California Code of Regulations
Title 15 - Crime Prevention and Corrections
Division 3 - Adult Institutions, Programs and Parole
Chapter 1 - Rules and Regulations of Adult Operations and Programs
Subchapter 4 - General Institution Regulations
Article 1.5 - Use of Force and Restraining Devices
Section 3268.3 - Reporting and Investigating the Use of Force for Field Staff

Universal Citation: 15 CA Code of Regs 3268.3

Current through Register 2024 Notice Reg. No. 38, September 20, 2024

(a) Use of Force-Reporting Requirements. Every staff use of force is an incident that shall be reported.

(1) Any employee who uses non-deadly force or observes CDCR staff use force in a community or field setting shall report it to a supervisor as soon as practical and submit the appropriate documentation, prior to being relieved from duty. The documentation shall be reported within the Incident Report Tracking (IRT) system in the Department's electronic database, which contains the same information as the forms incorporated by reference, or on a CDCR Form 1662-A (Rev. 05/22), Field Incident Report: Part A--Cover Sheet, CDCR Form 1662-B (Rev. 07/24), Field Incident Report: Part B--Parole Summary Information, CDCR Form 1662-C (Rev. 07/24), Field Incident Report: Part C-Employee Report, CDCR Form 1662-C1 (Rev. 11/20), Field Incident Report: Part C1-Supplement Page, which are hereby incorporated by reference.

(2) Any employee not assigned to an institution or facility who uses force or observes CDCR staff use force in an institution or facility setting, shall report it to a supervisor as soon as practical and follow up with appropriate documentation as required in section 3268.1(a)(1). A copy of the report shall be provided to the employee's supervisor and the original shall be retained by the institution or facility Incident Commander.

(3) The supervisor shall document their review on a CDCR Form 3010-A (Rev. 05/22), Field: Use of Force Incident--Supervisor's Review, which is hereby incorporated by reference, and forward it with the employee's reviewed documents through the designated chain of command, to the Regional Parole Administrator or Special Agent-In-Charge for approval or follow-up action.

(b) Additional Reporting Requirements for Use of Deadly Force.

(1) An employee who intentionally or accidentally uses deadly force, whether on or off duty, shall ensure that a supervisory employee is notified of the incident without delay. This reporting is not required for the lawful discharge of a firearm during weapons qualifications, firearms training, or other legal recreational use of a firearm.

(2) A supervisor shall ensure that the chain of command is notified and all necessary health and safety, medical and security measures are initiated.
(A) The responding field supervisor shall obtain a public safety statement(s) (oral statement) from the staff that used deadly force, document the details of the oral statement in writing and submit it to the incident commander, unless previously obtained from an outside law enforcement agency. Providing a public safety statement does not relieve the staff of the responsibility to submit a written report within 48 hours after the incident.

(B) The responding field supervisor shall ensure local law enforcement is contacted.

(3) The incident commander or responding field supervisor shall notify the Office of Internal Affairs (OIA) and the Office of the Inspector General (OIG) as soon as possible, but no later than one hour from the time the incident is discovered, of any use of deadly force and every death or GBI that could have been caused by a staff use of force.

(c) Any employee who observes a use of force that is unnecessary or excessive shall attempt to stop the violation. Any employee who becomes aware of an allegation of unnecessary or excessive use of force, shall report the allegation verbally to a supervisor as soon as possible, followed by the submission of the appropriate documentation.

(d) Video Recording Requirements.

(1) A video recording is required for Uses of Force which result in serious bodily injury or great bodily injury, except when video recording is prohibited in a local jail or custody location.

(2) A video recording of a person shall be made when the person has made an allegation of an unnecessary or excessive use of force, except when video recording is prohibited in a local jail or custody location. All allegations shall be documented on a CDCR Form 3013-A (Rev. 07/24), Field: Supervisory Use of Force Interview Worksheet and a CDCR Form 3014-A (Rev. 11/20), Field: Use of Force Incident -- Interview Findings Report, which are hereby incorporated by reference.

(3) When required by subsections 3268.3(d)(1)-(2), a video-recorded interview shall be conducted no later than 48 hours from discovery of the injury or allegation.

(e) Reviewing Use of Force Requirements.

(1) For reported incidents, a good faith effort must be made at all levels of review in order to reach a judgment whether the staff's actions prior to, during, and subsequent to the force used was in compliance with regulations, procedure and applicable law and determine if follow-up action is necessary.

(2) Use of Force levels of review include the following:
(A) Incident Commander Review, CDCR Form 3010-A (Rev. 05/22), Field: Use of Force Incident--Supervisor Review which is hereby incorporated by reference.

(B) First Line Manager Review, CDCR Form 3011-A (Rev. 07/24), Field: Use of Force Incident--Manager Review, which is hereby incorporated by reference.

(C) Second Line Manager Review, CDCR Form 3012-A (Rev. 07/24), Field: Use of Force Executive Manager's Review Qualitative Evaluation and Analysis, which is hereby incorporated by reference.

(D) Regional Use of Force Coordinator Review. The Use of Force Coordinator shall normally schedule all logged use of force cases for review within 30 days of their logged occurrence. The Regional Use of Force Coordinator shall document their review on a CDCR Form 3034-A (Rev. 11/20), Field Executive Review Committee: Use of Force/Misconduct Allegation, and a CDCR Form 3036-A (Rev. 05/22), Field Executive Review Committee: Qualitative Evaluation/Analysis Report of Findings, which are hereby incorporated by reference.

(E) Field Executive Review Committee (FERC). Normally, the FERC is comprised of the following staff:
1. Regional Parole Administrator, OCS Chief or designee, or OIA Deputy Director or designee as chairperson and final decision maker,

2. At least one other manager,

3. Supervising Regional Training Coordinator,

4. A Use of Force Coordinator.

5. Other designated supervisors and rank and file staff may also attend, as determined by the Regional Parole Administrator. A representative of the OIG may also attend and monitor FERC meetings.

6. The FERC 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. The FERC shall document their review on a CDCR Form 3035-A (Rev. 05/22), Field: Executive Review Committee/: Further Action Recommendation Use of Force/Misconduct, which is hereby incorporated by reference.

(F) Department Executive Review Committee (DERC).

(f) Investigating Deadly Force and Any Use of Force that could have caused Death or GBI.

(1) Deadly Force Investigation Team (DFIT). The following instances shall be referred to the DFIT for investigation:
(A) Every use of deadly force; except the lawful discharge of a firearm during weapons qualifications or firearms training, or other legal recreational uses of a firearm.

(B) Every use of force incident that resulted in death.

(C) Every incident resulting in GBI that could have been caused by a staff use of force.

(D) OIA shall review and determine if a DFIT investigation is necessary as a result of a warning shot in an institution or facility setting. The review shall include contact with an Investigative Services Unit (ISU) Sergeant or above, or an uninvolved Correctional Lieutenant or above, assigned to the same institution or facility where the discharge occurred. Their review shall determine whether the discharge of deadly force was a warning shot that met the provisions of subsection 3268(g) and whether any injuries were caused by the warning shot.

(E) OIA shall review and determine if a DFIT investigation is necessary for an unintended discharge of a firearm. The review shall include contact with an ISU Sergeant or above, or an uninvolved Correctional Lieutenant or above, assigned to the same institution or facility where the discharge occurred to confirm that the discharge was unintended. If the incident did not occur in an institution or facility, OIA should contact the supervisor or manager responsible for the area where the discharge occurred. If OIA determines the discharge of the firearm was unintended, and a DFIT investigation is not warranted, the incident will be referred to the Hiring Authority. The Hiring Authority will determine if there is a reasonable belief that the discharge of the firearm was negligent. If the Hiring Authority determines the discharge of the firearm was negligent, the incident shall be referred to the OIA Central Intake Unit.

(F) OIA will not respond to events that do not involve GBI or death, except where the discharge of a firearm occurred. Events outside this criteria shall be reviewed by the Hiring Authority as within existing use of force policy and procedure. In some cases, a criminal investigation will be conducted by a local law enforcement agency. In these cases, the DFIT criminal team will monitor the progress of the investigation and assist when appropriate.

(2) The Deadly Force Review board (DFRB) is responsible for conducting a full and complete review of all incidents involving a use of deadly force and every death or GBI that could have been caused by a staff use of force, regardless of whether the incident occurs in an institutional or community setting.

(3) Every use of deadly force and every death or GBI that could have been caused by a staff use of force will be investigated by the DFIT and reviewed by the DFRB.

Note: Authority cited: Sections 5058 and 3304, Penal Code. Reference: Sections 196, 835a, 2651, 2652 and 5054 Penal Code; Section 50, Civil Code; Tennessee v. Garner (1985) 471 U.S. 1; and Section 7286.5, Government Code.

Note: Authority cited: Sections 5058 and 3304, Penal Code. Reference: Sections 196, 835 a, 2651, 2652 and 5054 Penal Code; Section 50, Civil Code; Tennessee v. Garner (1985) 471 U.S. 1; and Section 7286.5, Government Code.

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