officer should
stay alert to any mitigating or aggravating circumstances associated with a
particular disciplinary episode. The hearing officer must initial the "Reason
for Punishment" in the appropriate space.
(d) A reminder is included regarding the
proper procedures for informants and alleged malingers.
(e) The inmate, having been informed of the
right to appeal, is instructed to sign the form indicating that he/she
understands the right to appeal. If a counsel substitute has been assigned,
he/she should also sign. If an inmate refuses to sign, the hearing officer
should so indicate by-initialing the slot reserved for the inmate's
signature.
(f) The hearing officer
must sign and date the disciplinary form.
(g) The inmate must be provided a copy of
Form F-831-3.
4. Major
Disciplinary Appeal Form F-831-4
(a) The Major
Disciplinary Appeal Form is self-explanatory. It should be available in the
disciplinary hearing room and at the hall desk. Inmates who are required to
serve punitive time may expedite the appeal process. The inmate is to mark the
box in the upper right-hand corner with an (X) if the appeal is in reference to
a finding of guilty on a particular disciplinary episode which resulted in the
imposition of punitive isolation as a disciplinary measure. This is designed to
aid the inmate who has been sentenced to a relatively lengthy isolation period
and who may have a valid appeal pertaining to guilt and/or punishment. The
Warden/Center Supervisor should prioritize these appeals.
(b) Inmates serving short periods of punitive
time should not be discouraged from utilizing the procedure, as their appeals
will be expedited by the procedure. Inmates not serving punitive time are not
permitted to mark in the "Punitive Appeal" box.
5. Form F-831-5 Disciplinary Extension Form
(a) The Disciplinary Extension Form
enumerates six legitimate reasons for the granting of an extension. If the
hearing officer or Warden/Center Supervisor grants the extension, a copy of the
signed Form F-831-5 must be forwarded to the inmate.
6. Form F-831-6 Waiver
(a) Physical force shall not be used to
secure the presence of the inmate before the Major Disciplinary Hearing
Officer. All inmates shall be afforded the opportunity to be present before the
Major Disciplinary Hearing Officer unless they waive that right in writing or
through behavior. In the event an inmate refuses to appear, the "Waiver of
Disciplinary Hearing Form" must be filled out. The inmate will not be subjected
to any further disciplinary reports as a result of availing himself/herself of
the waiver procedure.
VII. Minor Discipline:
A. Minor Disciplinary Form (F-831-7)
Minor disciplinary reports should be used as a tool to discourage
less serious misconduct. The rule violations for which an inmate may receive a
minor disciplinary report are identical to those violations for which a major
disciplinary report may be written. Minor discipline reports are within the
discretion of the charging person. Their purpose is to sufficiently impress
upon the inmate the need for behavior modification without burdening the inmate
with the stigma that attaches to major disciplinary reports. The Minor
Disciplinary Committee shall not sentence any inmate to punitive isolation, nor
shall the Committee reduce the accrued "good time" or class status of an
inmate.
B. Due Process
The full due process considerations inherent in the major
disciplinary process shall not apply to minor discipline. The inmate shall be
allowed to be present and to make a statement in his/her behalf.
C. Minor Disciplinary Committee
1. Each unit of the Department shall
establish and designate a Disciplinary Committee to hear and dispose of any and
all minor infractions of institutional rules and regulations.
2. The Minor Disciplinary Committee at each
unit shall be composed of the Chief Security Officer of the Building or Field
as Chairman and two officers from his/her division as members. The charging
officer cannot participate in the hearing. If the Chief Security Officer is the
charging officer or if the Chief Security Officer is absent from the unit the
officer designated to perform the Chief Security Officer's responsibilities
will be responsible for carrying out these duties.
3. There must be at least three Department
personnel to function as a committee.
4. The Committee will meet as many times as
necessary at a place and a time convenient to administer the institutional
minor disciplinary functions as expeditiously as possible.
5. Upon hearing the charges against the
inmate, the inmate's defense and testimony, the Committee shall render its
decision as to guilt or innocence and the appropriate action to be
taken.
6. The Minor Disciplinary
Committee, upon determining that an inmate is guilty of a minor violation of
institutional rules and regulations, may take any or all of the following
actions:
(a) Warn and reprimand or excuse the
inmate.
(b) Loss of
privileges.
(c) Extra duty (extra
duty will be useful work that is not intended as harassment). No inmate shall
be worked past his regular bedtime nor will he be allowed to do any extra duty
assessed him by the Minor Disciplinary Committee in lieu of his regular work
assignment. Actions taken by the Committee must not exceed 30 days.
7. At no time shall an inmate be
put in punitive isolation by the decision of the Minor Disciplinary Committee.
Good time shall not be reduced by the Minor Disciplinary Committee.
8. Disciplinary action should be taken by the
Minor Disciplinary Committee as soon as possible after the discovery of the
violation. Any minor disciplinary action which has not been heard after five
days (excluding weekends and holidays) shall be dismissed.
9. The Minor Disciplinary Form F-831-7 will
be filled out in its entirety for each infraction.
10. Minor disciplinary reports will not be
made a part of the inmate's permanent file. After the Minor Disciplinary
Committee has completed its daily functions, the minor disciplinary reports
shall be forwarded to the chief security officer for separate filing as a
matter of record.
11. Once the
Committee has met and disposed of a minor disciplinary, the Committee shall not
change or alter the decision in any manner.
12. Findings of the Minor Disciplinary
Committee may be appealed to the Warden/Center Supervisor, and his/her decision
is final. The Warden/Center Supervisor may affirm, reverse or modify the
decision of the Minor Disciplinary Committee.
13. The Chief Security Officer must submit to
the Warden/Center Supervisor a monthly report of the minor disciplinary
actions. The Warden/Center Supervisor must maintain a file of these reports and
have them available for review by the Disciplinary Hearing Administrator. The
Warden/Center Supervisor and Disciplinary Hearing Administrator must ensure
that each inmate is treated fairly and equitably.
VIII. Sanctions:
Any employee/contract personnel who violates this policy will be
subject to disciplinary action which may include termination.
Board of Correction Approval Date: 3/30/90
Attorney General Review Date: 3/30/90
Date Filed Secy of State: 4/2/90
Supersedes: AR 831
Dated: 12/17/87
