EFTA00039227.pdf

/ U.S. Department of Justice ) Federal Bureau of Prisons PROGRAM STATEMENT OPI: CPD/CSB NUMBER: 5270.09 DATE: July 8. 2011 EFFECTIVE DATE: August I. 2011 Inmate Discipline Program /5/ Approved: Thomas R. Kane Acting Director, Federal Bureau of Prisons 1. PURPOSE AND SCOPE § 541.1 Purpose. This subpart describes the Federal Bureau of Prisons' (Bureau) inmate discipline program. This program helps ensure the safety, security, and orderly operation of correctional facilities, and the protection of the public, by allowing Bureau staff to impose sanctions on inmates who commit prohibited acts. Sanctions will not be imposed in a capricious or retaliatory manner. The Bureau's inmate discipline program is authorized by 18 U.S.C. 4042(a)(3). § 541.2 Application. This program applies to sentenced and unsentenced inmates in Bureau custody. It also applies to sentenced and unsentenced inmates designated to any prison, institution, or facility in which persons are held in custody by direction of, or under an agreement with, the Bureau of Prisons. This policy applies to all persons in the custody of the Federal Bureau of Prisons or Bureau contract facilities, including persons charged with or convicted of offenses against the United States; D.C. Code felony offenders; and persons held as witnesses, detainees, or otherwise. These provisions do not apply to Federal inmates designated to a non-Federal facility (e.g.. inmates serving Federal sentences in state or county facilities). Federal Regulations from 28 Code of Federal Regulations, part 541, are shown in this type. Implementing instructions are shown in this type. EFTA00039227

2. SUMMARY OF CHANGES a. Establish Greatest and High severity level prohibited acts for sexual assault of any person. The Greatest severity level act (114) requires the use or threat of force. The High severity level act (229) is for incidents without the use or threat of force. b. Increase the severity level of escapes from non-secure facilities from a High to a Greatest severity level prohibited act. c. Amend the Code 104 to include any instrument used as a weapon. d. Establish a Code 115 for destroying and/or disposing of any item during a search or attempt to search. e. Establish a High severity level prohibited act code for escape from a work detail, a non-secure institution, or other non-secure custody, including a community facility, with subsequent voluntary return to custody within four hours. f. Clarify possession of a cellular telephone or other electronic communications device is a Greatest severity level prohibited act. g. Increase the severity level of all alcohol-related offenses from a High to a Greatest severity level prohibited act. h. Establish a High severity level prohibited act code for stalking. i. Establish a High severity level prohibited act code for possession of stolen property. j. Establish a Moderate severity level prohibited act code for circulating a petition. k. Establish a High severity level prohibited act code for refusing to participate in a required physical test or examination unrelated to testing for drug abuse (e.g., DNA, HIV, TB). 1. Increase the severity level for tattooing and self-mutilation to a High severity level prohibited act. m. Establish a Moderate severity level prohibited act code for the fraudulent or deceptive completion of a skills test. n. Increase the severity level for conducting a business to a Moderate severity level prohibited act. o. Establish a Moderate severity level prohibited act code for communicating gang affiliation. P5270.09 7/8(2011 Federal Regulations are shown in this type. Implementing instmctions: this type. 2 EFTA00039228

p. Establish Greatest, High, and Moderate severity level prohibited acts for abuse of the mail. q. Establish a sanction of monetary fine. r. Remove the formal sanctions of reprimand and warning. s. Increase the sanction of disciplinary segregation from a range of 7 to 60 days to a range of 1 to 18 months. t. Change from three work days to five work days for the UDC to ordinarily conduct a review. u. The Special Housing Unit policy (conditions of disciplinary segregation, administrative detention, and protection cases) has been removed and guidance is provided in a separate program statement. 3. PRINCIPLES Several general principles apply to every disciplinary action: a. Incident reports can be written by Bureau staff, Federal Prison Industries (WI) staff, and Public Health Service (PHS) officers detailed to the Bureau. Community Corrections Managers may take disciplinary action on inmates in contract RRC's. b. Staff take disciplinary action at such times and to the degree necessary to regulate an inmate's behavior within Bureau rules and institution guidelines and to promote a safe and orderly institution environment. c. Staff control inmate behavior in an impartial and consistent manner. d. Disciplinary action may not be capricious or retaliatory. e. Staff may not impose or allow corporal punishment of any kind. 4. DIRECTIVES AFFECTED a. Directive Rescinded P5270.08 Inmate Discipline and Special Housing Units (12/4/09) b. Directives Referenced P1315.07 Inmate Legal Activities (11/5/99) P1330.16 Administrative Remedy Program (12/31/07) P5270.09 7/8/2011 Federal Regulations are shown In this type. Implementing instructions: this type. 3 EFTA00039229

P1505.03 Language Translations Used in Official Documents (10/31/97) P2000.02 Accounting Management Manual (10/15/86) P4500.07 Trust Fund/Deposit Fund Manual (4/19/10) P4700.05 Food Service Manual (6/12/06) P5100.08 Inmate Security Designation and Custody Classification (9/12/06) P5162.05 Categorization of Offenses (3/16/09) P5180.05 Central Inmate Monitoring System (PS Only) (12/31/07) P5180.06 Central Inmate Monitoring System (Operations Manual Only) (3/24/08) P5212.07 Control Unit Programs (2/20/01) P5215.05 Youth Corrections Act (YCA) Inmates and Programs (3/17/99) P5264.08 Inmate Telephone Regulations (1/24/08) P5265.14 Correspondence (4/5/11) P5267.08 Visiting Regulations (5/11/06) P5270.10 Special Housing Units (8/1/11) P5322.12 Inmate Classification and Program Review (11/29/06) P5360.09 Religious Beliefs and Practices (12/31/04) P5380.08 Financial Responsibility Program, Inmate (8/15/05) P5500.1I Correctional Services Manual (10/10/03) P5500.12 Correctional Services Procedures Manual (10/10/03) P5521.05 Searches of Housing Units, Inmates, and Inmate Work Areas (6/30/97) P5580.07 Inmate Personal Property (12/28/05) P5800.15 Correctional Systems Manual (1/1/09) P5880.28 Sentence Computation Manual (CCCA of 1984) (7/20/99) P5880.30 Sentence Computation Manual (Old Law, Pre-CCCA of 1984) (9/8/99) P5880.32 Sentence Computation Manual (District of Columbia) (1/23/01) P5884.03 Good Conduct Time Under the Prison Litigation Reform Act (3/31/06) P7300.09 Community Corrections Manual (5/19/99) P7331.04 Pretrial Inmates (1/31/03) c. Rules cited in this Program Statement are contained in 28 CFR § 541.2 and §§ 541.10-23. 5. AGENCY ACA ACCREDITATION PROVISIONS a. American Correctional Association 4th Edition Standards for Adult Correctional Institutions: 4-4226, 4-4227, 4-4228, 4-4229, 4-4230, 4-4231, 4-4232, 4-4233, 4-4234, 4-4235, 4-4236, 4-4237, 4-4238, 4-4239, 4-4240, 4-4241, 4-4242, 4-4243, 4-4244, 4-4245, 4-4246, 4-4247, 4-4248, 4-4255, 4-4399 b. American Correctional Association 4th Edition Performance-Based Standards for Adult Local Detention Facilities: 4-ALDF-2A-47, 4-ALDF-2A-50, 4-ALDF-3A-01, 4-ALDF-3A-02, 4-ALDF-4C-40, 4-ALDF-6C-01, 4-ALDF-6C-02, 4-ALDF-6C-03, 4-ALDF-6C-04, 4-ALDF-6C-05, P5270.09 7/8/2011 Federal Regulations are shown in this type. Implementing instructions: this type. 4 EFTA00039230

4-ALDF-6C-06, 4-ALDF-6C-07, 4-ALDF-6C-08, 4-ALDF-6C-09, 4-ALDF-6C-10, 4-ALDF-6C-11, 4-ALDF-6C-12, 4-ALDF-6C-13, 4-ALDF-6C-14, 4-ALDF-6C-15, 4-ALDF-6C-16, 4-ALDF-6C-17, and 4-ALDF-6C-18. 6. INSTITUTION SUPPLEMENTS None required. 7. NOTICE TO INMATE OF THE INMATE DISCIPLINE PROGRAM Staff must give each inmate a copy of the following documents promptly after his/her arrival at an institution: ■ Summary of the Inmate Discipline System (Appendix B). ■ Inmate Rights and Responsibilities (Appendix C). ■ Prohibited Acts and Available Sanctions (Table I). Receipt of these documents must be noted on the intake screening form and maintained in the inmate's central file. The receipt is kept in the inmate's central file. To the extent reasonably available, a qualified staff member or translator will help an inmate who has a language or literacy problem, in accordance with the Program Statement Language Translations Used in Official Documents. P5270.09 7/8/2011 Federal Regulations are shown in this type. Implementing instructions: this type. 5 EFTA00039231

CONTENTS Chapter 1 § 541.3 Prohibited acts and available sanctions 9 (a) Prohibited acts 9 (b) Available sanctions 9 (1) Greatest Severity Level Offenses 9 (2) High Severity Level Offenses 9 (3) Moderate Severity Level Offenses 9 (4) Low Severity Level Offenses 10 (5) All Severity Level Offenses 10 § 541.4 Loss of good conduct sentence credit as a mandatory sanction 11 (a) Groups that lose good conduct sentence credit 11 (1) VCCLEA — violent inmates 11 (2) PLRA inmates and D.C. Code offenders 11 (b) Amount of credit lost 11 (1) Greatest Severity Level Offenses 11 (2) High Severity Level Offenses 11 (3) Moderate Severity Level Offenses 12 (4) Low Severity Level Offenses 12 Available Sanctions 12 (A) Recommend Parole Date Rescission or Retardation 12 (B) Forfeit Earned Statutory Good Time, Non-vested Good Conduct Time. or Terminate or Disallow Extra Good Time 12 (B.1) Disallowance of Good Conduct Time 13 (C) Disciplinary Segregation 14 (D) Make Monetary Restitution 15 (E) Monetary Fine 15 (F) Loss of Privileges 15 (G) Change Housing Quarters 15 (H) Remove from Program or Group Activity 15 (I) Loss of Job 16 (J) Impound Inmate's Personal Property 16 (K) Confiscate Contraband 16 (L) Restrict to Quarters 16 (M) Extra Duty 16 P5270.09 7/S/2011 Federal Regulations are shown in this type. Implementing instmctions: this type. 6 EFTA00039232

Chapter 2 § 541.5 Discipline process 17 (a) Incident report 17 (b) Investigation 18 (1) Information 18 (2) Statement 18 (3) Informally resolving the incident report 20 Chapter 3 § 541.6 Mentally ill inmates 21 (a) Competency to participate in disciplinary proceedings 21 (b) Responsibility for conduct 21 Chapter 4 § 541.7 Unit Discipline Committee (UDC) review of the incident report 23 (a) Available dispositions 23 (b) UDC members 23 (c) Timing 24 (d) Inmate appearance 24 (e) Evidence 24 (f) Sanctions 24 (g) Referral to the DHO 25 (h) Written report 25 (i) Appeals 25 Chapter 5 § 541.8 Discipline Hearing Officer (DHO) hearing 27 (a) Available dispositions 27 (b) Discipline Hearing Officer 27 (c) Timing 27 (d) Staff representative 27 (1) How to get a staff representative 28 (2) How the staff representative will help 28 (3) How the staff representative may appear 28 (e) Inmate appearance 28 (t) Evidence and witnesses 29 (g) Sanctions 33 (h) Written report 34 (i) Appeals 35 P5270.09 7/8/2011 Federal Regulations are shown in this type. Implementing instmctions: this type. 7 EFTA00039233

APPENDIXES A. List of Forms 37 B. Summary of Inmate Discipline System 38 C. Inmate Rights and Responsibilities 39 D. Data Entry Instructions 41 TABLES 1. Prohibited Acts and Available Sanctions 44 2. Additional Available Sanctions for Repeated Prohibited Acts Within the Same Severity Level 55 P5270.09 7/8/20I1 Federal Regulations are shown in this type. Implementing instmctions: this type. 8 EFTA00039234

CHAPTER 1. § 541.3 Prohibited acts and available sanctions. (a) Prohibited acts. The list of prohibited acts are divided into four separate categories based on severity: Greatest; High; Moderate; and Low. We describe the prohibited acts in Table 1 - Prohibited Acts and Available Sanctions. Aiding, attempting, abetting, or making plans to commit any of the prohibited acts is treated the same as committing the act itself. (b) Available sanctions. The list of available sanctions for committing prohibited acts is listed in Table 1 - Prohibited Acts and Available Sanctions. If you commit repetitive prohibited acts, we can impose increased sanctions, as listed in Table 2 - Additional Available Sanctions for Repeated Prohibited Acts Within the Same Severity Level. (1) Greatest Severity Level Offenses. The Discipline Hearing Officer (DHO) imposes one or more of sanctions A through E. Sanction B.1 must be imposed for a VCCLEA inmate rated "violent" (an inmate who, per the Violent Crime Control and Law Enforcement Act of 1994, committed a crime of violence on or after September 13, 1994) and for a PLRA inmate (an inmate sentenced for an offense committed on or after April 26, 1996, per the Prison Litigation Reform Act). The DHO may impose any available sanctions (A through M) in addition to sanctions A through E. All Greatest severity level charges must be referred to the DHO. (2) High Severity Level Offenses. The DHO imposes one or more of sanctions A through M, and, except as noted in the sanction, may also suspend one or more sanctions A through M. Sanction B.1 must be imposed for a VCCLEA inmate rated "violent" and for a PLRA inmate. All High severity level charges must be referred to the DHO. Prohibited Act Code 225, Stalking, is for the purpose of punishing repetitive inmate behavior, e.g., loitering, staring, leering, inappropriate remarks (short of insolence, profanity, or sexual proposals), that are not clearly covered by another prohibited act code. When staff encounter such behavior, the inmate should be specifically warned that it is inappropriate and must cease. If the behavior fits another prohibited act code provision, the inmate should be charged with violating that specific provision instead of stalking. Examples of other prohibited act code behavior that may be used instead of Code 225, Stalking, include, but are not limited to Insolence (Code 312), Being in an Unauthorized Area (Code 316), Threatening (Code 203), and Making a Sexual Proposal or Threat (Code 206). (3) Moderate Severity Level Offenses. The DHO imposes at least one sanction A through M, but, except as noted in the sanction, may suspend any sanction(%) imposed. Sanction B.1 ordinarily must be imposed for a VCCLEA inmate rated "violent" and for a PLRA inmate. F5270.09 7/8f20I I Federal Regulations are shown in this type. Implementing instructions: this type. 9 EFTA00039235

Except for charges referred to the DHO, the Unit Discipline Committee (UDC) shall impose at least one sanction F through M, but may suspend any sanctions imposed. The UDC ordinarily refers to the DHO a moderate severity level charge for a VCCLEA inmate rated "violent" or for a PLRA inmate if the inmate was found to have committed two moderate offenses during his/her current anniversary year (the 12-month period for which an inmate may be eligible to earn good conduct time [GCT]). The UDC must document the reasons why a third charge for such an inmate was not referred to the DHO. A prohibited act charge for 331 involving tobacco or nutritional supplements must be referred to the DHO for final disposition. (4) Low Severity Level Offenses. The DHO imposes at least one sanction B.1, or D through M. The DHO may suspend any sanction(%) imposed; however, a B.1 sanction may not be suspended. Except for charges referred to the DHO, the UDC imposes at least one sanction F through M, but may suspend any sanction(%) imposed. The UDC ordinarily refers to the DHO a low severity level charge for a VCCLEA inmate rated "violent" or for a PLRA inmate if the inmate had been found to have committed three low offenses during his/her current anniversary year. The UDC must document the reasons why a charge for such an inmate was not referred to the DHO. Sanction B.1 may be imposed on the Low severity level only if the inmate has committed a Low severity level prohibited act more than once within a six-month period (except for a VCCLEA inmate rated "violent" or a PLRA inmate). (5) All Severity Level Offenses. In all categories of severity, aiding another person to commit any of these offenses, attempting to commit them, or making plans to commit them, is considered equivalent to committing the offense itself. In these cases, the letter "A" is combined with the offense code. For example, planning an escape is Escape, Code 102A. Attempting to adulterate food or drink is Code 209A. When the prohibited act is Interfering with a Staff Member in the Performance of Duties (Code 198, 298, 398 or 498) or Conduct Which Disrupts (Code 199, 299, 399, or 499), the DHO or UDC must specify the severity level of the conduct that is most comparable to an offense(s) at that severity level. Example: "I find the act of Conduct Which Disrupts (Code 299) to be of High severity level, most comparable to the prohibited act of Engaging in a Group Demonstration (Code 212)." Suspensions of any sanction cannot exceed six months. Suspended sanctions may only be revoked and executed if the inmate is found to have committed a subsequent prohibited act. Only the DHO may execute, suspend, or revoke and execute suspension of sanctions A through E (B and B.1. may never be suspended). The DHO or UDC may execute, suspend, or revoke and P5270.09 7/8/2011 Federal Regulations are shown in this type. Implementing instructions: this type. 10 EFTA00039236

execute suspensions of sanctions F through M. The DHO may execute UDC-suspended sanctions. However, the UDC may not execute DHO-suspended sanctions A through E. When an inmate receives an incident report while on a DHO-imposed. but suspended sanction. the new incident report is forwarded by the UDC to the DHO. both for a final disposition on the new incident report. and for a disposition on the suspended sanction. This procedure is not necessary when the UDC informally resolves the new incident report. The DHO may return an incident report to the UDC if a decision not to execute the suspended sanction is made. The UDC or DHO may impose increased sanctions for repeated. frequent offenses per the guidelines in Table 2. Noting that not all UDC or DHO decisions finding an inmate committed a prohibited act will result in a change to the inmate's security designation score, the Unit Team may recommend a greater security transfer, using their professional judgment. and in accordance with the policy on Inmate Security Designation and Custody Classification. § 541.4 Loss of good conduct sentence credit as a mandatory sanction. (a) You will lose good conduct sentence credit as a mandatory disciplinary sanction if you are in one of the following two groups: (1) VCCLEA-violent inmates. The date of your U.S. Code offense was on or after September 13, 1994, but before April 26, 1996, and you committed a "crime of violence" as defined by the Violent Crime Control and Law Enforcement Act of 1994 (VCCLEA); or (2) PLRA inmates and D.C. Code offenders. The date of your U.S. Code offense was on or after April 26, 1996, and, therefore, under the Prison Litigation Reform Act (PLRA), or the date of your District of Columbia (DC) Code offense was on or after August 5, 2000. (b) If you are an inmate in one of the above groups and commit a prohibited act, you will lose good conduct sentence credit as a mandatory disciplinary sanction. The amount of good conduct sentence credit you will lose depends on the severity level of the prohibited act(s) committed, as follows: (1) Greatest Severity Level Offenses. You will lose at least 41 days, or 75% of available credit if less than 54 days are available for the prorated period, for each act committed. (2) High Severity Level Offenses. You will lose at least 27 days, or 50% of available credit if less than 54 days are available for the prorated period, for each act committed. P5270.09 7/8/2011 Federal Regulations are shown in this type. Implementing instructions: this type. I I EFTA00039237

(3) Moderate Severity Level Offenses. You will lose at least 14 days, or 25% of available credit if less than 54 days are available for the prorated period, after committing two or more Moderate severity acts during the current year of your good conduct sentence credit availability. (4) Low Severity Level Offenses. You will lose at least 7 days, or 12.5% of available credit if less than 54 days are available for the prorated period, after committing three or more Low severity acts during the current year of your good conduct sentence credit availability. Available Sanctions (upon finding the inmate committed the prohibited act(s)): (A) Recommend Parole Date Rescission or Retardation. The DHO may recommend retardation or rescission of parole grants to the U.S. Parole Commission or respective parole authority. (B) Forfeit Earned Statutory Good Time, Non-vested Good Conduct Time, or Terminate or Disallow Extra Good Time. Forfeited good conduct time (GCT) is not eligible for restoration. However, forfeited statutory good time (SGT) may be restored. Restoration of statutory good time is approved at initial eligibility only when the inmate has shown a period of improved good behavior. When the Warden (or designee) denies restoration of forfeited statutory good time, the unit team notifies the inmate of the reasons for denial. The unit team establishes a new eligibility date, not to exceed six months from the date of denial. An application for restoration of statutory good time is forwarded from the inmate's unit team, through the DHO and Captain for comments, to the Warden for final decision. Inmates who committed their crimes on or after November 1, 1987, and are sentenced under the Sentencing Reform Act provisions of the Comprehensive Crime Control Act, are only eligible to receive 54 days GCT credit (18 U.S.C. § 3624(b)). This credit is given at the end of each year served and, once given, is vested. For these inmates, the DHO's authority is final and subject only to review by the Regional Director to ensure conformity with the discipline policy and by inmate appeal through Administrative Remedy procedures. The statutory good time available for forfeiture is limited to an amount computed by multiplying the months served at the time of the offense for which forfeiture is taken, by the applicable monthly rate specified in 18 U.S.C. §4161 (less previous forfeiture or withholding). The amount of GCT available for forfeiture is limited to total days in "non-vested" status at the time of misconduct (less previous forfeiture). Forfeiture of GCT may not be suspended. F5270.09 7/8/2011 Federal Regulations are shown in this type. Implementing instmctions: this type. 12 EFTA00039238

Disallowance of extra good time is limited to extra good time for the calendar month in which the violation occurs. It may not be withheld or restored. The sanction of termination or disallowance of extra good time may not be suspended. Forfeited GCT will not be restored. Authority to restore forfeited statutory good time is delegated to the Warden, and may not be delegated lower than the Associate Warden level. Limitations on this sanction and eligibility for restoration are based on the severity scale. (See Table 2.) To ensure an inmate's case is not overlooked when statutory good time has been forfeited, the unit manager will ensure the eligibility requirements are reviewed for restoration per the time frames in the Program Statement on Classification and Program Review of Inmates. A recommendation of the unit team for or against restoration is forwarded to the Warden through the DHO and Captain. Except as noted, eligibility for restoration of forfeited statutory good time is computed from the date of the withholding or forfeiture action by the DHO. An inmate who has escaped and receives a forfeiture at a subsequent in absentia hearing begins the eligibility for restoration period upon return to Bureau custody. The Warden refers to the Regional Director any case where exceptional circumstances support restoration of statutory good time before completion of the eligibility requirements. Sanction B does not apply to inmates committed under the Comprehensive Crime Control Act for crimes committed on or after November 1, 1987, and prior to passage of the Violent Crime Control and Law Enforcement Act of 1994 (September 23, 1994). For those inmates, the applicable sanction is B.1. (B.1) Disallowance of Good Conduct Time. An inmate sentenced under the Sentencing Reform Act provisions of the Comprehensive Crime Control Act (committed a crime on or after November 1, 1987) may not receive statutory good time, but is eligible to receive 54 days GCT credit each year (18 U.S.C. § 3624(b)). Once awarded, the credit is vested, and may not be disallowed. Crimes committed on or after September 13, 1994, and before April 26, 1996, (VCCLEA) credit is not vested unless the inmate has earned or is making satisfactory progress toward a high school diploma or equivalent degree (or is exempt because of a learning disability). For crimes committed on or after April 26, 1996, (PLRA and SRAA) GCT credit toward an inmate's service of sentence vests on the date the inmate is released. Once disallowed, the credit may not be restored, except by immediate review or appeal as indicated below. Prior to this award being made, the credit may be disallowed for an inmate found to have committed a prohibited act. P5270.09 7/8/2011 Federal Regulations are shown in this type. Implementing instructions: this type. 13 EFTA00039239

A sanction of GCT disallowance may not be suspended. Only the DHO can take action to disallow GCT. The DHO considers the severity of the prohibited act and the suggested disallowance guidelines in making a determination. A decision to go above the guideline is warranted for a greatly aggravated offense or a repeated violation of another prohibited act within a relatively short time (e.g., within 24 months for a greatest severity level prohibited act, 18 months for a high severity level prohibited act, and 12 months for a moderate severity level prohibited act). A decision to go below the guidelines is warranted for strong mitigating factors. A decision above or below the guidelines is justified in the DHO report. VCCLEA inmates rated "violent" and PLRA inmates are ordinarily disallowed GCT for each prohibited act they are found to have committed at a DHO hearing, consistent with the following: ■ Greatest Severity Level Offenses. A minimum of 41 days (or, if less than 54 days are available for the prorated period, a minimum of 75% of available GCT) for each act committed. ■ High Severity Level Offenses. A minimum of 27 days (or, if less than 54 days are available for the prorated period, a minimum of 50% of available GCT) for each act committed. ■ Moderate Severity Level Offenses. A minimum of 14 days (or, if less than 54 days are available for the prorated period, a minimum of 25% of available GCT) for each act committed if the inmate has committed two or more moderate severity level offenses during the current anniversary period. ■ Low Severity Level Offenses. A minimum of 7 days (or, if less than 54 days are available for the prorated period, a minimum of 12.5% of available GCT) for each act committed if the inmate has committed three or more low moderate offenses during the current anniversary period. Except for VCCLEA inmates rated "violent" or PLRA inmates, Sanction B.1 may be imposed on the Low severity level only where the inmate has committed a Low severity level act more than once within a six-month period. GCT credit may only be given to an inmate serving a sentence of more than one year, but less than life. In the last year or part of a year of an inmate's sentence, only the GCT available for the time remaining may be disallowed. (C) Disciplinary Segregation. The DHO may direct that an inmate be placed or retained in disciplinary segregation. Consecutive disciplinary segregation sanctions can be imposed for inmates found to have committed offenses that are part of different acts only. Limits on time in disciplinary segregation are based on the severity scale (see Tables 1 and 2). P5270.09 7/8/2011 Federal Regulations are shown in this type. Implementing instructions: this type. 14 EFTA00039240

Unless otherwise specified by the DHO, disciplinary segregation placements for different or separate prohibited acts are imposed consecutively. (D) Make Monetary Restitution. The DHO may direct that an inmate reimburse the U.S. Treasury for damages to U.S. Government property that the individual caused or contributed to. The UDC is prohibited from imposing the sanction of make monetary restitution. Commissary privileges should be suspended by the DHO until restitution is made. See the Program Statement Trust Fund/Deposit Fund Manual for instructions regarding impoundment of inmate funds. (E) Monetary Fine. The DHO may direct that an inmate pay a fine, as follows: ■ Greatest severity level offense — Up to $500, or 75% of the inmate's trust fund balance. ■ High severity level offense — Up to $300, or 50% of the inmate's trust fund balance. ■ Moderate severity level offense — Up to $100, or 25% of the inmate's trust fund balance. ■ Low severity level offense — Up to $50, or 12.5% of the inmate's trust fund balance. Commissary privileges should be suspended until the fine is paid. See the Trust Fund/Deposit Fund Manual for instructions regarding impoundment of inmate funds. This sanction cannot be used as a form of monetary restitution. The UDC is prohibited from imposing the sanction of monetary fine. (F) Loss of Privileges (e.g., visiting, telephone, e-mail, commissary, movies, recreation). The DHO or UDC may direct that an inmate forego specific privileges for a specified time. The DHO or UDC may impose non-contact visiting or immediate family-only visitation in addition to loss of visiting. Loss of recreation privileges (exercise periods) may not be imposed on inmates in a Special Housing Unit (SHU), but may be used for general population inmates. The DHO or UDC may impose a loss of mattress sanction from lights on to lights off for inmates in the SHU. Staff must ensure the inmate has a mattress from lights off to lights on. (G) Change Housing (Quarters). The DHO or UDC may direct that an inmate be moved to other housing. (H) Remove from Program or Group Activity. The DHO or UDC may direct that an inmate not participate in any program or group activity for a specified time. P5270.09 7/8/2011 Federal Regulations are shown in this type. Implementing instructions: this type. 15 EFTA00039241

(I) Loss of Job. The DHO or UDC may direct that an inmate be removed from his/her present job or assigned to another job. (J) Impound Inmate's Personal Property. The DHO or UDC may direct that an inmate's personal property be stored in the institution for a specified time. (K) Confiscate Contraband. (L) Restrict Quarters. The DHO or UDC may direct that an inmate be confined to quarters or its immediate area for a specified time. (M) Extra Duty. The DHO or UDC may direct that an inmate perform tasks other than those performed during his/her regular job. P5270.09 7/8/2011 Federal Regulations are shown in this type. Implementing instructions: this type. 16 EFTA00039242

CHAPTER 2. § 541.5 Discipline process. (a) Incident report. The discipline process starts when staff witness or reasonably believe that you committed a prohibited act. A staff member will issue you an incident report describing the incident and the prohibited act(s) you are charged with committing. You will ordinarily receive the incident report within 24 hours of staff becoming aware of your involvement in the incident. When staff witness or reasonably believe that a violation of Bureau regulations has been committed, staff must prepare an incident report and forward it to the appropriate Lieutenant. The Lieutenant will enter the incident report into SENTRY. The reporting employee immediately completes Part 1 of the incident report. The incident is a prohibited act listed in Appendix C. The entire language of the prohibited act(s) does not have to be copied. For example, "Destroying Government Property, Code 218" or "Possessing Narcotics, Code 113" would be acceptable listings. The description of the incident should contain all facts known by the employee that are not confidential. Anything unusual about the inmate's behavior should be noted. The reporting employee also lists persons (staff, inmates, others) at the scene, and physical evidence (weapons, property, etc.) the employee may have handled. The report reflects any actions taken, including use of force. The reporting employee signs the report, enters his/her title, date, and time, and forwards it to the Lieutenant. The description of the incident provides the inmate with specific evidence for which he/she may prepare a defense. References to attachments and other investigative materials should not be identified in Section 11 of the report. For example, if staff observe two inmates in a physical altercation, the reporting officer should describe in Section 11 specific actions by each inmate; e.g., throwing punches to the head with a closed fist, striking one another with closed fists, biting, scratching, hair pulling. Acts are different or separate if they have different elements (time, place, persons involved, actions). For example, if an inmate is involved in a fight with another inmate and also strikes a staff member trying to break it up, the inmate can be charged with fighting (Code 201) and assaulting a staff member (Code 224 or 101, depending on seriousness of injuries). Code 305, Possession of anything not authorized, may be appropriate for inmates possessing items in excess of authorized limits. Codes 199, 299, and 399, most like 196, 296, and 396, respectively, may be appropriate for inmates using electronic messaging (e.g., TRULINCS) in violation of policy. Sanctions Code F., Loss of privileges, in the form of loss of electronic messaging privileges, may be an appropriate sanction for these offenses. P5270.09 7/8/2011 Federal Regulations are shown in this type. Implementing instructions: this type. 17 EFTA00039243

(b) Investigation. After you receive an incident report, a Bureau staff member will investigate it. The Investigating Officer is an employee at the supervisory level who conducts an investigation of alleged inmate misconduct. The Investigating Officer must be IDC-certified, and may not be the employee reporting the incident or otherwise be involved in the incident. The officer is ordinarily a Lieutenant, but the Warden may appoint another staff member. Staff conduct the investigation as promptly as possible. The Investigating Officer is ordinarily appointed within 24 hours of the incident report. The investigation should be finished within 24 hours after the appointment. When it appears likely that the incident may involve criminal prosecution, the investigating officer suspends the investigation. Staff may not question the inmate until the FBI or other investigative agency releases the incident report for administrative processing. The incident report should then be delivered to the inmate by the end of the next business day. The time frame for processing the Incident report is suspended until it is released for processing. The Investigating Officer may informally resolve the Incident report (except for prohibited acts in the Greatest or High severity level categories) or conduct an investigation consistent with this section. (1) Information: The investigator will specifically inform you: (A) of the charge(s) against you: and (B) that you may remain silent at all stages of the discipline process, but that your silence may be used to draw an adverse inference against you at any stage of the process. Your silence alone, however, cannot be the basis for finding you committed the prohibited act(s). (2) Statement: When the investigator asks for your statement, you may give an explanation of the incident, request any witnesses be interviewed, or request that other evidence be obtained and reviewed. However, the staff investigation of the incident report may be suspended before requesting your statement if it is being investigated for possible criminal prosecution. The Investigating Officer provides a copy of the incident report to the inmate at the beginning of the investigation, unless there is good cause for later delivery, such as absence of the inmate from the institution or a medical condition that argues against delivery. If the investigation is delayed, any employee may deliver the charge(s) to the inmate. The reason for the delay must be documented in the discipline record. P5270.09 7/8/2011 Federal Regulations are shown in this type. Implementing instructions: this type. 18 EFTA00039244

The incident report should be delivered to the inmate within 24 hours of the time staff become aware of the inmate's alleged misconduct. If an incident is referred for prosecution, the report is delivered by the end of the next business day after release for administrative processing. (The five-day time frame for a UDC review starts when the incident report is released for administrative processing.) The staff member must record the date and time the inmate received a copy of the report. The investigator also reads the charge(s) to the inmate and asks for the inmate's statement about the incident. The investigator then talks to persons with direct and relevant information, and summarizes their statements. (For example, if an inmate was in a fight, the investigator talks with the other inmate(s) involved.) Often, the investigator will want to talk to the reporting employee to obtain a report firsthand and to clarify any questions. Although an inmate may not identify or request any witnesses at this stage of the discipline process, the investigator should interview any witnesses to the incident (and victims, if applicable) to record their statements. The investigator records the disposition of evidence. If practicable, the inmate's statements offering a rationale for his/her conduct or for the charges against him/her should be investigated. If the inmate requests exculpatory evidence, such as video or audio surveillance, the investigator must make every effort to review and preserve the evidence. It would also be prudent for the investigator to review and preserve the video or audio surveillance even if the inmate does not make a specific request as such evidence is relevant to the incident. An inmate who receives an Incident report based on a "positive" urine test may claim this result comes from either: ■ Permissible medication he/she was given. ■ A combination of medications he/she is taking. In the first situation, the investigator must contact Health Services staff to determine if the inmate is receiving medication that contains the compound found in the urinalysis. In the second situation, the investigator must confirm that the inmate is authorized to take the medications. When necessary, the testing laboratory is contacted to see if the combined medications could produce a "false positive." While an inmate can challenge the results of a urine test, and this may be considered by the DHO, the validity of the testing process is not at issue. Neither the investigator nor the DHO has the experience to assess the accuracy of the laboratory process. See the Program Statement Urine Surveillance. Under Comments and Conclusions, the investigator may include: P5270.09 7/8/2011 Federal Regulations are shown in this type. Implementing instructions: this type. 19 EFTA00039245

■ Comments on the inmate's prior record and behavior. ■ Analysis of any conflict between witnesses. ■ Conclusions regarding what happened. The investigator must record all steps and actions taken on the incident report and forward the relevant materials to staff holding the initial hearing. The inmate does not receive a copy of the investigation (Sections 23 through 27 of the incident report). However, if the case is ultimately forwarded to the DHO, the DHO must give a copy of the investigation and other relevant materials to the inmate's staff representative, if requested, for use on the inmate's behalf. The UDC chairman or DHO taking final action ensures that the required information is entered into SENTRY. The unit team files all discipline documents in the inmate's central file. (3) Informally resolving the incident report. The incident report may be informally resolved at any stage of the disciplinary process, except for prohibited acts in the Greatest and High severity levels, or as otherwise required by law or these regulations. if the incident report is informally resolved, it will be removed from your records. The Bureau encourages informal resolution of incidents. However, prohibited acts in the Greatest severity level (100 level) and High severity level (200 level) may not be informally resolved, and must be referred to the DHO. Moderate severity level (300 level) and Low severity level (400 level) offenses can be informally resolved at any stage of the process. A record of any informal resolution is maintained in SENTRY. However, the incident report is not filed in the inmate's central file. Staff may suspend discipline proceedings up to two calendar weeks while informal resolution is undertaken. If informal resolution is unsuccessful, staff may reinstate disciplinary proceedings at the stage at which they were suspended. The time requirements then restart at the point at which they were suspended. Staff are required to write the incident report before starting informal resolution so the facts of the incident will be preserved if informal resolution is not successful. While informal resolution requires the consent of both staff and inmate to be successful, the determination to informally resolve an incident report is solely at the discretion of staff. P5270.09 7/8/2011 Federal Regulations are shown in this type. Implementing instructions: this type. 20 EFTA00039246

CHAPTER 3. § 541.6 Mentally ill inmates. If it appears you are mentally ill at any stage of the discipline process, you will be examined by mental health staff. (a) Competency to Participate in Disciplinary Proceedings. If evidence indicates that you cannot understand the nature of the disciplinary proceedings, or cannot help in your own defense, disciplinary proceedings may be postponed until you are competent to participate. The Unit Disciplinary Committee or Discipline Hearing Officer will make this decision based on evidence, including evidence presented by mental health staff. (b) Responsibility for Conduct. You will not be disciplined for conduct committed when, as the result of a severe mental disease or defect, you were unable to appreciate the nature and quality, or wrongfulness of the act. The UDC or DHO will make this decision based on evidence, including evidence presented by mental health staff. If it appears at any stage of the discipline process that an inmate is mentally ill, staff refers him/her to a mental health professional to determine whether he/she is responsible for his/her conduct or is incompetent. Staff may take no discipline action against an inmate who is determined by a mental health professional to be incompetent to participate in the disciplinary proceedings or not responsible for his/her behavior. A person is not responsible for his/her conduct if. at the time of the conduct, as a result of a severe mental disease or defect, he/she was unable to appreciate the nature and quality or the wrongfulness of his/her acts. When a person is determined not responsible for his/her conduct, the incident report shows as a finding that the person did not commit the prohibited act because he/she was found not mentally responsible. The incident report is retained in the inmate's central file. The DHO or UDC, as appropriate, enters this finding into SENTRY in the Chronological Disciplinary Record. A person is incompetent if he/she lacks the ability to understand the disciplinary proceedings, or to assist in his/her defense. When a person is determined incompetent, the disciplinary proceedings are postponed until the inmate is able to understand the proceedings and assist in his/her defense. If competency is not restored within a reasonable time, the incident report shows as a finding that the inmate is incompetent. The incident report is retained in the inmate's central file. The DHO or UDC chairman records the finding into SENTRY in the Chronological Disciplinary Record. P5270.09 7/8/2011 Federal Regulations are shown in this type. Implementing instructions: this type. l EFTA00039247

Generally, the UDC initiates referral to a mental health professional. However, staff at any stage of the discipline process may make such a referral. The completed mental health evaluation is returned to the UDC, which then decides whether the incident may be handled by the UDC (other than Greatest or High severity level), or referred to the DHO. In Greatest or High severity level cases, the UDC may refer an inmate for a mental health evaluation along with referral to the DHO. The completed evaluation is returned to the UDC, which forwards it to the DHO. P5270.09 7/8/20I1 Federal Regulations are shown in this type. Implementing instructions: this type. 22 EFTA00039248

CHAPTER 4. § 541.7 Unit Discipline Committee (UDC) review of the incident report. A Unit Discipline Committee (UDC) will review the incident report once the staff investigation is complete. The UDC's review involves the following: (a) Available dispositions. The UDC will make one of the following decisions after reviewing the incident report: (1) You committed the prohibited act(s) charged, and/or a similar prohibited act(s) as described in the incident report; (2) You did not commit the prohibited act(s) charged; or (3) The incident report will be referred to the Discipline Hearing Officer (DHO) for further review, based on the seriousness of the prohibited act(s) charged. (4) If you are charged with a Greatest or High severity prohibited act, or are an inmate covered by § 541.4, the UDC will automatically refer the incident report to the DHO for further review. (b) UDC members. The UDC ordinarily consists of two or more staff. UDC members will not be victims, witnesses, investigators, or otherwise significantly involved in the incident. The Warden designates ordinarily two or more unit staff members to hold an initial review and impose available sanctions upon completion of the investigation of alleged misconduct for moderate category and low category offenses. One staff member UDCs are permitted when other members are not reasonably available. Only one unit staff member is required to hold an initial review when the incident report is required by policy to be referred to the DHO. A staff member witnessing an incident may serve on the UDC in cases where virtually every staff member in the institution witnessed the incident in whole or in part. A staff member may not sit on the UDC without successfully completing the self-study program for UDC certification. Each Warden must select at least one UDC Trainer to monitor the progress of staff participating in the self-study program. P5270.09 7/8/2011 Federal Regulations are shown in this type. Implementing instructions: this type. 13 EFTA00039249

(c) Timing. The UDC will ordinarily review the incident report within five work days after it is issued, not counting the day it was issued, weekends, and holidays. UDC review of the incident report may also be suspended if it is being investigated for possible criminal prosecution. The Warden's approval is required for any extension beyond five work days. The UDC will ensure the approval is documented and included in the discipline packet. The time that an incident report is suspended for referral to another agency for possible prosecution is not included in this five work day time frame. The time line commences when the incident report is released from the outside agency for administrative processing. However, the inmate should be advised of the delay, and if appropriate. the reason for the delay. (d) Inmate appearance. You are permitted to appear before the UDC during its review of the incident report, except during UDC deliberations or when your presence would jeopardize institution security, at the UDC's discretion. Also: (1) You may appear either in person or electronically (for example, by video or telephone conferencing) at the UDC's discretion. (2) You may waive your appearance before the UDC. If you waive your appearance, the UDC will review the incident report in your absence. (3) If you escape or are otherwise absent from custody, the UDC will conduct a review in your absence at the institution where you were last confined. The UDC must document its reasons for excluding an inmate from the hearing. A waiver may be in writing, signed by the inmate, or if the inmate refuses to sign, by a memo indicating the inmate's refusal to appear (Waiver of Appearance (BP-A0307)). (e) Evidence. You are entitled to make a statement and present documentary evidence to the UDC on your own behalf. The UDC will consider all evidence presented during its review. The UDC's decision will be based on at least some facts and, if there is conflicting evidence, on the greater weight of the evidence. The phrase "some facts" refers to facts indicating the inmate committed the prohibited act. The phrase "greater weight of the evidence" refers to the strength of the evidence. (f) Sanctions. If you committed a prohibited act(s), the UDC can impose any of the available sanctions listed in Tables 1 and 2, except loss of good conduct sentence credit, disciplinary segregation, or monetary fines. P5270.09 7/8/2011 Federal Regulations are shown in this type. implementing instructions: this type. '14 EFTA00039250

(g) Referral to the DHO. If the UDC refers the incident report to the DHO for further review, the UDC will advise you of your rights at the upcoming DHO hearing, as detailed in § 541.8. The UDC is prohibited from imposing the sanctions of make monetary restitution or monetary fines. The UDC forwards copies of relevant documents to the DHO with a statement of reasons for the referral, along with recommendations for sanctions if the DHO finds the inmate has committed the act or another prohibited act. The UDC Chair records reasons for the referral and recommendations for disposition in the "Committee Action" section of the incident report. Recommendations are contingent upon a DHO finding that the inmate committed the act. When charges are referred to the DHO, the UDC advises the inmate of the rights afforded at a hearing. The UDC asks the inmate to choose a staff representative, if any, and the names of witnesses the inmate wishes to be called to testify and what testimony they are expected to provide. The UDC advises the inmate that he/she may waive the right to be present at the hearing, but still have witnesses or a staff representative appear on his/her behalf. If an inmate waives the right to appear at the UDC review, the UDC ensures the inmate is advised of the rights afforded at a hearing before the DHO (see forms for Inmate Rights at Discipline Hearing and Notice of Discipline Hearing Before the Discipline Hearing Officer (DHO)). (h) Written report. You will receive a written copy of the UDC's decision following its review of the incident report. The UDC prepares a record of its proceedings, which need not be verbatim. A record of the hearing and supporting documents is kept in the inmate's central file. The UDC gives the inmate a written copy of the decision and disposition by the close of business the next work day. Action taken as a minor disposition may be reviewed under the Administrative Remedy Program (see 28 CFR Part 542, Subpart B.). All UDC member(s) must print their name and sign Part H of the incident report to certify they served on the UDC and that the completed Part II accurately reflects their review. When the UDC finds the inmate committed the prohibited act charged or a similar prohibited act reflected in the incident report, the chair ensures the information is entered into SENTRY in the Chronological Disciplinary Record. (i) Appeals. You may appeal the UDC's action(s) through the Administrative Remedy Program, 28 CFR Part 542, Subpart B. P5270.09 7/8/2011 Federal Regulations are shown in this type. Implementing instructions: this type. 25 EFTA00039251