State of North Carolina
Department of Correction
Division of Prisons
POLICY AND PROCEDURE

Chapter:
Section:
Title:
Issue Date:
Supersedes:

B
.0200
Inmate Disciplinary
Procedures
06/30/09
04/25/08

.0201 GENERAL
Inmate conformity to prison rules is absolutely necessary for the orderly, safe, and secure operation
of correctional facilities. Effective, fair, and consistent disciplinary procedures enhance the orderly
operation of the facility and reinforce appropriate behavior and responsibility. The Division of
Prisons shall promulgate inmate conduct rules and disciplinary procedures and sanctions for all new
admissions to the prison system and make them available in conspicuous locations within each
correctional facility. Inmate Disciplinary Policies and Procedures shall be reviewed annually and
updated if necessary, by the Division’s Chief Disciplinary Hearing Officer (4-4226)
.0202 DISCIPLINARY OFFENSES
Disciplinary offenses are divided into four (4) classes which are Class A through Class D. Class A
offenses are the most serious and Class D offenses are the least serious.
(a)

The following are the Class A disciplinary offenses:
(A1)

Seize or hold a hostage or in any manner unlawfully detain any person against
his/her will;
(A2) Participate in a riot, insurrection, work stoppage or group demonstration, or
incite/encourage others to riot, participate in an insurrection, work stoppage or other
group demonstration;
(A3) Commit an assault on a staff member with a weapon or by any other means likely to
produce injury, such as hitting, kicking, pushing, pulling, throwing objects;
(A4) Commit an assault on another with a weapon or any other means likely to produce
injury;
(A5) Commit an assault on another inmate with intent to commit any sexual act;
(A6) Escaping or attempting to escape from any prison facility, community assignment,
during transport, or from the supervision of DOC staff or its authorized agent.
Attempt will include possession of escape plans, possession of any object that could
aid in an escape, attempt to hide within the facility to affect an escape, or any other
action that could result in escape if correctional staff did not intervene;
(A7) Possess, manufacture, and/or detonate an incendiary or explosive device;
(A8) Set a fire that endangers the life of another person or damages state property;
(A9) Commit an assault on a staff member by throwing liquids, (including but not limited
to urine and feces) or spitting on a staff member;
(A10) Fight or engage in a mutual physical confrontation involving weapons (including but
not limited to knives, locks, and razors); or resulting in outside medical attention;
(A11) Commit an assault on a staff member with intent to commit any sexual act;
(A12) Manufacture, possess, introduce, sell or use any unauthorized controlled substance,
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unauthorized intoxicant or alcoholic beverage, or possess associated paraphernalia;
(A13) Refuse to submit to a drug test or breathalyzer test, or interfere with the taking of
such tests;
(A14) Participate in, or organize, whether individually or in concert with others, any gang
or Security Threat Group (STG), or participate in any activity or behavior associated
with a Security Threat Group;
(A15) Offer, give, solicit or accept a bribe or offer to give or withhold anything to persuade
staff to neglect duties or perform favors;
(A16) Possess or use in any manner any type of unauthorized recording or image taking
device or any type of unauthorized communication device whether audio, video or
data. Examples include but are not limited to cell phones, personal digital assistants,
cameras, tape recorders or digital recorders that can be used to send and/or receive
any type of messages/images for any purpose;
(A17) Commit an assault on any person, other than an employee or inmate, with intent to
commit any sexual act;
(A18) Knowingly make to any person a false oral or written allegation about a staff member
that, if true, could expose the staff member to criminal liability;
(A19) Commit an assault on another by throwing liquids (including but not limited
to urine and feces) or spitting on another;
(A20) Wrongfully take, give away, or carry away, canteen inventory/cash, which results in
a loss of more than one hundred dollars ($100.00);
(A21) Extortion, strong-arming, verbal or physical intimidation for personal or financial
gain;
(A98) Deliberately provide false and/or misleading information to staff during an
investigation related to any offense in this class;
(A99) Attempt to commit any of the above-listed offenses, aid another person to commit
any of the above-listed offenses, or make plans to commit any of the above-listed
offenses. It shall be no defense that an individual was prevented from completing
any of the above offenses by prison staff or intervening circumstances.
(b)

The following are the Class B disciplinary offenses:
(B1)
(B2)
(B3)
(B4)
(B5)

(B6)

(B7)
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Possess or have under control any weapon or instrument to aid in an assault,
insurrection or riot;
Flood cell(s);
Willfully tamper with, damage or block any locking device, fence, door, gate or
window;
No longer in use. See offense A12.
Knowingly inhale, smell or breathe any vapors, fumes or odors, or possess for the
purpose of inducing or attempting to induce intoxication through inhalation; or
possess, inject, or ingest any non-controlled substance for the purpose of altering
mental or physical capacity;
Commit, solicit or incite others to commit any sexual act or indecently expose
oneself, or touch the sexual or other intimate parts of oneself or another person for
the purpose of sexual gratification;
Instigate or provoke an assault on another;
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(B8) Interfere with a staff member in the performance of his or her duties;
*(B9) Violate any law of the State of North Carolina or the United States of America;
(B10) Commit or incite others to commit acts, which spread or may spread communicable
diseases, or possess any instruments capable of spreading communicable diseases
(including but not limited to tattooing instruments and needles);
(B11) No longer in use. See offense A13.
(B12) Leave, quit without authorization, fail to report, or neglect to adhere to approved
schedules for community based programs;
(B13) Instigate or provoke an assault on a staff member;
(B14) Willfully damage, destroy, alter, tamper with or lose State property or property
belonging to another;
(B15) Communicating directly, indirectly, via a third party, or in any manner with victims,
or family members of the victims, who have requested in writing to Department of
Correction officials that such communication is unwanted;
(B16) Possession of any tobacco products or paraphernalia at a tobacco free
facility/segregation/control area or; possession of unauthorized lighters or lighting
devices at any facility or; using any tobacco products in an unauthorized area at
facilities with designated outside smoking/tobacco use areas;
(B17) Causing work stoppage, or delaying work while on community work assignment in
the community, causing the inmate to be returned to the facility due to inmate
misconduct;
(B18) Threaten to harm or injure staff; (Formerly C12)
(B19) Sell, accumulate, give, misuse, or hide medication; (Formerly C1)
(B98) Deliberately provide false and/or misleading information to staff during an
investigation related to any offense in this class;
(B99) Attempt to commit any of the above-listed offenses, aid another person to commit
any of the above-listed offenses, or make plans to commit any of the above-listed
offenses. It shall be no defense that an individual was prevented from completing any
of the above offenses by prison staff or intervening circumstances.
* An inmate should only be charged with Offense B9 in cases wherein a specific statute has
been violated and the act is not covered by current Division of Prisons disciplinary offenses.
The specific statute should be cited.
(c)

The following are Class C disciplinary offenses:
(C1)
(C2)

(C3)

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No longer in use. See Offense B19.
Direct toward or use in the presence of any State official, any member of the prison
staff, any inmate, or any member of the general public, oral or written language or
specific gestures or acts that are generally considered disrespectful, profane, lewd, or
defamatory;
Willfully disobey or fail to obey or cause another inmate to disobey or fail to obey
any lawful order of a prison official or employee, or any other lawful order to which
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(C4)
(C5)
(C6)
(C7)
(C8)
(C9)
(C10)
(C11)
(C12)
(C13)
(C14)

(C99)

(d)

Inmate Disciplinary Procedures
subject;
Fight or engage in mutual physical confrontation not involving weapons; or not
involving outside medical attention;
Offer, give, solicit or accept a bribe or offer to give or withhold anything to persuade
another to neglect duties or perform favors;
Leave, quit without authorization, or fail to report to any facility job, work or
program assignment, or scheduled appointment;
Threaten to harm or injure another or threaten to damage the property of any person;
Wrongfully take or carry away the personal property of another or State property or
accept or buy such property with the knowledge it has been wrongfully taken;
Barter or trade; loan or borrow; solicit or engage in any business activity;
Intentionally inflict self-injury for any reason;
Misuse or use without authorization, the telephone or mail;
No longer in use. See Offense B18.
Willfully create a hazardous or physically offensive condition or situation; (Formerly
Offense D5)
Possess funds in a form other than authorized by Division of Prisons’ Policy, in
excess of the authorized amount, or from an unauthorized source, or possess any
funds at a cashless prison facility; (Formerly Offenses D10 & D11)
Attempt to commit any of the above-listed offenses, aid another person to commit
any of the above-listed offenses, or make plans to commit any of the above-listed
offenses. It shall be no defense that an individual was prevented from completing
any of the above offenses by prison staff or intervening circumstances.

The following are the Class D disciplinary offenses:
(D1)
(D2)
(D3)
(D4)
(D5)
(D6)
(D7)
(D8)
(D9)
(D10)
(D11)
(D12)
(D13)
(D14)

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Be in an unauthorized location;
Negligently fail to perform or complete assigned duties;
Possess contraband not constituting a threat of escape or a danger of violence;
Gamble or possess gambling paraphernalia;
No longer in use. See Offense C13.
Fail to go to bed when the lights are dimmed or get up during the night without
securing permission of the correctional staff;
Exchange articles of clothing or possess unauthorized or excess clothing or mutilate
or alter State issued clothing or wear same;
Counterfeit, forge, alter or reproduce without authorization any document, article of
identification, stamps or other papers, or knowingly possess such falsified materials;
No longer in use. See Offense to B14.
No longer in use. See Offense C14.
No longer in use. See Offense C14.
Fail to keep living quarters in a clean and/or proper condition;
Fail to observe basic standards of personal hygiene in bathing and grooming;
Feign physical or mental illness or disablement for any purpose;
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(D15) Misuse prison supplies;
(D16) Assist another person with litigation or legal matters;
(D99) Attempt to commit any of the above-listed offenses, aid another person to commit
any of the above-listed offenses, or make plans to commit any of the above-listed
offenses. It shall be no defense that an individual was prevented from completing
any of the above offenses by prison staff or intervening circumstances.
.0203 ADMINISTRATIVE FEES
(a)

All inmates whose offenses result in a guilty disposition will be assessed an administrative
fee of $10.00 through the Inmate Banking module of OPUS. Only one fee per disciplinary
report is to be assessed regardless of the number of charges or number of reinvestigations.

(b)

All administrative fees will be electronically collected through Inmate Banking and
transferred to the General Fund.

.0204 AUTHORIZED DISCIPLINARY PUNISHMENTS
Presumptive punishments are established for the four (4) classes of offenses. Unless the punishment
is decreased or suspended by the Hearing Officer per section .0204(e)(4) and (5), or decreased or
suspended by the facility head or designee per section .0204(e)(6) and (f)(2), all the presumptive
punishments listed for each class may be imposed for conviction of a disciplinary offense within the
given class. The facility head/designee may void any disciplinary punishment. In those cases where
the facility head/designee voids a disciplinary punishment, designated staff shall forward a
memorandum documenting this action to the Chief Disciplinary Hearing Officer who shall ensure
that it is documented in the inmate’s appropriate electronic file. The presumptive punishments are
as follows:
(a)

For a Class A offense, the following presumptive punishments are authorized:
(1)

Confinement in disciplinary segregation for up to 60 days.

(2)

Demotion from minimum to medium custody, or medium to close custody.

(3)

Loss of 40 days sentence reduction credits, as applicable.

(4)

Up to 50 hours extra duty within the next 60 days following the hearing or release
from disciplinary segregation. Not more than 4 hours shall be performed on a
work day and not more than 8 hours on other days.

(5)

Loss of up to three (3) privileges for a period not to exceed 6 months. These
privileges include but are not limited to: work release, home leaves, community
volunteer leave, canteen, telephone and visitation.

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(6)

(b)

(c)

Limit weekly trust fund withdrawals to $ 10.00 for a period not to exceed 6
months.

For a Class B offense, the following presumptive punishments are authorized:
(1)

Confinement in disciplinary segregation for up to 45 days.

(2)

Demotion from minimum to medium custody.

(3)

Loss of 30 days sentence reduction credits, as applicable.

(4)

Up to 40 hours extra duty within the next 60 days following the hearing or release
from disciplinary segregation. Not more than 4 hours shall be performed on a
work day and not more than 8 hours on other days.

(5)

Loss of up to two (2) privileges for a period not to exceed 4 months. These
privileges include but are not limited to: work release, home leave, community
volunteer leave, canteen, telephone and visitation.

(6)

Limit weekly trust fund withdrawals to $10.00 for a period not to exceed 4
months.

For a Class C offense, the following presumptive punishments are authorized:
(1)

Confinement in disciplinary segregation for up to 30 days.

(2)

If the inmate is in minimum custody, demotion to minimum custody level I or
level II.

(3)

Up to 30 hours extra duty within the next 45 days following the hearing or release
from disciplinary segregation. Not more than 4 hours shall be performed on a
work day and not more than 8 hours on other days.

(4)

Loss of up to two (2) privileges for a period not to exceed 2 months. These
privileges include but are not limited to: work release, home leave, community
volunteer leave, canteen, telephone, and visitation.
Loss of 20 days sentence reduction credits, as applicable.

(5)
(6)

(d)

Inmate Disciplinary Procedures

Limit weekly trust fund withdrawals to $10.00 for a period not to exceed 2
months.

For a Class D offense, the following presumptive punishments are authorized:

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(e)

Inmate Disciplinary Procedures

(1)

Confinement in disciplinary segregation for up to 15 days.

(2)

Loss of one (1) privilege for a period not to exceed 1 month. These privileges
include but are not limited to radio, canteen, organized sports, gym or recreation
building, visitation, telephone privileges, movies, or other leisure time activities
and privileges.

(3)

Up to 20 hours extra duty within the next 30 days following the hearing or release
from disciplinary segregation. Not more than 4 hours shall be performed on a
work day and not more than 8 hours on other days.

(4)

Loss of 10 days sentence reduction credits, as applicable.

(5)

Limit weekly trust fund withdrawals to $10.00 for a period not to exceed 1 month.

Other Requirements:
(1)

When initiating disciplinary procedures for an inmate found guilty of possessing
funds in a form other than that authorized or in excess of the authorized amount,
or possessing funds at a cashless facility, the facility head/designee shall place all
of the funds found in the inmate’s possession in the Unauthorized Funds Account
(as specified in the Fiscal Policy and Procedures Manual, Section .1000) or return
the funds to the rightful owner when the funds were obtained through theft or
other unauthorized means. Balances in the Unauthorized Funds account will be
electronically transferred to the Welfare Fund (as specified in the Fiscal Policy
and Procedures Manual, Section .1000).

(2)

Inmate personal property which is confiscated in conjunction with a disciplinary
offense will be treated as contraband. Following a finding of guilty, the facility
head /designee shall dispose of the property in accordance with the Disposal of
Unauthorized Personal Property Policy, Chapter F .0504(b), or return the property
to the rightful owner when the property was obtained through theft or other
unauthorized means. Balances in the Unauthorized Funds account will be
transferred to the Welfare Fund if the inmate is found guilty, or returned to the
inmate if found not guilty (as specified in the Fiscal Policy and Procedures
Manual, Section .1000)

(3)

Should the facility head, designee or Disciplinary Hearing Officer restrict the
Trust Fund withdrawal to $10.00 per week; the action will be applied
electronically through the OPUS Inmate Banking system.

(4)

The Hearing Officer may decrease the presumptive punishment under any Class,

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A - D. The reason shall be recorded on the ISO4 screen with comments via
comments screen (OR14). In the case of multiple charges incurred from a single
incident report, the total amount of disciplinary segregation imposed shall be
limited to the maximum allowed for a Class A offense, and no single privilege
shall be suspended for more than six (6) months. Periods of suspension of the
same privilege shall run consecutively. Periods of suspension of unlike privileges
shall run concurrently.

(5)

The Hearing Officer may suspend part or all of the presumptive punishment for a
period not to exceed 6 months. The reason for suspending punishment shall be
recorded on the IS04 screen via the OR14 screen (comments section). The
Hearing Officer may activate a suspended punishment if a disciplinary conviction
occurs during the suspension time period.

(6)

The facility head/designee may decrease the presumptive punishment under any
class B-D. The reason for the decrease of presumptive punishment or suspension
of any part of the presumptive punishment shall be recorded on the IS03 Screen
with comments via comments screen (OR14). No single offense to which an
inmate voluntarily pleads guilty and waives a hearing before facility
head/designee or Hearing Officer shall result in active punishment greater than
the presumptive punishment for the offense that is one class below the offense
charged or suspension of all the presumptive punishment of the class charged. In
the case of multiple charges incurred from a single incident report, the total
amount of disciplinary segregation imposed shall be limited to the maximum
allowed for the most serious offense of the incident, and suspension of any
privilege type shall be limited to six (6) months.

(7)

The facility head/designee may also activate a suspended punishment if a
disciplinary conviction occurs during the suspension time period in the case of a
waiver of hearing and plea of guilty.

(8)

Punishment is active immediately and may be imposed immediately by the
facility head/designee. Appeal of the disciplinary will not delay punishment from
being imposed.

(9)

Administrative segregation is authorized to provide necessary control while
completing an investigation. No inmate may be placed in administrative
segregation for more than 72 hours without the documented approval of the
facility head or designated representative. The time that the inmate is assigned on
administrative segregation awaiting disposition of an offense shall be credited
toward any disciplinary segregation subsequently imposed for the incident.
(4-4235)

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(f)

Inmate Disciplinary Procedures

(10)

If for any reason a sanction is not fully completed within six months from the date
of imposition, or date of activation of a suspended sentence, then the remaining
balance will automatically become null and void.

(11)

Continuous confinement of an inmate to disciplinary segregation for more than 30
days requires review and approval by the Facility Head or designee. An inmate
will not serve more than 60 consecutive days in disciplinary segregation. (4-4255)

(12)

Food may not be used as a form of disciplinary punishment. (4-4320)

(13)

If an inmate should be found not guilty of an alleged violation, the disciplinary
report is removed from all of the inmate’s files. (4-4246)

Other Requirements Which Apply to Specific Classifications of Offenses:
(1)

When an inmate is charged with a Class A offense, the inmate must be referred to
the Disciplinary Hearing Officer for disposition and comments should be entered
in the Record of Hearing (OR14).

(2)

Suspension of privileges as presumptive punishment for Class C and D offenses
may occur during or after disciplinary segregation, at the discretion of the facility
head/designee.

(3)

When an inmate pleads guilty to an authority for a Class D offense, the
punishment will be a suspended Class D punishment.

(4)

Inmates who escape while participating on work release, study release, home
leave, or any other program authorized under G.S. 148.4 will not be prosecuted in
court for that escape if:
(A)

the offense is the inmate’s first escape from unsupervised authorized
activity while serving this sentence or any previous sentence; and

(B)

the inmate returns to custody voluntarily within 24 hours of the time he
was ordered to return.

Escapees in this category remain subject administrative disciplinary action for the
offense.
(i)

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The inmate should be charged with Disciplinary Infraction B-12,
(Leave, quit without authorization, fail to report, or neglect to
adhere to approved schedules for community based programs) if
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the inmate:

(ii)

(5)



Voluntarily returns to the off-site community-based program
site prior to facility staff being notified he/she is unaccounted
for;



Voluntarily returns to the facility within 24 hours and prior to
the initiation of escape procedures; (Escape procedures should
be put into effect as soon as staff learn an inmate has left from
a community-based program); and



Commits no new criminal offenses while away from his/her
assigned location regardless of when he/she returned to
custody.

The inmate should be charged with Disciplinary Infraction A-06,
(escape or attempting to escape-this includes possessing any
materials that could assist with an escape) if the inmate:


Does not voluntarily return to the off-site community-based
program or the prison facility prior to initiation of escape
procedures;



Does not return to the facility within 24 hours of leaving the
community-based program; or



Commits any criminal offense while away from his/her assigned
location.

An inmate will be charged with a (B15) only after having received written
notification that Department of Correction officials have received in writing a request
that the inmate not communicate with victims or family members of the victims.

.0205 DISCIPLINARY PROCEDURES
(a)

Reporting and Preventing Misconduct
(1)

Any Department of Correction employee or agent who witnesses an act of
misconduct on the part of an inmate or inmates shall take appropriate action to
prevent continuation of the misconduct.

(2)

The employee(s) witnessing the misconduct or other appropriate staff may try to
counsel the inmate to stop the misbehavior and prevent recurrence.

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(b)

Inmate Disciplinary Procedures

(3)

When counseling is not appropriate or is ineffective, a written report of the actual
or suspected misconduct should be presented to the facility head/designee as soon
after the incident as practical. The written report should include, but not limited
to, specific rule(s) violated, any unusual inmate behavior, any staff witnesses, any
physical evidence and its disposition, any immediate action taken, including the
use of force, and the reporting party’s signature and date and time of report.

(4)

Anyone, including inmates, may report inmate misconduct. When a report of
inmate misconduct is received from someone other than an employee, a written
witness statement should be requested.

Time Frames
(1)

The Officer-In-Charge should assign an Investigating Officer after being notified
of actual or suspected inmate misconduct or after being notified of a
reinvestigation by the DHO or the Chief DHO. Assignment will be documented
on the Disciplinary Investigation screen (IS02), and comments can be made on
the Comment screen (OR14).

(2)

When an alleged rule violation is reported or a reinvestigation has been ordered,
an appropriate investigation is begun within 24 hours of the time the violation is
reported or ordered for reinvestigation and is completed without unreasonable
delay unless an extension is granted and documented by the appropriate authority.
The Investigating Officer will document the start of the investigation on the
Disciplinary Investigation screen (IS02). (4-4234)

(3)

The Investigating Officer should submit the investigative report through use of
the Disciplinary Investigation screen (IS02), and process and summarize the
results on the Comment screen (OR14). This report should be completed and
submitted to the facility head/designee within 72 hours of beginning the
investigation unless an extension is granted and documented by the appropriate
authorization. (4-4236/4-4240)

(4)

The facility head/designee should review the investigation within 72 hours of
receiving the investigative report and decide if formal disciplinary action, or
further disciplinary action in the case of a rehearing ordered by the Chief DHO, is
required unless additional time is granted and documented by the appropriate
authority. If disciplinary action is required, the authority or designee will
document formal charges on the Disciplinary Charges and Pleas screen (IS03).
The summary of the charges will be documented on the Comment screen (OR14).
The disciplinary report will then be printed and the inmate should be advised in
writing of the charges and given a copy within this time frame. A plea of guilty

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Inmate Disciplinary Procedures
and waiver of hearing should be documented on the IS03 screen. (4-4230/44238/4-4240)

(5)

The Hearing Officer will access referrals (via IP51 - Pending Review screen),
convene the disciplinary hearing, and document the proceedings on the
Disciplinary Hearing Officer screen (IS04) within seven (7) days, excluding
weekends and holidays, after the inmate has been charged with an offense unless
an extension is granted. A plea of guilty and waiver of hearing should be
documented on the Disciplinary Hearing Officer screen (IS04). The disposition of
the charges is to be documented on the IS04 screen and the summary of the
hearing will be entered as comments on Screen OR14.

(6)

The inmate may appeal a guilty finding by the Hearing Officer in writing to the
Director of Prisons within 15 calendar days from the date of hearing.

(7)

The Director, or Director's designee, will log receipt of the appeal and supporting
documents on the Disciplinary Appeal screen (IS05). Tracking and notification to
the facility and the inmate will be accomplished via the IS05 screen and batch
jobs, to include appropriate alerts, pending reviews, and appeal letters. The
designated facility staff should monitor these transactions daily. The review
should be completed within 30 calendar days of receipt of the inmate’s appeal and
the inmate promptly notified of the results. (4-4248)

(8)

The facility head/designee/appropriate authority shall document the granting of
additional time for the beginning or completion of the investigation. The
investigating officer will document approval on the Disciplinary Investigation
screen (IS02).

(9)

The facility head/designee/appropriate authority may grant in writing additional
time for charging the inmate. This will be documented on the Disciplinary
Charges and Pleas screen (IS03) by the facility head/designee as appropriate.

(10)

The Assistant Chief Disciplinary Hearing Officer may grant in writing additional
time for convening the Disciplinary Hearing. This will be documented on the
Disciplinary Hearing Officer (DHO) screen (IS04) as appropriate. (4-4239)

(11)

The following list, which is not an all-inclusive list, provides some reasons for
which additional time may be granted: (4-4239)
(A)

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Essential staff or other persons are not available due to holidays, leave,
regularly scheduled days off or other factors that prevent the individual
from being available.

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(c)

Inmate Disciplinary Procedures
(B)

Law Enforcement or the District Attorney requests a suspension of the
disciplinary procedures to prevent interference with criminal
investigations or prosecutions.

(C)

Witness(es) or evidence is not available or additional time is necessary to
obtain additional information.

(D)

The accused inmate is not available because of transfer for segregation,
medical or mental health reasons, or court appearance.

Inmate Rights
(1)

(2)

The inmate has a right to:
(A)

At least 24 hours advance written notice of the disciplinary charges before
the hearing; (4-4236)

(B)

Be informed of the alleged misconduct, and to make verbal and/or written
statements to the Investigating Officer. (4-4242)

(C)

Request in writing to the Investigating Officer, during the investigation,
that a written witness statement(s) or evidence be gathered, or evidence or
witness(es) be present at the hearing if charges are referred. If an inmate
is unable to write, he may request that the Investigating Officer transcribe
his oral request(s) which the inmate will sign and date. Failure to make
these requests on the inmate witness form shall be deemed a waiver of
such requests.

(D)

Request the facility head/designee to appoint a staff member to assist the
inmate at the hearing; (4-4243)

(E)

Be read the substance of the evidence and have the opportunity to explain
or refute the evidence at the disciplinary hearing; and

(F)

Appeal to the Director of Prisons.

The inmate may waive specific rights in writing or by overt refusal to cooperate
with the disciplinary procedures associated with those rights. Overt inmate
uncooperativeness that leads to a waiver of a right shall be witnessed by a
minimum of two staff persons and documented in the record of the disciplinary
process. This includes, but is not limited to any refusal to sign the DC-138A
(inmate rights form), the DC-138B (statement by witness form), and Batch Job 50
(Disciplinary Charges and Plea Screen). A right not waived or refused by the

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inmate is retained by the inmate.

(3)

(d)

(A)

Force should not be used to make an inmate attend the hearing.

(B)

When an inmate refuses to attend, the inmate will be informed that the
refusal to attend as scheduled is a waiver of the opportunity to attend and
that the hearing will be conducted outside the inmate’s presence. (4-4241)

(C)

When an inmate refuses to attend a hearing, the inmate should be given
the opportunity to make a written statement regarding his refusal to attend
the hearing and/or providing information to be considered at the hearing.
This statement should be submitted at the time of refusal so that the
inmate is not allowed to disrupt the hearing schedule. (4-4241)

(D)

The refusal to attend should be documented (on the Refusal to Attend
Disciplinary Hearing form) and witnessed by at least two staff persons,
who should sign verifying they witnessed the inmate’s refusal. (4-4241)

(E)

The Hearing Officer will document that the inmate refused to attend the
hearing and that the written statements from staff and/or the inmate
documenting the refusal were reviewed. (4-4241)

(F)

A refusal to attend a hearing only applies to the current hearing in
question. By waiving a hearing, the inmate does not automatically waive
future hearings for other future disciplinary infractions.

Violation of these rights by staff may be grounds for dismissal of disciplinary
charges.

Investigation Officer Appointment and Responsibilities
(1)

Each correctional facility should have one or more staff trained to serve as
Investigating Officer. The Investigating Officer will be required to complete
formal OSDT approved Disciplinary Hearing Procedures training prior to being
given an OPUS profile to conduct inmate disciplinary investigations.

(2)

The Officer-In-Charge will notify the Investigating Officer when a report of
possible misconduct is reported.

(3)

A staff person who is witness to an offense cannot serve as the Investigating
Officer for that offense.

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Responsibilities:
(A)

Fully investigate the alleged act of inmate misconduct which includes
interviewing and acquiring a written statement from the person reporting
the misconduct, the accused inmate, and other witnesses, and employing
other appropriate investigatory techniques.

(B)

Advise the accused inmate, in writing and orally, if necessary, of the
rights enumerated in Section .0205(c) of this policy.

(C)

Determine if the inmate is an inpatient mental health resident and, if so,
notify the Inpatient Mental Health Director or designee of the charges and
the circumstances involved. If the inmate is an inpatient mental health
resident, a mental health representative must be present when the inmate is
advised of his rights, must assist with communicating statements, must be
present when the inmate is referred to the facility head/designee, and/or
the Disciplinary Hearing Officer, and must assist with completion of the
disciplinary appeal form should the inmate desire to appeal a guilty
verdict. Assistance at each level shall be documented on a separate DC138B.

(D)

Determine if the inmate is identified as developmentally disabled and, if
so, notify the inmate’s Case Manager/DD Representative. The Case
Manager must be present when the inmate is advised of his rights, must
assist with communicating statements, and must be present when the
inmate is referred to the facility head, designee, and/or the Disciplinary
Hearing Officer, and must assist with completion of the disciplinary
appeal form should the inmate desire to appeal a guilty verdict.
Assistance at each level shall be documented on a separate DC-138B.

(E)

During the course of the investigation, should the investigating officer
determine that the inmate exhibited behavior not covered by (C) or (D)
above, which may be associated with a severe mental health abnormality;
the Investigating Officer should then consult with the appropriate health
staff.

(F)

Prepare a written investigation report on the Disciplinary Investigation
screen (IS02) with appropriate comments. The report shall summarize the
evidence, interviews, and written statements. If written statements are not
taken from witnesses, their names and the explanation for not taking
statements shall be included in the report. The names of witnesses
requested by the inmate to be present at the disciplinary hearing shall be
included in the report. The Investigating Officer may make

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recommendations regarding proceeding with formal disciplinary action,
the presence of witnesses at the disciplinary hearing, and the particular
inmate conduct rule violation.

(5)

(e)

(G)

Complete and present to the facility head or designee the disciplinary
package including the written Investigating Officer's Report (Batch Job
#45), written witness statements, and forms documenting advisement of
inmate rights and compliance with policy requirements.

(H)

If necessary, acquire documented approval from the facility
head/designee/appropriate authority to extend the investigation beyond the
72 hours from the beginning of the investigation.

The Investigating Officer is the only authorized investigatory staff member for the
gathering of evidence.

Inpatient Mental Health Program Director Responsibilities
(1)

When a mental health inpatient is charged with a disciplinary offense, the
Treatment Team or Treatment Team Leader should make a report as to:
(A)

Whether the patient's current mental illness precludes participation in the
disciplinary process, in which case the disciplinary hearing should be
postponed;

(B)

Whether the patient’s mental illness contributed significantly to the
alleged disciplinary offense; and

(C)

Whether the patient’s mental status contraindicates any particular form of
punishment.

(2)

The evaluation findings and recommendations shall be forwarded to the Investigating
Officer, filed as a part of the disciplinary record, and filed in the inmate’s inpatient
mental health records. The Treatment Team Leader or designee shall sign the report.

(3)

The Hearing Officer should follow the evaluation, findings and recommendations of
the patient’s Treatment Team, Treatment Team Coordinator or primary therapist
unless there are strong overriding security reasons not to do so. These reasons must
be clearly documented by the Hearing Officer and approved by the facility
head/designee in consultation with the appropriate Mental Health Coordinator.
Unresolved disagreements will be referred to the Chief of Medical Services/designee
who may consult with the Chief of Auxiliary Services for resolution.

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(f)

Inmate Disciplinary Procedures

Facility Head Responsibilities
(1)

The disciplinary process is critical to the safe and orderly operation of prison
facilities and the facility head is responsible for managing a fair and impartial
process. Procedural correctness, protection of inmate rights, thorough
investigations and proper documentation are the facility head/designee’s
responsibility. The facility head/designee shall review disciplinary hearings and
dispositions to assure conformity with policy and procedure. (4-4247)

(2)

The facility head or designated representative also has the following
responsibilities:
(A)

Review the Investigating Officer’s report and determine whether to
counsel the inmate or proceed with formal disciplinary action. If
counseling is used in lieu of formal disciplinary, it should be documented
on the Disciplinary Charges & Plea screen (IS03 & OR14) with
appropriate comments and the appropriate counseling code.

(B)

Review the disciplinary package to ensure procedural correctness and the
protection of inmate rights.

(C)

May refer the case in writing back to the Investigating Officer for further
investigation or to protect the inmate’s rights.

(D)

Decide whether to charge the inmate with a disciplinary offense and, if so:

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(i)

determine the offense(s) with which the inmate is to be charged;

(ii)

advise the inmate of the charge(s);

(iii)

ask the inmate if a staff representative is requested and, if so,
appoint a staff member to this role;

(iv)

if the inmate is an inpatient mental health resident, a mental health
representative must serve as Staff Representative;

(v)

if the inmate is identified as mentally handicapped, a Case
Manager DD Representative for the developmentally disabled
should serve as the Staff Representative;

(vi)

complete the disciplinary report (batch job #50) by accessing
Disciplinary Charges & Plea screen (IS03) and provide the related
comments;
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(vii)

give the inmate a copy of the completed; (Offense and Disciplinary
Report (Batch Job 50) and;

(viii) when required, authorize an extension to charge the inmate beyond
72 hours.

(g)

(h)

(E)

Ensure one or more staff are trained to serve as Investigation Officers by
completing the required Disciplinary Hearing Procedures training.

(F)

Ensure that pertinent items of information, reports, evidence, the accused,
needed witnesses, and if requested, a staff representative, are available at
the time of the disciplinary hearing.

(G)

May appoint a staff member to present evidence to the Hearing Officer.

(H)

Shall appoint a recorder to assist the Hearing Officer.

Staff Representative Responsibilities
(1)

If the appointed representative was a witness to the alleged misconduct, the
facility head/designee should be notified so a new representative may be
appointed.

(2)

The staff representative does not serve as an advocate or assume an adversarial
role. The staff representative has no investigative authority.

(3)

Responsibilities:
(A)

Assure that the inmate has an opportunity to present his version of the
facts to the Hearing Officer;

(B)

Present the inmate’s version for physically, mentally, or language
impaired inmates unable to present their version;

(C)

Assist the inmate with understanding the disciplinary process; and

(D)

Make a written statement on the way the Representative assisted the
accused inmate.

Waiver of Hearing and Plea of Guilty
(1)

The inmate may voluntarily plead guilty, waive a hearing before the facility

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head/designee or Hearing Officer, and accept a punishment less than the
presumptive punishments specified in Section .0204 of this policy. At the
Disciplinary Hearing Officer level, a plea of guilty and a waiver of hearing will
be documented on the Disciplinary Hearing Officer (DHO) screen (IS04) via the
comments screen (OR14). The Waiver of Hearing & Plea of Guilty Report (batch
job #65), the Record of Hearing Report (batch job #55), and the Offense and
Disciplinary Report (batch job #50) should then be printed. At the Referring
Authority level, the Disciplinary Charges and Plea screen (IS03) would be
accessed and documentation of the inmate's guilty plea should be noted via the
Comment screen (OR14). The Waiver of Hearing & Plea of Guilty Report (batch
job #60) and the Offense and Disciplinary Report (batch job #50) should then be
printed. The punishment will be one class below the offense to which the inmate
is pleading guilty or suspension of the presumptive punishment for the offense to
which the inmate is pleading guilty, at the discretion of the facility head/designee,
or the Hearing Officer. (4-4237)

(2)

(i)

(j)

The inmate shall sign the printed Waiver of Hearing & Plea of Guilty report
(DHO level batch #65, Unit level batch #60) indicating that the plea and waiver
are freely given and are not the result of any coercion or intimidation. This
waiver also waives the right to appeal. The inmate will be given a copy of the
signed document (batch #60 or #65).

Hearing Officer Appointments (4-4240)
(1)

Hearing Officers shall be chosen so as to provide an impartial disciplinary
hearing. No person who initiates the disciplinary charges or was a witness in the
case may serve as a Hearing Officer. The responsibilities of the Hearing Officer
will be related only to the administration of the inmate disciplinary procedure.

(2)

The Director of Prisons shall appoint and have trained one or more Hearing
Officers to hear and determine the disposition of formal disciplinary charges.
These Hearing Officers will perform their responsibilities as full time and
exclusive duties.

Hearing Officer Responsibilities
(1)

The Hearing Officer reviews all the evidence and disciplinary cases, including
both direct and circumstantial evidence; determines guilt or innocence, and
determines punishment consistent with this policy.

(2)

Responsibilities:
(A)

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Review the disciplinary package to ensure procedural correctness and the
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protection of inmate rights;
(B)

Arrange for a hearing within 7 days, excluding weekends and holidays,
after the inmate has been charged with an offense;

(C)

Assure the presence of the people and evidence needed for the hearing;

(D)

If necessary, refer the disciplinary back to the facility head/designee for
one of the reasons enumerated in policy section .0205(b)(11) or
.0205(e)(1)(A);

(E)

Read the charges to the accused inmate and obtain a plea of guilty or not
guilty;

(F)

Read to the inmate the witness statements and other evidence relating to
guilt or innocence. Confidential information shall not be divulged in such
a manner as to reveal the identity of the confidential source and/or
jeopardize the safety of the confidential source;

(G)

Give the accused the opportunity to make a verbal statement, to refute or
explain evidence, and to present relevant evidence. (4-4242)

(H)

Give witnesses requested by the inmate the opportunity to testify either in
person or by telephone; (4-4242)

(I)

Document on the Disciplinary Hearing Officer (DHO) screen (IS04) and
provide relevant comments, reasons for declining to call requested
witnesses or allowing the accused to present items of physical evidence.
The factors considered in determining to call witnesses or present
evidence shall include but not be limited to: (4-4242)
(i)

relevance;

(ii)

duplicative or cumulative testimony;

(iii)

necessity;

(iv)

inmate’s failure to make timely request for witnesses or physical
evidence in advance of the hearing; and

(v)

undue hazard related to the facility’s safety or correctional goals.

Whenever the presentation of live testimony or physical evidence is
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denied by the Hearing Officer, written statements gathered by the
Investigating Officer may be used. The reason(s) for denial shall be
documented on the Disciplinary Hearing Officer (DHO) screen (IS04)
with comments on screen (OR14);

(k)

(J)

If the inmate pleads guilty or is found guilty, the Hearing Officer may
impose punishment consistent with policy section .0204;

(K)

A Hearing Officer shall not impose a sanction that significantly impairs or
impedes the inmate’s access to required health or mental health treatment
services;

(L)

Enter the findings of guilty, not guilty or dismissal and the rationale on the
Disciplinary Hearing Officer (DHO) screen (IS04) and advise the inmate
of the decision. The decision shall be based solely on information, direct
and or circumstantial, obtained in the hearing process including staff
reports, the status of the inmate charges, evidence from witnesses and all
pertinent documentation. Give the inmate a copy of the written statement
of the evidence relied upon and the reasons for the punishment imposed
by accessing batch job #55. Thoroughly document the course of the
hearing on the comment screen (OR14); (4-4244)

(M)

Enter on the record any objections the inmate may have to the decision;
(4-4245)

(N)

Advise the inmate of the right to appeal to the Director of Prisons within
15 calendar days from the date of hearing; and (4-4245)

(O)

Complete and distribute the Record of Hearing forms. (4-4245)

(P)

A record of the hearing and findings is maintained for five years. (4-4240)

Appeal to the Director of Prisons
(1)

If the inmate appeals to the Director of Prisons, the Director or Director's
designee is authorized to:
(A)

Approve the Hearing Officer’s decision.

(B)

Order a re-investigation or re-hearing in whole or in part.

(C)

Disapprove the Hearing Officer’s decision and dismiss the case.

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(D)

(l)

Reduce but not increase the punishment determined by the Hearing
Officer.

(2)

The decision by the DHO shall be final. Such decision can only be approved or
disapproved by the Director of Prisons, or the Director’s designee.

(3)

Appeals are only available for inmates convicted of disciplinary offenses. The
Director or designee cannot initiate an appeal of the DHO’s final decision.

(4)

Any inmate who elects to plead guilty may not appeal the guilty plea. Such an
inmate may, however, appeal the issue of whether the DHO imposed a
punishment greater than, or not as provided by policy.

(5)

Tracking and notification to the facility and the inmate will be accomplished via
the Disciplinary Appeal (IS05) screens, Alerts and Pending Reviews screens, and
appropriate batch jobs, to include the inmate letter (batch job 40). The facility
where the incident occurred shall print the appeal letter and give to the inmate and
attach another copy with the disciplinary package. If the inmate has transferred,
the current housing facility shall also print the appeal letter and give to the
inmate.

Use of Inmate Confidential Informant
(1)

If at all possible, written and signed statements should be obtained from the
informant. These statements can be summarized by the person obtaining the
statement so that the confidentiality of the informant is maintained. This
summary statement will be a part of the disciplinary record; however, the
confidential informant’s statement will not be a part of the disciplinary record but
will be made available to the Hearing Officer and maintained by the facility head
in a confidential file for at least five (5) years. The staff member should sign the
summary statement.

(2)

In the event the informant fears for his safety and is unwilling to write a
statement, the staff member taking the statement will provide a summary as part
of the disciplinary record. The interviewer’s notes and the name of the informant
will be maintained by the facility head in a confidential file. The statement
written for the disciplinary record should be a thorough description of the
informant’s information. The staff member should sign the summary statement.

(3)

Before disciplinary action is taken based on information provided by a
confidential informant, the following conditions should be met:
(A)

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In order for the information provided by the confidential informant to be
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used at the hearing, the staff member making the summary statement must
know the informant, have used him in the past and found him reliable, and
received the information from the informant based on the informant’s
personal or firsthand knowledge. The information would also be
admissible if physical evidence or other reliable evidence, including
similar statements by other informants, corroborates the informant’s
information.

(m)

(B)

The staff member should state the facts that support the reliability of the
confidential informant’s statement.

(C)

The Hearing Officer should determine independently the reliability of the
informant and state his determination in the record.

(D)

The Hearing Officer should find that safety considerations prevent
disclosure of the informant’s identity.

Modifications

The Director of Prisons may authorize modifications of this procedure consistent with its
fundamental principles, provided any modification shall be in writing, approved by the Secretary of
Correction and incorporated in the polices and procedures of the Department.

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I
rector of Pnsons

Date

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