Opinion ID: 2264097
Heading Depth: 1
Heading Rank: 2

Heading: Procedural Construct

Text: The State prison system is under the direction and control of DOC which, as noted, is a unit within DPSCS. Subject to the authority vested by law in the Secretary of DPSCS, the Commissioner of Correction is in charge of DOC. See Maryland Code, § 3-203 of the Correctional Services Article (CS). CS § 2-109(c) requires the Secretary to adopt regulations to govern the policies and management of correctional facilities in the Division of Correction in accordance with Title 10, Subtitle 1 of the State Government Article but excepts from that requirement a guideline pertaining to the routine internal management of correctional facilities in the Division. CS § 3-205 authorizes the Commissioner to adopt regulations for the operation and maintenance of the units in DOC and requires that the regulations shall provide for ... the discipline and conduct of inmates, including the character of punishments for violations of discipline. There is no exemption in § 3-205 from the requirements of title 10, subtitle 1 of the State Government Article (SG). SG, title 10, subtitle 1 (which comprises §§ 10-101 through 10-117) is the part of the State Administrative Procedure Act dealing with the adoption of regulations. It applies to every unit in the Executive Branch of the State Government, unless otherwise expressly provided by law. SG § 10-102. Neither DOC nor DPSCS is exempted, so the subtitle applies to both the Department and the Division. [1] The term regulation is defined in SG § 10-101(g)(1) as a statement, or amendment or repeal of a statement, that (1) has general application and future effect, (2) is adopted (i) to detail or carry out a law that the unit administers, (ii) govern the organization or procedure of the unit, or (iii) govern practice before the unit; and (3) is in any form, including a guideline, rule, standard, statement of interpretation, or statement of policy. Section 10-101(g)(2) excludes from the definition, among other things not relevant here, a statement that... concerns only internal management of the unit [ ] and ... does not affect directly the rights of the public or the procedures available to the public. SG, title 10, subtitle 1 imposes procedural requirements on the adoption of regulations. With certain exceptions for emergency regulations, it requires that the unit (1) submit a proposed regulation to the Attorney General or unit counsel for approval as to legality (§ 10-107), (2) submit the proposed regulation to the General Assembly's Joint Committee on Administrative, Executive, and Legislative Review (AELR Committee) at least 60 days prior to adoption (§§ 10-110, 10-112), (3) publish the proposed regulation in the Maryland Register at least 45 days prior to adoption (§ 10-111), and (4) after adopting a regulation, submit the full text of the regulation to the Administrator of the Division of State Documents for publication in the Maryland Register and the Code of Maryland Regulations (COMAR) (§ 10-114). A regulation is not effective until each of those requirements has been met. SG § 10-117. Pursuant to their respective authority under CS §§ 2-109 and 3-205, the Secretary and the Commissioner have adopted a number of regulations in accordance with SG, title 10, subtitle 1; they appear in COMAR, title 12, subtitle 2. Most of the rules governing the operation of the State correctional facilities, however, and especially those dealing with inmates, are in the form of directives adopted either by the Secretary (DPSCSDs) or by the Commissioner (DCDs) without any pretense of compliance with SG, title 10, subtitle 1. Those directives  seven substantial volumes of them  were promulgated to establish formal written policy and procedures relating to all aspects of correctional administration and operation. DCD 1-3. We are concerned principally with DPSCSD 105-4 and 105-5 and, to a lesser extent in this case, with DCD 185-001 through 185-403, which are applicable to all institutions within the Division. DPSCSD 105-5 does two things. First, in an appendix, the directive defines the kind of conduct that will subject inmates to discipline. Fifty-seven offenses are listed, divided into five categories of seriousness. Category I offenses include such things as engaging in disruptive activities, committing acts of violence, and possessing weapons or other dangerous contraband. Category II offenses mostly involve refusals by inmates to participate in activities that result in their removal from certain programs. Category III offenses include gambling, theft, and the possession of certain somewhat less dangerous contraband. Category IV offenses include disobeying a direct lawful order, refusing to work, giving false information, making unauthorized phone calls, and possessing any other kind of contraband; and Category V offenses include such things as failing to display one's identification badge, engaging in horseplay, and failing to maintain personal cleanliness. DPSCSD 105-5 also prescribes a procedure for charging offenses. It requires a prompt investigation of conduct that might constitute an offense, preparation of a rule violation report containing certain information, review of the report by a supervisor, the shift supervisor, and, if administrative segregation is recommended as a punishment, by the shift commander. Under DPSCSD 105-4, the shift supervisor, if convinced that there is only a Category IV or V violation, may prepare an incident report rather than a rule violation report and offer the inmate an informal disposition. An Appendix to DPSCSD 105-4 lists the possible sanctions available for an informal disposition, ranging from a reprimand, to loss of certain privileges, to cell restriction for up to one month. The inmate may accept the informal disposition by signing the notice or may reject it and opt for a hearing. If the inmate either is not offered an informal disposition or rejects one, he or she is served with a formal Notice of Inmate Rule Violation and Disciplinary Hearing. DPSCSD 105-5 sets forth the procedures for a hearing before a DOC hearing officer  when an inmate may be found to have waived a hearing, when charges may be dismissed on preliminary review, the authority of a hearing officer to offer an informal disposition, the applicable standard of proof, consideration of an inmate's request for representation or for the attendance of witnesses, preliminary motions, requests for postponement, taking a plea to the charge, the kind of evidence that may be admitted, presentation of a defense, fact-finding and decision by the hearing officer, and imposition of a sanction. The directive also provides for an appeal to the warden, review by the warden, and the options available to the warden. DPSCSD 105-4, in addition to providing for an initial offer of informal disposition, sets forth a matrix of punishments for the various offenses, taking into account the category of the offense, the inmate's prior rule-violation history, any aggravating and mitigating circumstances involved in the instant violation, and the inmate's adjustment history. Sanctions may include segregation, cell restriction, revocation of good conduct and special project program credits (diminution credits), and loss of visitation and other privileges for various periods of time. Some of those penalties are mandatory for certain offenses. Revocation of diminution credits is expressly authorized by CS § 3-709(a) and will usually result in an increase in the inmate's period of incarceration. [2] A finding of a violation, whatever the sanction, may also directly or indirectly affect an inmate's chance for parole or the sanction to be imposed in the event of any further violation. The DCD 185 series of directives deal with the processing of inmate complaints about prison policies, procedures, and conditions  such things as medical services, access to courts, religious liberties, lost, damaged, stolen, or confiscated property, use of force, conditions affecting an inmate's health, safety, and welfare, and the administration of the Administrative Remedy Procedure. See DCD 185-002. It is not available to protest classification, parole, or adjustment (offense) decisions but may be used to pursue complaints of formal or informal reprisals. Id. DCD 185-100 provides for three aspects of the Administrative Remedy Procedure  an informal resolution procedure, a formal complaint to the warden for investigation and resolution at the headquarters level, and a formal appeal of an adverse decision by the warden to the Commissioner. Remedies available include a written change in the substance, interpretation, or application of a policy, rule, or procedure. See Appendix 1 to DCD 185-100. A formal complaint is initiated by the filing of a Request for Administrative Remedy on a form attached as an appendix to DCD 185-100. An administrative remedy coordinator is required to process all formal complaints, and investigators are responsible for the timely and sufficient completion of an investigation on each assigned complaint. The warden may dismiss a request upon determining that it is frivolous or malicious. DCD 185-002 limits the number of requests for administrative remedy that an inmate may file to five a month and authorizes the warden to administratively dismiss any request not determined to be an emergency that is in excess of that limit. A decision by the warden may be appealed to the Commissioner. A final decision by the Commissioner exhausts the DOC Administrative Remedy Procedure. Further administrative review lies with the Inmate Grievance Office. The Inmate Grievance Office (IGO) is a statutory unit within DPSCS. See CS § 10-202. After exhausting the Administrative Remedy Procedure provided by DOC, an inmate who has a grievance against an official or employee of DOC may submit a complaint to IGO. If, after preliminary review, the IGO Executive Director concludes that the complaint is wholly lacking in merit on its face, the complaint may be dismissed without a hearing and without making specific findings of fact. CS § 10-207(b). Such an order constitutes the final decision of the Secretary for purposes of judicial review. Id. Absent such a conclusion, the complaint is referred to the Office of Administrative Hearings for a hearing before an Administrative Law Judge (ALJ) in conformance with the procedures set forth in CS § 10-208. The ALJ may dismiss a complaint as wholly lacking in merit, and that, too, will constitute the final decision of the Secretary for judicial review purposes. CS § 10-209(b)(1). Otherwise, the ALJ prepares a proposed order for review by the Secretary. CS § 10-209(b)(2). The inmate is entitled to seek judicial review from any final decision of the Secretary. CS § 10-210.