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
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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
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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
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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
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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)
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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)
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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
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)
Pre-Hearing Confinement
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.
Pre-Hearing Confinement
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 statements
Tip: You can type your findings directly into the document.
Disciplinary Hearing
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
Disciplinary Hearing
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
Disciplinary Hearing
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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
Disciplinary Hearing
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.
Disciplinary Hearing
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
Disciplinary Hearing
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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
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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
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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 Hearing
Step #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
Step #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
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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 Hearing
Step #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 Hearing
Step #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 Hearing
Step #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 Hearing
No probable cause … (youth found not guilty)
 Return youth to general population
 Mark “not guilty” on hearing form
 File documents
Conducting the Disciplinary Hearing
Probable 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
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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.
Conducting the Disciplinary Hearing
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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).
Conducting the Disciplinary Hearing
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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
Conducting the Disciplinary Hearing
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 Hearing
Confinement 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
Conducting the Disciplinary Hearing
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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
Conducting the Disciplinary Hearing
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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
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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
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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
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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 Confinement
Service:
 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 Confinement
Service:
 RN to visit youth face to face every day
Documentation:
 Confinement Checks Form
 JTS progress note
Education Services in Confinement
Service:
 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 Confinement
Service:
 Counselor to visit youth face to face every school day
Documentation:
 Confinement Checks Form
 JTS progress note
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
Documentation:
 Confinement Checks Form
 JTS progress note
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
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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
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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 Confinement
Service:
 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
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Same as the general population – food services,
mail, etc.
Youth in confinement must be afforded the same
basic rights and responsibilities as other youth