Ohio Admin. Code 5120-9-02 - Use of force report and investigations
(A) Following any reported use of force, the
shift supervisor shall ensure that the following reports have been completed:
(1) Each staff member who used force or who
witnessed any part of the use of force shall complete an incident report which
accurately and completely describes what he or she observed, what led up to the
incident and what was done to resolve the matter, and what force was used by
the staff member. The report form shall list the inmates on whom force was
used, the staff members who used force and any staff, inmate or other witnesses
known. The report shall be completed prior to the end of the shift, unless the
staff member, for good cause, is unable to do so.
(2) The shift supervisor shall obtain a
written statement from each inmate against whom force was used describing the
inmate's version of the event, and identifying any witnesses to the event. This
statement shall be taken as soon as possible after the incident. The shift
supervisor shall determine what additional witness statements are needed and,
in making this determination, shall take into consideration both the nature of
the incident and any injuries received. The inmate may refuse to make such a
statement, but shall make his refusal in writing and shall acknowledge that he
knowingly waived his opportunity to make a statement.
(3) In the event that the inmate is placed in
restrictive housing
isolation and suspected of committing a criminal
offense, the warden, warden's designee, or highest ranking official on site
shall consult with the Ohio state highway patrol prior to interviewing the
inmate to coordinate the administrative investigation with any criminal
investigation.
(4) Medical staff
shall examine all individuals upon whom force was used, and any individual who
used force on an inmate. Medical staff shall prepare a written assessment of
each individual examined. Whenever a person is injured and needs medical care a
shift supervisor shall collect and report the names of staff and inmate
witnesses. If the shift supervisor was directly involved in the force incident,
statements shall be obtained by another supervisor not directly involved in the
incident.
(5) The shift supervisor
shall consider making a videotape or photographic record of any individual,
whether staff or inmate, who was or claims to have been injured during the
incident. In deciding to make such a record, the shift supervisor shall
consider:
(a) The extent of the
injuries;
(b) The nature of the
incident, even if the individual is uninjured; and
(c) Whether the injury is visible or capable
of being photographed.
(6) The record of injuries may be made at the
time of the medical assessment if doing so will not interfere with or delay the
delivery of necessary medical care. Such record must not include any medical
information apart from a description or depiction of the injury.
(B) The shift supervisor shall
prepare a packet containing each of the documents listed in this rule together
with any other witness statements or information considered relevant.
The shift supervisor should save any available
recordings, including all security cameras and any hand-held recordings that
capture the incident and post-incident escorts. The shift supervisor
shall prepare a report on the appropriate form to attach to the relevant
documents referenced in paragraph (A) of this rule. The shift supervisor shall
deliver this packet to the chief of security, and/or
other designee who will review the packet for accuracy, consistency and
completeness. The completed packet will then be delivered to the
designated deputy warden, and/or other
designee, as soon as all reports are completedand prior to the end of the shift.
(C) The designated deputy warden shall review
the use of force packet prepared by the shift supervisor. The designated deputy
warden may order or collect additional statements or other information as
needed. The deputy warden shall determine the following:
(1) Are the factual circumstances described
sufficiently in the record to enable an evaluation of the amount of force
used;
(2) Are the factual
circumstances of the situation in dispute;
(3) Was the type and amount of force
appropriate for the circumstances as the deputy warden of operations believes
them to have occurred;
(4) Was the
type and amount of force reasonable under the circumstances as the responding
staff perceived them; and
(5) Were
applicable administrative rules, departmental policies, institution policies
and post orders followed.
(D) The designated deputy warden shall send
his or her determinations as described above to the warden for review or
further action. The warden may:
(1) Accept the
findings of the deputy warden;
(2)
Direct that the deputy warden or other appropriate staff conduct further
inquiry into the situation;
(3)
Refer the matter to a use of force committee
investigation ; or,
(4) Refer the matter to the chief inspector,
pursuant to paragraph (K) of this rule, for investigation.
(E) The warden may refer any use of force to
a use of force investigation at any time. The warden is required to refer the
use of force for further inquiry if any of the following apply:
(1) The factual circumstances are not
described sufficiently in the record to enable an evaluation of the propriety
of the amount of force utilized;
(2) The incident involved serious physical
harm to any person;
(3) The
incident constituted a significant disruption to the normal operation of the
institution; or
(4) Weapons, PR-24
strikes, or less-lethal munitions were used during the incident, whether by
staff or by inmates.
(F)
The use of force investigator shall be assigned by the warden or designee. The
use of force investigator shall conduct a review of the use of force incident
and the matters surrounding the incident. The investigator shall not be any
person involved with the incident under investigation, nor such person's direct
supervisor, nor any person who reviewed some other aspect of the incident, such
as the hearing officer or a member of the rules infraction board. The person
appointed to investigate a use of force incident must complete training for
that position.
(G) The use of force
investigator shall review all materials in the use of force packet and any
findings previously made. The investigator shall also interview each inmate and
staff member directly involved, and any other relevant witnesses. These
interviews shall be completed within twenty working days of the date the matter
was referred to the investigator. Any extensions must be approved by the
warden. The investigator shall review any other relevant evidence.
(H) The investigator shall prepare a report
which contains findings of fact and conclusions as to whether the level and
degree of force used was appropriate for the circumstances. The investigator
shall submit to the warden a report, a summary of the statements received, the
use of force packet, and any other information received by the investigator
within thirty working days after being assigned. The warden must approve any
request for an extension of the deadline for the report.
(I) The warden shall review the record and
report presented by the investigator. If the warden believes that further
investigation or clarification is necessary the warden may return the matter to
the assigned investigator, another investigator, or the chief inspector for
additional investigation or review. When the warden is satisfied that the
matter has been thoroughly investigated, the warden shall take such actions as
he or she deems appropriate.
(J)
The warden shall supplement the report with any relevant information about
other actions taken as a consequence of the conclusions of the report. The
complete investigative record shall be stored in a secure area designated by
the warden. A copy of the cover sheet and report prepared by the investigator,
minus any attachments, shall be placed in the offender's unit file and in the
designated employee file.
(K) The
chief inspector may initiate an investigation of a use of force incident either
upon his or her own initiative or upon the request of the director, assistant
director, regional director, or the warden of the institution in which the
incident took place. In such cases the chief inspector may utilize other
departmental staff to assist with the investigation or hearing as may be
necessary or appropriate, notwithstanding other provisions of this rule to the
contrary.
(L) A use of force
investigation report generated under this rule shall also serve as the
administrative investigation into conduct which may be in violation of
departmental policies, procedures, and/or rules. The use of force investigation
may be used to support employee disciplinary action.
Notes
Promulgated Under: 111.15
Statutory Authority: 5120.01
Rule Amplifies: 5120.05
Prior Effective Dates: 10/19/1974, 12/10/1979, 07/18/1983, 09/04/1984, 02/14/1985, 01/01/1989, 07/01/2004, 08/19/2004, 01/01/2008, 04/01/2009, 06/24/2013, 07/11/2016, 01/20/2017
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