The Department maintains written rules of inmate conduct, sanctions, and procedures for violations that are communicated to all inmates and staff. Disciplinary procedures are carried out promptly and with adherence to due process requirements.

1.1    A written explanation of all chargeable violations, possible penalties, and disciplinary procedures shall be provided to each inmate. Copies may be provided in English or Spanish. Translations in other foreign languages may be obtained in order to assist an inmate to understand the rules and procedures.

1.1.1    A signed acknowledgement of receipt stating that the inmate has received written material on the inmate disciplinary system shall be maintained in each inmate’s file.

1.3    Confidential information shall be restricted throughout the disciplinary process in accordance with Department Order #901, Inmate Records Information/Court Action.

1.4    Commission of any rule violation that is also a violation of criminal law may result in referral of the case to the appropriate court or law enforcement agency for consideration for prosecution of the case.

1.4.1    Inmates are subject to all laws of the United States, the State of Arizona, and local, county or municipal law or ordinance. Any inmate violating any law may be charged and prosecuted for that violation in the appropriate local, state or federal court.

1.4.2    The filing of charges in a judicial court of record for the violation of local, state or federal laws does not prevent the administrative processing of the same act as a disciplinary matter or of the filing of disciplinary action against the inmate.

1.5    Staff Assistants shall be assigned when a charged inmate is illiterate, does not understand English, or where the complexity of the issue makes it unlikely that the inmate will be able to collect and present evidence. Staff Assistants are assigned to help inmates only to understand the charges against them, the disciplinary hearing process, the process for presenting their version of the charges, and the process to appeal.

1.5.1    Staff Assistants shall not act on behalf of, or serve as advocates for, inmates. Inmates may not act as Staff Assistants.

1.5.2    Staff assistants shall be selected by the complex warden, have the rank of sergeant, be familiar with department policy and procedures and not hold the position of disciplinary coordinator or disciplinary hearing officer.

1.5.4    The Disciplinary Coordinator (Coordinator) and the Disciplinary Hearing Officer (DHO) are responsible for the assignment of a minimum of two Staff Assistants. A current list of Staff Assistants shall be maintained by the DHO, with the list readily available to the DHO and the Coordinator.

1.5.6.1    Mental Health shall review the inmate’s status every seven days and shall inform the Coordinator immediately upon determining the inmate is competent to proceed.

1.7    The Division Director for Offender Operations will develop and provide a technical manual to execute the procedures in this policy.

803.02     PRE-HEARING DETENTION

1.4    Inmates held in pre-hearing detention pending an investigation for a rule violation or pending a disciplinary hearing shall have their status reviewed every thirty days by the Warden or designated Deputy Warden. Extensions of pre-hearing detention shall be made in writing at the end of each thirty day period and provided to the Warden and Division Director.

1.1    Any employee may file an Inmate Disciplinary Report, Form 803-1, for any conduct that is listed in Attachment A of this Department Order.

1.2    An Inmate Disciplinary Report shall contain only one violation per incident with a full explanation of supporting facts. The violation charged shall be the one with the highest severity.

1.3    The employee initiating the Inmate Disciplinary Report shall complete the first portion of the disciplinary report form within 24 hours of the determination that a violation may have occurred or within 24 hours of an investigation being completed. The contents of the report shall include:

1.3.1    The number, class and violation as listed in Attachment A.

1.3.2    The date, time and specific location of the alleged violation.

1.3.3    A detailed description of the conduct that constitutes the violation.

1.3.4    The names of any staff witnesses.

1.3.5    The names and ADC number of any inmate witnesses where disclosure would not compromise the safety and security of the inmate.

1.3.6    The date and time the report is written.

1.3.7    The date, time, place and name and rank of the staff member who advised the inmate of the pending disciplinary charge.

1.3.8    The signature, rank, and staff identification number of the employee writing the report. All signatures must be legible and include the printed last name of the employee underneath or next to the signature.

1.3.9    The Disciplinary Report shall include any of the following that apply:

1.3.9.1    A description and location of any physical evidence.

1.3.9.2    A description of any force used by the inmate or staff.

1.3.9.3    Any immediate corrective action taken.

1.3.9.4    Any unusual inmate behavior.

1.4    The employee shall complete and submit the report to the on-duty shift supervisor. The supervisor shall:

1.4.1    Review the report for content to ensure appropriateness of the charge.

1.4.2    Return the report to the employee for correction, if it is not completed properly.

1.4.3    Sign the report prior to forwarding it to the Coordinator.

1.5    The Coordinator shall:

1.5.1    Assign a case tracking number, which identifies the Disciplinary Report throughout the process.

1.5.2    Enter tracking number and incident date into the disciplinary log.

1.6    When an inmate is hospitalized, escapes, or is otherwise outside the institution during the period between a disciplinary violation and the serving of charges, the time frames shall begin when the inmate returns to Department custody.

1.1    Investigation of Charges - The Coordinator shall gather evidence and shall initiate an objective investigation of the charge within 24 hours, which shall be completed without delay. Any delay longer than five work days shall be explained in the appropriate section of the disciplinary packet.

1.1.1    The Coordinator shall obtain the inmate’s version of the violation using the Inmate Discipline - Investigative Report, Form 803-8, and shall contact any staff member or inmates who, in the Coordinator’s judgment, may have information pertaining to the allegation and charge.

1.1.2    The Coordinator shall omit from the report any opinions regarding the innocence or guilt of the charged inmate.

1.1.3    If the inmate has requested witnesses, the Coordinator shall document the inmate’s request on the Witness Request/Statement Refusal, Form 803-3.

1.1.4    The Coordinator shall obtain from the inmate a summary of expected testimony of a requested witness, as a condition of that witness being contacted. The Coordinator shall also obtain any relevant questions the inmate may want the witness to be asked.

1.1.5    The Coordinator shall interview relevant inmate and staff witnesses, and request that all witnesses complete an Inmate Discipline - Witness Request/Statement/Refusal form. A reason shall be entered on the Inmate Discipline - Investigative Report if witnesses are not contacted or refuse to complete a statement form. Staff witnesses requested by the inmate shall not refuse to answer relevant inmate questions or complete a statement form.

1.2.1    When admitting confidential information in a disciplinary case, information provided by a confidential informant may only be considered as evidence when

1.2.1.1    Staff reasonably concludes that the information provided by the confidential informant is reliable, and

1.2.1.2    The DHO finds the confidential informant for safety considerations prevent the disclosure of the informant’s name.

1.2.2    If a discipline case is based in part or in whole on confidential information, the information shall be presented to the DHO in written format only on the CIRAQ. The Coordinator shall ensure that a completed CIRAQ is included in the disciplinary packet for each confidential informant, or confidential source relied upon, such as tape recording, video recordings and etc.

1.2.3    Any supporting documentation containing information of a confidential nature related to the CIRAQ(s) included in a case shall be attached and clearly stamped, "CONFIDENTIAL."

1.2.4    When CIRAQ(s) are used in a disciplinary case, the Disciplinary Coordinator shall review the Inmate Disciplinary Report, to ensure that a statement notifying the inmate that confidential information will be presented to the DHO but that he/she will not have access to that information.

1.2.4.1    If a discipline case is based solely on confidential information, it will not be necessary to call witnesses.

1.2.4.2    If the discipline case is based on other testimony or evidence in addition to the confidential information then witness requests may be allowed for the information not deemed confidential in nature.

1.2.4.3    A staff member may not be a confidential source.

1.2.5    If the Coordinator finds that notification of any of the above information would tend to identify the confidential source, that information may be omitted from the Inmate Disciplinary Report.

1.2.5.1    When specific facts are omitted from the Inmate Disciplinary Report, an explanation documenting the reason for the omission shall be contained in the CIRAQ.

1.2.5.2    Failure to do document the basis for omitting facts shall result in the case being returned by the DHO to the institution for inclusion of the information or a rehearing ordered with the inmate receiving the information in order to prepare a defense.

1.3    Assessing Reliability of the CIRAQ.

1.3.1    The CIRAQ shall contain the following information:

1.3.1.1    The identity of the staff member conducting the investigation.

1.3.1.2    A description of the source as it relates to the Department. (Example: CI #001 is an inmate assigned to the Department. Or, Exhibit A is a transcription of a recorded telephone conversation, which occurred on (date).

1.3.1.3    The specific information each source gave in language which is factual (quotes) rather than conclusionary.

1.3.2    The Staff completing the CIRAQ must establish reliability of the informant in the CIRAQ as follows:

1.3.2.1    The confidential informant has past proven reliability. That is, the informant has provided information in the past that has in some manner been substantiated in another case. If this is the basis then the DHO must be provided a synopsis outlining the past reliability and reference to the other case must be provided in the CIRAQ.

1.3.2.2    The confidential informant was an eyewitness. The report must specifically state where the source claims to have been when he/she witnessed the incident being reported. Any corroborating evidence or information from other sources should be included to assist in establishing reliability on this basis.

1.3.2.3    The confidential informant has first-hand knowledge from the accused. (First-hand knowledge is defined for this purpose as having been overheard or received from the accused).

1.3.3    After the staff determines reliability of the informant, the DHO must then determine the credibility of the information, in one of three ways as follows:

1.3.3.1    The information provided by the confidential informant is corroborated by statements and/or information from other confidential informants.

1.3.3.2    There is physical evidence or staff testimony that corroborates the confidential informant’s information.

1.3.4    When confidential information or an informant is relied on for evidence, the DHO must record in the findings on the Result of Disciplinary Hearing, Form 803-5, that DHO has relied on information from a confidential source and that a separate CIRAQ has been completed.

1.3.5    The DHO’s finding of guilt shall contain a statement detailing what evidence was relied upon that specifically supports the finding of guilt that the confidential source(s) supplied and why that information was deemed reliable and credible.

1.3.6    All confidential information shall be stamped confidential on every page and contain the case number.

1.1    Class C violations are criminal violations defined by Arizona State Statutes as misdemeanors and/or department rule violations as listed in Attachment A. There are some offenses that are misdemeanor violations by Arizona State statute, which by the nature of the offense are of greater significance in the prison therefore; are treated accordingly.

1.1.1    Class C Violations shall be disposed of within ten work days of the filing date of the violation.

1.1.2.1    Meet with the inmate.

1.1.2.2    Determine whether the inmate has been properly charged or whether to amend the charge.

1.1.2.3    Conduct an investigation, if necessary.

1.1.2.4    Interview the inmate and obtain witness statements from other inmates or staff.

1.1.2.5    Decide whether to resolve the violation informally or formally.

1.1.2.6    Determine whether any penalties are appropriate.

1.1.2.7    Advise the inmate of all disciplinary appeal rights.

1.1.2.8    Document the resolution in Section IV of the Inmate Disciplinary Report form.

1.1.3    Penalties for Class C violations - The Coordinator may dismiss the charges, resolve the matter informally, or assess penalties for Misdemeanor violations as listed in Attachment B. In addition, the Coordinator may:

1.1.3.1    Order the confiscation and return of property that belongs to another inmate, staff member, other person or the State, which is found in an inmate’s possession without proper authorization.

1.1.3.2    Refer the inmate to their Unit Management for additional restriction consistent with the Inmate’s phase.

1.1.3.3    Order confiscation and forfeiture of contraband money and property, in accordance with Department Order #909, Inmate Property.

1.1    Class A and Class B Violations are criminal felony violations of law as defined by Arizona State Statutes and/or department rule violations.

1.2    Class A and Class B violations shall be referred to the DHO.

1.3    The Coordinator shall:

1.3.1    Review the Disciplinary Report and ensure that all charges have been thoroughly investigated.

1.3.2    Schedule a hearing within seven work days of the violation filing date, except when a postponement has been obtained.

1.3.3    Consider modification of the charge consistent with all information in the Inmate Disciplinary Report.

1.3.4    Serve the charge in writing to the inmate no later than 48 hours before the hearing. If the inmate cannot read, the Coordinator shall read the charge to the inmate.

1.3.5    Determine whether the inmate understands the charge, and his/her right to request a Staff Assistant.

1.3.6    Record in Section II of the Inmate Disciplinary Report, the date, time, place and name of the person who served the written charge on the inmate.

1.3.8    Before the hearing, the inmate shall be advised to provide to the Coordinator a written request for the appearance of witnesses and what testimony he/she expects each witness to provide at the hearing. The inmate shall provide questions for each witness to the DHO at the time of the hearing.

1.3.9    Prepare a file for the DHO that includes the disciplinary report with all sections completed, a list of evidence, witness names, and written witness statements. Forward the packet to the DHO.

1.3.10    If an inmate is transferred to another facility pending the hearing, the Disciplinary Report and all supporting documentation shall be forwarded to the Coordinator at the receiving unit for disposition.

1.1    The Warden shall appoint a staff member to act as DHO for each complex. The DHO shall be of the rank of Captain or the equivalent. An individual shall be excluded from sitting as a DHO for a specific hearing for one of the following:

1.1.1    The staff member is the individual who wrote the disciplinary report that is to be heard.

1.1.2    The staff member was directly involved in conducting the investigation before the hearing.

1.1.3    The staff member is unable to be fair and impartial when hearing the case.

1.3    The DHO shall prioritize all pending disciplinary reports by Class to ensure that serious rule violations are given priority.

1.4    Hearings shall be held no more than seven work days after the date the violation was filed. If a hearing cannot be held within seven work days, the Coordinator shall supply a Postponement Memorandum explaining the reasons a continuance is needed. The Warden or Deputy Warden’s approval is required for all postponement requests more than seven days.

1.5    AIMS data regarding the inmate’s disciplinary history shall be available to the DHO during the disciplinary hearing and may be considered in assessing any penalties.

1.6    The DHO shall conduct the hearing as follows:

1.6.1    Record the date and time of the hearing.

1.6.2    Read the charge and ask if the inmate understands the charge. The DHO may modify the charge at the hearing provided that the new charge is a lesser or equivalent charge that has one or more elements of the titled charge. The modification shall be noted on the record.

1.6.3    Determine if the inmate requires a Staff Assistant at the hearing. The DHO may allow time for consultation between the inmate and designated Staff Assistant.

1.6.4    Explain the range of possible penalties that may be imposed in the event of a guilty finding.

1.6.5    Ask whether the inmate pleads guilty or not guilty.

1.6.5.1    If the inmate pleads guilty, no further evidence needs to be heard. The inmate may offer a statement concerning the misconduct for the DHO to consider when determining penalties.

1.6.5.2    If the inmate refuses or fails to enter a plea, a plea of not guilty shall be entered.

1.6.5.3    If the inmate pleads not guilty, evidence shall be presented, including appropriate staff or inmate testimony or written statements. The inmate may make a closing statement concerning the misconduct for the DHO to consider.

1.6.6    The DHO shall determine whether to call staff or inmate witnesses to appear at the proceedings or whether written witness statements are adequate or necessary.

1.6.6.1    The inmate shall present to the DHO, in writing, all proposed questions for each witness that he/she wishes to call.

1.6.6.2    Live testimony of inmate witnesses is not required. If live testimony is permitted, the DHO shall not permit the inmate to directly question the witness. The DHO shall conduct the questioning if he/she determines that the questions are appropriate and relevant. The questions that the inmate wishes to ask shall be submitted to the DHO in writing.

1.6.6.3    Where an inmate is at another facility, a written statement may be taken. Statements taken from inmates at another facility or who are not present at the hearing shall be made known to the inmate (unless confidential as defined in section 803.04) so that he/she may respond on the record.

1.6.6.4    The DHO shall retain in the disciplinary packet the questions that were determined as neither appropriate nor relevant.

1.6.6.5    The DHO may determine not to call a witness if the witness would be subject to a risk of reprisal, undermine authority or otherwise present a threat to the security or order of the institution, or, if the DHO reasonably believes that the witness’ testimony would be irrelevant, immaterial or repetitive. The DHO shall document the reason for the exclusion of any witness.

1.6.6.6    Although there is no maximum number of witnesses that an inmate may call, the DHO may limit the number based on a reasonable belief that the witness testimony would be repetitive testimony or an undue hazard to institutional safety.

1.6.6.7    Character witness evidence is not relevant in a disciplinary hearing and shall not be permitted.

1.6.6.8    The DHO may elect to call the charging officer as a witness to clarify any portions of the Disciplinary Report.

1.6.6.9    The DHO may remove witnesses whose conduct interferes with the hearing.

1.7    All evidence used at the hearing shall be made known to the inmate, except that the DHO may decide to withhold from disclosure specific information if the disclosure would endanger the safety or well being of another person. The DHO shall note in the decision the reasons for excluding or limiting any evidence.

1.8    Persons other than the DHO, inmates and staff involved in the disciplinary matter may be present in the hearing room and observe discipline hearings. Their attendance shall be approved in advance by the Warden, Deputy Warden or Administrator, and must be noted on the record. These persons may be excluded if they are disruptive.

1.9    During the course of the Hearing, the DHO may:

1.9.1    Offer staff assistance to the inmate during the hearing and use available personnel resources, such as medical staff, or mental health staff as consultants.

1.9.2    Postpone a hearing for good cause. The reasons for postponement shall be included in the file. The Warden, Deputy Warden or Administrator shall determine whether or not to approve a postponement. Postponements shall not exceed 28 days.

1.9.3    Postpone the hearing and return the disciplinary file to the Coordinator if the titled charge needs to be modified to a different charge that does not contain elements of the current rule violation.

1.9.3.1    The DHO may modify the charge during the hearing and change the titled charge to a greater charge, however, the inmate shall be notified that he may request an additional 48 hours to prepare a defense on the modified charge. The inmate may waive this requirement.

1.9.3.2    During the course of the hearing, the DHO may change the titled charge to a lesser or equivalent charge without ordering a rehearing. The lesser or equivalent charge must have one or more of the elements of the titled charge.

1.9.4    Postpone the hearing to request other supporting documents.

1.10.1    If the inmate waives the right to be present or refuses to be present, the inmate shall sign the Inmate Discipline - Hearing Waiver, Form 803-4, and an employee shall witness the signature. If the inmate refuses or is unable to sign the waiver, the employee shall specifically note this on the form.

1.10.2    If the inmate’s conduct disrupts the hearing, the inmate shall be removed from the area or hearing room and the hearing shall be conducted without the inmate present. The reason for the inmate’s absence shall be explained on the Result of Disciplinary Hearing form.

1.10.3    The DHO shall ensure that the inmate has the opportunity to provide a statement. The statement may be oral, written or both.

1.11    Hearing Decisions - The DHO may:

1.11.1    Dismiss the charge. The reason for dismissal shall be provided on the Result of Disciplinary Hearing Form.

1.11.2    Find the inmate not guilty.

1.11.3    Find the inmate guilty and impose penalties as indicated in Attachment B. As the standard of proof for guilty findings, the trier of fact (DHO) shall be persuaded by the evidence that it is more probably true than not that the inmate committed the disciplinary violation.

1.12    Upon reaching a decision, the DHO shall:

1.12.1    Prepare a written report utilizing the Result of Disciplinary Hearing form, that detail the specific evidence relied upon to arrive at the decision and that the standard of proof has been met.

1.12.1.1    Restitution:

1.12.1.1.1    Determine if restitution is owed and the amount due.

1.12.1.1.2    For restitution purposes, the inmate(s) found guilty will be joint and severally liable for the full amount due.

1.12.1.1.3    The DHO may enter a finding that restitution is owed and to whom, reserving the issue of the amount of restitution owed for a future hearing conducted in accordance with the procedures outlined for a Class C violation with the exception of the ten day requirement for filing.

1.12.1.1.4    Restitution proceedings may commence upon receipt by the Warden of the amount of loss resulting from the inmate’s violation.

1.12.1.1.5    If the amount of restitution requested is known to the DHO at the time of the disciplinary hearing, the restitution should be resolved at that time.

1.12.2    Inform the inmate of the decision in writing, including the penalty, and verbally explain it.

1.12.3    Type or legibly print the name of the DHO on the Result of Disciplinary Hearing form and sign the report.

1.12.4    Inform the inmate that he/she may appeal the decision of the DHO in accordance with the established procedures for major violations.

1.12.5    Forward the results of the hearing to the Warden, Deputy Warden or Administrator for review.

1.2    The DHO may assess Earned Release Credit forfeitures beyond the five days mandated by Arizona Revised Statute for "positive" urinalysis tests.

1.3    An inmate found guilty of a Violation 16A, 2B, 4B or other violation resulting in a positive urinalysis test shall be charged the cost of the test and any subsequent re-test.

1.4    An inmate found guilty of any assault, sexual assault, or any violation involving physical harm or serious physical injury to a Department employee or contract bed facility employee shall be liable for any costs incurred by the employee including medical costs and cleaning/replacing uniforms.

1.5    An inmate found guilty of escape shall be assessed restitution for costs resulting from damage or destruction of state property during the course of the escape. The inmate shall also be required to pay apprehension costs in accordance with Department Order #905, Inmate Banking/Money System.

1.6    Suspensions of penalties may be imposed in 30-day increments up to a maximum of 90 days and may be granted with the condition that the inmate not be found guilty of any other violations during the suspension period. The Coordinator shall explain the reasons for the suspension in writing.

1.6.1    A Revocation of Suspended Sentence, Form 803-9, shall be completed by the DHO for previously imposed major penalty suspensions and by the Coordinator for previously imposed minor penalty suspensions.

1.6.2    A suspended penalty that is revoked shall be imposed and served consecutively to any other penalties being served.

1.6.3    All penalties with the exception of Parole Class III may be suspended.

1.7    There shall be no stay or delay of any penalty imposed pending an appeal.

1.1    Review - Following a disciplinary hearing for a felony violation, the unit Deputy Warden shall administratively review the disciplinary report no later than the next work day. This includes all reports where an appeal has not been filed. The review shall include, but is not limited to:

1.1.1    Verifying that the disciplinary report was completed correctly and that the inmate was appropriately charged. The Deputy Warden may return the case to the DHO for a re-hearing if the titled charge needs to be modified to a different charge that does not contain elements of the current violation charged. The Deputy Warden may modify the titled charge to a lesser or equivalent charge without ordering a rehearing. The lesser or equivalent charge must have one or more of the elements of the titled charge.

1.1.2    Examining all documents in the record and determining that the inmate received due process, that the hearing was conducted appropriately and that there was adequacy of proof.

1.1.3    Determining that the penalties assessed are appropriate for the charge and consistent with penalty guidelines in Attachment B. The Deputy Warden may revise the penalties downward.

1.1.4    Should the Deputy Warden return any case to the DHO, the reason for the return shall be provided in writing.

1.1.4.1    Dismissals by the Coordinator or DHO based on due process do not constitute not guilty findings. They are not considered dismissals on the merits of the case. The dismissal of the violation does not preclude the Deputy Warden from returning the case to the DHO for a rehearing.

1.1.4.2    Cases dismissed by the DHO solely on the basis of adequacy of proof may not be returned for a re-hearing by the Deputy Warden unless new evidence is discovered. A summary of the new evidence to be considered must be noted by the Deputy Warden.

1.2    Appeals – Staff, who receives an Appeal of Disciplinary Charge, Form 803-2, shall sign, date, note the time, and provide the receipt (pink copy) to the inmate. The form shall then be forwarded to the Coordinator for processing to the appropriate review authority.

1.2.1    Time frames for an appeal decision shall begin when the appellate authority or designee receives the appeal.

1.2.2    An appeal is not a rehearing at which new evidence may be introduced. Staff conducting appeals shall only review the case record and file.

1.2.3    Appeals of Class C Violation - Inmates may submit an appeal of a minor misdemeanor violation within five work days of receiving the guilty finding by completing an Appeal of Disciplinary Charge form. The Appeal form shall be submitted to the DHO through the Coordinator.

1.2.3.1    The DHO shall verify that the disciplinary report was completed correctly and that the inmate was appropriately charged. The DHO may return the case to the Coordinator to have the charge modified to the more appropriate Class C charge based on conduct contained in the disciplinary report.

1.2.3.2    The DHO shall review all documents in the record and determine that the inmate received due process and that there was adequate proof.

1.2.3.3    The DHO shall determine that the penalties assessed are appropriate for the violation and consistent with the guidelines provided in Attachment B.

1.2.3.4    The DHO may not increase penalties, but may revise the penalties downward.

1.2.3.5    Should the DHO return any case to the Coordinator, the DHO shall provide the specific reason(s) for the return.

1.2.3.6    The DHO shall review the appeal and provide a written decision to the inmate within 20 calendar days, using the Discipline Regulations/Decision of Appeal, Form 803-6. The DHO shall address all issues raised in the Appeal and shall review all documents in the record. The reasons for the decision shall be specified. The decision shall be signed and dated. The decision shall be returned to the inmate through the Coordinator.

1.2.3.7    For Class C violations, the DHO’s appeal decision is final and administrative remedies shall be considered exhausted with the DHO’s decision.

1.2.4    First Level Appeals of Class A and B Violations - Inmates may submit an appeal of a Class A and B violation within 20 working days of receiving the guilty findings using an appeal of Disciplinary Charge form or an Appeal form designated for that purpose. The Deputy Warden shall consider whether: due process was afforded the inmate; there was adequate proof; and the penalties assessed are appropriate.

1.2.4.1    The Deputy Warden may return the case to the DHO for rehearing if the original violation should be modified to a lesser or equivalent violation that does not contain elements of the original violation.

1.2.4.2    The Deputy Warden may modify the original violation to a lesser or equivalent violation without ordering a rehearing, if the lesser or equivalent violation contains one or more of the elements of the original violation.

1.2.4.3    The Deputy Warden may approve the findings of the DHO.

1.2.4.4    The Deputy Warden may dismiss the case. The reason for the dismissal must be recorded.

1.2.4.5    The Deputy Warden may dismiss the case upon determining that due process was not met. Dismissals based on due process violations do not constitute not guilty findings. They are not considered dismissals on the merits of the case. The dismissal of the violation does not preclude the Deputy Warden from returning the case to the DHO for a re-hearing.

1.2.4.6    A case dismissed on appeal at the Deputy Warden level based solely on adequacy of proof may not be returned for a rehearing.

1.2.4.7    The Deputy Warden shall determine that the penalties assessed are appropriate for the charge and consistent with other similar violations. The Deputy Warden may not increase penalties, but may revise the penalties downward.

1.2.4.8    Should the Deputy Warden return any case to the DHO, the Deputy Warden shall provide the specific reason(s) for the return.

1.2.4.9    The Deputy Warden shall review the appeal and provide a written decision to the inmate within 20 calendar days, using the Discipline Regulations/Decision of Appeal form. The reasons for the decision shall be specified. The decision shall be signed and dated. The decision shall be returned to the inmate through the Coordinator.

1.2.4.10    Cases returned for rehearing do not require the assignment of a new DHO.

1.2.5    Second Level Appeals to the Director - An inmate who rejects the response may submit a second level appeal within 20 working days of receiving the Step One decision, using the Appeal of Disciplinary Charge form, through the Coordinator’s Office, who shall forward the packet to the Central Office Appeals Unit.

1.2.5.1    The Director or designee shall consider the appeal’s merits based upon whether the inmate received due process, there was adequacy of proof, and the penalties assessed were appropriate.

1.2.5.2    The Director or designee shall verify that the disciplinary report was completed correctly and that the inmate was appropriately charged. The Director/designee may not change the titled charge to a greater charge, but may change the titled to a lesser or equivalent charge without ordering a re-hearing. The lesser or equivalent charge must have one or more of the elements of the titled charge.

1.2.5.3    The Director or designee may approve the findings of the unit.

1.2.5.4    The Director or designee may dismiss the case on appeal. The reason(s) for the dismissal must be cited.

1.2.5.5    The Director or designee may dismiss the case upon determining that the inmate did not receive due process. Dismissals based on due process violations do not constitute not guilty findings. They are not considered dismissals on the merits of the case. The Director/designee may return the case to the unit for a re-hearing.

1.2.5.6    A case dismissed on appeal at the Director’s level based solely on adequacy of proof is not subject to re-hearing.

1.2.5.7    The Director or designee shall determine that the penalties assessed are appropriate for the charge and consistent with other similar violations. The Director/designee may not add or increase penalties, but may revise the penalties downward.

1.2.5.8    The Director or designee shall provide a written decision to the inmate within 30 calendar days, using the Continuation Sheet, Form 803-10. The decision shall be signed and dated. The decision shall be returned to the inmate through the Coordinator.

1.2.5.9    The decision of the Director or designee is final and all administrative remedies shall be considered exhausted with the Step Two Appeal. (See Attachment B, Inmate Disciplinary Appeals Process.)

Within 90 days of the effective date of the Department Order, Division Directors shall ensure an appropriate level of training is conducted for all staff involved in the disciplinary process. This Department Order will be implemented after all staff training is complete and the Technical Manual is approved.

APPEAL - A request for a review of the proceedings by a higher authority.

CONFIDENTIAL INFORMANT - A person who provides confidential information which, if revealed, could jeopardize the safety of the informant or other persons.

COORDINATOR OF DISCIPLINE (COORDINATOR) - An employee, of equal rank or exceeding the level of a Sergeant, whose responsibilities include reviewing and disposing of minor disciplinary violations, ensuring that complete investigations of major violations are conducted.

DISCIPLINARY HEARING OFFICER (DHO) – A Captain or equivalent that is designated by the Warden to conduct major hearings on disciplinary actions and to serve as the Appeals Officer for minor violations.

DISCIPLINARY REPORT - A formal method of charging an inmate with a violation of the disciplinary policy using an Inmate Disciplinary Report form.

DUE PROCESS - Due Process is a term of art defined by court decisions which presently requires: 1) 48 hours advance written notice of the violation(s) before a hearing; 2) the inmate is to respond to the violation(s). If the potential penalty involves a liberty interest the inmate has a right to a hearing before an impartial hearing officer.

FELONY VIOLATION - May be a criminal violation of law designated by Arizona State statute as a felony and/or a rule violation of such significance that a finding of guilt could result in penalties that may include the loss of earned release credits, restitution, fines, placement in Class III or disciplinary detention. 

FILING DATE - The date the Disciplinary Report is completed by the reporting officer.

LOSS OF PRIVILEGE – A loss of privilege may include any or all of the following: i) access to the inmate store for non-sanitary items, ii) telephone access, iii) visitation, iv) educational opportunities, v) work opportunities, and/or vi) any other loss of privilege determined appropriate by the DHO.

MISDEMEANOR – May be a criminal violation of law designated by Arizona State statute as a misdemeanor or a department rule violation for which an informal resolution is not sufficient, but for which loss of earned release credits, placement in Class III, restitution, fines or placement in disciplinary detention will not be imposed.

POSSESSION – For purposes of this policy possession is defined any of the following: i) actual physical custody of the item(s), ii) control of the item, iii) ownership of the item. Example: An item found inside a cell is deemed "in possession" of all assigned occupants of the cell.

PRE-HEARING DETENTION- Detention placement for any inmate pending completion of an investigation on a rule violation or pending a disciplinary hearing.

RESTITUTION – A penalty imposed on the inmate by the disciplinary hearing officer upon a finding of guilt for an offense causing economic loss. If more then one inmate is found guilty of the violation, the inmates are jointly and severally liable for the total amount of restitution.

RESTRICTION - A penalty imposed upon a finding of guilt for a Class A, B or C Violations that restricts an inmate to the inmate’s cell or sleeping area during unassigned hours. During Restriction, the following activities shall be allowed as normally scheduled: meals, recreation and exercise periods, medical services, legal access, visitation, laundry, and hygiene activities.

STAFF ASSISTANT - A designated employee who is assigned to explain rule violation charges or hearing procedures to inmates, but who shall not act as an advocate for an inmate.