Chapter 5 – Adult Custody and Security Operations

It is the policy of the California Department of Corrections and Rehabilitation’s (CDCRCalifornia Department of Corrections and Rehabilitation), Division of Adult Institutions (DAIDivision of Adult Institutions (formerly Institutions Division)), to accomplish custodial and correctional functions with minimal reliance on the use of force. Employees may use reasonable force as required in the performance of their duties, but shall not use unnecessary or excessive force. Staff may, at any point, determine the situation can be resolved without the use of force and terminate the use of force process.

This policy, in conjunction with related procedures and training, defines staff responsibilities and requirements concerning the use of force.

This policy will assist staff in identifying when and how much force is appropriate under different circumstances, ensure that supervision, monitoring, and evaluation of the use of force is consistent with procedures and training, and ensure the investigation of possible unnecessary or excessive use of force. Staff found culpable of violations of the Use of Force Policy will be subject to disciplinary (preventive, corrective, or adverse action) procedures.

The purpose of this Article is to outline DAIDivision of Adult Institutions (formerly Institutions Division)’s procedures pertaining to the use of force, as set forth in CCRCalifornia Code of Regulations, Title 15, Section 3268.

It is the responsibility of all employees to understand and comply with the Use of Force policy, related procedures, ongoing training, and applicable law.

It is the responsibility of each Institution Head:

• To ensure that all employees receive appropriate training annually and understand the Use of Force policy and procedures, including both the application of force and subsequent reporting and documentation requirements.

• To record and track all training and discipline related to the use of force.

The following shall define language usage in this Article:

• Reasonable Force

  • Reasonable force is the force that an objective, trained, and competent correctional employee faced with similar facts and circumstances, would consider necessary and reasonable to subdue an attacker, overcome resistance, effect custody, or gain compliance with a lawful order.

• Unnecessary Force

  • Unnecessary force is the use of force when none is required or appropriate.

• Excessive Force

  • Excessive force is the use of more force than is objectively reasonable to accomplish a lawful purpose.

• Immediate Use of Force

  • Immediate use of force is the force used to respond without delay to a situation or circumstance that constitutes an imminent threat to institution/facility security or the safety of persons. Employees may use immediate force without prior authorization from a higher official.

  • Immediate force may be necessary to subdue an attacker, overcome resistance or effect custody.

  • If it is necessary to use force solely to gain compliance with a lawful order, controlled force shall be used.

• Imminent Threat

  • An imminent threat is any situation or circumstance that jeopardizes the safety of persons or compromises the security of the institution, requiring immediate action to stop the threat. Some examples include, but are not limited to: an attempt to escape, on-going physical harm or active physical resistance.

• Controlled Use of Force

  • A controlled use of force is the force used in an institution/facility setting, when an inmate’s presence or conduct poses a threat to safety or security and the inmate is located in an area that can be controlled or isolated. These situations do not normally involve the imminent threat to loss of life or imminent threat to institution security. All controlled use of force situations requires the authorization and the presence of a First or Second Level Manager during business hours. During non-business hours, the on-site manager shall be the Administrative Officer of the Day (AODAdministrative Officer of the Day) who is responsible for the authorization of any controlled use of force and whose presence is required during any controlled use of force. Staff shall make every effort to identify disabilities, to include mental health issues, and note any accommodations that may need to be considered.

• Non-conventional Force

  • Non-conventional Force is force that utilizes techniques or instruments that are not specifically authorized in policy, procedures, or training. Depending on the circumstances, non-conventional force can be necessary and reasonable; it can also be unnecessary or excessive.

• Non-deadly Force

  • Non-deadly force is any use of force that is not likely to result in death.

• Deadly Force

  • Deadly force is any use of force that is likely to result in death. Any discharge of a firearm other than the lawful discharge during weapons qualifications, firearms training, or other legal recreational use of a firearm, is deadly force.

• Great Bodily Injury (GBI)

  • Great bodily injury is any bodily injury that creates a substantial risk of death.

• Serious Bodily Injury

  • Serious bodily injury means a serious impairment of physical condition, including, but not limited to the following:

    • Loss of consciousness;

    • Concussion;

    • Bone fracture;

    • Protracted loss or impairment of function of any bodily member or organ;

    • A wound requiring extensive suturing; and

    • Serious disfigurement.

• Response Supervisor

  • The Response Supervisor is the first line supervisor in an institution/facility responsible for the area where an incident occurs. When responding to or observing an incident involving the use of force, the response supervisor shall assume control of the responders and direct the tactics used to stop the threat. Additionally, the response supervisor shall assess the appropriateness/effectiveness of the force options being deployed, ensuring compliance with policy and training.

• Responding Supervisor

  • The Responding Supervisor is the first line supervisor responsible for the employee involved in an incident.

• Incident Commander

  • The Incident Commander is the second line supervisor in an institution/facility responsible for the area where an incident occurs or an allegation of excessive or unnecessary force is received.

• First Level Manager

  • A First Level Manager in an institution/facility is a Captain, or the AODAdministrative Officer of the Day.

• First Line Manager

  • A First Line Manager is a Parole Administrator, District Administrator, Special Agent-In-Charge, or a Senior Special Agent.

• Second Level Manager

  • A Second Level Manager in an institution/facility is an Associate Warden.

• Second Line Manager

  • A Second Line Manager is a Deputy Regional Parole Administrator or Chief.

• Institution Head

  • The Institution Head is a Warden or designee.

• Institutional Executive Review Committee (IERC)

  • The IERC is a committee of institution staff chaired by the respective Institution Head tasked with reviewing all uses of force and every allegation of excessive or unnecessary force. The IERC is the final institutional level of review.

• Department Executive Review Committee (DERC)

  • The DERC is a committee of staff selected by, and including, the Associate Director who oversees the respective institution/facility Mission-based group. The DERC has oversight responsibility and final review authority over the IERC. The DERC shall review every use of deadly force and every serious bodily injury, great bodily injury or death that could have been caused by a staff use of force. The DERC shall also review those incidents referred to the DERC by the IERC Chairperson or otherwise requested by the DERC. The DERC shall conduct all reviews within sixty (60) days of completion by the IERC.

• Deadly Force Investigation Teams (DFIT)

  • DFIT is a team of trained department investigators that shall conduct criminal and administrative investigations into every use of deadly force and every death or great bodily injury that could have been caused by a staff use of force, except the lawful discharge of a firearm during weapons qualifications or firearms training, or other legal recreational uses of a firearm. Based on certain local Memoranda of Understanding, criminal investigations may instead be conducted by an outside police department or sheriff’s office. Although defined as deadly force DFIT need not investigate the discharge of a warning shot inside an institution/facility if an Investigative Services Unit Sergeant or above, or an uninvolved Correctional Lieutenant, confirms that the discharge of deadly force was a warning shot and that no injuries were caused by the shot. All warning shots shall be reported to the Office of Internal Affairs/DFIT and the Office of the Inspector General (OIGOffice of the Inspector General).

• Deadly Force Review Board (DFRB)

  • The DFRB conducts a full and complete review of all incidents involving a use of deadly force (except warning shots) and every death or great bodily injury that could have been caused by a staff use of force, regardless of whether the incident occurs in an institutional or community setting.

• Joint Use Committee (JUC)

  • The JUC is a committee of field staff from the DAIDivision of Adult Institutions (formerly Institutions Division) tasked with reviewing and evaluating recommended revisions to the Division’s Use of Force Policy and Procedures.

• Holding Cells

  • All holding cells shall be located within buildings or sheltered areas. A holding cell shall not be used as a means of punishment, housing or long-term placement. If clothing is taken from an inmate when they are placed in a holding cell, alternate clothing shall immediately be provided unless security concerns preclude issuance.

It is the expectation that staff evaluate the totality of circumstances involved in any given situation, to include consideration of an inmate’s demeanor, bizarre behavior, mental health status if known, medical concerns, as well as ability to understand and/or comply with orders, in an effort to determine the best course of action and tactics to resolve the situation. Whenever possible, verbal persuasion should be attempted in an effort to mitigate the need for force. The type of verbal persuasion will vary dependent upon the inmate’s ability to understand. If time permits, verbal orders should be issued prior to resorting to force and are required to be provided before controlled force is used. The unresisted searching or escorting of an inmate/parolee and the unresisted application of authorized restraint equipment is not a use of force. Use of Force options do not have to be utilized in any particular sequence, but should be the force option staff reasonably believes is sufficient. Each force option has specific qualities that should be considered when choosing which option to deploy, including but not limited to: range of effectiveness, level of potential injury, staff safety, deployment methodology, level of threat presented, distance between staff and inmate, number of staff and inmates involved and the inmate’s ability to understand. When responding to or observing an incident involving the use of force, the response supervisor shall assume control of the responders and direct the tactics used to stop the threat. Additionally, the response supervisor shall assess the appropriateness/effectiveness of the force options being deployed ensuring compliance with policy and training. Use of force options include but are not limited to:

• Chemical agents: Provides staff the ability to use force while maintaining distance.

• Hand-held batons: The baton is normally issued to custodial staff assigned to positions with direct inmate contact. The baton should not be carried in the extended position unless it is being utilized for the protection of the inmate and/or staff. In controlled use of force, the baton is intended for the defense of staff and to assist in gaining control of the inmate.

• Physical strength and holds: Any deliberate physical contact, using any part of the body to overcome conscious resistance, is considered physical force. A choke hold or any other physical restraint which prevents the person from swallowing or breathing shall not be used unless the use of deadly force would be authorized.

• Less-lethal weapons: A less lethal weapon is any weapon that is not likely to cause death. A 37mm or 40mm launcher and any other weapon used to fire less-lethal projectiles is a less lethal weapon.

• Lethal weapons: A firearm is a lethal weapon because it is used to fire lethal projectiles. A lethal weapon is any weapon that is likely to result in death.

The unresisted application of authorized restraint equipment is not a use of force. When mechanical restraint is required, handcuffs, alone or attached to a waist chain, will be the means of restraint normally used. However, additional mechanical restraints, including leg restraints, additional chains, leather cuffs, or other specialized restraint equipment may be used when the circumstances indicate the need for the level of control that such devices will provide. Restrained inmates shall never be left unsupervised.

Use of mechanical restraints on persons confirmed, or suspected by health care staff to be pregnant shall be subject to the following requirements found in California Code of Regulations (CCRCalifornia Code of Regulations) Title 15 Sections 3268.2 (d) and (e):

• No leg restraints or waist chains shall be applied.

• If handcuffs are applied, the person’s arms shall be brought to the front of her body for application.

Mechanical restraints shall not be placed on an inmate during labor, including during transport to a hospital, during delivery, and while in recovery after giving birth, unless circumstances exist that require the immediate application of mechanical restraints to avoid the imminent threat of death, escape, or great bodily injury. In this case, mechanical restraints may be used only for the period during which such threat exists.

The following state-issued restraints and equipment are authorized for use at the discretion of on-duty staff:

• Handcuffs

• Waist Chain

• Leg Restraints

• Escort Chains

• Padlocks

• Security Chain

• Spit Hood

• Martin Chain

The following restraints may be used as specified below:

• Safety Triangle: This device is a handcuff retention device, used to prevent inmates from pulling restraint equipment into their cell and may be used at the discretion of on duty staff. Some reasons for using the safety triangle include, but are not limited to: rehousing an irate inmate who has threatened violence or an inmate who was just involved in a use of force incident. The safety triangle may remain attached to the handcuffs if the inmate is being relocated in the housing unit and if attaching and detaching the safety triangle to and from the handcuffs presents a safety concern. The safety triangle is not intended to control the inmate outside of the cell. The officer controlling the safety triangle must be vigilant and efforts should be directed to prevent the inmate from pulling their hands inside the cell while the door is being closed.

• In the event that an inmate who is attached to a triangle refuses to place their hands in the food/security port to allow the handcuffs to be removed, it may be necessary to pull the safety triangle to retrieve the handcuffs. When it is necessary to pull the safety triangle, a single staff member shall slowly move away from the door while holding onto the safety triangle, in order to bring the inmate’s hands through the port.  This will be conducted with extreme caution in order to minimize the risk of injury to the inmate.  Additional staff may be needed to assist with the safety triangle in the event that the one staff member is insufficient to get the inmate’s hands through the food port. Once the inmate’s hands, wrists, and forearms are through the port, staff will grasp the inmate’s forearms, the tension on the safety triangle shall be released, and the handcuffs removed.

• Prior to using a safety triangle on an inmate confirmed or suspected by health care staff to be pregnant, a physician must be consulted and any potential risks fully discussed.

• The final decision to place the device on the pregnant inmate will rest with the Warden or Chief Deputy Warden (CDW) and the reviewing physician. The consultation and its outcome must be documented for inclusion in the inmate’s health record and central file.

• Leather Restraints: Leather restraints are used for four/five point restraint in a Correctional Treatment Center, General Acute Care Hospital, or community hospital. Authorization for application of four/five point restraints shall only be given by health care staff in accordance with California Code of Regulations, Title 22, Section 79801 Clinical Restraint, Treatment Restraint, and Clinical Seclusion, and the Mental Health Program Services Delivery System Program Guide, Chapter 10, Suicide Prevention and Response.   Use of restraint equipment at the direction of medical staff shall be fully documented in the inmate’s health record.

• Hand Isolation Devices (HID): These devices (e.g., hand restraint mitt/mittens, etc.) are used as an additional measure to restrict an inmate’s ability to use his/her hands. HIDs may be used upon initial placement on Contraband Surveillance Watch (CSW) at an institution when requested and authorized as specified in DOMDepartment Operations Manual Section 52050.23.4, Mechanical Restraints. Only HIDs purchased from an approved vendor shall be used. Inmates in HIDs must have constant and direct visual supervision at all times. When it is deemed necessary by on duty staff to implement the use of a HID subsequent to the initial placement on CSW, a CDC Form 128-B, General Chrono, will be completed stating a specific safety and security concern associated with the individual inmate, and included with the CSW documentation. The subsequent approval shall be at the level of Lieutenant or above, and approved at the level of Captain or above during business hours, or by the institution AODAdministrative Officer of the Day during nonbusiness hours. The CDC Form 128-B will include: the date of implementation, reason or justification for implementation of the device, and staff requesting and approving the HID implementation. Prior to placing a HID on an inmate confirmed, or suspected by health care staff to be pregnant, a physician must be consulted and any potential risks fully discussed. The final decision to place the device on the pregnant inmate will rest with the Warden or CDW and the reviewing physician. The consultation and its outcome must be documented for inclusion in the inmate’s health care record and central file. Equipment Hygiene – HIDs must be maintained per the manufacturer’s specifications, and only clean HIDs are to be used. Should a HID become contaminated or soiled, a clean HID will be provided as soon as it is safe to do so.

Mechanical restraint equipment shall not be used in any manner described in CCRCalifornia Code of Regulations, Title 15, Section 3268.2(c), Use of Restraints. The use of restraint equipment not identified in this section must be preapproved at the level of Associate Director or higher. As part of the mechanical restraint maintenance process, restraints shall be routinely cleaned and sanitized to adhere to an acceptable equipment hygiene standard.

Inmates who have a disability that prevents standard search methods or application of restraint equipment in the prescribed manner shall be afforded reasonable accommodation under the direction of the Response Supervisor. Mechanical restraints shall be applied to ensure effective application while reasonably accommodating the inmate’s disability.

The CDCRCalifornia Department of Corrections and Rehabilitation recognizes the sanctity of human life. Therefore, deadly force will only be used when it is reasonably necessary to:

• Defend the employee or other persons from an imminent threat of death or great bodily injury.

• Prevent an escape from custody.

• Stop acts such as riots or arson that constitute an immediate jeopardy to institutional security and, because of the magnitude, are likely to result in escapes, great bodily injury, or the death of other persons.

• Dispose of seriously injured or dangerous animals when no other disposition is practical. (CDCRCalifornia Department of Corrections and Rehabilitation operates facilities that maintain livestock or are situated in remote areas, therefore CDCRCalifornia Department of Corrections and Rehabilitation recognizes this need.)

A firearm shall not be discharged if there is a reason to believe that persons other than the intended target will be injured.

In facilities contracted to house CDCRCalifornia Department of Corrections and Rehabilitation inmates outside of California, the use of deadly force shall only be applied in accordance with applicable law in the state where the facility is located.

A warning shot discharged from a lethal weapon is deadly force. Firearms may be discharged as a warning only in the safe area of an institutional/facility setting, and only when the use of deadly force is warranted.

Non-deadly force will only be used when reasonably necessary to:

• Subdue an attacker.

• Overcome resistance.

• Effect custody, or to

• Gain compliance with a lawful order.

When force is used, a medical evaluation shall be provided as soon as practical.

Employees may use force in circumstances that require immediate action in response to an imminent threat, or in circumstances that require a controlled use of force. Any application of force, whether immediate or controlled, must be reasonable and in accord with the applicable standards for deadly or non-deadly force.

When time and circumstances do not permit advanced planning, staffing and organization, and an imminent threat exists to institution/facility security or safety of persons, immediate force may be used.

If time and resources allow, an immediate use of force should be video recorded. If an immediate use of force is recorded, the recording shall be submitted into evidence.

If an immediate use of force is captured on security cameras (i.e. yard or visiting cameras), those recordings shall be placed into evidence.

When immediate force is necessary due to an imminent threat, for inmates confined in their cells, Oleoresin Capsicum (OC) is the preferred option for carrying out the immediate use of force. Whenever possible, a verbal warning shall be given before force is used.

Unit staff discovering an in-cell assault shall sound an alarm and order the inmates to stop fighting. If the inmates continue to fight or one inmate continues to assault the other, staff are authorized to use chemical agents to stop the incident.

The cell door should not be opened until sufficient staff is present to evaluate the situation. At least two officers shall be present, prior to the door being opened.

The on-scene staff may use their discretion to order the opening of the cell without both inmates restrained in handcuffs. This discretion would apply in the event of incapacitating injuries, illness, or overriding security concerns.

Should the use of chemical agents fail to stop the incident, the supervisor shall order the assembly of a controlled use of force team and immediate physical force may be used to extract the inmates from the cell. While the team is being formed, at least one staff member shall remain at the cell to continue observation of the incident for documentation purposes.

If during routine duties, correctional officers encounter an inmate who refuses to allow staff to close and lock the food/security port:

The officer shall verbally order the inmate to relinquish control of the food port and allow staff to secure it.

If the inmate relinquishes control of the food/security port, it will be secured.

In the event the inmate does not relinquish control of the food port, the officer shall back away from the cell and contact and advise the custody supervisor of the situation. Controlled force may be initiated in accordance with DOMDepartment Operations Manual Section 51020.12, while custody staff continues to monitor the inmate.

When force is necessary but does not involve an imminent threat to subdue an attacker, effect custody or to overcome resistance, the force shall be controlled.

The controlled Use of Force involves advance planning, staffing and organization. A controlled use of force requires authorization and the presence of a First or Second Level Manager, or an AODAdministrative Officer of the Day (on-site manager) during non-business hours. The on-site manager is ultimately responsible for the controlled use of force incident. The Incident Commander shall supervise the controlled use of force process. The Response Supervisor shall direct the controlled use of force team.

Once a situation exists that may result in a controlled use of force, a custody staff member shall remain at the location to monitor the inmate and continue to attempt to gain compliance from the inmate through attempts at verbal persuasion until the controlled use of force team arrives and the staff member is relieved by the Incident Commander to resume their regular duties. The custody staff member will be positioned as close as possible to the affected location, without jeopardizing their own safety.

All controlled uses of force shall be preceded by a cool down period to allow the inmate an opportunity to comply with custody staff orders. The cool down period shall include clinical intervention (attempts to verbally counsel and persuade the inmate to voluntarily exit the area) by a licensed mental health practitioner and may include similar attempts by custody staff if authorized by the on-site manager. This intervention shall take place for all inmates and is not limited to participants in the Mental Health Services Delivery System.

During the cool down period:

• Licensed Nursing Staff (LNS) (i.e., Registered Nurse (RNRegistered Nurse), Licensed Vocational Nurse, and Psychiatric Technician) shall review the inmate’s health record for medical conditions which put the inmate at increased risk for adverse outcome from the use of chemical agents and or physical force. In addition the LNS shall review the health record for any known disabilities that will require accommodation during the controlled use of force. For inmates housed in an inpatient setting the Inpatient RNRegistered Nurse shall conduct the review. For all other inmates the review shall be conducted by the Triage and Treatment Area RNRegistered Nurse.

• If the licensed mental health practitioner is not the treating clinician, they shall review the inmate’s health record to determine if the inmate has any previous or current mental health issues. The licensed mental health practitioner shall use that information along with information gained during the clinical intervention to advise the on-site manager of any mental health issues that impact the inmate’s ability to understand orders, make it difficult for the inmate to comply with orders, or could lead to a substantial risk of decompensation.

If it is determined the inmate does not have the ability to understand orders, chemical agents shall not be used without authorization from the Warden, Chief Deputy Warden or AODAdministrative Officer of the Day. Any decision to proceed with the use of chemical agents shall be documented, along with the details of the underlying reasons to proceed, and the outcome. When serious circumstances exist, calling for extreme measures to protect staff or inmates, (i.e., the inmate may be armed with a deadly weapon) the Warden, Chief Deputy Warden or AODAdministrative Officer of the Day may authorize use of chemical agents when the inmate does not have the ability to understand orders.

If it is determined an inmate has the ability to understand orders but has difficulty complying due to mental health issues, or when a licensed mental health practitioner believes the inmate’s mental health issues are such that the controlled use of force could lead to a substantial risk of decompensation, a licensed mental health practitioner shall propose reasonable strategies to employ in an effort to gain compliance. Some strategies to consider may include, but are not limited to: verbal persuasion, positive behavior modification, and/or other de-escalation/intervention techniques by the licensed mental health practitioner, or engaging additional clinicians that have an established rapport with the inmate. If the efforts are not successful, it may be necessary for the controlled use of force to proceed. Chemical agents shall not be used without authorization from the Warden, Chief Deputy Warden (or AODAdministrative Officer of the Day during non-business hours).

The cool down period may also include use of other available resources/options such as dialogue via religious leaders, correctional counselors, correctional officers and other custody and non-custody staff that have an established rapport with the inmate. The on-site manager and licensed mental health practitioner shall collaborate on efforts to be made during the cool down period. The length of the cool down period can vary depending upon the circumstances, but should be allowed to continue until all reasonable interventions have been attempted, or an imminent threat exists.

When the on-site manager and licensed mental health practitioner together determine that reasonable efforts have been exhausted, the cool down period will end and the controlled use of force will be initiated.

If there is disagreement among the collaborative team members (medical, nursing, mental health and custody) regarding the strategies to be employed, or length/termination of the cool down period, the issue shall be elevated to the appropriate clinical and custodial managers up to and including the Chief of Mental Health (or designee), Chief Medical Executive (or designee), and Warden or Chief Deputy Warden.

In the event the disagreement is not resolved at the institution level, the issue shall be elevated to the Regional Administrators (Mental Health and Medical), and the appropriate Associate Director.

The Incident Commander shall document the start time and duration of the cool down period on the CDCRCalifornia Department of Corrections and Rehabilitation 837-A/A1.

During the cool down period, a tactical plan for the potential controlled use of force will be developed by the Incident Commander in collaboration with the Response Supervisor and on-site manager, with input from the LNS and a licensed mental health practitioner. During the collaboration, the possible use of chemical agents, physical force, or other approved force options that may be used to complete the lawful objective will be discussed utilizing their collective knowledge, training, and experience, as well as an evaluation of the totality of circumstances.

General circumstances to consider include but are not limited to:

• The inmate’s current demeanor, (i.e., verbal vs. physical aggression / passive vs. active resistance).

• Prior incidents of violence toward staff.

• The safety of inmates and staff.

• Possession of a weapon.

• The use of barriers, barricades or a personal barrier (i.e., cloth or plastic placed about the inmates face and head).

• The inmate’s actions during any prior controlled uses of force.

• Physical design of the cell.

• The location of cell with regard to cross contamination (i.e., OHU/CTC/PIP/PSUPsychiatric Services Unit, open cell front).

• Effective communication needs as identified by the Disability and Effective Communications System (DECS).

• Input from the assigned housing unit staff.

Health care concerns to consider include but are not limited to:

• Current medical health.

• Current and prior mental health issues.

• The inmate’s ability to understand orders or difficulty complying with orders due to mental health issues.

• Potential for substantial risk of decompensation.

• Developmental/intellectual disabilities.

A decision to use chemical agents for the extraction should be based on more than passive resistance to placement in restraints or refusal to follow orders. If the inmate has not responded to staff for an extended period of time, and it appears that the inmate does not present an imminent physical threat, additional consideration and evaluation should occur before the use of chemical agents is authorized.

Based on the collaborative effort, the tactical plan will be finalized and approved by the on-site manager.

A controlled use of force shall not be accomplished without the physical presence of LNS. The LNS shall be in close proximity to the incident to facilitate an immediate medical response, but not so near as to become involved in the controlled use of force. The LNS is not required to don controlled use of force team equipment such as a helmet, Personal Protective Equipment kit, etc. Prior to commencing with the controlled use of force, the Incident Commander shall ensure the LNS is in possession of the appropriate medical supplies and equipment to respond to a medical emergency. The LNS who reviewed the health record and the LNS that is on-site during the controlled use of force is not required to be the same person.

Not all controlled use of force situations are conducted to remove an inmate from a cell or other location. Controlled use of force may also be used to administer medications (PCPenal Code 2602), provide medical treatment, or to complete mandated testing (i.e., TBTuberculosis testing, DNA, etc.) When circumstances are such that a controlled use of force is considered within a cell, on-duty health care staff shall ensure medical authorization for the involuntary medication exists. Health care staff shall also consult with the treating psychiatrist, primary care provider or mid-level provider, if available, to verify the current and critical need for involuntary medication or treatment. If the treating psychiatrist, primary care provider or mid-level provider is not available, the physician or psychiatrist on call shall be consulted. Health care staff shall advise the Incident Commander of such prior to the application of controlled use of force procedures. In these circumstances a controlled use of force team may enter the cell, physically restrain the inmate while medications/treatment are administered, and exit the cell.

The Incident Commander shall determine what, if any, safety equipment to be utilized (as identified in 51020.12.2). The decision shall be based on the totality of circumstances to include, but not be limited to:

• The inmate’s current demeanor (passive resistance vs. physical aggression).

• Prior incidents toward staff.

• The inmate’s actions during prior controlled use of force incidents.

• Current medical health.

• Current mental health.

• Specific purpose of the controlled use of force.

These incidents shall be video recorded; therefore, a video camera with backup videotape or media and backup batteries is required.

An extraction is the involuntary removal of an inmate from an area and usually occurs when the inmate is in a confined area such as a cell, holding cell, shower, or small exercise yard.

Extractions can be conducted as a controlled or immediate use of force. Except in the case of an imminent threat, extractions shall take place in a controlled manner.

Controlled extractions occur when no imminent threat exists but an inmate’s refusal to comply with orders and presence in a cell, yard, or other previously identified location poses a threat to safety and security, or disrupts the normal operation of the housing unit, facility, or institution.

Immediate extractions occur when an imminent threat exists. Some examples of when an immediate extraction may be necessary are: to prevent or stop, great bodily injury and/or serious bodily injury, attempted suicide, self–harm, in-cell assault, or for medical concerns such as an inmate who is non-responsive, convulsing, or seizing.

The presence of supervisors, managers or health care staff is not required to conduct an immediate extraction.

If a controlled extraction becomes necessary, extraction team members shall be issued extraction equipment:

• Riot helmet with protective face shield, protective vest, respirator, elbow and shin protectors, gloves, Kevlar neck protector, and blood borne pathogen protective suit.

• Protective shield, approximately 22″ wide and 48″ long.

• Hand-held baton(s), handcuffs, and leg restraints.

• Video camera(s) with a backup videotape or media and back up batteries.

If an immediate extraction in a Security Housing Unit/Administrative Segregation Unit becomes necessary, extraction team members shall be issued extraction equipment:

• Riot helmet with protective face shield, and protective vest.

• Protective shield, approximately 22″ wide and 48″ long.

• Hand-held baton(s) and handcuffs.

The blood borne pathogens protective suit can be used in an immediate extraction if needed. The suit is not required if bodily fluids are not present in sufficient quantities which present a threat to staff.

The blood borne pathogens protective suits, riot helmets, and protective shields are to be stored in locations that are readily accessible to the staff responding to conduct an immediate cell extraction so as not to delay entry/response.

Prior to a controlled extraction, the Response Supervisor or Incident Commander shall ensure that the members of the extraction team do not include any staff member who was directly involved in the incident precipitating the need for extracting the inmate.

The Incident Commander will ensure the Response Supervisor and extraction team members clearly understand their roles, appropriate signals, and are familiar with the departmental use of force policy.

A briefing, including possible tactics to be used, shall be given to the extraction team by the Response Supervisor and/or Incident Commander. This briefing shall not be video recorded and should be completed away from the presence of any inmates.

If time permits prior to the actual extraction, a mock extraction may be conducted in a vacated area with participating staff in order to ensure that custodial staff are familiar with their roles during the extraction. Several simulated operations will ensure smoothness, and timing during the actual extraction.

Prior to the extraction, the Incident Commander will communicate with the officer responsible/assigned to open/close cell doors and establish verbal/non-verbal signals specific to the controlled use of force.

The Incident Commander shall ensure the control officer understands that only the Incident Commander shall authorize the opening and closing of affected doors.

For the safety of staff, prior to being removed from a cell, it is preferred that the inmate submit to a visual search. The inmate should remove all clothing, except his/her underwear, and move back far enough from the cell door to allow a visual inspection. The inmate shall be visually inspected from head to toe, front and back. The inmate will run his/her fingers around the inside waistband of his/her underwear. The inmate shall be allowed to retain his/her underwear while being restrained and removed from the cell.

If the inmate refuses to cooperate with the visual search, but is willing to submit to restraints, the inmate shall be placed in restraints and removed from the cell. The application of restraints shall not be delayed due to the inmate’s refusal to submit to being searched, or to have the inmate remove any clothing. Upon removal from the cell, the inmate should be subjected to search for staff safety.

Placement of an inmate on the stomach for a short period of time to restrain an inmate is authorized; however once the inmate is exposed to chemical agents and/or if a spit hood/mask is placed on the inmate, staff shall not place the inmate on his/her stomach, or in a position that allows the inmate to end up on his/her stomach, for any period longer than necessary to gain or maintain control.

The procedure for cell extractions where two inmates are in the cell remains the same as for a single celled inmate with the following additions:

• Additional team members shall be assigned as determined by the Incident Commander.

• In the event one of the inmates is compliant with staff’s instructions, and if in the judgment of the Incident Commander it is safe to open the cell door, the inmate shall be removed.

• If it is unsafe to remove the compliant inmate, they shall be required to remain in the cell and appropriate instructions shall be issued for the duration of the incident.

The procedures for an extraction from a holding cell, shower, small exercise yard, etc., whether in a segregated housing unit or general population remain the same as cell extractions except as follows:

• Additional extraction team members or an additional extraction team may be assigned as determined by the Incident Commander.

• In the event two or more inmates are to be extracted from the same area, at least one additional supervisor shall be assigned.

Each controlled use of force shall be video recorded. The camera operator shall procure the camera, videotape or media, backup videotape or media, and backup battery. Prior to initiating video recording, the Incident Commander shall ensure the staff member operating the camera is familiar with the operation of the camera, and the expectations of the camera operator while recording the introductions and extraction in accordance with 51020.12.3 Controlled Uses of Force – Video Recording Requirements.

Only one incident shall be recorded on each video recording (videotape or video media will not include multiple incidents).

If the proposed controlled force involves a cell extraction of two inmates, two camera operators shall be used. Each camera operator will be designated an inmate prior to the application of the controlled use of force and concentrate on that inmate during the recording. The camera operator(s) will be positioned as close as possible to the immediate area to record as much of the incident as possible, yet at a sufficient distance so as to ensure no interference with the extraction team or jeopardy to their own safety.

The camera operator shall ensure that an accurate date and time is displayed on the recording. Filming shall begin with the camera operator stating their name, rank, date, time, and location of the controlled use of force.

The Incident Commander shall identify the inmate involved and state the circumstances of the proposed controlled use of force and/or extraction. The circumstances shall include a summary of the events leading up to the controlled use of force and what efforts have been made toward mitigation, to include the duration of the cool down period, as well as custody, supervisory, medical, and mental health intervention, as applicable. The Incident Commander shall explain the tactical plan, rationale of the plan, and the intended use of force.

The on-site manager shall identify themselves on camera and confirm they are authorizing the controlled use of force, including the force options as stated by the Incident Commander. The on-site manager shall also ensure the video introduction includes all required information.

The on-site LNS shall identify themselves on camera and confirm they reviewed the inmate’s health record. The LNS shall indicate if the inmate has any health conditions that will put them at increased risk for adverse outcome from the use of chemical agents or other force options. The LNS shall also note any known disabilities the inmate has that will require any accommodation before, during or after the controlled use of force. The LNS shall not include specific conditions or any other protected health information.

The LNS that will be on-site during the controlled use of force shall also identify themselves on camera as performing that role and having the necessary medical equipment.

The licensed mental health practitioner who provides clinical intervention shall identify themselves on camera and provide a detailed timeline of his/her efforts. This narrative shall not include specific conditions or any other protected health information but shall include a summary of the inmate’s reaction. The actual clinical intervention shall not be video recorded.

The Response Supervisor and members of the controlled use of force team shall identify themselves on camera and state their roles in the controlled use of force.

Following the introduction, the camera operator shall continue filming enroute to the scene of the proposed controlled use of force and record the events.

Prior to the application of force, the camera operator should videotape the interior of the cell/area and the inmate’s actions.

The incident commander shall issue a verbal warning prior to initiating the application of force.

The verbal warning shall contain the following five elements:

• Address the inmate by name.

• Advise the inmate that they are being video recorded.

• Order the inmate to voluntarily comply.

• Advise the inmate of the intent to use chemical agents and/or physical force if they do not comply.

• Advise the inmate that sufficient force will be used to remove them from the area, administer medications, etc.

After the introduction of chemical agents, the camera operator should again video record the inmate and the interior of the cell/area.

If the video recording is interrupted for any reason once the incident/extraction has begun, the camera operator will give a verbal explanation of the interruption once recording has resumed. The entire incident must be video recorded in one segment or scene.

Once the inmate has been extracted, the LNS shall conduct an initial medical evaluation of the inmate and provide any necessary initial treatment. While the inmate is being evaluated or treated the camera shall continue recording, but will not be aimed at the inmate or the LNS. During this time the camera should be aimed at a clock, floor, wall, etc. If it becomes necessary for staff to use force on the inmate while they are being examined or treated, the camera will immediately be aimed at the inmate until such time as the inmate is no longer resistive and the medical evaluation resumes.

If the purpose of the controlled use of force was to administer medications, video recording shall continue as the medications are administered, and until the controlled use of force team disengages from the inmate.

If chemical agents were used and the inmate is allowed to decontaminate, ensure the decontamination is filmed.

The Incident Commander shall determine when the incident has concluded and video recording shall end. This is typically when the inmate is placed in a holding cell/area or re-housed.

When circumstances are such that a controlled use of force is considered within a health care facility (departmental hospital, infirmary, Correctional Treatment Center (CTC), Skilled Nursing Facility (SNF), Psychiatric Inpatient Program (PIP), Outpatient Housing Unit (OHU), etc.), the LNS shall consider the impact on medical conditions and the possible need to relocate uninvolved inmates in the immediate vicinity during a controlled use of force.

Administration of Involuntary Medication or Medical Treatment (PCPenal Code 2602/Probate Code 3200): When force is necessary to administer medication or medical treatment within a health care facility, on-duty health care staff shall ensure medical authorization for the involuntary medication or treatment exists. Health care staff shall also consult with the treating psychiatrist, primary care provider or mid-level provider, if available, to verify the current and critical need for involuntary medication or treatment. If the treating psychiatrist, primary care provider or mid-level provider is not available, the physician or psychiatrist on call shall be consulted. Health care staff shall advise the Incident Commander of such prior to the application of controlled use of force procedures.

Application of Four/Five point Restraints: Only departmentally approved four/five point restraints shall be applied by authorized LNS in health care facilities. Authorization for application of four/five point restraints shall only be given by health care staff in accordance with California Code of Regulations, Title 22, Section 79801 Clinical Restraint, Treatment Restraint, and Clinical Seclusion, and the Mental Health Program Services Delivery System Program Guide, Chapter 10, Suicide Prevention and Response. On-duty health care staff shall ensure authorization exists, and shall advise the Incident Commander of such prior to the controlled use of force under these circumstances.

Inmate Refusal of Admission, Discharge, or Transfer to/from a Health Care Facility: When a clinician with admitting privileges to a CDCRCalifornia Department of Corrections and Rehabilitation Health Care Facility has determined it is necessary to admit, discharge, or transfer an inmate into/from a health care facility, health care staff shall ensure that a written order for the admission, discharge, or transfer exists, and shall advise the Incident Commander of such, prior to the controlled use of force.

Accountability for food trays is an operational concern for the safety and security of institutions. It is important that the staff who issue food trays to inmates in cells account for all trays after the meal is concluded.

If the inmate refuses to return a food tray, the supervisor and the First or Second Level Managers shall be notified. Staff shall document the inmate’s refusal to return the food tray on a CDC-115, Rules Violation Report.

The inmate will be advised that they shall not receive another meal until the first scheduled mealtime after the tray is returned. Additionally, the inmate-and all other inmates in the pod/section- will be placed on escort/restraint status to prevent passing of contraband items. Inmates may exit their cells to acquire various services. If the cell is vacated, staff will use that opportunity to retrieve the food tray.

Notice shall be provided to staff members working subsequent shifts to ensure their awareness of the circumstances. Institution/facility staff shall implement security measures to deter and prevent the movement of the retained food tray from one cell to another.

If the inmate retains control of the food tray for a period of 24 hours, the Manager shall determine if controlled force will be used to retrieve the tray. This does not preclude the Manager from making a determination, based on safety and security concerns, to retrieve the tray using force prior to the 24-hour time frame.

If the goal of the controlled use of force is only to retrieve the tray, all staff shall be informed of this in advance. If the inmate has retreated to the back of the cell and the tray can be safely retrieved without the application of force, then staff shall retrieve the tray and exit the cell.

Video equipment, including cameras, batteries, and blank tapes or discs shall be stored in a designated area at each institution. Video recordings shall be maintained for a period of five years from the date of the incident, or longer if warranted.

Video recordings shall be processed as follows:

• The camera operator shall label the tape with the date, time, inmate’s name and CDCRCalifornia Department of Corrections and Rehabilitation number, the camera operator’s name, and incident log number, if applicable.

• The Incident Commander shall, prior to being relieved from duty, forward to the designated area for storage any video recordings of controlled uses of force and any video recordings of inmate injuries or interviews following an immediate use of force or an allegation of excessive or unnecessary force. The Incident Commander shall ensure that all such recordings are secured, logged and processed in a manner to preserve evidentiary value.

Based upon individual institution space availability, an institution may maintain evidentiary related video recordings and non-evidentiary video recordings in separate locations, which shall be identified within a local supplement to this section.

The 37 mm and 40 mm launchers are weapons designed to discharge less lethal impact munitions or chemical agents. They are authorized for use in all areas including segregated housing units, general population housing units, cells, dayrooms, dining halls, concrete yards, exercise yards and work areas. It is recommended a Response Supervisor be assigned the duties of discharging less lethal impact munitions during controlled use of force-cell extraction.

During the formation of the tactical plan defined in 51020.12, the on-site manager may authorize the use of less lethal impact munitions during controlled use of force situations in a cell, if the inmate is barricaded, or if circumstances are serious in nature calling for extreme measures to protect staff or inmates (i.e., the inmate is armed with a deadly weapon).

In controlled use of force situations for inmates who are housed in Mental Health Crisis Bed, PIP, OHU, Psychiatric Services Unit (PSUPsychiatric Services Unit), or have an Enhanced Outpatient Program (EOPEnhanced Outpatient Program) level of care designation, or do not possess the ability to understand orders, or have difficulty complying with orders due to mental health issues, or are at substantial risk of decompensation from the use of force, the use of less lethal weapons is prohibited for direct or indirect use, (i.e., body or barricade removal), unless the Warden or Chief Deputy Warden authorize their use. If circumstances are serious in nature and involve an imminent threat, the use of less lethal weapons in accordance with this section may be authorized. In immediate use of force situations involving an imminent threat, staff are not precluded from using less lethal weapons to gain control of a disturbance involving inmates who may have mental health issues.

Departmentally approved chemical agents include, but are not limited to the following: Oleoresin Capsicum (OC), Chloroacetophenone (CN), and Orthochlorobenzalmalononitrile (CSControl Services). OC may be issued to all on-duty departmentally trained peace officers, certified in the use of chemical agents. Employees shall only administer the amount of chemical agents necessary and reasonable to accomplish the lawful objective.

While in the community, non-uniformed peace officers that are issued OC products shall carry the product in a concealed manner, unless the peace officer has a badge clearly displayed.

During a controlled use of force in a cell, single person holding cell, shower, or other small space, only the chemical agent products listed in 51020.15.1 may be deployed. Any additional products authorized by the Office of Correctional Safety, Emergency Operations Unit, and approved by the Director, Division of Adult Institutions must be specifically authorized for controlled use of force in a cell or other small space in order to be utilized for this purpose.

• MK-9 OC Vapor – limited to a single burst of 1-3 seconds in duration per application with a maximum of two applications. 

• MK-9 OC Fogger – limited to a single burst of 1-5 seconds in duration per application with a maximum of four applications.

• MK-9 OC Foam – limited to a single burst of 1-5 seconds in duration per application with a maximum of four applications.

• OC Vapor Grenade – limited to 2 devices

• OC Flameless Expulsion Grenade – limited to 2 devices

• X-10 Barricade Removal Device – limited to a single burst of 1-5 seconds in duration per application with a maximum of four applications. Chemical agents may only be deployed from the X-10 during the removal of a barricade. The X-10 is not to be used solely as a delivery device for chemical agents.

Regardless of which chemical agents are deployed, or in what combination, no more than a total of four chemical agent applications shall be administered. In unusual circumstances or when circumstances call for extreme measures to protect staff or inmates, it may be necessary to exceed the four allowed applications. In this event, the Incident Commander shall consult with the on-site manager, who can authorize additional chemical agent applications. For each additional chemical agent application authorized, the on-site Manager shall verbalize to the camera, the chemical agent application being authorized and the rationale for the decision.

The amount of time needed for the chemical agents to become effective will vary based upon the delivery method, individual tolerance levels, and environment. A minimum of three minutes shall lapse between each application of chemical agents before additional chemical agents may be applied.

It is recommended a Response Supervisor be assigned the duties of administering chemical agents during controlled use of force in a cell or other small space. Prior to each use of a chemical agent, the staff member applying it shall display the device in view of the camera and state out loud for the camera the time of application and the type of device being applied.

After each application of a chemical agent, the Incident Commander and Response Supervisor shall assess the effectiveness or lack thereof. In the event chemical agents have not proven effective, the Incident Commander and Response Supervisor should carefully weigh the continued use of chemical agents versus use of physical force to complete the extraction. If a decision is made to apply additional chemical agents, the Incident Commander shall verbalize to the camera the rationale for the decision. For example: “A vapor grenade was deployed. It has been three minutes. The inmate is not showing any visible reaction, is using a personal barrier, and is shouting. We will now attempt to strike the personal barrier with a fogger product.”

Staff shall make every reasonable effort to maintain visual contact with an inmate when administering chemical agents and until the inmate is decontaminated.

During a controlled use of force in larger areas such as rotundas, small management yards, large holding cells, segregated housing unit exercise yards, etc., departmentally approved chemical agents may be used in accordance with the Restricted DOMDepartment Operations Manual, Section 55050 – Armory, Armed Posts, and Weapons, and applicable training. In these situations, dependent on the size of the area, number of inmates involved, and complexity of the incident, it may be necessary to administer chemical agents in a larger quantity and more frequently than would occur during a controlled use of force in a small space.

In controlled use of force situations for inmates who are housed in Mental Health Crisis Bed, PIP, OHU, PSUPsychiatric Services Unit, EOPEnhanced Outpatient Program, or an Administrative Segregation Unit-EOPEnhanced Outpatient Program Hub, or do not possess the ability to understand orders, have difficulty complying with orders due to mental health issues, or are at increased risk of substantial decompensation from the use of force, the use of chemical agents is prohibited, unless the Warden, Chief Deputy Warden (or AODAdministrative Officer of the Day during non-business hours) authorize the use.

If circumstances involve an imminent threat, the use of chemical agents is authorized in accordance with this section for use against an inmate who may not possess the ability to understand orders or to gain control of a disturbance involving inmates who may have mental health issues.

Any inmate exposed to a chemical agent shall be afforded an opportunity to decontaminate as soon as practical. Staff shall provide reasonable accommodation to disabled inmates who require assistance exiting a contaminated area and during the decontamination process.

If an inmate refuses to decontaminate, no other action is necessary, unless the inmate was exposed in a cell and not removed from the cell where the exposure occurred. In these instances, refer to Section 51020.15.6. If an inmate refuses decontamination, the LNS shall be responsible to explain the importance of decontamination and encourage the inmate to decontaminate.

Inmates in an adjacent cell or in the general area where chemical agents are used shall be questioned by custody staff to determine if decontamination is warranted.

Decontamination of those inmates not directly exposed to chemical agents will be based upon obvious, physical effects of the chemical agent.

The need to medically treat an inmate for serious injury may supersede the need to decontaminate from the effects of exposure to chemical agents.

Inmates exposed to chemical agents shall be allowed to change their clothes as soon as practical.

Inmates exposed to chemical agents in a cell shall be afforded the opportunity to exchange linens and bedding, including the safety blanket, when applicable.

Decontamination from OC may be accomplished by exposing the individual to fresh moving air, or flushing the affected body area with cool water, e.g., shower, sink water, or wet cloths and providing clean clothing.

Except when it is determined that removing an inmate from a cell would result in additional force or give rise to an imminent threat, the inmate will be provided an opportunity to decontaminate outside of a cell in which OC has been used.

Force shall not be used to decontaminate inmates from the effects of OC unless a serious threat to the inmate’s health is present and LNS determines the inmate must be decontaminated.

No other decontamination is necessary for inmates who have been medically treated and LNS has determined the inmate has been decontaminated.

As soon as it is practical and safe to do so, decontamination of the affected cell and housing unit shall be accomplished by ventilating the area to remove the airborne agent. Open doors and windows as permitted, or use portable fans to speed up the process. If applicable manually turn the air exchange system to high. A fan and the use of the air exchange system is not recommended for any dry agent that is utilized (i.e., expulsion grenades or muzzle blast). Wiping the area down with damp cloths or mopping is only necessary if a noticeable amount of residue is visible.

After decontamination, the inmate should not be returned to a contaminated cell until sufficient time has elapsed to allow for dissipation of the OC or until the cell has been cleaned.

In-cell decontamination may be used for inmates housed in an institution/facility when the Incident Commander or Response Supervisor determines that removing the inmate would result in the need for additional use of force or give rise to an imminent threat.

The circumstances leading to the order for in-cell decontamination shall be clearly explained in the Response Supervisor’s/Incident Commander’s report.

When an inmate is going to be decontaminated in his/her cell, a licensed nursing staff shall advise the inmate how to self-decontaminate and the importance of decontamination. Licensed nursing staff shall explain to the inmate that he/she should remove contaminated clothing and use water from the sink to flush the affected area(s). The licensed nursing staff shall also explain to the inmate that he/she should pat or air dry and avoid rubbing the exposed areas.

When an inmate is not removed from the cell, a licensed nursing staff shall monitor the inmate approximately every 15 minutes for a period of not less than 45 minutes starting from the last application of chemical agent. During the monitoring, if the licensed nursing staff determines there is a need for additional medical assessment/treatment outside the cell, the licensed nursing staff shall advise a custody supervisor of the need to remove the inmate from the cell. The custody supervisor shall coordinate the removal of the inmate.

A licensed nursing staff shall document the fact the inmate was given instructions and the approximate times of the 15 minute observations on a CDCRCalifornia Department of Corrections and Rehabilitation 7219, Medical Report of Injury or Unusual Occurrence.

A verbal warning shall be given whenever possible prior to the use of chemical agents, unless the circumstances requiring the immediate use of force preclude such verbal warning.  If a streamer, fogger, or foam agent is used, employees shall target the facial area, when available, and utilize a burst of approximately three seconds. If a blast or pyrotechnic grenade is used, employees shall deploy the device to an area that provides effective chemical agent exposure to the intended target(s). Following the deployment, employees shall assess the need for additional deployment while allowing the chemical agent to work and providing orders to the intended target(s). If an imminent threat still exists and additional use of force is necessary, further deployment of an additional chemical agent is authorized, following the same instructions as above, or the employee may transition to another use of force option until an imminent threat no longer exists. In addition to all existing requirements for reporting the use of chemical agents, employees who deploy more than one burst of chemical agent, shall articulate the need to utilize a second, and any subsequent bursts of chemical agents, or any other use of force option, in their written report. The use of chemical agents on intended target(s) known to be pregnant is prohibited.

Only departmentally approved spit hoods/masks are authorized for use. A spit hood/mask shall not be placed upon an inmate who:

• Is in a state of altered consciousness (visibly drowsy, stuporous, or unconscious) or;

• Has any visible signs of a seizure; or

• Is vomiting or exhibits signs of beginning to vomit.

• A spit hood/mask may be applied to an inmate if:

• There is verbal or physical intent by the inmate to contaminate others with spit or other bodily fluids from the nose or mouth; or

• The inmate is not able to control expelling fluids from the nose or mouth (with the exception of vomit); or

• The inmate is on authorized security precautions according to the procedures of the unit where the inmate is housed.

• If the inmate was contaminated with OC before the mask was applied, the mask shall be kept on until the inmate is afforded decontamination unless the inmate is in a state of altered consciousness (visibly drowsy, stuporous, or unconscious); or has any visible signs of a seizure; or is vomiting or exhibits signs of beginning to vomit. In this case the spit hood/mask will be removed immediately and appropriate treatment will be administered.

If the inmate is decontaminated with fresh moving air, the spit hood/mask may remain on during decontamination and can be exchanged for a new spit hood/mask when decontamination is complete. If the inmate is decontaminated with water, the spit hood/mask shall be removed during decontamination and a new spit hood/mask can be placed on the inmate when decontamination is complete.

If an inmate has been exposed to chemical agents after the spit hood/mask is applied, the spit hood/mask shall be replaced with a new one when it is safe to do so.

If a spit hood/mask was applied and the inmate loses consciousness, begins seizing, or begins vomiting the spit hood/mask shall be removed immediately and appropriate treatment will be administered.

If a spit hood/mask is applied to an inmate, it is imperative that constant supervision of the inmate be maintained for signs of respiratory distress. If any respiratory distress is observed, the spit hood/mask shall be removed until the signs of respiratory distress have dissipated.

Once an inmate is exposed to chemical agents and/or if a spit hood/mask is placed on the inmate, staff shall not place them on their stomachs, or in a position that allows the inmate to end up on their stomach, for any period longer than necessary to secure (e.g. handcuff) and/or gain control of the inmate. A prone position makes it difficult for any exposed individual to breathe and may be a contributing factor in positional asphyxia. Positional asphyxia occurs when an individual’s body position interferes with respiration, resulting in death.

If an exposed individual is in handcuffs and requires transportation via a gurney, stokes litter, etc., they shall be positioned on their back or side.

Every staff use of force is an incident that shall be reported. Uses of force include non-deadly force, deadly force, immediate force, controlled force and non-conventional force. Verbal commands, the unresisted application of restraints or escort of an unresisting inmate and the movement of an unconscious or otherwise incapacitated inmate are not uses of force.

Any employee who uses force or observes a staff use of force shall report it to a supervisor as soon as practical and follow up with appropriate documentation prior to being relieved from duty.

The CDCRCalifornia Department of Corrections and Rehabilitation 837 Crime/Incident Report forms are used for reporting uses of force. Written reports regarding both immediate and controlled use of force shall be documented on a CDCRCalifornia Department of Corrections and Rehabilitation 837.

Documentation shall identify any witnesses to the incident and describe the circumstances giving rise to the use of force, whether the inmate is a participant in the Mental Health Services Delivery System and the nature and extent of the force used. The documentation shall also describe any involvement of licensed mental health practitioners prior to or during the use of force incident, if de-escalation strategies were attempted prior to the use of force, and the outcomes of any strategies used.

Written reports regarding staff uses force shall be documented on a Crime/Incident Staff Report (CDCRCalifornia Department of Corrections and Rehabilitation 837-C). This requirement includes the on-site manager authorizing the use of controlled force. This requirement includes a First or Second Level Manager/AODAdministrative Officer of the Day authorizing the use of controlled force.

Reports shall be prepared by any employee who uses or observes the use of force. The reports shall be submitted to, and reviewed by, the Response Supervisor prior to being relieved from duty. Staff shall not collaborate with each other in the preparation of reports.

If possible, identify important information in the contents of the report as follows:

• Identities of staff that observed and/or participated in the use of force.

• Description of the actions of the inmate and circumstances leading to the use of force.

• Description of the specific force used or observed.

• If chemical agents were used, identify the type of projector used, and from what distance.

• Description of the inmate’s level of resistance.

• Description of why force was used and description of the threat perceived.

• Description of any identified disabilities ascertained through any tracking system and what form of reasonable accommodation and/or assistance was provided during and after the controlled use of force.

• Description and observations of staff or inmate injuries and the cause of the injury, if known.

• Description of observations of decontamination of chemical agents or medical attention given.

• Description of observations or knowledge of the steps taken to decontaminate the housing unit, and those inmates not directly exposed to chemical agents.

• Documentation of any inmate allegation of an unnecessary or excessive use of force.

An employee, who intentionally or accidentally uses deadly force, whether on or off-duty, shall ensure that a supervisory employee is verbally notified of the incident without delay. A written report shall also be required. This reporting is not a requirement for the lawful discharge of a firearm during weapon’s qualifications, firearms training, or other legal recreational use of a firearm.

A video recorded interview of an inmate shall be conducted in accordance with the Inmate Interview for GBI and SBI Worksheet, CDCRCalifornia Department of Corrections and Rehabilitation Form 3013-1, or Inmate Interview for Allegation Worksheet CDCRCalifornia Department of Corrections and Rehabilitation Form 3013-2, and documented on the CDCRCalifornia Department of Corrections and Rehabilitation Form 3014, Report of Findings-Inmate Interview, under the following circumstances:

• The inmate has sustained a serious bodily injury or great bodily injury that could have been caused by a staff use of force (CDCRCalifornia Department of Corrections and Rehabilitation Form 3013-1).

• The inmate has made an allegation of an unnecessary or excessive use of force (CDCRCalifornia Department of Corrections and Rehabilitation Form 3013-2).

Any visible or alleged injuries shall be video recorded. The video recording shall be conducted by custodial supervisors (sergeants or lieutenants) who did not use, or observe the force used, in the incident.

The video recording should be made as soon as possible, but no later than 48 hours from discovery of the injury or allegation.

The video recording shall also include a request of the inmate to be interviewed regarding the circumstances of the incident. If the inmate refuses to be video recorded, such refusal shall be recorded.

The custody supervisor shall not inhibit the inmate being interviewed from providing relevant information.

In addition to writing his/her own report when applicable, prior to being relieved from duty the Response Supervisor shall:

• Gather written reports from staff involved in the use of force incident.

• Serve as the first level of review for all subordinates’ reports and shall ensure that all necessary information is contained in these reports. The Response Supervisor is expected to ensure that each employee’s report is prepared independent of any other report.

• Ensure no involved employee is relieved of duty prior to receiving his/her written report, unless the employee is physically unable to prepare the report due to an injury. If due to the circumstances a verbal report is not possible, the Response Supervisor shall explain the reason for not taking a verbal report.

• Obtain applicable medical reports from health care staff, inspect the form(s) and determine if all relevant information is present.

• If applicable, complete Report of Occupational Injury or Illness Form (SCIFState Compensation Insurance Form-3067).

• If applicable, complete State Compensation Insurance Fund Employee Claim for Workers’ Compensation Benefits Form (SCIFState Compensation Insurance Form-3301).

• If applicable, complete Department of Health Services Report of Request and Decision for HIVHuman Immunodeficiency Virus Testing (CDC-8439) in cases of potential exposure to blood borne pathogens.

When there has been a use of deadly force, the on-duty/Response Supervisor shall ensure that the chain of command is notified and all necessary health and safety, medical, and security measures are initiated. The on-duty/Response Supervisor shall go to the location and ensure that the scene is protected.

For incidents occurring in an institutional setting, the Watch Commander shall contact the institution’s Investigative Services Unit (ISUInstitution Services Unit).

For incidents occurring in a community setting, the on-duty supervisor or Watch Commander shall ensure local law enforcement is contacted.

The on-duty/Response Supervisor shall ask the employee who used deadly force to provide a public safety statement immediately after the incident. This is the employee’s oral statement. This statement helps determine the general circumstances of the incident, assess the need for resources, set the perimeter, locate injured persons, and determine the nature of the evidence to be sought. It shall provide basic information such as the number of persons involved in the incident, the number not yet in custody and number and direction of shots fired. The statement shall not include, and the employee should not be asked to provide, a step-by-step narrative of the incident or a motive for his/her actions. Providing a public safety statement does not relieve the staff of the responsibility to submit a written report in accordance with CCRCalifornia Code of Regulations, Title 15, Section 3268.1(a), or within 24 hours after the incident.

The on-duty/Response Supervisor shall capture the essence of the oral statement in writing and submit it to the Incident Commander.

In circumstances where the use of deadly force results in death or GBI, the staff using the force will be placed on administrative time off (ATOAdministrative Time Off) for 72 hours in order to facilitate department interviews and staff wellness. These 72 hours will be paid contiguous time off, unless they are scheduled regular days off (RDORegular Day Off). RDOs will count toward the contiguous 72 hours but will not be paid unless the employee is called to work. If the 72 hours ATOAdministrative Time Off overlap with a period of pre-scheduled time off (i.e. vacation, holiday, sick leave, etc.) the ATOAdministrative Time Off will be used in lieu of, not in addition to the affected employee’s leave credits.

As soon after the incident as is practical, the on-duty/Response Supervisor or Incident Commander must also initiate Peer Support Program (PSP) protocols as delineated in DOMDepartment Operations Manual Section 31040.3.2. The Incident Commander shall notify the Office of Internal Affairs (OIAOffice of Internal Affairs) and the Office of the Inspector General (OIGOffice of the Inspector General) as soon as possible, but no later than one hour from the time the incident is discovered, of any use of deadly force and every death or GBI that could have been caused by a staff use of force.

Health Care Services staff shall complete and submit a Crime/Incident Staff Report (CDCRCalifornia Department of Corrections and Rehabilitation 837-C) whenever a health care staff member:

• Observes use of force.

• Uses force on an inmate.

• Provides clinical intervention prior to a use of force.

• Reviews the health record for conditions that may put an inmate at increased risk for adverse outcome from the use of force.

• Hears an inmate allegation of an unnecessary or excessive use of force during a reportable incident if not already reported on a Notice of Injury or Unusual Occurrence form (CDCRCalifornia Department of Corrections and Rehabilitation 7219).

On the CDCRCalifornia Department of Corrections and Rehabilitation 837-C, the licensed mental health practitioner shall provide a timeline for the clinical assessment and intervention process. They shall also document if the inmate had the ability to understand orders, had difficulty complying with orders based on mental health issues or was at increased risk of substantial decompensation due to mental illness.

If it was determined the inmate had difficulty complying with orders or was at increased risk of substantial decompensation, the licensed mental health practitioner shall:

• Document that strategies were developed.

• Document if the strategies were implemented.

• Document whether those strategies were successful.

On the CDCRCalifornia Department of Corrections and Rehabilitation 7230, Interdisciplinary Progress Note, the licensed mental health practitioner shall document information regarding the clinical assessment and intervention process. The licensed mental health practitioner shall document the rationale for the assessment results regarding the inmate’s ability to understand direction, any difficulty complying with direction or substantial risk of decompensation. If strategies were developed, the licensed mental health practitioner shall document specific strategies, whether the strategies were implemented, and the results.

In addition to the requirements noted above, the LNS shall complete and submit a CDCRCalifornia Department of Corrections and Rehabilitation 7219 upon conducting a medical evaluation after a use of force. The CDCRCalifornia Department of Corrections and Rehabilitation 7219 shall be completed and submitted to the Response Supervisor prior to the LNS leaving the institution and shall:

• Include a quote of the inmate’s own words in the patient comment section.

• After examination, document observations of the area on the inmate where force was applied.

• Include comments or information garnered from custody staff regarding the type and amount of force used.

• Document the injuries sustained and the medical treatment rendered.

• Document if the inmate refuses medical examination and/or treatment.

• Document any alternative assistive device provided and any medical recommendation / accommodation suggested during and after the use of force.

• Document in-cell decontamination instructions and times of 15-minute checks, if applicable.

In addition to the above requirements, LNS shall be responsible for providing custody staff and the Use of Force Coordinator, with notification and updated information in the event that the aftercare treatment process reveals new facts about the severity of an injury.

It is the responsibility of the Incident Commander to notify the Office of Internal Affairs (OIAOffice of Internal Affairs) and the Office of Inspector General (OIGOffice of the Inspector General) as soon as possible, but no later than one hour from the time the incident is discovered, of any use of deadly force and every death, great bodily injury or serious bodily injury that could have been caused by a staff use of force. Depending on the specific Memorandum of Understanding (MOUMemorandum Of Understanding) and the nature of the incident, a call to the county sheriff or police department may also occur.

Prior to being relieved from duty the Incident Commander or designee shall:

• Initiate the initial incident report, consisting of the Crime/Incident Report Cover Sheet (CDCRCalifornia Department of Corrections and Rehabilitation 837-A/A1), the Crime/Incident Report Supplement (CDCR837-A1), and the Crime/Incident Report Inmate/Staff/Visitor, Other (CDCRCalifornia Department of Corrections and Rehabilitation 837-B1/2/3) reports. This shall be an accurate summary of the events as described in the written reports submitted by all employees.

• Prepare the initial incident package. This includes the CDCRCalifornia Department of Corrections and Rehabilitation 837-A/A1, B and C forms and any other applicable forms or documents.

• Review all incident reports for quality, accuracy and content.

• Clarify incomplete reports with involved staff by completing a CDCRCalifornia Department of Corrections and Rehabilitation 837-C-2 Review Notice.

In controlled use of force cases in institutions/facilities involving involuntary medication, placement into four/five point restraints, or admission into a licensed health care facility, the Incident Commander shall include in the CDCRCalifornia Department of Corrections and Rehabilitation 837-A/A1, the name and title of the on-duty health care staff that verified the appropriate medical authorization existed prior to the use of force.

• Prepare and submit a separate CDCRCalifornia Department of Corrections and Rehabilitation 837-C if they actually used force during an incident, or observed the use of force.

In normal circumstances, it is the expectation that within 24 hours of the incident the Incident Commander or designee will ensure the initial incident report (CDCRCalifornia Department of Corrections and Rehabilitation 837-A/A1 and CDCRCalifornia Department of Corrections and Rehabilitation 837-B ) is uploaded in the Daily Information Reporting System (DIRS).

Ensure all force related video recordings of inmate injuries or interviews and recordings of controlled force are forwarded to the appropriate location, as set forth in Section 51020.13.

Initiate the Use of Force Review process as set forth in Section 51020.19.1.

Should an incident or allegation warrant investigation by the DFIT, the OIAOffice of Internal Affairs, or any other outside investigating agency, the Incident Commander shall suspend all review of that incident until the investigation is complete.

The on-site manager authorizing the use of controlled force is required to be present during the use of force and document involvement on a CDCRCalifornia Department of Corrections and Rehabilitation 837C.

Any institutional managers consulted regarding a disagreement among the collaborative team members during a controlled use of force shall submit a CDCRCalifornia Department of Corrections and Rehabilitation Crime/Incident Staff Report (CDCRCalifornia Department of Corrections and Rehabilitation 837-C) detailing their involvement.

If the Regional Administrators (Medical or Mental Health) or the Associate Director are contacted, they shall submit a CDCRCalifornia Department of Corrections and Rehabilitation Crime/Incident Staff Report (CDCRCalifornia Department of Corrections and Rehabilitation 837-C) detailing their involvement.

Any employee who observes a use of force that is unnecessary or excessive shall attempt to stop the violation. Any employee who becomes aware of an allegation of unnecessary or excessive force, whether it occurs during a reportable incident or not, shall verbally report the allegation to a custody supervisor as soon as possible, followed with appropriate documentation.

If the allegation occurs in conjunction with a reportable incident, the incident shall be reported in accordance with the requirements set forth in this Article and any such allegation shall be documented and included in the incident report package. Each involved employee shall document all details regarding any allegations or observations of use of force that is unnecessary or excessive. This includes a quote of the allegation, or what was seen or heard, including observations of any apparent injuries, and the name of the supervisor the employee reported the allegation to.

All reports shall be submitted to a custody supervisor.

Whether or not the allegation of excessive or unnecessary force is made in conjunction with a reported use of force, a supervisor who learns of such an allegation shall:

• Make a verbal notification to the Incident Commander as soon as practical.

• Arrange for the inmate to be medically examined and request a full medical assessment of injuries, if any.

• Ensure every staff member who witnessed the allegations and/or staff who witnessed the event leading to the allegations immediately submits the applicable report.

• Review any reports for clarity.

• Submit a package of all documents relating to the allegation, including a copy of the medical report, to the Incident Commander.

When informed of allegations of the use of unnecessary or excessive force, the Incident Commander and/or the Appeals Coordinator shall make an initial assessment of the information received and notify the appropriate First or Second Level Manager as soon as practical.

Additionally, the Incident Commander and/or the Appeals Coordinator shall:

• Ensure LNS has evaluated the inmate and a CDCRCalifornia Department of Corrections and Rehabilitation 7219 has been completed.

• Review written reports of witnesses and obtain statements from inmate witnesses, if any.

• Ensure that the inmate’s injuries are video recorded and the inmate is interviewed within 48 hours in accordance with the requirements set forth in DOMDepartment Operations Manual, Section 51020.17.3. This shall be done as soon as possible upon receiving verbal notification of the allegation.

When an allegation is received, whether verbally or through the appeals process, the Appeals Coordinator or Incident Commander shall contact ISUInstitution Services Unit or the Watch Commander and determine if the related incident report exists. The respective Appeals Coordinator or Incident Commander shall note the existence of the incident report by log number in their submittal prior to forwarding the allegation for administrative review.

If the inmate has suffered serious bodily injury or great bodily injury, the Incident Commander shall notify the OIAOffice of Internal Affairs and the OIGOffice of the Inspector General as soon as possible, but no later than one hour from the time the incident is discovered. In instances where the allegation was submitted through the inmate appeal process and there is no corresponding incident report, the Appeals Coordinator shall, in consultation with the hiring authority, notify the OIAOffice of Internal Affairs and OIGOffice of the Inspector General.

If, at any point in the review, the Incident Commander and/or the Appeals Coordinator discovers information that leads them to reasonably believe or suspect an employee has committed any serious misconduct, the Incident Commander and/or Appeals Coordinator shall:

• Immediately forward all information to the Institution Head via the chain of command, recommending an internal affairs investigation if appropriate.

• Prepare a Report of Findings-Inmate Interview (CDCRCalifornia Department of Corrections and Rehabilitation 3014) and/or Appeal Inquiry. The report shall contain the allegations made, an explanation of the incident, the written or verbal statements of the witnesses, the health care information, and a conclusion and recommendation.

• Submit the Report of Findings and/or Appeal Inquiry and evidence through the chain of command to the Institution Head. The evidence shall include copies of the medical reports, and any other documentation that is deemed significant to further document the incident/allegation. If the Incident Commander learns that the verbal allegation is part of a reported incident, the incident package shall be included with the Report of Findings. Correspondingly, if the Appeals Coordinator learns that the written allegation is part of a reported incident, the incident package shall be included with the appeal for administrative review.

Each Institution Head shall establish and chair an IERC to evaluate and review every use of force and every allegation of excessive or unnecessary force. Each incident or allegation shall be evaluated at both supervisory and management levels to determine if the force used was reasonable under policy, procedure, and training.

For reported incidents, a good faith effort must be made at all levels of review in order to reach a judgment whether the force used was in compliance with policy, procedure and training and follow-up action if necessary. The following factors must be evaluated:

• The threat perceived by the responsible individual applying the force.

• The need for the application of force.

• The relationship between that need and the amount of force used.

• The extent of the injury suffered.

• What steps were taken to avoid and/or minimize the need for/level of force used.

Should an incident or allegation warrant investigation by the DFIT, the OIAOffice of Internal Affairs, or any other outside investigating agency, or if direct action has been requested for any incident or allegation, the IERC shall suspend all review of that incident until the investigation/direct action is complete. Examples of what may be referred for investigation include but are not limited to:

• Unexplained injuries.

• Impact strikes to lethal target areas (head, eyes, throat, or spine).

• Incomplete/conflicting reports.

• The application of weaponry that exceeds what would normally be expected for the type of force reported.

The IERC shall apply the findings of the Hiring Authority or the DFRB as part of its review.

The Incident Commander shall review the complete incident package documentation to ensure that it is adequately prepared and shall reach a judgment whether the force used was in compliance with policy, procedure, and training.

The Incident Commander shall:

• Review all incident reports for quality, accuracy, and content, including the Report of Finding-Inmate Interview (CDCRCalifornia Department of Corrections and Rehabilitation 3014).

• Clarify incomplete reports with involved staff by completing a Crime Incident Report Review Notice (CDCRCalifornia Department of Corrections and Rehabilitation 837-C-2 to the applicable employee.

• Complete an Incident Commander’s Review/Critique Use of Force Incidents CDCRCalifornia Department of Corrections and Rehabilitation 3010). This report shall contain:

• The description of inmate injuries due to force used.

• An explanationof why force was needed.

• A description of the threat that required force to be used.

• What steps were taken to minimize the need for force.

• Any relevant comments.

In the event the Incident Commander believes an investigation may be necessary, the Incident Commander shall suspend review and recommend that the case be referred for investigation.

The First Level Manager of the area where the incident or allegation occurs shall reach a judgment whether the force used was in compliance with policy, procedure, and training.

The manager shall:

• Review all documentation in the incident package, including the Report of Finding – Inmate Interview (CDCRCalifornia Department of Corrections and Rehabilitation 3014).

• Review the quality of all reports to ensure the use of force was properly documented and reviewed. This includes a review of the Incident Commander’s conclusions.

• Determine if any corrective action taken by his/her subordinates in relation to the incident was adequate/proper.

• Conduct an in depth analysis to determine if the use of force described in the incident package was within the guidelines of the Use of Force policy, as well as other policies, procedures and training. This analysis should address any non-compliance not identified earlier.

• Complete a review of the incident on the Manager’s Review – First Level Use of Force Incidents (CDCRCalifornia Department of Corrections and Rehabilitation 3011).

• In the event the First Level Manager believes an investigation may be necessary, they shall suspend the review and recommend that the case be referred for investigation.

The Second Level Manager is the final level of review prior to the completed incident package being sent to the Use of Force Coordinator for review by the (IERC). The Second Level Manager shall reach a judgment whether the force used was in compliance with policy, procedure, and training.

The Second level manager shall:

• Review all documentation in the incident package, including, the Report of Findings – Inmate Interview (CDCRCalifornia Department of Corrections and Rehabilitation 3014).

• Review the quality of all reports to ensure the use of force was properly documented and reviewed. This includes a review of the Incident Commander’s conclusions and the First Level Manager’s conclusions.

• Determine if any corrective action taken by his/her subordinates in relation to the incident was adequate/proper.

• Conduct an in depth analysis to determine if the use of force described in the incident package was within the guidelines of the Use of Force policy, as well as other policies, procedures and training. This analysis should address any non-compliance not identified earlier.

• Complete a review of the incident on the Manager’s Review – Second Level Use of Force Incidents (CDCRCalifornia Department of Corrections and Rehabilitation 3012).

• In the event the Second Level Manager believes an investigation may be necessary, they shall suspend review and recommend that the case be referred for investigation.

The Use of Force Coordinator shall log and track all use of force incidents and all allegations of excessive or unnecessary force (including those originating from inmate appeals) to ensure thorough and timely review by the IERC. The log should be capable of producing statistical reports to monitor trends and patterns of force used, whether the report is received in the form of an incident report, a verbal allegation of excessive or unnecessary force, or an allegation contained in an inmate appeal. At a minimum, the log should address the following categories:

• Incident Log Number

• Incident Date

• Specific Area of Institution

• Specific Crime

• Controlled or Immediate Use of Force

• Allegations of Unnecessary or Excessive Use of Force

• Significant Injury (SBI, GBI, or Death)

• Injuries caused by Use of Force

• Staff Involved

• Inmate(s) Involved

• Mental Health Status

• Type of Force Option(s) Utilized

• Ethnicity

• Security Threat Group Status.

The Use of Force Coordinator shall schedule use of force incident packages for presentation to the IERC within 30 days from the date of incident. If an investigation or request for direct action has been initiated for a use of force incident, the Use of Force Coordinator will track and maintain the completed incident package until the Hiring Authority has determined a finding upon conclusion of the investigation or request for direct action.

Upon determination of finding for the matter referred for investigation or direct action, the Hiring Authority shall apprise the Use of Force Coordinator of the allegation(s) findings.

The Use of Force Coordinator shall conduct an in-depth analysis of the documentation from each use of force incident, including the conclusions of the Supervisor and Managers. The Use of Force Coordinator shall request any clarification or additional information necessary to complete his/her analysis.

The Use of Force Coordinator shall complete the IERC Use of Force Review & Further Action Recommendation (CDCRCalifornia Department of Corrections and Rehabilitation 3035), and Institutional Executive Review Committee (IERC) Critique and Qualitative Evaluation (CDCRCalifornia Department of Corrections and Rehabilitation 3036), documenting his/her findings regarding whether the force used was in compliance with policy, procedure, and training; as well as identifying any recommended revision to policy, procedure, or training.

If a completed incident package has not been received by the Use of Force Coordinator in time to allow for IERC review within 30 days of the incident, the Use of Force Coordinator shall present the initial incident package to the IERC for an initial review. The initial review of the initial incident package is intended to give the IERC an opportunity to conduct a preliminarily review and document obvious procedural concerns. During the initial review, the CDCRCalifornia Department of Corrections and Rehabilitation 3035 or CDCRCalifornia Department of Corrections and Rehabilitation 3036 do not need to be completed. Once the completed incident package is received, the CDCRCalifornia Department of Corrections and Rehabilitation 3035 and CDCRCalifornia Department of Corrections and Rehabilitation 3036 shall be completed by the Use of Force Coordinator for presentation to the IERC.

In cases involving allegations of excessive or unnecessary force, whether or not the allegation was part of a reported use of force, the Use of Force Coordinator shall prepare an Institutional Executive Review Committee Allegation Review (CDCRCalifornia Department of Corrections and Rehabilitation 3034), for review by the IERC.

The Use of Force Coordinator shall prepare complete copies of the incident packages to be reviewed by the IERC during the scheduled meeting. The OIGOffice of the Inspector General shall be provided reasonable notice and copies of the packages to be reviewed in advance of the meetings.

If the IERC determines additional information or clarification is required, the Use of Force Coordinator will forward a request for this information to the responsible Manager and track the assignment.

The Use of Force Coordinator will maintain a copy of the completed incident package until the information or clarification is received. The Use of Force Coordinator will then complete the analysis and resubmit the case to the IERC.

The Use of Force Coordinator will ensure the IERC findings are documented on the CDCRCalifornia Department of Corrections and Rehabilitation 3035 and CDCRCalifornia Department of Corrections and Rehabilitation 3036 following final IERC review of the completed incident package.

After final review by the IERC, any copies of staff disciplinary documents will be removed from the incident package and routed to the appropriate Manager for placement into the appropriate file.

The IERC Chairperson and the Use of Force Coordinator shall review the status of all pending use of force cases following each IERC meeting to evaluate the readiness for final review of the cases.

By the fifth day of each month, the Use of Force Coordinator shall forward a memorandum to the respective Associate Director listing the date of IERC meetings, incident package log numbers, specific crime, and disposition of all incident packages reviewed during the previous month.

The IERC is a committee of executive staff tasked with reviewing reported use of force incidents and allegations of excessive or unnecessary force. The IERC shall normally be comprised of the following institutional staff:

Institution Head or Chief Deputy Warden, as chairperson and final decision maker, At least one other manager assigned on a rotational basis,

• In-Service Training Manager,

• One health care staff, and

• A Use of Force Coordinator.

A licensed mental health practitioner shall participate in the IERC for all controlled use of force incidents. A licensed mental health practitioner shall also participate in the IERC for any immediate use of force incidents involving an inmate participant in the Mental Health Services Delivery System.

Other designated supervisors and rank and file staff may also attend, as determined by the appointing authority. A representative of the OIGOffice of the Inspector General may also attend and monitor IERC meetings.

The IERC shall meet to review its cases on at least a monthly basis, or on a schedule to ensure all cases are reviewed within 30 days. Unless there are outstanding issues or a corresponding investigation, this review will be both an initial/final review.

The IERC Chairperson shall personally view all video recordings arising from controlled use of force incidents and any portion of video recordings capturing the immediate use of force. This viewing can be accomplished either before or during the IERC.

During the IERC, at a minimum, the committee members shall view the portions of the controlled use of force video from the admonishment through the last use of force. When video recording captures the immediate use of force, at a minimum, the committee members shall view the video from the initial use of force through the last use of force.

Should an incident or allegation warrant a request for direct action or investigation by the DFIT, the OIAOffice of Internal Affairs, or any other outside investigating agency, the IERC shall suspend all review of that incident until the investigation is completed. Upon the Hiring Authority determining a finding for the referred allegation(s), the IERC shall apply the findings as part of its own review.

The IERC shall determine if the use of force was reasonable and in compliance with policy, procedures and training. The IERC shall also examine the critique and conclusions of the managers and supervisors, and ensure the appropriateness of completed documentation.

The IERC shall complete an Allegation Review of all allegations of excessive or unnecessary force.

The IERC may initiate requests for additional information or clarification (clarification requests will be routed to the responsible Manager and tracked by the Use of Force Coordinator). The final review will determine whether the use of force was reasonable.

The IERC may recommend changes to procedure or training. The IERC is also responsible for identifying possible employee misconduct and recommending the initiation of training, corrective action or disciplinary action in such cases. However, only IERC members in supervisory or management roles (including the Use of Force Coordinator) and the OIGOffice of the Inspector General may participate in discussions involving the initiation of corrective or disciplinary action.

The hiring authority may initiate changes to local procedure or training based on the findings or recommendations of the IERC, or forward a recommendation of change to the CDCRCalifornia Department of Corrections and Rehabilitation policy or procedure via the Associate Director. The Institution Head may also initiate corrective or adverse employee action based upon the findings or recommendations of the IERC.

The Department Executive Review Committee is a committee of staff selected by, and including, the Associate Director who oversees the respective Mission-based group. The DERC shall review all incidents involving deadly force, serious bodily injury, great bodily injury, or death. The DERC shall also review those incidents referred to the DERC by the IERC Chairperson or otherwise requested by the DERC.

The DERC shall conduct a review of the incident and document its findings. The DERC shall also review the actions of the IERC and in the event the DERC has questions or concerns with actions taken by the IERC, the DERC shall take appropriate action. The DERC shall conduct all reviews within sixty (60) days of completion by the IERC.

The Director of DAIDivision of Adult Institutions (formerly Institutions Division) may choose to provide final review for any incident reviewed by the DERC.

Every use of deadly force and every death or great bodily injury that could have been caused by a staff use of force shall be investigated by the DFIT and reviewed by the DFRB.

For incidents occurring in an institutional setting, involving the use of deadly force and any use of force resulting in death or GBI, the ISUInstitution Services Unit shall take preliminary charge of the investigation and will remain in charge of the investigation while contacting the DFIT to inform them of the incident.

For incidents occurring in a community setting, local law enforcement and the DFIT shall take preliminary charge of the investigation.

For every discharge of deadly force from a firearm, an ISUInstitution Services Unit Sergeant or above shall be tasked with making the prompt determination of whether the deadly force was a warning shot and whether anyone suffered any injuries as a result of the deadly force. The ISUInstitution Services Unit shall verbally notify the DFIT of its determination as soon as possible and shall confirm its determination, along with the reasons in support of it, in a written memorandum to be forwarded to the DFIT. If the ISUInstitution Services Unit is unavailable to assume this responsibility, an uninvolved Correctional Lieutenant shall do so.

Trained Department investigators assigned to a Deadly Force Investigation Team shall conduct criminal and administrative investigations of every use of deadly force and every death or great bodily injury that could have been caused by a staff use of force. All DFIT criminal investigations will be referred to the local District Attorney for review where MOUMemorandum Of Understanding’s provide for referral.

Based on certain local Memoranda of Understanding, criminal investigations may instead be conducted by an outside police department or sheriff’s office. If an outside law enforcement agency is conducting the criminal investigation, the DFIT investigator will monitor the progress of the criminal investigation while providing appropriate support.

Although defined as deadly force, DFIT need not investigate the discharge of a warning shot inside an institution/facility if an ISUInstitution Services Unit Sergeant or above, or an uninvolved Correctional Lieutenant, confirms that the discharge of deadly force was a warning shot and that no injuries were caused by the shot. All warning shots shall be reported to the Office of Internal Affairs/DFIT and the Office of the Inspector General (OIGOffice of the Inspector General).

The DFRB is the board responsible for conducting a full and complete review of all incidents involving a use of deadly force (except warning shots) and every death or great bodily injury that could have been caused by a staff use of force, regardless of whether the incident occurs in an institutional or community setting.

The DFRB shall be composed of at least four members. Three shall be non-departmental law enforcement professionals. One (1) shall be a Division, Parole Region, or Institutional/facility manager (i.e. Associate Directors, Division of Juvenile Justice Superintendents, Chiefs or designees) from outside the chain of command of the involved employee(s). Additional members may be designated by the Secretary or designee.

The reports and findings generated from the separate investigative bodies (DFIT and local law enforcement if applicable) will be presented to the DFRB. The DFRB shall be convened as soon as possible after the criminal and administrative investigations are completed.

The DFRB shall examine all aspects of the incident to determine the extent to which the use of force complied with departmental policies and procedures, and to determine the need for policy, training, and/or equipment modifications.

The DFRB shall report its findings and recommendations in writing, to the Undersecretary assigned to oversee the DAIDivision of Adult Institutions (formerly Institutions Division).

For purposes of an external review, the Use of Force Coordinator shall identify and retain use of force cases closed by the IERC during the review period. External reviews of closed use of force cases shall be conducted at least every 24 months

The Use of Force JUC is a committee of field staff tasked with reviewing and evaluating recommended revisions to the CDCRCalifornia Department of Corrections and Rehabilitation’s Use of Force Policy and Procedures.

The JUC shall be comprised of the following field staff:

• At least one Institution Head, as chairperson

• At least one staff member from each DAIDivision of Adult Institutions (formerly Institutions Division), mission based region, at the level of Lieutenant or Captain

• At least one Use of Force Coordinator,

• At least three representatives from the CCPOA, as designated by the CCPOA

• At least one Mental Health Regional Administrator

• The Chief of OIGOffice of the Inspector General or designee, and

• Others as needed and assigned by the Deputy Director, DAIDivision of Adult Institutions (formerly Institutions Division),

The JUC shall meet quarterly as necessary, but not less than annually, to review recommended revisions.

Any recommendations for revisions to this Article shall be referred to the Use of Force Joint Use Committee. After review and consideration, the Use of Force JUC shall refer revisions to the Director, DAIDivision of Adult Institutions (formerly Institutions Division), for approval, via the Deputy Director.

Only the Director of DAIDivision of Adult Institutions (formerly Institutions Division), or the Director’s designee, may issue clarification memoranda to this Article.

The Director, DAIDivision of Adult Institutions (formerly Institutions Division), or designee shall be responsible for ensuring that the contents of this Article are kept current and accurate.