DISCIPLINARY REPORTS & HEARINGS GUIDELINES January 15, 2012

DISCIPLINARY REPORTS & HEARINGS GUIDELINES

January 15, 2012

Objectives:

You should be able to: Describe the disciplinary process steps

and timeframes for each step. Conduct a disciplinary investigation. Effectively manage and control a

disciplinary hearing. Make a fair decision and apply

appropriate sanctions following a disciplinary hearing.

Clearly deliver disciplinary decisions and take the actions required to allow the decision to be implemented.

Disciplinary Process Policies

DJJ 16.3, Cooling Off DJJ 16.4, Pre-Hearing Confinement DJJ 16.5, Disciplinary Reports and

Hearings DJJ 16.6, Services in Confinement

Informal Resolution

Whenever possible, staff will attempt to resolve behaviors of concern without the filing of a formal disciplinary report.

Youth will be held accountable through the behavior management system, which is designed to promote the development of self-control and to teach and encourage positive behavior and interaction with others. (See DJJ 16.1, Youth Behavior Management)

Nuisance behaviors should be dealt with informally with counseling and the use of the behavior management system. As a last resort, the disciplinary process may be used.

The disciplinary process may be initiated if a youth is unresponsive to an informal resolution, continues the behavior after repeated correction, or the seriousness of the infraction warrants a formal report.

Cooling Off

Used as an alternative to the disciplinary process

Give the youth an opportunity to explain his/her behavior BEFORE using cooling off

Cooling off ends as soon as the youth demonstrates compliance or 60 minutes, whichever comes FIRST

During the school day, AEPM must be used to deal with behaviors of concern. Cooling off can only be used when the youth poses a threat to safety/security

Cooling Off

Sleeping Room / Holding Cell:

Only as last resort Requires 15

minute room checks

Requires documentation on Cooling Off Form

Other Location: Does not require

15 minute room checks

May be documented as required by facility Director

Rule Violations

See DJJ 16.5, Attachment B – Rule Violations Grid

Only the rule violations listed on the grid can be used when writing a Disciplinary Report

Room confinement can not be used for the rule violations highlighted in yellow

Tip: The Rule Violations Grid should be in a place where staff have easy access

Disciplinary Report (DR) See DJJ 16.5, Attachment C – Disciplinary

Report One DR is completed for each incident – no

need for a separate DR for each youth when multiple youth are involved. (Example: 2 youth are fighting. Staff will complete 1 DR and list both youth. Both youth will sign the same DR. There will be one investigation. There will be 2 hearings – one for each youth.)

Check on the DR if each was sent to pre-hearing confinement.

Tip: DR is in Word format and can be typed into. The fields match the fields on the SIR. You can type the information into the SIR and then copy/paste that information into the DR.

Disciplinary Report (DR)

Shift Supervisor must read and sign the DR by the end of the shift as indication that the report is complete

DR must completely summarize what happened and support the rule violation indicated on the form

DR must have the correct rule violation listed – Pay attention to the definitions of the rule violations !!

Youth must be provided a copy of the DR within 24 hours

Pre-Hearing Confinement


The non-punitive, protective security measure taken with a youth who has allegedly violated a rule and is an imminent threat to others or the security of the facility.

Is the youth eligible for pre-hearing confinement? Imminent threat to safety/security - AND Other strategies are not appropriate because of

the seriousness of the rule violation and/or threat

Youth must not be placed in pre-hearing confinement for any rule violation where room confinement is not authorized. (See Slide #36 for rule violations where confinement is never to be authorized)


Approval: Director or ADO Within 1 hour of placement Approval is only valid for 24 hours

Renewal: Director or ADO Every 24 hours Requires face to face contact with youth Shift supervisor may release from PHC at any

time PHC will not be extended beyond 72 hours.


Documentation: Confinement Checks Form

Due Process: Youth must have an outstanding

Disciplinary Report filed within 24 hours of being placed in PHC

Investigation must begin within 24 hours Hearing must be held within 72 hours

Investigating the Disciplinary Report

DR Investigation

Investigator: Impartial staff person who did not file the DR, sign

the DR, or witness the infraction Behavioral health staff, medical staff and the

Debriefing Facilitator can not be used as DR investigators

Timeframe: Investigation must begin as soon as possible

following the filing of the DR, but always within 24 hours

Youth not in pre-hearing confinement - Investigation must be completed within 72 hours

Youth in pre-hearing confinement – Investigation must be started within 24 hours

DR Investigation

Documentation: See DJJ 16.5, Attachment D – Investigation

Summary Report Answer questions 1 through 10 with a clear

and complete explanation. Describe any physical evidence and its bearing on the case.

Do not indicate “See ____________” Question #11 – Make a recommendation

regarding the disciplinary hearing and indicate the reason for your recommendation

Attach staff and youth witness statementsTip: You can type your findings directly into the

document.

Disciplinary Hearing


Hearing Officer: Impartial staff person who did not file the

DR, sign the DR, or witness the infraction Behavioral health staff, health care staff

and the Debriefing Facilitator can not be used as DR investigators

Timeframe: Youth not in pre-hearing confinement -

Hearing must be held within 7 days Youth in pre-hearing confinement – Hearing

must be held within 72 hours


Location: Location must provide for a private

hearing Location must have seating for staff and

youth involved in the hearing Can only be done with the youth in a

locked room when there is substantial evidence and clear documentation that the youth is or could be an imminent threat


The youth has the right to … A fair and impartial hearing Notice of the alleged rule violation within

24 hours of the infraction or its discovery 24 hours notice of the hearing date, time,

and place Be present for the hearing Present evidence at the hearing Request witnesses on his/her behalf Question witnesses, as long as it does not

jeopardize their safety Appeal the findings of the hearing officer


Should the DR be dismissed?The DR must be dismissed when … Youth was not provided a copy of the DR within 24 hours of the

infraction or its discovery; Investigation was not completed within 72 hours, excluding

weekends and holidays (or started within 24 hours if youth was in pre-hearing confinement);

A staff person involved in the incident completed the investigation;

A staff person required to sign the DR completed the investigation;

The disciplinary hearing was not completed within 7 calendar days (or 72 hours if youth was in pre-hearing confinement);

Required staff did not sign the DR within the required timeframes;

All required documentation is not attached, including staff and youth statements; or

The rule violation indicated is not supported by the narrative description.


Does the youth need an advocate?An advocate must be assigned when… Youth requests a specific staff person to act

as his/her advocate Youth is on the mental health caseload –

the mental health case manager will act as the advocate

Youth is unable to understand the hearing because of a disability – hearing officer will appoint an advocate


What does the advocate do? Meet with the youth at least 4 hours prior

to the hearing Discuss with the youth what the alleged

rule violation was and what may happen during the hearing

Make a recommendation to the hearing officer regarding the hearing

Document his/her recommendations on the Hearing Form (See DJJ 16.5, Attachment G)

Scheduling the Disciplinary Hearing The hearing must be scheduled within 7

calendar days of the DR being written For youth in pre-hearing confinement, the

hearing must be held within 72 hours of the DR being written

Youth must notified of the time and place of the hearing at least 24 hours in advance.

If the hearing is postponed more than 4 hours beyond the time indicated in the notice, the youth must be provided a new notice of at least 24 hours. (Hearing must still occur within the required timeframe.)

Conducting the Disciplinary Hearing See DJJ 16.5, Attachment F – Conducting the Hearing

Step #1: Introduction of Participants Introduce all youth and staff

Step #2: Explain Purpose “The purpose of this disciplinary hearing is to

determine if there is probable cause to believe that you violated a rule of the facility when you allegedly (rule violation). The results of this hearing may cause you to be placed (or continued) in confinement. If you admit to the charges, you may be placed (or continued) in confinement.

Check youth’s understanding. If he/she claims to not understand or does not appear to understand, assign an advocate and re-schedule the hearing.

Conducting the Disciplinary HearingStep #3: Explain all of the youth’s rights to

him/her You have the right to a fair and impartial

hearing You have the right to be represented by any

staff member of your choice. If that staff member is unavailable, I will appoint another staff member to represent you.

You have the right to receive notice of the date, time, and purpose of the hearing no later than 24 hours prior to the hearing.

Conducting the Disciplinary HearingStep #3: Explain all of the youth’s rights to

him/her You have the right to a fair and impartial

hearing You have the right to be represented by any

staff member of your choice. If that staff member is unavailable, I will appoint another staff member to represent you.

You have the right to receive notice of the date, time, and purpose of the hearing no later than 24 hours prior to the hearing.

Conducting the Disciplinary Hearing You have the right to speak on your behalf,

present any relevant witnesses who may speak for you and to produce any documentary evidence.

You have the right to confront and question people who give information against you.

You have the right to remain silent. You do not have to admit to anything. If you do not want to speak, it can not and will not be held against you.

Do you understand these rights? If at any point you do not understand what is

happening, you should tell me so I can try to explain it.

Conducting the Disciplinary HearingStep #4: Review documents (DR) with

youth You have been accused of “__rule

violation__” on “__date__” Show the DR to the youth – He/she

should have already received a copy What do you have to say about this?

Conducting the Disciplinary HearingStep #5: Allow youth to respond to

charges Do you have any witnesses that you

would like to call on your behalf? Do you have any evidence that you

would like to present at this time? Tell me your side of the story. Do you admit or deny that you “__rule

violation__”?

Conducting the Disciplinary HearingStep #6: Determine if probable cause

exists Are the facts and circumstances

presented about the case of a reasonably trustworthy nature?

Would the known facts and circumstances about the case lead a reasonable person to believe that the youth committed the rule violation?

Conducting the Disciplinary HearingNo probable cause … (youth found not

guilty) Return youth to general population Mark “not guilty” on hearing form File documents

Conducting the Disciplinary HearingProbable cause is found … (youth found

guilty) Explain to youth why you found him/her

guilty – what evidence led you to believe that he/she committed the rule violation

Review previous history of rule violations with youth

Conducting the Disciplinary Hearing

When determining a sanction, consider … Youth’s age Youth’s mental condition Youth’s prior history of misconduct Other extenuating circumstances Severity of the offense The agreement portion of the Debriefing

Conversation Guide may be considered by the disciplinary hearing officer only when considering an appropriate sanction for a rule violation that the youth has already been found guilty of.


Authorized Sanctions Room confinement up to 120 hours (other than for specific offenses) – may be

served on weekend Credit for pre-hearing confinement time served Verbal reprimand Coaching Reduction of positive behavior points Up to 7 days of non-purchasing status on behavior modification program Extra chores limited to a 4 hour period over a one week period Up to 7 day loss of work duty privileges Restriction from a specific activity Referral to facility case manager for review/update of Positive Behavior Strategies Behavior Management/Closed Unit Referral, if all other criteria are met Up to 7 days of early bed (the youth must remain out of the room for 14 hours per

day) Counseling session with staff/youth affected by rule violation Writing assignments Referral to a specialized group Filing of formal legal charges in court (requires notice to the Director of Legal

Services).


Room confinement can NEVER be used for … Property violations Nuisance contraband Refusal to obey Altering appearance Horseplay Harassment Gang-related gestures, signs, writings Lying / willful deceit Disrespect / profanity Exchanging food Littering


Confinement over 72 hours but less than 120 (incl. time in pre-hearing)

Requires the approval of the designated mental health authority and Director of the Office of Behavioral Health Services, in consultation with the Director and Director’s supervisor

The request must be made at least 12 hours prior to expiration

All required approvals must be issued in writing prior to the confinement being extended over 72 hours

Conducting the Disciplinary HearingConfinement over 72 hours but less than

120 (incl. time in pre-hearing) Requires the approval of the facility

Director All required approvals must be issued in

writing prior to the confinement being extended over 72 hours


Confinement over 120 hours (incl. time in pre-hearing)

Requires the approval of the Deputy Commissioner, of Youth Services and the Director of the Office of Behavioral Health Services, in consultation with the Regional Behavioral Health Services Administrator, Designated Mental Health Authority, Director, and Director’s supervisor.

The request must be made at least 12 hours prior to expiration using the Request for Extended Confinement/Removal from Programming Form

All required approvals must be issued in writing prior to the confinement being extended over 120 hours

Approval must be re-issued every 24 hours


Probating a Sanction Any sanction may be probated for up to 30

days Further rule violations with a guilty finding will

result in the probated sanctions being imposed along with any possible sanctions for the new offense. (Any room confinement over 72 hours requires approval.)

At the end of 30 days, the probation will be discontinued and the sanction may no longer be imposed.

The probated sanction will be indicated on the youth’s Positive Behavior Strategies.

Conducting the Disciplinary Hearing The facility Director or designee will

review all disciplinary hearings and dispositions.

Sanctions resulting in room confinement will be reviewed and approved by the facility Director or designee prior to imposition.

Documenting the Disciplinary Hearing See DJJ 16.5, Attachment G – Hearing Form Indicate hearing date/time and DR # at the top Staff advocate to complete “Advocate” section, or

mark “No Staff Advocate”. List each rule violation separately, including the

youth’s plea, your finding, and the sanction. Justify the reason for your findings in the

“Justification” section – Why did you find the youth guilty or not guilty? What evidence supported your findings?

Complete “Youth Notification” section. Sign the form. If there is ANY guilty finding, send a copy of the

form to the facility case manager (counselor). Give a copy of the form to the youth Route the form to the Director.

Appeals

See DJJ 16.5, Attachment H – Appeal Form Youth has the right to file an appeal to the

Director or designee within 15 days of the hearing

Director or designee must respond within 3 working days

Sanction will be carried out while the appeal is pending

Any reversal of the decision will result in the information about the hearing being removed from the youth’s record

Services in Confinement

Administrative Visits in ConfinementService: The shift supervisor will have a face to face

encounter with all youth in confinement at the beginning of 1st and 2nd shifts (including holidays and weekends).

Documentation: Confinement Checks Form When a youth’s status changes from pre-

hearing confinement to disciplinary confinement, the status change will be documented on the Confinement Checks Form and a new form will not be initiated.

Medical Services in ConfinementService: RN to visit youth face to face every day

Documentation: Confinement Checks Form JTS progress note

Education Services in ConfinementService: Certified teacher to visit youth face to face 2

times every school day to deliver, explain and monitor lessons

Youth provided with writing utensil to complete work, unless there is a safety/security concern

Documentation: Confinement Checks Form JTS Progress Note

Counseling Services in ConfinementService: Counselor to visit youth face to face every

school day


The local operating procedure will specify the level of staff to provide confinement visits and may include staff other than the case managers who have been specifically trained to provide these visits. The local operating procedure must be approved by the facility Director and the respective Division.

Behavioral Health Services in Confinement

Service: Behavioral Health Staff to visit youth face

to face every day


The local operating procedure will specify the level of staff to provide confinement visits and may include staff other than behavioral health staff who have been specifically trained to provide these visits. The local operating procedure must be approved by the Regional Behavioral Health Services Administrator, Designated Mental Health Authority, Regional Health Services Administrator, Designated Health Authority, and facility Director.

Non-30 Bed Facilities

A qualified mental health professional (QMHP) (including SSP, TPS, SSC, Psychologists or PSSW) will conduct the daily behavioral health services checks on all youth in confinement. A case manager with mental health training can conduct the daily behavioral health services checks on youth in confinement in accordance with facility local operating procedure. In the case of a vacancy or extended leave (i.e. sick, training) of a QMHP, a Registered Nurse with mental health training may conduct the daily behavioral health services checks on youth in confinement. The local operating procedure for this coverage must be approved by the Regional Health Services Administrator and Regional Behavioral Health Services Administrator.

A QMHP may conduct daily counseling services checks on youth in confinement in accordance with facility local operating procedures.

30 Bed Facilities

A QMHP (including SSP, Psychologists or PSSW) will conduct the

daily behavioral health services checks on youth in confinement. A case manager with mental health training can conduct the daily behavioral health services checks on youth in confinement in accordance with facility local operating procedure. A Registered Nurse with mental health training may conduct the daily behavioral health services checks on youth in confinement as part of a rotation of eligible staff. In the case of a vacancy or extended leave (i.e. sick, training) of a QMHP, a Registered Nurse with mental health training may conduct the daily behavioral health services checks on youth in confinement. The local operating procedure for this coverage must be approved by the Regional Health Services Administrator (RHSA) and Regional Behavioral Health Services Administrator (RBHSA).

A QMHP may conduct daily counseling services checks on youth in confinement in accordance with facility local operating procedures.

Recreation Services in ConfinementService: Large muscle exercise outside of the

room for one hour every day Leisure activities in room for one

hour every day

Documentation: Confinement Checks Form

Other Services in Confinement Same as the general population – food

services, mail, etc. Youth in confinement must be afforded

the same basic rights and responsibilities as other youth

Documents

DISCIPLINARY REPORTS & HEARINGS GUIDELINES January 15, 2012