BOP Program Statement 5217.02 § 3

a. Referral. When considering designation criteria, inmates from lower security institutions

will be considered for designation to a higher security facility prior to recommending placement

to a SMU. The referring institution will take into consideration any current medical

assessment/treatment prior to recommending that a referral be made. If an inmate appears to

satisfy any of the referral criteria above, the Unit Team may present a redesignation referral to the

Warden. The referral packet consists of a completed Request for Transfer/Application of

Management Variable (EMS-A409), copies of pertinent Special Investigative Supervisor reports

and incident reports, a Diagnostic and Care Level Formulation from Psychology Services, a

medical evaluation, and a cover memorandum to the Warden summarizing the rationale for

referral for SMU designation. If the Warden approves the referral, it is submitted to the Regional

Director. The packet may be submitted electronically at all stages. The Unit Team will be

notified if the Warden denies the referral.

b. Hearing. If the Regional Director determines that sufficient evidence exists to convene a

hearing, a copy of the referral is sent to the Psychology Services Branch. Psychology Services

reviews the inmate’s mental health record to determine if there are mental health concerns that

would preclude an inmate from being placed in a SMU. Please see the Program Statement

Treatment and Care of Inmates with Mental Illness, when considering to place inmates with

a serious mental health illness in the SMU. If there is no evidence to preclude a hearing, the

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Regional Director appoints a Hearing Administrator to conduct a hearing into whether the inmate

meets the criteria for SMU designation. The Hearing Administrator will be trained and certified

as a Discipline Hearing Officer, will be an impartial decision-maker, and will not be personally

involved as a witness or victim in any relevant disciplinary action involving that inmate.

The Warden is notified of the Regional Director’s decision to conduct a hearing before the inmate

is provided pre-hearing notice. The inmate’s security needs will be assessed and staff made

aware of any additional security precautions.

(1) Pre-Hearing Notice. The Hearing Administrator completes form BP-A0935, Notice to

Inmate: Hearing Referral for Designation to a Special Management Unit, and sends it to the

inmate’s current institution. Unit team staff provide the inmate with a copy of the Notice at least

24 hours before the hearing, and document delivery to the inmate. If the inmate is illiterate, the

delivering staff member will read the notice verbatim. If the inmate does not speak English, the

Unit Team staff make arrangements to provide translation.

The Notice will:

■ Advise the inmate of the date and time of the hearing.

■ Advise the inmate of the opportunity to appear at the hearing.

■ Provide a sufficiently detailed explanation of the reasons for the referral. Such explanation

will not include information that would jeopardize the safety, security, or orderly operation of

correctional facilities, or protection of the public.

■ Inform the inmate that a non-probationary staff member will be available to help him/her

compile documentary evidence and written witness statements to present at the hearing. The

assisting staff member’s responsibility in this role is limited to assisting the inmate in

obtaining copies of documents needed, for example, from his/her central file or other

reasonably available source(s), or a written statement(s) from other reasonably available

inmates or staff.

Inmate Appearance and Evidence. The inmate has the opportunity to appear at the hearing,

make an oral statement, and present documentary evidence and written witness statements, except

where contrary to the safety, security, or orderly operation of Bureau facilities, or protection of the

public. The Hearing Administrator, after consultation with staff at the facility where the inmate is

housed, will determine whether the inmate appears at the hearing via videoconference, telephone

conference, or in person. The Warden or designee determines the location of the hearing.

c. Post-Hearing Findings and Decision. The Hearing Administrator considers whether, based

on information obtained during the referral process and presented at the hearing, the inmate

meets the criteria for the SMU program. The Hearing Administrator prepares form BP-A0936,

Hearing Administrator’s Report on Referral for Designation to a Special Management Unit, and

provides it to the Regional Director. The Report provides a detailed explanation of the reasons

for the Hearing Administrator’s findings, but does not include information that would jeopardize

the safety, security, or orderly operation of correctional facilities, or protection of the public.

The Regional Director considers whether, based on the Hearing Administrator’s findings, the

SMU referral is necessary to ensure the safety, security, or orderly operation of Bureau facilities,

or protection of the public. The Regional Director includes a recommendation on the Report and

forwards it to the Designation and Sentence Computation Center (DSCC).

When considering inmates for designation to the SMU, appropriate DSCC staff involved in the

designation process review the inmate’s CIM assignment to ensure inmates who are separatees

pursuant to the Program Statement Central Inmate Monitoring Manual are not designated to

the same SMU without written concurrence of the Central Office. The DSCC then reviews the

Report and, after consulting with the Assistant Director, Correctional Programs Division,

indicates whether SMU referral is approved. If SMU referral is approved, the DSCC selects the

SMU that best meets the inmate’s greater management needs, and enters the approval on the

CMC Clearance Data Sheet. The DSCC forwards the decision to the receiving Regional

Director and Warden, with copies to the referring Regional Director and Warden. If SMU

referral is denied, the DSCC should consider a secondary referral code/rationale provided in the

referral − greater security, adjustment purposes, etc.

d. Post-Decision Notice and Appeal. The inmate’s copy of the completed Report is sent to the

referring Warden, who ensures delivery to the inmate. The Report advises the inmate of the

opportunity to appeal the decision and the Hearing Administrator’s findings through the

Administrative Remedy Program, directly to the Office of General Counsel.

An inmate’s appeal of the decision or the Hearing Administrator’s findings does not delay

designation and transfer to a SMU. Designation and transfer are effected; the inmate may

proceed with the appeal while housed in the SMU.

e. Mental Health Removal. An inmate in SMU may be removed if it becomes clear the

inmate’s mental health does not reasonably allow him/her to complete the program. The

recommendation is forwarded to the Administrator, Psychology Services Branch, Central Office.

If approved, the Psychology Administrator notifies the Warden (refer to the Program Statement

Treatment and Care of Inmates With Mental Illness).

f. Inmates in Disciplinary Segregation. When an inmate serving a sanction of disciplinary

segregation is designated to a SMU, the referring Regional Director may:

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■ Direct that the inmate complete the disciplinary segregation period at the current institution;

or

■ Request that the inmate complete the disciplinary segregation period at the receiving

institution before transfer into the SMU.