1
LAW ENFORCEMENT ROLE AND AUTHORITY
Standards in this chapter relate to the basic role and authority of law enforcement agencies. Subtopics address the development of policy concerning the law enforcement function, the limits of authority, and the use of force.
When an agency defines its role, two broad purposes are served. First, sworn and civilian personnel are made aware of the actions and attitudes expected of them and can therefore act without hesitation in consonance with the agency’s values and policies. Second, members of the public are provided with a general standard by which they can measure the performance of the agency. Written policy defining the functional role should set forth the agency’s values, mission, goals, and basic programs and priorities. The policy statement should also specify that the agency intends to be responsive to, and protect the constitutional rights of, the community.
Before proceeding with the remaining chapters in this manual, it is imperative that the user first properly identify each category of agency personnel and their respective authority within the agency (subchapters 1.1 and 1.2) using the following five caveats as a guide:
1) A very clear distinction is made in this manual between sworn and civilian personnel. Read the glossary definitions for "sworn officer," "civilian," and "full-custody arrest" carefully. A sworn officer has the authority to make a full custody arrest; a civilian does not.
2) Some agencies have more than one category of full-time sworn personnel. For example, "warden," "commercial vehicle enforcement officer," "fire marshall," or other category having authority to make a full custody arrest for violations of specific or narrowly defined laws or ordinances.
3) Some agencies have reserve officers (see Glossary). Reserve officers are part-time sworn personnel. Standards in subchapter 16.3 deal specifically with this category.
4) Some agencies have auxiliaries (see Glossary). Auxiliaries are not sworn personnel, even though in some states, provinces, or localities auxiliaries may be defined by law as having sworn authority. For the purpose of application of standards in this manual the glossary definitions for reserves and auxiliaries will be used.
5) Some agencies may issue certain less-than-lethal weapons or restraining devices to civilian personnel such as security guards, detention officers, or others whose scope and responsibility necessitates the use of these items. Issuing these items will cause standards such as use of force, Chapter 1, and training, Chapter 33, or possibly prisoner transport, Chapter 71 to become applicable to this category of agency personnel.
Agencies having more than one category of sworn personnel should clearly identify each category in standard 1.2.1. Any other standard that refers to sworn personnel will be applicable to all categories of full-time sworn personnel. This may cause the agency to demonstrate compliance in more than one way depending on the number of categories and whether the processes differ between the categories. Compliance may be achieved in these standards using separate documentation for each category.
Written directives concerning the agency role, limits of authority, and use of force should emphasize the agency’s core values and intent to meet or exceed the public’s expectations in the delivery of professional law enforcement services.
Few issues outweigh the concern raised in a community when it is perceived that members of a law enforcement agency use inappropriate levels of force. Communities rightfully expect that its law enforcement agency will issue weapons only to those agency members legally authorized to carry same as a condition of their duties, and that weapons and tactics are only utilized in conformance with sound policies, procedures, and training.
Policies, procedures, and training on topics such as use of force and officer discretion have typically touched upon the legal aspects of these issues; in some jurisdictions this may even be mandated. Accredited agencies look beyond simply what might be legal, providing sound written guidance consistent with agency values that often conveys a sense of responsibility and compassion that transcends all laws.
1.1 Law Enforcement Agency Role
1.1.1 A written directive requires all personnel, prior to assuming sworn status, to take and subsequently abide by an oath of office to enforce the law and uphold the nation’s constitution or basic law of the land and, where applicable, those of governmental subdivisions.
Commentary:
None.(M M M M)
1.1.2 A written directive requires all sworn officers to abide by a code or canon of ethics adopted by the agency.
Commentary:
The Canon of Ethics or Law Enforcement Code of Ethics published by the International Association of Chiefs of Police or the Code of Ethics of the Office of the Sheriff adopted by the National Sheriffs’ Association will satisfy the intent of this standard. Adherence to those codes of ethics and to the United Nations Code of Conduct for Law Enforcement Officials may be included as an element of the oath of office.(M M M M)
1.1.3 A written directive specifies the agency’s role in criminal justice and social service diversion programs.
Commentary:
There are often social service diversion programs in which law enforcement agencies are directly involved, including detoxification, mental health, and drug abuse diversion programs. Additionally, there are criminal justice diversion programs principally for juvenile delinquents but which may apply to others with whom the agency may be involved. The written directive should describe the agency’s role in these programs.(O O O O)
1.2 Limits of Authority
1.2.1 A written directive defines the legally mandated authority and responsibilities vested in all categories of sworn agency personnel. If the agency
has more than one category of sworn personnel, each shall be identified.
Commentary:
The written directive should define and elaborate on the scope and limits of law enforcement authority as it pertains to the enforcement of laws, statutes, ordinances, and arrests. Some agencies have more than one category of sworn agency personnel. For example, warden, fire marshal, commercial vehicle enforcement officer, or other special class of officer having sworn duties, but limited arrest authority. Standards in this manual applicable to sworn officers are applicable to each category. Generally, sworn status includes the authority to make a full custody arrest.(M M M M)
1.2.2 A written directive defines the legal authority to carry and use weapons by agency personnel in the performance of their duties.
Commentary:
none.(M M M M)
1.2.3 A written directive governs procedures for assuring compliance with all applicable constitutional requirements, including:
a. interviews;
b. interrogations; and
c. access to counsel.
Commentary:
Standard 41.2.4 covers field interviews. This standard covers in-custody interviews and interrogations. The areas referred to in this standard are coercion or involuntary nature of confessions and admissions, delay in arraignment, failure to inform defendants of their rights, deprivation of counsel, and pretrial publicity tending to prejudice a fair trial. Juvenile procedures are addressed in standards 44.2.2 and 44.2.3.(M M M M)
1.2.4 A written directive governs search and seizure without a warrant by agency personnel, to include the following situations:
a. search by consent;
b. stop and frisk of an individual under circumstances where the officer has articulable reasons to fear for his/her safety;
c. search of a vehicle under a movable vehicle exception;
d. at the scene of a crime;
e. exigent circumstances, as where the public safety is endangered;
f. inventory searches of seized vehicles or other property; and
g. other situations authorized by state and federal constitutional provisions.
Commentary: The intent of this standard is to provide general guidelines and procedures for agency law enforcement personnel to follow in conducting searches that have not been reviewed and authorized by judicial personnel.
(M M M M)
1.2.5 A written directive specifies the procedures for any arrest, made with or without a warrant.
Commentary:
The written directive should include procedures imposed by the U.S. Supreme Court, the courts of the applicable state and/or country, and any legislation pertaining to or governing the laws of arrest. Also included should be circumstances that permit a warrantless arrest; areas that may be searched incident to an arrest, both with and without a search warrant; and requirements that pertain to arrestee rights. The directive should be updated in a timely fashion so that it reflects new decisions that add to the substantive law of arrest.(M M M M)
1.2.6 A written directive defines the authority, guidelines, and circumstances when sworn personnel may exercise alternatives to arrest, prearraignment confinement, and/or pretrial release.
Commentary:
The written directive should identify the authority of sworn officers to use alternatives to arrest, e.g., citations, summonses, referral, informal resolution, and warning, to address the variety of problems they confront. Policy guides and procedural directions should be developed to ensure appropriate use of the alternatives by personnel.(M M M M)
1.2.7 A written directive governs the use of discretion by sworn officers.
Commentary:
In many agencies, the exercise of discretion is defined by a combination of written enforcement policies, training, and supervision. The written directive should define the limits of individual discretion and provide guidelines for exercising discretion within those limits (see 61.1.2 and 61.1.5).(M M M M)
1.2.8 The agency has written procedures for strip and body cavity searches. The procedures shall include:
a. authority for conducting strip and body cavity searches with and without a warrant;
b. provisions for privacy and search by gender; and
c. reporting requirements, if any.
Commentary:
Strip and body cavity searches are sometimes necessary for agency safety and security or to seize evidence of criminal activity. These searches, however, are highly intrusive and should be conducted within the limits of legal authority, out of public view, and with due regard for human dignity. Some body cavity searches may require special hygienic procedures and qualified medical personnel to conduct the search. The procedures should guide agency personnel in conducting strip and body cavity searches that will maximize safety, seize necessary evidence, and be considered reasonable by applicable judicial authority.(M M M M)
1.2.9 The agency has a written directive governing bias based profiling and, at a minimum, includes the following provisions:a. a prohibition against bias based profiling in traffic contacts, field contacts and in asset seizure and forfeiture efforts;
b. training agency enforcement personnel in bias based profiling issues including legal aspects;
c. corrective measures if bias based profiling occurs; and
d. an annual administrative review of agency practices including citizen concerns.
Commentary:
Profiling, in itself, can be a useful tool to assist law enforcement officers in carrying out their duties. Bias based profiling, however, is the selection of individuals based solely on a common trait of a group. This includes but is not limited to race, ethnic background, gender, sexual orientation, religion, economic status, age, cultural group or any other identifiable groups.Law enforcement agencies should not condone the use of any bias based profiling in its enforcement programs as it may lead to allegations of violations of the constitutional rights of the citizens we serve, undermines the legitimate law enforcement efforts and may lead to claims of civil rights violations. Additionally, bias based profiling alienates citizens, fosters distrust of law enforcement by the community, invites media scrutiny, legislative action, and judicial intervention.
Law enforcement personnel should focus on a person's conduct or other specific suspect information. They must have reasonable suspicion supported by specific articulated facts that the person contacted regarding their identification, activity or location has been, is about to commit a crime or is currently presenting a threat to the safety of themselves or others. Annually, the agency should include profiling related training that should include field contacts, traffic stops, search issues, asset seizure and forfeiture, interview techniques, cultural diversity, discrimination, and community support.
(M M M M)
1.3 Use of Force 1.3.1 A written directive states personnel will use only the force necessary to accomplish lawful objectives. Commentary: None. (M M M M)1.3 Use of Force
1.3.1 A written directive states personnel will use only the force necessary to accomplish lawful objectives.
Commentary:
None.(M M M M)
1.3.2 A written directive states that an officer may use deadly force only when the officer reasonably believes that the action is in defense of human life, including the officer’s own life, or in defense of any person in immediate danger of serious physical injury. Definitions of conditional terms, such as those for reasonable belief, serious physical injury, or similarly used terms that are used to qualify the directive, shall be included.
Commentary: The intent of this standard is to establish a clear cut agency policy on the use of deadly force that provides officers with guidance in the use of force in life-and-death situations and to prevent unnecessary loss of life.
The agency should review this directive with all sworn employees (see 1.3.11). The agency also may wish to cross-reference this policy with other critical policies, such as vehicle pursuits (see 41.2.2) and roadblocks (see 61.3.4).
(M M M M)
1.3.3 A written directive governs the discharge of "warning" shots.
Commentary:
Generally, warning shots should be prohibited due to the potential for harm. If permitted, the circumstances under which they are utilized should be narrowly defined.(M M M M)
1.3.4 A written directive governs the use of authorized less-than-lethal weapons by agency personnel.
Commentary: None.
(M M M M)
1.3.5 A written directive specifies procedures for ensuring the provision of appropriate medical aid after use of lethal or less-than-lethal weapons, or other use of force incidents as defined by the agency.
Commentary:
the intent of this standard is to minimize the severity posed by obvious injuries or non-visible trauma commonly associated with some weaponless or hand-to-hand tactics. Such tactics may include neck holds, hard punches to the head, heart, or other vital organs, or restricting respiratory function. "Appropriate medical aid" does not place the burden on the agency to have each injured person immediately evaluated at a medical facility. "Appropriate medical aid" may include increased observation to detect obvious changes in condition, flushing chemical agents from the eyes, applying first aid, evaluation by paramedics, or for more serious or life threatening incidents, immediate aid by medical professionals. "Other use of force incidents as defined by the agency" may include procedures for the provision of medical aid to a person injured prior to contact with the agency, but the scope of this standard is limited to actions taken by agency personnel causing, or likely to cause injury.(M M M M)
1.3.6 A written report is submitted whenever an employee:
a. discharges a firearm, for other than training or recreational purposes;
b. takes an action that results in, or is alleged to have resulted in, injury or death of another person;
c. applies force through the use of lethal or less-than-lethal weapons; or
d. applies weaponless physical force at a level as defined by the agency.
Commentary: the intent of this standard is to establish use of force reporting systems within the agency for effective review and analysis (see 1.3.7 and 1.3.13). The reporting systems should help identify trends, improve training and officer safety, and provide timely information for the agency addressing use of force issues with the public. Early and accurate reporting helps establish agency credibility.
Software programs such as the i.a.c.p. national database on use of force incidents may be used to generate the necessary reporting elements of this standard or the agency may choose to use a variety of reporting methods to document use of force incidents, based on severity or other established criteria.
This standard does not require reporting the pointing of weapons or using weaponless, hand-to-hand control techniques that have little or no chance of producing injuries when gaining control over, or subduing non-compliant or resisting persons. These techniques include, but are not limited to; physical touching, gripping or holding, frisking, pain compliance measures, pressure point application, come-alongs, handcuffing, or other custodial procedures. It should be noted however, that some agencies have had success documenting this type of information, using a standard checklist report format associated with the arrest report.
In deciding the threshold of when to generate a use of force report and how extensive the report needs to be, the agency should carefully examine all incidents wherein its employees have caused, or are alleged to have caused death or injury to another, have accidentally or intentionally discharged a firearm, or have applied weaponless force upon another to the extent it is likely to cause or lead to unforeseen injury, claim of injury, or allegations of excessive force, e.g. the use of neck holds, four point restraints (commonly referred to as the "hog-tie" restraint), punches, or kicks. the agency should also consider who is required to write reports when multiple employees were engaged in the same use of force incident.
If physically able, the primary employee involved should be required to verbally report his/her involvement within a specified time period. The verbal report should be committed to writing as soon as practical, thereafter. Written procedures should state by whom, when, and how the report will be submitted. The standard is not intended to document the display of weapons by officers.
(M M M M)
1.3.7 The agency has a procedure for reviewing the report required by standard 1.3.6.
Commentary
: the intent of the review is to determine whether there are policy, training, weapon/equipment, or discipline issues which should be addressed.(M M M M)
A written directive requires the removal from line duty assignment, pending administrative review, any employee whose actions or use of force results in a death or serious physical injury.Commentary:
The purpose of this standard is twofold: to protect the community’s interest when officers may have exceeded the scope of their authority in their actions or in their use of force and to shield officers who have not exceeded the scope of their authority from possible confrontations with the community.The agency should consider removing from line-of-duty status all officers involved in a critical or traumatic incident, not limited to shootings, and may include incidents such as a fatal motor vehicle collision involving the employee. During the period of administrative leave, the agency should consider provisions for post-incident debriefing or counseling for those employees involved. In some critical incidents, the employee’s family may require assistance also.
The removal process may have a detrimental effect on employees involved. Agencies may wish to routinely include a review of these procedures during in-service training sessions (see 1.3.11) to enhance understanding of this procedure.
(M M M M)
A written directive requires that only weapons and ammunition authorized by the agency be used by agency personnel in law enforcement responsibilities. the directive shall apply both on and off duty, and must address:a. the types and specifications of all lethal and less-than-lethal weapons approved for use;
b. the types and specifications of ammunition approved for use;
c. the procedure for review, inspection, and approval of all weapons intended for use by each employee in the performance of duty, prior to carrying, by a qualified weapons instructor or armorer, and a process to remove unsafe weapons; and
d. the procedure for maintaining a record on each weapon approved by the agency for official use.
Commentary: The intent of this standard is to establish strict agency control over all firearms, weapons, and ammunition it allows members to carry and use in the performance of their official duties, both on and/or off duty. Clear guidelines should be established for exact types and specifications of each category and include the proficiency levels associated with each weapon.
For firearms, the agency should establish an approval process. Each firearm should be identified, meet the agency’s established criteria and be safe and in good working order. The user should demonstrate his or her proficiency in using the firearm on an approved qualifying course before being approved, in writing, by the agency, to carry and use the firearm. A certified firearms instructor or armorer should inspect and approve the firearm and oversee the proficiency testing.
A complete record of all weapons approved by the agency should be maintained. For firearms, the record should list the type, description, identifying model, and serial numbers of each firearm, as well as the identity of the owner or assignee. The record should also include the name of the official making the approval, the date of approval, the course fired, and all scores used to qualify the user on the demonstration of proficiency. All approvals should be conditional upon periodic requalification pursuant to procedures established to comply with standard 1.3.11.
(M M M M)
A written directive requires that only agency personnel demonstrating proficiency in the use of agency-authorized weapons be approved to carry such weapons.Commentary:
The intent of this standard is to cover the carrying and use, both on and off duty, of all weapons, such as handguns, shotguns, chemical sprays, or striking weapons (see 1.3.9). Demonstrated proficiency includes achieving minimum qualifying scores on a prescribed course; attaining and demonstrating a knowledge of the laws concerning the use of authorized weapons and knowledge of agency policy(s) on the use of force, escalating force, and deadly force; and being familiar with recognized safe-handling procedures for the use of these weapons. The instruction and qualification of all weapons should be provided by a certified weapons instructor.(M M M M)
1.3.11 At least annually, all agency personnel authorized to carry weapons are required to receive in-service training on the agency’s use-of-deadly force policies and demonstrate proficiency with all approved lethal weapons that the employee is authorized to use. In-service training for less-than lethal weapons shall occur at least biennially. In addition:
a. proficiency training must be monitored by a certified weapons instructor;
b. training and proficiency must be documented;
c. the agency must have procedures for remedial training for those employees who are unable to qualify with an authorized weapon prior to resuming official duties; and
d. if the agency authorizes use of neck restraints or similar weaponless control techniques with a potential for serious injury, it is included in the annual in-service use of force curriculum.
Commentary:
annual and biennial in-service use of force refresher training need not be as formal as entry level or recruit training. Use of force retraining can be accomplished through a combination of methods, for example, during shift briefing training sessions, reviewing legal updates on use of force issues, or conducting written or skills tests on use of force and less than lethal weapons during annual firearms qualifications courses. Proficiency levels should be established by the agency with input from certified weapons instructors or others in the agency who can validate the criteria. Demonstrated proficiency with less than lethal weapons may consist of the same criteria used at entry level, or the course may be modified to either abbreviate or extend the training, based on the agency’s experience with the weapon in the field.The intent of bullet (c) is to ensure that remedial measures are provided, and that an employee failing to demonstrate proficiency with a weapon is not returned to duty with that weapon until such time as proficiency is demonstrated and documented.
See also standard 33.5.1. Training should be commensurate with the limits and scope of the employees’ job responsibilities, i.e., an agency property guard having no arrest authority may be issued a baton and chemical agent, but training proficiency need only cover defensive moves). The curriculum for sworn officers would be more extensive based on the scope of their authority to use force in making arrests.
(M M M M)
A written directive requires that all agency personnel authorized to carry lethal and less-than-lethal weapons be issued copies of and be instructed in the policies described in standards 1.3.1 through 1.3.5 before being authorized to carry a weapon. The issuance and instruction shall be documented.Commentary: None.
(M M M M)
1.3.13 The agency conducts a documented annual analysis of those reports required by standard 1.3.6
.Commentary: A review of incidents of force may reveal patterns or trends that could indicate training needs, equipment upgrades, and/or policy modifications.
(M M M M)