DEFINITIONS
Force -- Strength or energy used to persuade or cause someone to do something.
Use of Force -- A controlling measure taken during a confrontational situation in an effort to cause an offender to do anything involuntarily. Uses of force are categorized as either Minor, Major or Deadly.
Minor -- Physical contact by an employee with an offender in order to control his movement, to which the offender offers no resistance. (NOTE: The placement of hands on an offender under escort, under normal circumstances, shall not be considered a Minor Use of Force.)
Major-- A measure of force which is more than minor, but less than deadly, and when:
* An offender physically resists the application of restraints (NOTE: does not include situations in which an offender does not resist);
* Chemical agents are discharged;
* Batons or other instruments make contact with an offender in an effort to restore or preserve order;
* Offensive or defensive physical contact is made, to include but not limited to: one or more physical blows, hard pushes, or defensive holds; or
* Anytime an offender is injured during a use of force, to include a bruise, contusion, or wound.
Deadly -- The intentional discharge of authorized firearms. (NOTE Drawing a firearm and aiming it at an offender does not constitute a deadly use of force.)
Unnecessary Force-- The use of force when one is required or appropriate.
Excessive Force -- The use of more force than is objectively reasonable to accomplish a lawful purpose.
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Basic Information -- Use of force data which is subject to required disclosure and includes: the time and place of the incident; names of offender(s) and staff directly involved; a brief narrative of the incident; a brief description of any injury sustained; and any criminal charge or administrative disciplinary action which may have been filed as a result of the incident.
Emergency -- An unforeseen event or condition, which imminently threatens the safety of individuals or the security of the institution and requires immediate action.
Imminent -- Ready to occur at any moment.
Use of Force Report (or Report) -- Documented information regarding the implementation of minor (MIUF) or major/deadly (MAUF) force, which shall include applicable report forms. MAUF Reports shall also include a videotape of the incident if available, and at least two photographs of each offender participant (plus photographs of injuries, if applicable).
Offender -- Person convicted of a felony and confined by TDCJ.
Professional Staff -- A psychiatrist, physician, psychologist, mid-level practitioner, physician’s assistant, nurse practitioner, or nurse.
Prone -- Lying down, with the front of the body turned toward the supporting surface.
USE OF FORCE PLAN
I. CONDITITIONS THAT DETERMINE THE LEVEL OF FORCE APPLIED
Specific conditions must exist before force may be used. The conditions, for each of the three types of force, are as follows:
A. Minor Force:
1. An offender fails to comply with a legitimate order or standing unit/facility procedure
2. Immediate compliance is necessary to preserve the order of the Unit/facility, the safety of its staff, offenders, other persons or Physical property;
3. Verbal intervention is impractical or fails to achieve compliance;
4. Standard disciplinary sanctions and procedures alone are insufficient to modify the offender’s behaviour; and
5. It is expected that the use of minor force will directly lead to the necessary level of compliance
B. Major Force:
1. Use of minor force is insufficient to manage the situation;
2. To prevent significant damage to property or to enforce Agency Policy and procedures in an effort to bring order to the unit/facility.
3. To maintain or regain control of a unit/facility, or any part thereof in the event of a rebellion, riot, or disturbance;
4. There is imminent danger of bodily injury to staff, offenders, or Other person; or
5. To prevent escape.
C. Deadly force:
1. Use of major force has been determined to be insufficient to manage those situations listed at I.B.4. And 5. Above.
2. Authorization for the use of deadly force has been given by the Highest-ranking security supervisor on duty or designee, except in an emergency, where the situation and time does not permit.
11. USE OF FORCE EQUIPMENT
A. Each TDCJ unit/facility shall maintain certain equipment for use in responding to major or deadly use of force situations (never minor). Only equipment, which is authorized by the TDCJ Executive Director, and issued by Security Operations, shall be utilized in the use of force situations. The equipment currently authorized for use is as follows:
1. Recording Equipment
A. VHS video camera/recorders;
B. Audio cassette recorders; and
C. Polaroid tm cameras.
2. Protective Equipment:
A. Riot Helmets with Face Shield attached;
B. Riot Shields;
C. Riot Batons;
D. Protective Masks;
E. Protective Vests [I .e. riot, thrust, ballistic, etc.];
F. Guards [I .e. skin, knee, elbow, etc.]; and
G. Kevlar protective garments.
3. Restraint Equipment:
A. Handcuffs;
B. Cuff protectors;
C. Leg Irons;
D. leg chains or restraining belts;
E. Plastic Cuffs [disposable type];
F. Handcuff restraint straps;
G. Leg restraint straps;
H. Facial nets/masks;
I. Psychiatric/Mentally Impaired restraint equipment includes: softies; Mittens; restraining sheets; tie jackets; rubber or leather belts and cuffs Wristlets and straightjackets; and
J. In addition to the above-listed restraint equipment, TDCJ Transportation Staff may utilize the following equipment when transporting offenders (NOTE: For specific guidelines for use of the following equipment, refer to The TDCJ Transportation Manual):
[1] Leg Braces; and Leg Tubes; and
[2] L- clips.
4. Chemical Agents:
A. Types of Chemical Agents
(1) OC [Oleoresin Capsicum] - No standard color code; and
(2) Cs [orethozhlorhenzalmalonamitrile] Colour-coded blue
b. Delivery Systems:
(1) Aerosol Spray;
(2) Pepper Fog Generator;
(3) 37mm Gas Gun; and
(4) Grenades.
NOTE: Carry-on-person canisters shall be OC only, and shall not exceed an eighty-ounce capacity.
5.Firearms
a. .223 rifle;
b. .308 rifle;
c. .38 special revolver; and
e. 12-gauge shotgun.
NOTE: The TDCJ Executive Director or designee may authorize staff to carry their own firearm and ammunition for emergency response situations if the individual has qualified with the firearm under the supervision of a TDCJ firearms instructor. Exceptions may only be authorized by the TDCJ Executive Director. Specific firearms guidelines for the Office of the Inspector General (OIG) staff are out lined in the OIG Policy and Procedures Manual.
6.Ammunition
a.(1) .223 calibre;
(2) .308 calibre;
(3) .38 calibre;
(4) .357 calibre; and
(5) 12-gauge.
B. Less than lethal (i.e., rubber pellets, bean bags, etc.)
(1) 12-gauge;
(2) 37mm/40mm gun; and
(3) Grenades.
B.Water Hoses and fire extinguishers are not authorized force equipment and shall not be used as such, except under emergency situation. Should contact be made on an offender with these items, the contact shall be considered a Major Use of Force.
C.Storage, Maintenance, Inventory and Issuance
In accordance with SM-05.02 "Unit/Facility Armoury Operations (Weapons, Ammunition
and Chemical Agents)", the Warden shall designate an area(s) within the unit/facility
for the safe and proper storage of Use of Force equipment. These areas shall be secure
and restricted from all offender activity.
2. Unless authorized by the Warden, no firearms or ammunition shall be located or stored Inside any TDCJ fence/walled perimeter. All external building pickets whose function is to maintain vigilance of the unit/facility perimeter shall be equipped with firearms. (NOTE: The Warden shall also designate a specific area for the safe storage of visiting law enforcement officers' weapons, in accordance with Agency policy).
3. The Warden shall designate one or more staff to be responsible for the storage, maintenance, inventory and issuance of the Use of Force equipment. This shall include ensuring all equipment is in excellent condition, readily available, and inventoried as required.
a.Working condition (i.e., clean and in good repair):
(1) Pepper foggers shall be started twice monthly and test results documented in a log; and
(2) Although firearms shall be cleaned at each unit/facility, repairs shall be accomplished only by trained personnel.
b.Ready availability:
(1) To be issued only upon request of *authorized supervisory staff, who may then issue such equipment to those officers they supervise. (*NOTE: In emergency, may be requested by an officer of lower rank.)
(2) Equip the following staff with handcuffs: Security officers of the rank of Sergeant through Major; Security officers assigned to close custody, medium custody, and Administrative Segregation housing areas; security officers who routinely supervise offender work or movement; Field security officers; and Transportation Officers.
(3) Less than lethal equipment, Chemical Agents, Firearms and Ammunition:
Shall only be issued at the direction of the unit/facility Warden or the designee; however
in addition, a Division Director (Institutional, Parole, or State Jail) may authorize the
Unit/facility Warden to identify unit-specific security staff positions to possess carry-on-person
Chemical agents (in accordance with SM-05.03, Management and Utilization of State-Issued
Chemical Agents).
NOTE: Staff assigned to these identified positions must be trained applicators in order to possess the carry-on-person chemical agents.
(b)When chemical agents are authorized:
i. The employee shall document the type, how many of each, and weir of each (if applicable) upon issuance; and
ii. After utilization of the chemical agents, each canister (if applicable) shall reweighed, and usage documented.
(c)Procedures for routine issuance of firearms (e.g., for out going chain buses) are outlined in post orders.
(d)Transfer officers shall carry only TDCJ-issued firearms and ammunition.
(4)Maintain a log of all items issued from returned to the storage area(s).
c.Inventoried as required:
(1)A daily issuance log of carry-on-person chemical agents shall be maintained;
(2)A monthly inventory shall be maintained of all Use of Force equipment;
(3)A quarterly inventory report of all Use of Force equipment shall be submitted to security Operations;
(4)Lost or damaged Use of Force equipment shall be immediately reported to Security Operations, to include notification of replacement needs;
(5)Use of chemical agents (e.g., ending weight is less than beginning weight; spent grenade; etc), which is not supported by a documented major use of force, shall be investigated by the Unit Major and documented in writing to the Warden; and
(6)Loss of chemical agents, weapons or ammunition shall require an require an investigation by OIG Investigations Division staff.
NOTE: Items (3), (4) and (6) above do not apply to privately-operated facilities.
III.IMPLEMENTATION OF FORCE
It is the policy of the Agency that force shall be used only when necessary and only to the extent necessary to gain compliance. The agency does not, however, expect an employee to assume unwarranted risk of imminent bodily injury or death to himself. The following presents somewhat of a progression of actions to be taken with an offender. However, incidents requiring the Use of Force often evolve quickly and require immediate action. When facing a spontaneous, volatile situation, the immediate response may be to use a higher level of force; however, staff shall provide justification for the force applied.
Occasionally it becomes necessary to order the use of chemical agents or other use of force equipment. Judgments regarding the Use of Force and the level to which it is applied should be guided to the fullest extent by the following principles. (NOTE: There may be situations in which additional force is necessary to control an offender whose behaviour becomes confrontational again, subsequent to cessation of the first application, and before the use of force is completely terminated.)
A.General Guidelines to be Observed Prior to Implementing Force
1.Every effort should be made to anticipate and defuse in advance those situations, which might give rise to conflict, confrontation, and violence.
2.When possible, plan strategy in advance. provisions should be considered to document an entire incident, including efforts by staff to reason with an offender, using video equipment. When possible, provisions should be made for the direction of the incident by a supervisor not physically involved in the incident.
3.All reasonable actions should be taken to stabilize the situation. Reasonable actions should progressively include, where possible:
a. Listening
b. Attempting to calm or reason with the offender;
c. Explaining the consequence of the offender's behaviour;
d. Notifying the supervisor;
e. Requesting video camera and operator;
f. Securing the area where the offender is located;
g. Requesting additional staff; and
h. By staff presence, making a visible show of force.
B. General Guidelines to be Observed When Implementing Force
1. Staff Present
All Use of Force shall be directed by a supervisor whenever possible. The supervising officer shall avoid personal involvement in the Use of Force unless
no other course of action is possible.
b.Once a Use of Force ceases, when additional officers are available and the situation permits, the supervisor shall replace officer participants with non-participant officers, for report-writing purposes.
II. Use of Recording Equipment
a.Video/ Audio Cameras
(1)All shifts shall have trained video camera operators on duty and only those trained officers shall operate the video camera, except during emergency situations.
(2)Video equipment shall be requested any time an employee expects a confrontational situation or as soon as possible after an unexpected confrontational situation arises.
(3)A video camera shall be used to record Use of Force incidents whenever the situation permits.
(4)If possible, only one incident shall be recorded per videotape.
(5)The shift supervisor or video camera operator shall record a brief statement on the video equipment, to include:
(a)Date/time, unit/facility, name/rank of supervisor,
(b)Name/rank of video camera operator;
(c)Offender’s name and TDCJ number; and
(d)Location (i.e., wing, row, cell number).
(6)The offender videotaping the incident shall ensure the:
(a)Camera has a videotape ready to record;
(b)Date and time display are correct;
(c)Lighting is operational;
(d)Camera is turned as soon as possible or when an Incident begins (i.e. forced move); and
(e)Offender and employee participants stay in view and are Recorded at all times so far as possible (NOTE: For best Coverage of an incident and identity of participants, it isadvisable to keep the camera on wide angle filming).
(7)If a use of force involves seven or more offenders who are not injured, videotaping a full front and back view of each offender shall be accomplished in lieu of the still photograph procedure [described in III.B.2.b.(5) below]
(8)Strip searches related to a Major Use of Force shall be videotaped without regard to nudity.
(9)Videotaping shall not interfere with life-saving techniques being administered by medical staff.
(10)Videotaping of a Major Use of Force incident shall continue until the incident is terminated by the supervisor (i.e., offender has been placed in a secure are the restraints have been removed). If 15-minute checks are utilized, use of the video Camera may be terminated by the supervisor between the 15-Minute checks.
(11)If the offender is being transported off the unit/facility, videotaping may be discontinued once the offender is placed in the transport vehicle and its doors secured.
(12)Staff shall state on camera the reason for discontinuing videotaping
b.Audio cassette recorders and Polaroid cameras.
(1)Audio cassette recorders may be used by the unit/facility administration to record a use of force event, but not in lieu of video recording when possible.
(2)If possible, required photographs shall be taken at the time participants are taken for medical examinations.
(3)No force shall be used to obtain photographs for the purpose of reporting a use of force.If an offender refuses to stand or pose for photographs, the photographs shall be taken of the offender where he is at the time.
(4)In taking photographs, an offender’s clothing shall not be removed unless it is necessary to photograph an injury. All Reasonable steps shall be exercised to avoid nude photographs (I.e., placement of towel in front of offender’s private body parts). In the case of female offenders, the breasts shall be covered before photographing unless the injury was to this body area.
(5)Security staff shall take a minimum of two (2) photographs (full Front and back) of each offender participant in a major or deadly Use of force incident. (NOTE: Additional photographs may be taken at the Warden’s discretion to be retained with the Unit’s/facility’s copy of the Major Use of Force Report.)
(6)Once medical staff has completed their examination, security staff shall take photographs of each offender participant’s Injuries which occurred during the use of force. This should be done prior to the bandaging of the injured area; however, shall not interfere with emergency medical treatment by attending Medical staff. (NOTE: Photos shall be taken in accordance with AD-03.47, “Precautionary Measures to be utilized in Offender Injury Photographs.”)
(7)An employee’s injuries shall be documented by photographs, unless the injury is to private body parts; in which case, the Employee may decline to have photographs taken.
(8)Photographs shall not be altered in any manner (e.g. white out, Tape, marker, or any other method
(9)If additional force is necessary to control an offender whose Behaviour becomes confrontational again (subsequent to cessation of the first application and before the use of force is completely Terminated), more photographs shall be taken at the time of the Subsequent physical examination.
3.Use of Protective Equipment
Riot Helmet with Face Shield: Serves to protect the head, face and eyes from blows to the head, thrown objects or liquids. Should be worn any Time an offender is faced with a potentially physically confrontation with an Offender.
b. Riot Shield: Provides maximum frontal protection in confrontational Situations. The shield is principally used in three (3) major positions of Defence:
(1)Left side position;
(2)Right position; or
(3)Overhead position.
c. Riot Baton: Primary use is for defence and only then to prevent serious Bodily injury to another person or to prevent serious property damage. The baton can serve as an effective defensive instrument especially when An attacker attempts to strike the head, groin, rib, or side of the torso. The baton shall never be used to punish. Staff members are responsible For their own actions with a baton. If it becomes necessary to strike an Offender in self defence of another, the blow should be to a non-vital area, such as the:
(1)Clavicle (collarbone);
(2)Knee (inside or out); or
(3)Arms (particularly the elbow); and
Blows should be avoided to vital areas, such as the:
(1)Head;
(2)Kidney area;
(3)Liver area; or
(4)Genital area
d.Protective Mask: Serves to protect the eyes, nose and throat in aChemical environment; therefore, shall be worn any time an employee is Involved in the deployment of chemical agents. (NOTE: Protective Masks are not a substitute for Scott air packs and are not to worn in a Smoke-filled environment)
e.Prison Riot Vest:Provides maximum protection to upper torso against Trauma from blunt objects and edged or pointed weapons. The Prison Riot Vest shall be worn during riots, disturbances and forced moves or any time where a threat of non-ballistic weapons is imminent. The Prison Riot Vest should not be used in any ballistic threat situation.
f.Thrust Vest: Provides protection to the upper torso against a ballistic Threat.
g.Ballistic Vest: Provides protection to the upper torso against ballistic Threats.
h.Shin, Knee, Elbow Guards: Provide protection to exposed limbs and Joints against trauma. Should be worn with a Prison Riot Vest during Forced moves. These items may be worn during riots and disturbances for an additional level of protection.
4.Use of Physical Force
a.When physical force must be applied, defensive tactic are preferred. These are holds and tactics that prevent blows to the officer and that permit the officer to restrain the offender without striking him. (NOTE: Defensive tactics are explained and demonstrated by the Training Department. Any type of pressure point taught by the Training Department shall only be used in extreme situations.)
b.Although it may become necessary to place an offender on the floor, care shall be exercised to avoid serious bodily injury to the offender.
c.For the purposes of making a photo I.D., an offender shall cooperate in having his fingerprints taken, shaving, having his hair cut, and having a Photograph taken when he is received at diagnostic/intake unit/facility or to update the I.D. If an offender refuses to cooperate in this Procedure, only the amount of force necessary to gain compliance with the order shall be utilized, unless precluded by medical orders.
d.If an offender refuses to walk, he should not be dragged except in Emergency situations. A hospital gurney or wheelchair may be used to Transport the offender or he must be carried by a sufficient number of Officers, in order to prevent injury to the offender.
e.If a situation occurs in which an offender takes control of he cell door Food slot, no force shall be attempted until a security supervisor and video camera are present.
f.If a situation occurs in which an offender climbs a recreation yard fence, Dayroom bars, or other similar fixtures, and refuses to come down, Extreme caution shall be used in the removal of the offender.
5.Restraint Procedures
Physical or mechanical restraint may be used to enforce agency policy and Procedure, which includes the following situations. However, restraint shall not be used in such a way that is more confining than required by the circumstances Nor as discipline. Due consideration must be given to the comfort and welfare of an offender, commensurate with an adequate degree of safety and level of restraint.
Appropriate situations in which to restrain an offender:
(1)As a precaution against escape during the transfer of offenders outside the compound;
(2)To enforce Agency policy and procedure in maintaining or regaining control of a TDCJ unit/facility or any part of it, where Lesser means have proven ineffective;
(3)When an offender creates a disturbance, to include throwing Projectiles or destroying property;
(4)For medical reasons or for he prevention of self-injury, however only at the direction of medical staff, except in emergencies(Refer to TDCJ Mental Health Services Manual - MHS IV.H.);
(5) When escorting administrative segregation, solitary or death row Offenders, in accordance with Agency policy;
(6)If an offender is spitting, a facial net/mask may be placed on the Offender; or
(7)As soon as possible when it appears that an offender mayBecome violent or disruptive.
b.Physical Restraint
(1)If it becomes necessary to place an offender on the floor, an Officer may restrain the offender by placing his (the officer’s) Hands or upper body (do not elbow, knee or sit on the offender), In a non weight-bearing manner, over the offender’s prone body; The offender’s legs shall not be crossed or bent towards the Buttocks;
(2)Without applying pressure to the neck, the offender’s head may be controlled by holding it to one side;
(3)Do not apply excessive pressure to the offender’s back, chest or Stomach;
(4)The offender shall then be placed on his side and into a sitting Position as soon as practicable; and
(5) The supervisor shall ensure the offender is continuously monitored to identify breathing difficulties, loss of consciousness or other medical concerns, and seek immediate medical treatment if necessary.
c.Medical Restraint
(1) Appropriate restraints shall be applied during Major Use of Force incidents or whenever it appears an offender may become violent or disruptive, unless an offender's physical condition precludes such use (i.e., arm in cast, or other similar circumstance)
(2) While restrained, an offender must be checked every 15 minutes, and the restraints must be loosened and re-tightened periodically at least once per hour, when practical). The use of restraints should be terminated as soon as possible.
(3) Mechanical restraints are temporary restraining devices and provide only limited control. A restrained offender is still potentially dangerous.
REMEMBER.
(a) It is possible for an offender to defeat or to remove these devices;
(b) Restraint devices should be double-locked when practicable; and
(c) It is possible for the offender to launch a deadly attack even though he may be properly restrained.
(4) Prior to the application of restraints n a psychiatric inpatient or a psychological outpatient, where circumstances permit, mental health personnel shall be consulter. Mechanical restraints should be employed progressively (i.e., handcuffs should be utilized prior to applying leg chains).
(5) In cases of medical emergencies, a physician's directions shall be obtained as early as practicable. Use of mechanical restraints for the medical reason shall be fully documented in the offender's medical record.
(6) Offenders shall not be restraint to a stationary object (e.g., cell bars or fences).
(7) Specific Guidelines for the Use of Handcuff Restraint Strap:
(a) Handcuff application is effective in defusing many potentially dangerous situations.
(b) A handcuff restraint strap can enable staff to maintain better control of the handcuffs during their application or removal through a cell door.
(c) When an offender voluntarily complies with the application of handcuffs and no injuries are sustained, the procedure shall be considered as routine does not require a Major Use of Force Report. However, the officer applying the handcuffs shall report the incident to his immediate supervisor to allow for a decision to be made if any further reporting of the incident is necessary.
(d) When an offender resists or sustains injuries during the application of handcuffs, a Major Use of Force report is required.
(e) Security staff shall remove the handcuffs at the direction of a supervisor once the offender is calm, in a secured area and the situation is defused. If however, the offender requires medical treatment, the medical staff may have the handcuffs temporarily removed. Upon completion of medical treatment, the handcuffsmay be replaced, if necessary for security reasons. In the cells having a food slot, use of the slot is recommended for the removal of handcuffs.
(f) Once an offender is in a secured area and refuses to relinquish the handcuffs, a minimum of two 15-minute checks on the offender shall be conducted, after which force (to include chemical agents) may be used to remove handcuffs.
(g) If an officer was not a participant in the initial application of force and only assists in applying handcuffs, carrying or escorting an offender, the officer would be considered (for reporting purposes) a ' witness.' However, if the offender resists, the officer would be a ' participant.'
Use of Chemical Agents
If lesser means have proven ineffective, chemical agents may be used to gain compliance from an offender who refuses o obey a lawful order. I the event the use of chemical agents has no effect in controlling a situation, the supervisor shall determine what steps are necessary, in accordance with the Use of Force Plan, to gain control. However, there are in certain circumstances under which chemical agents shall not be used: on offenders who are incapable of responding to commands and orders being given to them by the staff (e.g., during epileptic seizures, or other similar situations); and on offenders from whom staff is collecting forensic evidence, such as blood or hair sample or fingerprints (in accordance with AD-16.04, "Forensic Evidence Collection").
a.Required Authorization
(1) Security Staff
(a) When an offender fails to comply with a lawful order, the officer on duty shall attempt to handle the situation. If the offender continues the behaviour, the officer shall notify his supervisor.
(b) When the supervisor arrives, he shall take charge of the situation and order the offender to comply. If the offender continues the behaviour, the supervisor shall notify the highest-ranking shift supervisor on duty.
(2) Medical/Mental Health Staff
(a) Prior to the use of chemical agents, where circumstances permit, medical/mental health staff shall be consulted and medical records shall be reviewed to determine if the use of chemical agents would be detrimental to the mental or physical healt of the offender involved.
(b) Unless necessary to prevent loss of life, significant property damage, or imminent bodily injury to persons, no chemical agents or physical force should be used against offenders assigned to an area designated as a Mental Health Treatment program until mental health staff has been contacted and has attempted to control the situation.
b.Procedures for Use
(1) The shift supervisor shall:
(a) Determine which chemical agent is to be used, based on area size and location (indoors/outdoors), in accordance with SM-05.03, Management and Utilization of State-Issued Chemical Agents;
(b) Ensure it is administered by a trained applicator; and
(c) Personally oversee the application of the chemical agent.
(2) Chemical agents used shall be the minimum amount necessary to gain compliance.
c.Types and Their Effects
(1)OC (oleoresin Capsicum)
(a) Effects are instant; and
(b) May cause acute burning and closing of eyes, along with inflammation of mucous membranes and upper respiratory system.
(2)CS (orthochlorbenzalmalononitrile)
(a) In low concentration, range of effects appears in twenty to sixty seconds;
(b) May cause tears, sneezing, skin irritation, coughing, irritation of nose and throat, sinus and nasal drip, tightness in chest, difficulty in breathing, and burning and pain in eyes that prevents their opening;
(c) As concentration goes higher, may cause increased nausea, vomiting, vertigo and complete helplessness and immobility within sixty (60) seconds, requiring assistance in moving from the area; and
(d) Although unlikely outdoors, exposure can be lethal if individual is left in high concentration for a relatively long period of time.
d.Decontamination Procedures
After chemical agents have been used and the situation has been brought under control, individuals and the area affected by the chemical agents shall be decontaminated as soon as possible. All affected individuals shall be examined by medical staff, properly decontaminated, or advised as to proper decontamination procedures, and offered a change of clothing. Force shall not be utilized to decontaminate an offender.
(1) Exposure to OC
(a) Decontamination of individual:
i. Move the affected individual to uncontaminated air, if necessary;
ii. Individual should remove contact lenses and contaminated clothing;
iii. If contaminated portion of the body is primarily limited to facial area, and there is no ongoing exposure in the cell from residual agent, the offender may flush-in-cell by cupping water and splashing it on the face. Otherwise, or if symptoms persist after facial flushing, the offender may be offered a shower (if he has an in-cell shower, advise him to shower); and
iv. Do not apply salves, creams, oils, or lotions which ca He should be enn trap the irritant.
(b)Decontamination of area:
i. Ventilate the affected area and the OC should dissipate within thirty (30) minutes; and
ii. Launder necessities that have been contaminated.
(2) Exposure to CS
(a)Decontamination of individual:
i. During the initial recovery period, the individual may be quite alarmed because he is unable to breathe normally. He should be encouraged to remain calm, and reassured that once recovery starts, it will occur quickly;
ii. Move the affected individual to uncontaminated air (preferably facing into the wind), if necessary;
iii. Individual should remove contact lenses and be cautioned not to rub his eyes; in cases of severe irritation, the victim should irrigate his eyes with water (i.e. by cupping water and splashing it on the face) or a one percent solution of sodium bicarbonate;
iv. If chemical agent residue is found on any individual’s clothing, the clothing must be removed to obtain complete relief;
v. Generally, an individual exposed to CS may shower immediately. However, if CS dust particles are on the skin, as evidenced by a slight burning or tingling sensation when moist, showering should be delayed for about six (6) hours. When these individuals do shower, they should use soap and avoid harsh rubbing of the affected areas.
vi. In cases of gross contamination of the skin, the affected areas (except around the eyes) should be flushed with ethylene glycol or five (5) percent solution of sodium bisulphate, rinsed with water, and a steroid or antihistamine ointment applied.
(b) Decontamination or Area:
i. Ventilate the contaminated area; and
ii. Affected surfaces are to be washed with a five (5) percent solution of sodium hydroxide in equal portions of ethanol and water, and then rinsed with clear water.
7. Use of Firearms
Although indiscriminate use of firearms will not be tolerated, neither will failure to use them when their use is necessary to meet the primary obligations of the agency. An officer who fails to use a firearm, when necessary, to prevent an escape or serious bodily injury to another person has failed to perform his primary responsibility.
(a)Staff shall never carry a weapon inside the unit/facility unless authorized and no personal weapons shall be kept on the unit/facility or at Bachelor Officer Quarters (BOQs). Further guidance is provided in BR-151.21, “Prohibition on Carrying Weapons”. (NOTE: Secured weapons may be kept in state housing.)
(b)Firing at an offender
(1) An officer shall fire at an offender only when it appears probable the offender will elude immediate efforts for recapture, or to prevent loss of life or imminent serious bodily injury to other persons in the area;
(2) An officer shall not fire at an offender if the firing will endanger the lives of others.
C.Notification of Examination by Medical staff
1.Medical staff should be present during a Major use of Force whenever possible.
2.Immediately following any use of force, including minor, physical examinations of employees and offenders shall be conducted by medical staff.
3.Examinations shall be conducted without unnecessary delay, unless a delay is justified (i.e. transporting offender from outside to inside the unit/facility).
4.If an employee wishes to seek treatment by a private physician, he shall submit the name of the physician and the facility where the treatment will take place to unit medical staff.
5.If an offender refuses to undergo an examination, the medical staff must at least provide a visual assessment of the offender’s condition.
6.If possible, the required photographs or videotaping of offender participants and any injuries shall be accomplished (as described in section III.B.2. above) at this stage of themajor or deadly use of force incident.
7.Medical examinations of offender participants shall be videotaped but shall not interfere with life-saving techniques by medical staff.
8.If additional force is necessary to control an offender whose behaviour becomes confrontational again, subsequent to cessation of the first application and his physical examination, and before the use of force is completely terminated, another physical shall be conducted (to include photographs).
IV.FORCED MOVES
A.Used When an Offender Refuses:
1.A direct order for routine cell search or body search;
2.A direct order to move from one location to another; or
3.To provide a blood sample or other specimen for DNA analysis as required by law.
B.Required Authorization
1.When an offender refuses to comply with one of the foregoing orders, the officer shall attempt to calm the offender and encourages him to comply. If te offender continues to refuse, the officer shall notify his supervisor.
2.When supervisor arrives, he shall take charge of the situation and order the offender to comply. If the offender continues to refuse, the supervisor shall notify the highest-ranking shift supervisor on duty.
3.It is then the responsibility of the highest-ranking shift supervisor on duty to authorize a forced move.
C.Preparation for a forced Move
1.A supervisor shall select five (5), preferably experienced, correctional officers. Further, if adequate staff is available, it is advisable that a correctional officer who has had prior confrontational contact with the offender not be allowed on the team (especially if the offender’s actions were hostile or aggressive to the officer).
2.The forced move team shall be equipped, at a minimum, as follows:
a.The point man shall have a riot shield (if circumstances necessitate);
b.Each team member shall wear a protective vest, riot helmet with plastic face shield, and other protective padding if available;
c.One designated team member shall carry handcuffs; and
d.One designated team member shall carry leg irons.
3.The supervisor in charge shall notify the unit/facility medical staff of the impending use of force and request that they be present, if possible. Medical staff shall advise if any medical problems exist to preclude the use of force.
D.Procedures
1.The supervisor shall assign one (1) officer to record the events with the video camera. The supervisor in charge shall record a brief statement on the video equipment to include basic information (i.e. date/time; location; etc.), as well as noting the:
a.Offender’s actions which necessitate the forced move; and
b.Team members’ names/ranks and assigned number on the team.
2.The supervisor and the move team shall proceed to the offender’s location. The supervisor shall explain to the offender on videotape:
a.What behaviour is expected (e.g. back up to the bars to be handcuffed; kneel for placement of leg restraints; and other similar commands);
b.The possible consequences of his failure to comply (to include the possible use of Chemical agents); and
c.If the offender refuses to acknowledge or comply, the supervisor shall repeat the order a second time.
3.When possible, the supervisor shall give a verbal narrative on the videotape describing the
events as they are taking place (i.e. which officer is talking to the offender; who the offender
is trying to bite; and other similar information). While doing this, the supervisor shall stand
aside and not obstruct the view of the camera operator.
4.Move Team Assignments
The supervisor shall oversee the forced move and not become physically involved unless
the situation dictates. The move team shall perform their respective restraint and release
assignments. In the event of unusual or unexpected developments, officers may deviate
from their assignments to ensure that maximum control and security is maintained.
a.Restraint of Offender
(1) Officer #1 shall enter the area first with a riot shield and immobilize the offender by pinning him (the offender) against the wall, bed, or floor. Every attempt shall be made to prevent harm to the offender, while keeping the offender from harming anyone else andensuring control is maintained. Once the offender is physically under control, Officer #1 shall remain to assist the other officers as necessary.
(2) Officer #2 shall enter the area immediately following Officer#1. Officer #2 shall secure the right arm of the offender (or the arm containing the weapon, if a weapon is possessed) and place it behind his (the offender's) back. Officer #2 shall retrieve the weapon from the offender once he is immobilized. Officer #2 shall maintain control of the right arm (or arm that possessed the weapon).
(3) Officer #3 shall carry handcuffs and enter the area immediately following Officer #2. Officer #3 shall secure the remaining arm of the offender and place it behind his (the offender's ) back, apply the handcuffs to the offender's wrists, and maintain control of the offender's left arm ( or the arm which did not contain the weapon). If practicable, the handcuffs shall be double-locked.
(4) Officer #4 shall enter the area immediately following Officer #3. Officer #4 shall secure and maintain control of the right leg of the offender.
(5) Officer #5 shall carry leg restraints and enter the area immediately following Officer #4. Officer #5 shall secure the left leg of the offender, apply leg restraints to the offender's ankles, and maintain control of the left leg, If practicable, the leg irons shall be double locked.
(6) Restraint procedures, as previously defined herein, shall be followed.
(7) Move team members shall then remove the offender from the area by carrying him, allowing the offender to walk, or via a gurney or wheelchair if necessary.
(8) The supervisor shall ensure the offender is checked by medical staff. This should be accomplished prior to the offender's release from the restraints.
bRelease of Offender
The supervisor shall instruct the officers to remove the mechanical restraints. Generally, the leg restraints will be removed first and the offender placed in a secure location. If in a cell with food slot, the handcuffs may then be removed through the opening. Should it become necessary to remove the restraints by force, the move team shall perform the following release procedures:
(1) The offender shall be placed in a cell or some other location in a prone position for restraint removal. If in a cell, his head shall be toward the wall and his feet toward the cell door. The offender shall be instructed to remain in the prone position until all restraints have been removed, all officers have excited the area, and the offender is secure.
(2) Officer #2 shall maintain control of the offender's right arm. Officer #3 shall unlock the handcuffs, remove the offender's left wrist from the handcuff, and place his left hand and forearm under his (the offender's) body or behind his back. Once the left arm is secure, the handcuff shall be removed from the offender's right wrist and the right hand and forearm shall be placed under his (the offender's) body of back. The offender shall remain in the prone position.
(3) Officer #4 shall maintain control of the offender’s right leg. Officer #5 shall unlock the leg restraints and remove the cuff from the offender's left leg. Once the left leg is secured, the cuff shall be removed from the right leg.
(4) The supervisor shall instruct the officers to exit the area. Officers shall back out of the area, with the Officers #4 and #5 leaving first, followed by Officer #3, then Officer #2 and Officer #1. If in a cell, the door shall be closed immediately.
Following the forced move, the supervisor shall:
(1) Assemble all employee participants in an area away from the scene;
(2) Check for any employee injuries and refer for necessary treatment; and
(3) Report the forced move to the unit/facility Warden or designee.
V. UNIQUE SITUATIONS REQUIRING THE USE OF FORCE
While the implementation of force in the following situations shall be in accordance with the Use of Force Plan, the reporting requirements may differ somewhat.
AGroup Disturbances
In the event a unit/facility has a disturbance and seven or more offenders are involved in a Major Use of Force incident, the following procedures may be utilized:
1. If an offender involved in a group disturbance is not injured during the Use of Force, his medical examination (full length of body, front and back of the offender) may be videotaped and no photographs have to be taken, Further, there is no requirement to remove an offenders clothing unless it is necessary to photograph an injury. The offenders name and number shall be stated on tape as an exam is performed.
2. If an offender involved in a group disturbance is injured during a use of force, photographs shall be taken of his injuries before bandages are applied, if possible.
B.Offenders Being Transported
1. Should there be a need to implement force while transporting an offender, it shall be accomplished in accordance with the Use of Force plan.
2. The driver shall then transport the offender to the closest TDCJ unit/facility enroute, whose staff shall be responsible for medical examination and use of force reporting requirements.
3. While in transit, if an offender should require immediate medical attention following a Use of Force, the driver shall:
a. Transport the offender to the closest TDCJ unit/facility if practicable or non-TDCJ medical facility available for treatment and medical release; or
b. If the offender is required to stay at a non-TDCJ medical facility, ensure security over the offender is established at the medical facility prior to departure; and
c. In either case, if treated at a non-TDCJ medical facility, thereafter proceed to the closest TDCJ unit/facility enroute, whose staff shall be responsible for the use of force reporting requirements.
C.To Accomplish medically-Ordered Treatment
1. If any offender refuses medical treatment which medical staff believes is necessary for the safety of the offender, or other persons in close proximity to the offender, force shall be used to accomplish this treatment.
2. Before a medically-ordered use of force may take place, verbal intervention (to comply with the order to avoid enforcement) must be attempted by security staff, the unit/facility mental health or nursing staff. The mental health or nursing staff shall be filmed while they are talking with the offender (verbal intervention). If verbal intervention by the staff is unsuccessful, the use of force shall begin.
3. The Unit's Quality Improvement Review Committee shall review each medically-ordered use of force.
4. There are different reporting time frames when force is used to accomplish medically-ordered treatment.
DCollection of Blood Sample or Other Specimen
1. Forensic Evidence Collection
Due to a criminal investigation, it may become necessary to obtain forensic evidence from an offender, such as a blood sample of hair sample or fingerprints. A sample is usually obtained through the offender's execution of”consent to search Form". However, if an offender refuses to voluntarily operate, a search warrant may be obtained from a Court of Record, ordering the offender to provide the sample. Should use of force become necessary to collect a sample, TDCJ staff shall do so in accordance with AD-16.04, "Forensic Evidence Collection," and the TDCJ Use of Force Plan.
E.Offenders sentenced to Death
Use of Force reporting requirements shall be followed on all offenders sentenced to death until such a time as an offender is taken from his holding cell to be escorted to the death chamber for a court-ordered execution.
VI. TRANSMITTING USE OF FORCE INFORMATION
A.In accordance with AD-02.15, "Operations of the Emergency Action Centre and Reporting Procedures for Serious or Unusual Incidents," certain incidents are to be telephonically reported to EAC within a specified time frame and EAC staff assigns an Incident Number. If a serious or unusual incident meets the definition of a Major Use of Force Report.
B.within Twenty-four (24) hours of a use of force incident, the unit shall initiate a telex message with information contained in sections I., II, and IV. Of the UOF-6, Supervisor Summary of Incident.
1. Each unit is authorized at least one designated terminal, and corresponding printer, to facilitate automated use of force reporting. Request to re-designate, add or delete terminals/printers shall be directed to the Administrative Monitor for Use of Force for coordination with the Information Technology Division. (NOTE: In determining terminal/printer locations, security of the information is imperative.)
2.Utilizing a designated TDCJ computer terminal, the sender shall:
(a) Clear screen
(b) Type: UFMA for major/deadly uses of force, or UFMI for minor uses of force ( a screen with prompts to insert use of force information will appear; at each prompt, use the PF1 key to engage a drop-down screen which provides appropriate entry options);
(c) Fill in the blanks, including offender TDCJ and employee Social Security numbers;
(d) After responding to all question prompts, press ENTER to confirm key-in data (computer will automatically complete other information about each offender/*State employee); and
(e) Verify all entered information, then utilize the prompt at the bottom of the screen to transmit the message (it is at this time that an automatically-assigned MAUF of MIUF Report numbers appears).
* NOTE: For privately-operated facilities, and for any contract employee, the sender shall enter all employee information as there is no TDCJ database on these persons.
3.The Telex system shall be programmed system wide to allow telex messages for:
(a) Major or Deadly Uses of Force to be simultaneously transmitted to the Emergency Action Center (EAC), OIG Investigations Division, Private Facilities Division (PFD) Director, the appropriate Regional Director's Office (ID or SJD), Regional OIG Investigations staff, and the Administrative Monitor for the Use of Force; and
(b) Minor Uses of Force to be transmitted to the Administrative Monitor for Use of Force.
How to correct/Update Information
If a previously sent use of force message needs to be corrected (e.g. date/time of incident; a TDCJ number; void due to duplication; etc) or updated (e.g., offenders or employees added, etc.), an e-mail message shall be individually sent to all those destinations listed above that receive the initial message:
1.Sign on terminal and go to main menu;
2.Type: EMS (E-mail main menu will appear);
3.Type; 1, which is send-Kwiksend (cursor will go to command line);
4.Press Return two times (cursor will go to subject; field);
5.Type; the MAUF number (e.g., MA-00000-00) or MIUF number (e.g., MI00000-00);
6.Press return one time (cursor will go to DEST; field);
7.Type: HQEAC01, HQIA001, HQCP001, and E-mail destination code for appropriate Regional/Division Director;
8.Press return one time (cursor will go to a blank part of screen);
9.Type the information needed for the correction (e.g., if an offender or employee needs to be added, type all information exactly like it is printed on a regular MUOF report; Name; TDCJ number, Gender, Race, Age; etc.);
10.E-mail screen will continue to scroll down automatically; a second page does not need to be added; the printer will divide the pages when the messages print;
11. After typing all information, press ENTER (cursor will go to command line);
12.Type; Sprint (will send message and print a copy for the sender).
UNIT/FACILITY REPORTING PROCEDURES
There are external reporting requirements in addition to required agency reporting as soon as it is determined that the excessive or unnecessary force was used against an offender who is under the age of 18 (a child). In these instances. the Warden or designee shall report such abuse to the appropriate state or law enforcement agency, as well as the Department of Protective and Regulatory Services.
A.When TDCJ employee observes or participates in a use of force incident, he shall immediately report the incident to his shift supervisor, who in turn notifies the highest-ranking shift supervisor.
B.All uses of force (minor, major or deadly) are reported in the same manner, utilizing the same forms, with the following exceptions;
1.Minor - There is no requirement to complete the; Use of Force-7 (quality Improvement Review), and Use of Force-10 (document checklist); or for the videos/photographs to be taken of the offender.
2.Major or Deadly - all reporting documentation described below, if applicable to the situation, is required.
C.The shift supervisor shall ensure a report number (either minor or major [and incident number, if applicable]) is assigned and entered on all subsequent report documentation. In situations where additional force is necessary to control an offender whose behaviour becomes confrontational again (subsequent to cessation of the first application, and before the use of force is completely terminated), it shall be documented in the originating major use of force report.
D.It is the shift supervisor's responsibility to provide forms to all persons (employees and offenders) required to report a use of force; and, upon collection of the forms, ensure each one is complete. If incomplete, the shift supervisor shall return it for completion.
E.If not typed, use of force reports shall be eligibly completed in black ink. Employee participant and witness statements shall be submitted to the shift supervisor as soon as possible following the incident, or at least prior to the employee's departure from the unit/facility,
F.If the supervisor was a participant in the incident or a witness to the application of force, or an ensuing physical or escort, he shall complete a UOF-1 (participant statement) or UOF-3 (witness statement), respectively. This will be in addition to his completion of the UOF-6 Form (supervisor summary).
G.If a unit/facility is advised that an incident was initially under-reported (e.g., and later upgraded from a minor to a major), or not reported at all ( and later sustained through an OIG investigation), the Warden shall take immediate steps to initiate the required reporting procedures.
H.A tape with a video-recorded use of force incident shall accompany the corresponding Major Use of Force Report through the review process and be tagged with:
1.The corresponding Major Use of Force number;
2.Date and time of incident;
3.Name of offender or indicate "group"; and
4.Video camera operator's name.
I.Photographs accompanying the Major Use of force Report shall be labelled with:
1.The corresponding Major Use of Force number;
2.Date and time photographs are taken;
3.Offender's name that photograph depicts;
4.Employee's name that photographs depicts; and
5.Name of employee who took the photograph.
J.Unit/facility documentation of a use of force incident shall be accomplished (from initial reporting through the *employee reprimand, if completed and applicable) in a timely manner and, by no later than the 15th day following the incident, a;
1.Minor use of Force Report shall be forwarded buy the shift supervisor to the Unit Use of Force Coordinator for either;
a. Filing (all copies); or
b. If the shift supervisor advises an employee has committed an inappropriate action, the report shall be forwarded to the assistant Warden or designee for further action and ultimate filing as appropriate.
2.Major uses of Force Report shall be forwarded to 'regional staff' as noted in Section VIII for the first level of administrative review. (NOTE: If a Quality Improvement Review Committee is required, then this time frame shall be extended by 15 days, and the Report forwarded to 'regional staff' by no later than the 30th day following the incident.)
*NOTE: If an MAUT Report indicates there is a possibility that an employee has committed a violation and the documentation is not yet completed for that process (i.e., fact-finding inquiry, notice of hearing and reprimand form), it shall be forwarded to the level of administrative review as soon as possible.
K.Report Forms
An employee shall not collaborate with another employee or with an offender in order to write statement, nor shall an offender collaborate with another offender of employee in order to write a statement. In addition, employees and offenders shall not utilize the videotape of an incident from which to write their statements.
The forms (copies attached) are produced in triplicate, an original (white) and two copies (yellow and pink), and are listed in the order they are to be completed;
1.UOF-1 Form - Employee participant Statement
a. Each employee who participates in a use of force shall accurately complete a UOF-1 Form and submit it to his shift supervisor as soon as possible, or at least prior to departure from the unit/facility.
b. If an employee finds it necessary to use additional force after the cessation of the first application and before the incident is completely terminated, he shall provide justification on the original UOF-1 Form (or UOF-8 Form [continuation page]) and describe the force used and the duration of application.
2. UOF-2 Form - Offender participant Statement
a. Once an offender participant has under gone a physical examination by medical staff, the shift supervisor shall provide the offender a UOF-2 Form.
b. If an offender has difficulty completing the form, he may seek the aid of fellow offenders or TDCJ employees; however, the statement must be voluntary and include only information the offender provides.
c. If an offender refuses or is unable to complete the form, the shift supervisor shall write (in the section at11.h.) the reasons why the offender did not complete the form, have two (2) employees who were not participants in the use of force sign their name and social security numbers to the refusal statement, and make the form part of the MAUF/MIUF report.
d. All offender statements written in any language other than English shall:
(1) Be translated into English on a UOF-8 (continuation page);
(2) Bear the name and social security number of the employee translator; and
(3) Accompany the original statement.
3.UOF-3 Form - Witness Statement
a. The UOF-3 Form is for both employee and offender witnesses.
b. Employee Witnesses
(1) Each employee who witnesses an application of force upon an offender shall complete a UOF-3. (NOTE; seeing an offender being escorted during a use of force incident does not require a witness statement, unless there is continued physical resistance.)
(2) The video camera operator shall complete a UOF-3 Form, to include a notation that he was the video camera operator.
(3) If the medical staff member witnesses a use of force, he must complete a UOF-3. Medical staff is not required to complete a witness statement if they only conduct the medical exam and do not witness the application of force.
(4) Any other person who the shift supervisor has reason to believe may have information, which could help explain what transpired.
c.Offender Witnesses
(1) Each offender who witnesses an application of force on another offender shall be asked to complete a UOF-3.
(2) If an offender has difficulty completing the form, he may seek the aid of fellow offenders or TDCJ employees; however, the statement must be voluntary and include only information the offender provides.
(3) If an offender refuses or is unable to complete the form, the shift supervisor shall write (in the section at11.h.) the reasons why the offender did not complete the form, have two (2) employees who were not participants in the use of force sign their name and social security numbers to the refusal statement, and make the form part of the MAUF/MIUF report.
(4) All offender statements written in any language other than English shall:
Be translated into English on a UOF-8 (continuation page);
Bear the name and social security number of the employee translator; and
(c) Accompany the original statement.
(5) Offender witness forms shall be completed and submitted within 24 hours following the incident to the shift supervisor on whoseshift the incident occurred.
4.UOF-4 Form - Offender Group refusal (if applicable)
a.The UOF-4 Form shall be used for seven or more offenders that refused to complete either a UOF-2 and/or UOF-3.
b.The Form shall include offenders' first and last names, their TDCJ numbers/custody, and whether they were a participant or a witness.
c.Two employees shall be present: one shall complete and sign the UOF-4; and the other shall observe the completion of the form and sign it as a witness.
(NOTE: If 'offender participants' are included on the UOF-4, have two employees who were not participants in the use of force complete and witness UOF-4.)
5.UOF-5 Form - Employee/Offender Use of Force Injury report
a.Following examination, medical staff shall complete a UOF-5 on al employee and offender participants in a use of force incident.
b.Should an employee seek treatment by a private physician, he shall submit the name of the physician and the facility where the treatment will occur and medical staff shall include that information on the UOF-5.
c.Each injury sustained during the use of force shall be fully described by medical staff, as well as indicated on the body diagrams provided in the UOF-5.
d.The completed UOF-5 shall be submitted to the shift supervisor on whose shift the incident occurred before the end of the shift, or at least prior to the shift supervisor's departure from the unit/facility, unless:
(1)It pertains to an employee who has sought the services of a private physician; and
(2)Then it would be submitted to the appropriate shift supervisors within 24 hours following the incident.
e.Upon receipt of the completed UOF-5, the shift supervisor shall:
Attach all photographs taken of that individual in conjunction with a use of force incident( the required two photographs of an offender, plus those of injured body parts of either the employee or offender) with scotch tape at the designated space on the second page of each UOF-5.
(2)Nude photographs shall not be submitted with a Use of Force Report, unless an offender's injury is to a private area and a nude view is the only obtainable photograph. (NOTE: This must be justified on the UOF-6[supervisor summary].)
(3)If injuries were sustained, have the Unit Risk Management Coordinator sign the UOF-5, acknowledging receipt of a photocopy of the completed form (provided to him by the shift supervisor)
UOF-6 Form - supervisor Summary of Incident
a.Upon receipt of the UOF-1'2 2's and 3's, the shift supervisor shall complete the UOF-^ prior to the end of his shift, or at least prior to departure from the unit.
b.He shall list each employee and offender involved and identify if they were a participant or witness. If no offenders witnessed the incident, the supervisor shall explain why in Section V. of the UOF-6 Form.
c.He shall provide detailed information regarding the authorization for, issuance of, and use of chemical agents. (NOTE: This section to be completed even if the chemical agents are issued and returned unused.)
d.He shall write a summary of the incident, which shall incorporate all employee and offender statements into a clear account of the incident.
e.The shift supervisor shall provide the entire Major Use of Force Report, completed to this point, to the unit/facility Use of Force Coordinator, who shall review the report for completeness and compliance with policy and procedures governing use of force incidents before forwarding to the:
(1) Unit's Quality Improvement Review Committee, if applicable; or
(2) The Assistant Warden
7.UOF-7 Form - Quality Improvement Review (if applicable)
a.As required, the Units Quality Improvement Review Committee shall review the Major use of Force Report (completed up to this pint) to ensure the force required to accomplish medically-ordered treatment is in compliance with existing policy and procedures.
b.After review, the chairperson of the Quality Improvement Review Committee shall be responsible for the completion of the UOF-7.
c.The Major Use of Force Report shall be returned to the unit's Use of Force Coordinator, who shall forward it to the Assistant Warden or designee.
8.UOF-8 Form - Continuation page (if necessary)
The UOF-8 shall be utilized whenever it is necessary to continue a written statement and insufficient space is available on the required form.
9.UOF-9 Form - Employee Use of Force Fact-Finding Inquiry (if applicable)
a.The Assistant Warden or designee shall review all MAUF Reports, as well as MIUF reports (on case-by-case basis) that a shift supervisor has forwarded due to possible inappropriate employee actions.
b.If there appears to be no inappropriate employee actions, the Assistant Warden or designee shall forward the Major Use of force report to the Warden without initiating a UOF-9, and the minor use of force report to the Use of Force Coordinator for filing. However, if there is any indication that an employee acted inappropriately, he shall initiate a UOF-9 for each applicable employee and conduct a fact-finding inquiry, which may include all or part of the following;
(1) Interviews of the participant employee and offender;
(2) Interviews of employee or offender witnesses; and/or
(3) Reviews of any relevance evidence.
c. On the UOF-9, the Assistant Warden or designee shall:
(1) Describe the evidence relied upon from the attached documentation and any additional information acquired through the fact-finding inquiry;
(2) State his findings as to the employee's actions, noting:
(a) Whether a use of force violation occurred;
(b) Whether the employee is alleged to have wilfully committed the use of force violation; and
(c) Include all violations (e.g., horseplay, procedural violation), if more than one occurred in a use of force incident.
(3) Make a recommendation as to what action, if any, should be taken by the warden; and
(4) Forward the completed report with all documents and evidence to the Warden for final disposition,
d.The Warden shall review the MAUF/MIUF Report, gather any further information he wishes to consider, and then taking all information and evidence into account, he shall determine whether to:
(1) Take no action;
(2) Refer the issue to the OIG Investigations Division; or
(3) Initiate an employee disciplinary hearing, in accordance with PD-22..
e. If it is determined that a rule violation(s) has occurred, a PERS-184, Notification of Employee Hearing, shall be provided to the employee.
f. The warden (or other Reprimanding Authority, as appropriate) shall then hold an employee hearing, make a decision as to the employee’s guilt or innocence, and impose discipline if necessary, utilizing the PERS-185, Reprimand Form.
g. If the Warden (or other Reprimanding Authority, as appropriate) finds the employee’s actions inappropriate, however elects to take no action, written justification must be provided as to why discipline was not imposed.
h. The final outcome regarding the employee shall be recorded by the Warden/Reprimanding Authority at the bottom of the UOF-9. If discipline was imposed, he shall attach a copy of the PERS-185.
i.If these procedures occur after the MAUF Report has been forwarded for Administrative Review, a copy of the documentation shall be forwarded to the level of the review as soon as possible.
UOF-10 Form- Document Checklist
a. The final review of a MAUF report at the unit/facility level is by the Warden, or designee.
b. The Warden may, at any time, request the OIG Investigation Division to investigate a particular incident.
c. The UOF-10 shall serve as a cover sheet for the completed package known as the Major Use of Force Report.
d. By signing the checklist, the Warden accepts the responsibility that all documents related to the Major use of Force Report are complete and accurate to the best of his knowledge. The reports shall be arranged in the following descending order:
(1)UOF-10 – Document Checklist (ONTOP);
(2)UOF-9 – Employee Use of Force Fact-Finding Inquiry and/or PERS-185 ( if applicable and already completed);
(3)UOF-6 – supervisor Summary of Incident;
(4) UOF-1 – Employee Participant Statement;
(5)UOF-2 – Offender Participant Statement;
(6) UOF-3 – Witness Statement (employees, then offenders);
(7) UOF-4 – Offender Group Refusal (if applicable);
(8) UOF-5 – Employee/Offender Use of Force Injury Report (to include photographs in MAUF Reports);
(9) UOF-7 – Quality Improvement Review (if applicable); and
(10) 1-210 – Offender Offense Report (if applicable); and
(11) Videotape
NOTE: Each continuation Page (UOF-8) shall be placed behind the appropriate form.
e.After the Warden’s review, the unit Use of Force Coordinator shall retain the pink copy of the report for unit/facility records and forward the original (white) and one copy (yellow) of the Report to the appropriate regional-level staff, as noted below, to begin the administrative review process.
VIII. ADMINISTRATIVE REVIEWS
During the review process, uses of force shall be upgraded or expanded as determined necessary (i.e. voiding a minor report to initiate a major use of force report; or the initiation of separate reports if individual uses of force were initially reported as one incident). However, uses of force that may have initially been ‘over –reported’ shall not be downgraded or down-sized (i.e. a minor use of force reported as a major shall remain as a MAUF report and not subsequently be downgraded to a minor; and individual use of force reports shall remain and not be voided for inclusion in one report.)
A. Major Use of Force Reports are reviewed by the following administrative staff:
1. Regional Staff
a. First Level – by Regional – by Regional or Assistant director designee
(1) Reports from state-operated and privately-operated State Jails shall be forwarded to the Regional directors’ reviewer for the State Jail Division;
(2) Reports from the State-operated secure Parole facility shall be forwarded to the appropriate Institutional Division (ID) Regional Director’s Office;
(3) Reports from contract transfer facilities or privately-operated ID, and secure PD facilities shall be forwarded to the office of the Private Faciliies Division (PFD); and
(4) Reports from state-operated institutional Division units shall be forwarded to the appropriate ID Regional Director’s office.
b. Second Level – by OIG Investigations staff
Following the ‘first-level regional review’, the reviewer shall forward the reports to the appropriate OIG Investigations staff for the ’second-level regional review’
2. Administrative Monitor for Use of Force
3. Office of General Counsel
B. Time Frames
The following time frames (in calendar days) shall be followed in reporting a use of force incident and its subsequent review. If information in the Report is missing or more information is needed to clarify an issue, a reviewer shall request it and it shall be provided to the reviewer without delay. These procedures are designed to provide a timely and thorough account/review of each Major Use of Force incident.
Day 1:
Use of force incident occurs. The highest-ranking shift supervisor determines whether force used was minor, major or deadly and transmits the information within 24hours via telex, and appropriate reporting procedure begins.
Day 1-15*:
MAUF report is completed/reviewed at the unit/facility. By the 15th day following the incident, the unit Use of Force Coordinator forwards the white original and yellow copy of the Report (from initial reporting through at least the supervisor summary) to the appropriate ‘regional-level’ staff, and retains the pink copy the unit files**. If a fact-finding inquiry and/or employee reprimand has been, or may be, initiated – it shall accompany the Report at Day 15, or be forwarded to regional-level as soon as possible.
*NOTE: If Quality Improvement Review Committee is required, then this time frame shall be ‘Days 1-30’ ((an extension of 15days); and all subsequent time frames shall adjust as noted.
** [The agency is in transition of converting all UOF forms to single-ply paper. Until that is accomplished, there will be some forms that are still in triplicate (white; yellow; pink). The report number shall be highlighted on each original single-ply form using a yellow highlighter (that does not obscure the highlighted text when photocopied), and then photocopied at Day 15 for distribution.]
Days 16-30 (*or 31-45).
Regional designee reviews the Report and by the 30th day following the incident, forwards the original Report to the ‘Regional-level’ OIG Investigation staff member, and retains the yellow copy in their files.
Days 31-45 (*or 46-60).
‘Regional-level’ OIG Investigations staff member reviews the Report. By the 45th day following the incident, the OIG Investigations staff member shall copy the videotape onto a master tape (subsequently maintained at OIG Investigations Division), and forward the Report to the Office of Administrative Monitor for Use of Force.
Days 46-50 (*or 61-65).
Administrative Monitor for Use of Force staff checks the written portion of the report for completeness, and views videotapes on occasion if clarification of an issue is necessary. By the 50th day following the incident, the written Report is forwarded to the Office of General Counsel and the videotapes are forwarded to Security Operations for erasure and reissue to units/facilities.
Days 51-65 (*or 66-80).
General Counsel Staff reviews the Report on behalf of the TDCJ Executive Director and by the 65th (*or 80th) day following the incident forwards the report to OIG Investigations Division for the records retention.
