DOC-1024 (Rev. 02/2009) DIVISION OF ADULT INSTITUTIONS POLICY AND PROCEDURES DAI Policy #: 303.00.04 Page 1 of 11 Original Effective Date: New Effective Date: 06/01/15 06/01/15 Supersedes: N/A Dated: N/A Administrator’s Approval: Cathy A. Jess, Administrator Required Posting or Restricted: X Inmate X All Staff Restricted Chapter: 303 Discipline Subject: Disciplinary Guidelines POLICY The Division of Adult Institutions shall utilize the inmate disciplinary process to assist with the rehabilitation of inmates and promote responsible behavior by imposing dispositions proportionate to the offense(s) and corrective in nature. REFERENCES Wisconsin Administrative Code Ch. DOC 303 – Discipline Wisconsin Administrative Code Ch. DOC 304 – Inmate Secure Work Program Wisconsin State Statutes s. 53.11 or 53.12 1981 Stats Wisconsin State Statutes s. 302.113(3) – Release to extended supervision for felony offenders not serving life sentences DAI Policy 303.72.01 – Establishing Restitution for Disciplinary Dispositions DAI Policy 500.70.04 – Psychological Input to Security Decisions DEFINITIONS, ACRONYMS, AND FORMS Building confinement – Confinement to the building in which the inmate resides. DAI – Division of Adult Institutions DS – Disciplinary Separation DOC – Department of Corrections DOC-9 – Adult Conduct Report DOC-84 – Disciplinary Hearing – Reasons for Decision and Evidence Relied On DOC-3509 – Psychology Input for Security Decisions ES – Extended Supervision Intellectually Disabled (ID) – An IQ of approximately 70 or below with concurrent impairments in present adaptive functioning and age of onset before 18 years. Major offense – Violation of a disciplinary rule for which a major penalty may be imposed. Error! Not a valid link. DAI Policy #: Error! Not a valid link. New Effective Date: Error! Not a valid link. Page 2 of 11 Chapter: 303 Discipline Subject: Disciplinary Guidelines Minor offense – Violations of disciplinary rules that are not a major offense under Wisconsin Administrative Code s. DOC 303.71, or which the Security Director has not classified as a major offense. MR – Mandatory Release PSU – Psychological Services Unit Recreation privileges – Sports and leisure activities outside the cell, either on grounds or off grounds. Reprimand – An oral statement to an inmate addressing the inmate’s behavior when the inmate is found guilty of an offense. Restitution – Payment to reimburse any person or organization which has incurred expenses or sustained loss by reason of the inmate’s violation of Wisconsin Administrative Code Ch. DOC 303 or the violation of Wisconsin Administrative Code Ch. DOC 303 by those with whom the inmate acted. Restrictive Status Housing (RSH) (formerly known as Segregation) – A secured housing unit where inmates are separated from the general population and privileges and property are limited. STG – Security Threat Group PROCEDURE I. Purpose of Discipline A. To rehabilitate inmates and prepare them for future success by enhancing their ability to live with others within the rules. B. To maintain order in correctional facilities. C. To maintain a safe setting for inmates to participate in programs. D. To promote the fair treatment of inmates. E. To develop and maintain respect for authority, the correctional system, and for our system of government through fair treatment of inmates. II. Use of Discipline A. To correct misbehavior through use of the lowest level of discipline necessary. B. To apply discipline in a manner that promotes pro-social behaviors and fosters compliance with DOC order and rules. C. To conform the discipline to the offense and the corrective goal. Error! Not a valid link. DAI Policy #: Error! Not a valid link. New Effective Date: Error! Not a valid link. Page 3 of 11 Chapter: 303 Discipline Subject: Disciplinary Guidelines D. Disciplinary sanctions will run concurrent regardless of disposition. III. Conduct Reports A. Not all violations of DOC rules require an employee to write a DOC-9. Under any of the following conditions, employees may inform the inmate that the inmate’s behavior violates the rules, discuss the inmate’s behavior, offer an informal resolution, and give a warning: 1. The inmate is unfamiliar with the rule. 2. The inmate has not violated the same or a closely-related rule within the previous year, regardless of whether or not a DOC-9 was issued. 3. The inmate is unlikely to repeat the offense if warned and counseled. 4. Although the inmate’s acts were a technical violation of a rule, the purposes of this chapter would not be served by writing a DOC-9 in the particular situation. B. DOC staff shall write a DOC-9 if an inmate commits a major offense listed under Wisconsin Administrative Code s. DOC 303.71. C. DOC staff shall not write a DOC-9 for behavior directly related to self-harm or self-harm attempts as determined by PSU (e.g., disfigurement, alteration of state property or misuse of medication). IV. Minor Penalties A. DOC staff shall employ minor dispositions when appropriate to correct inmate misconduct. Minor dispositions are limited to one or more of the following penalties: 1. Reprimand. The hearing officer or supervisor shall only record the reprimand if no other penalty is given. 2. Loss of recreation privileges. Recreation privileges may be suspended for a period of time as follows: a. One to 60 days for inmates in the general population. b. One to eight days for inmates in DS. 3. Building confinement. a. During the period of confinement, the inmate may not leave the building without specific permission. b. The Warden may authorize movement to other areas, including religious services, medical appointments, showers and visits. c. Building confinement may be imposed for a period of one to 30 days. 4. Room or cell confinement. a. During the hours of confinement, the inmate may not leave the inmate’s assigned living area without specific permission. b. The Warden may authorize movement to other areas, including attendance at religious services, medical appointments, showers, and visits, if these must occur during the hours of confinement. c. Room or cell confinement may be imposed for a period of one to 15 days. Error! Not a valid link. DAI Policy #: Error! Not a valid link. New Effective Date: Error! Not a valid link. Page 4 of 11 Chapter: 303 Discipline Subject: Disciplinary Guidelines 5. Loss of privileges. One or more privileges may be suspended for a single offense and may include: a. Use of inmate electronics. b. Phone calls. c. Participation in off-grounds activities. d. Eating meals in the dining area. e. Canteen privileges. f. Other specified privileges. g. Specified privileges may be suspended for a period of time as follows: i. One to 60 days for inmates in general population. ii. One to eight days for inmates in DS. 6. Assignments without pay. a. An inmate may be required to work or attend school for up to 80 hours without pay. b. Work assignments under this provision may be in addition to current assignments. 7. Restitution a. Full or partial restitution may be imposed as a penalty. Restitution may include: i. The replacement cost of property. ii. The expenses for medical goods and services. iii. The costs of apprehending, holding, and returning an escaped inmate or inmates. iv. The costs of investigation of the violation of this chapter. b. Restitution may be taken from an inmate’s account or from any other assets of the inmate. If the inmate has insufficient assets to pay the ordered restitution in full at the time of the hearing, his or her obligation to pay the restitution shall remain in full force and effect until the time it has been paid in full. c. Transfer to another facility, release from incarceration, or release from custody of the department shall not terminate the inmate’s obligation to pay ordered restitution. d. When the amount of restitution is unknown at the time of the hearing, the hearing officer may impose an estimated maximum restitution amount. If the actual amount of restitution is less than the estimated amount, only the actual amount shall be assessed. e. Restitution may not exceed the estimated amount. 8. Secure work crews. The hearing officer may give uncompensated secure work crew assignments under Wisconsin Administrative Code Ch. DOC 304 as a minor disciplinary sanction to inmates. V. Major Penalties A. A major disposition must include one or more of the following and may include one or more of the penalties under Wisconsin Administrative Code s. DOC 303.70 (minor penalties): 1. Extension of release date for inmates under one of the following: Error! Not a valid link. DAI Policy #: Error! Not a valid link. New Effective Date: Error! Not a valid link. Page 5 of 11 Chapter: 303 Discipline Subject: Disciplinary Guidelines a. Loss of good time for an inmate who is eligible for credit under Wisconsin Statutes s. 53.11 or 53.12, 1981 Stats. b. Extension of the mandatory release date for an inmate who is eligible for mandatory release under Wisconsin Statutes s. 302.11. c. Extension of extended supervision date for an inmate who is eligible for release under Wisconsin Statutes s. 302.113 (3). d. DS under Wisconsin Administrative Code s. DOC 303.73. e. Room or cell confinement of 16 to 30 calendar days. f. Loss of recreation privileges for more than 60 calendar days for inmates in the general population. g. Loss of out of cell recreation privileges for more than eight calendar days for inmates in DS. h. Building confinement for more than 30 calendar days. i. Loss of specific privileges for more than 60 calendar days for inmates in the general population. j. Loss of specific privileges for more than eight calendar days for inmates in DS. B. The use of maximum penalties must be reserved for severe cases of misconduct. VI. Use of RSH DS – Major Disposition Considerations A. The supervisor or hearing officer shall consider non-RSH options prior to imposing DS. B. The supervisor or hearing officer must reserve use of DS for offenses that create a serious threat to life, property, staff, or other inmates, or to the security or orderly operation of the facility. C. The supervisor or hearing officer shall impose the shortest duration of placement necessary to effect the desired results. D. The facility shall provide the inmate with an orientation to RSH within 24 hours of placement of the behaviors and actions required to successfully transition to a less-restrictive setting. E. The hearing officer or supervisor shall consider alternative options to RSH for inmates with serious mental illness (mental health classifications 2A, 2B, ID). F. Staff shall refer inmates with serious mental illness (mental health classifications 2A, 2B, or ID) who receive a major DOC-9, and inmates who engage in self-harm behavior, to PSU staff for completion of a DOC-3509 to assist with determination of mitigating factors. This process is described in DAI Policy 500.70.04. Error! Not a valid link. DAI Policy #: Error! Not a valid link. New Effective Date: Error! Not a valid link. Page 6 of 11 Chapter: 303 Discipline Subject: Disciplinary Guidelines G. Each facility shall have a structured, progressive management process that provides an opportunity for inmates to progress through a privilege level based on program participation, behavior, and appropriate interactions with staff. Inmates shall be notified of the process as noted above. VII. Guidelines For the Use of DS A. DS shall be imposed as a penalty only if all non-RSH penalties are not reasonable or have been ineffective in correcting behavior. B. DS shall be imposed only upon an act of serious misconduct. C. Base penalties may be enhanced or mitigated due to the various factors outlined in Section X and XI. D. The hearing officer/supervisor shall make a determination of the level of discipline and shall submit to the Security Director for review. E. In contested hearings, the disposition given does not need Security Director review if the penalty given is at or below the base penalty. F. The Deputy Warden shall review any discipline resulting in a disposition greater than 120 days, prior to a disposition being given to the inmate. G. Dispositions higher than 120 days and extensions of MR/ES will be forwarded to DAI Administrator for monthly review with the Secretary’s Office. H. Violations of criminal statutes may be referred to law enforcement. VIII. Extension of MR or ES Date Guidelines A. Use of extension of MR or ES shall only be used if prior permission is given from the Deputy Warden and only in the most severe violations. B. Penalties shall follow progression and guidelines as noted in Wisconsin Administrative Code s. DOC 303.72 (6), (7) as applicable. IX. Base Penalties for Major Infractions (DS only) Major Violation Penalty in Days (DS Base) OFFENSES OFFENSES AGAINST BODILY SECURITY DOC 303.11 DOC 303.12 DOC 303.13 DOC 303.14 DOC 303.15 DOC 303.16 DOC 303.17 Assault Aggravated assault Assault on employee Sexual conduct Sexual contact or intercourse Sexual assault Sexual assault-aggravated 0-90 0-90 0-90 0-30 0-60 0-90 0-90 Error! Not a valid link. DAI Policy #: Error! Not a valid link. New Effective Date: Error! Not a valid link. Page 7 of 11 Chapter: 303 Discipline Subject: Disciplinary Guidelines DOC 303.18 Threats DOC 303.19 Stalking 0-60 0-60 OFFENSES AGAINST INSTITUTIONAL SECURITY DOC 303.20 DOC 303.21 DOC 303.22 DOC 303.23 DOC 303.24 DOC 303.25 DOC 303.26 DOC 303.27 Endangering safety Inciting a disturbance Participating in a disturbance Taking a hostage Group resistance and petitions Cruelty to animals Escape Disguising identity DOC 303.28 DOC 303.29 DOC 303.30 DOC 303.31 DOC 303.32 DOC 303.33 DOC 303.34 DOC 303.35 DOC 303.36 Disobeying orders Disrespect Soliciting an employee Lying Lying about an employee Disruptive conduct Unauthorized forms of communication False names and titles Enterprises and fraud DOC 303.37 DOC 303.38 DOC 303.39 DOC 303.40 DOC 303.41 Theft Damage or alteration of property Misuse of state or federal property Unauthorized transfer of property Counterfeiting and forgery 0-30 0-90 0-60 0-90 0-60 0-30 0-60 0-60 OFFENSES AGAINST ORDER 0-30 0-30 0-90 0-30 0-60 0-60 0-30 0-30 0-30 OFFENSES AGAINST PROPERTY 0-30 0-30 0-30 0-30 0-30 CONTRABAND OFFENSES DOC 303.42 DOC 303.43 DOC 303.44 DOC 303.45 DOC 303.46 DOC 303.47 DOC 303.48 Possession or use of money or negotiable instruments Possession of intoxicants Possession of intoxicant paraphernalia Possession, manufacture or use of weapons Possession of tobacco Possession of contraband—miscellaneous Possession of electronic communication or data storage devices DOC 303.49 Unauthorized use of the mail 0-30 0-60 0-60 0-60 0-30 0 0-60 0-30 MOVEMENT OFFENSES DOC 303.50 DOC 303.51 DOC 303.52 DOC 303.53 DOC 303.54 Punctuality and attendance Loitering Leaving assigned area Being in an unassigned area Entry into another inmate’s assigned living area DOC 303.55 DOC 303.56 DOC 303.57 DOC 303.58 DOC 303.59 Improper storage Dirty assigned living area Poor personal hygiene Misuse of medication Disfigurement 0 0 0-60 0-60 0-60 OFFENSES AGAINST SAFETY AND HEALTH 0 0 0 0-30 0-30 Error! Not a valid link. DAI Policy #: Error! Not a valid link. New Effective Date: Error! Not a valid link. Page 8 of 11 Chapter: 303 Discipline Subject: Disciplinary Guidelines MISCELLANEOUS OFFENSES DOC 303.60 DOC 303.61 DOC 303.62 DOC 303.63 DOC 303.64 DOC 303.04 DOC 303.05 DOC 303.06 X. Use of intoxicants 0-60 Gambling 0-30 Refusal to work or attend school 0 Inadequate work or school performance 0 Violating conditions of leave 0-60 Conspiracy Same as most serious of planned offenses Attempt Same as for the completed offense Aiding and abetting Same as for the substantive offense Mitigating Factors The factors listed below may be considered in determining appropriate levels of discipline: A. PSU input (attach DOC-3509). B. Motivation for offense. C. Misconduct occurred while in Observation status. D. Documented history of mental illness. E. Inmate stopped the misconduct when directed by staff. F. Low misconduct history in the last 12 months. G. Inmate accepts responsibility for the misconduct. H. Inmate participation in programming/treatment. I. Misconduct appears to be an isolated incident (showing no pattern or relation to STG). J. Victim of incident. K. Inability to complete act. L. Intent. M. Custody Level. N. Attitude towards offense or victim. O. Other factors. XI. Enhancers The factors listed below may be considered in lengthening disposition beyond the maximum base penalties listed in Section IX: Error! Not a valid link. DAI Policy #: Error! Not a valid link. New Effective Date: Error! Not a valid link. Page 9 of 11 Chapter: 303 Discipline Subject: Disciplinary Guidelines A. Seriousness of injuries to others (e.g., emergency room trip/hospital cost, significant exposure). B. Completed in public area (potential to spread). C. More than one individual involved. D. STG related. E. Weapon(s) involved. F. Risk to public. G. Risk to staff. H. Risk to other inmates. I. The misconduct continued when directed to stop by staff. J. The inmate has a history of committing the same or similar offense in the last 12 months. K. The misconduct occurred during or to effect an escape attempt. L. The misconduct involved attempting to bring contraband into the facility (drugs, money, cell phone). M. Aggressor in incident. N. Ability to complete act. O. Property damage/value of property. P. Level of participation in activity. Q. Intent. R. Severity of actions. S. Quantity of item (e.g., drugs, medications, alcohol, money). T. Impact of actions on others (e.g., victim, staff, contractor, law enforcement). U. Custody level. V. Attitude towards offense or victim. Error! Not a valid link. DAI Policy #: Error! Not a valid link. New Effective Date: Error! Not a valid link. Page 10 of 11 Chapter: 303 Discipline Subject: Disciplinary Guidelines W. Other factors. XII. Documentation for Contested Major Hearings A. The hearing officer or supervisor shall complete DOC-84 for all DOC-9s processed as a contested major. B. The DOC-84 shall contain: 1. A detailed description of the reasons for a finding of guilt. 2. Documentation of any mitigating or enhancing factors that were relied upon in determining a disposition. 3. Penalty increases must be supported with a thorough explanation. C. The hearing officer or supervisor shall submit DOC-84 to the Security Director for review. D. Staff shall provide a copy of DOC-84 to the inmate after Security Director review. E. Facility procedures shall be necessary to address facility-specific limitations and restrictions related to minor dispositions (e.g., allowing an inmate to go to a religious service while on cell confinement). Administrator’s Approval: ________________________________________________Date Signed:_________________ Cathy A. Jess, Administrator Error! Not a valid link.DIVISION PROCEDURES Facility: Name Original Effective Date: OF ADULT INSTITUTIONS FACILITY IMPLEMENTATION DAI Policy Number: Error! Not a Page 11 of 11 valid link. New Effective Date: 00/00/00 Supersedes Number: Dated: Chapter: 303 Discipline Subject: Disciplinary Guidelines Will Implement As written With below procedures for facility implementation Warden’s/Center Superintendent’s Approval: REFERENCES DEFINITIONS, ACRONYMS, AND FORMS FACILITY PROCEDURE I. A. 1. a. B. C. II. A. B. C.