SUBJECT: Behavioral Intervention/Use of Force | PAGE 1 OF 11 . |
NUMBER: 63-UOF-01 | |
ORC/OAC REFERENCE: ORC 5120.01; OAC 5120-9-01, OAC 5120-9-02 | SUPERSEDES: 63-UOF-01 dated 11/13/2023 |
RELATED ACA STANDARDS: 5-ACI-3A-32M, 3A-33M, 3A-35M | EFFECTIVE DATE: February 01, 2025 |
APPROVED: |
Ohio Revised Code 5120.01 authorizes the Director of the Department of Rehabilitation and Correction, as the executive head of the department, to direct the total operations and management of the department by establishing procedures as set forth in this policy.
The purpose of this policy is to provide guidance to institutional staff who face situations where behavioral intervention is needed, and force might be used when responding to incarcerated person (IP) resistance, and to provide guidance to staff who investigate incidents when force is used.
This policy applies to all persons employed by the Ohio Department of Rehabilitation and Correction (ODRC) and to contractors providing a service to the ODRC who work inside a correctional institution and interact with IPs.
The definitions for the terms below can be found at the top of the policies page on the ODRC Intranet.
It is the policy of the ODRC for staff to evaluate and assess all situations involving IPs to determine the most appropriate way in which to respond or intervene, as to first seek a way to gain compliance prior to using physical force. Should it become necessary to apply physical force, the ODRC supports using the amount of force reasonably necessary to control the IP(s), and only if doing so cannot otherwise be avoided. It is expected that staff shall utilize interpersonal communication skills and effective behavioral intervention techniques to properly de-escalate situations when possible and safe to do so. After responding to a situation, staff are expected to de-escalate force as the active incident de-escalates.
Duty to de-escalate – All staff are required to use interpersonal communication (IPC) skills and behavioral intervention techniques to de-escalate a situation whenever it is safe and possible to do so. Such techniques may include using a calm tone of voice, affirming an understanding of the IP’s statements, asking questions about the IP’s issues or concerns offering options to resolve the issue, concern, or problem.
Staff should attempt to communicate and verbally interact with the IP to avoid using force.
Staff are not expected to deescalate a situation after having been attacked/assaulted by an IP. In the event of such an occurrence, the staff members shall protect them and others in accordance with reactive force training, while calling for assistance if possible.
Staff are not expected to de-escalate a situation if doing so places them or others at risk of harm or physical injury.
Staff should be mindful to create physical space between themselves and a hostile IP, who does not pose a danger to self or others allowing for time and distance to be factors in managing an IP’s behavior, staff can continue to effectively communicate while carrying out a further assessment of the situation.
When initial IPC efforts do not improve the situation, and there is time and availability, staff should consider bringing crisis responders, crisis intervention team (CIT) members, hostage negotiators, behavioral health providers, or any other appropriate staff member(s) to assist in resolving the situation. If deployed, crisis responders, CIT members, and hostage negotiators shall be used in accordance with ODRC Policy 310-SEC-17, Hostage Negotiation and Crisis Intervention.
Staff shall warn the IP that planned force may have to be used to resolve the situation, when it is safe and possible to do so; and
Staff shall allow the IP a final opportunity to comply with the order, once the necessary staff are assembled, prior to the commencement of the planned force.
Duty to Intervene - ODRC staff must recognize the dynamic nature of the correctional environment, to include assisting other colleagues in the management of IPs. It is critical that staff understand and be able to control their own emotions while interacting with a hostile IP or an individual in crisis. Having staff designate both a contact officer and cover officer will help organize the manner in which communication is conducted, while better managing the incident.
All ODRC employees must recognize and act upon the affirmative obligation to intervene, including tapping-in, to prevent or stop another employee from engaging in an act that would violate an IP’s constitutional rights, including using excessive force.
All ODRC employees have an affirmative duty to intervene in a situation when they see unsafe, unlawful, or improper tactics being used by another employee or contractor.
An ODRC employee shall call for assistance if it is safe and possible to do so, before beginning a behavioral intervention with an IP.
It is expected the employee being relieved will relinquish their control/position.
ODRC staff are expected to maintain and display respect and professionalism to one another, and the IPs for whom they are employed to manage safely and humanely.
To minimize the need for the use of force, an employee should never verbally or physically provoke or abuse an IP.
An employee must use care to avoid creating situations where an IP may attempt to assault the employee or others.
If an employee is found to have provoked or incited an IP to engage in a violent act(s) or has created a use of force situation by virtue of violating ODRC policy, they may be found to have violated Standards of Employee Conduct or applicable civil and criminal laws.
An employee may use force in those situations described in Ohio Administrative Code (OAC) 5120-9-01, Use of Force. However, each employee is responsible for using only the amount of force reasonably necessary under the totality of circumstance(s). Before using force, however, an employee shall reasonably and realistically attempt to de-escalate the situation, whenever it is safe and possible to do so. If de-escalation techniques do not resolve the situation, then force may be used, as described in this policy. Situations requiring the use of force can develop quickly and thus change the level of response that is appropriate. Circumstances presented by the IP involved in the use of force situation must be considered. Other factors should also be considered before deciding how much and what kind of force, if any, is to be used in any specific situation. Some of these factors include, but are not limited to:
Surrounding - An awareness of your surroundings when using force, which may endanger others, such as chemical agents or firearms, to minimize the threat to other people.
Innocents - Any person in the immediate vicinity that would or could be adversely affected by the amount and type of force used.
Safety and effectiveness - As employees of the ODRC, we have a duty to protect staff, third persons, and IPs, but there is no requirement to needlessly sacrifice one’s own personal safety in doing so.
An employee must balance their ability to be effective against the risk to personal safety. However, employees are always expected to respond in the event of an attack on another employee who needs assistance.
Whenever safe and possible to do so, an employee shall summon assistance and wait for assistance to arrive before becoming involved in the use of force. In the event of an attack on another employee who needs assistance, an employee shall not wait for assistance to arrive before becoming involved. While waiting for assistance to arrive, an employee should attempt to de-escalate the situation.
Whenever it is necessary to use force, it is ideal to have enough staff to safely control the situation as the presence of additional staff will likely reduce or eliminate the need to use force. The staff person who is confronted with a situation must consider the availability and nearness of other staff, and whether the situation can wait for additional staff before responding.
If an employee cannot effectively intervene in a situation, the employee is expected to continue to be observant of as many circumstances of the situation as possible to be reported later.
The ability to utilize planned force should always be considered when assessing the need to use force. Planned force is a preferred tactic unless the necessary delay in responding will jeopardize the security of the institution or the safety of any person.
The risk of harm presented by the IP- The employee must evaluate the circumstances and surroundings, and determine the level of threat to self, others, and the security of the institution. The employee should consider five (5) factors. All these factors must be weighed together in determining the appropriate response:
The harm being threatened must be immediate and likely if force is not used. Physical harm must be a likely consequence of the threat if carried out,
The IP must have the opportunity and ability to carry out the threat,
The staff member must reasonably perceive themselves or another to be in jeopardy,
The employee must evaluate what force is necessary to effectively control the situation and the availability of alternatives. A greater potential of harm justifies a greater level of force, and
The use of force is necessary to control or subdue an IP who refuses to obey prison rules, regulations, or orders.
Enforcement of rules and regulations - If no other means of obtaining compliance has been effective, a planned use of force may be used, when necessary, to control or subdue an IP who refuses to obey prison rules, regulations, or orders. In most circumstances, reactive force used to achieve compliance with prison rules, regulations, or orders, is not justified and a planned use of force instead must be utilized.
Staff should attempt to use only force reasonably necessary.
Force or physical harm to an IP shall not be used as a punishment.
The use of a transitional hold may be permitted only when all the following conditions are met:
Transitional hold may be applied only by staff with current training on the safe use of this procedure, including how to recognize and respond to signs of distress in the IP,
Transitional hold may be applied only in a manner that does not compromise breathing, including the compromise that occurs with the use of: (1) pressure or weight bearing on the back; (2) soft devices such as pillows under an IP’s face or upper body; or (3) the placing of an IP’s or staff’s arm under the IP’s head, face, or upper body,
Transitional hold may be applied only for the reasonable amount of time necessary to safely bring the person or situation under control and to ensure the safety of the individuals involved, and
Transitional hold may be applied only with consistent and frequent monitoring during and after the intervention (use of force) with every intent to assure that the person is safe and suffers no harm.
Upon completion of the transitional hold, staff shall place the IP in a recovery position.
If there are sufficient available staff during the situation, then an employee shall monitor the physical and mental condition of the IP.
There are six (6) general circumstances in which a staff member may use force against an IP.
Self-defense from physical attack or threat of physical harm,
Defense of another from physical attack or threat of physical attack,
When reasonably necessary to control or subdue an IP who refuses to obey rules, regulations, or orders,
When necessary to stop an IP from destroying property or engaging in a riot or other disturbance,
Prevention of an escape or apprehension of an escapee,
Controlling or subduing an IP in order to stop or prevent self-inflicted harm.
Deadly force is authorized in the following situations unless other alternatives to deadly force could reasonably accomplish the law enforcement purpose:
To protect self or others from an immediate threat of death or serious physical harm threatened by an IP or anyone else.
To prevent or halt the commission of an escape or to apprehend an escapee. Once an escape is no longer in progress (i.e., once the escapee is no longer in the immediate environs of the institution/facility and hot pursuit has ceased) deadly force may be used only if there is an immediate threat of death or serious physical harm to self or others, or if authorized by the incident specific use of deadly force policy statement and instructions.
To prevent loss of control of the institution, or a significant part, or to regain such control.
Escape Prevention
Prior to using firearms, staff must attempt to use alternative methods to stop the escape, such as verbal commands, increasing staff presence, OC spray or other less lethal munitions.
An employee who determines an escape is in progress and determines that using less than deadly force would not be sufficient to prevent the escape, shall, if possible, issue a verbal warning prior to using a firearm to halt or prevent the escape. If possible, the employee shall notify other staff of the escape attempt prior to shooting the subject. This may be done by staff-down alarm or other alarm system if available. Verbal contact with other perimeter security staff prior to use of deadly force is desirable when this is practical. The IP does not have to be on the first (or interior) perimeter fence before the employee issues the verbal warning.
Firearms may be used to halt or prevent an escape from a correctional institution or other confined setting only if less force would not reasonably be sufficient to halt or prevent the escape. Prior to using firearms, staff must reasonably believe that an IP has the capability to escape.
When the IP begins to climb, cut through, or otherwise penetrate the exterior perimeter fence, and the employee has reasonably determined lesser force will not be sufficient, the employee is authorized to shoot the subject. No warning shot shall be fired.
For example, the IP may be carrying items that could be used to escape such as, but not limited to, a ladder, grappling hook, rope, broom handles, or sticks, suggesting intent to escape.
Every employee on a perimeter post shall regularly survey the surrounding terrain to determine in advance whether firearms can be safely discharged in any direction.
Firearms may be used, when necessary, to halt or prevent an escape from a security level one camp, prison work detail, bedside visit, funeral visit, community service release detail, or transport outside the institution. Any IP who is attempting to escape is to be presumed dangerous. This applies regardless of their security level. Prior to using firearms, staff must reasonably believe that an IP has the capability and intention to escape. Staff must consider the risk to innocent people in the community within the line of fire. The employee shall issue a verbal warning prior to shooting the subject. No warning shot shall be fired. In a community service release, OPI, or work program detail setting, staff shall secure any remaining IPs and notify community law enforcement and the institution administration as soon as possible.
The institution shall discuss the manner of pursuit, detection, and recapture of an escapee with the appropriate community law enforcement agency. Whenever possible, this planning discussion should take place prior to any incident. General escape procedures shall be followed per the institution specific escape post order.
Circumstances to Consider
Staff must consider the totality of circumstances when deciding whether to use deadly force. Deadly force may only be used when the IP is at the point that further delay in acting will result in a loss of control or custody of the person and other means of regaining control or custody will not be effective. Whenever safe and possible to do so, staff shall consider:
Whether other staff is equipped and available to assist in apprehending the IP without the need for deadly force, or whether no one else is available to assist,
Whether the use of deadly force will present a risk of harm to innocent parties,
Whether the IP has been injured or impaired in some manner that will slow or prevent the person’s flight,
The person’s proximity to concealment, a community, or some external assistance.
Whether the IP is likely to be overtaken by staff while still in view, and
Whether immediate action is necessary, based on the information known, to halt or prevent escape or loss of custody.
All personnel involved in the pursuit of an escapee shall be given incident specific instructions as to the circumstances under which the use of deadly force is authorized to apprehend the escapee(s). Subject to the given incident specific use of force policy and instructions, when an escapee is no longer on institution property or no longer in the immediate environs of the institution, personnel involved in the pursuit of the escapee are authorized to use deadly force as a last resort to prevent an immediate threat of death or serious physical harm to self or others. Prior to using deadly force, personnel shall positively identify the escapee. For additional information regarding escape pursuit and apprehension, see the institution specific escape post order.
When one or more IPs threaten, by words or actions, to take control of any portion of the institution, the area put at risk must be considered. An IP takeover of certain areas of an institution should be considered more critical than others. An IP who barricades themselves alone in a closet presents a different threat than an IP who is attempting to take over the control center. The greater the potential threat, the greater the justification in both considering, and perhaps ultimately using, deadly force to either maintain, or take back, staff control of the facility. Some of the most critical areas would include:
Any place where an IP(s) could obtain equipment, supplies, or contraband that would either prolong or increase the level of the disturbance, or cause injury to others. This would include the maintenance shops for tools, the ability to mass manufacture weapons, and/or facilitate escape from a fenced perimeter. This would also include areas such as the pharmacy and medical services areas for drugs and drug paraphernalia.
Areas where large groups of IPs could gather that would provide an increased potential for either recruitment or mass actions by the IP instigators. This would include the dining room and recreation areas.
Areas that provide essential services to the institution. IPs who damage or take control of these areas could prolong the disturbance, hinder staff efforts to retake control, or cause such damage to the facility that significant portions or the entire facility could potentially be rendered uninhabitable until lengthy and expensive repairs could be made.
Staff shall avoid application of this policy to a pregnant or post-partum (up to six (6) weeks following delivery) female IP to the best of their ability, using it only as a last resort when the IP presents a risk of physical harm to self or others, presents a risk of physical harm to property, presents a security risk, or presents a substantial flight risk. Application of this policy is not advised for a pregnant or post-partum female IP. The use of waist restraints is prohibited.
Wrist restraints only shall be applied in the front of the pregnant IP’s body, thereby allowing her to protect herself and her fetus in the event of a forward fall. The use of waist restraints is prohibited.
While escorting or transporting a pregnant or post-partum IP in restraints, the escorting officer shall ensure constant contact is maintained with the pregnant or post-partum IP by firmly grasping either the right or left arm near the IP’s elbow to maintain stability and control.
Restraints shall be immediately removed once the pregnant/post-partum IP has been escorted to the desired location within the facility.
If extreme circumstances are present that require physically immobilizing restraints to be utilized on a pregnant or post-partum female IP, it shall require authorization by a physician. It cannot be authorized by a shift commander.
The institution’s medical director must be contacted as soon as it is safe and possible to do so after force has been applied or restraints have been used on a pregnant or post-partum female IP.
The managing officer shall be notified immediately if there is a likelihood that a pregnant or post-partum female IP will need to have physically immobilizing restraints applied or if physical restraints are applied in a situation where it is not safe and reasonable to contact the managing officer prior to their use.
The appropriate regional director shall be notified any time that physically immobilizing restraints are used on a pregnant or post-partum female IP.
When it is safe and possible to do so following the use of force, medical attention shall be provided even when the IP does not appear to be injured. The IP shall be evaluated by a qualified medical professional. A record shall be made of the evaluation on the NSG -Nurse Sick Call document. The shift commander shall ensure that photographs are taken of any injuries. If the IP refuses to submit to an evaluation, the nurse shall visually observe the person for obvious injuries and document both the refusal and the review on the NSG -Nurse Sick Call document. If the IP refuses the medical evaluation, the refusal shall be digitally, and audio recorded.
Following any incident involving the use of force, medical staff must evaluate all employees involved to assess if they have sustained any injuries and to determine the severity of those injuries. They should complete a DRC 5251 Medical Exam Report. If an employee requires medical care, they should be referred to community medical services as necessary.
For the IPs involved in a use of force at the Ohio State University Medical Center (OSUMC), the Franklin Medical Center (FMC) security supervisor on duty at OSUMC shall confirm that the OSUMC medical staff has examined the IP(s) involved. The security supervisor shall document completion of this exam by OSUMC medical staff on an Incident Report (DRC1000/1001).
FMC staff assigned to the OSUMC who are injured during a use of force at OSUMC shall be sent to the OSUMC emergency department for evaluation by OSUMC medical staff. FMC staff denying any injury shall document this fact in the Incident Report (DRC1000/1001) they complete regarding the use of force.
Staff wearing a BWC shall activate it, whenever safe and possible to do so, at the point any behavioral intervention techniques are employed with an IP. This shall include activating the BWC when an IP escalates a situation and/or confronts staff or other IPs and intervention is
necessary to address the behavior. Use of the BWC shall follow ODRC Policy 10-SAF-22, Body Worn Camera.
Staff shall continue to record the entire behavioral intervention and/or use of force incident after activation of the BWC, in its entirety, to include medical treatment of the IP as described in subsections VI.M.3 and VI.M.4 of this policy.
Each employee and/or contractor who is physically involved in or witnesses a use of force incident shall verbally notify their supervisor of the basic details of the incident before leaving the institution at the end of their shift or workday. The supervisor shall summarize the basic details of the incident in section A (DRC2611) Supervisor’s UOF Summary Report by the end of their shift.
After verbal notification has been completed, employees must complete and submit a Use of Force Report (DRC2181/1001), to include the basic details of any behavioral intervention, de-escalation or intervention efforts occurring before or during the UOF incident, within seventy-two (72) hours of the incident.
Deployment of OC and/or chemical munitions towards an IP shall be reported as a use of force and subsequently documented on a Use of Force Report (DRC2181/1001).
Responding to an IP with the use of one’s hands, with minimal force, to restrain, guide, support, direct, or the application of restraints during procedures such as the transport, escort or movement of an IP shall not in itself be considered a reportable use of force.
Whenever a site supervisor is called to assist staff, they shall activate their BWC before arriving on scene.
Upon arriving on scene, the site supervisor shall conduct a threat assessment ensuring the location is secure and staff are effectively addressing the situation in accordance with this policy and required de-escalation techniques.
The site supervisor shall ensure behavioral intervention techniques are used in accordance with this policy and, when warranted, that any use of force is applied appropriately.
The site supervisor shall ensure that the escort of an IP is safe and the proper escort techniques are used. If a supervisor is available, then the escort shall be directly supervised. Reasonable efforts shall be made by the supervisor to ensure any staff involved in the use of force are not involved in the subsequent escort of the IP.
The supervisor shall obtain a written statement, and/or BWC video statement, in accordance with OAC 5120-9-02. If the IP initially refuses to make a statement in the immediate aftermath of a use of force incident, a second opportunity should be given once an opportunity for decompression or calming down has been achieved.
If employees do not activate their BWC during a use of force incident, they must notify their supervisor immediately.
Staff without a BWC are encouraged to video record any use of force whenever possible, as well as any de-escalation efforts.
Video recording shall capture the escort of an IP to and from the medical area, following a use of force incident. While the IP is in the medical area, recording should continue outside the medical exam and should avoid capturing images or audio of the medical exam. Medical staff may request recording of a medical exam if the IP is combative or engaging in threatening behavior.
If the IP refuses the medical evaluation, the refusal shall be digitally and audio recorded.
Whenever possible, photographs, security footage, audio recordings, and/or other video(s) of the incident shall be preserved and incorporated into the permanent record of the use of force incident. This applies to both planned and reactive uses of force.
The institution shall ensure that an adequate number of staff members have been trained on the use of any hand-held video, photographic, and/or BWC equipment that will be used to visually record force incidents. The chief of security shall ensure shift supervisors are made aware of the names of those who have been trained to use the equipment. One or more designated members shall also be assigned the responsibility of regularly inspecting the video and photographic equipment to ensure it is always available, all components are in proper working order, adequate supplies of tape, film and/or other necessary supplies are on hand, and those batteries are always charged to the maximum.
During the incident, it is important to keep in mind the visual field being recorded. Force incidents are dynamic events that never occur in ideal locations or in an ideal fashion for the BWC/electronic record to be able to capture exactly what everyone is doing at all times with an unwavering picture. However, great attention shall be paid by operators of the BWC/electronic recording device to place themselves in the best location possible to visually record the incident, without interfering with the force incident itself.
A questionable video record of a force incident may often raise more questions than it answers. Examples:
The camera appears to swerve for no apparent reason away from the actual force being applied.
The camera is apparently unduly wavering on the visual field being captured.
A narrow focus is unnecessarily used to only record a small part of the incident.
The video record contains significant amounts of time when the camera is not focused on anything involving the force incident.
There appear to be gaps in the chronological events of the incident when the camera was turned off or placed in the “paused” mode.
A video, photographic, or other visual record shall immediately be made of any staff member(s) or IP(s) that claimed injury as a result of the incident, as required by ODRC Policy 310-SEC-29, Cell Extractions. Consideration shall be given to doing this even if the force incident was not planned and the video recording device and camera were not already being used. Further, in some instances, it is equally important to also record the absence of any injury following a force incident. The shift supervisor shall consider the seriousness of injuries, the seriousness of the disruption caused by the incident, the likelihood of litigation, and whether the injury is capable of being photographed. The shift supervisor shall include in their report the factors considered in deciding whether to make a visual record. Injuries often look worse several hours after an incident. Taking a second set of photographs shall be considered if this occurs. In addition, all
staff injuries shall be reported in accordance with ODRC Policy 10-SAF-15, Employee Accident Reporting and Analysis.
In any partial visual record taken, such as photographs only of hands, legs, etc., it is important to place somewhere in that visual display a written indication as to who’s that individual. Among other ways, this can be accomplished by placing an appropriately sized sign listing the staff member or IP’s name and number in the visual field being photographed or recorded.
10-SAF-15 Employee Accident Reporting and Analysis 10-SAF-22 Body Worn Cameras
310-SEC-17 Hostage Negotiation and Crisis Intervention 310-SEC-29 Cell Extractions
Incident Report DRC1000
Incident Report Supplement DRC1001
UOF Report DRC2181
Supervisor’s Use of Force Summary Report DRC2611 Medical Exam Report DRC5251