Effective immediately, remove Director's Instruction #67, dated January 3. 2000 and replace with the following:

The Deputy Director, Prison Operations is responsible for the overall implementation of this Instruction.

PURPOSE AND SCOPE

The purpose of this Director's Instruction is to provide procedures for identifying and safeguarding inmates with legitimate protection needs. While careful classification, appropriate security measures, and preliminary screening for alternate management strategies can serve to reduce the number of such cases, some inmates still require segregation from the general prison population. The methods for accomplishing this goal must be comprehensive, professionally executed, and legally sound. Public and institutional safety concerns always will be the governing elements for staff as they manage these cases.

Protective Segregation (PS) is not a punitive status. Each PS inmate will be assigned to a facility that provides appropriate security. To the extent permitted by legitimate security and operational requirements associated with segregated housing, most inmates in PS status can be afforded privileges and programs parallel to those offered similarly classified general population inmates. However, due to the nature of their offense, conduct, or other legitimate correctional management factors, some PS inmates may require a high level of security and control, and those factors take precedence over program and activity considerations.

Decisions associated with the PS process will be made with the goal of helping to assure inmate safety within the bounds of sound correctional management. All PS-related decisions will be cautious, well-founded in fact, carefully reasoned, and made with public, staff, and inmate safety as the first priorities. The rationale for each PS-related decision shall be clearly documented in sufficient detail as to enable complete reconstruction of each stage of the decision-making process.

The DOC maintains in the Central Office and at all field locations a separate, appropriately staffed, management process to carry out this Instruction. A PS Unit, headed by a PS Administrator, has been established in the Central Office for this purpose. Each Warden shall institute appropriate procedural safeguards to help to assure the physical safety of validated or pending PS cases in that facility. Specific institution staff shall be identified to carry out this Instruction, and in units with PS housing units, separate post and management orders will be developed to enable staff to more precisely manage and review PS-related functions.

Notwithstanding the fact there may be no verified information suggesting a need or continued need for protection, staff shall never force an inmate into General Population (GP). Should an inmate refuse to enter GP, staff shall take appropriate disciplinary and classification actions. Those actions may eventually result in inmate placement in a more restrictive custody assignment. That status will provide a similar level of protection, and will offer programs and services commensurate with such an assignment.

The Deputy Director, Prison Operations, shall, in coordination with the Administrator of Staff Development and Training, develop appropriate initial and in-service training in the provisions of this Instruction. Such training shall be provided to all Wardens, Deputy Wardens, Administrators, Investigations staff, Classification staff, and to any other DOC employees directly involved in the Protective Segregation process, or in supervising or managing inmates requiring protection under this Instruction. This training also shall emphasize professionalism in dealing with PS cases; and this training shall include information on statutes and agency policies regulating the release of official information. Further, appropriate content shall be included in the orientation that inmates receive upon entering the DOC, to familiarize them with the basic protections and procedures instituted and available under this Instruction. Implementation of this Instruction shall be reviewed as part of the Department's regular audit program.

PROCEDURES

805.01 INITIAL PS PLACEMENT AND PROCESSING ISSUES

1.1 Voluntary Placement: Any inmate may make a written or verbal request for protection. That action shall trigger a documented review of the inmate's need for long-term PS status.

1.1.1 Any staff member who receives a written or verbal request from an inmate for protection or who becomes aware of a threat to an inmate shall immediately isolate the inmate in a safe, reasonably secure area and notify the Shift Commander. At this stage, and at all other stages of the process described in this Instruction, staff shall incorporate into their decision-making the fact that there may be some situations in which an inmate cannot identify a specific individual who presents a threat.

1.1.2 The Shift Commander shall safely move the inmate to a detention unit at once and serve the inmate with a Form 2A, Assignment to Investigative Detention, and notify the on-site or on-call Duty Officer and complete the detention assignment checklist (804-1P) clearly documenting PS review in the placement status section.

1.1.3 Once the inmate has been placed in detention, the Shift Commander shall initiate a DI 67 Screening Form 805-8P and the Protective Segregation Continuation Sheet 805-3P. The information recorded on the 805-3P shall include all available specifics (what occurred to cause the request, the names of any inmate who may have assaulted or threatened the inmate, where any such act occurred, when these events occurred, and any other relevant information.)

1.1.3.1 As part of this initial inquiry, the inmate shall be asked to provide written supporting facts on Form 805-10P. If an inmate is unable to provide such facts when first questioned regarding the request, staff may obtain and record such information at a later time. However, the inability to identify a specific attacker, or threatening individual, or other potential threat source may not be the sole reason for excluding an inmate from further consideration, or approval, for PS status.

1.1.3.2 Further investigative findings shall be documented on an Information Report (IR), ADC Form #40000029, appended to the DI 67 Screening Form 805-8P. In the event of an assault, this shall include, but not be limited to, descriptive information regarding the method in which staff locked down the unit, examinations of inmates assigned to the unit, any observed injuries, and methods used to obtain physical evidence of all types. Subsequent attempts to identify potential assailants and witnesses also shall be documented on this form.

1.1.4 The Shift Commander shall advise the designated CO IV as soon as possible, no later than 1 workday from the time of the request. All Documents relating to the request shall be forwarded to the Deputy Warden within 1 work day.

1.1.4.1 Each Warden shall identify a specific CO IV, who will serve as the coordinator and specialist for all PS issues; a single CO IV may serve this purpose for a complex. This person shall be responsible for maintaining a tracking system for all PS, pending PS cases, and PS removal cases and serve as the point of contact for inmates on all PS-related issues. All incoming inmates shall be advised of that fact as part of the institution's orientation process. All subsequent references in this Instruction to the position CO IV refer to this employee or designee. In the case of private prisons, this person shall be the ADC Disciplinary Lieutenant.

1.1.4.2 The designated CO IV shall place a PS Review Hold on the AIMS offender comment screen under the "Protective Review Hold" (PC) comment type for the inmate and ensure the inmate is not scheduled for movement. This hold shall remain in effect until removed by Central Office Classification staff as outlined in 1.1.5.7 of this section or 805.03, 1.6.

1.1.4.3 The CO IV shall request from the Central Office the archived PS file on an inmate who previously had been reviewed for PS.

1.1.5 The Deputy Warden, within 1 work day or upon receipt of prior PS file shall:

1.1.5.1 Complete an Inmate Assessment Form 805-7P.

1.1.5.2 Review all documentation, including the inmate's AIMS screens.

1.1.5.3 meet with the inmate and/or obtain additional information, if deemed necessary.

1.1.5.3.1 If additional information is received requiring CIU investigation, the file shall immediately be forwarded to the CO IV (Section 1.1.6).

1.1.5.4 Determine if the case requires a DI 67 PS review, and document the decision on the Screening Form and the 805-3P.

1.1.5.4.1 If PS review is required, the Deputy Warden shall immediately forward the file to the designated CO IV (Section 1.1.6).

1.1.5.5 If A PS review is not required, the Deputy Warden, within 3 work days of the receipt of the file, will ensure all current DNHWS are verified, complete a DNHW memo with justification to add new DNHWs, and document on the Screening Form and on the 805-3P the following:

1.1.5.3.1 Rationale for the decision.

1.1.5.3.2 What housing/institution placement change, if any, is needed.

1.1.5.5 The inmate will be advised of the Deputy Warden's decision and the appeal process and acknowledge the same on the screening form. The inmate may, within 3 calendar days, appeal the Deputy Warden's decision to the Warden.

1.1.5.6 The file shall be forwarded to the PS Unit after the appeal process is finalized (i.e.: inmate waives, appeal time frames expire, or inmate appeals and receives response).

1.1.5.7 The PSA shall review the file to ensure compliance with this procedure. Files not in compliance will be returned to the Deputy Warden for corrections. Once in compliance, files will be forwarded to Central Office Classification for placement and movement.

1.1.6 If the Deputy Warden requires a PS review, he/she shall document on the 805.3P any specific issues to be addressed by the CO IV and CIU and forward to the CO IV.

1.1.7 The CO IV shall, within 3 work days of receipt:

1.1.7.1 Initiate the Protective Segregation Placement Review Request Form 805-1P.

1.1.7.2 Interview the inmate and begin preliminary processing as described in 805.02, subsection 1.2 of this instruction.

1.1.7.3 Assemble all documentation and forward to CIU within 3 work days of receipt.

1.1.8 Inmates who are requesting PS within 30 days after completion of a PS review and placement back into general population, shall be processed in accordance with Section 805.04.

1.2 Involuntary Placement: DOC employees shall be alert to signs that an inmate is in danger and may require protection. Staff have an obligation to take steps to protect an inmate even when the inmate does not acknowledge that a threat exists. Consequently, any inmate shall be placed involuntarily in detention pending PS evaluation, when staff have information suggesting there may be a threat to that inmate's safety.

1.2.1 The Shift Commander shall immediately and shall involuntarily place an inmate in detention status when staff become aware of information indicating the inmate may be in jeopardy. This information may consist of documents, other types of current verified information (including that obtained from confidential sources), inmate conduct, or known facts about the commitment offense. For the purpose of this initial period of detention, staff may rely on any facts that would lead a prudent person to believe the inmate could be in danger if placed in a general population (GP) unit without further evaluation.

1.2.2 The Deputy Warden will review all involuntary PS cases to determine the need for placement in the process or if return to general population is appropriate. This review shall be documented on the DI 67 Screening Form 805-8P.

1.2.3 All aspects of the preliminary processing of an involuntary PS case are the same as those for a voluntary PS case, as described in subsection 1.1 above.

1.3 Re-incarcerated Inmates: A re-incarcerated inmate is received who formerly had been confined in a PS location or, had been in approved PS status pending transfer at the time of release or, was known to have been in an alternate placement, or was pending PS evaluation at the time of release shall be segregated from general population.

1.3.1 A DI 67 Initial Screening Form 805-12P shall be completed and reviewed by the Deputy Warden prior to the movement of the inmate from detention or secured area.

1.3.2 Inmates who are released from general population or from DI 67 status pending movement to an alternate placement require screening only.

1.3.3 The PS process shall be completed on all inmates formerly approved PS or pending PS at the time of release except as stated below.

1.3.3.1 Re-incarcerated inmates who, during their previous incarceration were denied PS or approved by the PSC for alternate placement but never completed due process as outlined in Section 805.03, 1.5 (i.e., was not served with documentation of the decision) are not required to enter the DI67 process if the inmate was released from prison within the last 180 days and there is no new information available relevant to protection issues. The inmate shall be placed in detention until the completion of the following:

1.3.3.1.1 The inmate shall be served the documentation of the PSC decision and be advised of the appeal process as outlined in Section 805.03, 1.5.

1.3.3.1.2 If the inmate waives the appeal, the process shall continue as outlined in Section 805.03, 1.6.

1.3.3.1.3 If the inmate does not waive, the appeal shall be processed as outlined in Section 805.07.

1.3.3.2 Inmates re-incarcerated within 180 days of release who were approved PS status upon release shall be considered PS status upon return. The Deputy Warden shall obtain the inmate's PS file from the PSU to review to determine if the removal process should be initiated. The Deputy Warden shall document his/her decision on the AIMS and the 805-3P. If removal is not initiated, the file shall be sent to the PS Unit. The inmate shall be transferred to an appropriate PS placement based on current classification and DNHW.

1.3.3.3 A PS STG debrief inmate must have a CIU report completed upon return to custody to verify non-involvement in gang activities while on release. Once this information is obtained, the inmate may be returned to PS as stated above.

1.4 Processing and Placement of Mental Health Inmates: Without regard to their PS status, inmates determined by Health Services to require mental health treatment will be transferred to an appropriate mental health facility. The specific treatment facility will be determined by mental health staff and the designated CO IV in Central Classification.

1.4.1 Inmates approved for or pending PS processing while confined in an approved mental health facility will be segregated within that facility from other inmates.

1.4.2 Mental Health PS cases will receive priority in the DI 67 processing.

1.5 Termination of the PS Process: Some situations that develop during the DI 67 process may result in abatement or elimination of the initial apparent need for protection. Consequently, the process of investigating and evaluating PS may be terminated at any time, with sufficient justification. Termination of a voluntary PS case requires that the inmate request termination by submitting an Inmate Letter, ADC Form #70501168, to the Deputy Warden. The inmate shall state that he/she is requesting termination of his/her PS request. Staff may request to terminate the processing of involuntary PS cases at any time that it is conclusively apparent that the need for that status cannot be verified.

1.5.1 The Deputy Warden shall preliminarily review all withdrawal requests for informational purposes.

1.5.2 A final determination of GP placement or continuation of the PS process shall be made only after the completion of the assessment and investigative process described in Section 805.02, subsections 1.2 and 1.4 of this Instruction. However, a Criminal Investigations Unit (CIU) investigation or CIU interview of the inmate is not required if the Deputy Warden determines the available information is complete enough to assess the potential danger to the inmate.

1.5.3 Upon review of the complete file after the investigation has been conducted, the Deputy Warden shall make a recommendation to the Warden. If the conclusion is that the inmate may be safely returned to the unit's GP, this determination and the associated recommendation will be documented on the PS Continuation Form 805-3P and forwarded to the Complex Warden for approval.

1.5.3.1 Upon approval by the Complex Warden, the inmate shall be returned as soon as possible to the GP unit of origin and the PS process shall be terminated. The PS process shall continue, however, in cases where placement in a GP unit other that the unit of origin is recommended unless the change of placement is commensurate to a classification action, medical/ mental health issue, STG validation, or the prior unit's use has changed or has become specialized which precludes the inmate from returning.

1.5.3.2 The CO IV shall record the action taken on the PS Placement Review Request Form, 805-1P, the Continuation Sheet 805-3P, and on the AIMS Offender Comment screen under the "Protective Custody" (50) Comment Type. This information should include reference to all relevant information relied on by the Deputy Warden and Warden.

1.5.3.3 The CO IV shall notify Central Office Classification by message router to request removal of the "PC Hold" prior to the inmate being placed back on the yard of origin.

1.5.4 If the Warden denies the removal request of an inmate who had originally requested voluntary PS status, the PS process shall continue and the inmate shall be re-categorized as an involuntary case.

1.5.4.1 Documentation on the 805-3P will indicate a change from VPS to IPS.

1.5.5 The PS review process may not be terminated for successfully debriefed STG members or in cases where DNHWs have been identified with the exception of identified DNHWs that are not related to the current investigation but have become identified due to file review, etc.

1.5.6 An inmate who infiltrates or seeks to infiltrate the PS process for the purpose of harming another inmate shall be removed from pending or actual PS status, and disciplinary and reclassification actions shall be taken.

805.02 ASSESSMENT AND INVESTIGATION

1.1 Assessment and Investigation: The assessment and investigation processes are core elements of, and critical to, sound decision-making at all levels of the DI 67 process. At all stages of the process described in this Instruction, staff shall incorporate into their actions the fact that there may be some situations in which an inmate has been so thoroughly identified as a protection case as to be unable to function in a GP for a significant period of time due to that fact alone.

1.1.1 The Deputy Warden shall ensure that the assessment and investigation process described in this Section, specifically including attempts to verify the information provided in Section 805.01 of this Instruction, are initiated within 3 workdays of the inmate's placement in detention in relation to a PS issue. The processing of inmates who formerly were verified PS cases (voluntary or involuntary) shall be given priority (refer to section 805.04, subsection 1.4).

1.2 Preliminary Review: The designated CO IV shall gather all relevant information on the case, including any prior protection issues.

1.2.1 Re-verify information on the 805-7P.

1.2.2 The inmate shall be interviewed by the CO IV and the interview shall be documented on the PS interview/assessment, Form 805-11P

1.2.3 The CO IV shall document efforts to verify the inmate's statements by utilizing available resources, which may include, but not be limited to:

1.2.3.1 Inmate File.

1.2.3.2 Inmate/staff interviews.

1.2.3.3 Adult Management Information System (AIMS) data.

1.2.3.4 Previous PS information.

1.2.3.5 Any other relevant information.

1.3 PS File: It is essential that the decision-making process be based on information that is complete, current, and organized in an effective manner. The record of, and supporting data for, all decisions shall be sufficiently detailed as to enable reconstruction of the facts and rationale applied to each staff action. Any reversals of lower level recommendations shall be documented in particular detail.

1.3.1 The CO IV shall initiate, compile, and maintain a special purpose file (hereafter called the PS file) containing all relevant information on each PS case. The PS file shall be maintained in a secure area, with access limited to only those approved by the Deputy Warden. The PS file shall be the repository for all prior and current PS-related information. The file shall include, but not be limited to:

1.3.1.1 PS forms required in this instruction.

1.3.1.2 Classification and placement documents.

1.3.1.3 All CIU, other investigative or STG documents.

1.3.1.4 Copies of all information reports.

1.3.1.5 Relevant court or other public documents, such as newspaper clippings.

1.3.1.6 Any relevant correspondence with non-DOC parties.

1.3.1.7 Any photographs of injuries received and/or medical reports.

1.3.2 To the extent practical and to aid in review and processing, PS file documents shall be filed sequentially in chronological, descending order.

1.3.3 When the case involves an inmate who formerly was subject to the DI 67 process, the CO IV shall initiate a new local PS file and request, within 1 work day, the inmate's archived PS file from the PS Unit. Once the archival file is received, the two shall be maintained jointly.

1.3.4 The CO IV shall review the file within 3 work days of the inmate's return, or within 1 work day of the archive file's arrival, if longer than 3 work days.

1.3.5 Upon completion of the PS process at the institutional level, the PS file shall be forwarded to the Protective Segregation Administrator (PSA) for permanent retention.

1.3.5.1 All documentation related to DNHW shall be distributed to the files of the individual inmates.

1.3.6 Results of the initial assessment by the COIV and any documents related thereto, shall be documented on the 805-3P with reference to the appropriate letter/stage from the 805-8P and the 805-1P and forward to the CIU following the review by the Department Warden for inclusion in the CIU investigation.

1.3.7 The PS file shall be requested and used for reference any time the inmate is subsequently reviewed for protection issues.

1.4 CIU Investigation: The PS file shall be forwarded, via the Deputy Warden, to the CIU for investigation. The CIU shall interview the inmate and prepare an investigative report, which shall be forwarded to the Deputy Warden within 10 work days of receipt by CIU. This report shall:

1.4.1 Consist of a comprehensive summary of the case that includes, but is not limited to, information from the following sources:

1.4.1.1 Current 805-1P form.

1.4.1.2 Inmate institutional file.

1.4.1.3 Inmate PS file.

1.4.1.4 All relevant Adult Management Information System (AIMS) data.

1.4.1.5 Information reports.

1.4.1.6 Results of inmate and staff interview(s).

1.4.1.7 STG files.

1.4.1.8 Pre-Sentence Investigation Report (PSI).

1.4.1.9 Any other Information deemed relevant to the request.

1.4.2 Address the "who, what, where, why, and how" components of the case, and indicate the sources of all information relied upon, with appropriate redactions for confidential sources.

1.4.3 Provide information in sufficient detail to enable the reviewer to understand why any Do Not House With (DNHW) assignments are needed.

1.4.4 CIU reports are not required for STG debrief inmates when completion of the debrief process is the only reason for the PS request.

1.4.4.1 A CIU report will be required for STG debrief inmates returning to custody to verify non-involvement in gang activities while on release status.

1.4.5 The Complex CIU Manager shall ensure that the PS investigative report is complete and accurate, and is forwarded to the Deputy Warden in a timely manner.

1.4.5.1 An extension of 10 work days may be granted by the Warden for extenuating circumstances which require more time for a thorough investigation. The justification for extension shall be documented on the 805-3P and the AIMS DT08 (50) comments screen.

805.03 EVALUATION OF THE REQUEST FOR PS

1.1 Decision-Making: Each stage of the evaluation process will be documented in full.

1.1.1 The following elements will be covered in any PS-related decision:

1.1.1.1 Basis for the determination of the existence (or non-existence) of a threat.

1.1.1.2 Assessment of the estimated degree of risk presented to the inmate.

1.1.1.3 Options considered.

1.1.1.4 Option chosen.

1.1.1.5 Rationale for choice.

1.1.2 The PS Placement/Review Request, Form 805-1P and the PS Continuation Form 805-3P shall be used to document the evaluation and decision-making process. The information documented on the 805-3P, is to be clearly cross-referenced to the appropriate section of the 805-1P. Only Department-approved 805-1P and 805-3P forms are acceptable; no computer-generated forms or copies shall be used.

1.2 Deputy Warden Review: The Deputy Warden shall, within 5 work days:

1.2.1 Determine if the investigative report is complete.

1.2.1.1 If the report is not complete, it shall be returned with guidance to the CIU for further investigation.

1.2.2 Examine all DNHW entries and ensure that the file reflects any required changes in the AIMS DNHW and No Restriction (NR) screens utilizing documented DNHW verification process.

1.2.2.1 The file shall contain DNHW information that:

1.2.2.1.1 Describes the initial issues that caused the inmates to be considered as DNHW.

1.2.2.1.2 Lists any prior verified DNHW, and when and why they were verified.

1.2.2.1.3 Describes why the inmates should or should not be considered a current or future threat to one another.

1.2.2.2 Attests that a check has been made (using AIMS or other available records) to assure that no former DNHW inmates have returned to custody, and may again present a potential threat to the inmate.

1.2.2.3 The Deputy Warden may add or delete other inmates to the inmate's DNHW list when such action is indicated by the available information.

1.2.3 Determine whether a verifiable threat to the inmate exists, based on the assessment of the investigative report and all information provided.

1.2.4 Make a recommendation with detailed justification for:

1.2.4.1 Alternative placement in GP, after consideration of factors such as, but not limited to:

1.2.4.1.1 Verified DNHW issues.

1.2.4.1.2 Administrative exclusions listed on the Institutional Assignment Chart (Matrix).

1.2.4.1.3 Medical/Mental Health issues or restrictions.

1.2.3.1.4 Amount of time that has elapsed since any previously documented threat issues, and whether or not the threat issues appear to be inmate-specific or reflect a more generalized potential threat to that inmate if returned to the original GP unit.

1.2.3.1.5 Information regarding conduct and housing status while held in another jurisdiction, such as segregation, protective custody, GP, etc.

1.2.4.2 Further processing for PS status.

1.2.4.3 Return to the current GP.

1.2.5 Forward the entire package, with recommendations, to the Complex Warden for review.

1.3 Warden Review: The Warden, within 3 work days of receipt of the Deputy Warden's recommendation, shall:

1.3.1 Review the facts in support of the recommendation and endorse the recommendation; or

1.3.2 Develop a different recommendation, with appropriate justification; or

1.3.3 Return the package to the CIU for additional investigation, and subsequent re-review of the case in accord with this subsection. In the event additional investigation is required, CIU will assign priority to ensure the case may be processed expediently.

1.3.4 Once the Warden has made a decision on the disposition of the case, he or she shall forward the file to the PSA.

1.4 PS Committee Review: The PS Committee, consisting of the PSA (who shall chair the Committee), a Central Classification CO IV, and a Central Office STG Unit officer shall review the file and, using the most current available data from all available sources, shall exercise the appropriate options as follows:

1.4.1 The PSA shall determine the file is complete. If the file is incomplete and further investigative effort is warranted, the PSA shall return the file to the CIU via the Complex Warden.

1.4.1.1 After performing any additional investigation, the file shall be returned to the PSA through the Deputy Warden and Complex Warden, in accordance with Section 805.03, subsections 1.2 and 1.3, above.

1.4.2 Determine there is no need for alternative or PS placement, and approve the inmate to return to the GP unit of origin.

1.4.3 Determine that the inmate can be safely housed in a different GP location, and approve an alternative GP placement.

1.4.3.1 The Committee may conclude that the inmate is appropriate for transfer to a specific location. In such cases, prior to a final decision the Committee shall obtain a documented assessment of that prospective transfer location by that facility's Special Security Unit (SSU) and by Central Classification personnel.

1.4.3.2 It is expected that staff shall make every reasonable effort to find a GP setting for alternate placement cases. However, in cases of repeated alternate placement failures, staff shall consider the possibility that such failures indicate a general and intractable inability on the part of the inmate to function in any GP for the foreseeable future. In such situations, reviewing officials need not exhaust all possible alternate placements before authorizing PS status.

1.4.4 Determine that placement in PS within the DOC is required because there is no other option available to safely house the inmate.

1.4.4.1 The Committee may assign PS status when the typical level of justification for PS status is lacking, but when prudent professional judgment strongly suggests that alternate placement is not likely to be a safe option.

1.4.5 Place the inmate in PS status and consider placement in a non-DOC facility.

1.4.6 The PS Committee will review all DNHW issues. If the Committee determines that a DNHW issue has been omitted or, a currently approved DNHW can be deleted the PS file can be returned to the Deputy Warden.

1.4.6.1 The Deputy Warden will review and determine if information is sufficiently documented to add/delete and if information is not available return to CIU for further investigation.

1.4.6.2 The Deputy Warden will make determination that the DNHW issue does or does not exist and document on the Form 805-3P.

1.4.6.3 Any deletions to the DNHW list will be transferred to the NR.

1.4.7 The PSC worksheet shall be utilized in all PS hearings.

1.5 Notification of Decision: Once a decision has been made, the PS Unit staff shall:

1.5.1 Forward, via fax, the Committee's decision to the Complex Warden, who shall advise the Deputy Warden.

1.5.1.1 PS files on all cases will remain in the PSA's custody. Files for cases pending appeal shall be placed in a suspense file, and will subsequently be forwarded to the Deputy Director, Prison Operations, for final review and decision.

1.5.1.2 Upon receipt of the DI 67 decision, the Deputy Warden shall advise the CO IV, who shall notify the inmate of the decision. No information on potential institution placement shall be provided to the inmate at this time. The inmate shall be advised if placement is to a specialized unit.

1.5.1.3 The CO IV shall notify the inmate of the right to appeal within 5 work days and provide the inmate with the appropriate form to appeal. Information on the appeal procedure is found in Section 805.07 of this Instruction.

1.5.1.4 Ensure the inmate signs and dates the decision advisory document, and acknowledges being advised of the right to appeal, via the Placement Review Request Form 805-1P.

1.5.1.5 The appeal time frames commence when the inmate signs the decision advisory document.

1.5.2 If the inmate elects to appeal, the Deputy Warden shall ensure the PSA is notified of the date of service, and that an appeal will be forthcoming.

1.5.3 After obtaining the inmate's signature, the CO IV shall fax the Form 805-1P to the PSA for information purposes and forward the original to the PS Unit staff for inclusion in the PS file.

1.5.4 If the inmate waives the right to appeal, when the faxed Form 805-1P is received by the PSA, the process of making an institution assignment will continue as described in section 1.6 of this Instruction.

1.5.4.1 If an appeal is received prior to movement, the move will be suspended until the appeal is processed.

1.5.5 The CO IV shall document the result of the inmate's decision regarding an appeal on the AIMS Offender Comment screen under the "Protective Custody" (50) Comment Type.

1.6 Facility Assignment: Upon notification that no appeal will be filed, or upon finalization of an appeal, Central Classification staff shall assign the inmate to a facility.

1.6.1 An appropriate institutional assignment shall be made, based on the decision made by the PS Committee and the factors outlined in Section 805.03, subsection 1.2.4.1, of this Instruction. Central Classification staff shall fully document all use of AIMS and other informational and investigational resources employed in the process of arriving at a GP assignment.

1.6.1.1 If the inmate is suitable for GP but may not return to the originating GP yard (due to a change in classification or medical factors, for instance), the inmate shall be moved to an appropriate facility based upon the DOC's Institutional Assignment Chart (Matrix) or other classification criteria as may be appropriate.

1.6.1.2 The PS Administrator is to be consulted in the event this process might result in any variance from the Committee's findings.

1.6.1.3 In the event Central Classification and the PSA do not agree on an institution assignment, the Deputy Director, Prison Operations, shall arbitrate the issue.

1.6.2 Successfully debriefed STG PS status inmates ordinarily shall be placed in SMU-I. From there, they may subsequently be relocated (after the passage of time and careful screening) to a Level 4 facility as described in Section 805.05, subsection 1.3. These cases also may be transferred to an out-of-state facility.

1.6.3 Central Classification shall document the outcome of the institution assignment process on the appropriate AIMS Classification and PS screens.

1.6.4 Following the transfer decision, Central Classification shall return the PS file to the PS Unit for storage.

805.04 REQUESTS FOR PS WITHIN 30 DAYS OF A PS REVIEW

1.1 Action Upon Arrival: While an inmate may request protection at any time, should an inmate who has been subject to denial or to an alternate placement make a request for protection upon Return to the yard or upon arrival at a new GP facility or within 30 days after placement, the Shift Commander or CO IV shall:

1.1.1 Immediately isolate the inmate.

1.1.2 Review the appropriate AIMS screens to confirm the inmate had a PS Review in accordance with this Instruction.

1.1.3 Confirm that the result of the review was placement at the current location.

1.1.4 Confirm that the inmate either waived the appeal process, or appealed and that the Deputy Director approved the current assignment.

1.1.5 Ensure a verbal statement is taken from the inmate and documented on an Information Report (IR), ADC Form #40000029.

1.1.6 Notify the Deputy Warden and CO IV.

1.1.7 The CO IV shall within 1 work day of becoming aware of the case, contact the PS Unit staff for a review of the PS file and confirmation of the case history. All relevant documentation shall be provided to the Deputy Warden within 1 work day of receiving this confirmation.

1.2 Deputy Warden Review: The Deputy Warden will review all available information on the case and if the inmate has not or cannot present any new information to justify a renewed PS request, the inmate shall be ordered to GP.

1.3 Renewed Processing: If the inmate presents new and substantial information, the complete PS investigation and evaluation process shall be re-initiated, as prescribed in sections 805.02 and 805.03.

1.3.1 In instances such as this, where an inmate's PS needs already have been assessed via the DI 67 process, renewed processing shall be expedited, given the ready availability of accumulated investigative and background information.

1.4 Return of previous PS inmate from GP: An inmate who is released from PS to a general population unit and whose case presents evidence of an immediate re-emergence of his protection needs shall be promptly evaluated for return to PS status. Accelerated processing is possible in cases where little or no investigation effort is required to verify that protection is still needed.

1.4.1 A released PS inmate' s case shall be considered to fall under this subsection for the first 30 days after arrival at a new institution.

1.4.2 The DI67 process for evaluating an immediate return to PS status may be initiated by the inmate for cause or when staff become aware of information establishing that former protection issues still present a risk to the inmate's safety.

1.4.3 In all cases, the inmate shall immediately be placed in protective segregation detention to assure his safety and shall be confined in the same manner as any other pending DI67 case.

1.4.4 Where facts conclusively demonstrate the inmate's protection needs have not abated (a physical assault, for instance) the inmate's case shall be processed expeditiously under this instruction; ordinarily, total time from beginning of process to transfer shall not exceed 30 calendar days.

1.4.5 When the origin of an inmate's claim for restoration of PS status is not clear and conclusive, the Deputy Warden shall reinitiate the normal DI67 process.

1.4.6. If it is discovered that an inmate has made a fraudulent claim for a need for restoration of PS status, disciplinary action shall be taken.

805.05 REMOVAL FROM PS/IPS AND DEBRIEFED STG MEMBERS

1.1 Initiating Removal from PS Status: Once actually approved for and assigned to a PS unit, no inmate shall be returned to general population except as follows:

1.1.1 An inmate may direct a request for removal from PS to the unit Deputy Warden, via Inmate Letter.

1.1.1.1 The Deputy Warden shall initiate a PS Removal Review Request, Form 805-2P, and forward it and the inmate's request to the designated CO IV.

1.1.1.2 The Deputy Warden shall not consider an inmate request of this type more often than every 180 days unless the request presents compelling evidence of a need for a more prompt investigation.

1.1.2 Staff may independently initiate the removal process at any time new information or new resources becomes available; ordinarily, this would occur as part of the regular classification review process.

1.1.2.1 To ensure PS assignments are current, the ICC shall include PS issues in its classification reviews or every 180 days, in accordance with Department Order #801, Inmate Classification. The CO IV will forward ICC findings on these cases to the Deputy Warden for review.

1.1.2.2 When staff determine that there may no longer be a basis for maintaining an inmate in PS status, and upon a written recommendation by the CO IV and Deputy Warden, an investigation shall be conducted as outlined in Section 805.02.

1.1.2.3 When staff determine that an inmate infiltrated the PS process for the purpose of harming another inmate.

1.1.2.4 Decisions regarding the involuntary transfer to GP of a PS inmate will take into consideration the possibility that the problem that sent the inmate to PS may have been of such a nature so as to persist over time and may involve a group threat against the inmate even though the original threat involved only a single antagonist inmate.

1.2 Removal Processing: Decisions regarding the involuntary transfer to GP of a PS inmate will take into consideration the possibility that the problem that sent the inmate to PS may be of such a nature so as to persist over time and involve a group threat against the inmate even though the original threat may be involved only a single antagonist inmate. When a removal request has been initiated:

1.2.1 The designated CO IV shall:

1.2.1.1 Request the archived PS file from the PS Unit staff.

1.2.1.2 Conduct an interview, which shall be documented on the Removal Questionnaire Form, 805-13PF.

1.2.1.3 Complete the PS Removal Review Form, 805-2P and obtain the inmate's signature.

1.2.1.4 Ensure the inmate signs the Affidavit Form, 805-4P, and that the inmate's signature is notarized.

1.2.1.5 Ensure the inmate understands that there will be no assurances from staff concerning future placement or treatment.

1.2.1.5.1 Removals may not be conditioned on verbal assurances of special placement, and any such action is void.

1.2.1.5.2 If an inmate at any time makes a claim to this effect, the transfer shall be halted, the inmate shall remain in the assigned unit, and the claim shall be investigated by the Deputy Warden.

1.2.1.6 Once all relevant information has been complied, the CO IV shall forward the PS File and all removal paperwork to the Deputy Warden.

1.2.2 The Deputy Warden shall:

1.2.2.1 Forward the PS file and removal paperwork to CIU, which shall provide an updated CIU report within 5 work days.

1.2.2.2 Complete the relevant steps outlined in Section 805.02 of this Instruction.

1.2.2.3 Recommend approval or denial of the removal request, after considering facts presented by the inmate, the information contained in the PS file and the CIU investigation, and the likely availability of an appropriately safe general population placement.

1.2.2.4 Forward the file with recommendations to the Complex Warden.

1.2.3 The Complex Warden shall:

1.2.3.1 Review the packet and the Deputy Warden's recommendation.

1.2.3.2 Recommend approval or denial, with appropriate written justification documented on the PS Continuation From 805-3P, or order further investigation and subsequently reconsider the case.

1.2.3.3 If the Complex Warden determines on the basis of a review of all documentation and evidence that the inmate shall remain in PS, the inmate shall be notified as outlined in Section 805.03, 1.5. The inmate retains the right to appeal. The file will be forwarded to the PSU for processing of the appeal, or filing if no appeal is received.

1.2.3.4 If the Complex Warden determines that there is a substantial reason to believe the inmate should be removed from PS status and could safely be housed in a GP unit, the full package, containing the Warden's rationale, shall be forwarded to the PSA for a PS Committee review.

1.2.4 The PS Committee shall:

1.2.4.1 Determine, based upon an assessment of all investigative information, and the detailed recommendations of the CO IV, Deputy Warden, and Complex Warden, if the inmate is to be removed from PS status or if some other action is required.

1.2.4.1.1. An inmate shall be removed involuntarily from PS if it is determined the inmate infiltrated protective segregation to threaten and harm another PS inmate.

1.2.4.2 Forward the file to Central Classification if removal is approved.

1.2.4.2.1 Upon receiving the file, Central Classification shall review the case, confer with the PS Committee on the placement decision, and coordinate the transfer of the inmate.

1.2.4.2.2 This coordination shall include notifying by priority fax the Deputy Warden of the intended receiving institution.

1.2.4.3 If safe GP housing is not available for a voluntary PS inmate requesting removal from that status, the inmate shall be placed in Involuntary PS status.

1.2.4.4 Inmates returning to GP from PS status shall not be returned to the unit from which they requested PS Except when placement is to a specific unit due to specialized housing.

1.2.5 GP moves shall be coordinated with the facility receiving the inmate.

1.2.5.1 If approved for a general population, Central Classification shall coordinate the movement of the inmate with the PSA, SSU, and/or STG personnel, and with the unit Deputy Warden of the complex designated to receive the inmate. All such coordination and research into an appropriate transfer destination will be fully documented.

1.2.5.2 The unit Deputy Warden receiving the inmate shall immediately advise that unit's SSU staff of the impending arrival of a former PS inmate. This shall be done not less than 1 work day prior to inmate's arrival so that the SSU Officer can evaluate the appropriateness of the placement based on any last-minute information or developments at the institution.

1.2.5.3 Once the SSU Officer has conducted this inquiry, it will be documented accordingly and forwarded to the Deputy Warden of the unit and the PS file.

1.2.5.4 If newly-discovered information suggests the transfer is inappropriate, the Deputy Warden will suspend the transfer, place the inmate in investigative detention, and order a full investigation into the matter.

1.2.5.5 In the event the investigation discloses information that further supports the possibility of a threat at that location, the matter shall be referred to the PSA and Central Classification for further review.

1.3 Debriefed STG Members: While successfully debriefed STG members ordinarily will remain in SMU I, some inmates in this category eventually may be assigned to a level 4 PS unit. Such assignments only will be made when it is in the interest of public, staff, and inmate safety to provide a debriefed STG member with access to activities and programming opportunities comparable to those available to GP inmates of a similar classification. Any such transfer shall be subject to extensive investigation with the goal of establishing that the inmate is not attempting to infiltrate a PS unit to harm legitimate PS inmates.

1.3.1 Prior to any such transfer to a level 4 facility, the STG Unit will conduct a further investigation, to include the use of one or more polygraph examinations over a period of time.

1.3.2 Regardless of classification status, a debriefed STG member may be assigned no lower than a level 4 PS unit.

1.3.3 Debriefed STG inmates may be assigned to a double-bunk cell block. Staff shall take appropriate safeguards to assure that all double-bunking is consensual and that the consent of both inmates is fully documented.

1.3.4 Inmates in PS status qualify for custody reductions and transfers to appropriate facilities in the same manner as non-PS inmates under standard provisions of the ADC Inmate Classification Manual.

805.06 REQUESTS FOR RELOCATING PS INMATES FROM ONE PS UNIT TO ANOTHER PS UNIT BASED ON ASSAULTS, THREATS OR OTHER NEW ISSUES

1.1 New Potential Threats: Staff shall reconfirm the actual PS needs of any inmate who must be moved from one PS unit to another because of an assault, threat or additional facts suggesting a heightened threat level.

1.2 Any staff member who receives information from a PS inmate or becomes aware that a PS inmate has safety or threat concerns within the assigned PS unit shall immediately isolate the inmate and notify the shift commander.

1.2.1 The shift commander shall safely move the inmate to detention and initiate a Safety/Threat Assessment for PS Inmates Form 805-14P and serve the inmate a 2-C, Assignment of a PS Inmate to Detention Form.

1.2.2 The shift commander shall advise the Deputy Warden and CO IV assigned to the PS unit as soon as possible, but in no case more than one (1) work day.

1.2.3 Staff shall record all available specifics on an 805-3P Form.

1.2.4 The inmate shall be asked to provide written facts on a PS Inmate Statement Form 805-10P.

1.2.5 further investigative findings shall be documented on an Information Report (IR).

1.2.6 The shift commander shall provide within one (1) work day, all documents relating to the incident to the PS Unit Deputy Warden.

1.2.7 The Deputy Warden shall:

1.2.7.1 Forward the packet to CIU if further investigation is deemed necessary. If not, proceed to 1.2.7.2.

1.2.7.2 Examine the inmate's DNHW entries and ensure that all DNHWs are properly verified.

1.2.7.3 Add or delete any DNHW'S If indicated by available information.

1.2.7.4 Recommend the placement of the inmate (return to originating PS unit, or placement into another PS unit) or recommend that the removal process be initiated. Detailed justification shall be provided.

1.2.7.5 Document recommendation on 805-14P and 805-3P and forward to the Warden.

1.2.8 The Warden shall, within 3 work days, approve a placement for the inmate or initiate the removal process as outlined in 805.06 and document on 805-14P and 805-3P.

1.2.9 The inmate shall be advised on the Warden's decision.

1.2.9.1 The inmate may waive or appeal within 5 work days to the Deputy Director, Prison Operations.

1.2.10 All documentation shall be forwarded to Central Classification For action.

1.2.11 Upon completion of the appeal process, Central Classification shall schedule the inmate for movement.

1.2.12 Each step in the process shall be documented on the 805-3P and AIMS DT08 (50) screen.

805.07 APPEALS ON PS ISSUES

1.1 Appealable Decisions: PS Committee actions with respect to both placement in and release from PS status are considered final and thus represent the category of decision for which this separate appeal process is intended. PS decisions are appealable to the Deputy Director, Prison Operations. An appeal shall be addressed on an Inmate Letter, Form No. 70501168 to the Deputy Director, Prison Operations and submitted through the Deputy Warden and PS unit. The decision of the Deputy Director is final in all PS related appeals.

1.1.1 Ordinarily an appeal would be accepted only if it contained new, verifiable information regarding the matter in question.

1.1.1.1 Due to the gravity of a PS decision, an inmate may contest a decision on the more general grounds that the decision was not supported by the facts already in the record.

1.1.1.2 Institutional assignment is not appealable unless the inmate presents verifiable information regarding a potential danger not previously presented to staff.

1.1.2 An inmate shall have 5 work days from the day of notification of an appealable action to file an appeal. The inmate may use the process described in Section 805.03, subsection 1.5.1 or send the appeal via an Inmate Letter to the CO IV. In such cases, the Deputy Warden shall immediately notify the PS Unit staff, via AIMS message router, that an appeal is being filed by an inmate and is being forwarded.

1.1.3 Upon receipt of the appeal, the PS Unit staff shall:

1.1.3.1 Record the date received on the PS Appeal Log.

1.1.3.2 Document the date received on the AIMS Offender Comment Screen under the "Protective Custody" (50) Comment type.

1.1.3.3 Forward the appeal and the PS file to the Deputy Director, Prison Operations.

1.1.4 The Deputy Director, Prison Operations, shall review the appeal to ensure that the staff decision being appealed is sufficiently justified, based on the record and all information presented by the inmate in the appeal itself. Having made that determination, the Deputy Director shall take one of the following actions:

1.1.4.1 Uphold the appeal and order further appropriate action.

1.1.4.2 Deny the appeal and order further appropriate action.

1.1.4.3 Order further investigation of the case.

1.2 Documentation and Notification: Upon review and final decision regarding PS status by the Deputy Director, Prison Operations, the PS file shall be returned to the PS Unit staff.

1.2.1 The PS Unit staff shall:

1.2.1.1 Record the date received, document the decision on the PS Appeal Log, and document the date received and final decision on the AIMS Offender Comment screen under the "Protective Custody" (50) Comment type.

1.2.1.2 Inform the Complex Warden of the appeal decision and forward the PS file to Central Classification for placement.

1.2.1.3 The Complex Warden shall advise the Deputy Warden of the decision, who shall ensure the inmate is provided with a copy of the appeal decision.

IMPLEMENTATION:

Regional Wardens/Wardens shall, within 14 days of the effective date of the Director's Instruction, review and ensure that Institution Orders and Post Orders are developed to address, at a minimum:

• Post Orders of procedures and safeguards for PS and pending PS cases.

• Post Orders for Housing Unit PS and pending PS inmates.

• Institutional Orders specific to transportation; orientation; intake and program opportunities for PS inmates.

• A Technical Manual will be developed prior to the end of year 2001.

FORMS:

805-1P, Protective Segregation Placement Review Request

805-2P, Protective Segregation Removal Review Request

805-3P, Protective Segregation Continuation Sheet

805-4P, Protective Segregation Affidavit

805-5P, 2-C, Assignment of a PS Inmate to Investigative Detention

805-6P, Protective Segregation Decision Worksheet

805-7P, Assessment Form

805-8P, DI 67 Screening Form

805-9P, PS Tracking Form

805-10P, Inmate Statement

805-11P PS/Assessment Interview

805-12P, DI 67 Initial Screening

805-13P, Removal Questionnaire

805-14P, Safety/Threat Assessment for PS Inmates

804-1P, Detention Assignment Checklist

804-13P, 2-A, Assignment to Investigative Detention

40000029, Information Report Form

70501168, Inmate Letter

ATTACHMENTS:

Attachment #1 - DI 67 Tracking Form

Attachment #2 - Do Not House With Definition

Effective date: June 1, 2001

PLEASE NOTE: FORMS AND ATTACHMENTS ARE NOT AVAILABLE IN THIS FORMAT. SEE YOUR DEPARTMENT ORDER MANUAL OR CONTACT THE POLICY UNIT.

PUBLISHED AUGUST 8TH, 2001