The State of Alabama -A- ABC Enforcement Agent s Manual Updated 02/20/2007
5-1 Chapter 5 - Page 2 USE OF FORCE I PURPOSE This policy will establish guidelines to govern the use of force by members of the Alabama ABC Board Enforcement Division. II OBJECTIVE To provide ABC Enforcement agents effective, but lawful procedures in a use of force continuum which requires that only minimum force be used to effect an arrest and custody. To ensure through policy and proper training that agents are to use only the amount of force necessary to achieve lawful objectives. NOTE: This policy is divided into two separate sections. A. Lethal force. B. Non-lethal force. III DEFINITIONS A. Deadly Physical Force - Physical force which, under the circumstances in which it is used, is readily capable of causing death or serious physical injury. B. Reasonable Belief - The facts or circumstances the agent knows are such as to cause an ordinary and prudent person to act or think in a similar way under similar circumstances. C. Physical Force - Physical actions taken to subdue and arrest a suspect by members of the Alabama ABC Board. D. Serious Physical Injury - A bodily injury that creates a substantial risk of death, causes serious permanent disfigurement, or results in long-term loss or impairment of the functioning of any bodily member or organ. IV USE OF DEADLY PHYSICAL FORCE A. The agent should use only the amount of force necessary to achieve lawful objectives. Deadly physical force should be used only as a last resort to affect an arrest. All other reasonable alternatives shall have been exhausted prior to the use of deadly physical force by the agent. The use of deadly physical force by an ABC agent may be considered warranted under the following circumstances: Revised 11/17/2006
Chapter 5 Page 3 1. When the Agent reasonably believes that the action is in defense of human life, including the Agent s own life, or in defense of any person in immediate danger of serious physical injury. 2. To affect an arrest or prevent the escape from custody of a person whom the agent has reasonable cause to believe: a. Has committed or is attempting to commit a felony involving the use of physical force. b. Has by an overt act indicated that he is likely to endanger human life or inflict serious physical injury unless apprehended without delay. c. The use of deadly force against a "fleeing felon" must meet the conditions required in Section IV, number 1. 3. Justification for use of a firearm is based upon facts known to the agent before such use, and not on information gained afterwards. 4. The use of Deadly Physical Force will be used as a last resort by members of the Alabama ABC Board Law Enforcement Division. B. Firearms shall not be discharged under the following circumstances: 1. In any case where there is reason to believe that the life of an innocent bystander will be substantially endangered by discharge of an agent's firearm. 2. As a warning shot. 3. At or from any moving vehicle unless such action is believed necessary to protect him/herself or another from imminent threat of death or great bodily harm. 4. At a fleeing felon except under circumstances as defined in this directive. C. Agents must receive instructions and a copy of this directive prior to authorization to carry a firearm on duty. V. REPORTING PROCEDURES FOLLOWING USE OF A FIREARM A. In all cases when an agent discharges a weapon in the line of duty, except in training or testing, he shall take the following actions: Revised 11/17/2006
1. Request medical personnel if needed. Chapter 5 Page 4 2. Verbally notify his/her supervisor 3. File a complete written report as soon as practical of all the facts and circumstances surrounding the incident. B. The supervisor in charge shall: 1. Notify the Chief of Enforcement as soon as possible if death or injury occurs as a result of the shooting. If the discharge of a weapon is accidental and there is no injury or loss of property, then the supervisor will report the incident to the Chief of Enforcement as soon as practical. 2. Begin a preliminary investigation of the incident. C. The Chief of Enforcement or his designee shall: 1. Immediately place the Agent(s) involved on Administrative Leave with pay, pending the results of the investigation, if any use of force results in death or injury. 2. Appoint an investigating Agent/Supervisor to review all incidents of firearm discharge. The Agent/Supervisor will make a written report with recommendations to the Chief of Enforcement within 72 hours. 3. Schedule the Agent to attend critical incident counseling at state expense. (See Section 2-25 - Critical Incident Team) NON-LETHAL POLICY In a majority of cases, some level of physical force will be necessary to affect an arrest or to protect others. That amount of physical force may be as low as placing a hand on the subject's shoulder or arm and directing that subject to place his hands behind his back for handcuffing. Depending on the level of resistance offered, the agent may use techniques that may escalate to physically pinning the subject to respond to techniques that influence behavior by eliciting pain in order to apply handcuffs using hand/leg strikes, O. C. Spray, or even the use of a firearm, if the resistance offered is severe. Agents are to use only the force necessary to complete the arrest. In any situation where use of force of any type is necessary, the Agent will complete and submit to his/her supervisor an ABC Enforcement Use of Force Report. Refer to ABC Enforcement Forms for official format. Revised 11/17/2006
5-2 Chapter 5 - Page 5 O. C. SPRAY Circumstances of Use The use of OC spray may be used at the officer's discretion under the following circumstances: 1. When necessary to defend himself/herself or others. 2. To effect an arrest. 3. To prevent the commission of a public offense. 4. When lower levels of force are deemed ineffective. OC - spray produces a stream type spray to incapacitate a person up to 10-12 feet. The spray should be directed at the subject's face with a one-second burst. Although the recommended minimal effective range is 2-8 feet, you can use OC - spray to spray directly at the face at a distance of 24 inches. Wind and weather conditions are factors that should be considered prior to using OC - spray. Anytime OC - spray is used on another person, you are required to report the incident to your immediate supervisor. Then the user must document each incident on a "Use of Force Report" as soon as practical after the incident is over. The OC ADMINISTRATIVE WARNING should also be given to the person sprayed as soon as possible. If a subject answers "yes" to any of the OC ADMINISTRATIVE WARNING questions, the officer's immediate supervisor should be notified and medical attention sought for the subject. Officers shall use only the amount of OC - spray needed to control the situation, subjects should not be allowed to get the advantage in a physical confrontation. Once the situation is under control and the subject has submitted to custody, the use of OC - spray must be discontinued. It is the user's responsibility to make every effort to relieve the subject's discomfort, after being exposed to OC - spray by flushing the eyes and contaminated areas with clear cool water as per decontamination procedures. If OC - spray is used inside a building, officers should make every reasonable attempt to warn and remove bystanders from the area prior to use. After an agent has used his OC - spray, it will be that agent's responsibility to check his canister and determine if he or she needs a new canister. If the agent feels that a new canister is needed, that agent should notify his immediate supervisor and get a new canister of OC - spray from the supervisor. *Only department issued canisters and mixtures of OC spray will be carried by an agent. An agent must successfully complete a department approved training course before that agent will be issued or allowed to carry OC spray. The improper use of force occurs when the type of degree of force employed was either excessive, unnecessary, or unreasonable. The use of Revised 11/17/2006
Chapter 5 Page 6 improper force will not be tolerated. Any violation of this policy shall be subject to disciplinary action. It will be the responsibility of supervisors to monitor the use of OC - spray and take corrective action when this policy is violated. Refer to ABC Enforcement Forms for official format. Revised 11/17/2006
5-3 Chapter 5 - Page 7 Use of Force Report Any time force is used against a subject to effect an arrest, a Use of Force Report must be completed and forwarded to the appropriate Chain of Command. This Use of Force Report will be completed as soon as possible after the incident occurs. This form may be typed or clearly printed. Refer to ABC Enforcement Forms for official format. Revised 11/17/2006
5-4 Chapter 5 - Page 8 Electronic Control Device (ECD) Purpose The purpose of this section is to establish policy and procedure for the use of the ECD to increase agency options pertaining to the ABC Enforcement Division s force continuum, with special regard to effective non-lethal means of subduing a resistive or combative subject with minimal risk to others and to maximize protection of Enforcement Agents while minimizing the risk of injury or death to a resistant or combative subject through means of physical confrontation. Policy It is the policy of this agency to use only that level of force that reasonably appears necessary to control or otherwise subdue violent or potentially violent individuals. ECDs may be used by authorized and trained personnel in accordance with the use of force policy and additional guidelines established herein. The authorized ECD for the Alabama ABC Board s Law Enforcement Division is the X26 Taser. Definitions Electronic Control Device (ECD) A device designed to disrupt a subject s central nervous system by deploying battery powered electrical energy sufficient to cause muscle contractions and override voluntary motor response. Anti-Felon Identification Tag (AFID) Confetti like pieces of paper that are expelled from the cartridge when the X26 Taser is deployed. Each AFID contains an alpha-numeric identifier unique to the cartridge used. Authorized Users Agents who have satisfactorily completed the approved training course. Only authorized users are permitted to carry an ECD. Documentation Procedures Each District Supervisor will maintain a log on all issued ECDs. The log will include minimally the Agents Name, ECD Serial Number, ECD Cartridge Serial Numbers, Date and Time of ECD Test, Date and Time of any Deployment, and the Date and Time of any maintenance. Weapon Readiness The ECD will be carried in an approved, agency issued holster on the side of the body opposite the service handgun. The ECD will be carried fully armed with the safety on, in preparation for immediate use. Only approved, agency issued battery power sources will be used in the ECD. Revised 5/9/2007
Chapter 5 Page 9 Any alteration to the ECD or holster must be approved in writing by the Chief of Enforcement. Deployment The ECD is synonymous with the Oleoresin Capsicum (OC) spray on the use of force continuum and the decision to use an ECD requires the same basic justification. It is forbidden to use an ECD in any of the following situations: In a punitive or coercive manner. On a handcuffed or secured suspect, unless the suspect continues to assault the officer or another person and cannot be reasonably subdued with less intrusive force. On any suspect who does not demonstrate an overt intention to use force or violence against the Agent or another person. In any environment where an Agent knows that a potentially flammable, volatile, or explosive material is present. In any environment where the subject s fall could reasonably result in death (eg: water, elevated structure, etc.). As in all use of force situations, certain individuals may be more susceptible to injury. Agents should be aware of the greater potential for injury when using the ECD with children, elderly individuals, or any female who may be pregnant. Upon deploying the ECD, the Agent will allow the release of electrical energy as few times and no longer than necessary to accomplish the legitimate operational objective. The subject should be secured as soon as possible while disabled by the ECD to minimize the number of energy cycles needed. In determining the need for additional energy cycles, an Agent should be aware that the subject may not be able to speak or respond immediately following exposure. In preparation for deployment, the ECD will be pointed in a safe direction, the safety released, and then aimed. Center mass of the subject s back should be the primary target where reasonably possible. Center mass of the chest or legs are the secondary targets. Fixed sights will be used as the primary aiming tool and laser dot sights as the secondary aiming tool. The ECD may be used in certain circumstances in a drive stun mode. This involves removing the cartridge and pressing the unit against an approved area of the body. When the ECD is used in this manner, it is: Revised 5/9/2007
Primarily a pain compliance tool Chapter 5 Page 10 Minimally effective More likely to leave marks on the skin Requires the same deployment guidelines and restrictions of the cartridge deployment mode. The ECD will be pointed at the ground in a safe direction with the safety activated during loading and unloading of cartridges. Aftercare The ECD probes will be removed from the subject by an authorized user after the subject is restrained. The following persons will be transported to a medical facility for examination following exposure to an ECD deployment: Any subject who requests medical attention Any subject exposed to the deployment of probes in a sensitive area (e.g.: face, head, female breast, groin, etc.) Any subject who does not appear to recover properly after deployment Any subject who required more than three energy cycles Any subject who has had more than one ECD deployed effectively in any given incident Any subject who has been exposed to a continuous energy cycle of fifteen seconds or more Any subject where, upon removal of the probe, the barb is not attached to the probe. Photographs of the area of the deployment on the body of the subject should be taken. When an ECD has been deployed in a control situation; the cartridge, wire leads, probes, and a sample of the AFIDs will be collected, sealed, identified, and maintained as evidence for any future investigations, hearings, trials, or judicial reviews. Revised 5/9/2007
Chapter 5 Page 11 Reporting The deploying Agent will notify his/her supervisor as soon as possible after deployment of the ECD and complete the appropriate statements, use of force reports, and ECD deployment form. Agents will articulate in their statements, use of force reports, and ECD Deployment form the complete circumstances that required the deployment of the ECD and the details of the ECD deployment. All reports and documentation will be forwarded to the District Supervisor as soon as is reasonably possible after the deployment. Any deployment of an ECD, whether intentional or accidental, will be completely documented and reported to the District Supervisor. Supervisor Responsibility District Supervisors will report all ECD deployments to the ABC Enforcement Central Office as soon as possible. This report will be made to the Captain Operations Bureau or the Captain oncall at the time. All documentation related to an ECD deployment will be forwarded to the Operations Captain as soon as possible. The District Supervisor will download the ECD data after each deployment and on the first working day of each month. This data will be recorded in the ECD log book. The District Supervisor will be ultimately responsible for the collection of used cartridges, wire leads, probes, AFIDs, photographs, statements, ECD data, and all reports to be maintained in the case file or evidence room in any deployment situation. When a suspect or agent is injured, or claims to be injured, or there is property damage as the result of any use of force, a supervisor will go to the scene as soon as possible and conduct a preliminary investigation of the incident. All reports, statements, and other information concerning the incident will be collected and forwarded to the Chief of Enforcement for review. Revised 5/9/07
Chapter 5 Page 12 5-5 Expandable Baton Purpose The purpose of this section is to establish policy and procedures for the use of the expandable baton. Policy An expandable baton provides arresting officers with additional use of force options for gaining compliance of resisting or aggressive individuals in arrest or other enforcement situations. It is the policy of this agency that arresting officers use the expandable baton when justified and in accordance with the guidelines and procedures set forth in this policy. Authorization All arresting officers of the agency are required to be qualified in the usage of the expandable baton. Only arresting officers who have successfully completed the prescribed course of instruction on the use of the expandable baton will be issued a baton and are authorized to carry a baton. The only baton that the agency authorizes for arresting officers to carry is the agency issued ASP expandable baton. All arresting officers shall receive additional re-training and be re-qualified in the use of the baton as scheduled by the agency. Usage Criteria The expandable baton is considered a use of force device and shall only be employed in a manner consistent with this agency s training and policy. The use of the expandable baton is justified when an officer feels that empty hand control has not or would not be sufficient to establish control and deadly force is not justified. An arresting officer is also justified in using the expandable baton when verbal commands have failed to bring about the subject s compliance and/or the subject has signaled his/her intention to actively resist the officer s efforts to make the arrest by verbalization or taking a defensive posture. The expandable baton is to be used as a means to temporarily disable an offender, never with the Revised 8/13/2007
Chapter 5 Page 13 intent to inflict permanent injury. Officers should avoid deliberately striking suspects in the head, neck, throat, spine, groin, kidneys, knee joints, or directly over the heart. The expandable baton shall never be used to strike a restrained person, inflict punishment, or as a threatening device to intimidate a person. The expandable baton is not recommended for use in applying control holds except in unusual or dangerous situations. Aftercare After use of the baton and the subject is under control, the arresting officer should, when possible, photograph the subject and the areas where the baton made contact. A subject will be seen by an EMT or medical personnel for examination under the following circumstances: the subject requests medical attention; contact is made with the subject s head, neck, throat, spine, groin, kidneys, knee joints, or directly over the heart; or when a subject does not appear to recover properly after contact is made. Reporting The arresting officer will notify his/her supervisor as soon as possible after having used the expandable baton to control a subject. A use-of-force report and all documentation will be completed and forwarded to the District Supervisor as soon as reasonably possible. The District Supervisor will report the use of the expandable baton to the Central Office as soon as possible. The report will be made to the Captain Operations Bureau or the Captain On-Call at that time. All documentation related to the use of the expandable baton will be forwarded to the Captain Operations Bureau as soon as possible. Maintenance Maintenance is the responsibility of the officer to whom the baton is issued. The only maintenance that is required under normal use is periodically wiping the baton down with a clean dry cloth. If it is difficult to close the baton or it will not lock out properly, an adjustment may be made by spreading or closing the prongs on the retaining ring. The retaining ring is located at the end of the baton and can be reached by unscrewing the end cap. If a problem arises that can not be repaired by simple adjustment, the baton should be returned to the Logistics Officer for repair or replacement. Arresting officers may purchase, at their own expense, from ASP or an ASP authorized dealer a different type of end cap. No after-market products are to be used. Revised 8/13/2007