Arkansas Administrative Code › Agency 004 - DEPARTMENT OF CORRECTIONS › Rule 004.00.90-012 - Disciplinary Rules and Regulations

Current through Register Vol. 49, No. 6, June, 2024
831
		  Disciplinary Rules and Regulations
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.
PENALTY CLASS
CATEGORY ONE
(GROUP DISRUPTION)
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 1c 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, weapon,
						ammunition, knife, sharpened instrument, or unauthorized tool.
A
09-3.
Possession/introduction of any drug, narcotic intoxicant,
						chemical, OR drug paraphernalia not prescribed by medical staff.
A
09-4.
Possession or movement of money or currency, unless
						specifically authorized.
A
09-5.
Possession of clothing or property not issued or
						authorized by the center/unit.
C
09-6.
Possession of loose scrip.
B
09-7.
Possession of staff uniforms or clothing 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(D-
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 disciplinaries 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 disciplinaries 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(l)) 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.
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Board of Correction Approval Date: 05/17/90
Attorney General Review Date: 05/17/90
Date Filed Secy, of State: 05/18/90
Supersedes: EMERG. AR 831
Dated: 03/30/90