# Amicus Curiae Brief — Preiser v. Newkirk > Briefs, arguments, decisions, and more. URL: https://www.frixlaw.com/law-library/documents/brief%3Amicro_IA40386414_0442%3A6 ## Record - **Collection:** Supreme Court brief - **Document type:** Amicus Curiae Brief - **Published:** January 1, 1975 - **Citation:** 422 U.S. 395 ## Text a INDEX Question presented Interest of the United States Statement Introduction and summary of argument - Argument — __ ae useenepeesnumeees I. An inmate is not deprived of liberty or property when transferred for non- punitive reasons eens A. Due process requires notice and opportunity for hearing only when an individual is deprived of a bene- fit conditioned by law on the exist- ence of a controvertible fact __- B. An inmate does not have either a liberty or a property interest in the continuation of any particular con- ditions of confinement C. Neither the Due Process Clause nor the EKighth Amendment con- fers a substantive entitlement to - continuation of a prisoner’s status a TEN Rema Te D. An inmate may possess a legiti- mate claim of entitlement not to be punished for acts of misconduct unrelated to those for which he was convicted II. Administrative and penological con- cerns require a flexible approach in de- termining what process is “due” ___ II Argument—Continued Page A. The current practices of the Bu-, reau of Prisons provide flexible but adequate accommodation of the ~.interests of the inmates and the institutions ns 36 1. Statutory transfer authority 37 2. The Bureau’s designation and classification procedures 38 3. The Bureau’s transfer policy 40 B. The court should proceed cautious- ly before requiring more extensive use of hearings, which may be in- consistent with custodial needs and. rehabilitative goals. 43 C. Many transfer decisions present issues unsuitable for resolution by hearing - a 46 III. Hearings are required “only when a transfer is made as punishment or a substitute for punishment 48 Conclusion ee t—‘i—=—=~SB“SCC' Appendix A. eT. la Appendix B pepe eeey eee lla Appendix C sopenhesiny So 7 34a Appendix D ae ae | 53a Appendix Es. ee 6la Cases: Ill CITATIONS ~ Page Adamson v. Ranger, No. 73-2594 (C.D. Calif., decided October 3, 1974) 34 Aikens v. Lash, 371 F. Supp. 482. 34 Arnett v. Kennedy, 416 U.S. 134 24,47 Ault v. Holmes, No. 73-2049 (C.A. 6, de- cided November 15, 1974), affirming and vacating in part, 369 F. Supp. 288 34 Beatham v. Manson, 369 F. Supp. 783 = 27, 34 Bell v. Burson, 402 U.S. 535 24 Benfield v. Bounds, 363 F. Supp. 160 35 Board of Regents v. Roth, 408 U.S. 564 14, 22, 27, 30, 50 Bob Jones University v. Simon, 416 U.S. 125 42 Braxton v. Carlson, 483 F.2d 933 44 Bryant v. Hardy, 488 F.2d 72 34 Bundy v. Cannon, 328 F. Supp. 165 35 Cafeteria Workers v. McElroy, 367 U.S. 886 22, 30 Calero-Toledo v. Pearson Yacht Leasing Co., 416 U.S. 663 _ 42 Capitan v. Cupp, 356 F. Supp. 302 34 Clutchette v. Procunier, No. 71-2357 (C.A. 9, decided October 21, 1974), re- considering 497 F.2d 809 . 35 Croom v. Manson, 367 F. Supp. 586 34 Dominguez v. Mosley, 317 F. Supp. 10, affrmed, 431 F.2d 1376 35 Dorszynski v. United States, No. 73- 5284, decided June 26, 1974 . 29 Ewing v. Mytinger & Casselberry, Inc., 339 U.S. 594 42 Fajeriak v. McGinnis, 493 F.2d 468 —=—s 8334 Cases—Continued Geneva Towers Tenants Organization v. Federated Mortgage Investors, 504 F. 2d 483 . Goldberg v. . Kelly, 397 U.S. 254 © - Gomes v. Travisono, 490 F.2d 1209, va- cated and remanded, No. 73-1335, ‘July 8, 1974, modified and affirmed, No. 73- 1065 (C.A. 1, decided December 20, 1974) — . Gray v. Creamer, “465° F.2d 179 © Hillen v. Director, 455 F.2d 510. Hogue v. United States, 287 F.2d 99, ¢ cer- tiorari denied, 368 U.S. 932 . Hoitt v. Vitek, 361 F. Supp. 1238 Kessler v. Cupp, 372 F. Supp. 76. King v. Higgins, 370 F. Supp. 1023 Lawrence v. Willingham, 373 F.2d 731. Mitchell v. W.T. Grant Co., 416 U.S. 600 Morrissey v. Brewer, 408 U.S. 471 __ 22, Muniz v. United States, 280 F. Supp. 542 | se oo O’Brien v. _ Moriarty, 489 F.2d 941 Pell v. Procunier, No. 73-754, decided June 24, 1974 . : a - % " Perry v. Sindermann, 408 U.S. 593 . Powell v. Texas, 392 U.S. 514 - 7 Price v. Johnston, 334 U.S. 266 Rayborn v. Swope, 215 F.2d 604 | Rees v. Peyton, 341 F.2d 859 . Robbins v. Kleindienst, No. 223-72, (383 F. Supp. 239, dismissed by stipulation November 27, 1974) . Rodriguez-Sandoval v. United ‘States, 409 RR I ia csiinSastecinatienceceninnia deena Page 24 24 _ 33, 41 35 35 35 34 34 34 35 24° 24, 33 35 28 28, 46 _ 14, 24 28 26 35 35 34 35 Cases—Continued Page Schumate v. New York, 373 F. Supp. 1166 34 Sniadach v. Family y ‘Finance Corp. - 395 U.S. 337 - 31 Sostre v. McGinnis, 442 F. 2d 178, certio- rari denied sub nom. Sostre v. Oswald, 404 U.S. 1049 45-46 Stone v. Egeler, No. 74-1256 (C.A. 6, de- cided November 15, 1974), modifying and affirming 377 F. Supp. 115 34 Urbano v. McCorkle, 334 F. Supp. 161, affirmed, 481 F.2d 1400 . _ 35 United States ex rel. Arzonica \ v. _ Scheipe, 474 F.2d 720 - a 35 United States ex “rel. Haymes v. -Mon- tanye, C.A. 2, No. 74-1208 decided October 4, 1974, petition for a writ of certiorari pending, No. 74-520 ___10, 33, 35 United States v. Chemical innit Inc., 272 U.S. 1. _ — 49 United States v. Foss, 501 F. 2a 522 | 28 Van Sirrs v. Ciccone, 487 F.2d 884 _ __- 34 Walker v. Hughes, 375 F. Supp. 708 ___ 34 Williams v. New York, 337 U.S. 241 _. 28 Willis v. Ciccone, No. 74-1294 (C.A. 8, decided November 15, 1974) _ 49 Wolff v. McDonnell, No. 73-679, decided June 26, 1974 - 17, 24, 26, 31, 32, 33, 35, 36, 42, 43, 47 Constitution and statutes: United States Constitution: First Amendment aera 54 EE OR TD » > es ee . Si ® =~ RBG Sofa TORY Gore PER A OAL A ros Ne ge en _— . VI Constitution and statutes—Continued Page Fifth Amendment ...._. —-.——_—si*(14, 28, 27 Sixth Amendment ... _..—...—~S——‘« BRIEF FOR THE UNITED STATES AS AMICUS CURIAE QUESTION PRESENTED The United States will address the question wheth- er the Due Process Clause always requires notice and opportunity for hearing before a prisoner may be transferred from one place of incarceration to an- other.’ . 1 When this Court granted certiorari, it directed the parties to brief the question of mootness. We do not address that . issue in this brief. (1) 2+ ORIEL TERR Cae TITLES EMPORIO CRY EN A Prete Sa paRe: 2 2 INTEREST OF THE UNITED STATES This case presents questions regarding the proce- dures prison administrators must follow when decid- ing to move inmates from one place of. incarceration to another. ‘Although the case involves directly only . the practices of prisons in a single State, the Court’s decision on the constitutional question will have a direct impact on the existing practices and proce- dures for management and control of inmates in all other prison systems, including the federal prison system. In accordance with the statutory mandate to oper- ate “an integrated system” of institutions to “assure the proper classification and segregation of Federal prisoners according to the nature of the offenses com- mitted, the character and mental condition of the prisoners, and such other factors as should be con- sidered in providing an individualized system of dis- . cipline, care, and treatment of the persons committed to such institutions” (18 U.S.C. 4081), the Federal Bureau of Prisons presently maintains 49 prisons of various types throughout the country.’ In addition to these prisons it maintains numerous halfway houses and has contracts with state or private insti- * These consist of six maximum security institutions, six intermediate term adult institutions, thirteen short term adult institutions, seven young adult institutions, three juvenile facilities, four. institutions for female offenders, nine com- munity treatment centers, and one intensive medical treat- ment facility. In addition, the Bureau of Prisons administers prison programs, differing from one institution to another, according to the needs of the inmate populations. 3 tutions for temporary custody of prisoners and for specialized remedial programs. In fiscal 1974, 13,445 individuals were committed | by the federal courts to the custody of the Attorney General and underwent classification study. After this study is completed, each individual is sent or transferred on an initial basis to the institution deemed most appropriate for him or her. In addi- tion to these “initial” classification and transfer deci- sions, approximately 11,306 inmates were:transferred during the year from one federal prison to another.‘ Decisions similar to transfer decisions are made when individuals are placed in, or removed from, facilities operating under contract with the Bureau. During the year 10,130 prisoners were released on furloughs (some to contract facilities), and 9,766 prisoners were received back into prisons from furloughs. Fi- nally, prisoners routinely are transferred within the same penal institution or assigned to diffePent_work or rehabilitation programs; many of these decisions have consequences to the inmate similar to those ex- perienced when he is transferred between institu- tions. ’This statistical information has been provided by the Bureau of Prisons. Although 13,445 individuals were formally committed, a total of 17,146 individuals were received in the federal prisons from all sources, and classification reports would have been prepared on each of them. ‘These transfers involved a substantial proportion of the total inmate population of approximately 23,000. Approxi- mately 770 of the transfers were effected because the inmate had not adjusted to an institution, and 570 were to provide “closer custody”. 4 - Resolution of the issues in this case may have a - substantial impact on the procedures that must be used to effect these initial classification, transfer, and assignment decisions,’ and a ruling requiring all ' prison transfer decisions to be made according to a particular set of rules or an inflexible mold may both seriously interfere with the orderly administration of federal prisons and inhibit the continuing develop- ment and revision by the Bureau of its transfer pro- cedures.° STATEMENT On July 5, 1972, respondent and three other in- mates in the New York State prison system brought an action under 42 U.S.C. 1983 seeking declaratory and injunctive relief from allegedly unconstitutional treatment arising when they were transferred from Wallkill Correctional Facility, a medium security New York State prison, to maximum security pris- ons also located in and operated by New York State. The complaint, as amended, asserted that the trans- fers were defective because they had been carried out without written notice of charges and without a hear- > Congress has enacted numerous statutes providing for the classification and transfer of prisoners within the federal system. Those statutes, the application of which could be affected by the Court’s decision in this case, are set out in Appendix A, infra. * The Bureau has developed comprehensive procedural guide- lines for classification and transfer decisions, including transfers used for disciplinary purposes. These guidelines are not generally available, and we have, therefore, set them out in Appendices B-E, infra. SE PI ARBRE eRe aioR Regs oo 5 neta Re CREET TIC apo NRONAE CHEAP IRRE tee TWAS 1 SYR CR LSS. PRE Se Hie Rea 5 ing before an impartial tribunal at which they would have the right to call and confront witnesses and be represented by counsel. The complaint also asserted that the transfers violated the Equal Protection Clause because the transferred prisoners had not been afforded the same administrative procedures granted to inmates who faced disciplinary punishment within the prison. Finally, the complaint alleged that the transfers were punishment imposed solely because of the exercise of First and Sixth Amendment rights. The complaint sought a declaratory judgment that the transfers were improper, an injunction ordering their return to Wallkill, expungement from their prison records of all references to the transfer, and the prohibition of future transfers without an ade- quate hearing. 1. At a trial held in November 1972, respondent testified that he had been an inmate of the New York prison system since his conviction for second degree murder in 1962 and that he had been held in four different state correctional facilities prior to his trans- fer to Wallkill, a unique prison that permits its inmates to live in rooms rather than cells and pro- vides “maximum free time and freedom of move- ment” (Pet. App. 21-22). At Wallkill respondent took instruction in automobile repair, attended classes in mathematics, history and English, and during his leisure time was able to play musical instruments ‘This summary of facts is taken from the opinion of the court of appeals. 6 and pursue other artistic interests. Respondent also drove a truck and was, at times, permitted to leave the prison grounds as part of his employment. Some time prior to June 1972 several Wallkill in- mates began circulating petitions to form an inmates’ union. Respondent testified that he became interested in the concept of the union and signed a union con- stitution on May 31, 1972, and a union petition on June 2, 1972. However, he stated that he had no further contact with the union prior to his transfer from Wallkill on June 8, 1972. The circulation of petitions to form a union was opposed by members of the elected Inmate Liaison Committee, which had general responsibility for proc- essing inmate grievances. On June 2, 1972, the Com- mittee held a meeting of inmates at which it dis- claimed any support for the union. The discussions at this meeting, although vociferous, did not lead to violence. Nevertheless, the officer in charge of Wall- kill on that evening be¢ame concerned about a possi- ble threat to the stability of the prison and telephoned reports to Prison Superintendent Butler, a petitioner here. The officer also prepared a written report for the Assistant Deputy Superintendent in which, based on what other officers had told him, he identified respondent as one of the inmates who had been can- vassing for the union. On Tuesday, June 6, the As- sistant Deputy Superintendent recommended to Su- perintendent Butler that eight inmates, including re- spondent, be transferred from Wallkill. Superintendent Butler agreed, and the transfers € Pie y serps: ? 7 were made on June 8 and 9. The eight inmates were not told the reason for the transfer, nor were they afforded any opportunity to respond to charges or to contest the action. Respondent was transferred to Clinton Correctional Facility, an institution slightly more “secure” than Wallkill.. At Clinton he was placed in a cell openable only by a guard and was unable to engage in many of the activities he had pursued at Wallkill. Respondent testified that at Clinton he worked seven days a week, often for 13 or 14 hours per day; he also stated that visits by his family were more difficult, because Clinton is located farther from his family’s home in New York City than is Wallkill.’ Superintendent Butler testified that he normally did not oppose the circulation of petitions at Wallkill, but that after he conferred with his staff he became concerned about the union petition because of the antagonistic positions of the Inmate Liaison Commit- tee and the other inmates. He also testified that he did not institute any disciplinary proceedings against the transferred inmates and that he did not, by trans- ferring them, cause them to lose any good time, to be placed in segregated confinement, or to be treated specially at the receiving institutions. 2. The district court granted declaratory relief but declined to issue an injunction, because respond- lections shall be deposited in the Treasury of the United States as miscellaneous receipts. (d) The willful failure of a prisoner to remain within the extended limits of his confinement, or to return within the time prescribed to an institution or facility designated by the Attorney General, shall be deemed an escape from the custody of the Attorney General punishai'e as provided in chapter 35 of this title. | (e) The authority conferred upon the Attorney General by this section shall extend to all persons committed to the National Training School for Boys. — (f) As used in this section— the term “facility” shall include a residential com- munity treatment center; and the term “relative” shall mean a spouse, child (in- clading stepchild, adopted child or child as to whom { , Se os beeen . re SOE EOE Ee ON OR CS TINE, LEED ay PAINE PIONEER EY Pepe 2D eR ghar HY 4a the prisoner, though not a natural parent, has acted in the place of a parent), parent (including a person who, though not a natural parent, has acted in the place of a parent), brother, or sister. 3. Sections 1, 2, and 3 of the Act of April 30, 1940, 54 Stat. 175, 176, as amended, 18 U.S.C. 4085, provide: (a) Whenever any federal prisoner has been in- dicted, informed against, or convicted of a felony in a court of record of any State or the District of Columbia, the Attorney General shall, if he finds it in the public interest to do so, upon the request of the Governor or the executive authority thereof, and upon the presentation of a certified copy of such indictment, information or judgment of conviction, cause such person, prior to his release, to be trans- ferred to a penal or correctional institution within such State or District. ' If more than one such request is presented in re- : spect to any prisoner, the Attorney General shall determine which request should receive preference. The expense of personnel and transportation in- 3 curred shall be chargeable to the appropriation for the “Support of United States prisoners.” (b) This section shall not limit the authority of the Attorney General to transfer prisoners pursuant to other provisions of law. : 4. Sections 1, 3, 4, and 5 of the Act of February : 26, 1929, 45 Stat. 1318, as amended, 18 U.S.C. 4125, provides : » i... PRAT IER ITY REE YET Cp ae Been i yaaa we 5a (a) The Attorney General may make available to the heads of the several departments the services of United States prisoners under terms, conditions, anc yrates mutually agreed upon, for constructing or re- ‘ pairing roads, clearing, maintaining and reforestin: public Jands, building levees, and constructing or re- pairing any other public ways or works financed wholly or in major part by funds appropriated by Congress. (b) The Attorney General may establish, equip, and maintain camps upon sites selected by him else- where than upon Indian reservations, and designate such camps as places for confinement of persons con- victed of an offense against the laws of the United States. \ (c) The expenses of trarisferring and maintaining prisoners at such camps and of operating such camps shall be paid from the appropriation “Support of United States prisoners”, which may, in the discretion of the Attorney General, be reimbursed for such ex- penses. (d) As part of the expense of operating such camps the Attorney General is authorized to provide for the payment to the inmates or their dependents such pecuniary earnings as he may deem proper. under such rules and regulations as he may prescribe. (e) All other laws of the United States relating to the imprisonment, transfer, control, discipline, escape, release of, or in any way affecting prisoners, shall apply to prisoners transferred to such camps. 6a 5. Section 6 of the Act of May 18, 1930, 46 Stat. 271, as amended, 18 U.S.C. 4241, provides: A board of examiners for each Federal penal and correctional institution shall consist of (1) a medical officer appointed by the warden or superintendent of the institution; (2) a medical officer appointed by the Attorney General; and (3) a competent expert. in mental diseases appointed by the Surgeon General of the United States Public Health Service. ‘Such board shall examine any inmate of the in- ‘stitution alleged to be insane or of unsound mind or otherwise defective and report their findings and the facts on which they are based to the Attorney General. ; The Attorney General, upon receiving such report, may direct the warden or superintendent or other official having custody of the prisoner to cause such prisoner to be removed to the United States hospital for defective delinquents or to any other institution authorized by law to receive insane persons charged with or convicted of offenses against the United States, there to be kept until, in the judgment of the superintendent of said hospital, the prisoner shall be restored to sanity or health or until the maximum sentence, without deduction for good time or com- mutation of sentence, shall have been served. 6. Section 605 of the Narcotic Addict Rehabilitation Act of 1966, 80 Stat. 1450, 18 U.S.C. 4253, provides: (a) Follewing the examination provided for in sec- tion 4252, if the court determines that an eligible ee a eS one oe er oe! — —— Ta offender is an addict and is likely to be rehabilitated through treatment, it shall commit him to the custody of the Attorney General for treatment under this chapter, except that no offender shall be commited under this chapter if the Attorney General certifies that adequate facilities or personnel for treatment are unavailable. ,Such commitment shall be for an indeterminate period of time not to exceed ten years, but in no event'shall it exceed the maximum sentence that could otherwise have been imposed. (b) If, following the examination provided for in section 4252, the court determines that an eligible offender is not an addict, or is an addict not likely to be rehabilitated through treatment, it shall im- pose such other sentence as may be authorized or re- quired by law. 7. The Youth Corrections Act, 64 Stat. 108%, 18 U.S.C. 5010, 5011, 5014, and 5015, provides: (a) If the court is of the opinion that the youth offender does not need commitment, it may suspend the imposition or execution of sentence and place the youth offender on probation. (b) If the court shall find that a convicted person is a youth offender, and the offense is punishable by imprisonment under applicable provisions of law other than this subsection, the court may, in lieu of the penalty of imprisonment otherwise provided by law, sentence the youth offender to the custody of the Attorney General for treatment and super- 8a vision pursuant to this chapter until discharged by the Division as provided in section pane) of this chapter ; or (c) If the court shall find that the youth offender may not be able to derive maximum benefit from treatment by the Division prior to the expiration of six years from the date of conviction it may, in lieu of the penalty of imprisonment otherwise pro- vided by law, sentence the youth offender to the custody of the Attorney General for treatment and supervision pursuant to this chapter for any further period that may be authorized by law for the offense or offenses of which he stands convicted or until discharged by the Division as provided in section 5017 (d) of this chapter. (d) If the court shall find that the youth offender will not derive benefit from treatment under subsec- tion (b) or (c), then the court may sentence the youth offender under any other applicable penalty provision. (e) If the court desires additional information as to whether a youth offender will derive benefit from treatment under subsections (b) or (c) it may order that he be committed to the custody of the Attorney General for observation and study at an appropriate classification center or agency. Within sixty days from the date of the order, or such additional period as the court may grant, the Division shall report to the court its findings. 9a § 5011. Treatment Committed youth offenders not conditionally re- leased shall undergo treatment in institutions of maxi- mum security, medium security, or minimum security types, including training schools, hospitals, farms, forestry and other camps, and other agencies that will provide the essential varieties of treatment. The Director shall from time to time designate, set aside, and adapt institutions and agencies under the control of the Department of Justice for treatment. Insofar as practical, such institutions and agencies shall be used only for treatment of committed youth offenders, amd such youth offenders shall be segregated from other offenders, and classes of committed youth of- fenders shall be segregated according to their needs for treatment. § 5014. Classification studies and reports The Director shall provide classification centers and agencies. Every committed youth offender shall first be sent to a classification center or agency. The clas- sification center or agency shall make a complete study of each committed youth offender, including a mental and physical examination, to ascertain his personal traits, his capabilities, pertinent circum- stances of his school, family life, any previous de- linquency or criminal experience, and any mental or physical defect or other factor contributing to his delinquency. In the absence of exceptional circum- stances, such study shall be completed within a period 10a of thirty days. The agency shall promptly forward to the Director and to the Division a report of its findings with respect to the youth offender and its recommendations as to his treatment. At least one member of the Division shall, as soon as practicable after commitment, interview the youth offender, re- view all reports concerning him, and make such recommendations to the director and to the Division as may be indicated. § 5015. Powers of Director as to placement of youth offenders (a) On receipt of the report and recommendations from the classification agency the Director may— (1) recommend to the Division that the committed youth offender be released condi- tionally under supervision; or (2) allocate and direct the transfer of the ~ committed youth offender to an agency or in- stitution for treatment; or (3) order the committed youth offender con- fined and afforded treatment under such condi- tions as he believes best designed for the pro- tection of the public. (b) The Director may transfer at any time a com- mitted youth offender from one agency or institution to any other agency or institution. i ik ¥ tens: Bites lla APPENDIX B The Bureau of Prisons Policy Statement No. 7200.11A, on Classification Study and Initial Clas- sification, dated March 6, 1972, provides in relevant part: 1. POLICY. It is the policy of the Bureau of Prisons to identify and utilize al! available training and treatment resources in the correction of public offenders. This allocation of re- sources is implemented through a systematic classi- fication of offenders and subsequent development of an individual program plan. Since the Classifica- tion Study provides the basis for developing an ef- fective treatment program, it is essential for the report to be of professional quality and represent the integrity and best efforts of the classification team or committee. * * * * 4. CLASSIFICATION STUDY. The Classification Study is a com- posite of reports and forms submitted by various departments within the institutions and represents the staff’s effort to identify the offender’s needs and develop a correctional treatment program to meet those needs. To facilitate the review of pertinent information contained in these reports, the study will be arranged according to the following sequence; A. Sentence Data Summary, BP 5-1 B. Background Data, Record Form 16 C. Staff Evaluation EA RE aE he ETA en a il 12a D. Classification Summary Se Optional Pages, Psychiatric, Psychological and/or Religious Reports F. Program Analysis Sheet, BP Form 6.1 G. Program Plan, Classification Form 18 H. Educational Data, BP Form 7 I. Social Data, BP Form 6 | J. Medical and Related Data, BP Form 8 5. INSTRUCTIONS FOR PREPARING THE CLASSIFICATION STUDY. In order to assure that all Classification Studies meet Bureau requirements, the following in- structions should be made available to all personnel involved in the classification process. The instruc- tions should be referred to frequently both as a guide in completing daily work requirements and as a vehicle for training. A. Resource Material. Generally, resource ma- terial such as the F.B.I. Fingerprint Report, U.S. Attorney Report, Prosecuting Agency Re- port, and the Presentence Investigation is made available and serves as the basis for the Classification Study. It is not necessary to reiterate all the information contained in the background material but all relevant and significant information should be summarized so that the Classification Study will be an ee ee ea. - ae a ae ae iad ae PITS RS Ty Fe SAGE TS 13a independent report capable of standing on its own. The Presentence Report will continue to be the major contributing resource in the prep- aration of the Classification Study and to the extent that it is possible, arrangements will be made to have a copy of this report mailed to the institution so that it will be available upon the offender’s arrival. The caseworker will especially need to thoroughly review the Presentence Report in an effort to coordinate his interviews so that he will be able to obtain information that will fill-in, compliment, and amplify areas in the Presentence Report that require elabora- tion. Interviews should not be used to gather irrelevant data, but should be considered as a probing and diagnostic tool to provide infor- mation for evaluating causative factors in the offender’s involvement in crime. When a Presentence Report is not available, all personnel involved in preparing segments of the Classification Summary will have to make a greater effort to obtain the necessary information for effective program planning. Caseworkers should pay particular attention to reports received from other departments and conduct their interviews in a way that will aid them in filling in missing informa- tion and expand on other areas when neces- LRPEE TR EOI FORE SEV E a Tea es SAE “Ho aad ee oe OE TIL PELE LICL LILO PAY CVE ET al l4a sary. Under these circumstances, the Classifi- cation Summary will be presented in much more detail then would be required if a Pre- sentence Investigation Report were available. * * * * : D. Classification Summary. The Classification Summary is the report that brings together information which is known about the offend- er’s criminality, past history, and current status. In the past, this report was very brief and was designed to supplement the Presen- tence Report and be used in conjunction with it. The previous Classification Summary for- mat and instructions have not produced the kind of information necessary to make en- lightened case management decisions without a lengthy research of the files. It has also been noted that Classification Summaries are deficient in many instances and often incon- . sistent with other segments of the Classifica- tion Study. In an effort’ to correct this prob- lem the Classification Summary has been re- vised and extended and a Staff Evaluation has been added to the Study. A sample of the format to be used for Classification Sum- maries is attached. All institutions should plan to reproduce this format on classification form 1b until such time that revised form 17 is made available. Once the revised classifica- tion form 17 is available, it will be used as ila ad . OD. Gh PG whose vraantngeene SERENE D SPURL LNT SLL MT SI RSMO GA Tet get Nee lba the face sheet of the Classification Summary and form 1b will continue to be used for sub- sequent pages, including the Staff Evaluation. (1) Current Offense. The section on current offense should provide the necessary in- formation to determine whether or not the offense was a joint undertaking or an independent venture, a single act or part of a series of acts, situational or a culmi- nation of extended planning. The victim’s loss and the offender’s net gain should also be summarized in this section. In- formation under current offense should be divided into two parts. a. Official Version and Sentence. It is necessary for this part of the report to be lengthy. Information related to the offense, basic sentencing data, role of the offender, codefendants, loss to the victim and aggravating circum- stances can be generally presented in a few sentences. . b. Offender’s Explanation. The offend- er’s explanation regarding the offense is essential and should include com- ments regarding degree of involve- ment, motivation, and net gain. Again, the explanation need not be long and should represent the caseworker’s in- terpretive summary of what the of- fender said. > Net neo eH a nearer nage (2) (3) 16a Prior Record. It is not necessary to list the prior record in chronological order, or to describe every incident. It is important, however, to distinguish between assaul- tive acts and crimes against property, be- tween misdemeanors and felonies and be- tween juvenile and adult offenses. The _ material will be summarized in two parts. a. Summary. In the summary, the case- worker should stress the number and types of arrest, convictions and sen- tences, and response to previous super- vision while confined or under parole or probation supervision. An:attempt should also be made to explain any sub- stantial period for which there were no new offenses reported. b. Detainers. A brief statement heard: ing the status of all known charges | and detainers should be made. Past History. Although the Presentence Investigation and other resource material provides a vast amount of information re- ‘garding the offender’s background, the Classification Summary should concen- trate on summarizing relevant informa- tion related to the offender’s social, educa- — tional, military, and employment history. The facts should be presented as suc- cinctly as possible, stressing only that in- 17a formation which might be related-to the offender’s criminality. a. Social. In a few sentences, the case- worker should attempt to identify any areas in the offender’s social history which may have centributed to his in- volvement in crime. This might in- clude the neighborhood, family rela- tionships, marriage, physical, and men- tal health. Detailed information such as the father’s place of birth is not necessary or cesirable. b. Education. At this point, the case- worker should provide only a brief statement regarding the offender’s re- sponse to his educational experience, i.e., his adjustment in school and his achievements. c. Military. Again, only a brief state- ~ ment regarding the offender’s military obligation is required. Comment on his status with the Selective Service Board and response to military experi- ence if applicable, i.e., training, ad- justment, discharge. d. Employment. This portion of the Classification Summary should provide a concise summary of the offender’s total employment experience. The caseworker should attempt to describe the number and types of previous jobs a LA POPPI ARE yi rena SFY ORs Lm SI ate TARR ous a i Me ee eee 18a held by the offender. Adjustment on the job and significant periods of un- employment should also be explained. (4) Current Findings. During the initial classification process, the offender is test- ed, given a physical examination, inter- viewed, and observed to gain additional information about his character, physical and mental health and ability to change. Information obtained from these sources should be summarized under the follow- ing headings of Character Traits, Physi- cal and Mental Health and Tests. a. Character Traits. The caseworker should make a brief statement regard- ing the offender’s assets and liabilities related to self-control, interpersonal relationships, standards and_ values. This statement. should be drawn from information received from various de- partments within the institution re- garding the offender’s behavior, rela- tionship with others and_ personal habits. As in all other segments of the Classification Summary, opinions should be avoided and the statement should be based on facts. b. Physical and Mental Health. In most situations, a brief statement of the _ current findings regarding the offend- — oe 19a er’s physical and mental health will be sufficient. If problems are diag- nosed, however, the caseworker should indicate the extent and nature of the problems and comment on employ- ability. If indicated, a more extensive report on mental and physical health can be added to the Classification Study under the section entitled “Optional Pages’. c. Tests. Each institution administers a number of ‘tests to measure an offend- er’s current standing and potential for achievement. The results of these tests plus an interpretative summary must be made available to the caseworker so that he can incorporate it in the Clas- sification Summary. The caseworker will list all tests given and summarize what the results mean in terms of training and treatment. Any informa- tion which is available regarding test- ing prior to the offender’s arrival at the institution should also be sum- marized. 6. STAFF EVALUATION. The Classification Study has been extended to in- clude a comprehensive staff evaluation. The evalua- tion will not exceed four paragraphs and generally one typewritten page. This report represents the com- 20a bined opinion of the Classification Committee or Team and is written in a way which stresses an evaluation of the facts. It will be subjective and judgmental in nature and based on suppositions. Even though it covers some of the same areas as the Classification Summary, the Classification Summary only reports on facts. The staff evaluation provided your opinion regarding those facts. The staff evaluation should be reproduced on Classification Form 1b with the date, being typed in following the registration num- ber, as indicated on the attached sample. A. Illegal Behavior. In this paragraph, the case- worker should summarize the Classification Committee’s or Team’s opinion regarding the offender’s involvement in crime. Emphasis should be placed on his current attitude re- garding the offense, codefendants, his prior record, and pending charges. Some statement regarding his potential for future involvement should also be recorded. B. Causal Factors. The Classification Committee or Team should formulate a theory regarding the offender’s criminality and present situa- tion. Such factors as the use of drugs, family problems, health, lack of education and train- ing, emotional and psychiatric problems should be considered and an opinion expressed re- garding their probable contribution to the of- fender’s current situation and life style. C. Program Goals. The third paragraph of the Staff Evaluation should provide a summary Se a pa Ae NET ey S | 2la of the offender’s correctional treatment and training needs and his program plan. Fur- ther, a statement regarding his or her will- ingness to take advantage of the available re- sources and an estimated time for completing the program should be included. D. Release Plans. The final portion of the Staff Evaluation should give an opinion regarding the offender’s release needs, anticipated release date, and parole readiness for commitments under the Youth Corrections Act, 4208 a-2. and the Federal Juvenile Delinquency Act. Available resources should also be evaluated along with the offender’s post commitment plans. 7. OPTIONAL PAGES. When there are psychi- atric, psychological, and’ or religious reports, they should be inserted immedi- ately after the Classification Summary. Psychiatric or psychological reports will be scheduled by the Medical Department when indicated. Such reports should be prepared as a matter of policy in study cases. While Chaplains will continue to conduct interviews with all newly committed offenders, they will no longer be required to submit reports on all of them. Instead they will prepare for circulation to the team members prior to the meeting, reports on those of- fenders for whom such reports are appropriate in their judgment. While the spiritual and religious oe ee 22a aspects of the offender’s life still receive primary focus, the Chaplains will not limit themselves to these considerations but will also make observations in other areas when they think that such observa- tions might be useful to the team. 8. PROGRAM ANALYSIS SHEET. This sheet is arranged so that the information submitted may be computerized — and subjected to statistical analysis. As this data accumulates, it will reveal the areas in which our programs are sufficiently staffed and those in which they are not. These facts will be revealed about each institution and about the system as a whole. It is extremely important that this information be accurately and conscientiously recorded because man- power decisions will be based on it. To this end, there are management control methods that depart- ment heads and wardens will need to exercise. The first obvious check is that the Program Plan be in accord with the Analysis Sheet. If discrepancies occur, especially on a regular basis, then one or the other does not give a true picture. Similarly, the totals of the men participating in given programs or achieving particular goals (e.g., the G.E.D. Certifi- cate) should closely approximate the numbers plan- ned for and recorded on the Analysis Sheets. If no relationship exists between plans and outcomes, there is an obvious problem. It is important to stress that the Central Office is trying to gather accurate information in order to 23a plan for and justify program resources. The in- formation can serve the same purpose and has the same value for institution management. A. Procedures (1) (2) (3) (4) () (6) For each correctional factor, indicate the level of need by entering the Code 0, 1, 2, or 3 in the corresponding box to the right of each category. For every factor for which no program is planned enter 2 in the corresponding box to the right of the factor. If pro- gram is planned enter (1). If no program is planned enter code ox codes indicating constraints (start at lefi and list to right side). No more than three constraints may be listed. If program is planned list activity or ac- tivities in the corresponding box (no more than five activities for any one factor). ‘When a program is not available and a substitution is made—e.g., counseling sub- stituted for psychotherapy because no mental health worker is available—indi- cate by placing [02'55] under constraints and a [1058] under activities. For community based program place 62 and then list activity, e.g., [62 50] indi- cates study release. 24a B. Minimum Program Guidelines. It is required that offenders be programmed according to the following chart: Category Minimum Programming I Activities for at least 4 factors* II Activities for at least 2 factors* III No minimum requirement * The Same program activity Gan be planned to deal with needs present under one or more factors. Adherence to these guidelines and a compari- son between the Program Analysis and the Program Strategy will guard against cases being handled perfunctorily. The completed Program Analysis Sheet will be kept in the inmate’s institutional folder: a copy will be sent to the Bureau's Informa- tion Branch. 9. PROGRAM PLAN. The Program Plan con- tinues to be an important guide in establishing an effective treatment program for offenders. A. The Staff Evaluation paragraph should be deleted, however, and a new paragraph en- titled Transfer Recommendation, should be added. If it appears that the offender is not suitably classified for the program at your facility, the paragraph of Transfer should be completed and explain your rationale for mov- ing him to another facility. - 25a . Environmental Factors. The correctional fac- tors to be considered in this area are those of Economic Status and Family Conditions. If the staff decision is to apply treatment re- sources in these areas, the goals of the treat- ment shall first be spelled out in such a way that progress can be noted and achievement documented. The program to be followed should be outlined in equally specific terms. The form permits variation of review dates if this is considered advisable. . Health. This section applies to both mental and physical health. Medical goals are some- times independent of other treatment goals. However, where possible, these decisions should be integrated with other factors such as sen- tence length, training programs, transfer plans, ete. . Skills. Both educational and vocational areas should be considered in this area of planning. If resources are to be applied in either or both areas, the goals should be clearly stated. Rela- tively speaking, it is easier to state goals in measurable terms in these fields than in most of the others. Both goals and program, therefore should be phrased in measurable concrete terms. . Character Traits. In this section, we con- sider the. correctional factors of self-control, interpersonal relationships, standards and values, and aspirations. These terms and con- ~ 26a cepts are the most difficult to deal with in measurable behavioral terms and yet the most vital elements of progress are contained here. Each classification group must make a con- tinuous, sincere effort to state their goals, and their plans to achieve them, in behavioral terms. From this effort we should reap im- proved and refined ideas and ways of ex- pressing them. 10. SPECIAL TYPE OF CASES A. Processing of Commitments for Study under S. 5034, 5010(e), and 4208(b) (1) Delays in Delivery of Study Cases. Whenever an offender committed under Section 5034, 5010(e), or 4208(b) is not received by the designated institution within 10 days from the date of the desig- nation made, the Chief, Case Manage- ment, at the institution or his delegated representative, shall contact the appro- priate United States Marshal’s Office by telephone and urge prompt delivery be- cause of the deadlines involved. If the commitment to the institution has not been made within 15 days from the date the designation was made, the institu- tion shall notify the Bureau by telephone, Office of the Assistant Director, Institu- tional Services Division. 27a (2) Requests for Extensions of the Siudy Period. Whenever circumstances sucli as the inability to collect necessary or reliable data within the time limit al- lotted for the study, need for more ex- tensive psychiatric or medical examina- tion, etc., indicate the necessity for more time than has been provided in the in- itial commitment, an extension should be requested. However, this should be an infrequent occurence and extensions should be requested only if absolutely necessary. The chief administrative of- ficer of the institution shall request ex- tensions from the sentencing judge, us- ually not to exceed 30 days. A copy of the letter and subsequent reply should be forwarded under brief cover memo to the Office of the Assistant Director, Institutional Services Division. Since the Bureau maintains control cards on all study cases, we must receive either the study material or notification that it will be late, 30 days prior to the date the recommendations are due in court. (3) Preparation of Classification Study. Par- ticular attention should be given to the following: a. When it is ascertained that a Pre- sentence Report has not been pre- pared by the United States Probation CASE RIT ONE PS RE RG eG Bee . 28a staff, a post sentence report should be requested and every effort should be made to verify and authenticate the information provided by the of- fender. If information is obtained from the offender, the study report should refiect the source of the ma- terial and indicate whether or not it has been verified. . In many cases there is a rather ob- vious reason for the court’s request for study. In other cases the pur- pose is not immediately clear. When there is any doubt in the caseworker’s mind regarding the reason for study, he should telephonically contact the United States Probation Officer to clarify the court’s concern. Once this has been determined, the study should deal effectively with the areas of the court’s concern. . The Program Plan and Analysis Sheet (BP 6.1) should be omitted from the study. The Classification Summary will follow the same format used in a regular Classification Summary only it may occasionally be necessary to expand certain segments of the re- port. The Staff Evaluation will also be the same as that prepared for a regular study and special care should 29a be taken to assure that it represents the total group judgment of the team or committee. . d. When probation is recommended for certain types of ‘community treat- ment, we believe it should first be determined that the necessary treat- ment resources are available in the community. We would encourage telephonic communication with the United States Probation Officer in these cases in order to determine whether your recommendations are realistic. Care should be taken, how- ever, to advise the United States Pro- bation Officer that you are only eval- uating potential resources and that a final decision has not been made re- garding a recommendation to the court. The availability of resources should be spelled out in the Staff Evaluation section of the report. e. Specific recommendations as to sen- tence disposition should be included only in the transmittal memo or let- ter to the court and should not ap- pear anywhere in the classification study. . -f. Study cases should be assembled as follows: Face Sheet (Record Form BP 5.1); Record Form 16; Staff ed PB ee 3 pioneer LORE DLE DATE LOD GO Map aN Ne iat ergy ‘ “gaye: — ees TPES EE EOE LE NM ASS Leis Es yn gies WAAL I stp tngeg my —_ . WON LLTES 80a Evaluation; Classification Summary; | Psychiatric, Psychological, and Re- ligious Reports; Form BP 6, Social Data; Form BP7, Educational Data; and BP 8, Medical and Related Data. g. It is imperative that we prepare com- prehensive, well-organized, well-inte- grated, and well-written classification studies on all offenders committed by _ the court for study and observation. Particular care should be taken in regard to appearance, grammar, . clarity of style, and material consis- tency. Also, special attention should be given to providing clear and legible copies of the study for submission to the court. All material in the study should be reproduced in the same manner. (4) Transmittal of Classification Study and Institutional Recommendations to the Bureau on 4208(b), 5034, and 5010(¢) Study Commitments. a. Five copies of the classification study and one copy of the Presentence or Post Sentence report shall be sub- mitted to the Bureau, Office of the Assistant Director, Institutional Sery- ices Division, as promptly as possible. In 4208(b) commitments, this ma- . In 4208(b) and 5034 cases, the in- _ Each institution should maintain a Oe OS 6 Ae AL i ON i eB tat 8la terial will be submitted within 60 days from the date cammitment was imposed, unless an extension has been requested and granted. In 5034 and 5010(e) commitments, material will be submitted within 45 days from the date commitment was imposed, again, unless an extension was requested and granted. Although a specific period of time is allotted for studies (90 days for 4208(b), (60 days for 5034 and 5010(e), it is not necessary that the_allotted time be used. Ex- peditious preparation and submittal of study cases is encouraged, regard- less of the amount of time provided by the statutes. stitution recommendations shall be forwarded in the form of a single spaced letter to the sentencing judge for the signature of the Director, Bureau of Prisons. In the past this has been in the form of a draft let- ter. However, this policy is being discontinued and the letter should be of such high quality that it can be forwarded directly to the Director for his signature. file containing copies of Bureau study 82a case letters, forwarded to the courts, for training purposes. Special atten- tion should be given to the outline and structure of these letters. Addi- tionally, letters to the court should flow logically from the Staff Evalua- tion and should be written in a con- cise, straightforward style. Jargon and theorizing should be avoided. Since a summarization of pertinent factors will have been done in the Staff Evaluation, the main function of the letter is to convey a specific recommendation to the court as to disposition and to briefly outline plans for training and treatment. The treatment plan should support the recommendation. It should not exceed one page in length (single- spaced) and the letter should be un- dated. . In 5010(e) cases, the Chairman of the Youth Division, United States Board of Parole makes the recom- -mendation to the court. However, the institution recommendation shall be forwarded to the Bureau by a cover memorandum summarizing the staff’s recommendations for disposition and their suggestions for specialized treatment and training. 33a e. The institution staff, particularly the caseworker who drafted the initial letter in 4208(b) and 5034 study cases, should review the copy of the Bureau’s final letter to the court. Similarities and differences should be noted. Perhaps; in this way we can all address ourselves to similar issues and approach a common style. . * * * * ENE een % Se es — AREER ERECT NR SER IOP) WISE 34a APPENDIX C The Bureau of Prisons Policy Statement No. 7300.13D, on Delegation of Transfer Authority, dated June 19, 1974, provides in relevant part: 1. POLICY. The Bureau of Prisons attempts to place all committed offenders in the correctional facility for which he is most appropri- ately classified in terms of age, place of residence, offense, sentence, and prior record. 2. PURPOSE. In order to achieve this policy, the Director has delegated the author- ity to transfer offenders from one institution to an- other to the Chief Executive Officer of each federal facility. The authority to transfer men from one federal institution to another or to an approved non- federal facility is delegated to assure expeditious movement to an institution for which the offender more properly classifies. * * * * * 5. GENERAL GUIDELINES a. Generally, transfer consideration is most ap- propriately given at the time of intake screen- ing, initial classification, or at regularly sched- uled reviews. b. A significant number of transfers will be for the purpose of placing newly committed of- fenders, in institutions for which they more properly classify.. To provide classification committees and teams with current informa- 35a tion as to the mission of each federal institu- tion, there is attached to this delegation Ap- pendix A, which describes the population characteristics, commitment areas, security limitations, and significant program resources of each institution. The overall integrity of this classification system must be preserved. c. At initial classification the staff should attempt . to plan a complete program throughout the un period of confinement, including insti- tutional and post-release planning. In making this plan, all the resources of the service ‘should be considered and this delegated trans- fer authority used to place the offender into _ the setting which will be most useful to him jn his total correctional program. d. When it is apparent that the correctional treatment needs of the offender will be best served, or the continuity of his training and treatment program maintained, or because the resources of the institution are not adequate to meet the problems presented by him, then the Chief Executive Officer may issue an order directing the transfer of the offender to an appropriate facility following the guidelines in Appendix A, and subject to the limitations in paragraph 6a-6r. (For transfer to Com- munity Centers see section 6-s). e, In the exercise of this transfer authority, the Chief Executive Officer must be particularly — SLE CRAG LR ILS TERETE LER LELESTA . OSS SEALS TEP TE PPR REI SLY 36a alert to the limitations regarding the place of confinement for misdemeanants, juveniles, youths, addicts and mentally-ill offenders. 6. LIMITATIONS AND REGULATIONS a. State prisoners and prisoners from the District Cc. of Columbia serving sentences under contract in our institutions may not be transferred from one institution to another without prior approval. The usual progress reports and rec- ommendations shall be forwarded on all state boarders to the Population Control Unit in the Bureau. District of Columbia prisoners will be referred to and accepted by the receiving institution. Individuals committed to custody under the . provisions of the Federal Juvenile Delinquency Act may be transferred under this delegation of authority to another juvenile or youth in- stitution, following their initial parole hear- ing, without referral to the Regional Case Management Branch. When transfer to an- other type institution appears indicated, the recommendation will be forwarded to the Re- gional Case Management Branch. (See para- graph 6, r(2) for exception). Youth Corrections Act commitments shall be classified at the receiving institution, where the initial parole hearing will also be given. Following this hearing, or at any appropriate time thereafter, the youth offender may be 'E 37a transferred by delegated authority to another more appropriate youth institution without re- ferral to the Regional Case Management Branch. Youth offenders recommended for an adult correctional facility at the time of ini- tial classification or at any later date, shall be recommended for transfer to the Regional Case Management Branch (See paragraph 6, r(2) for exceptions. ) Any youth offender, having once been author- ized for transfer to an adult Federal Correc- tional Institution, may be transferred under delegated authority to some other, more ap- propriate, adult FCI. Any youth offender, having once been author- ized for transfer to a penitentiary may not be transferred to another penitentiary under delegated authority and must be approved by the Regional Case Management Branch. . Generally, those offenders who are in the proc- ess of being transferred and are in holdover status (at neither the sending nor receiving in- stitution), should not be diverted from the intended receiving institution. If, by reason of their adjustment, or other extenuating cir- cumstances, they should not be moved to the receiving institution, referral should be made to the Regional Case Management Branch. In any event, holdovers must be monitored to in- sure expeditious movement and juveniles and e. f, 38a youths in transit must not be held in a peni- tentiary for more than 24 hours. Due to critically high population levels it may occasionally be necessary for the Central Of- fice.to declare a moratorium on selected insti- aioe If an institution has an offender in “holdover” status while enroute to an institu- tion which has been selected for a moratorium, the holding institution is instructed to allow the offender to complete the transfer. In this same light, if one institution has an offender who they believe to be properly classified for another facility which has been placed under a moratorium, the two Chief Executive Offi- cers are authorized to individually confer about these selected individuals regarding the transfer. All recommendations for transfer to the Medi- cal Center for Federal Prisoners, Springfield, and FCI, Lexington, Kentucky, for either psy- chiatric or medical care shall be cleared with the Director, Medical Center, or the Chief Executive Officer, Lexington, Kentucky or au- thorized representative, prior to effecting the transfer. Upon their advice that facilities are available, and that the case is suitable for moving the patient to the Medical Center, or the Lexington Hospital, the transfer may be effected. Generally referrals shall be made to the Director, Springfield, or Chief Executive Officer, Lexington on the basis of a progress ~ ~ 39a report, including such medical reports as are necessary to making an informed decision. In emergency situations, telephone communica- tions may be made for the purpose of expedit- ing the transfer. The Director of the Medical Center, the Chief Executive Officer, Lexington, is delegated au- thority to issue transfer orders to return hos- pital patients, both medical and psychiatric, upon recovery, to any appropriate institution, subject to the broad guidelines of this delega- tion of authority. In some instances, it will be highly desirable to communicate with the prospective receiving institution prior to issu- ance of a transfer order. Unusually compli- cated situations should be referred to the Re- gional Case Management Branch. NARA, Title II cases remain at the institu- tion where they are committed unless specific authorization is granted. Recommendations require a full progress report and should be forwarded to the Assistant Director, Correc- tional Programs Division. | Transfer to local hospital. When a determi- nation is made that an inmate requires emer- gency in-patient care and should be admitted to a community hospital or government hos- pital other than one operated by Bureau of Prisons, and for some good reason the Medical Center at Springfield would not be advisable, RR Qe ea io OB Ee etn ay eng Oe a On eae 40a the Chief Executive Officer of the institution is authorized to issue an order transferring custody of the prisoner to the U.S. Marshal in whose District the hospital is located. Since these transfers are frequently made hastily and for emergency reasons, the Mar- shal should be notified by telephone, at which time he will be advised regarding the degree of supervision the Warden believes is neces- sary. This information should be confirmed in a memorandum covering the transfer order when it is sent to the Marshal. When the in- ____ stitution is notified that the hospital is ready _ to discharge the patient, the Warden should issue another transfer order retransferring the patient from the Marshal to the institu- tion. Whenever in-patient care in a local hospital is considered advisable, and no emergency is in- volved, the advice of the Medical Director, Division of Health Services, will be obtained prior to issuance of the transfer authorization. Under these conditions, the Marshal is respon- sible for paying the costs of hospitalization and treatment. He is also responsible for provid- ing supervision if he determines this is needed. The institution should cooperate with the Marshal by providing supervision until the Marshal is able to arrange for such guards as may be needed. 4la The cover memorandum which accompanies the transfer order to the Marshal shall include the following paragraph: “Pursuant to authority delegated to me by the Director, Bureau of Prisons, this is your au- thority to accept custody of the above-named for commitment to the hospital indicated in the transfer order. By this memorandum, you are authorized to pay the hospital expenses. Please forward the usual jail record cards (Form DJ-100) showing commitment to and discharge from the hospital.” The Bureau copy of the cover memorandum should be marked for. the attention of the Medical Director, Division of Health Services, Bureau. , i. Volunteer Research Projects. Subject to cri- teria established by the Assistant Director, Correctional Programs Division in cooperation with the staff of each research facility, the Chief Executive Officer of the institution is authorized to issue orders for transfer to and return from such facility for participation in the research project. Any questions concern- ing suitability of a particular individual for any project should be referred to the Regional Case Management Branch. LO AOE POEL PILE YT SN + ae ee age De Fe ee ee 42a j. Community Centers (1) (2) The authority to effect transfers to and from Community Treatment Centers has been delegated to the Chief Executive Of- ficer of the institutions and centers in- volved. Transfer authority for directors of non-federal facilities is limited to plac- ing an offender in the custody of the near- est U.S. Marshal. Community Treatment Centers estab- lished to provide assistance to offenders who do not have independent resources and who would find it difficult to adjust in the community without the services of the Center. Priority consideration should be given to those individuals who lack a job, a place to live or the necessary self confi- dence to develop resources on their own. Community Centers are not intended to be used as a reward or solely as a means of returning an offender to the commu- nity earlier than the time established by the expiration of his sentence or a parole date. Therefore, transfers should only be approved when it is apparent that utili- zation of the Center’s resources might have a positive impact on an individual’s ability to avoid future illegal behavior. In addition, when reviewing a request for transfer to a Community Treatment Cen- 43a ter the following eligibility criteria should be followed: (a) Generally, individuals should be with- in six months of their release date. Plans for greater program duration should be ‘discussed with the CTC Director prior to transfer; (b) Generally, individuals who have been convicted of violations of financial trust or of an organized, sophisti- cated offense have little need for CTC programs. If there is reason to con- sider violation of financial trust, they may be approved by the Warden or Chief Executive Officer, but a special memorandum must be written for the file giving the rationale for ap- proval of the CTC placement. Indi- viduals who have been involved in organized, sophisticated offenses are to be referred to the Central Office for approval. (c) Those individuals convicted of, or charged with serious or repetitive crimes of violence against a person are generally excluced from CTC programs. If there is reason to con- sider such an individual, they may be approved by the Warden or Chief Executive Officer, but a special memo- ORES REPO Ia Se 44a randum must be written for the file giving ‘the rationale for approval of the CTC placement. Such clearance must be obtained prior to prelimi- nary contacts with the CTC. Any in- ' dividual in this category who has been granted parole by the United States Board of Parole, except to a detainer, does not need Central Office © Clearance. (3) Because of the limited capacity and unique nature of community centers, no transfer into a center shall be effective prior to receipt of advice from the Center Director that space is available. FJDA and YCA offenders will ordinarily not be transferred into a Center until the Youth Division of the United States Board of Parole has set a release date, or until the youthful offender is within 120 owe of his release. k. Misdemeanants, i.e., those offenders who have been convicted of offenses for which the maxi- mum penalty is one year or less, may not be ‘transferred to penitentiary-type institutions without first obtaining a waiver, Record Form No. 37. Having obtained a waiver, the gen- eral delegation of authority may be used as appropriate. ; 45a ]. Offenders committed to custody under the split sentence provisions of Title 18, U. S. Code, Section 3651, may not be transferred to penitentiaries: without prior approval of the Regional Case Management Branch. m. Separation Cases & Special Offenders. Whe: it becomes necessary to separate individuals due to codefendant animosity, cooperation with government officials, or to keep poten- tially serious escape risks apart or when the individual is a notorious offender because of the organized, sophisticated nature of the of- fense, or when the offense has received con- siderable publicity, their cases must be re- ferred to the Assistant Director, Correctional Programs Division for review and stamping with the notation “the inmate may not be transferred without prior Bureau approval per Policy Statement 7300.13C.” When the trans- fer of such an individual is considered neces- | sary, the transfer recommendation shall be re- ferred to the Population Control Section in the Central Office. Also, when the location of co- defendants is not known, inquiry should be made of this same office. n. All transfer recommendations for the concur- rent service of federal and state sentences shall be referred to the Regional Case Man- agement Branch, after it is determined that a state will accept the offender. (Except Cali- Va RO a I A FAIA TS 0. 46a fornia cases—refer directly to Terminal Is- land). All transfer recommendations for boarding federal offenders in non-federal correctional facilities, except residential community treat- ment centers, shall be referred to the Regional Case Management Branch. When a state placement has been approved, the referring in- stitution must forward to the state facility a copy of the Judgement and Commitment, sen- tence data with adjustments for extra or for- feited good time, and file material. A copy of the sentence data, (with instructions to place a detainer) with the above listed adjustments, shall also be forwarded to the U.S. Marshal in the district in which the state facility is located and to the Population Control Office in the Central Office. Offenders having detainers, and probable pend- ing charges, may be transferred under this delegation of authority to an institution for which they properiv classify. Ordinarily, per- sons in.this category should not be moved to an institution more distant from the detain- ing authority unless there is substantial reason to believe that the detainer will be dropped, or that the pending charge will not be prosecuted. Inmates who indicate an intention to oppose extradition should not be moved under this delegated authority into an institution within 4 — ET 47a the state responsible for placing the detainer. Such cases, and others in which there are legal and/or jurisdictional problems, should be re- ferred to the Regional Case Management Branch.. Also, Policy Statement 7500.14a should be reviewed concerning this type of transfer. . When consideration is being given to making a transfer which will place an offender in an institution for which the offender is not prop- erly classified under ordinary standards, or when an offender is being considered for trans- fer because he is a particularly difficult prob- lem, the Chief Executive Officer will send a copy of the progress report to the Chief Exec- utive Officer of the proposed receiving institu- tion for his comments and concurrence. — If they are not able to achieve agreement, the matter will be referred to the Regional Case Management Branch. Copies of institution correspondence about the case should be for- warded. . If a group disturbance occurs, it may be nec- essary to move some of the participants. After the Chief Executive Officer has made his deci- sions regarding transfer, he should thereafter confer with the Regional Director, who will contact the Assistant Director, Correctional Programs Division, regarding disposition of those inmates most seriously involved. This will insure that the Director is informed re- LEO MATE NSIS AY SERENE Pra: P SSE tS RR AALS LRA FS PN Ser ney ate tae Minne sate ee . es SAS ae er es HS 48a garding the. resolution of the incident, that overall needs of the Prison Service are taken into account, and that transportation is ar- ranged promptly. r. Relationship with Other Agencies (1) In transferring an offender. for release planning purposes, the impact of this ac- tion on the work of the U.S. Probation Officer must be taken into account. When there is reason to doubt regarding the offender’s claim to residence, and/or re- lease resources, at the proposed destina- tion, the approval of the receiving Proba- tion Officer will be received before issuing the transfer order. (2) The-rules of the United States Board of Parole require initial hearings for offend- ers committed under FJDA, YCA, or Sec- tion 4208(a) (2). Unless there is definite airlift or bus schedule information to show that the offender can be transferred and receive his initial hearing on as early a date as he would have at the transfer- ring institution, transfer should be de- ferred until the hearing is completed. Persons awaiting mandatory release or parole violator hearings should not be _moved until after the hearing has been completed. h Pa eine pitied RecN et aaiinenaasealia 49a The Board of Parole should be kept fully and promptly advised of transfer activity on persons awaiting parole decisions and on those who have been granted parole dates. Those scheduled for Parole Board or Youth Division hearings within 60 days should not be transferred until after the hearing is completed. Special circum- stances which might necessitate excep- tions to this rule should be cleared with the Board or Division ahead of time. (3) The Chief Executive Officer will assure himself that any complicating jurisdic- tional and legal problems are resolved be- fore transfer is accomplished. Thus, an offender who has legal action pending should not be transferred without prior consultation with the appropriate court. 7. PROCEDURES a. Ordinarily, a decision to transfer an offender should be made at initial classification, or at another regularly scheduled review, for which a complete progress report is prepared. Occa- sionally, transfer action will be necessary as a result of some unanticipated or emergency circumstance. At such time, a special progress yeport bringing the entire case up to date, should be prepared. Whenever a full progress report was prepared within 90 days of trans- BREE 1 OAS ATES ROSES ANY NS MOST RIS Pg Tata SEPT Pw ninmesieeitniiiemtetiint BER SOE RLAW LTP RTS LONE TIE TEL NB 50a fer consideration, a memorandum report, bringing the case up-to-date will suffice. . Each institution is authorized to duplicate blank transfer authorizations. An original and one copy of each order are necessary. (In- stitutions may wish to prepare an additional . copy for their own statistical purpose, but this is not required by this regulation.) A number of federal courts have held, in prosecutions for escape, that the Government must prove the legality of commitment by competent evidence. In order to have the requisite documentation readily available, the “Return of Service” will be executed on the original of the transfer . -jorder. Also, in all transfers to Community - Treatment Centers, federal or contract non- federal, and in all transfer to non-federal work-release facilities, each copy of the trans- fer order shall carry the typed notation “This - transfer is effected under the provisions of paragraph (c), Section 4208, Title 18, U.S.C.” Therefore, as a transfer movement begins, the original transfer order will be placed in an envelope stapled to the A/W control card and attached to the outside of the Messenger Enve- ‘lope (Std. Form 65) containing the complete inmate file. The officer who completes the transfer at final destination will execute the “Return of Service” on the original transfer order, and this will be filed with the commit- ment papers. Abaca ecg tel A gh can 6 alr IO BE ERNIE 5la One copy of the transfer order will be placed inside the central file folder upon departure along with the usual material which includes the rationale for transfer. This will serve as the file copy for the receiving institution. The Central Office has previously ‘required a copy of the transfer order for Bureau file. This will no. longer be necessary. Additionally, the 3” x5” card and a memo to the Assistant Director, Correctional Programs Division, will no longer be forwarded to the Central Office. ec. The reason for transfer, according to the fol- lowing code, should be shown on the original and each copy of the transfer order. It is rec- ognized that there may sometimes be overlap- ping reasons for the transfer. In such in- stances, please show the primary reason. With the exception of Code 290, all transfers must be referred to and accepted by the receiving institution. District of Columbia offenders are not to be transferred under Goede 290. Code 290 Institution Classification. (This reason is most appropriate for transfers made at initial classi- fication, and will usually involve transfer to an institution of a different type.) 291 Nearer Release. (This reason will be used when transfer is made to an institution nearer the offender’s release destination, either at time of initial classification or at a later date.) 292 Adjustment Purposes. (This reason will ordi- narily be used when the inmate is moved prim- Be a ea aad toe LEE NOLEN gt RS - , st pee re TG AL METAR EET 5:25 3+ - . . PLETE AMEE LEE LILES OER LE LEE ENE IS 52a Code arily for the: purpose of providing closer super- \ vision and controls, and is related to poor insti- \ tutional adjwstment). 293 Closer Custody. (This reason will be used when custody, in terms of escape, is the primary con- cern). 294 Medical Attemtion. (This includes persons moved for medical and psychiatric care, surgery, and narcotic addiiction). 295 Medical Treatment Completed. 297 Training Purposes. (Transfer made for partici- pation in a specific training program, as dental laboratory att Lewisburg, machine die and tool at El Reno, ettc.). 298 Work/Study Release. (When transfer is made specifically for participation in work-release pro- gram at receiving institution). 299 Community Centers. (All transfers into guidance centers or other community residential centers shall be coded here). 300 Temporary transfer to custody of U. S. Marshal or local authority. 301 To Relieve Overcrowding. 302 To Build Up Population. 304 Drug Abuse Program. (Non-Nara) 305 Other. * £ * * ® 53a APPENDIX D The Bureau of Prisons Policy Statement No. 7300.65, on Designation of Institutions for Confine- ment of Federal Prisoners, dated March 22, 1972, provides in relevant part: 1. PURPOSE. This statement establishes the guide- lines for the United States Marshal’s Service in designating appropriate institutions for individuals convicted of violating the laws of the United States. . 2. POLICY. The program of classification of pris- oners is based upon the following state- ment of policy established by Congress (18 U.S.C. 4081): “The Federal penal and correctional institutions shall be so planned and limited in size as to fa-. cilitate the development of an integrated system which will assure the proper classification and segregation of Federal prisoners according to the nature of the offenses committed, the character | and mental condition of the prisoners, and such other factors as should be considered in provid- ing an individualized system of discipline, care, and treatment of the persons committed to such institutions.” The statutes further provide that persons convicted of offenses against the United States shall be com- mitted, for such terms of imprisonment as the court may direct, to the custody of the Attorney General or 54a his authorized representative, who shall designate the place of confinement where sentence shall be served. The Attorney General may designate any available, suitable and appropriate institution, wheth- er maintained by the Federal Government or other- wise, or whether within or without the judicial dis- trict in which the person was convicted (18 U.S.C. 4082). * * * * = 4. PROCEDURE. Designation of institutions for the commitment of Federal pris- oners is made by the Director of the Bureau of Pris- ons under the authority delegated to him by the Attorney General. Specific institutions are designated for particular types of offenders. A. Juveniles: Robert F. Kennedy Youth Center, Morgantown, West Virginia B. Females: Federal Reformatory for Women, Alderson, West Virginia Federal Correctional Institution, Fort Worth, Texas Federal Correctional Institution, Terminal Island, California Robert F. Kennedy Youth Center, Morgantown, West Virginia C. Youth and Young Adult Males, sentenced un- der the Youth Corrections Act or sentenced under other statutory provisions, who lack previous commitments to adult reformatories or prisons and can reasonably be expected to 55a profit from educational, vocational and other rehabilitation facilities available: Federal Youth Center, Ashland, Kentucky Federal Reformatory, E] Reno, Oklahoma Federal Youth Center, Englewood, Colorado Federal Correctional Institution, Lompoc, California Federal Correctional Institution, Milan, Michigan Federal Reformatory, Petersburg, Virginia Federal Correctional Institution, Seagorville, Texas Federal Correctional Institution, Tallahas- see, Florida D. Males, who, because of age or previous criminal record, are unsuitable for youth institutions or reformatories, but who are not habitual or professional offenders and who still present prospects for rehabilitation through an inten- sive program of training: United States Penitentiary, Lewisburg, Pennsylvania United States Penitentiary, McNeil Island, Washington United States Penitentiary, Terre Haute, ~ Indiana E. Males with serious criminal records: United States Penitentiary, Atlanta, Geor- gia yh os 4 — Caps sso _— s EEE ERO REE CME LIGETI EMPL E IGN PED SG LIE ELGG” IRN L RAEI SSH ING ESET IE RGM 56a United States Penitentiary, Leavenworth, Kansas F. Males who are treatable, do not have a serious prior criminal record, require no more than medium custody facilities, and whose sen- tences may range from a few months to no more than five years: Federal Correctional Institution, Danbury, Connecticut Federal Correctional Institution, Fort Worth, \Texas Federal Correctional Institution, LaTuna, Texas : Federal Correctional Institution, Sandstone, Minnesota Federal Correctional Institution, Terminal Island, California Federal Correctional Institution, Texarkana, Texas G. Mules of minimum custody of trustworthy type in good physical condition with relatively short sentences : Federal Prison Camp, Allenwood, Pennsyl- vania Federal Prison Camp, Eglin Air Force Base, Florida Federal Prison Camp, Lompoc, California © Federal Prison Camp, McNeil Island, Cali- fornia 57a Federal Prison Camp, Montgomery, Ala- bama (Maxwell Air Force Base) : Federal Prison Camp, Marion, Illinois Federal Prison.Camp,.Safford, Arizona Federal Prison Camp, Springfield, Missouri H. Males awaiting trial or serving short jail sen- tences: : | | Federal Prison Camp, Florence, Arizona Federal Detention Headquarters, New York, New York I. Males who require specialized medical or psy- chiatric treatment which is not available in other Federal institutions: Medical Center for Federal Prisoners, Springfield, Missouri 5. CLASSIFICATION OF OFFENDERS. The types of Federal offenders, for purposes of the designa- tion charts, are classified as follows: A. Juvenile and Youth Offenders A-1. Juveniles include all persons (1) com- mitted under the Juvenile Delinquency Act (Title 18, U.S. Code, Section 5034), (2) all other committed persons who have not yet reached their eighteenth birthday. A-2. Youth offenders include all persons com- mitted under the Youth Corrections Act (Title 18, U.S. Code, Section 5010(b), 5010(c)). 58a A-3. All persons under 24 years of age who do not come within either A-1 or A-2 classifi- cation. Persons in this age group include those committed for observation and study under Title 18, U.S. Code, Section 5034 and 5010(e), and those under 24 years of age com- mitted under Title 18, U.S. Code, Section — 4208(b), Title II of NARA, Sections 4252 and 4253, and 4244 and 4246. B. Females B-1. Females with a term of less than 90 days to serve. 3 B-2. Females with a term of more than 90 days to serve. 3 B-3. Females committed for observation and study under Title 18, U.S. Code, Section 5010 : (e), 4208(b), 5034, 4244, 4246, and Title II y _ of NARA, Sections 4252 and 4253. C. Males—One year and one day sentence or less C-1. Males considered trustworthy, with no record of escape, no detainers (with the ex- ception of deportation), no record of sex crimes, and good physical condition. C-2. Males who do not qualify under C-1. D. Males—More than one year and one day sen- tence D-1. Males 24 years of age and over who are considered to be good prospects for rehabilita- EB LOSER IP ELLE EINE? ES IO LLAIE, 59a tion. Exclude men who have already served more than two terms longer than one year in adult institutions, and men with sentences longer than ten years. D-2. Males 24 years of age and over who do not qualify under D-1, but are still considered good prospects for rehabilitation. Initially they may be considered moderate security risks. D-3. Males considered habitual or profes- sional criminals. Also those considered serious escape risks and who require close contro] aad supervision. Ordinarily, this category will only include men age 30 and over. E. Selective Service Act Violators. Males who have violated the Selective Service Act Law. This includes those whose actions are not nec- essarily religiously motivated. 6. SPECIAL DESIGNATIONS. The following should be referred to the Bureau of Prisons for special designation. ** * * a A. All offenders committed under the Federal Juvenile Delinquency Act (Title 18, U.S. Code, Section 5034). | B. All persons committed for study and observa- tion (Title 18, U.S. Code, Sections 4208(b), 5010(e), 5034, and Title II of NARA, Sec- tions 4252 and 4253. 60a C, All serious medical and psychiatric problems. D. All commitments under Title 18, U.S. Code, Section 4244 and 4246. E. Offenders for whom the Court or the U:S. ‘Attorney have recommended a specific institu- tion. F. Offenders who should be separated from others ‘or for some other substantial reason should not be placed in the institution specified in the designation chart. Notorious or greatly publicized offenders. . Any person about whom there is doubt as to proper designation. I. All violators of post-release supervision, I.E., Parole Violators and Mandatory Release Vio- lators. (Notify U.S. Board of Parole, Adult Board or Youth Corrections Division, pursu- ant to the long standing instructions of the Board. ) When a special designation is requested, presentence reports should be forwarded to the Bureau of Pris- ons and/or the institution designated in accordance with the procedures established in the particular ju- dicial district. Special designations should be coordi- nated with the local probation office as to eliminate duplication in requesting special designation. * s oJ oJ * m 92 . eet CR NETL TE TNE SE DENT EO ITE LN TE ELE SA HDI GS GO ORAL 6la APPENDIX E The Bureau oz Prisons Policy Statement No. 7400.5C, on Inmate Discipline, dated October 4, 1974, provides in relevant part: 1. PURPOSE. This statement of policy is to as-- sure that inmate discipline and con- trol are fully consonant with the correctional ob- jectives of the institution, the focus being on (a) individual inmate adjustment to the programs, be- havior standards, and limitations necessarily im- posed by the administration; (b) the general welfare and safety of the institutional community; and, (c) the incorporation of due process standards for in- mate disciplinary hearings as prescribed by the Su- preme Court in Wolff v. McDonnell, USS. : 94 Ct. 2963, L.Ed 2d (1974). * *~ * * 3. ‘POLICY. It is the policy of the Federal Bureau ’ of Prisons to maintain an institu- tional climate in all of its facilities so that every inmate may complete his term of confinement with a minimum of corrosive effect and a maximum gain in his ability to more adequately maintain a successful community adjustment following release. In order that the majority of inmates might live in a safe and orderly environment, it is necessary that those ~ individuals whose behavior is in noncompliance with © . institution rules be brought to the attention of the appropriate authorities. a 2 SERN RISE RS SC Se A 62a Disciplinary action is but one factor in correctional treatment and control. There are other individualized correctional programs and goals that shall be given consideration by the administration. The objective of this approach is the future voluntary acceptance of institution regulations which are required for the general welfare of the institution community and serve as an aid to law-abiding behavior following release. 4. ACTION. A single Institution Discipline Com- mittee will be established in each Bureau of Prisons Institution. The Committee will be composed of at least three (3) members, of whom two (2) will be of department head level or above; the Chairman will be of the level of department head or above. This requirement as to the level of members will not apply to Community Treatment Centers or Camps. The Chief Executive Officer of each institution will delegate to the Institution Discipline Committee the authority to. order an inmate placed or retained in disciplinary segregation, to order the withholding or forfeiture of good time, and to order an inmate transferred for disciplinary reasons. The authority to impose sanctions other than disciplinary segrega- tion, withholding or forfeiture of good time and trans- fer for disciplinary reasons will be lodged in such “person or persons as the Chief Executive Officer may direct. Where the institution has a unit manage- ment system, the authority to impose these lesser 63a sanctions will be delegated to staff members in the inmate’s unit. Each institution having the need for facilities to house inmates separate from the general population will establish special housing units consisting of two types: Administrative Detention and Disciplinary Segregation. An inmate may be placed in Administrative Deten- tion where his attitude and conduct indicate that his continued presence in the general population poses a serious threat to life, property, himself, staff, other inmates or the security of the institution, and where the inmate: (a) Is pending a hearing for violation of in- stitution rules or regulations; (b) Is pending an investigation of a violation of institution rules or regulations; (c) Is pending investigation or trial for a crimi- nal act; (d) Requests admission to the administrative detention area for his own protection; or (e) Is in holdover status during transfer ; (f) Pending classification. An inmate may be placed in disciplinary segregation where His continued presence in the general popula- tion poses a serious threat to himself, staff, or other inmates or to the security of the institution and where the Institution Discipline Committee directs following a hearing conducted in accordance with — x " PPE OL Se ah Stes em oe oes VEER TELE ERD SPT SE RY ARR RN EER EY RICK STIR om 64a the limited due process requirements as outlined in paragraph 9 of this policy statement in which the inmate has been found to have committed a serious violation of institution rules or regulations. 5. GENERAL PRINCIPLES. The following gen- eral principles shali be applicable in every disciplinary action taken: (a) Disciplinary action shall be taken at such times and in such measures and degree as is necessary to regulate an inmate’s be- havior within acceptable limits; (b) Inmate behavior shall be controlled in a completely impartial and consistent manner; (c) Disciplinary action shall not be capricious, retaliatory, or for the purpose of revenge. (d) Corporal punishment of any kind is strictly prohibited. | (e) Accurate, detailed reports of disciplinary actions shall be maintained in accordance with the requirements of this policy state- ment. 6. INFORMATION TO INMATES. Each inmate is to be ad- vised in writing at the time of arrival at an in- stitution of: (a) His rights and responsibilities ; pera: (b) Acts prohibited in the institution; (c) The types of disciplinary action which may be taken; and 65a (d) The disciplinary system within the institu- tion. This information will be provided in booklet or pamphlet form as part of the admission orientation program. A signed receipt will be obtained from each inmate acknowledging that he has received a copy of the booklet or pamphlet. (e) Rights and Responsibilities RIGHTS You have the right to expect that as a human being you will be treated respectfully, impartially, and fairly by all personnel You have the right to be in- formed of the rules, proced- ures, and schedules concern- ing the operation of the in- stitution. You have the right to free- dom of religious affiliation, and voluntary religious wor- ship. You have the right to health care which includes nutri- tious meals, proper bedding and clothing, and.a laundry schedule for cleanliness of the same, an opportunity to shower regularly, proper ventilation for warmth and fresh air, a regular exercise period, toilet articles and medical and dental treat- ment. You have the right to visit and correspond with family members, and friends, and correspond with members of the news media in keeping with the facility rules and schedules. You also have a RESPONSIBILITIES . You have the responsibility to treat others, both em- ployees and inmates, in the same manner. . You have the responsibility to know and abide by them. 3. You have the responsibility to recognize and respect the rights of others in this re- gard. . It is your responsibility to not waste food, to follow the laundry and shower sched- ule, to maintain neat and clean living quarters, and to seek medical and dental care as you may need it. . It is your responsibility to conduct yourself properly during visits, to not accept or pass contraband, and to not violate the law through your correspondence. 10. * conviction, 66a RIGHTS right to uncensored and un- inspected out going corres- pondence with members of the news media through the Prisoners’ Mail Box System. Letters forwarded to the news media through PMB are subject to the regula- tions of that System. You have the right to un- restricted and confidential access to the courts by cor- respondence (on matters such as the legality of your civil pending criminal cases, and to conditions of your im- prisonment) . You have the right to legal counsel from an attorney of your choice by interviews and correspondence. You have the right to par- ticipate in the use of law library reference materials to assist you in resolving legal problems. You also have the right to receive help when it is available through a legal assistance program. You have the right to a wide range of reading material for educational purposes and for your own enjoyment. These materials may include magazines and newspapers sent from the publishers. You have the right to par- ticipate in education, voca- tional training, and employ- ment as far as_ resources are available, and in keeping with your interests, needs, and abilities. matters,- 10. RESPONSIBILITIES You have the responsibility to present honestly and fair- ly your petitions, questions, and problems to the court. It is your responsibility to use the services of an at- torney honestly and fairly. It is your responsibility to use these resources in keep- ing with the precedures and schedule prescribed and to respect the rights of other inmates to the use of the material. It is your responsibility to seek and utilize such mater- ials for your personal bene- fit, without depriving others of their equal rights to the use of this material. You have the responsibility to take advantage of activi- ties which may help you live a successful and law abiding life within the institution and in the community. You will be expected to abide by the regulations governing the use of such activities. Sewer . one 2 67a (f) Prohibited Acts in Federal Penal and Cor- rectional Institutions 001_~~=s Killing 002 #£Assaulting any person 003. Fighting with another person 004 Threatening another with bodily harm, or with any offense against his person or his property 005 Extortion, blackmail, protection: demanding or re- ceiving money or any thing of value in ~return for pro- tection against others, to avoid bodily harm, or under threat of informing 051 Engaging in sexual acts with others 052 Making sexual proposals or threats to another 053. ~=Indecent exposure 101 Escape 102 Attempting or planning escape 103. Wearing a disguise or mask 151 Setting a fire 152 Destroying, altering, or damaging government prop- erty, or the property of another person 153. = Stealing (theft) 154. Tampering with or blocking any locking device 155 Adulteration of any food or drink 201 Possession or introduction of an explosive or any ammunition 202 Possession or introduction of a gun, firearm, weapon, sharpened instrument, knife, or unauthorized tool 203 Possession, introduction, or use of any narcotics, nar- cotic paraphernalia, drugs, or intoxicants not pre- scribed for the individual by the medical staff 204 Misuse of authorized medication 205 Possession of money or currency, unless specifically authorized 206 Possession of property belonging to another person 207 Loaning of property or anything of —_ for profit or increased return i a 2:2 SRE IN CI IE NR UR METH nce yy . EL ee ¥ Se SP eS Sei REPS a Ten a A ? 5 ESS : APR te 208 209 210 211 251 252 253 254 255 256 257 301 302 303 304 305 306 351 401 402 451 452 453 501 502 551 552 553 554 68a Possession of any thing not authorized for retention or receipt by the inmate, and not issued to him through regular institutional channels Possessing any officer’s or staff clothing Possessing unauthorized clothing Mutilating or altering clothing issued by the govern- ment . Rioting Encouraging others to riot Engaging in, or encouraging, a group demonstration Refusing to work, or to accept a program assignment Encouraging others to refuse to work or participate ° in work stoppage Refusing to obey an order of any staff member Violating a condition of furlough Unexcused absence from work, or any assignment Malingering, feigning an illness Failing to perform work as instructed by a supervisor Insolence towards a staff member Lying or providing a false statement to a staff member Conduct which disrupts or interferes with the security or orderly running of the institution Counterfeiting, forging, or unauthorized sroduction of any document, article or identification, , secur- ity, or official paper Participating in an unauthorized meeting or gathering Being in an unauthorized area Failure to follow safety or sanitation regulations Using any equipment or machinery which is not spe- cifically authorized Using any equipment or machinery contrary to instruc- tions or posted safety standards Failing to stand count Interfering with the taking of count Making intoxicants Being intoxicated Smoking where prohibited Using abusive or obscene language 7 ~ _— 69a 601 Gambling 602 Preparing or conducting a gambling pool 603 Possession of gambling paraphernalia , 651 Being unsanitary or untidy: failing to keep one’s per- son and one’s quarters in accordance with posted standards 652 Tattooing or self-mutilation 701 Unauthorized use of mail or telephone 702 Unauthorized contacts with the public 703 Correspondence or conduct with a visitor in violation of posted regulations 751 Giving or offering any official or staff member a bribe, or any thing of value 752 Giving money or any thing of value to, or accepting money or any thing of value from; another inmate, a member of his family, or his friend 801 Attempting to commit any of the above offenses, aid- ing another person to commit any of the above offenses, and making plans to commit any of the above offenses shall be considered the same as a commission of the offense itself 7. INCIDENT REPORT AND INVESTIGATION. (a) Incident Report: Informal resolution of in- cidents involving violations of institution rules or regulations is encouraged. How- ever, where an employee witnesses or has a reasonable belief that a violation of in- stitution rules or regulations has been com- mitted by an inmate, and where the em- ployee deems that informal resolution of the incident is unwarranted, the employee shall prepare an incident report and forward it to the appropriate correctional supervisor. The appropriate correctional supervisor may in- meee sie ad a ae eat) 70a ; : x formally dispose of the incident report or forward the incident report for further dis- position consistent with this policy state- ment. The reporting employee should complete Part 1 of the incident report immediately. The incident is to be one of the Prohibited Acts listed in paragraph 6(f) of this policy statement. The entire language of the Pro- hibited Act(s) does not have to be copied. Only the relevant portion need be used. For example, “Destroying Government Property, Code No. 152,” “Possessing narcotics, Code No. 801” would be acceptable listing for ap- propriate charges. The description of the incident should con- tain the details of the activity which is being reported. All facets about therincident which are known by the employee should be re- corded. If there is anything unusual about the inmate’s behavior, this should be noted. The reporting employee should also list any staff or inmate witnesses to the incident, and the disposition of any physical evidence _ (weapons, property, and etc.) which the employee may have personally handled. -The-— reporting employee will sign the report and indicate his title in the appropriate. blocks. » The incident report should then be forward- ed to the appropriate correctional supervisor for disposition. Tla (b) Investigation: The investigation should be , EAS INE BLT OY AP Ee eM tN CRE BOR RIIEIE SS OLE trsapenacnnentn conducted within 24 hours of appointment of the investigator, unless circumstances be- yond the control of the investigator inter- vene. The investigating officer should or- dinarily be an employee of supervisory level and may not be the employee reporting the particular incident in question. Where it appears likely that the incident may be, the subject of a criminal prosecution, investiga- tion should be suspended and the inmate . should not be questioned until the FBI interviews have been completed. (See Policy Statement 2200.1.) Ordinarily, an inmate will be given a copy of the incident report by the investigating officer at the beginning of the investigation. If the investigation is delayed for any rea- son, any employee may deliver the charges to the inmate. The date and time the in- mate receives a copy of the Incident Re- port will be noted. This should~be done within eight (8) hours from the time the investigator received his assignment, unless there are exceptional circumstances which prevent it. The investigator should also read the charges to the inmate and obtain his _ statement concerning’ the incident, except as provided above. Comment about the in- mate’s attitude may be included here. ~ Fa EY) 72a The investigator should then thoroughly in- vestigate the incident. He should ta’k to witnesses, and summarize their statements. _ The disposition of evidence should, be re- corded. Often, he will want to talk to the reporting employee to obtain his report first hand and ‘to clarify any questions the in- vestigator may have. All steps and actions taken should be recorded on the incident report. Under Comments and Conclusions, the in- vestigator may include his comments on the inmate’s prior record and behavior, his analysis of, any conflicts between witnesses, and his conclusions of what in fact hap- pened. The inmate does not receive a copy of the investigation. However, should the case ultimately be forwarded to the Institu- tion Discipline Committee, the investigation | should be given to the inmate’s staff rep- resentative for use in presentation on the inmate’s behalf. ; 8. MINOR DISPOSITIONS. The Chief Executive : , Officer of each insti- tution shall delegate: to such persons he selects the ‘ authority to impose minor dispositions and sanctions ‘for violations’ of institution rules or regulations. Where the institution has a unit management sys- tem, the authority to impose minor dispositions and sanctions shall be delegated ‘to staff members of an 73a inmate’s unit. Minor dispositions and sanctions ave those actions imposed for violation of institution rules or regulations other than segregation, withholding or forfeiture of good time, and transfer for discipli- nary reasons. While the process by which minor dispositions are imposed is left to the discretion of the Chief Executive Officer of each institution, the following minimum standards will apply threzghout the Bureau of Prisons: (a) Each inmate charged with violating an in- gtitution rule or regulation shall be given a written copy of the charge or charges against him within 24 hours of the infrac- tion. (b) Each inmate so charged will be entitled to a hearing held within 48 hours (excluding weekends and holidays) of the incident to consider the charge brought against him. (c) The inmate will be entitled to be present -at the hearing except during deliberations of the decision maker and where institutional security would be jeopardized. The reasons for excluding an inmate from the hearing must be well documented in the record. (d) The inmate-will be afforded the opportunity to make a statement and‘to present docu- mentary evidence in hf$ own behalf. (e) The inmate will be given a written copy of the decision and disposition. Review of any action taken as a minor disposition will be OL LSE SE ELSE IIR GIES” BL BILON L OS TERN Ty BE pm peer gc ago 1 ar 74a pursuant to the Administrative Remedy | Procedure, Policy Statement 2001.6A. (f) Where an alleged violation of institution ‘rules or regulations warrants consideration for other than minor sanction, the charge may be referred to the Institution Disci- pline Committee for hearing and disposition. Copies of all relevant documents should be forwarded to the Chairman of the Institu- tion Discipline Committee with a brief statement of reasons for the referral along with any recommendation for appropriate disposition should the inmate be found to have committed the act charged. (g) When charges are to be referred to the In- stitution Discipline Committee, the inmate shall be advised of the rights afforded at a hearing before the Instiution Discipline Committee. He shall be asked to indicate his choice of staff representative and the names of any witnesses he wishes to be called to testify on his behalf at the hearing. (A sample form that may be used for this pur- pose is attached to this policy statement. Time limits imposed in -this section may be extended for good cause. ) (h) Where the person or persons delegated the ~authority to impose minor dispositions de- termines that the inmate is innocent of com- mitting any prohibited act, the inmate’s file : . i ERT LETS NS NNER AE TT, © EERE TOMES SE eer i 75a shall be expunged of the incident report lodged against him. 9. INSTITUTION DISCIPLINE COMMITTEL. (a) Composition: The Chief Executive Officer may appoint as many members to the In- stitution Discipline Committee as he deems appropriate. No fewer than three members, including the Chairman, must be present at , any hearing to constitute a quorum. The ’ Chairman and no less than one member present at the hearing will be of the depart- ment head level or higher. The third mem- ber of the Committee need not be of depart- ment head level. For the purposes of this section, “department head” includes acting ‘ department head. This requirement as to the level of staff members and Chairman will not apply to Community Treatment Centers or Camps. In order to insure im- partiality, a staff member may not sit as a member of the Institution Discipline Com- mittee if he reported or investigated the in- cident of rules infraction being considered. Ordinarily a staff member witnessing an in- cident under consideration should not sit as a member of the Institution Discipline Com- ‘mittee. However, a staff member witness- ing an incident may sit as a,member of the Institution Discipline Committee where the incident is so widely witnessed that vir- (b) (c) ee 76a tually every staff member has witnessed it in whole or part. Likewise, a staff member may not sit as a member of the Institution Discipline Committee if he played any signi- ficant part in having the charges referred to the Institution Discipline Commie for consideration. The Chief Executive Officer should appoint members to this Committee who are broadly representative of the pri- mary areas of institutional administration and who are fully knowledgeable of the re- . quirements of this policy statement and of the functions of Inmate Discipline. Functions: The Institution Discipline Com- mittee shall conduct hearings, make find- ings, and may impose appropriate sanctions on incidents of inmate misconduct referred to it for disposition in accordance with the due process standard as listed below. While this Committee may impose any lesser sanc- tions available, only this Committee will have the authority to order: (1) an inmate placed in disciplinary segregation, (2) an inmate’s good time withheld or forfeited, or (3) an inmate transferred to another in- stitution for disciplinary reasons. This Com- mittee will also conduct reviews of inmates placed in disciplinary segregation in ac- cordance with requirements listed below. . Procedural Requirements: An inmate mdy not be placed in disciplinary segregation, or ? LEST IT EP SME <2 RG 77a have his good time withheld or forfeited, or be transferred to another institution for dis- ciplinary reasons unless there has been a fact-finding hearing before the Institution ' Discipline Committee in which the following procedures have been satisfied: (1) An inmate will be given advance writ- (2) ten notice of the charge(s) against him no less than 24 hours before his ap- pearance before the Institution Disci- pline Committee. An inmate may waive in writing this 24 hour notice require- ment. An inmate will be provided the service of a full-time staff member to repre- sent him at the hearing before the In- stitution Discipline Committee should he so desire. The Chairman shall ar- range for the presence of a selected staff representative. If the staff mem- ber selected declines or is unavail- able because of absence from the in- stitution, the inmate should be given the options of selecting another repre- sentative, or in the case of an absent staff member, of waiting a reasonable period for his return, or continuing the hearing without a staff representative. A staff representative should be given adequate time to speak with the inmate and interview requested witnesses where appropriate. While it is expected that (3) 78a a staff member will have had ample time to prepare prior to the hearing, delays in the hearing to allow for adequate preparation may be ordered by the Chairman of the Institution Discipline Committee. An inmate will be permitted to have witnesses called and to present docu- ments in his behalf, provided the call- ing of witnesses or the disclosure of documentary evidence would not jeopar- dize or threaten institutional security. The Chairman will call those witnesses he deems reasonably available and nec- essary for an appreciation of the cir- cumstances surrounding the charge. Repetitive witnesses need not be called. Unavailable witnesses may be asked to submit written statements. Reasons for declining to call requested witnesses will be documented in the Committee’s report. Witnesses requested by the in- mate who are called should be ques- tioned by his staff representative or where staff representation has been waived, by members of the Committee. Inmates who have waived the services of a staff representative may submit questions for requested witnesses in writing to the Committee. (4) (5) 79a The Institution Discipline Committee will prepare a record of its proceedings which need not be verbatim. This record must be sufficient to document the ad- visement of inmate rights, the Com- mittee’s findings, the Committee’s de- cision, the specific evidence relied on by the Committee, and a brief statement of the reasons for the sanctions imposed. The evidence relied upon for the decis- ion and the reasons for the dctions taken should be set out in specific terms unless doing so would jeopardize in- stitutional security. (A sample form that may be used to advise an inmate of his rights at. an Institution Dis- cipline Committee hearing is attached to this policy statement. ) An inmate will be permitted. to be\pres- ent throughout the Institution Disci- pline Committee hearing except during deliberations of the Committee and ex- cept where institutional security would be jeopardized. The reasons for ex- cluding an inmate from the hearing must be well documented in the record. A hearing may be conducted in the al ab- sence of an inmate where the. inmate refuses to appear and he can not be brought to the hearing without the use of force. When an inmate escapes from 80a custody, the Institution Discipline Com- mittee will conduct a hearing in the in- mate’s absence at the institution from which the escape occurred. When an inmate who has had sanctions imposed (such as loss of good time) while ab- sent from custody, returns to custody, he will be advised of his right to have the escape charge brought before the Institution Discipline Committee ai the institution where he returned to cus- tody. All the procedural requirements of Institution Discipline Committee hearings will apply to this rehearing ex- cept written statements of witnesses not readily available may be liberally used instead of live witnesses. The Institution Discipline Committee, upon rehearing, may dismiss the charge, or may modify but may not increase the sanctions previously imposed in the in- mate’s absence. (d) Dispositions: of the Institution Discipline Committee: The Institution Discipline Com- mittee shall have available a broad range of sanctions and dispositions. These disposi- tions and sanctions will include the follow- ing: The Institution Discipline Committee may (1) (2) (3) (4) Cnr, 8la Dismiss any charge(s) before it where appropriate and shall order the record of charges expunged where the inmate has been determined innocent of the charge(s). Impose sanctions and dispositions avail- able to the person or persons designated to impose minor dispositions. Direct that an inmate be placed or re- tained in disciplinary segregation pur- suant to guidelines contained in this policy statement. Direct that an inmate’s good time be withheld. Withholding of good time should be limited to misconduct or of- fenses; it should not be applied as a universal punishment to all persons in disciplinary segregation status. With- holding shall be limited to the good time creditable for the single month during which the violation occurs. (Some of- fenses, such as refusal to work at an assignment, may be recurring, and thus may permit consecutive withholding ac- tions.) Withheld good time may be con- sidered for restoration at any time. Direct that an inmate’s good time be forfeited. The good time available for. forfeiture is limited to an amount com- puted by multiplying the number of months served at the time of the offense 82a - for which forfeiture action is taken, by the applicable monthly rate specified in 18 United States Code, Section 4161 7 (less any previous forfeiture or with- holding outstanding), plus extra good time which may have been earned to the date of the offense. All or part of an inmate’s accumulated good time may be forfeited. Authority to restore all types of forfeited and withheld good time is delegated to the Institution Discipline Committee of each institu- tion. Forfeited good time may be con- sidered for restoration at any time. (6) Direct that an inmate be transferred to another institution for disciplinary reasons. Where a present or impend- ing emergency requires immediate ac- tion, an inmate may be transferred prior to an Institution Discipline Com- mittee hearing. However, a hearing before the Institution Discipline Com- mittee at the receiving institution must be conducted as soon.as practicable un- der the circumstances to consider the factual basis of the charge of miscon- duct and the reasons for the emer- gency transfer. Transfers for discipli- nary reasons prior to a hearing before the Institution Discipline Committee are to be used only in emergency situations PS LE OOO REEL OIE, ELLE LIES MELLEL PEEL ELE BEI ILE BO IOS PEERLESS: (e) and only with the approval of the re- ceiving Regional Director. However, when an inmate is transferred under these circumstances, the sending institu- tion will forward copies of incident re- ports with completed investigation to the receiving institution for purposes of the hearing before the receiving in- stitution’s Institution Discipline Com- mittee. All procedural requirements ap- plicable to Institution Discipline Com- mittee hearings contained in paragraph 9(c) of this policy statement will be utilized, except written statements of unavailable witnesses may be liberally accepted instead of live testimony. (7) Suspend the execution of any sanction it imposes. Criminal Prosecutions: Where an inmate’s misconduct may also be the subject: of a criminal prosecution, it is not necessary to await the outcome of the criminal trial before taking the disciplinary action, es- pecially if there is reason to believe there will be a long delay before the trial is held. An inmate under investigation of the FBI or other law enforcement officers for an offense committed in the institution may not be questioned about the charge until the FBI interviews are completed. An inmate who is the subject of criminal prosecution for £42 cape 84a institutional violations will not be trans- ferred from the jurisdiction of the trial court without the consent of the appropriate United States Attorney or the Court in which the trial is pending. 10. APPEALS FROM INSTITUTION DISCI- PLINEE COMMITTEE ACTIONS. At the time the cipline Committee gives an inm ic¢ of its de- cision, the Committee will also advise theAnmate that he may appeal the Committee’s decision to the Chief Executive Officer. Appeals must be filed no later than thirty (30) days after notice of the decision. This time limit may be extended for good cause shown. An inmate wishing to appeal any disciplinary action imposed as a result of a hearing before the Institu- tion Discipline Committee must use the procedures and forms provided for by Policy Statement 2001.6A (Administrative Remedy of Complaints Initiated by Offenders in Bureau of Prisons Facilities). The Chief Executive Officer may approve, modify, or re- verse any disciplinary action of the Institution Dis- cipline Committee as he deems appropriate. This authority may not be delegated. The Chief Execu- tive Officer may not increase the amount of forfeiture imposed. An inmate may appeal an adverse decision of the Chief Executive Officer through the appeal proce- dures contained in Policy Statement 2001.6A to the appropriate Regional Director. Appeals to the Re- 85a gional Dir [Text truncated at 120,000 characters. The full text is on the page linked above.] --- Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/brief%3Amicro_IA40386414_0442%3A6. Public record. Not legal advice.