U.S. Immigration and Customs Enforcement Interim ICE Use of Force Policy July 7, 2004 Foreword I have signed and authorized the release of the interim U.S. Immigration and Customs Enforcement (ICE) Use of Force Policy. This document shall serve an interim use of force policy for ICE and shall supersede all legacy agency use of force policies, becoming effective on July 7, 2004. This policy was the result of a great amount of dedication, effort and work by many representatives from each ICE operational component and the ICE National Firearms and Tactical Training Unit (NF TTU). The interim ICE Use of Force Policy retains the best of each legacy agency's policy and national use of force program. It is intended to create a strong and comprehensive policy to unify our many operational elements in the critical area of firearms and the related disciplines. The NFTTU shall electronically distribute this interim policy to all of the ICE Senior Firearms Instructors (SFIs) and Defensive Tactics Instructors. The policy shall be posted on the NFTTU intranet. website 7e for immediate access and distribution to all ICE.armed officers. The NFTTU has provided interim policy training to over two hundred and fifty (250) ICE SFIs as of the release of this important interim policy. All ICE armed officers are required to fully read and understand the new policy prior to the July 7, 2004 implementation date. The implementation of this interim policy is a significant undertaking and is a milestone_in the progress blC'l~I [5 in iifniir uguiiuy. If you have any questions or require EISSI statics: Hg uh I 5 new policy in any way, please contact the NFTTU at 7e Michael J. Garcia Assistant Secretary Table of Contents Part 1 A. B. C. D. Use of Force....................................................................................................................... 1 General Guidelines..................................................................................................................... 1 The Use of Force Continuum..................................................................................................... 1 Emergency Situations ................................................................................................................ 3 Employee Assistance Program…....…………………………………………………………...3 Part 2 Use of Force Reporting Requirements............................................................................... 4 A. Use of Deadly Force .................................................................................................................. 4 B. Discharge of a Firearm............................................................................................................... 5 C. Exceptions to Reporting Firearm Discharges ............................................................................ 6 D. Reporting Use of Hard Techniques and/or Chemical Agents.................................................... 7 E. The Firearms and Use of Force Incident Review Committee.....................................................7 Part 3 A. B. C. D. E. Authority to Use Intermediate Force Weapons ......................................................................... 9 Use of Chemical Agents ............................................................................................................ 9 Impact Weapons....................................................................................................................... 10 Specialty Impact Munitions ..................................................................................................... 10 Reporting Requirements for Use of Intermediate Weapons…...…………………………….10 Part 4 A. B. C. D. E. F. G. Intermediate Force Devices ............................................................................................... 9 Marine Enforcement ....................................................................................................... 11 General Guidelines................................................................................................................... 11 Training and Certification........................................................................................................ 11 Preparation for Use of Warning Shots ..................................................................................... 11 Use of Warning Shots .............................................................................................................. 12 Disabling Fire........................................................................................................................... 13 Defense Against Ramming Attempts....................................................................................... 14 Reporting the Use of Warning or Disabling Shot.....................................................................14 Appendix 1 - DHS Use of Force Policy........................................................................................... 15 Appendix 2 – Shooting or Use of Deadly Force Incident Investigation Reports ............................ 20 Appendix 3- ICE Use of Force Incident Report .............................................................................. 22 Part 1 A. Use of Force General Guidelines 1. 2. As an overall guideline, only that force which is both necessary and reasonable may be used in any given situation. “Necessary” means some force is required to accomplish one’s lawful duty. “Reasonable” means there are facts and circumstances that justify the degree of force to be used in the given situation, up to and including deadly force. 3. In some situations, the proper initial response might be the application of deadly force. 4. Since appropriate actions may vary based on the facts and the officer's individual experience, two (2) officers might have different and yet appropriate responses to the same situation. 5. In an emergency situation, ICE officers are authorized to use appropriate and reasonable means that are available to protect themselves and others consistent with the threat faced. 6. The discharge of firearms against persons or animals constitutes the use of deadly force. The use of firearms to discharge chemical munitions or specially-designed breaching munitions against structures does not constitute the use of deadly force, unless there is reason to believe that the chemical munitions or specially-designed breaching munitions may cause the death of a person (e.g., may cause a fire). 7. B. The Department of Homeland Security (DHS) Use of Force Policy governs the use of deadly force by all DHS officers and employees. The complete DHS policy is contained in Appendix 1. Warning shots and disabling fire are prohibited except where authorized in Part 4 in the area of marine enforcement. The Use of Force Continuum 1. The use of force continuum is a model used to illustrate the levels of force an officer may need to use to gain control over a subject. The continuum is comprised of five (5) levels. It begins with the mere presence of the officer and can escalate to the use of deadly force. It must be noted that an appropriate initial use of force may be deadly force and that a deadly force situation may de-escalate to a lower level on the use of force continuum. 2. An officer may have to rapidly escalate or de-escalate through the use of force continuum, depending on the totality of circumstances present. “Totality of the circumstances” refers to those factors existing in each individual case. These 1 factors include level of training, strength, age, and the size of the officer and suspect. Also included are the weapon(s) involved, presence of other officers, suspects or bystanders and environmental conditions. 3. Outlined below are the five (5) levels of the use of force continuum and appropriate officer action for each level. a. Mere Officer Presence Without Action (1) (2) Positive attitude; (3) Physical condition (fitness); (4) Posture and body language; and (5) b. Professional, courteous demeanor; Neatness of attire or uniform and equipment. Verbal Commands (1) (2) Instructions should be simple, easy to understand and repeated as necessary; and (3) c. Professional, firm voice; Only one officer should issue verbal commands. Soft Techniques (1) (2) Escort position; (3) "Come-along" holds, to include the use of impact weapons; (4) Touch pressure points; (5) Specified electronic defense modules/electro-muscular devices; and (6) d. Minimal chance of injury, empty-hand; Use of chemical agents. Hard Techniques (1) Greater possibility of injury to participants; 2 (2) (3) Throws; (4) Take-downs; (5) Impact weapons when used for striking; and (6) e. Strikes with hand, arm, foot, leg, head or whole body; Specialty impact weapons. Deadly Force (1) (2) Deadly force may be employed only when the officer has probable cause to believe there is an imminent threat of death or serious physical injury to the officer or others. (3) Deadly force may be used to prevent the escape of a fleeing subject if there is probable cause to believe that escape of the subject would pose an imminent danger of death or serious physical injury to the officer or to another person. (4) C. Deadly force is the use of any force that is likely to cause death or serious physical injury. Deadly force does not include force that is not likely to cause death or serious physical injury, but unexpectedly results in such death or injury. Examples of deadly force include, but are not limited to, any discharge of firearms against persons or animals, any use of impact weapons to strike the neck or head, any strangulation techniques, any strikes to the throat, and the use of any edged weapons. Emergency Situations In an emergency situation, ICE officers are authorized to use whatever firearm or other weapon is available for self-defense or the defense of another person. This statement does not authorize the carrying of any firearm for duty use that is not approved and listed in Appendix 1 of the ICE Firearms Policy. D. Employee Assistance Program The officer's supervisor will advise the employee that the Employee Assistance Program (EAP) is available for consultation in the event of a violent confrontation. The EAP can be contacted at 1-800-467-3277. 3 Part 2 A. Use of Force Reporting Requirements Use of Deadly Force 1. Local law enforcement agencies may investigate use of force incidents occurring within their territorial jurisdictions, including those resulting in serious bodily injury or death (critical incidents). That responsibility does not diminish because one of the participants is a federal employee. Accordingly, an ICE employee involved in a critical incident should anticipate an investigation by local authorities. (Note: Employees involved in critical incidents enjoy the same protections afforded to other citizens under the Constitution of the United States.) They may be interviewed by local police or subpoenaed to a local grand jury or court proceeding. Under the Fifth Amendment, employees cannot be compelled to make selfincriminating statements to local authorities concerning the incident unless the employee is protected against the use of his compelled answers in any subsequent criminal case. Due process, the right to counsel, and protection against unreasonable searches and seizures are also applicable to the same extent as with any other citizens under investigation by local authorities. 2. When officers use deadly force, the incident must be reported. a. b. The supervisor shall immediately report the incident to the Responsible Official as identified in the ICE Firearms Policy. c. The supervisor will also immediately notify the ICE Headquarters Reporting Center (HRC) of the incident. d. The supervisor will ensure notification of local law enforcement authorities in incidents involving property damage, bodily injury, or death. e. The ICE HRC shall immediately notify the Office of Professional Responsibility (OPR), the Director of the appropriate operational component, and the Director of the National Firearms and Tactical Training Unit (NFTTU). f. 3. The officer must immediately report the incident to their supervisor. In accordance with DHS Office of Inspector General (OIG) requirements, the ICE OPR shall notify the DHS OIG, of the misuse or improper discharge of a firearm, except for discharges which occur during firearms training, practice, or qualification, and do not cause any injury to a person or animal, or damage to property. When an ICE officer uses deadly force, either on or off-duty, which results in death or serious bodily injury to a person, the officer shall be immediately granted administrative leave for three (3) consecutive workdays. This period of excused 4 absence is not for disciplinary purposes. Office of Personnel Management and ICE rules and regulations should be consulted for information regarding any extensions of administrative leave. 4. Verbal reports must be followed by written reports prepared by the officer’s first line supervisor. a. Supervisors are responsible for sending written reports to OPR within five (5) business days. b. Copies of the written reports will be sent to the Director of the appropriate operational component and Director of the NFTTU within ten (10) business days. c. When deadly force is used, the initial written report must be on an ICE Use of Force Incident Report, NFTTU Form 10 (Appendix 3) and shall contain the information listed in Appendix 2, Shooting or Use of Force Incident Investigation Reports. 5. 6. All shooting incident investigations, conducted by field officials and not OPR, should be completed within sixty (60) days whenever possible and the investigation report(s) sent to OPR. In the event that evidence critical to the investigation is not available within sixty (60) days, updated status reports on open cases will be forwarded to OPR as each is completed. 7. B. As additional information is obtained, the supervisor is responsible for supplementing written reports with such information. OPR must be contacted to determine if any additional reporting requirements or duties are required by subsequent DHS, ICE or OPR policies, directives or procedures. Discharge of a Firearm 1. All firearms discharges, whether intentional or unintentional, must be reported in accordance with the requirements contained in Part 2.A. Reportable firearms discharges include: a. Any incident that involves the discharge of an ICE-issued firearm, including by any person other than an ICE officer; b. Any incident that involves the discharge of an ICE-approved personally owned handgun, including by any person other than an ICE officer; 5 c. Any incident that involves the discharge of a firearm as an act of assault against any ICE officer or employee, and the assault is, or reasonably appears to be, related to his or her ICE employment; d. Any incident, which involves the discharge of a firearm by a law enforcement officer other than an ICE officer, when the discharge occurs during multi-agency operation involving ICE officers; or e. The discharge of specialty impact munitions from a conventional firearm or a launcher specifically designed to expel these types of projectiles. 2. 3. To send a firearm to the Director of the NFTTU, the SFI must ensure that the firearm and magazine are unloaded and that it has not been cleaned prior to shipping. At no time shall a firearm be disassembled. 4. When an unintentional discharge occurs and the officer has any reason to believe that the firearm has malfunctioned, the firearm must be immediately sent, by the SFI, to the Director of the NFTTU for examination. 5. A shooter-induced unintentional discharge, in which there is no personal injury or property damage, and for which the officer acknowledges responsibility, does not require the firearm be sent to the Director of the NFTTU. 6. C. After any discharge resulting in personal injury or property damage, the firearm and ammunition must immediately be sent, by the Senior Firearms Instructor (SFI) as defined in the ICE Firearms Policy, to the Director of the NFTTU for examination, unless the firearm is required for an ongoing Federal, state or local law enforcement investigation or legal action. When an officer is a witness to a reportable shooting incident, the officer may be required to submit a written report consistent with Part 2.A.2&4. Exceptions to Reporting Firearm Discharges 1. Shooting incident reporting requirements do not apply to the discharge of firearms during authorized training while on the firing line (i.e., practice, qualification and function testing) when no personal injury or property damage occurs. 2. In special situations where officers are deployed and under the control of another department in a foreign country (e.g., under the direction of the Department of Defense during war), they may, on a case-by-case basis as determined by the Director of the appropriate ICE operational component, be relieved from these shooting incident reporting requirements. 6 D. Reporting Use of Hard Techniques and/or Chemical Agents 1. 2. When officers employ hard techniques and/or intermediate force weapons to control a person, they shall immediately report the matter to their supervisor. 3. Verbal reports must be followed by a written report prepared by the officer’s first line supervisor containing the information outlined in Part 2.A.4. 4. Supervisors are responsible for sending written reports to the OPR within five (5) business days. 5. E. The use of hard techniques or chemical agents that subsequently result in serious bodily injury or death will be reported following the procedures described in Part 2.A. Copies of the written reports will be sent to the Director of the appropriate operational component and Director of the NFTTU within ten (10) business days. The Firearms and Use of Force Incident Review Committee The Firearms and Use of Force Incident Review Committee is responsible for: 1. Reviewing reports of all incidents involving firearms, certain and/or specified use of force events and enforcement related officer safety issues identified in Parts 2 and 4 of this policy; 2. Reviewing these incidents to determine the sufficiency of tactics, training or policy to deal with the incident(s); and 3. Establishing a permanent ICE Firearms Board of Survey at Headquarters that is authorized to grant the relief of responsibility for lost or stolen firearm(s) and/or related property from the ICE armed officer regarding inventory and accountability. 4. The Firearms and Use of Force Incident Review Committee members are: a. b. The Director of each operational component or his or her designee; c. The Director of the Office of Professional Responsibility or his or her designee; and d. 5. The Director of the NFTTU, who serves as committee chair; The Principal Legal Advisor or his or her designee. The Firearms and Use of Force Incident Review Committee shall meet monthly to review shooting and use of force incidents if required. 7 6. The ICE Firearms Policy also addresses policy and procedure requirements associated with the Firearms and Use of Force Incident Review Committee. 8 Part 3 A. Intermediate Force Devices Authority to Use Intermediate Force Weapons 1. All ICE officers shall be trained to use Oleoresin Capsicum (OC) spray and approved batons. The use of intermediate force weapons by ICE armed officers will be authorized following their successful completion of the initial training and certification requirements, as well as recertification requirements, that are prescribed by the Director of the NFTTU. 2. While performing official duties, ICE officers authorized to carry firearms may be required to carry at least one (1) approved intermediate force device. Officers assigned to non-operational law enforcement activity or undercover work are not required to carry intermediate force devices. 3. ICE officers, as trained and certified, may be authorized to use the following approved intermediate force devices that have been authorized by the Director of the NFTTU: a. b. Expandable batons; c. Straight batons; d. Authorized less-lethal devices; e. Authorized specialty impact munitions; f. Authorized electronic defense modules/electro-muscular disruption devices; and/or g. B. Chemical agents; Other intermediate force devices approved in writing by the ICE Assistant Secretary. Use of Chemical Agents 1. Chemical agents may be used as an intermediate force option to temporarily incapacitate an assailant. They may be used in situations where empty-hand techniques are not sufficient to control disorderly or violent subjects, but where deadly force is not justified. 2. The use of chemical agents must be discontinued after a subject has been subdued or incapacitated. 3. Officers must conduct decontamination of the subject as soon as possible after the 9 subject has been controlled. 4. C. Officers may only use chemical agents approved by the Director of the NFTTU. Impact Weapons 1. 2. The use of an impact weapon, as a leverage tool during “come-alongs” or to apply gradual pressure for compliance, is categorized as a soft technique in the ICE use of force continuum. 3. When using an impact weapon, officers should choose the appropriate level within the use of force continuum as required by the totality of circumstances. 4. The use of an approved impact weapon must be discontinued after a subject has been subdued or incapacitated. This does not preclude the continued use of an approved impact weapon as a “come-along” technique. 5. D. The use of impact weapons for striking is categorized as a hard technique in the ICE use of force continuum. The use of impact weapons by ICE armed officers will be authorized following the successful completion of training. Specialty Impact Munitions 1. 2. E. Specialty impact munitions are extended range impact weapons that are fired or launched from a conventional firearm or launcher specifically designed to expel these types of projectiles. Although a firearm is used to launch specialty impact munitions, the use of these munitions is categorized, at a minimum, as a hard technique in the ICE Use of Force Continuum. Reporting Requirements for Use of Intermediate Weapons 1. When officers employ an approved baton as a hard technique or chemical agents to control a person, the officer shall immediately report the incident in accordance with the procedures outlined in Part 2.D. 2. When specialty impact munitions are employed as a hard technique to control a person, the officer shall immediately report the incident in accordance with the procedures outlined in Part 2.A&B. 10 Part 4 A. Marine Enforcement General Guidelines 1. 2. Warning shots pose a potential hazard. They may be fired only to signal a fleeing vessel to stop. They cannot be fired where there is a reasonable possibility that personal injury, death, or property damage will occur. Safety will always be the first consideration when firing warning shots. Good judgment must be exercised at all times. Personnel will be held accountable for the use of warning shots in violation of these procedures. 3. Warning shots will be fired only in open waters (when range is clear and any shot fired could not fall on land or another vessel) and when such action will not present a danger to any individual, cause damage to property, or be used to purposely invite suspects to return fire. 4. Disabling shots will be fired only in open waters (when range is clear and any shot fired could not fall on land or another vessel) and when such action will not present a danger to any individual or be used to purposely invite suspects to return fire. 5. B. Open water warning shots are to be used as a signal only. They will be used to attract attention after all other available means of signaling have failed. This conforms to United States and international laws which recognize warning shots across the bows of vessels as legitimate signals. The vessel commander is responsible for authorizing the use of open water warning and disabling shots. Training and Certification 1. 2. C. Only those ICE officers who have successfully completed the required training, as mandated by the Director of the NFTTU, will be authorized to utilize open water warning and disabling shots. Only ordnance approved by the Director of the NFTTU will be authorized for use in conducting warning and disabling shots. Preparation for Use of Warning Shots Before a decision to use warning shots can be made, the following conditions must be met: 7e 11 7e 4. All ICE officers will be clearly identified as ICE officers through the use of uniforms, raid jackets or other approved methods. 5. Protective and safety equipment, such as body armor and personal flotation devices, clearly identified by an ICE badge (patch) and the words CUSTOMS, ICE or police, must be worn by all personnel on board. 6. Communications equipment must be on hand to clearly communicate verbal instructions to the suspect vessel. All ICE vessels must have a VHF-FM Marine Band radio with full channel capacity and an Over–The-Air Re-Key (OTAR) Land/Mobile radio with law enforcement network access. A loud hailer system must be available. 7. Positive communication must be established in advance with the National Law Enforcement Communications Center (Sector), the Air and Marine Operations Center (AMOC), the local Air and Marine Branch, or any other ICE or DHS communications available to the vessel. 8. 7e D. Use of Warning Shots When a pursued vessel fails to comply with an order to stop, all conditions listed in Parts B and C are met, and the ICE vessel commander believes warning shots are warranted, the vessel commander will: 7e 4. For all vessels, foreign or United States flag, communicate to Sector or AMOC, the name, homeport, number, rig, and other distinguishing characteristics of the pursued vessels, and notify that warning shots will be or have been fired. 12 5. 6. Vessels displaying no flags, stateless or “pirate vessels,” not registered in any country, are subject to the jurisdiction of any nation choosing to exercise jurisdiction wherever on the high seas the vessel is encountered. Therefore, ICE officers may treat stateless vessels in the same manner as United States vessels. 7. E. For vessels displaying foreign flag only, coordinate, as required by Presidential Directive 27 among affected agencies, such as the U.S. Coast Guard and Department of State on all actions against foreign flag vessels on the high seas (more than 12 nautical miles from the coast of the United States). In order to ensure such coordination, all warning shots fired from ICE vessels at foreign flag vessels shall be cleared by the U.S. Coast Guard District Operations Center through the local Air and Marine Branch, Sector, AMOC, or whatever other ICE communication is available to the ICE vessel. After approval by the vessel commander and having met all other conditions listed above, ICE officers may fire warning shots. Warning shots will be fired directly across, but not over, the bow well forward of the pursued vessel. This is to be accomplished with regard to safety of other vessels as well as the pursued vessel. Furthermore, there should be a timed interval between successive shots long enough to allow persons aboard the pursued vessel to make evident any decision to stop. If time and circumstances permit, fire a minimum of two (2) warning shots. If firing across the bow is impractical, warning shots should be fired in an alternate safe direction (but not in a projected arc over the vessel) where the range is clear and considered most visible to the pursued vessel. Furthermore, such shots must not jeopardize other vessels or other persons. Disabling Fire When a pursued vessel fails to comply with an order to stop, all conditions listed above in 7e subpart C. are met, and the ICE vessel commander believes disabling shots are warranted, the vessel commander will: 7e 4. After approval by the vessel commander, NFTTU trained and certified (authorized) ICE officers may deploy disabling shots. 5. The proper utilization of these specified firearms and ordnance for disabling fire in accordance with the approved training shall not be considered deadly force. 13 F. Defense Against Ramming Attempts When ICE officers believe that they are in imminent danger of being rammed, and a ramming or attempt to ram is intentional, ICE personnel can invoke deadly force in selfdefense. The following criteria must be met in total before deadly force is invoked: 1. The suspect vessel poses an imminent threat of serious injury or death to ICE personnel; and 2. The ramming attempt is intentional. If not specifically threatened, the intent to ram may be reasonably inferred based on facts and circumstances such as: a. b. 3. G. An uncooperative and belligerent attitude towards generalized warnings or orders to “heave to”; or An uncommunicative vessel which refuses to respond to ICE queries, signals, or presence, and there appears to be no difficulties in maneuvering when a sudden change of course is obviously made to collide with the ICE vessel; and The ICE vessel cannot prevent the ramming by maneuvering clear. Reporting the Use of Warning or Disabling Shots 1. The vessel commander shall report any use of open water warning and/or disabling shots to the AMO Command Duty Officer who shall in turn report it to the ICE Headquarters Reporting Center. 2. A Use of Force Incident Report, ICE Form 10, shall be completed for any open water warning and/or disabling shots and forwarded to the Director of the NFTTU. 3. U.S. Coast Guard Exceptions: Although U.S. Coast Guard petty, warrant, and commissioned officers are customs officers pursuant to 19 U.S.C. § 1401 (i) and 14 U.S.C. § 143, they have independent authority to carry firearms. Therefore, U.S. Coast Guard personnel acting as customs officers are exempt from this ICE Policy, and they may carry and use firearms in accordance with applicable U.S. Coast Guard directives. 14 Appendix 1 DHS Use of Force Policy Ser:re?rJry U.S. Department of Homeland Seeu rity Washington. DC 20528 Homeland Security July 1, 2004 MEMORANDUM FOR: Deputy Secretary Under Secretaries Director, U.S. Secret Service Commandant, U.S. Coast Guard Assistant Secretary, ICE Commissioner, CBP Acting Administrator, TSA FROM: Tom Ridge 5 SUBJECT: Use of Deadly Force Policy Attached is the Department of Homeland Security (DHS) Use of Deadly Force Policy which I issued today. The policy, applicable to all DHS law enforcement officers and agents, is intended to provide the standard for all DHS components. Officials and supervisors should take appropriate steps to ensure that pre-existing use of force policies comply with this new standard and incorporate its core principles. The following Use of Deadly Force Policy was developed by a Task Force comprised of DHS headquarters and component representatives to unify to the extent feasible and practicable existing DHS agency policies. The resulting umbrella policy reflects the components' different law enforcement missions and activities, and permits the agencies to adopt more detailed operational guidance with DHS approval. DEPARTMENT OF HOMELAND SECURITY POLICY ON THE USE OF DEADLY FORCE June 25, 2004 By virtue of the authority vested in the Secretary of the Department of Homeland Security, including the authority vested by 6 U.S.C. ?l12(a), I hereby establish a Department of Homeland Security policy on the use of deadly force for law enforcement. The policy set forth herein is intended to set uniform standards and provide broad guidelines for the use of force by law enforcement officers and agents of the Department of Homeland Security performing law enforcement missions. The provisions of this Order apply to all law enforcement officers and agents of the Department of Homeland Security. 1. GENERAL PRINCIPLES Law enforcement officers and agents of the Department of Homeland Security may use deadly force only when necessary, that is, when the officer has a reasonable belief that the subject of such force poses an imminent danger of death or serious physical injury to the officer or to another person. A. Fleeing subjects. Deadly force may not be used solely to prevent the escape of a fleeing suspect. B. Firearms may not be fired solely to disable moving vehicles, vessels, aircraft, and other conveyances, except as follows: 1. United States Secret Service agents and officers, in exercising the United States Secret Service's protective responsibilities, may discharge firearms to disable moving vehicles, vessels, and other conveyances. United States Secret Service agents and officers may discharge firearms to disable aircraft in flight, only if the use of deadly force against the occupants of the aircraft would be authorized under this policy. 2. U.S. Immigration and Customs Enforcement, US. Customs and Border Protection and U.S. Coast Guard law enforcement officers and agents, when c-onducting maritime law enforcement, may fire firearms to disable moving vessels or other conveyances. C. If feasible and if to do so would not increase the danger to the officer or others, a warning to submit to the authority of the officer shall be given prior to the use of deadly force. D. Warning shots are not permitted, except as follows: l. Warning shots may be used by United States Secret Service agents and officers in exercising the United States Secret Service's protective responsibilities. 2. Warning shots may be used by U.S. Immigration and Customs Enforcement, U.S. Customs and Border Protection and U.S. Coast Guard law enforcement officers and agents when conducting maritime law enforcement only as a signal to a vessel to stop. 3. Warning shots may be used by U.S. Immigration and Customs Enforcement, U.S. Customs and Border Protection and U.S. Coast Guard law enforcement officers and agents when conducting aviation law enforcement operations only as a signal to an aircraft to change course and follow direction to leave airspace. E. Officers will be trained in alternative methods and tactics for handling resisting subjects which must be used when the use of deadly force is not authorized by this policy. II. GUIDELINES A. Homeland Security Directorates and Agencies shall, to the extent necessary, supplement this policy with policy statements or guidance consistent with this policy. Such policy statements shall be subject to review and approval by appropriate departmental offices, including the Office of General Counsel, to ensure consistency with law and departmental standards and policies. B. The respective Homeland Security Directorate Under Secretaries, the Commandant of the United States Coast Guard, and the Director of the United States Secret Service shall approve guidelines for weaponless control techniques, intermediate weapons, and firearms or lethal weapons with non-lethal munitions, in accordance with this policy and that directorate's or agency's unique law enforcement mission, training, and equipment. MILITARY ACTIVITIES This policy shall not apply to the United States Coast Guard when engaged in warfighting, the military defense of the United States, or other military activities where Standing Rules of Engagement apply or to other operations at sea addressed by other policies or direction. IV. SAVINGS To the extent agency and component policies and procedures in place prior to the creation of the Department of Homeland Security are consistent with this policy, they remain in full force and effect unless otherwise revoked or modified. V. APPLICATION OF THE POLICY This Policy is not intended to, and does not, create any right or benefit, substantive or procedural, enforceable at law or in equity, against the United States, its departments, agencies, or other entities, its officers or employees, or any other person. Tom Ridge Appendix 2 Shooting or Use of Deadly Force Incident Investigation Reports 1. The shooting or use of deadly force incident investigative report shall contain: A. Cover sheet with table of contents; B. Responsible Official's investigative report of the incident; C. Memorandum of incident from the supervisor on scene; D. Transcripts or synopses of oral statements from ICE officer(s) involved in the shooting or use of deadly force; E. ICE Report of Assault on ICE Employee; F. Criminal history record check results (NCIC and any appropriate state systems checks); G. Photographs of scene; H. Diagrams of scene; I. Shooting data including distances of ICE officers and assailants, number of rounds fired, etc. and use of deadly force data, weapons used, number of ICE officers and assailants involved, etc.; J. Detailed information pertaining to firearms and ammunition used including makes, models, types and numbers of firearms used, ammunition make and type used, performance of ammunition if known, etc.; K. Statements of witnesses; L. Official reports from local investigating authority (e.g., FBI, Sheriff's Office, Police Department, etc.); M. Medical reports; and, N. Copies of printed and televised media reports of the incident. 20 2. As required in Part 2, an investigation of a shooting or use of deadly force incident should be completed within sixty days whenever possible. In the event that evidence critical to the investigation is not available within sixty days, the Responsible Official shall submit to the OPR updated status reports on open cases. In addition, the Responsible Official shall report to the OPR all supplementary evidence or case related facts as it is obtained. 21 Appendix 3 ICE Use of Force Incident Report 22 U.S. Department of Homeland Security Bureau of Immigration and Customs Enforcement Shooting and Use of Force Incident Report INCIDENT IDENTIFICATION INFORMATION ICE Incident Number: OPR Incident File Number: Additional NFTTU-10's / Same Incident ICE Investigating Official: Yes Program: SAC/ RAC/FO: Office / Station: No Reporting Official: Reporting Official Telephone/FAX: Time of Incident: Date of Incident: Day of Incident: Number of Suspects: Number of Involved ICE Officers: Number of ICE Officer Witnesses: S M T W T F S Number of Civilian Witnesses: INCIDENT LOCATION INFORMATION Address of Occurrence (Include City, County, State and ZIP Code), or Distance from Permanent Reference Points: Character of Premises (Check ONE from EACH Column): Urban Suburban Rural Remote / Isolated Densely Populated Moderately Populated Sparsely Populated Uninhabited Residential Commercial Undeveloped / Open Station / Institution Indoors Outdoors In (Land) Vehicle On Boat or Aircraft Illumination (Check ONE from EITHER of 2 Left Columns; Check ALL Applicable from Remaining Columns): If Natural Illumination: Dawn Daylight Dusk Night Or, If Artificial Illumination: Interior Room Lights Street Lights Vehicle Headlights Flashlight Dark Poor Lighting Good Lighting Weak Moonlight Strong Moonlight Suspect Silhouetted Officer Silhoutted Night Vision Aided Snow / Marine Glare Oncoming Light Glare Very Hot Hot Temperate Cold Desert Grassland Wooded Area Mountainous Environmental Conditions (Check ALL Applicable): Dry Standing Water Raining Snowing Calm Windy Haze / Blowing Dust Fog INVOLVED OFFICER INFORMATION (Complete a Separate Form NFTTU-10 for Each Officer Involved) Service EOD: Duty Location EOD: Name (LAST, First MI): Title: Sex: Hand Usage When Shooting: Male Female Right-handed Duty Status: On Duty Height: Weight: Age: Left-handed Total YEARS Law Enforcement Experience: Off Duty Federal: State: Local: Operational Activity (Check ONE Program / Activity): DET (Detention) INV (Investigations) JTF (Joint Task Force) FPS (Protection) DRO (Removal) AMI (Interdiction) TO (Traffic Observ'n) TRN (Training/Qual's.) WS (Warrant Service) INVOLVED OFFICER INCAPACITATION INFORMATION (Complete This Section Only if Involved Officer Was Shot) Check This Box if Officer NOT Shot Degree and Duration of Incapacitation: NO Incapacitation Occurred Within: PARTIAL Incapacitation Occurred Within: FULL Incapacitation Occurred Within: Ability to Respond to Threat Was Regained Within: Body Armor Usage: Used Number of Impacts: Not Used Describe Any Involved Officer Injuries: Form NFTTU-10 (Rev. 06/05/03) Other (Explain): 0-3 Sec. 0-3 Sec. 0-3 Sec. 0-5 Sec. Number of Full Penetrations: 4-6 Sec. 4-6 Sec. 4-6 Sec. 6-10 Sec. Over 6 Sec. Over 6 Sec. Over 6 Sec. Over 10 Sec. Number of Failed Penetrations: INVOLVED OFFICER FIREARM INFORMATION Manufacturer: Model Name / Number: Type (Pistol, Rifle, etc.): Bullet Type: Bullet Weight: (List Additional Firearms Used by Same Officer on Supplement) Caliber: Barrel Length: Firearm Ownership: ICE-issued Rounds Fired: Additional Firearms Used: Personal None INVOLVED OFFICER SHOOTING / RELOADING INFORMATION See Supplement (Check ONE from EACH Section / Category) Shooting Information: Shooting Posture: Standing Kneeling Prone Shooting Elevation: At / Above Eye Level Below Eye Level Hip Level Posture Orientation: Field Inter'n Stance Facing Squarely Side Towards Aiming Method: Point Aim Sight Aim Combination Cover Usage: No Cover Cover Used In Vehicle Firing Mode: Double Action Semi-automatic Fully Automatic Shooting Grip: Two-handed Strong Hand Only Weak Hand Only Shooting Distance (Express in Yards): Maximum: Minimum: Reloading Information: Check This Box if Officer Did NOT Reload With Magazine(s) With Speedloader(s) Reloading Posture: Standing Kneeling Prone From Belt Loops From Pocket Total Reloads: Total Rounds Fired: Total SUSPECT Hits: Total Accounted For: Cover Usage: No Cover Cover Used In Vehicle Other Persons Hit / Property Damaged by Impact(s): Number and Location of SUSPECT Hits: Check This Box if SUSPECT Was NOT Hit Head (Front) Upper Torso (F) Head (Rear) Upper Torso (R) INVOLVED OFFICER TRAINING INFORMATION Date Last Qualified: Lower Torso (F) Lower Torso (R) Qualification Scores Last 4 Quarters (In Order of Recency): Latest: Extremeties (Arms) Extremeties (Legs) Average Annual Score: Oldest: What Training Assisted the Involved Officer / Training Recommendations: SUSPECT INFORMATION Name: (Complete a Separate Form NFTTU-10 for Each Suspect Involved) Sex: AKA(s): Male Height: Weight: Age: Ethnicity: FBI Number: Female Other Information: Prior Arrests (Show Date, Offense and Disposition): SUSPECT FIREARM (AND MISC. WEAPONS) INFORMATION Manufacturer: Model Name / Number: (List Additional Firearms Used by Same Suspect on Supplement) Type (Pistol, Rifle, etc.): Caliber: Barrel Length: Bullet Type: Bullet Weight: Rounds Fired: Additional Firearms Used: None See Supplement Non-firearm Weapon Information: Edged Weapon Hands, Fists, Feet Rocks Other Blunt Instrument Chemical Device Vehicle SUSPECT INCAPACITATION INFORMATION (Complete This Section Only if Suspect Was Shot) Check This Box if Suspect NOT Shot Degree and Duration of Incapacitation: NO Incapacitation Occurred Within: PARTIAL Incapacitation Occurred Within: FULL Incapacitation Occurred Within: Ability to Respond to Threat Was Regained Within: Form NFTTU-10 (Rev. 06/05/03) Animal Other: 0-3 Sec. 0-3 Sec. 0-3 Sec. 0-5 Sec. 4-6 Sec. 4-6 Sec. 4-6 Sec. 6-10 Sec. Over 6 Sec. Over 6 Sec. Over 6 Sec. Over 10 Sec. Use this supplement to record Involved Officer firearms and/or Suspect weapons that are additional to those shown on the original NFTTU-10. Firearms or other weapons used by ADDITIONAL Involved Officers and/or Suspects should be shown on ADDITIONAL NFTTU-10's submitted for those parties. INCIDENT IDENTIFICATION INFORMATION Reportable Shooting Incident Number: OPR Incident File Number: Name of Primary Involved Officer: ADDITIONAL INVOLVED OFFICER FIREARM INFORMATION Manufacturer: Model Name / Number: Type (Pistol, Rifle, etc.): Bullet Type: Bullet Weight: Firearm Ownership: ICE-issued Rounds Fired: Caliber: Barrel Length: Additional Firearms Used: Personal None See Supplement ADDITIONAL INVOLVED OFFICER FIREARM INFORMATION Manufacturer: Model Name / Number: Type (Pistol, Rifle, etc.): Bullet Type: Bullet Weight: Rounds Fired: Firearm Ownership: ICE-issued Caliber: Barrel Length: Additional Firearms Used: Personal None See Supplement ADDITIONAL SUSPECT FIREARM (AND MISC. WEAPONS) INFORMATION Manufacturer: Model Name / Number: Type (Pistol, Rifle, etc.): Caliber: Barrel Length: Bullet Type: Bullet Weight: Rounds Fired: Additional Firearms Used: None See Supplement Non-firearm Weapon Information: Edged Weapon Hands, Fists, Feet Rocks Other Blunt Chemical Device Vehicle Animal Other: ADDITIONAL SUSPECT FIREARM (AND MISC. WEAPONS) INFORMATION Manufacturer: Model Name / Number: Type (Pistol, Rifle, etc.): Caliber: Barrel Length: Bullet Type: Bullet Weight: Rounds Fired: Additional Firearms Used: None See Supplement Non-firearm Weapon Information: Edged Weapon Hands, Fists, Feet Rocks Other Blunt ADDITIONAL INFORMATION / TEXT CONTINUATIONS Specify the Section of the NFTTU-10 to Which This Continuation Applies: Chemical Device Vehicle Animal Other: