Welcome to Corrections  264-Inmate Discipline

Mail to:

Rio Hondo College
Department of Public Safety
3600 Workman Mill Road
Whittier, CA 90608

Course Description:  This course is designed to assist students in understanding the concepts, reasons, and procedures for discipline in correctional setting. 

Course Assignments

Unit 1- Complete the Minimum Course Requirements click here to begin. 

Unit 2 - Due Process.  List and discuss 

1.  Complete the open-book quiz Click here to begin quiz.
2. The elements of  "Due Process" 
3. "Due Process" as it relates to inmate discipline.

Using common sense and our ideal of justice as a guide, due process can be broken down into a series of rights. Each of these rights helps assure a process that is fair. By understanding these rights as an assurance of justice, due process moves from a mystery of the courts to the simple use of common sense. These rights can also explain the rules and procedures followed by the CDC disciplinary system. Understanding these rights is very important.

Due process is a flexible idea. The due process offered by the criminal justice system, for example is not the same as the due process offered within CDC. Both follow the same ideal but each has its own special problems. Due process within CDC is due process adjusted to the realities of the prison environment and what is possible within that environment. Security needs often conflict with due process. The SHO must decide when security is more important than due process and when it is not. Understanding due process means understanding when these compromises might be acceptable and when they might not.

There is another value in understanding the ideal of due process. Being fair is very important. Being seen as fair is almost as important. No one likes punishment but it is easier to accept when it is seen as fair. Even the person who is punished in error finds the punishment easier to accept when he or she had a fair chance. People who see themselves as the victim of the arbitrary, abuse of authority are people with a cause, angry people who fight against authority with all their will and might. It is possible to follow the letter of due process while denying its spirit of fairness. Due process must be understood so everyone involved in the hearing process follows both the letter and the spirit of due process. If we do this, not only will the hearings be fair, they will be perceived as fair.

In summary, due process is a simple idea. It begins with the idea of justice or fair play. No matter how convincing the evidence, our ideal of justice demands fair play. Fair play means guilt or innocence is decided by the evidence. The inmate must have a fair chance at giving his or her side of the story before a decision is made. Due process is no more than the procedure with the best chance at giving the inmate fair play. If due process is violated, this does not mean that anyone believes the inmate was really guilty or innocent. It means that the inmate was not given a fair hearing. It means justice was denied. While it is important that we punish the guilty while not punishing the innocent, it is equally important that we do this with justice.

Unit 3 - Disciplinary Process.  Explain and describe 

1. Complete the open-book quiz Click here to begin quiz.
2. The purpose of inmate discipline.
3. The role of the California Code of Regulations

When a person is incarcerated, that is the punishment. Once in prison, we must have a disciplinary system in order to maintain control, conserve human values, and to promote socially desirable changes in attitudes and behavior. Without discipline there is no control.

There are different levels of discipline, or responses, depending on the behavior displayed by the inmate. The first and most informal level is called verbal counseling. Here the reporting employee has witnessed a violation which is pre-determined to be a minor infraction.

The California Code of Regulations (CCR'S) is the controlling source for all infractions. The reporting employee looks through the CCR'S and sees the violation did not include a breach to the security, and did not involve harming another. The violation did not involve a destruction to a substantial amount of State property.

Having researched the infraction, the reporting employee discusses the infraction with the inmate. The inmate is not hostile towards the discussion and agrees to correct the behavior. Since the inmate has no previous documentation of this nature, the reporting employee agrees to let it go with just a warning. This is called verbal counseling.

The important thing to note about verbal counseling, or any of the other disciplinary methods is that the reporting employee is to go by the CCR'S to determine the method of discipline. The reporting employee can not overlook a serious infraction and decide to let it go at a verbal counseling.

The next method of discipline is written documentation. Written disciplinary documentation is listed as a Counseling Chrono. (CDC 128-A) Or a Rules Violation Report. (CDC 115) The Rules Violation Report (RVR) can be classified into one of two categories (Administrative or Serious).

Counseling Chrono CDC 128A
Here the employee has witnesses an infraction and determines that it is not a breach to the security of the institution, nor a threat to the safety of others. It does not include substantial damage of State or Personal property. After discussing the infraction with the inmate the reporting employee determines the infraction needs to be documented. The reporting employee submits a written report about the infraction. The inmate is given a copy of the written report and the original is placed in the inmate's central file as a permanent record of the discussion. Some institutions require additional copies are routed to several other areas to inform others of the behavior. The assigned Correctional Counselor would normally receive a copy as would the Counselor II on that yard, along with the Facility Captain. The reporting employee normally keeps a copy of all documents he or she submits. So here we would have the original with five (5) copies for a total of six.

Rules Violation Report CDC 115
Here the employee witnesses a violation which is classified as an Administrative Violation by CCR Section 3314 or Serious as determined by CCR Section 3323 or CCR Section 3315. The reporting employee does not need to discuss this infraction with the inmate. Example; the inmate has just stabbed and possibly killed another inmate. The last thing the reporting employee would want to do is to go discuss this infraction with the inmate. This discussion can later be used in court. The inmate would say he was questioned without being "Mirandized" and the report would state a discussion had occurred. The reporting employee just needs to submit his or her report. First the reporting employee looks at CCR Section 3314 to see if it is an infraction which can be classified as "Administrative". If it can, the reporting employee submits their report as an administrative CDC 115. In the spirit of "Progressive Discipline", the reporting employee always tries to resolve the problem at the lowest possible level.

If the act can not be classified as an "Administrative" violation, the reporting employee then goes to the "Credit Forfeiture" schedule listed in CCR Section 3323. The reporting employee looks for the specific act listed in this section and charges the inmate with this specific act. If the reporting employee can not find the language in this section, then the final area is in CCR Section 3315. Here the reporting employee should be able to find the infraction.

If the reporting employee can not find the infraction in, either 3314, 3315, or 3323, chances are it wasn't an infraction.

Unit 4 - Disciplinary Reports.  List and describe 

1. Three types of inmate discipline reports.
2. Complete the open-book quiz Click here to begin quiz.

First, the Counseling Chrono. This is the first level of the WRITTEN disciplinary process. It is non-punitive as the inmate suffers no credit forfeiture, nor does the inmate lose any privileges as a result of the counseling chrono. The counseling chrono is referred to by its form number, the CDC 128-A. Prior to this the first formal recorded document, the behavior was addressed by verbally counseling the inmate for minor violations of the CCRS. The inmate agreed to correct the behavior. The reporting employee will usually record the verbal counseling on a bed card. Now, the inmate was observed in violation of a similar infraction.

(Ex: Gambling First, while conducting a cell inspection, the reporting employee found a pair a dice. The reporting employee discussed this with the inmate, confiscated and destroyed the dice giving the inmate a receipt for the confiscated property. The reporting employee elected to give the inmate a verbal warning about gambling within a correctional facility. The inmate agreed to obey the rules. The reporting employee noted this on the cell search log, the unit log, and the inmate bed card.) During a clothes body search, another employee finds a pair of dice in the inmate's pocket. The employee looks in the inmate's bed card and sees this is a second violation. Although the inmate is cooperative the reporting employee decides to document this behavior on a Counseling Chrono, CDC 128-A.

Writing your CDC 128-A.
Now, to write the CDC 128-A, the reporting employee must first be assured that a violation of the rules had occurred. The writer goes to the CCRS (Title 15) to find a violation. Looking through the CCRS, the writer sees Section 3009 Gambling which states: Inmates may not participate in any form of gambling or bookmaking. Although the employee did not physically witness the inmate gambling, it can be generally inferred that is what the dice were being used for. In the CDC 128-A process, the inmate is not entitled to a hearing of the charges, therefore the writer does not have any burden of proof to show the inmate was indeed gambling.

An example might read as follows:

On July 4th 1776 at about 0300 hours, while patrolling Facility "C" yard, I saw Inmate Paul Revere X-12345 riding his horse and yelling "The British are coming." Yelling is a violation of CCR Section 3005 which states inmates may not participate in behavior which may be disrupting to the facility. Inmate Revere had been warned about this behavior on July 1st 1776 by Officer George Washington. I counseled Inmate Revere and he agreed not to participate in this conduct again. I advised inmate Revere of this documentation.

Officer I.M. Redcoat.
Facility "C" Yard
First Watch

Unit 5 - Classification.  Describe and discuss

1. The Rules Violation Report (CDC 115).  
2. Submit an example report.
3. Complete the open-book quiz Click here to begin quiz.

Reviewing Supervisor's Responsibilities:
The report must be given a log number. Different institutions get log numbers from different areas, so just follow the process established by your institution. Next, the reviewer must send the Rules Violation Report to clinical staff to they can determine if the inmate is a Mental Health Participant. Clinical staff will complete the assessment and return the CDC 115 to the appropriate unit.

If Clinical staff determined that the inmate is an Enhanced Outpatient Program inmate, then a staff assistant must be assigned. Otherwise, staff assistants will be assigned on a case by case basis. Although the CCRS permits an inmate to refuse staff assistance, it is not logical to allow an inmate to refuse assistance after we determined the inmate is incapable of meaningful participation at the hearing. It remains the responsibility of the hearing officer to determine the need for staff assistance.

Unit 6 - Pre-hearing Stages.  Discuss and explain 

1. The pre-hearing stages of the disciplinary action.
2. The responsibilities of the Senior Hearing Officer/Hearing Officer, in the pre-hearing stages of the disciplinary.
3. Complete the open-book quiz Click here to begin quiz.

Per the CCR, the hearing can be held without the inmate present under one of three circumstances (CCR 3320(g)):
First, a psychiatrist has determined that the inmate is incapable of understanding or participating in the hearing required, every effort should be made to get a reason for the request and have the written notice signed by a witness. There is no requirement that the SHO accept the request. If the reason for the request suggests that it was made under duress or outside pressure, it can be rejected and the inmate compelled to attend.

The CCR provides no direction concerning an inmate who refuses to sign a waiver as well as attend the hearing or the inmate who attends and becomes so disruptive or threatening that the hearing cannot continue. Both of these situations are problematic and the need to maintain security must be balanced against the need for a fair and impartial hearing.

In the case of an inmate who refuses to attend his hearing and refuses to sign a waiver, force should not be used. Injury to both staff and inmate is possible. Document the inmate's refusal on a CDC 128-B and the hearing can be conducted at a later date without loss of time constraints.

If an inmate attends the hearing and becomes so disruptive or threatening that the hearing cannot continue, remove the inmate from the hearing and continue in the inmate's absence. In this context, DISRUPTIVE means the inmate continually disrupts the hearing with inappropriate or irrelevant remarks while refusing to provide any information necessary to the hearing. In this context, THREATENING should mean the inmate is becoming so hostile towards the SHO that violence is reasonably possible. The hearing summary should describe the inmate's conduct in sufficient detail that the Chief Disciplinary Officer can review the decision to terminate the hearing. A detailed description is also a strong defense for later appeal actions by the inmate.

Unit 7 - Disciplinary Hearing.  Describe and explain

1.  The disciplinary hearing.
2.  Reviewing confidential reports
3.  Complete the open-book quiz Click here to begin quiz.

Unit Overview:  CONFIDENTIAL information
Reviewing the CDC 1030
A CDC 1030 must have been completed for any confidential reports used as evidence. The CDC 1030 must be accurate and complete. Ask: Does the CDC 1030 accurately reflect the reason the author of the report considered the sources reliable? In the hearing, the SHO will make an independent decision on the reliability of each informant. At the moment, it is necessary only that the disclosure includes the reasons accepted by the author of the confidential report. If the confidential reports do not state reasons for reliability, these reports should be returned to their author for immediate revision. There is one exception to this rule: the CDC 1030 cannot give any information disclosing the identity of the informant or informants. If the informant is considered reliable because the informant is the victim, this reason cannot be disclosed.

Reviewing confidential reports:
While the inmate does not have access to any confidential reports, the evidence in these reports may be essential to the hearing. Staff members reviewing the hearing summary will have access to these reports. If the CDC 1030 or the hearing summary misrepresents the evidence given in confidential reports, these staff members are obligated to dismiss the finding and order a new hearing. This will not happen if problems in the confidential reports are identified and resolved in advance of the hearing.

Confidential reports must identify each informant by name and CDC number. If it is not obvious from the circumstances, testimony should include some explanation of information's source. For example, was this informant a witness to these events or did the informant hear about it from other inmates? Second hand accounts are hearsay. While hearsay can be accepted as evidence, it has less credibility than a first hand account. The report must give enough information to judge both the reliability and the credibility of each informant. Information on reliability is required because the SHO must make his or her own judgment on the reliability of each informant. Otherwise, the SHO is not an independent judge of the evidence. Credibility is an issue because reliability is not enough. Before confidential information can be used as the basis for a finding and in addition to finding that the informant meets the CCR requirements for reliability, the SHO must find either that additional compelling documentation corroborates the confidential reports or that the overall circumstances combined with the documented reliability of the informant is convincing (CCR 3321(b)(1)). Without one of these two findings, confidential information cannot be accepted as the basis for the finding.

Corroboration by compelling documentation means an investigation was completed and this investigation either confirms the confidential information or uncovered additional incriminating evidence. If the report does not cover these basics, the investigation is incomplete and a revised confidential report is necessary. If these things have been covered, the investigation has shown that the reports could be true. The value of corroborating evidence must be weighed the same as any other evidence. Proving that something could be true is not the same as proving that it is true. The point is that corroborating evidence must be judged and assigned a measure of credibility the same as any other evidence. The more incriminating the evidence, the greater the credibility. Depending upon its measure of credibility, corroborating evidence may or may not be enough to find there is a convincing case against the inmate.

Unit 8 - "Findings and Disposition" Phase.  Describe and discuss 

1. The "Findings and Disposition" phase of the disciplinary process.
2. The hearing summary
3. Complete the open-book quiz Click here to begin quiz.

Breaking the complex down into the simple means knowing where to look for the clues. The trail always begins with the offense. The goal of the hearing is deciding whether or not the accused committed this offense. Stating the offense is the first clue. Because it is a combination of two or more components, the offense is complex rather than simple. For example, Battery with serious injury has two main components: Battery; and, the victim of this battery suffered serious injury. Breaking the offense down into its components is the second clue. Each of these components can be defined. These definitions are very important because they can be used to map out the evidence required by that component. For example, battery is the deliberate, unlawful use of force or violence on the person of another. This definition maps out a series of questions: Is there evidence of force or violence? Was this force or violence used on the person of another? Was this use unlawful? Was it deliberate? Definitions are the third clue. By the time this third clue has been examined, there should be a pretty good idea what is required. The last step is using this idea to sort through the evidence.

The hearing summary should list all of the important points of evidence. Credibility has been assigned witnesses. This evidence inventory is the last and final clue. The evidence is there or it is not. If it is, it is time to put the whole thing back together again in the hearing summary. List each component of the disciplinary offense and the definition of that component. Describe the evidence proving that this component is supported by the evidence. When all of the components have been covered, the offense has been covered. The complex has been torn down into the simple and put back together again. This is both an outline of the basic decision making process and a model format for a thorough, well written hearing summary.

The disposition:
The disposition summarizes any penalties as well as giving any required notices. A range of penalties is available for serious offenses.

Unit 9 Overview:

1. Define and explain the Disciplinary Process
2. Complete the open-book quiz Click here to begin quiz.