You asked for a description of the Department of Correction's (DOC) procedures regarding subjecting an inmate to punitive segregation. OLR report 2008-R-0656 describes the sanctions that may be imposed on an inmate placed in punitive segregation.

SUMMARY

DOC can subject inmates to punitive segregation and other penalties if they are found guilty of violating the department's Code of Penal Discipline. When an inmate has been accused of violating the code, a DOC employee must file a disciplinary report. An investigator appointed by the unit administrator must gather all relevant information and interview the inmate.

If the inmate chooses to plead guilty before a hearing, the investigator may accept the plea and dispose of the report unless the inmate has been charged with certain serious offenses. If the investigator accepts a plea to dispose of the report, the maximum length of punitive segregation and loss of good time is limited to half of what would normally apply. If the investigator accepts a plea to dispose of the disciplinary report, the inmate cannot appeal the decision, and must be informed of this before submitting a guilty plea.

If the matter goes to a hearing, the investigator must interview prospective witnesses and determine if the accused inmate desires witnesses. The investigator must determine if the inmate wants an advocate (a DOC employee); if one is desired, the investigator must promptly notify the advocate. The advocate must meet with the inmate at least 24 hours before the hearing, conduct a thorough investigation independently of the investigator, and make a report of the investigation. The advocate must help the inmate prepare a defense and appear at and assist in making a presentation at the hearing.

A hearing officer must preside over any formal disciplinary hearing, serve as the adjudicator of fact, and adjudicate any referred disciplinary report. Inmates found to have violated the Code of Penal Discipline are subject to a variety of sanctions, including punitive segregation in the case of assaults on staff and other serious offenses. The length of the punitive segregation ranges from 10 to 30 days, depending on the type of offense the inmate has committed while incarcerated. Inmates are also subject to loss of “good time” and additional penalties. The segregation and other penalties can be suspended for less serious offenses.

PROCEDURES FOR PLACING AN INMATE IN PUNITIVE SEGREGATION

Under DOC Administrative Directive 9.4 (attached), the department imposes restrictive conditions to preserve the order, safety, and security of correctional facilities and to manage inmate behavior. All such restrictions must be noted in the housing station log and an incident report. DOC facilities have designated Restrictive Housing Units, which are separate from and more restrictive than general population units.

DOC can subject inmates to punitive segregation if they have been found guilty of violating the Code of Penal Discipline, in accordance with Administrative Directive 9.5 (attached). Each newly admitted inmate must receive a copy of this directive and instruction regarding the directive within two weeks of admission to DOC. Each inmate must acknowledge receipt of the directive by signing a receipt. A dismissal, nolle, or not guilty verdict in criminal proceedings related to the offense does not affect actions under the directive. Any serious criminal offense must be reported to the State Police for investigation and action.

Disciplinary Report

A disciplinary report must be prepared by the reporting employee upon detecting an act that warrants formal disciplinary action. A separate report must be prepared for each offense charged. Only the most serious possible charge relating to an offense must be charged to a single act. When supported by the evidence, the offenses of accessory, attempt, and conspiracy are included in the substantive offense without having to be separately charged. Accessory, attempt, and conspiracy are punishable in the same way as if the substantive offense was committed.

The report must be delivered to a custody supervisor or unit manager. In most cases, a complete and legible copy of the report must be delivered to the inmate within 24 hours of the discovery of the alleged misconduct.

Investigation and Pre-hearing Dispositions

An investigator appointed by the unit administrator must conduct an investigation into each allegation that goes to hearing and may dispose of a disciplinary report before the hearing. The investigation must be initiated the next business day following the day the report was issued to the inmate.

The investigator must interview the accused inmate. If the inmate chooses to plead guilty before a hearing, the investigator may accept the plea and dispose of the report unless the inmate has been charged with serious offenses such as assault on a DOC employee, creating a disturbance, or escape. If the investigator chooses to dispose of the report, he or she must impose sanctions consistent with the directive, with the maximum length of punitive segregation and loss of good time limited to half of what would normally apply. If the investigator disposes of the disciplinary report, the inmate cannot appeal the decision, and must be informed of this before submitting a guilty plea. The inmate must sign the statement on the disciplinary report that a guilty plea is made voluntarily and with the knowledge that no appeal is permitted.

If the investigator does not dispose of the report, he or she must inform the inmate about the process of investigation and hearing and ensure the inmate receives a copy of the disciplinary report at least 24 hours before any disciplinary hearing. The investigator must determine if the inmate wants an advocate and inform the inmate of the available advocates. (Each unit administrator must appoint at least three staff members, including both custodial and treatment personnel, to serve as advocates.) If an advocate is selected, the investigator must promptly notify the advocate.

The investigator must determine if the accused inmate desires witnesses. If an inmate declines an advocate or identifies no witnesses, the decisions must be recorded on a disciplinary investigation report, which the inmate must sign. Any failure to obtain signatures must be for good cause as determined by the hearing officer and documented on the disciplinary process summary report.

The investigator must interview prospective witnesses and schedule the admissible witnesses for the disciplinary hearing. No inmate witness can be compelled to testify. The inmate is responsible for providing written testimony for any witnesses from outside of the prison. A staff member, called upon for testimony, must submit his or her testimony in writing or in person at the discretion of the hearing officer.

The investigator must investigate the circumstances of each disciplinary report that goes to hearing and gather all relevant information. The investigator must (1) prepare a hearing docket; (2) ensure that a disciplinary report is brought to the hearing; and (3) ensure that the inmate, any witnesses, the advocate and evidence along with appropriate forms are available at the scheduled hearing.

Defense Preparation

If an inmate requests an advocate, the advocate must meet with the inmate at least 24 hours before the hearing, conduct a thorough investigation independently of the investigator, and make a report of the investigation. The advocate must help the inmate prepare a defense and appear at and assist in making a presentation at the hearing. If the advocate selected cannot appear at the hearing, another advocate may be appointed to help the inmate.

An accused inmate must be given at least 24 hours from receiving the hearing notice to prepare a defense. The inmate may waive the 24-hour period by signing a written waiver. When an inmate's release is imminent or a transfer is needed, an expedited disposition may be conducted, which may cause the 24-hour period to be reduced.

The investigator must determine whether the inmate wants to call witnesses. If the inmate fails to identify witnesses to the investigator, any subsequent request for a witness is subject to the hearing officer's discretion.

Hearing

A hearing officer must preside over any formal disciplinary hearing, serve as the adjudicator of fact, and adjudicate any referred disciplinary report. Hearing officers and acting hearing officers must be certified by DOC's Center for Training and Staff Development before assuming duty.

The hearing officer must determine the hearing requirements to ensure a professional proceeding. He or she may (1) include any person as a witness, (2) limit the testimony of any witness that is redundant or irrelevant, and (3) order the presentation of any documents or evidence necessary for the conduct of a hearing. The hearing officer also may exclude or eject from the hearing any person whose behavior poses a threat to an orderly hearing or jeopardizes the safety of any person.

An accused inmate may present witness testimony at the hearing. At the hearing officer's discretion, the inmate may present an inmate witness statement in lieu of testimony. Witness testimony must be truthful, relevant, freely given, and not redundant. To appear at a disciplinary hearing, an individual must be present at the unit and pose no threat to an orderly disciplinary hearing or to personal safety. If an otherwise qualified witness cannot appear, written testimony may be submitted.

The disciplinary process may be expedited when an accused inmate's release is imminent or when circumstances require that the inmate be urgently transferred and it is impracticable to conduct a hearing at the receiving facility. In such case, an inmate must receive the disciplinary report, must be afforded a chance to prepare a defense including nominating witnesses, receive the services of an advocate if desired. Any hearing must be held in accordance with the provisions described above.

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