Chapter 5 – Adult Custody and Security Operations

51020.12 Controlled Use of Force General Requirements

• 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.