I.
AUTHORITY:
The authority to promulgate this administrative regulation is
vested in Act 50 of 1968, First Extraordinary Session, as amended.
II.
PURPOSE:
To provide the procedure by which formal complaints or grievances
filed by an inmate may be resolved.
III.
APPLICABILITY:
To all employees and inmates.
IV.
DEFINITIONS:
A.
Grievance: A
written complaint by an inmate on the inmate's own behalf regarding:
1. A policy applicable within his or her
unit/center of assignment which personally affect the grievant;
2. A condition in the unit/center that
personally affects the grievant;
3.
An action involving an inmate(s) of his or her institution which personally
affects the grievant;
4. An action
of employee(s) of his or her institution which personally affects the
grievant;
5. An incident occurring
within his or her institution which personally affects the grievant.
The term does not include a complaint relating to a parole
matter. There is a separate procedure for appealing disciplinary action, and
the grievance procedure shall not be used to appeal disciplinary action.
B.
Inmate: An individual confined to an adult institution
who has been convicted of a crime.
C.
Reprisals: At a
minimum, an act or threat of action against anyone for the good faith use of or
good faith participation in the grievance procedure. Inmates are also allowed
to pursue complaints of reprisal(s) through these procedures.
D.
Emergency
Situation: Matters regarding in which disposition according to the
regular time limits would subject the inmate to substantial risk of personal
injury, or cause other serious and irreparable harm to the inmate. Emergency
grievances must be forwarded immediately to the level at which corrective
action can be taken.
E.
Days: Calendar days.
V.
POLICY:
Inmates will be provided an opportunity to resolve bona fide
grievances, complaints, incidents and problems through established procedures
without fear of restraint, interference, coercion, discrimination or
reprisal.
Opportunity exists to provide inmates with a meaningful
opportunity to resolve grievances, incidents, problems and complaints including
those which may result in lawsuits filed pursuant to
42 U.S.C.
1983, and to recognize that this opportunity
should be assured by:
A. Promulgating
written procedures that require a plain, speedy, efficient and equitable
response to the inmate by the Department.
B. Providing a mechanism for input by both
inmates and Department employees in the implementation, review and evaluation
of procedures.
C. Communicating the
procedures in an effective manner to inmates and employees.
D. Assuring that inmates shall not suffer any
reprisals for their use of the procedures and that if such reprisals do occur,
they will be redressed and employees disciplined.
E. Promoting the credibility of the
procedures by providing a participatory role in its operation for inmates and
Department employees.
F. Submitting
the dispositions of grievances to independent review,
G. Recording the filing and disposition of
grievances, assuring confidentiality and providing all parties concerned with
documentation of all actions taken.
H. Defining emergency and other special
situations, and providing for more speedy dispositions where
appropriate.
I. Evaluating and
reporting upon the performance of procedures.
J. Submitting the procedures to the Attorney
General of the United States for Certification pursuant to
42
U.S.C. 1997, when certification requirements
may be met in accordance with State law.
VI.
PROCEDURES:
The existence of the grievance procedure does not in any way
absolve employees from carrying out their full responsibilities. Employees
should exercise good judgement, and every attempt should be made to resolve
inmate grievances informally; whereas, inmates are encouraged to resolve
grievable matters in an informal manner with staff.
A. Adoption of Procedures
Inmates and employees shall be afforded an advisory role in the
formulation and implementation of the grievance procedure. An advisory role
shall also be afforded in reviewing compliance with the procedures set
herein.
When formulating and implementing a procedure or when adopting
changes, notice and/or proposed changes shall be posted in prominent locations
(to include employee and inmate bulletin boards) throughout the institutions at
least 30 days prior to implementation of the procedure/changes.
1. Changes in the procedure shall be clearly
identified.
2. The posting shall
state that employees and inmates wishing to comment should address their
comments in writing to the unit/center grievance coordinator.
3. All comments shall be considered prior to
implementation of the procedure/changes.
4. Proposed changes to a previously certified
procedure shall be provided to the Bureau of Prisons, National Inmate Appeals,
prior to their effective date.
B. Communication of Procedures
1. Written notification and verbal
explanation of the grievance procedure will be made to both inmate and employee
upon their arrival. A memorandum addressing those inmates in need of assistance
in understanding the grievance procedure will be posted monthly in all inmate
living areas. The memorandum shall advise the inmate to contact the appropriate
staff (i.e., administrative review officer, grievance officer, counselor, or an
assistant warden) for explantion and/or assistance. The opportunity to have
questions regarding the grievance procedure answered orally shall be
available.
2. If an inmate is
incapable of understanding the English language, a verbal presentation of the
grievance procedures will be given in the language the inmate does
understand.
3. All employees at the
unit/center level shall receive training by the Departmental Training Academy
in the skills necessary to operate or participate in the grievance
procedure.
4. Inmates are hereby
advised that lawsuits filed pursuant to
42 U.S.C.
1983 may be held in abeyance by the court
pending the results of grievance procedures.
C. Accessibility
All inmates shall be entitled to invoke the grievance procedure
regardless of their security or job classification, disciplinary status, or
administrative or legislative decisions affecting the inmate. This procedure
shall also be accessible to impaired and handicapped inmates and an effort made
to explain the procedure in a manner comprehensible to them.
1. Copies of this policy shall be available
in all law libraries.
2. Inmates
may seek assistance from staff members when necessary to communicate the
problem on the grievance form.
a. Staff
members are encouraged to assist inmates who are unable to complete the forms
without assistance because they cannot articulate a grievance in written form,
they are physically unable to write, or because they cannot communicate in
English.
D.
Remedies
A grievance with merit will be afforded a reasonable range of
meaningful remedies.
1. The
responsible authority will attempt to correct or modify objectionable
conditions, policies or practices when possible and in accordance with state
law and good correctional practice.
2. When it is necessary for objectionable
conditions, practices or policies to be modified by a higher authority than the
responding authority, the lower authority shall note its agreement or
disagreement with the grievant and transmit the completed grievance form to the
higher authority. The grievant will receive written notice of this
action.
3. The department is to
encourage the resolution of successful grievances involving property losses,
confiscations or forfeitures through the return of the property, or
restitution.
4. Records may be
corrected and action by the staff or classification committees may be
modified.
E . Staff
Training
The Training Academy will implement a training program in
reference to grievances. This training will outline various methods and
techniques which assist the appropriate staff in writing independent and
objective responses to inmate complaints. The training shall be mandatory for
administrative review officers, grievance officers, assistant wardens, and
wardens/center supervisors.
F. Steps of the Grievance Procedure
1. Initiation
Once an inmate initiates the grievance process, review of the
grievance shall occur automatically without interference by administrators or
employees of the institution, and such review shall be conducted without
influence or interference by administrators or employees of the
institution.
a. Forms: Inmates should
first attempt to verbally resolve grievances, incidents, problems or complaints
through their immediate supervisor. If the problem cannot be resolved
informally, they may file a written grievance with the Administrative Review
Officer (ARO) or the warden's/center supervisor's designee on a form provided
for that purpose (see Attachments I and II). The forms shall be freely
available, and when completed, be deposited in locked grievance and mail boxes.
The boxes shall be located at accessible places throughout the units/centers.
Staff, as requested by an inmate who is confined or physically unable to
personally deposit a grievance, will deposit said grievance in one of the
locked grievance or mail boxes.
b.
Assistance: Any inmate who is unable to complete the form shall so advise his
or her immediate supervisor, who shall make arrangements, for assistance
without unreasonable delay.
c.
Inmate and employee participation: When a grievance challenges general policy
and/or practices, inmates and employees shall be permitted to participate in an
advisory capacity in the disposition of the grievance unless the grievant
objects. Notice of the grievance should be made available at least 10 days
before the first response is due. Notice shall state the general policy
question involved and the date the first response is due, but individual names
and facts shall be eliminated. The notice shall indicate that comments
regarding the general policy and/or practice should be directed in writing to
the unit/center grievance coordinator.
The advisory input shall be achieved by posting a notice on
inmate and employee bulletin boards to solicit comments on a grievance that
challenges general policy and/or practices. The advisory input must be
considered prior to the initial adjudication of the grievance.
No inmate or employee who appears to be involved in the matter
shall participate in any capacity in the resolution of the grievance.
Inmates shall be prohibited from a role in the resolution process
when the grievant objects.
2. Initial Processing
Completed grievance forms which are deposited in the grivance and
mail boxes shall be collected daily, excluding weekends and holidays and
delivered to the ARO or the warden's/center supervisor's designee who
shall:
a. Assign a number to the
grievance, record the date grievance was received, list name and ADC number of
the grievant, and log sufficient information to obtain the nature of the
complaint.
b. Determine whether the
grievance:
(1) states an emergency situation;
or
(2) is frivolous; or
(3) should be processed within normal
guidelines as stated herein.
The ARO or the warden's/center supervisor's designee will note
one of the above on the grievance and forward it to the warden's/center
supervisor's office for review as indicated in this policy.
c. Transmit an acknowledgement of
the grievance filed in writing to the grievant within five days (see Attachment
III) after receipt.
d. If an
emergency situation is declared by the grievant but it is not determined as
such by the ARO or warden's/center supervisor's designee, the grievance will be
processed within the time limits outlined above in preceding section
"c".
e. Should the ARO or
warden's/center supervisor's designee determine an emergency situation does
exist, the grievance will be immediately forwarded to the warden/center
supervisor.
The warden/center supervisor will notify the grievant and advise
what action is being taken and approximate time for response (see Attachment
III).
3.
Initial Decision
Within twenty days after filing (or less, if required in
emergency situations), every grievant shall receive a written response to his
or her grievance signed by the warden. In cases where a longer period of time
is required for a response or for resolution of the problem, the grievant shall
be so notified in writing of the reason for the delay and its expected length
(see Attachment IV).
All responses shall:
a.
state the reason for the decision, in clear well-reasoned terms.
b. include a statement that the grievant is
entitled to further review.
c.
include simple directions for obtaining such review.
4. Appeal
Expeditious processing of grievances at each level of
decision-making is essential. Responses shall be made within the fixed time
limits as stated at each level of decision. Time limits for responding may be
extended only with the written agreement of the grievant. Expiration of the
time limit at any stage of the process shall entitle the grievant to move to
the next stage of the process, unless the grievant has agreed in writing to an
extension of the time for a response.
a. Deputy/Assistant Director: If after being
responded to by the warden/center supervisor, the inmate is not satisfied, he
or she may appeal within five days to the appropriate deputy/assistant director
who will attempt to resolve the matter or assign a staff member to do so. The
appeal should be written on the original form returned by the warden. If the
form is not returned by the warden within the time limit set, the inmate may
still appeal to the appropriate deputy/assistant director. Upon receiving the
appeal, the deputy/assistant director will request all documentation pertaining
to the grievance (if documentation is not attached) and will respond in writing
to the inmate concerning the decision within twenty days. Receipt of filing
shall be acknowledged in writing within five days to the inmate by the
deputy/assistant director's office (see Attachment III).
b. Director: If the inmate is still not
satisfied with the response received, he or she may file an appeal on the form
provided by the appropriate deputy/assistant director within five days to the
Compliance Division. The Compliance Division will forward its recommendation(s)
to the Director. The Director will decide what action to take and inform the
inmate of his decision within thirty days. Receipt of filing shall be
acknowledged in writing within five days to the inmate by the Director's office
(see Attachment III) .
The entire grievance procedure must be completed within 90
calendar days.
G. Emergency Situations
1. Grievants may declare emergency situations
if they believe that by observing the regular time limits for disposition, they
would be subject to a substantial risk of personal injury or other serious and
irreparable harm.
2. Grievants may
indicate the existence of an emergency by marking the box provided on the
grievance form, and filing the grievance form in the usual manner or by
personally delivering it to any officer or employee of the department who shall
sign the attached emergency receipt, give the receipt to the inmate, and
deliver it without undue delay to the ARO or the warden/center supervisor or,
in their absence, to a unit/center assistant warden.
3. If it is determined an emergency exists,
the warden/center supervisor or their designee will take immediate corrective
action.
H. Reprisals
1. Prohibition: No grievant-shall suffer any
action or threat of action against him based on his use of or participation in
the grievance procedures- Such behavior is absolutely prohibited, and each
grievance form shall so state this policy.
2. Prevention: In addition to the initial and
periodic training of department personnel in the grievance procedures, all
personnel shall receive written and oral notice that formal and/or informal
reprisals will not be tolerated, and to further prevent reprisals:
a. grievance records shall be confidential
and will be marked as such.
b.
department personnel who engage in reprisals shall be disciplined in accordance
with the severity of the reprisal. At a minimum, those admitting guilt or found
to be guilty of reprisals shall have a written reprimand placed in their
personnel files but may be subject to further disciplinary action up to and
including termination.
I. Records
1. Nature: Each designated administrator at
each level of response shall collect and systematically maintain records
regarding the filing and disposition of grievances. At a minimum, such records
shall include aggregate information regarding the numbers, types, and
disposition of grievances, as well as individual records of the date of and the
reasons for each disposition at each stage of the procedure. Such records shall
be preserved for at least three years following final disposition of the
grievance.
2. Confidentiality:
Records regarding the participation of an individual in the grievance
proceedings shall not be available to inmates, department personnel other than
those directly involved in the grievance process, unless the person's job
requires access to such records. Grievance records will not be available to
non-departmental personnel other than those representing the Department. No
entries concerning the above shall be recorded in the inmate's jacket. Records
of testimony or evidence regarding an inmate's participation in a grievance
proceeding shall also be held confidential.
J. Evaluation
Each designated administrator at each level of response shall
submit an annual report to the Director on the inmates' use of the grievance
procedure and whether such use has resulted in meaningful consideration of
complaints and, where appropriate, adequate remedies for grievances.
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