Department Operations Manual

51020.19.4 Use of Force Coordinator Responsibility 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 (CDCR 3035), and Institutional Executive Review Committee (IERC) Critique and Qualitative Evaluation (CDCR 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 CDCR 3035 or CDCR 3036 do not need to be completed. Once the completed incident package is received, the CDCR 3035 and CDCR 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 (CDCR 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 OIG 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 CDCR 3035 and CDCR 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. 51020.19.5

51020.19.5 Institution Executive Review Committee Monitoring Responsibility Revised March 7, 2017 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 OIG 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 OIA, 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 OIG 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 CDCR 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. 51020.19.6

51020.19.6 Department Executive Review Committee Monitoring Responsibility Revised March 7, 2017 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 DAI may choose to provide final review for any incident reviewed by the DERC. 51020.20

51020.20 Investigating Deadly Force and Any Use of Force That Could Have Caused Death or Great Bodily Injury 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. 51020.20.1

51020.20.1 Investigative Services Unit (ISU) Monitoring the Use of Deadly Force For incidents occurring in an institutional setting, involving the use of deadly force and any use of force resulting in death or GBI, the ISU 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 ISU 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 ISU 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 ISU is unavailable to assume this responsibility, an uninvolved Correctional Lieutenant shall do so. 51020.20.2

51020.20.2 Deadly Force Investigation Team Responsibility 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 MOU’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 ISU 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 (OIG). 51020.20.3

51020.20.3 Deadly Force Review Board 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 DAI. 51020.21

51020.21 External Review of the Use of Force – The Use of Force Coordinator Responsibility 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. 51020.22

51020.22 Revisions – Use of Force Joint Use Committee (JUC) The Use of Force JUC is a committee of field staff tasked with reviewing and evaluating recommended revisions to the CDCR’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 DAI, 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 OIG or designee, and • Others as needed and assigned by the Deputy Director, DAI, The JUC shall meet quarterly as necessary, but not less than annually, to review recommended revisions. 51020.22.1

51020.22.1 Revisions Approval 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, DAI, for approval, via the Deputy Director. Only the Director of DAI, or the Director’s designee, may issue clarification memoranda to this Article. 51020.23

51020.23 Revisions The Director, DAI, or designee shall be responsible for ensuring that the contents of this Article are kept current and accurate. References PC § 118.1, 196, 197, 243, 835, 835a, 843. CCR (15) § 3268, 3268.1, 3268.2, 3275, 3276, 3278, and 3397. Hudson v. McMillian, 503 U.S. 1 (1992). Madrid v. Gomez, 889 F.Supp. 1146 (N. D. Cal. 1995). Remedial Order regarding Madrid v. Gomez, dated June 17, 1996. Madrid v. Cate (U.S.D.C. N.D. Cal. C90-3094 TEH). Coleman v. Brown, No. CIV. S-90-520 LKK/DAD (PC) (2014). Armstrong v. Newsom, No. 94-cv-02307, dated September 8, 2020. Revision History Revised: January 12, 2016. Effective: Section 51020.15.7: October 11, 2022. Revised: Section 51020.15.7: January 3, 2023 A RTICLE 3 — I NCIDENT R EPORT Effective December 27, 1989 51030.1

51030.1 Policy Revised January 30, 2017 Incidents, events and activities that occur within the jurisdiction of institutions of immediate interest to the Department, other governmental agencies or the news media, shall be reported to the Director or the departmental Officer-of-the-Day, or the Deputy Director, DAPO as described in this section. 51030.2

51030.2 Purpose This procedure defines staff responsibility and provides procedures and criteria for reporting incidents occurring within the Department. 51030.3

51030.3 Reportable Incidents Revised April 24, 2017 Examples of incidents which shall be reported: • All felonies committed by inmates, parolees, employees or the public on institution property, during transportation or under the jurisdiction of parole regions. • General or partial lockdowns. • Riots, inmate strikes or general demonstrations. • Major power failures. • Serious accidents or injuries. • Deaths. • Significant damage or destruction of state property. • Escapes or attempted escapes, (refer to DOM 55040, Escape Pursuit). • Any state of emergency as described in CCR 3383. • Any use or discharge of weapons, chemical agents or tasers. • Threats against the President or Vice President of the United States, or threats against state officials. • Safety grievances (employees). • Employee job actions. • Sexual Violence Allegations. • Attempted Suicide (as determined by a mental health evaluation). 51030.4

51030.4 Incident Reporting Procedures (Institutions) All reportable incidents shall be conveyed by telecopier on a CDCR Form 837 series, Administrative Officer-of-the-Day (AOD) Incident Report, to the Director, by the 24-hour-a-day Identification and Warrants (ID) Unit. The current public and ATSS telephone numbers of the ID Unit shall be included in the telecopier and AOD instruction booklets or memos. 51030.4.1

51030.4.1 Administrative Officer-of-the-Day Incident Report, CDCR Form 837 Series The Administrative Officer-of-the-Day Incident Report, CDCR Form 837 series, is the Department ’ s initial written report to Central Office that an incident of departmental interest has occurred. It is essential that all information available at the time of the incident be entered into this report. Any subsequent updating of information relating to the incident should be forwarded to Central Office using the AOD 837 Log Number of that particular incident. Initial Report Content Initial reports by telecopier shall include all pertinent available information. New information significant to the incident shall be telecopied as received. Press Releases The Assistant Director, Communications, shall be notified by telephone of press releases or serious incidents. A written copy of the press release shall be telecopied to Communications following the verbal notification. 51030.4.2

51030.4.2 Incidents on Department Buses The transportation sergeant or senior officer in charge of the bus shall be responsible for reporting incidents which occur during departmental transportation. The Captain, Transportation Unit, shall be responsible for the processing and distribution of incident reports prepared by staff of the transportation unit. Copies of the incident report shall be forwarded to institutions receiving inmates involved in transportation incidents. 51030.5

51030.5 Formal Incident Reports A written incident report shall be prepared and submitted to the Director within 72 hours of all reportable incidents. The Warden or RPA will review and sign this report. 51030.5.1

51030.5.1 Supplemental Incident Reports Initial incident reports to the Director shall be updated by supplemental incident reports until the incident is closed. The supplemental reports shall include all subsequent facts, information, and administrative actions taken relative to the incident. 51030.5.2

51030.5.2 Incident Report Log Facilities and parole regions shall establish and maintain an official log on all reportable incidents. All initial incident reports shall be assigned a log number. Incident report log numbers shall be obtained from the original CDCR Form 837 series, AOD Report, pertaining to the incident. All supplemental reports pertaining to a single incident shall contain the log number assigned to the initial report and shall be filed sequentially with the original report. 51030.6