Colorado Doc Prisoner Disciplinary Policies 2009

Colorado Doc Prisoner Disciplinary Policies 2009

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ADMINISTRATIVE REGULATION

REGULATION NUMBER

PAGE NUMBER

150-01

1 OF 25

CHAPTER:

Boards

SUBJECT:

Code of Penal Discipline

COLORADO DEPARTMENT OF CORRECTIONS
RELATED STANDARDS: ACA Standards
2-CO-3C-01, 4-4047, 4-4226
through 4-4228, 4-4230 through
4-4233, 4-4235 through 4-4248,
4-4250, 4-4252, 4-4255, 4-4263,
and 4-4400
OPR: OOS

REVIEW MONTH: February

EFFECTIVE DATE:

May 15, 2009

SUPERSESSION:

06/01/08

Aristedes W. Zavaras
Executive Director

POLICY
It is the policy of the Department of Corrections (DOC) to provide written guidelines to ensure that
offender control and discipline [2-CO-3C-01] [4-4226] [4-4227] are established and maintained, in accordance with
the following objectives:
A. Require individual offender compliance with reasonable behavior standards and limitations.
B. Ensure the general welfare and safety of all persons living and working within the institution.
C. Establish and maintain fair disciplinary procedures and practices consistent with case law.

II. PURPOSE
To establish procedures, responsibilities, prohibitions, and sanctions which govern offender conduct at all DOC facilities, or
those under contract with the DOC, and establish procedural guidelines to assist prison officials in regulating the conduct of
offenders.
CONTENTS
SUBJECT

PAGE

PARAGRAPH

Purpose and Principles

Contents

II-A

Definitions

III

Procedures

Publication

IV-A

Jurisdiction

IV-B

Offenders Subject to Code

IV-B-1

Criminal Prosecution

IV-B-2

CHAPTER

SUBJECT

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Code of Penal Discipline

AR #

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Relationship to DOC Regulations (600-1 and 600-2)

IV-B-3

Disposition

IV-C

Violations

IV-D

Definitions of Class I Offenses

IV-D

Definitions of Class II Offenses

IV-D

Definitions of Class III Offenses

IV-D

Formal Disciplinary Procedures

IV-E

Hearing Officer/Hearing Board Composition and Authority

IV-E-1

Detention of Community Facility Offenders

IV-E-2

Formal Disposition Procedures

IV-E-3

Initiation and Review of Charges

IV-E-3-a

Notice of Charge(s)

IV-E-3-c

Service and Receipt of Notice of Charge(s)

IV-E-3-d

Amendment to Notice of Charge(s)

IV-E-3-e

Date and Time of Hearing

IV-E-3-f

Segregation Prior to Hearing/Removal from Population (RFP)

IV-E-3-g

Burden of Proof/Pleading

IV-E-3-h

Evidence

IV-E-3-i

Witnesses

IV-E-3-j

Confidential Informants/Information

IV-E-3-k

Continuance

IV-E-3-l

Rights of Offenders at Hearings

IV-E-3-m

Appearances

IV-E-3-m-1)

Representation

IV-E-3-m-2)

Offenders Who May Represent Other Offenders

IV-E-3-m-2)-d)

Offenders Who May Not Represent Other Offenders

IV-E-3-m-2)-f)

Waiver of Offender Rights

IV-E-3-m-3)

Record of Hearing

IV-E-3-n

Recording

IV-E-3-n-1)

Findings

IV-E-3-o

Hearing Officer or Board Authority/Authorized Sanctions

IV-E-3-p

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Disposition

IV-E-3-q

Final Approval of Formal Disciplinary Actions

IV-E-3-r

Appeals

IV-E-3-s

Expungement and Restoration

IV-E-3-t

Conditions of Punitive Segregation for DOC Facilities

IV-E-4

Informal Disposition Procedures

IV-F

Authority of Warden/Director to Modify Provisions of Code

IV-G

Declaration of Emergency

IV-H

Responsibility

III. DEFINITIONS
A. Attempt: An offender commits an attempt when, with intent to commit an offense, he engages in conduct which tends to
effect the commission of such offense. It is an affirmative defense to the charge of attempt that the offender voluntarily
abandoned his effort to commit the offense, prior to the discovery of his active participation in the offense(s), or before it
is substantially completed.
B. Complicity: An offender may be charged, tried, and convicted of any offense based upon the conduct of another person
if, with the intent that the offense be committed, he commands, induces, encourages, procures, or aids the other to commit
it. It is an affirmative defense to the charge of complicity that the offender, prior to the commission of the offense,
voluntarily withdrew from any active participation in the offense. In any prosecution where the liability of the accused
offender is based upon the conduct of another offender, it is no defense that the other offender has been found not guilty,
or has not been prosecuted, or has been convicted of a different offense.
C. Contraband: Any item that a DOC employee, contract worker, volunteer, visitor, or offender is not specifically
authorized to have in his/her possession; any item that has been altered and/or is being used for other than its intended
purpose (this does not include reading materials, refer to AR 300-26, Offender Reading Material); any item(s) over the
three cubic foot allowable personal property limit; any item listed in the “Consent to Search Authorization;” any item
listed in the Code of Penal Discipline; any item listed on the administrative head’s “Declaration of Contraband”; and any
item that may threaten the safety and security of a DOC facility, DOC employees, contract workers, volunteers, offenders,
or visitors, or any item listed as contraband in an administrative regulation, implementation/adjustment, or operational
memorandum.
D. Contract Worker: Any person employed under contractual arrangement to provide services to the DOC: any person
employed by private or public sector agencies who is serving under DOC special assignment to provide services or
support to DOC programs. The employee/employer relationship lies with the contractor. All Department agreements are
for a specified period and are renewable.
E. Dangerous Contraband: A communication device, firearm, knife, bludgeon, or other weapon, device, instrument,
material or substance, whether animate or inanimate, which is readily capable of causing or inducing fear of death or
physical injury. This may include, but not be limited to, needles and Class “A” and “B” tools.
F.

Dangerous Drugs and Paraphernalia: Alcohol; all controlled substances as listed under Schedules I-V of the Colorado
Revised Statutes, 18-8-203(2) through 18-18-207(2); marijuana and marijuana concentrates including all parts of the
plant cannabis sativa L.; and any volatile substance inhaled for its mood-altering effect, including but not limited to,
cleaning fluids, glue, lacquer, petroleum distillates and/or any drug controlled by regulations of federal or state law. This
area should also include drug paraphernalia. (Definition should always be that of the most current statutes).

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G. Date of Discovery: The date at which the initiating officer determined an offense has occurred and the
identity of the offender to be charged. This is determined by the date that the initiating officer signs
the “Notice of Charge.” [4-4238]
H. Disciplinary Officer: A person, or persons, designated by the warden, or the director of Adult Parole, Community
Corrections, and Youthful Offender System, whose duty it should be to present the DOC’s case at disciplinary
proceedings. Where feasible, this person should be at or above the level of correctional officer III or the equivalent.
I.

DOC Employee: Someone who occupies a classified, full or part-time, position in the State Personnel System in which
the Department has affect over pay, tenure, and status.

Executive Director: Executive director of the Colorado Department of Corrections, or designee. The highest command
DOC employee.

K. Group Living Team: A panel comprised of at least two DOC employees or contract workers who should determine
informal disposition of charges against the offender.
L. Hearing Board: A three member board comprised of DOC employees and/or contract workers, of which one serves as
chairperson of the hearing board.
M. Hearing Officer and Chairperson of the Hearing Board: Any DOC employee or contract worker, at or above the level
of correctional officer III, or the equivalent, designated by the executive director, or designee, as eligible to be a hearing
officer or chairperson of the hearing board for the purpose of administering this code.
N. Housing Supervisor/Shift Leader: The COIII or COIV assigned to supervision of a housing unit or shift.
O. Intentionally: An offender acts intentionally with respect to a result or to conduct described by this code when he
knowingly causes that result or engages in that conduct.
P. Non-Disciplinary Resolution: A voluntary alternative to formal Code of Penal Discipline charges, which involves
imposition of minor sanctions without a Code of Penal Discipline conviction.
Q. Physical Injury: Any physical injury which creates substantial risk of death or which causes death, serious
disfigurement, substantial pain, impairment of health, loss or impairment of any major bodily function, or which requires
any medical attention.
R. Possess: To knowingly exercise physical control over an object. Knowledge should be conclusively presumed when an
object is found on an offender’s person, his clothing, or in plain view. Knowledge should be rebuttably presumed when
an object is found anywhere in an offender’s cell or in a place where it is likely that only the offender could have placed
it. This presumption may be rebutted by evidence that the offender was not responsible for the object’s presence.
Offenders are presumed responsible for items found in a common area in a multi-occupancy cell. The presumption of
responsibility can be rebutted if proven otherwise.
S.

Preponderance of Evidence: Evidence which is of greater weight or more convincing than the evidence which is offered
in opposition to it; that is evidence which as a whole shows that the fact sought to be proved is more probable than not.

T. Probated Sanctions: Sanctions imposed by the hearing officer or board, which are withheld until a specified time, no
greater than 90 days, or in accordance with section IV.E.3.p.3).
U. Public Official: An elected or appointed official of any local, state, or federal entity.

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V. Reckless: An offender’s conduct is reckless if he performs an act or fails to perform an act which it is his duty to do,
knowing or having reason to know facts which would lead a reasonable person to realize, not only that his conduct
creates an unreasonable risk of physical harm to another, but also that such risk is substantially greater than that which is
necessary to make his conduct negligent.
W. Reviewing Supervisor: Shift commander or housing supervisor, and/or CSS III, Food Service captain, or designee,
where infraction occurred.
X. Security Items: Locks, locking systems, windows, vents, telephones, computers, electronic devices, wrist bands, fire and
smoke detection and suppression equipment, or other similar items which are used for security/safety.
Y. Supervising Officer: The officer who will oversee the extra duty work done by the offender being disciplined.
Z. Volunteer: A person approved by Faith and Citizen Programs and the respective facility administrative head/designee to
provide services without compensation for DOC correctional programs.
AA. Working Days: Monday through Friday, excluding state recognized holidays. [4-4238]

IV. PROCEDURES
Masculine gender should also refer to the feminine gender if the context so requires. Whenever the singular is used herein, it
should also refer to the plural if the context so requires.
A. PUBLICATION: Amendments and/or supplements to this code may be issued at any time by the executive director of
the DOC as provided herein. Notice of any amendment and/or supplement to this code should be provided to offenders in
a manner determined by the facility warden/director. No amendments and/or supplements will become effective sooner
than 15 days after publication and notice to the offenders.
B. JURISDICTION:
1.

Offenders Subject to Code: All offenders in the custody of the executive director of the DOC should be subject to
this code. All violations of this code should be punishable as disciplinary violations.

Criminal Prosecution: In addition to being subject to this code, all offenders in the custody of the executive director
of the DOC are subject to all laws of the United States and the state of Colorado. If a violation of this code would
also be a violation of a federal, state, or local law, an offender should be subject to the provisions of this code as well
as to the applicable law.
When an offender allegedly commits an act covered by statutory law, the case should be referred
to the appropriate local or federal agency for criminal prosecution. [4-4231] Pursuant to CRS 17-1103.8(2)(a), the case should first be referred to the Office of the Inspector General (IG). The IG’s office will pursue
case filings and follow-up as necessary.

Relationship to DOC Regulations 600-1 and 600-2:
a.

All decisions relating to offender classification, removal from population, and placement in administrative
segregation should be made in accordance with administrative regulations 600-01, Offender Classification, and
600-02, Administrative Segregation. In the event that the facts of a particular disciplinary case make it
appropriate for a classification officer or board to review a particular case, the disciplinary hearing officer or
board may, at its discretion, forward a summary of facts to the classification officer or committee for its review.
Such recommendations should not be binding upon the appropriate classification officer or committee.

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In addition, pursuant to administrative regulations 600-01 and 600-02, the appropriate classification officer or
committee may review any offender’s status without regard to any recommendation from the disciplinary
hearing officer or board.
b.

Disciplinary hearing officers or boards should not have any authority to modify, change, or otherwise affect an
offender’s classification, except through the process of recommending that the classification officer or board
review a particular case, as outlined in Section IV.B.3.a. above.

C. DISPOSITION: Class I and II offenses require a formal hearing. All Class III offenses will be handled through
the informal disposition procedure, [4-4230] unless they are in combination with Class I or II charges resulting
out of the same incident.
D. VIOLATIONS:
CLASS I OFFENSES:*
(1) Murder: An offender commits this offense when he intentionally causes the death of another person. Self-defense
should be a defense to a charge of Murder.
If the evidence presented is insufficient to sustain a conviction on a charge of Murder, the hearing officer or board
should have the discretion to modify the charge to convict the offender of the offense of Manslaughter or Assault, if
such conviction is justified by the evidence presented.
(2) Manslaughter: An offender commits this offense when he recklessly causes the death of another person, or without
premeditation, upon a sudden heat of passion caused by a serious and highly provoking act affecting the offender
sufficiently to excite an irresistible passion in a reasonable person, causes the death of another person. Self-defense
should be a defense to a charge of Manslaughter.
If the evidence presented is insufficient to sustain a conviction on a charge of Manslaughter, the hearing officer or
board should have the discretion to modify the charge to convict the offender of the offense of Assault, if such
conviction is justified by the evidence presented.
(3) Kidnapping: An offender commits this offense when he seizes; or carries any person from one place to another; or
holds a person without his consent with the intent thereby to force the victim or any other person to make any
concessions or give up anything of value in order to secure the release of the person under the offender’s actual or
apparent control.
(4) Assault: An offender commits this offense when he intentionally, or through negligence or recklessness, causes
injury to another person, or applies any physical force, offensive substance (such as feces, urine, mucous, blood,
saliva), or any other item or hazardous substance against any person regardless of whether or not injury occurs. Selfdefense should be a defense to a charge of Assault.
If the evidence presented is insufficient to sustain a conviction on a charge of Assault, the hearing officer or board
should have the discretion to modify the charge and convict the offender of the offense of Fighting, if such
conviction is justified by the evidence presented.
(5) Escape with Force: An offender commits this offense when he, by force or threat of force, without proper authority
removes himself from the confines of the institution or from official custody while beyond the confines of the
institution.
If the evidence presented is insufficient to sustain a conviction on a charge of Escape with Force, the hearing officer
or board should have the discretion to modify the charge and to convict the offender of Escape without Force, if such
conviction is justified by the evidence presented.

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(6) Escape Without Force: An offender commits this offense when, without proper authority, he removes himself from
the confines of the institution or fails to return to official custody following temporary leave granted for a specific
purpose and for a specified period of limited duration. The hearing officer or board should have the discretion of
treating tardiness as Unauthorized Absence, rather than Escape without Force, so long as the offender voluntarily
returns from the temporary leave within four hours of his scheduled return time. For an offender on community
corrections placement, the hearing officer or board should have the discretion to reduce such Escape without Force
charge to Failure to Remain or Return, provided the offender voluntarily returns within 48 hours of the designated
return time.
(7) Engaging in Riot: An offender commits this offense when he, with two or more persons, participates in conduct that
creates danger of damage or injury to property or persons and obstructs the performance of facility functions.
If the evidence is insufficient to sustain a conviction on a charge of Engaging in Riot, the hearing officer or board
may have the discretion to modify the charge to convict the offender of the offense of Advocating or Creating
Facility Disruption, if such conviction is justified by the evidence presented.
(8) Inciting to Riot: An offender commits this offense when he urges or organizes two or more offenders to imminently
engage in a riot and such incitement is likely to produce a riot, or once a riot begins, he assumes a position of
command or instruction in furtherance of the riot.
If the evidence is insufficient to sustain a conviction on a charge of Inciting to Riot, the hearing officer or board may
have the discretion to modify the charge to convict the offender of Advocating or Creating Facility Disruption, if
such conviction is justified by the evidence presented.
(9) Rape: An offender commits this offense when he/she uses physical force or intimidation upon another person for the
purpose of sexual contact of any kind, and,
(a) He has impaired the power of the other person to apprise or control his conduct by administering or employing
drugs, intoxicants, or similar means, or,
(b) He compels or induces the other person to submit by any misrepresentation such as bartering and extortion or
threat of violence, or,
(c) The other person suffers from mental disease, defect, or inadequacy that is reasonably apparent or known to the
accused offender, which, in fact, renders the other person incapable of understanding the nature of his conduct
or being aware of the nature of the act committed, or,
(d) The other person is unconscious or otherwise physically incapable of resisting.
If the evidence presented is insufficient to sustain a conviction on the charge of Rape, the hearing officer or board
should have the discretion to modify the charge and to convict the offender of Sexual Harassment or Sexual Abuse,
if such conviction is justified by the evidence presented.
(10) Arson: An offender commits this offense when he sets fire to, burns, causes to be burned, or by the use of any
explosive or combustible device, damages or destroys or causes to be damaged or destroyed, any structure or
property.
(11) Robbery/Extortion: An offender commits this offense when he uses or threatens the use of physical force or
improper pressure upon another person for the purpose of:
(a) Preventing or overcoming resistance to the taking of property or to the retention thereof immediately after the
taking, or,

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(b) Compelling the owner of such property or another person to deliver or give up possession of the property.
If the evidence presented is insufficient to sustain a conviction on a charge of Robbery/Extortion, the hearing officer
or board should have the discretion to modify the charge and convict the offender of the offense of Theft or
Bartering, if such conviction is justified by the evidence presented.
(12) Possession of Dangerous Contraband: An offender commits this offense when he possesses, uses, has under his
control or in his custody any item defined as dangerous contraband. Offenders in possession of any unauthorized
Class “A” or “B” tools may be found guilty of this violation.
(13) Dealing in Dangerous Drugs: An offender commits this offense when he sells or gives away any quantity of any
item defined as dangerous drugs.
(14) Possession of Key or Key Pattern: An offender commits this offense when he possesses a key or key pattern to any
lock. A key pattern is any substance upon which the impression of a key is made. This offense should not prohibit
possession of keys authorized by the warden/director, or designee.
(15) Possession of Escape Paraphernalia: An offender commits this offense when he has in his possession, in his cell, in
his immediate sleeping area, locker, or immediate place of work or other program assignment, or receives from or
gives to another offender, or fashions or manufactures, or introduces or arranges to introduce into the facility any
escape paraphernalia including, but not limited to:
(a) Lock, lock picks, trip wires, locking devices, chain, rope, ladder, tool(s) (Class “A” or “B”), or other items
which could be used to effect an escape; and/or,
(b) Mask, wig, disguise, or any other means of altering normal physical appearance which would make ready
identification of an offender difficult; and/or,
(c) Mannequin, dummy, replica of a human body, or any item or device which would cause any offender to be
counted as being present at a designated time and place when, in fact, he would be absent, or in any way would
aid or abet the escape or walkaway of an offender; and/or any,
(d) Form of securities, bonds, coins, currency, legal tender, official papers or documents (other than papers or
documents relative to judicial or administrative proceedings), unless expressly and specifically authorized by
the warden/director, or designee, of the correctional facility concerned; and/or
(e) Item of an officer’s uniform, civilian clothing, or DOC employee clothing, including badges, buttons, name tags,
or items of personal identification, unless expressly and specifically authorized by the warden/director, or
designee, of the correctional facility concerned.
(16) Tampering with Locks or Security Items: An offender commits this offense when he without authorization, locks,
unlocks, disables, alters or modifies, in any way, any lock, locking system, or security item within the facility and/or
uses any unauthorized lock or security item.
(17) Refusal to Submit to Drug Test: An offender commits this offense when he fails or refuses to submit to any test for
the unauthorized use of dangerous drugs requested by any DOC employee or contract worker. This includes
tampering, dilution, and or adulteration of urine samples, oral swabs, or hair samples. Refer to AR 300-20, Offender
Drug Screening, for established time frames.
(18) Threats or Intimidation of Public Officials: An offender commits this offense when he communicates to a public
official a determination, scheme, or intent to cause, or to instill, the fear of death, injury, terrorism, or intimidation.
Such communication may be verbal, physical, or written.

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(19) Solicitation of a DOC Employee, Contract Worker, or Volunteer Misconduct: An offender commits this offense
when he attempts or is complicit to an act(s) where he seeks to obtain as by persuasion, intimidation or influence, to
entice any DOC employee, contract worker, or volunteer into an unlawful act and/or violation of CDOC policy for
any reason.
(20) Unauthorized Possession of Electronic Communication Device: An offender commits this offense when he
possesses or uses a communication device, to include but not limited to: cell phone, computer, pager, or DTR
(digital trunk radio).
*

Attempt or Complicity - The charges of complicity and/or attempt may be used in conjunction with any appropriate
Class I offense and the hearing officer or board may impose the same penalty prescribed for the substantive offense.
CLASS II OFFENSES:*
(1) Theft: An offender commits this offense when he knowingly obtains or exercises control over property or services
belonging to someone else, without authorization. Value of property or services should be substantiated by written
documentation if restitution is to be sought or ordered as a sanction.
If the evidence is insufficient to sustain a conviction on a charge of Theft, the hearing officer or board should have
the discretion to modify the charge and to convict the offender of the offense of Bartering, if such conviction is
justified by the evidence presented.
(2) Damage to Property: An offender commits this offense when he intentionally or through recklessness, damages, or
causes to be damaged any property of another. Value of property should be substantiated by written documentation if
restitution is to be sought or ordered as a sanction.
(3) Bribery: An offender commits this offense when he offers to confer, confers, or agrees to confer anything of value
upon any DOC employee, contract worker, volunteer, or other offenders with the intent to influence that person’s or
offender’s exercise of discretion or other action in any capacity.
(4) Forgery: An offender commits this offense when he creates or alters a document with intent to deceive.
(5) Fraud: An offender commits this offense when he:
(a) Through deception, trickery, or false claims, attains anything for personal gain or benefit.
(b) Alters, destroys, conceals, or removes anything with intent to impair its authenticity or availability.
(c) Presents or uses anything which he knows to be false with intent to deceive.
(6.5) Sexual Abuse: An offender commits this offense when he has active or passive contact or fondling between his
genitals, hand(s), mouth, buttocks, anus, or breast and the genitals, hand(s), mouth, buttocks, anus, or breast of
another person. Contact can be with or without clothing being worn by one or both parties.
(7) Receiving Stolen Property: An offender commits this offense when he receives stolen property of another, knowing
that it has been stolen or believing that it has been stolen, unless he has notified a DOC employee, contract worker,
or volunteer of his knowledge or belief or otherwise made reasonable efforts to restore the property to its owner.
Proof that the accused offender acquired stolen property for a consideration far below its economic value or that he
was found in possession of recently stolen property will create a rebuttal presumption that it had been stolen. Where
the presumption exists, the offender has the burden of proof of showing lawful possession of the property.

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If the evidence is insufficient to sustain a conviction on a charge of Receiving Stolen Property, the hearing officer or
board should have the discretion to modify the charge and to convict the offender of the offense of Bartering, if such
conviction is justified by the evidence presented.
(8) Possession or Use of Dangerous Drugs: An offender commits this offense if he possesses or uses any quantity of
unauthorized dangerous drugs.
(9) Possession or Use of Tobacco or Tobacco Products: An offender commits this offense when he possesses or uses
any tobacco (smoking or smokeless) or tobacco products/paraphernalia, including but not limited to, rolling papers,
pipes, and lighters.
(10) Perjury: An offender commits this offense when he makes a false statement under oath or affirmation, or swears or
affirms the truth of a statement previously made and does not believe the statement to be true.
(11) Possession of Syringe or Drug Paraphernalia: An offender commits this offense when he possesses a syringe or
other implement capable of injecting a substance under the skin of any individual, including himself and/or possesses
an article, equipment, or apparatus capable of administering a dangerous drug or volatile substance.
(12) Fighting: An offender commits this offense when he engages in a physical altercation including, but not limited to:
exchange of blows, shoves, kicks, or any offensive physical contact without authorization from the warden/director,
or designee. Self-defense should be a defense to a charge of Fighting.
(13) Threats: An offender commits this offense when he communicates a determination or intent (either verbally,
physically, or in writing) to injure another person or to commit a crime of violence or an unlawful act presently or in
the future, and the probable consequence of such threat or threats (whether or not such consequence, in fact, occurs)
is:
(a) To place another person in fear of bodily injury; or,
(b) To cause damage to property; or,
(c) To jeopardize the security of the facility.
(14) Abuse of Medication: An offender commits this offense when he, in any way, stores, saves, gives away, possesses,
or removes any prescription medication without authorization.
(15) Interference with Search: An offender commits this offense when he refuses to allow, obstructs, or hinders in any
way, a DOC employee, contract worker, or volunteer in his search of any person, housing unit, or property.
(16) Advocating or Creating Facility Disruption: An offender commits this offense when he transmits or attempts to
transmit through any form of communication or action, threats, demands, actions, or suggestions which advocate
disruption; or if he actually disrupts operations of any segment of a facility.
(17) Inter-Agency Visitation: An offender commits this offense when he visits another facility without first obtaining
authorization from any DOC employee, contract worker, or volunteer at his facility assignment and any facility(ies)
he wishes to visit.
(18) Association: An offender commits this offense when he:
(a) While at a community placement facility or non-resident status, associates outside the facility, with a person he
knows or has reason to know is a convicted felon or a validated member of a security threat group without first
obtaining authorization of an appropriate DOC employee, contract worker, or volunteer, or,

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(b) While assigned to an off-grounds or outside crew, associates with the general public without first receiving
authorization.
(19) Unauthorized Possession: An offender commits this offense when he has in his possession, in his cell, in his
immediate sleeping area, locker, or immediate place of work or other program assignment or fashions, manufactures,
introduces or attempts to arrange or arranges to introduce into the facility any item defined as contraband.
Offenses under this subsection should not include unauthorized possession of dangerous contraband, dangerous
drugs, key or key pattern, syringes or drug paraphernalia, tattooing/piercing/branding paraphernalia, or escape
paraphernalia.
(20) Tattooing/Piercing/Branding and/or Possession of Tattooing/Piercing/Branding Paraphernalia: An offender
commits this offense when he receives or gives a tattoo/piercing/brand or has in his possession any
tattooing/piercing/branding paraphernalia to include, but not limited to: patterns, ink, needles, piercing jewelry,
irons, or altered electrical appliances.
(21) Count Interference: An offender commits this offense when he causes or participates in any interference, delay,
disruption, or deception with regard to the process of counting part or all of the offender population, including, but
not limited to: hanging, fastening, or attaching any sheet, blanket, curtain, drapery, or other material whether
transparent or not on any part or all of the front or door of a cell or around a dormitory bed or other immediate
sleeping area without the permission of an authorized DOC employee, contract worker, or volunteer.
(22) Failure to Work: An offender commits this offense when he:
(a) Fails to perform work assigned; and/or,
(b) Fails to report to work; and/or,
(c) Departs from his appointed place of duty or assignment without authorization.
Medical authorization by a clinical DOC employee or contract worker is a defense to this code violation.
(23) Gambling: An offender commits this offense when he plays for money or other things of value at any game
including, but not limited to: those played with cards or dice, or bets on the side or hand of those playing, or bets
anything of value on the outcome of any observable event or ascertainable happening or organizes or is in possession
of any game of chance, lottery, betting pool, betting slips or records, or is in possession of other similar devices.
(24.5) Sexual Harassment: An offender commits this non-contact offense when he subjects another person to verbal or
written statements or gestures of a sexual nature and:
(a) He uses obscene or profane language, makes demeaning references to gender or derogatory comments about
body or clothing, or,
(b) Makes sexually harassing gestures, or,
(c) Makes threats of physical force or improper pressure for sexual acts, or requests for sexual acts, or
(d) Displays his/her anus, genitals, or breasts (female) to another person, or,
(e) Masturbates in the presence or direct vision of another person, or
(f) To include any behavior of a sexual or romantic nature whether verbal or non-verbal.

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(25) Disobeying a Lawful Order: An offender commits this offense when:
(a) He refuses to obey a verbal or written order or instruction given by a DOC employee, contract worker, or
volunteer which is reasonable in nature and which gives reasonable notice of the conduct expected; or,
(b) He violates any special condition(s) of his community placement.
Violating a posted operational rule is not an offense under this subsection; however, refusing a verbal or written
order to comply with a posted operational rule is an offense.
(26) Bartering, Selling Goods, and Commodities or Services: An offender commits this offense when
he barters, loans, sells, gives, receives, borrows, or buys any item without the prior knowledge
and permission of a DOC employee, contract worker, or volunteer including, but not limited to:
those items sold in the canteen, clothing, housing furnishings, art and craft items, services, or
transfers or attempts to transfer funds from the trust or banking account of one offender to that of
another offender and/or when an offender arranges the payment from one offender to another
through outside resources without proper authorization. [4-4047]
(27) Verbal Abuse: An offender commits this offense when he subjects another person to abusive, offensive, or
defamatory language or gestures.
(28) Operating Motor Vehicles: An offender commits this offense when he operates any motor vehicle without
permission of a DOC employee, contract worker, or volunteer.
(29) Habitual Class III Convictions: An offender commits this offense when he receives four or more Class III informal
convictions during a six month period.
(30) Unauthorized Absence: An offender commits this offense when he, without proper authority:
(a) Departs from any place where he was directed to remain by a DOC employee, contract worker, or volunteer, or
facility regulations.
(b) Is away from his assigned area or is found in an area without authorization from a DOC employee, contract
worker, or volunteer of his assigned area.
(31) Failure to Remain or Return: An offender commits this offense if he fails to remain within or return, as specified in
the limits on his confinement, as established under any community corrections’ placement, but voluntarily returns
within 48 hours of designated return time. If the offender voluntarily returns within six hours of designated return
time, the hearing officer or board should have the discretion to reduce such Failure to Remain or Return charge to
Unauthorized Absence.
(32) Possession of Unauthorized Legal Documents: An offender commits this offense when he possesses legal
documents of another offender outside the immediate presence of the offender to whom the documents belong.
(33) Misuse of Clinical Services: An offender commits this offense when he causes the use, or expense, of medical,
dental, or mental health care, without good reason, or fails to cooperate with the care without good reason.
*

Attempt or Complicity: The charges of complicity and/or attempt may be used in conjunction with any appropriate
Class II offense and the hearing officer or board may impose the same penalty prescribed for the substantive offense.

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CLASS III OFFENSES:
(1) Failure to Display Name and/or Identification Number and/or Card: An offender commits this offense when he
fails to display his name and/or identification number and/or card in the manner prescribed by the warden/director’s
written directives.
(2) Failure to Obtain Permit: An offender commits this offense when he fails to obtain a permit for any item or activity
as prescribed by the warden/director.
(3) Violating a Posted Operational Rule: An offender commits this offense when he violates any posted facility rule or
regulation of which he has, or through the exercise of reasonable diligence, should have, knowledge. The written
report should include the specific operational rule alleged to have been violated.
(4) Failure to Pay Subsistence: An offender commits this offense when he fails to pay the subsistence fee(s) or ISP
fees.
(5) Entering Into Contract: An offender commits this offense when he enters into a contract or engages in any business
without the written approval of a DOC administrative head, or designee.
(6) Littering: An offender commits this offense when he disposes of any form of trash or waste in any place other than
those specifically designated for waste disposal.
(7) Sanitary Violation: An offender commits this offense when he:
(a) Willfully urinates or defecates in other than the facilities provided for such functions, or,
(b) Willfully fails or refuses to shower at least once a week, or,
(c) Willfully fails to keep his body, hair, and clothes in as clean, sanitary, neat, and odor-free condition as possible
under the circumstances of his particular custody, or,
(d) Willfully fails to keep his cell or immediate sleeping area clean, odor-free, sanitary, free of trash and debris and
available to the visual observation of a DOC employee, contract worker, volunteer, or,
(e) Intentionally commits acts hazardous to the health of any person within the facility.
(8) Personal Appearance Violation: An offender commits this offense when he fails to follow the warden/director’s
written directives on personal appearance.
E. FORMAL DISCIPLINARY PROCEDURES:
1.

Hearing Officer/Hearing Board Composition and Authority:
a.

Disciplinary hearings may be held before either a hearing officer or a three-member board, at the discretion of
the DOC. Upon the offender’s request, Class I offenses should be heard by a hearing board, if feasible.

For each facility operated by the DOC, the warden, or the director of Adult Parole, Community Corrections, and
the Youthful Offender System, should designate an approved list of DOC employee(s) or contract worker(s)
who may serve as hearing officers or chairperson of hearing boards for each such facility and such list should be
approved by the executive director, or designee. Persons so designated should be at or above the rank of
correctional officer III, or community parole officer I, II, or the equivalent, and should be trained in the
principles of jurisprudence and due process and should be thoroughly familiar with the provisions of this code.

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The hearing officer and the board should be impartial. [4-4240] A hearing officer should not be
directly involved in the incident; [4-4230] however, the hearing officer or member of the hearing board
may be aware of investigations and information about the incident without being biased. A brief description of
involvement should be made a part of the record. No hearing officer or board member should discuss a case to
which he is assigned with any other person, except at the hearing on the matter, or after its conclusion.

The hearing officer or board at each facility should have original and exclusive jurisdiction in all disciplinary
matters except that Class III offenses will be handled through the informal disposition process, unless they are in
combination with Class I or II charges resulting out of the same incident.

The hearing officer or board should administer an oath or affirmation to all parties testifying in a hearing. The
hearing officer or board should have the power to compel the attendance of any DOC employee, contract
worker, or volunteer. The hearing officer or board should have the power to obtain copies of document(s) held
by the DOC for the purpose of conducting a hearing.

DOC employees or contract workers who are formally approved to participate in the Mentoring Program may
participate in the COPD process as a hearing officer. Such DOC employee or contract worker should have
completed COPD Hearing Officer Training and may conduct hearings only under direct, on-site supervision of a
certified hearing officer at the level of correctional officer III or above. All DOC employees or contract workers
participating in the Mentoring Program as a hearing officer should have prior approval from the associate
director of Offender Services.

Detention of Community Facility Offenders:
a.

An offender assigned to a community facility may be placed and held in a local detention facility (e.g., city or
county jail), if required for security purposes upon notification of a charge for a Class I or II violation.

Detention prior to hearing should not exceed ten working days, except upon request for continuance by the
offender or approval from the director of Adult Parole, Community Corrections, and the Youthful Offender
System for justifiable cause and documented in the record.

Formal Disposition Procedures:
a.

Initiation and Review of Charges:
1)

If a Class I or Class II charge(s) is brought against an offender, appropriate supervisor(s)
must begin an independent review, [4-4232] as soon as possible, but no later than two working days
after the date of discovery of the alleged violation.

2) The supervisory review may be delegated to a DOC employee or contract worker at or above the level of
correctional officer III,or equivalent. The reviewing supervisor may consult with anyone, including the
offender, during his review. If the reviewing supervisor finds cause to believe that any violation was
committed by the offender charged, he should approve the Notice of Charge(s).
b.

The initiating officer(s) should be kept informed of all stages of the process as well as final disposition.

Notice of Charge(s):
1) The accused should receive a written Notice of Charge(s) [4-4236] not later than six working
days after the date of discovery of the violation, or not later than six working days after the offender has
been returned to the facility, if the offender is temporarily absent during the period after discovery, or not
later than six working days after the incident is reported, in writing, to the director of Adult Parole,
Community Corrections, and the Youthful Offender System, or designee.

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2) The Notice of Charge(s) should contain the place, date, and time of the incident, date of
discovery, the name of the initiating DOC employee, contract worker, or volunteer, the
citation of the offense charged, a description of the offense [4-4236] and the witnesses to
the offense. [4-4233] Copies of all available, relevant, non-confidential, non-repetitious information
and/or documentation should be included in, or attached to, the Notice of Charge(s). The offender should
be informed on the notice of the general substance of any confidential information and/or evidence to be
used against him without breaching confidentiality. The Notice of Charge(s) should notify the
offender of the date and time set for the hearing. [4-4238]
d.

Service and Receipt of Notice of Charge(s): The Notice of Charge(s) should be personally served to
the offender [4-4236] by DOC employees or contract workers and a copy should be forwarded to the hearing
officer or board with a record of the time and date served and the person serving the notice. The offender
should be served at least 24 hours prior to any disciplinary hearing. [4-4236] If an offender refuses
to accept his copy of the Notice of Charge(s), the serving officer should note such refusal on a copy of the
Notice of Charge(s). Non-English speaking offenders should be offered assistance by translation or other
effective means.

Amendment to Notice of Charge(s): If any amendment of the charges or other information on the notice is
made, the offender should be informed in writing of the amendment at least 24 hours prior to the hearing, unless
waived by offender. The correction of clerical mistakes will not be an amendment and can occur at anytime, and
should be made part of the record.

Date and Time of Hearing: The hearing should be scheduled to be heard and held no sooner than
24 hours and should not be held later than seven working days after the date of discovery, [44238] unless a continuance of the case is granted at the request of the offender, hearing
officer, or board, for good cause and documented in the record. [4-4236] In Community
Corrections, the hearing should be held within seven working days of the incident reported in writing to the
director of Adult Parole, Community Corrections, and the Youthful Offender System, or designee. An offender
may request the hearing officer or board to schedule a hearing at the earliest possible time. Priority in
scheduling hearings should be given to offenders who have been segregated prior to the hearing. The reporting
officer(s) should be notified of the date and time of the hearing.

Segregation Prior to Hearing/Removal from Population (RFP):
1) An offender should not be placed in punitive segregation prior to a hearing; [4-4252]
however, if the offender poses an imminent and substantial threat to the security of the
institution, other offenders, DOC employees, contract workers, or volunteers, or to
himself, he may be segregated prior to hearing. Segregation prior to hearing should only
be ordered by the shift supervisor. [4-4250] This is also known as removal from population (RFP)
(see AR 600-01, Offender Classification, Attachment “A”), which is a temporary classification action as
detailed in AR 600-01. The shift supervisor will, immediately following segregation, document in writing
the circumstances surrounding the incident and the need for pre-hearing segregation. Within one
working day, the warden, or designee, should review the report and determine whether
there is a continued need for segregation prior to hearing. [4-4235]
2) In cases in which pre-hearing segregation is found necessary, but the offender is housed at a facility where
segregation is not feasible, the offender may be removed to a more secure facility.

Burden of Proof/Pleading:
1) The DOC should have the burden of proof in all formal disciplinary proceedings under this code to
establish guilt in accordance with the standard of the preponderance of the evidence.

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2) At the hearing, the offender may plead “not guilty,” “guilty,” or “guilty with explanation.”
i.

Evidence:
1) The hearing officer or board should admit all reliable, non-repetitious evidence which is probative of the
facts of the incident from which the charge arises. The hearing officer or board may exclude irrelevant,
incompetent, or unduly repetitious evidence. Hearsay evidence may be admitted through the person to
whom the statement was made if such evidence possesses probative value commonly accepted by
reasonably prudent persons in the conduct of their affairs. Evidence may also be admitted through a sworn,
notarized statement. Documentary evidence may be received in the form of a copy or excerpt if the original
is not readily available. Physical evidence [4-4233] or replicas thereof, may be presented at the hearing
upon the hearing officer or board’s determination of necessity. Photocopies of physical evidence deemed to
be dangerous contraband by the disciplinary officer may be presented at the hearing in lieu of the physical
evidence.
2) Offender Evidence: The offender should be permitted to offer explanation, defense, or
rebuttal to the charge. [4-4242] An offender’s defense should be relevant to the specific charge and
may be limited at the discretion of the hearing officer or board.

Witnesses:
1) The offender and the disciplinary officer should have the right to request the testimony of
witnesses [4-4242] at the hearing, but no offender witness should be required to appear or testify against
his will. Testimony may be obtained from witnesses in person, telephonically, or by sworn statement. DOC
employees, contract workers, or volunteers should cooperate with all hearing officer requests to testify.
Witnesses may be limited by the hearing officer or board if their testimony is determined
to be irrelevant, incompetent, or unduly repetitious and that determination is documented
in the record. The offender may request testimony of persons who witnessed and/or
investigated the violations charged, whenever feasible, except when an offender witness
refuses to appear or testify. Refusal to testify should be documented in writing by the
refusing witness and made a part of the record of the hearing. The hearing officer or board
may deny any offender victim as a witness, based on protection of the witness from verbal
or physical harassment. Any denial of a witness by the hearing officer, and the reason
therefore, should be made part of the record. [4-4242]
2) Offer of Proof: In situations where the testimony made through an offer of proof (the hearing officer or
board asks the offender to summarize what a proposed witness would say, if allowed to testify) is of a sort
where further questioning of the absent witness is not necessary, the hearing officer can simply accept the
offer of proof as evidence and go on with the hearing without actually calling the witness.
3) In no event should an accused offender, or his representative, be allowed to question, or to continue
addressing questions to a witness, when it appears that the questions are primarily intended to harass the
witness or are unduly repetitious or irrelevant.

Confidential Informants/Information:
1) Confidential testimony will only be used when it is determined by the disciplinary officer
that public testimony would present danger to the safety of an informant [4-4241] or would
divulge security sensitive information or operations. Confidential testimony should be taken under oath and
recorded on audio tape or by sworn statement in confidence by the disciplinary officer and must be made
available to the hearing officer or board prior to the hearing. Confidential documentary evidence should
also be provided to the Board prior to the hearing. The disciplinary officer should record specific

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evidence of dangerousness together with the confidential testimony and/or evidence in a
separate written record [4-4241] which should not be revealed to the accused offender at any time.
2) The accused offender should, however, be informed in the Notice of Charge(s) of the general substance of
the confidential testimony and/or evidence including the place, date, and time (where known) of the
offense(s) alleged.
3) The hearing officer, or board, should evaluate the information gathered by the disciplinary officer to
determine the reliability of the information and state on the record, either verbally or in a written
determination using Attachment “F,” “Evaluation to Determine Dangerousness and Reliability of
Confidential Information,” their grounds for finding the information reliable. The reliability of the
informant should be based on the informant having provided reliable information in the past, the
information being offered is based on first hand observations, or there is corroboration from another source
or through physical evidence showing the reliability of the information. Immunity is not presumed for
confidential informants.
4) Confidential information that may lead to criminal charges should be coordinated with the Office of the
Inspector General. The confidential informant must be advised that confidentiality may not be maintained
in a criminal proceeding.
l.

Continuance:
1) The hearing officer or board may grant a continuance for a reasonable period of time for
good cause, [4-4239] upon the request of the offender or the DOC, or DOC employee or contract
worker.
2) The offender should receive a hearing at the earliest date practicable. Continuances for offenders
segregated prior to hearing will not exceed five working days.
3) The offender should receive a hearing within 30 working days of his return to the facility, if absent from the
facility prior to the scheduled hearing.
4) The reason for any continuance should be stated in the record of the proceeding and the offender and the
disciplinary officer should be notified of such continuances at or prior to scheduled hearing. Continuances
should be granted for a period of no less than 24 hours.

m. Rights of Offenders at Hearings:
1) Appearances:
a)

The hearing officer or board should conduct the hearing with due regard for the rights of the accused
offender. At commencement of the hearing, the offender should be given advisement of his rights to
remain silent and informed that any statement he makes may be used against him in a criminal
proceeding. The offender should be informed of the evidence against him, including the general
substance of confidential information as provided above, and afforded the opportunity to present
evidence at the hearing.

b) The accused offender will have the right to be present at the hearing. If any person,
including, but not limited to: the offender, a witness, or the offender’s representative,
engages in conduct at the hearing that is disruptive or poses a threat to the security of
the facility, he may be removed from the hearing and the hearing should proceed in
his absence. Such conduct should constitute a waiver of the right to have such

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person, including the offender, present at the hearing. [4-4241] If an offender refuses to
attend the hearing, the hearing may proceed in his absence, and the refusal will be documented by the
hearing officer on the record.
2) Representation:
a)

An attorney should not be allowed to represent an offender(s) or be present at the COPD hearing.

b) Offenders may request representation at the time of service of Notice of Charges.
c)

Offenders who the hearing officer determines on the record are not capable of
understanding the proceedings or articulating a defense, should be provided
representation by an offender or DOC employee or contract worker. [4-4243]

d) Offenders Who May Represent Other Offenders: The warden, or the director of Adult Parole,
Community Corrections, and the Youthful Offender System, may designate offenders as
representatives only at their facility, and such representative should meet the following minimum
requirements:
(1) Be neither classified as administrative segregation or in punitive segregation.
(2) Be housed within the same facility.
(3) Not have been convicted of a violation of a Class I or II offense in the last six months.
(4) Should have a working knowledge of the Code of Penal Discipline, as verified by the hearing
officer.
e)

Offender representation of other offenders is limited to the hearing process. An offender representative
does not have powers of investigation, discovery, etc.

Offenders Who May Not Represent Other Offenders: The warden, or the director of Adult Parole,
Community Corrections, and the Youthful Offender System, may remove an offender from eligibility
to represent other offenders when he determines that the offender:
(1) Demonstrates an inability to work with the code.
(2) Demonstrates unduly, disruptive behavior in a hearing before hearing officers or boards.
(3) Performs services as an offender representative for any type of compensation (other than
authorized offender pay).
(4) Demonstrates any other reason which results in an inability to render effective representation.

g) Failure to request representation at the time of service of Notice of Charges should constitute a waiver
of representation.
3) Waiver of Offender Rights: Any right waived by an offender under the code should be
documented in the record or on the record [4-4241] and allowed only if the hearing officer
or board is persuaded that the offender has made a knowing and voluntary waiver of his
right [4-4230] [4-4237] and the waiver is reviewed by the administrative head, or designee.
[4-4237]

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Record of Hearing:
1) Recording: All hearings should be recorded on audio tape. The tape should be preserved for
a minimum of five years from the hearing date, [4-4240] or until all administrative review is
completed or longer, upon reasonable request to the hearing officer or board.
2) All written documentation of the hearing should be maintained, per administrative regulation 100-27,
Records Management.

Findings:
1) Upon completion of the hearing, the hearing officer or board should decide by majority
vote the offender’s guilt or innocence, as determined by a preponderance of the evidence
[4-4244] and what disciplinary sanctions, if any, should be imposed. The hearing officer or board may also
decide to dismiss the charge. This decision should be forwarded to the administrative head, or designee, for
final approval. This decision will remain as part of the permanent record unless expunged. The hearing
officer or board should advise the offender of the decision and his right to appeal. At that time, upon
request by the offender, the hearing officer or board may, at its discretion, stay the imposition of sanctions
pending any appeal of the decision by the offender. The reporting officer(s) will be notified of the decision
of the hearing officer or board.
2) If an offender is found guilty of an offense, the hearing officer or board should state on the record, and in
the written decision, all reasons for the decision and for the penalty imposed and should specify any
aggravating or mitigating factors considered in their written decision. Dissenting votes should be noted on
the record. Any dissenting member of a board may state the basis of his opinion on the record. The hearing
officer or board should then prepare a written statement of the evidence relied upon.

Hearing Officer or Board Authority/Authorized Sanctions:
1) When a hearing officer or board finds that an offender has violated a provision of this code, the hearing
officer or board may impose all or any part of the sanctions prescribed for such violation, except as limited
herein. In cases where a loss of privileges is imposed, the hearing officer or board should specifically state
the extent of the restriction imposed.
2) The hearing officer or board should have the power to suspend any sanction or any part thereof imposed
under this code, provided that if a sanction is imposed, it should be imposed within the limitations set forth
herein.
3) The hearing officer or board should have the power to probate the sanction or any part thereof provided
that the period of probation should be for a definite period of time not to exceed 90 days and the conditions
for revocation should be specifically set forth in the Disposition of Charges. Warnings and reprimands will
only apply to Class III violations.
4) Monetary restitution, if imposed as a sanction, should be specified and should be equal to an amount up to,
but not exceeding, the cost of any damaged or stolen property or service. If apportioned, collection for
restitution should not exceed 50% of any money deposited to the offender’s account each month. In all
cases, an offender should be assured access to items necessary for personal hygiene. Restitution may be
ordered on any charge for the value of service or property. The identified specific amount/cost of restitution
should be included in the Disposition of Charges.

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5) Privileges will be suspended during the period of punitive segregation and should be restored consistent
with the offender’s classification upon release from punitive segregation. Punitive segregation and loss of
privileges should not be used together as a single sanction. Time spent by the offender in segregation due to
charged offense, prior to hearing, should be credited toward the satisfaction of any punitive segregation
sanctions subsequently imposed for the offense charged.
6) Loss of specific privileges, if imposed as a sanction, will be set forth in the written decision and may
include, but not limited to, canteen, movies, television, radio, gymnasium, yard, library, hobby shop, or
social visitation including contact visitation. Loss of privileges will not include work or academic or mental
health programs, except when affected by classification or segregation. In cases where a loss of privileges
is imposed, the hearing officer or board should specifically state the extent of the restriction imposed.
7) Loss of good time, if imposed as a sanction, should be within the maximum range set forth in the tables
included in this code. Such sanction should be consistent with AR 950-07, Sentence Computation.
8) Sanctions should be implemented at the conclusion of the hearing unless a stay of sanctions or probation
has been granted.
9) Under no circumstances should corporal punishment of any kind be administered to any offender.
10) Sanctions should be imposed concurrently for cumulative offenses arising out of the same act and/or
incident.
11) Sanctions may be suspended by the facility warden should the offender be moved from the facility on out to
court status, CMHIP, or extended medical and may then be initiated upon return to complete the unsatisfied
portion of the sanction(s) imposed.
q. Disposition: The offender should receive oral notice at the conclusion of the hearing of the hearing officer or
board’s actions. The offender should receive a formal written disposition of charges which will
include the reasons for the disciplinary action [4-4245] and evidence relied on, within ten working
days of the date of the hearing.
r. Final Approval of Formal Disciplinary Actions: Actions taken by the hearing officer or board should
be forwarded to the warden/director, or designee, who must review all decisions to assure
conformity with administrative regulations. [4-4247] The hearing officer or board chairperson will
inform the offender at the conclusion of the hearing that the action is subject to approval or modification by the
warden/director, or designee. The warden/director, or designee, may approve, reduce, or modify the decision or
reverse the decision and order a new hearing if the warden/director, or designee, determines that the decision
was not based on a preponderance of evidence or was based on incomplete information. The warden/director
may not increase sanctions.
Private Prison Monitoring Unit: CDOC is obligated to review all COPD convictions of offenders charged by the
contractor, per CRS 17-1-203. In the event a hearing officer or board determines an offender has violated
provisions of the COPD, the following sequence will occur:
1) The facility warden will review and sign the COPD Disposition of Charge(s) for all hearings performed by
a private prison hearing officer.
2) After warden (administrative head) signature, the facility warden will hold all guilty COPD Disposition of
Charge(s) for PPMU review.
3) PPMU will review the Disposition of Charge(s) for appropriateness to DOC AR 150-01 COPD criteria.

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4) PPMU will sign, date, and stamp all copies of the Disposition of Charge(s).
5) PPMU monitors will return all copies of the signed and stamped Disposition of Charge(s) to the facility for
service and distribution.
6) The facility will serve a copy to the offender and obtain offender signature of service in accordance with
AR 150-01, forward the original to the department file, file a copy in the working file, and retain a copy in
the hearing case file.
s.

Appeals: At the conclusion of the formal hearing, the hearing officer or board should advise the
offender of his right to appeal the decision to the warden/director, or designee, within 15
working days after the offender receives the notice of disposition. [4-4248]
1) The offender will have 15 working days from the day he receives the written formal disposition to outline
and forward to the warden/director, or designee, in writing, the basis for the appeal, including any newly
discovered evidence. Failure to submit written notice of appeal within the deadline will constitute waiver of
the offender’s right to appeal.
2) All appeals are limited to the appeal form. Additional supporting documents may be included by reference.
The offender should assume all documents used in the disciplinary hearing process are available to the
warden.
3) Upon receipt of the appeal materials, the warden/director, or designee, will review the case and reverse or
remand the hearing officer or board’s decision if he finds any of the following factors:
a)

A failure to comply with the procedures set forth in this code which substantially undermines the
fairness of the process.

b) That the decision of the hearing officer or board was not supported by a preponderance of evidence.
c)

That there has come to light newly discovered substantial exculpatory or mitigating evidence since the
hearing.

4) The warden/director, or designee, after reviewing the appeal materials, may modify the hearing officer or
board’s decision if he/she finds that the disciplinary sanction was not proportionate to the offense.
Modification may include the reduction, suspension, or probation of any part to the sanction imposed. In no
case may he increase the severity of the sanctions imposed.
5) The appeal should be decided within 30 days of its receipt and a written decision is then
promptly forwarded to the offender. [4-4248] The warden/director, or designee’s, judgment on such
appeal should be final.
Private Prison Monitoring Unit: CDOC is obligated to review all appeals of COPD convictions of offenders
charged by the contractor, per CRS 17-1-203. In the event a hearing officer or board determines an offender has
violated provisions of the COPD, the following sequence will occur:
1) The facility warden will receipt and provide administrative head decision for all offender appeal forms
(Attachment “D”) received on all COPD hearings performed by a private prison hearing officer.
2) After warden (administrative head) signature, PPMU will review the “Offender Appeal Form” for
appropriateness to DOC AR 150-01 COPD criteria.
3) PPMU will sign, date, and stamp all copies of the “Offender Appeal Form.”

CHAPTER

SUBJECT

Boards

Code of Penal Discipline

AR #

Page 22

150-01

EFFECTIVE
05/15/09

4) PPMU monitors will return all copies of the signed “Offender Appeal Form” to the facility warden.
5) The facility will serve a copy of the signed and stamped “Offender Appeal Form” to the offender and
obtain offender signature of service in accordance with AR 150-01, forward the original to the department
file, forward a copy to the working file, and retain a copy in the hearing case file.
t.

Expungement and Restoration:
1) When a conviction is reversed on an appeal, or for administrative reasons, an
expungement order should be completed. [4-4246]
2) When an offender is found not guilty or a conviction is reversed on an appeal, the DOC will attempt to
restore the offender to the greatest extent practicable all programs, privileges, and jobs lost during any
period where such were suspended or removed as a result of the charges against him. In the event that a
particular program, privilege, or job is no longer available, the offender’s case manager may obtain for the
offender the first available equivalent which opens for which the offender is qualified, when feasible.
3) A record of expunged COPD convictions may be maintained for statistical purposes.

Conditions of Punitive Segregation for DOC Facilities: The intent of detention of an offender in punitive
segregation is disciplinary in nature and will, of necessity, preclude participation in most institutional group
activities. Any restriction of the offender’s activities beyond those necessitated by the differing nature of the physical
facility and surrounding circumstances should be assessed as a result of a disciplinary hearing. The maximum
period of confinement in punitive segregation should not exceed 60 consecutive days. [4-4255]
In facilities under control of the DOC, none of the following conditions may be removed as punishment and may
only be removed or restricted upon the written notice of the warden/director, after declaration of an emergency or by
a physician, employed by or under contract with the DOC, after a finding by him/her of a substantial and immediate
danger to the offender’s health and safety:
a.

Regular food portions will be served to offenders in punitive segregation, including special dietary meals, if
prescribed, unless the warden/director, or designee, authorizes a special management diet, as prescribed by
administrative regulation 1550-04, Alternative Meal Service in Segregation.

Normal health and sanitary conditions should be maintained. All offenders should be provided with normal
hygiene items (e.g., toothbrush, soap, etc.). All offenders should be provided with the necessary materials to
clean their cells. All offenders should be allowed to shower and shave at least three times per week. All
offenders should be provided with a complete change of clean clothing three times per week
and linens at least once per week. [4-4263] Daily rounds will be made of those offenders in punitive
segregation by the housing unit supervisor and by qualified medical DOC employees or contract workers.

Appropriate medical or mental health DOC employees or contract workers should be notified immediately of
any physical health emergency. Clinical Services will be informed immediately when an offender is
transferred to punitive segregation. [4-4400]

An installed bunk, mattress, and bed covering adequate for the season should be provided.

A commode, lavatory, and drinking water or frequent escort to such facilities should be provided.

No more than one offender should occupy a punitive segregation cell at one time. If sufficient cells are
unavailable necessitating the placement of more than one offender in a cell, the warden/director should take the
necessary action and as soon thereafter as is feasible, obtain pertinent instructions from the appropriate director.

CHAPTER

SUBJECT

Boards

Code of Penal Discipline

AR #

Page 23

150-01

EFFECTIVE
05/15/09

Every offender in punitive segregation should be afforded at least one hour of exercise per day outside their
cells, five days per week, unless security or safety consideration dictates otherwise.

Offenders in punitive segregation should have access to law library materials, religious counseling, books and
pamphlets.

INFORMAL DISPOSITION PROCEDURES:
1.

An offender who is charged with a violation of a Class III offense should have an informal
conference by a group living team, [4-4230] unless it is in combination with Class I or II charges resulting out
of the same incident.

The offender will receive a written statement supporting the rule violated, prior to the conference.
The conference will be conducted within seven working days by a person not involved in the rule
violation. Offenders may waive their appearance at the conference. [4-4230]

Non-Disciplinary Incident Resolution Procedures:
a.

Non-disciplinary incident resolution procedures will be initiated immediately, but no later than 72 hours of the
incident, by the COIII, COIV, or community parole officer (CPO) who has direct knowledge of the incident.
Offenders do not have a right to informal resolution.
1) The initiating DOC employee, contract worker, or volunteer will document violations of the COPD, in
accordance with IV.F.1., by an offender on an incident report form.
2) The COIII, COIV, or CPO will read the incident report(s) and discuss the matter with the initiating DOC
employee, contract worker, or volunteer. If the incident is appropriate for non-disciplinary resolution and
the initiating DOC employee, contract worker, or volunteer agrees, a conference will be held with the
offending offender to determine his willingness to agree to the terms set by the non-disciplinary incident
resolution.
a)

Non-disciplinary resolution will be considered for any Class III report, unless it is in combination with
Class I or II charges resulting out of the same incident.

b) Non-disciplinary resolution may be considered for any Class II report.
c)
b.

Non-disciplinary resolution will not be considered on Class I reports.

Upon the agreement of a supervising officer, the COIII, COIV, or CPO will complete the “Offender NonDisciplinary Incident Resolution” form documenting the offender’s extra work assignment. Maximum sanctions
for extra work assignments will not exceed two hours, per day, for more than ten days.
1) The original is maintained in cellhouse operations’ files;
2) A copy is forwarded to the COIII, COIV, or CPO and;
3) A copy is immediately forwarded to the case manager for inclusion of a notation in the chronological log of
the working file. The case manager will review the incident and make any determinations regarding earned
time for that month.

CHAPTER

SUBJECT

Boards

Code of Penal Discipline

AR #

Page 24

150-01

EFFECTIVE
05/15/09

If the offender performs the extra work assignment satisfactorily, the supervising officer will document
participation on his/her copy of the “Offender Non-Disciplinary Incident Resolution” form and return a copy to
the cellhouse operations office and the case manager.

If the offender fails to perform the entire work assignment satisfactorily, the supervising officer will document
the offender’s refusal and return it to the COIII, COIV, or CPO who initiated the document.
The initiating COIII, COIV, or CPO will, no later than one working day, forward the original incident report to
the disciplinary officer or cell house group living team, for initiation of the formal COPD process.

In exchange for this administrative hearing, the parties agree that a Code of Penal Discipline complaint by
service of a Notice of Charges will not be filed, provided the imposed sanction of this specific case being
addressed is satisfied. The parties further agree that any time lines contained in administrative regulation 15001, Code of Penal Discipline, will be tolled.

Sanctions: When the group living team finds that the offender has violated a Class III rule, the team may impose all
or any part of the prescribed sanctions. The offender will be provided with a written decision, containing sanctions
imposed on a finding of guilty.

Non-disciplinary incident resolutions are not appealable.

G. AUTHORITY OF WARDEN/DIRECTOR TO MODIFY PROVISIONS OF CODE: In the event that a
warden/director desires to modify any provision of this code with regard to facility requirements, such modification
should be requested, in writing, to the executive director. No modification to the code should be considered to be
authorized until approved by the executive director.
H. DECLARATION OF EMERGENCY: In the event an emergency is declared by the executive director of the DOC, the
provisions of this code at the affected facility should be suspended for a period of no more than ten working days. The
executive director may establish alternative procedures for offender discipline during the suspension.
1.

An emergency may be declared only upon a documented and written finding by the executive director that a riot,
fire, or other disaster, or the substantial and imminent danger of a riot, fire or other disaster, renders following of
standard disciplinary procedures an imminent threat to the safety of offenders, safety of DOC employees, contract
workers, or volunteers, the facility for which the emergency is declared, or to the community where the facility is
located.

The emergency state may be renewed for subsequent periods of five working days by the executive director.

V. RESPONSIBILITY
A. The warden of the Denver Reception and Diagnostic Center should provide to each offender a copy of
this code and all changes/revisions thereto and should instruct illiterate offenders, or offenders with a
primary language other than English, about the nature and importance of this code when they receive
their copies. A signed, dated receipt for the code or any subsequent changes/revisions should be
forwarded to offender records. The warden/director, upon reasonable request, should make available
to illiterate offenders or offenders with a primary language other than English, a DOC employee,
contract worker, or volunteer knowledgeable of the code to discuss with such offenders the
provisions of the code; [4-4228] however, a complete reading of the code to such offenders by the DOC employee,
contract worker, or volunteer should not be required. The warden/director should provide all changes/revisions of the
code to offenders prior to their effective date.

CHAPTER

SUBJECT

Boards

Code of Penal Discipline

AR #

Page 25

150-01

EFFECTIVE
05/15/09

B. It will be the responsibility of every warden to ensure their hearing officers have been trained initially and annually.
C. It should be the responsibility of every offender subject to this code to be aware of its provisions and have an
understanding of its requirements.
D. It should be the responsibility of the associate directors of Correctional Legal Services and Offender
Services to review and update the COPD annually. [4-4226] [4-4227]
E. The executive director should appoint a designee, in writing, to administer the code.

VI. AUTHORITY
A. Wolff vs. McDonnell 418 US539 (1974)
B. Warden vs. Hill 472US445 (1985)

VII. HISTORY
May 15, 2007
February 15, 2006
July 15, 2005
July 15, 2004
June 15, 2004
September 1, 2003
September 1, 2002

ATTACHMENTS:

A. DC Form 150-01A, Notice of Charges
B. DC Form 150-01B, Disposition of Charges
C. DC Form 150-01C, Hearing Continuance
D. DC Form 150-01D, Offender Appeal Form
E

DC Form 150-01E, Offender Non Disciplinary Incident Resolution

AR Form 150-01F, Evaluation to Determine Dangerousness and Reliability of Confidential
Information

G. AR Form 100-01A, Administrative Regulation Implementation/Adjustments

CLASS I OFFENSES & AUTHORIZED SANCTIONS
[4-4255]
OFFENSE

LOSS OF
PRIVILEGES
(MAX. DAYS)

PUNITIVE
SEGREGATION
(MAX. DAYS)

LOSS OF GOOD
TIME (MAX.
DAYS)

MURDER

180

MANSLAUGHTER

120

KIDNAPPING

120

ASSAULT

ESCAPE WITH FORCE

ESCAPE WITHOUT FORCE

ENGAGING IN A RIOT

INCITING TO RIOT

RAPE

10. ARSON

11. ROBBERY/EXTORTION

12. POSSESSION OF DANGEROUS
CONTRABAND

13. DEALING IN DANGEROUS
DRUGS

14. POSSESSION OF KEY OR KEY
PATTERN

15. POSSESSION OF ESCAPE
PARAPHERNALIA

16. TAMPERING WITH LOCKS OR
SECURITY DEVICES

17. REFUSAL TO SUBMIT TO DRUG
TEST

18. THREATS OR INTIMIDATION OF
PUBLIC OFFICIALS

19. SOLICITATION OF DOC A
EMPLOYEE, CONTRACT WORKER
OR VOLUNTEER MISCONDUCT

20. UNAUTHORIZED POSSESSION
OF ELECTRONIC
COMMUNICATION DEVICE

CLASS II OFFENSES & AUTHORIZED SANCTIONS
[4-4255]
OFFENSE

LOSS OF
PRIVILEGES
(MAX. DAYS)

PUNITIVE
SEGREGATION
(MAX. DAYS)

LOSS OF GOOD
TIME (MAX.
DAYS)

THEFT

DAMAGE TO PROPERTY

BRIBERY

FORGERY

FRAUD

6.5. SEXUAL ABUSE

RECEIVING STOLEN PROPERTY

POSSESSION OR USE OF
DANGEROUS DRUGS

9. POSSESSION OR USE OF
TOBACCO OR TOBACCO
PRODUCTS

10. PERJURY

11. POSSESSION OF SYRINGE OR
DRUG PARAPHERNALIA

12. FIGHTING

13. THREATS

14. ABUSE OF MEDICATION

15. INTERFERENCE WITH SEARCH

16. ADVOCATING OR CREATING
FACILITY DISRUPTION

17. INTER-AGENCY VISITATION

18. ASSOCIATION

19. UNAUTHORIZED POSSESSION

20. TATTOOING/PIERCING/BRANDING

AND/OR POSSESSION OF
TATTOOING/PIERCING/BRANDING
PARAPHERNALIA

OFFENSE

LOSS OF
PRIVILEGES
(MAX. DAYS)

PUNITIVE
SEGREGATION
(MAX. DAYS)

LOSS OF GOOD
TIME (MAX.
DAYS)

21. COUNT INTERFERENCE

22. FAILURE TO WORK

23. GAMBLING

24.5. SEXUAL HARASSMENT

25. DISOBEYING A LAWFUL
ORDER

26. BARTERING, SELLING GOODS,
AND COMMODITIES OR
SERVICES

27. VERBAL ABUSE

28. OPERATING MOTOR VEHICLES

29. HABITUAL CLASS III
CONVICTIONS

30. UNAUTHORIZED ABSENCE

31. FAILURE TO REMAIN OR
RETURN

32. POSSESSION OF
UNAUTHORIZED LEGAL
DOCUMENTS

33. MISUSE OF CLINICAL SERVICES

CLASS III OFFENSES & AUTHORIZED SANCTIONS
OFFENSE

CONFINEMENT
TO HOUSING
UNIT (MAX.
DAYS)

AND/OR

EXTRA DUTY
(MAX. DAYS)

FAILURE TO DISPLAY NAME
AND/OR I.D. NUMBER AND/OR
CARD

FAILURE TO OBTAIN PERMIT

VIOLATING A POSTED
OPERATIONAL RULE

FAILURE TO PAY
SUBSISTENCE

ENTERING INTO CONTRACT

LITTERING

SANITARY VIOLATION

PERSONAL APPEARANCE
VIOLATION

Reprimands and warnings may also be imposed as sanctions for Class III Offenses.
*Extra duty may not exceed two hours per day.

DEPARTMENT OF CORRECTIONS
NOTICE OF CHARGE(S)
FACILITY

DC Form 150-01A
(Revised 05/15/07)

CASE NO. _______________

1. OFFENDER
DOC
NAME
NUMBER
__________________________________________________________________________________________________________________________________________
CURRENT HOUSING
CURRENT SECURITY
UNIT
DESIGNATION
__________________________________________________________________________________________________________________________________________
Time
Location_______________________________
2. ALLEGED CHARGES Date
Class
Rule
Specific Charge (Code of Penal Discipline) Use extra sheets if necessary
______
_______
___________________________________________________________________________________________________________________
______
_______
___________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________________________
3. SUMMARY (Factual Reporting, including who, what, when, where, and how).

__________________________________________________________________________________________________________________________________________
4. CONTRABAND: (Description and disposition. Also including same type information as required in number 3 if not listed.)
_________________________________________________________________________________________________________________________________________

5. NAMES OF WITNESSES TO VIOLATION: (Including DOC employee, contract worker or volunteer)

I certify that aforementioned charges and summary are true and correct to my
knowledge. The date of my signature reflects the discovery date of the violation.

S/___________________________________________________________________________________
Initiating DOC employee, contract worker, volunteer
Date
S/___________________________________________________________________________________
Reviewing Supervisor
Date
__________________________________________________________________________________________________________________________________________
6. INVESTIGATIONS/PHARMACY REPORT (When required)

Date ___________________________

Signature
Comments ________________________________________________________________________________________
__________________________________________________________________________________________________________________________________________
7. HEARING SCHEDULE: This case is scheduled for:
at:___________________________________________
Formal Hearing { }
Informal Conference { }
__________________________________________________________________________________________________________________________________________
8. SERVING DOC EMPLOYEE/CONTRACT WORKER: You are hereby served with a copy of alleged charges this
day of
20
at _____
(am) (pm). If you desire witnesses, in accordance with the Code of Penal Discipline, please notify the Reviewing Supervisor as soon as possible, but no later than 24 hours
prior to scheduled hearing, to avoid a continuance.
Signature
Date _____________________________
---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------9. OFFENDER ACKNOWLEDGMENT: I acknowledge receipt of a copy of the Notice of Charge.
I do { } do not { } desire an offender representative.
Signature
Date______________________________
Distribution:

White - Department File

Canary - Working File

Pink - Warden/Director
Attachment “A”
Page 1 of 1

Gold - Offender

DEPARTMENT OF CORRECTIONS
Informal Conference [ ]

Formal Hearing [ ]

DISPOSITION OF CHARGE(S)
FACILITY _________

DC Form 150-01B
(Revised 05/15/07)

OFFENDER NAME:
DOC NUMBER
CASE NO. _______________
__________________________________________________________________________________________________________________________________________
CURRENT HOUSING UNIT:
CURRENT CUSTODY LEVEL DESIGNATION:
__________________________________________________________________________________________________________________________________________
Continuation of hearing: Yes ‫ ڤ‬No ‫ڤ‬
If yes, describe date/time continued from:
Disciplinary Officer name and position: ___________________________
FINDINGS OF FACT: (List SPECIFIC evidence relied upon to support finding(s) including the general substance of confidential information and/or evidence.)
Charge(s): _________________________ Plea: Not Guilty ‫ ڤ‬Guilty ‫ ڤ‬Guilty w/explanation ‫ڤ‬
Finding:
Not Guilty ‫ ڤ‬Guilty ‫ ڤ‬Dismissed ‫ڤ‬
Charge(s): _________________________ Plea: Not Guilty ‫ ڤ‬Guilty ‫ ڤ‬Guilty w/explanation ‫ڤ‬
Finding:
Not Guilty ‫ ڤ‬Guilty ‫ ڤ‬Dismissed ‫ڤ‬
Offender Representative Requested: Yes ‫ ڤ‬No ‫ڤ‬
Was Confidential Information Used: Yes ‫ ڤ‬No ‫ڤ‬

Offender Representative Allowed Yes ‫ ڤ‬No‫ڤ‬
Offender Representative Name: ________________________
If yes, was information determined reliable by Hearing Officer: Yes ‫ ڤ‬No ‫ ڤ‬N/A ‫ڤ‬

Describe accused offender testimony:
Describe testimony and evidence presented:
Identify all offender witnesses requested:

Briefly describe all called witness testimony, or justification for not allowing requested witnesses:

Briefly describe specific evidence and testimony relied upon to reach finding:

Briefly describe how offender behavior violated COPD:

Other comments (describe any offender rights waived, justification for non-allowance of representation, explanation of extended recess and any other pertinent information):

-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------SUMMARY OF PENALTIES:
Describe any aggravating or mitigating factors considered:
Describe any stayed or probated sanctions:
Description of Penalties Imposed:
Date of sanction start and end; Explanation of Pre-Hearing segregation time credit:
Explanation of monetary restitution imposed / Information relied upon to determine amount imposed:
S/ ___________________________________________________________________________________________________
Chairperson
[TYPED NAME HERE ]
Date
__________________________________________________________________________________________________________________________________________
DATE OF HEARING
TIME OF HEARING
LOCATION OF HEARING
__________________________________________________________________________________________________________________________________________
COMMITTEE MEMBERS PRESENT
__________________________________________________________________________________________________________________________________________
WARDEN/DIRECTOR REVIEW: (Not required for informal)
{ } AFFIRM
{ } MODIFY
{ } REVERSE
COMMENTS:
S/ _____________________________________________________________________________________________________
Administrative Head or Designee
Date
-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------Offender Acknowledgment: I acknowledge receipt of a copy of this Disposition of Charge.
Signature ________________________________________________________________________

Name

Date
Distribution:

White - Department File

Canary - Working File

Pink - Warden/Director
Attachment “B”
Page 1 of 1

Gold - Offender

DEPARTMENT OF CORRECTIONS
HEARING CONTINUANCE

DC Form 150-01C
(Revised 02/97)

OFFENDER NAME _________________________________________________________________________ DOC NUMBER ________________________________

CURRENT FACILITY __________________________________________________________ CELL HOUSE/UNIT _________________________________________

FACILITY AT TIME OF OFFENSE ____________________________________________________________________________________________________________
_________________________________________________________________________________________________________________________________________
Case Number ______________________________________________________________________________________________________________________________
Type of hearing
{ } Disciplinary
{ } Administrative Segregation
_________________________________________________________________________________________________________________________________________

Your hearing scheduled for ___________________________________________________________________________________________________________________
Date
Time
has been continued until _____________________________________________________________________________________________________________________
Date
Time
for the following reason(s): ___________________________________________________________________________________________________________________
_________________________________________________________________________________________________________________________________________
_________________________________________________________________________________________________________________________________________
CONTINUANCE
Requested By:

{ } Offender
{ } Hearing Officer

{ } Disciplinary Officer
{ } Other:

Specify:_____________________________________________
______________________________________________
______________________________________________
______________________________________________

_________________________________________________________________________________________________________________________________________
Hearing Officer
Date

_________________________________________________________________________________________________________________________________________
Offender Acknowledgment
Date/Time

_________________________________________________________________________________________________________________________________________
Serving Officer
Date/Time

Attachment “C”
Page 1 of 1

DEPARTMENT OF CORRECTIONS
OFFENDER APPEAL FORM

DC Form 150-01D (REVISED 05/15/07)

CASE NO. ___________________
1. Offender Name

2. DOC No. _________________________________________

3. Current Facility

4. Facility Initiating Hearing ____________________________________

5. Type of Appeal:

Disciplinary

Classification

6. Date Hearing Held: ____________________________________________________

7. Basis of Appeal (Check the boxes which apply) Please Print. Be Brief - no additional attachments allowed.
{ } PROCEDURES NOT FOLLOWED: (State specifically what procedures were not followed)
{ } LACK OF SUBSTANTIAL EVIDENCE: (State specifically what evidence was not present in this hearing)
{ } NEW EVIDENCE: (State specifically what new evidence exists to affect the decision)

_________________________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________________________
Do NOT attach additional page. Additional attachments may not be considered.

8. Offender Signature _______________________________________________________________________________ Date ______________________________
RECEIPT BY FACILITY
Appeal Received by: ________________________________________________________________________________________________________________________
Name
Title
Date
_________________________________________________________________________________________________________________________________________
HEARING DECISION (please type)
10. Conviction is: { } Upheld { } Reversed { } Modified { } Remanded Explanation: (must respond)

By: _____________________________________________________________________________________________________________________________________
Administrative Head
Date
_________________________________________________________________________________________________________________________________________
RECEIPT BY OFFENDER
11. Appeal Decision received by: __________________________________________________________________________________________________________
Offender Name
DOC #
Date
__________________________________________________________________________________________________________
Witness
Date
White - Department File

Canary - Working File

Pink - Time Computation

Gold - Offender

Attachment “D”
Page 1 of 1

DC Form 150-01E (05/15/07)

Offender Non-Disciplinary Incident Resolution
1.

I accept non-disciplinary resolution of an incident in which my involvement failed to comply with acceptable standards of offender behavior. I
understand that I do not have to accept this resolution, and I have the right to have these alleged infractions heard under the Code of Penal
Discipline.
I understand that if I complete the terms of this resolution, Code of Penal Discipline charges will not be brought against me for any known
actions arising out of this incident. This is not a conviction under the Code of Penal Discipline and does not affect my cell assignment,
work, or hobby privileges. However, I understand that my actions may affect any earned time for the month.
Date of Incident: _________________________
Description of Incident: ______________________________________________________________________________________
_________________________________________________________________________________________________________
_________________________________________________________________________________________________________
_________________________________________________________________________________________________________
Resolution is

hours of extra work for

days; supervising officer __________________________

MAXIMUM SANCTIONS WILL NOT EXCEED TWO HOURS PER DAY FOR MORE THAN TEN DAYS.
The supervising officer will schedule and assign the extra work. If the supervisor is unsatisfied with my work; and I fail to correct it or if I
fail to comply with the terms of this resolution or any instructions from my supervisor, the non-disciplinary resolution will be withdrawn
and COPD charges will be filed on the original incident.
I understand and request non-disciplinary resolution of my failure to comply with acceptable standards of offender behavior. I will report
on (date)
.
to the supervising officer at (time)

Offender Name (printed)

Date ________________

_________________________________________ _______________________________________________________________
Offender Signature
DOC No.
COIII, COIV, or CPO
Date
2.

Non-disciplinary resolution should be agreed upon by the initiating DOC employee, contract worker, or volunteer.
__________________________________
Name (printed)

_____________________________________
Signature

___________________
Date

The COIII, COIV, or CPO will ensure that the case manager receives a copy of this document for chronological entry in the
offender==s working file, will maintain the original document in a unit operations file for statistical reporting purposes, and will
forward a copy to the supervising officer.
3.

The above offender has completed his extra work for

days for satisfactory resolution of this incident.

__________________________________________________
Supervising Officer

_______________________________
Date

Attachment “E”
Page 1 of 1

AR Form 150-01F (02/15/06)

Department of Corrections
Evaluation to Determine Dangerousness and Reliability of Confidential Information

Information taken by:

on:

at approximately:

Informant:

Hearing Date:

Case Number:

Evidence of Dangerousness:

Confidential Information Relied Upon:

Reliability of Information: (If and why-past reliability, first-hand observation, corroboration)

Hearing Officer

Date
Attachment “F”
Page 1 of 1

ADMINISTRATIVE REGULATION
IMPLEMENTATION/ADJUSTMENTS
AR Form 100-01A (04/15/08)
CHAPTER

SUBJECT

AR #

Boards

Code of Penal Discipline

150-01

EFFECTIVE
05/15/09

(FACILITY/WORK UNIT NAME) _________________________________________________________________________
WILL ACCEPT AND IMPLEMENT THE PROVISIONS OF THE ABOVE ADMINISTRATIVE REGULATION:
[ ] AS WRITTEN [ ] NOT APPLICABLE [ ] WITH THE FOLLOWING PROCEDURES TO ACCOMPLISH THE INTENT
OF THE AR

(SIGNED)

(DATE) ____________________________
Administrative Head
Attachment “G”
Page 1 of 1

The Habeas Citebook: Prosecutorial Misconduct Side