Attachment_1-8.pdf

Attachment 1

Attachment 2

QUALITY ASSURANCE SURVEILLANCE PLAN

1. INTRODUCTION

ICE’s Quality Assurance Surveillance Plan (QASP) is based on the premise that the Service Provider, and not the Government, is responsible for the day-to-day operation of the Facility and all the management and quality control actions required to meet the terms of the Agreement.

The role of the Government in quality assurance is to ensure performance standards are achieved and maintained. The Service Provider shall develop a comprehensive program of inspections and monitoring actions and document its approach in a Quality Control Plan (QCP). The Service Provider’s QCP, upon approval by the Government, will be made a part of the resultant Agreement.

This QASP is designed to provide an effective surveillance method to monitor the Service Provider’s performance relative to the requirements listed in the Agreement. The QASP illustrates the systematic method the Government (or its designated representative) will use to evaluate the services the Service Provider is required to furnish.

This QASP is based on the premise the Government will validate that the Service Provider is complying with the Enforcement and Removal Operations (ERO) -mandated quality standards in operating and maintaining detention facilities. Performance standards address all facets of detainee handling, including safety, health, legal rights, facility and records management, etc.

Good management by the Service Provider and use of an approved QCP will ensure that the Facility is operating within acceptable quality levels.

2. DEFINITIONS

Performance Requirements Summary (Attachment A): The Performance Requirements Summary (PRS) communicates what the Government intends to qualitatively inspect. The PRS is based on the American Correctional Association (ACA) Standards for Adult Local Detention Facilities (ALDF) and ICE 2011 Performance Based National Detention Standards (PBNDS).

The PRS identifies performance standards grouped into nine functional areas, and quality levels essential for successful performance of each requirement. The PRS is used by ICE when conducting quality assurance surveillance to guide them through the inspection and review processes.

Functional Area: A logical grouping of performance standards.

Contracting Officer’s Representative (COR): The COR interacts with the Service Provider to inspect and accept services/work performed in accordance with the technical standards prescribed in the Agreement. The Contracting Officer issues a written memorandum that appoints the COR. Other individuals may be designated to assist in the inspection and quality assurance surveillance activities.

Performance Standards: The performance standards are established in the ERO ICE

2011PBNDS at http://www.ice.gov/detention-standards/2011 as well as the ACA standards for ALDF. Other standards may also be defined in the Agreement.

Measures: The method for evaluating compliance with the standards.

Acceptable Quality Level: The minimum level of quality that will be accepted by ICE to meet the performance standard.

Withholding: Amount of monthly invoice payment withheld pending correction of a deficiency.

See Attachment A for information on the percentages of an invoice amount that may be withheld for each functional area. Funds withheld from payment are recoverable (See Sections 7 and 8) if the COR and Contracting Officer confirm resolution or correction, and should be included in the next month’s invoice.

Deduction: Funds may be deducted from a monthly invoice for an egregious act or event, or if the same deficiency continues to occur. The Service Provider will be notified immediately if such a situation arises. The Contracting Officer in consultation with the ERO will determine the amount of the deduction. Amounts deducted are not recoverable.

4. QUALITY CONTROL PLAN

The Service Provider shall develop, implement, and maintain a Quality Control Plan (QCP) that illustrates the methods it will use to review its performance to ensure it conforms to the performance requirements. (See Attachment A for a summary list of performance requirements.)

Such reviews shall be performed by the Service Provider to validate its operations, and assure ICE that the services meet the performance standards.

The Service Provider’s QCP shall include monitoring methods that ensure and demonstrate its compliance with the performance standards. This includes inspection methods and schedules that are consistent with the regular reviews conducted by ERO. The reports and other results generated by the Service Provider’s QCP activities should be provided to the COR as requested.

The frequency and type of the Service Provider’s reviews should be consistent with what is necessary in order to ensure compliance with the performance standards.

The Service Provider is encouraged not to limit its inspection to only the processes outlined in the 2011 PBNDS; however, certain key documents shall be produced by the Service Provider to ensure that the services meet the performance standards. Some of the documentation that shall be generated and made available to the COR for inspection is listed below. The list is intended as illustrative and is not all-inclusive. The Service Provider shall develop and implement a program that addresses the specific requirement of each standard and the means it will use to document compliance.

• Written policies and procedures to implement and assess operational requirements of the standard

• Documentation and record keeping to ensure ongoing operational compliance with the standards (e.g.; inventories, logbooks, register of receipts, reports, etc.)

http://www.ice.gov/detention-standards/2011

• Staff training records

• Contract discrepancy reports (CDRs)

• Investigative reports

• Medical records

• Records of investigative actions taken

• Equipment inspections

• System tests and evaluation

5. METHODS OF SURVEILLANCE

ICE will monitor the Service Provider’s compliance with the Performance Standards using a variety of methods. All facilities will be subject to a full annual inspection, which will include a review of the Service Provider’s QCP activities. In addition, ICE may conduct additional routine, follow-up, or unscheduled ad hoc inspections as necessary (for instance, as a result of unusual incidents or data reflected in routine monitoring). ICE may also maintain an on-site presence in some facilities in order to conduct more regular or frequent monitoring. Inspections and monitoring may involve direct observation of facility conditions and operations, review of documentation (including QCP reports), and/or interviews of facility personnel and detainees.

5.1 Documentation Requirements: The Service Provider shall develop and maintain all documentation as prescribed in the PBNDS (e.g., post logs, policies, and records of corrective actions). In addition to the documentation prescribed by the standards, the Service Provider shall also develop and maintain documentation that demonstrates the results of its own inspections as prescribed in its QCP. The Government may review 100% of the documents, or a representative sample, at any point during the period of performance.

6. FUNCTIONAL PERFORMANCE AREAS AND STANDARDS

To facilitate the performance review process, the required performance standards are organized into nine functional areas. Each functional area represents a proportionate share (i.e., weight) of the monthly invoice amount payable to the Service Provider based on meeting the performance standards. Payment withholdings and deductions will be based on these percentages and weights applied to the overall monthly invoice.

ICE may, consistent with the scope the Agreement, unilaterally change the functional areas and associated standards affiliated with a specific functional area. The Contracting Officer will notify the Service Provider at least 30 calendar days in advance of implementation of the new standard(s). If the Service Provider is not provided with the notification, adjustment to the new standard shall be made within 30 calendar days after notification. If any change affects pricing, the Service Provider may submit a request for equitable price adjustment in accordance with the “Changes” clause. ICE reserves the right to develop and implement new inspection techniques and instructions at any time during performance without notice to the Service Provider, so long as the standards are not more stringent than those being replaced.

7. FAILURE TO MEET PERFORMANCE STANDARDS

Performance of services in conformance with the PRS standards is essential for the Service Provider to receive full payment as identified in the Agreement. The Contracting Officer may take withholdings or deductions against the monthly invoices for unsatisfactory performance documented through surveillance of the Service Provider’s activities gained through site inspections, reviews of documentation (including monthly QCP reports), interviews and other feedback. As a result of its surveillance, the Service Provider will be assigned the following rating relative to each performance standard:

Rating Description Acceptable Based on the measures, the performance standard is demonstrated.

Deficient Based on the measures, compliance with most of the attributes of the performance standard is demonstrated or observed with some area(s) needing improvement. There are no critical areas of unacceptable performance

At-Risk Based on the performance measures, the majority of a performance standard’s attributes are not met.

Using the above standards as a guide, the Contracting Officer will implement adjustments to the Service Provider’s monthly invoice as prescribed in Attachment A.

Rather than withholding funds until a deficiency is corrected, there may be times when an event or a deficiency is so egregious that the Government deducts (vs. “withholds”) amounts from the Service Provider’s monthly invoice. This may happen when a significant event occurs, when a particular deficiency is noted multiple times without correction, or when the Service Provider has failed to take timely action on a deficiency about which he was properly and timely notified.

The amount deducted will be consistent with the relative weight of the functional performance area where the deficiency was noted. The deduction may be a one-time event, or may continue until the Service Provider has either corrected the deficiency, or made substantial progress in the correction.

Further, a deficiency found in one functional area may tie into another. If a detainee escaped, for example, a deficiency would be noted in “Security,” but may also relate to a deficiency in the area of “Administration and Management.” In no event will the withhold or deduction exceed 100% of the invoice amount.

8. NOTIFICATIONS

(a) Based on the inspection of the Service Provider’s performance, the COR will document instances of deficient or at-risk performance (e.g., noncompliance with the standard) using the CDR located at Attachment B. To the extent practicable, issues should be resolved informally, with the COR and Service Provider working together. When documentation of an issue or deficiency is required, the procedures set forth in this section will be followed.

(b) When a CDR is required to document performance issues, it will be submitted to the Service

Provider with a date when a response is due. Upon receipt of a CDR, the Service Provider shall immediately assess the situation and either correct the deficiency as quickly as possible or prepare a corrective action plan. In either event, the Service Provider shall return the CDR with the action planned or taken noted. After the COR reviews the Service Provider’s response to the CDR including its planned remedy or corrective action taken, the COR will either accept the plan or correction or reject the correction or plan for revision and provide an explanation. This process should take no more than one week. The CDR shall not be used as a substitute for quality control by the Service Provider.

(c) The COR, in addition to any other designated ICE official, shall be notified immediately in the event of all emergencies. Emergencies include, but are not limited to the following: activation of disturbance control team(s); disturbances (including gang activities, group demonstrations, food boycotts, work strikes, work-place violence, civil disturbances, or protests); staff use of force including use of lethal and less-lethal force (includes detainees in restraints more than eight hours); assaults on staff or detainees resulting in injuries requiring medical attention (does not include routine medical evaluation after the incident);

fights resulting in injuries requiring medical attention; fires; full or partial lock down of the Facility; escape; weapons discharge; suicide attempts; deaths; declared or non-declared hunger strikes; adverse incidents that attract unusual interest or significant publicity; adverse weather (e.g., hurricanes, floods, ice or snow storms, heat waves, tornadoes); fence damage;

power outages; bomb threats; significant environmental problems that impact the Facility operations; transportation accidents resulting in injuries, death or property damage; and sexual assaults. Note that in an emergency situation, a CDR may not be issued until an investigation has been completed.

(d) If the COR concludes that the deficient or at-risk performance warrants a withholding or deduction, the COR will include the CDR in its monthly report, with a copy to the Contracting Officer. The CDR will be accompanied by the COR’s investigation report and written recommendation for any withholding. The Contracting Officer will consider the COR’s recommendation and forward the CDR along with any relevant supporting information to the Service Provider in order to confirm or further discuss the prospective cure, including the Government’s proposed course of action. As described in section 7 above, portions of the monthly invoice amount may be withheld until such time as the corrective action is completed, or a deduction may be taken.

(e) Following receipt of the Service Provider’s notification that the correction has been made, the COR may re-inspect the Facility. Based upon the COR’s findings, he or she will recommend that the Contracting Officer continue to withhold a proportionate share of the payment until the correction is made, or accept the correction as final and release the full amount withheld for that issue.

(f) If funds have been withheld and either the Government or the Service Provider terminates the

Agreement, those funds will not be released. The Service Provider may only receive withheld payments upon successful correction of an instance of non-compliance. Further, the Service Provider is not relieved of full performance of the required services hereunder; the Agreement may be terminated upon adequate notice from the Government based upon any one instance, or failure to remedy deficient performance, even if a deduction was previously taken for any inadequate performance.

(g) The COR will maintain a record of all open and resolved CDRs.

9. DETAINEE OR MEMBER OF THE PUBLIC COMPLAINTS

The detainee and the public are the ultimate recipients of the services identified in this Agreement. Any complaints made known to the COR will be logged and forwarded to the Service Provider for remedy. Upon notification, the Service Provider shall be given a pre-specified number of hours after verbal notification from the COR to address the issue. The Service Provider shall submit documentation to the COR regarding the actions taken to remedy the situation. If the complaint is found to be invalid, the Service Provider shall document its findings and notify the COR.

10. ATTACHMENTS

A. Performance Requirements Summary

B. Contract Discrepancy Report

Attachment A – Performance Requirements Summary

A-1

FUNCTIONAL AREA PERFORMANCE STANDARD

(PBNDS 2011)

WITHHOLDING CRITERIA

Safety Addresses a safe work environment for staff, volunteers, contractors and detainees

PBNDS References: Part 1 -

SAFETY

1.1 Emergency Plans;

1.2 Environmental Health and

Safety;

1.3 Transportation (by Land).

A Contract Discrepancy Report that cites violations of cited PBNDS and PWS (contract) sections that provide a safe work environment for staff, volunteers, contractors and detainees, permits the Contract Officer to withhold or deduct up to 20% of a month invoice until the Contract Officer determines there is full compliance with the standard or section.

Security Addresses protection of the community, staff, contractors, volunteers and detainees from harm

PBNDS References: Part 2 -

SECURITY

2.1 Admission and Release;

2.2 Classification System;

2.3 Contraband;

2.4 Facility Security and Control;

2.5 Funds and Personal Property;

2.6 Hold Rooms in Detention

Facilities;

2.7 Key and Lock Control;

2.8 Population Counts;

2.9 Post Orders;

2.10 Searches of Detainees;

2.11 Sexual Abuse and Assault

Prevention and Intervention;

2.12 Special Management Units;

2.13 Staff-Detainee Communication;

2.14 Tool Control;

2.15 Use of Force and Restraints.

A Contract Discrepancy Report that cites violations of PBNDS and PWS (contract) sections that protect the community, staff, contractors, volunteers, and detainees from harm, permits the Contract Officer to withhold or deduct up to 20% of a monthly invoice until the Contract Officer determines there is full compliance with the standard or section.

Order Addresses contractor responsibility to maintain an orderly environment with clear expectations of behavior and systems of accountability

PBNDS Reference: Part 3 - ORDER

3.1 Disciplinary System.

A Contract Discrepancy Report that cites violations of PBNDS and PWS (contract) sections that maintain an orderly environment with clear expectations of behavior and systems of accountability permits the Contract Officer to withhold or deduct up to 10% of a monthly invoice until the Contract Officer determines there is full compliance with the standard of section.

Care Addresses contractor responsibility to provide for the basic needs and personal care of detainees

PBNDS References: Part 4 - CARE

4.1 Food Service;

4.2 Hunger Strikes;

4.3 Medical Care;

4.4 Personal Hygiene;

4.5 Suicide Prevention and

Intervention;

4.6 Terminal Illness, Advanced

Directives, and Death.

A Contract Discrepancy Report that cites violations of PBNDS and PWS (contract) sections that provide for the basic needs and personal care of detainees, permits the Contract Officer to withhold or deduct up to 20% of a monthly invoice until the Contract Officer determines there is full compliance with the standard or section.

Activities Addresses contractor responsibilities to reduce the negative effects of confinement

PBNDS References: Part 5 -

ACTIVITIES

5.1 Correspondence and Other Mail;

5.2 Escorted Trips for Non-Medical

Emergencies;

5.3 Marriage Requests;

5.4 Recreation;

5.5 Religious Practices;

5.6 Telephone Access;

5.7 Visitation;

5.8 Voluntary Work Program.

A Contract Discrepancy Report that cites violations of PBNDS and PWS (contract) sections that reduce the negative effects of confinement permits the Contract Officer to withhold or deduct up to 10% of a monthly invoice until the Contract Officer determines there is full compliance with the standard or section.

Justice Addresses contractor responsibilities to treat

PBNDS References: Part 6 -

JUSTICE

6.1 Detainee Handbook;

A Contract Discrepancy Report that cites violations of PBNDS and PWS (contract) sections that treat detainees

Attachment A – Performance Requirements Summary

A-2

FUNCTIONAL AREA PERFORMANCE STANDARD

(PBNDS 2011)

WITHHOLDING CRITERIA

detainees fairly and respect their legal rights

6.2 Grievance System;

6.3 Law Libraries and Legal

Materials;

6.4 Legal Rights Group

Presentations.

fairly and respect their legal rights, permits the Contract Officer to withhold or deduct up to 10% of a monthly invoice until the Contract Officer determines there is full compliance with the standard or section.

Administration and Management

Addresses contractor responsibilities to administer and manage the facility in a professional and responsible manner consistent with legal requirements

PBNDS References: Part 7 - -

ADMIN &

MANAGEMENT

7.1 Detention Files;

7.2 News Media Interviews and

Tours;

7.3 Staff Training;

7.4 Transfer of Detainees;

Accommodations for the Disabled, 4-ALDF-6B-04, 4-ALDF-6B-07

A Contract Discrepancy Report that cites violations of PBNDS and PWS (contract) sections that require the Contractor’s administration and management of the facility in a professional and responsible manner consistent with legal requirements, permits the Contract Officer to withhold or deduct up to 10% of a monthly invoice until the Contract Officer determines there is full compliance with the standard or section.

Workforce Integrity Addresses the adequacy of the detention/correctional officer hiring process, staff training and licensing/certification and adequacy of systems

Staff Background and Reference Checks (Contract) 4-ALDF-7B-03

Staff Misconduct 4-ALDF-7B-01

Staffing Pattern Compliance within 10% of required (Contract) 4-ALDF- 2A-14

Staff Training, Licensing, and Credentialing (Contract) 4-ALDF-

4D-05, 4-ALDF-7B-05, 4-ALDF-7B-

A Contract Discrepancy Report that cites violations of the ALDF Standards associated with Workforce Integrity and PWS (contract) sections permits the Contract Officer to withhold or deduct up to 10% of a monthly invoice until the Contract Officer determines there is full compliance with the standard or section.

Detainee Discrimination Addresses the adequacy of policies and procedures to prevent discrimination against detainees based on their gender, race, religion, national origin, or disability

Discrimination Prevention 4-ALDF- 6B-02-03

A Contract Discrepancy Report that cites violations of the ALDF Standards associated with Detainee Discrimination and PWS (contract) sections permits the Contract Officer to withhold or deduct up to 10% of a monthly invoice until the Contract Officer determines there is full compliance with the standard or section.

Attachment B – Contract Discrepancy Report

B-1

CONTRACT DISCREPANCY REPORT

1. CONTRACT NUMBER

Report Number: Date:

2. TO: (Contractor and Manager Name) 3. FROM: (Name of COR)

DATES

CONTRACTOR NOTIFICATION

CONTRACTOR RESPONSE

DUE BY

RETURNED BY CONTRACTOR

ACTION COMPLETE

4. DISCREPANCY OR PROBLEM (Describe in Detail: Include reference in PWS / Directive: Attach continuation sheet if necessary.)

5. SIGNATURE OF CONTRACTING OFFICER’S TECHNICAL REPRESENTATIVE (COR)

6. TO: (COR)

7. FROM: (Contractor)

8. CONTRACTOR RESPONSE AS TO CAUSE, CORRECTIVE ACTION AND ACTIONS TO PREVENT RECURRENCE. ATTACH CONTINUATION SHEET IF NECESSARY. (Cite applicable Q.A. program procedures or new A.W. procedures.)

9. SIGNATURE OF CONTRACTOR REPRESENTATIVE

10. DATE

11. GOVERNMENT EVALUATION OF CONTRACTOR RESPONSE/RESOLUTION PLAN: (Acceptable response/plan, partial acceptance of response/plan, rejection: attach continuation sheet if necessary)

12. GOVERNMENT ACTIONS (Payment withholding, cure notice, show cause, other.)

CLOSE OUT

CONTRACTOR

NOTIFIED

NAME AND TITLE SIGNATURE DATE

COR

CONTRACTING

OFFICER

U.S. IMMIGRATION AND

ICE Pol

OFFICE OF PRIMARY INTEREST: Direc Tactic

DISTRIBUTION

DIRECTIVE NO

ISSUE DATE:

EFFECTIVE DA

REVIEW DATE

SUPERSEDES:

DIRECTIVE TITLE: ICE Body Armor

1. PURPOSE and SCOPE. To establ

Enforcement (ICE) policy for the us (body armor) and identify related m This directive applies to all compon

2. AUTHORITIES/REFERENCES.

2.1. Statutory and Regulatory Authori

8 USC 1103

2.2. ICE Policy

Interim ICE Firearms Policy (July 7

Interim ICE Use of Force Policy (Ju

2.3 National Institute of Justice Refer

Ballistic Resistance of Personal Bod and amendments)

Selection and Application Guide to 100-98, and amendments)

3. SUPERSEDED/CANCELLED PO

This directive supersedes previous le recognized processes for soft body a

ICE BODY ARMOR POLICY

CUSTOMS ENFORCEMENT

icy System tor of Operations (National Firearms and al Training Unit)

: ICE

.: 70001.1

02/04/2005

TE: 02/04/2005

: 02/04/2008 see section 3

Policy ish the U.S. Immigration and Customs e of personal protective soft body armor anagement and employee responsibilities.

ents of ICE with armed officers.

ty

, 2004) ly 7, 2004) ence Documents y Armor (NIJ Standard 0101-03 and 0101-04

Personal Body Armor (NIJ Guide 100-01 and

LICY/SUMMARY OF CHANGES.

gacy policies, issuances and previously rmor for all ICE offices with armed officers.

4. DEFINITIONS.

4.1. Body Armor - A protective garment designed to stop a variety of standard handgun projectiles. The armor is not designed to stop all projectiles, especially those fired from high-caliber rifles. Unless rated as stab resistant, this armor is not designed to prevent injury from sharp or cutting or piercing-type weapons.

No body armor is designed as a replacement for common sense, good judgment and proper street survival procedures and tactics.

4.2. Technology Standards for Body Armor – The Law Enforcement and

Corrections Standards and Testing Program (LECSTP) is sponsored by the Office of Science and Technology of the National Institute of Justice (NIJ), Department of Justice (DOJ). The LECSTP is an applied research effort that determines the technological needs of justice systems agencies, sets minimum performance standards for specific devices, tests commercially available equipment against those standards and disseminates the standards and the test results to criminal justice agencies nationally and internationally. The NIJ reference documents for this policy are listed in the Authorities section and are as follows: Ballistic Resistance of Personal Body Armor (NIJ Standard 0101-03 and 0101-04) and Selection and Application Guide to Personal Body Armor (NIJ Guide 100-01 and 100-98), to include amendments.

5. POLICY.

5.1. All ICE employees authorized to carry firearms as a condition of employment shall be issued protective body armor. New employees will be fitted for body armor during their initial training at the Federal Law Enforcement Training Center (FLETC) or as specified by ICE. Replacement of expired or damaged body armor in the field shall be coordinated with the designated official for that operational component, most often the Senior Firearms Instructor (SFI).

5.2. The ballistic resistance performance standard for protective body armor requires a minimum of threat level type IIA protection, with side panel coverage, and must meet the current NIJ standards.

5.3. All ICE armed officers are strongly encouraged to wear their issued body armor while performing law enforcement duties. When not being worn, body armor should be readily accessible in the vehicle or building where the officer is working. When away from the vehicle or building, the ICE armed officer does not have to carry the body armor, unless instructed by a supervisor.

5.4. All Federal Protective Service (FPS) armed uniformed officers shall wear their issued body armor while in the performance of their law enforcement duties.

When in a non-uniform status or not being worn, body armor should be readily accessible in the vehicle or building where the officer is working. When away from the vehicle or building, the ICE armed officer does not have to carry the body armor, unless instructed by an FPS supervisor.

5.5. All Detention and Removal Operations (DRO) armed uniformed officers shall wear their issued body armor while in the performance of their law enforcement duties. When not being worn, body armor should be readily accessible in the vehicle or building where the officer is working. DRO armed officers performing administrative duties or duties inside a detention facility shall not be required to wear their issued body armor.

5.6. Due to their covert mission within the aviation environment, Federal Air Marshals shall wear issued body armor according to their internal guidance and procedures as established by the Director, Federal Air Marshal Service.

5.7. The wearing of body armor during normal operations is at the discretion of the employee, except during activities as specified in the Procedures Section of this directive and for FPS and DRO armed officers as stated above in sections 5.4 and 5.5.

5.8. All employees need to be aware of the health risks associated with the wearing of body armor in high-heat/high humidity conditions and/or during strenuous exertion. When employees are required to wear body armor, they shall be provided opportunities to rehydrate and remove the body armor as necessary.

5.9. ICE does not authorize the use of personally owned body armor for armed officers while functioning as ICE employees. Any exception to this requirement first must be approved by the director of the operational component and then by the Director of the National Firearms and Tactical Training Unit (NFTTU).

6. RESPONSIBILITIES.

6.1. The NFTTU is responsible for the development of all national policy and procedures, and exercises program management responsibility for the body armor program.

6.2. The NFTTU shall coordinate all research, testing, evaluation, procurement, distribution and destruction of body armor.

6.3. The SFIs are responsible for coordinating requests for body armor, ensuring training requirements are met and conducting inspections of all body armor as required by the NFTTU.

6.4. Supervisors are responsible for ensuring armed personnel under their supervision are issued body armor and that it has not exceeded its expiration date.

6.5. Supervisors are responsible for ensuring that all personnel issued body armor comply with the mandatory requirements for wearing body armor specified in the Procedures Section of this policy.

6.6. ICE officers are responsible for the proper care and inspection of the issued body armor in accordance with the manufacturer’s recommendations and ballistic panel labeling.

6.7. ICE officers are required to attend, participate and complete all mandated body armor training as required by ICE and/or their operational component.

7. PROCEDURES.

7.1. The NFTTU will develop standard operating procedures to be used for the selection, procurement, issuance, accountability, replacement and disposal of all ICE-owned and issued body armor.

7.2. The NFTTU shall maintain the national inventory system for body armor. Unless otherwise identified by the NFTTU, the Firearms Inventory System (FIS) module in the Automated Management Information System is the national inventory system and will be the official system of record for the accountability, transfer and inventory of all ICE body armor.

7.3. The officer to whom the body armor is issued is responsible for electronically accepting it in the designated automated inventory system. Body armor should not be documented on any other ICE property record document other than for exigent circumstances and only as an interim hand receipt until FIS can be properly updated by the responsible officer(s).

7.4. A 100 percent body armor inventory shall be performed annually by all employees issued body armor in FIS. Responsible officials (supervisory personnel) shall ensure that the employees complete their annual inventory and verification process in FIS within 30 days of notification of the initiation of the inventory process. Employees who fail to complete their inventory and verifications within the specified 30 days may be subject to disciplinary action.

7.5. In the event that body armor is lost or stolen, it must be reported to the NFTTU via facsimile (814-946-9995) and FIS within 48 hours of discovery by the employee to whom it was issued. This FIS reporting requirement does not preclude any other reporting requirement(s) mandated by any other ICE policy or procedure. The stolen body armor information, with serial number, shall also be entered into the National Crime Information Center (NCIC) database.

7.6. The wearing of body armor by ICE armed officers is mandatory during the following activities:

7.6.1. Special Response Team (SRT) deployments when officers are part of an arrest, or operate as an entry or perimeter element;

7.6.2. Executing arrests in pre-planned situations. ICE officers working in an undercover capacity, or in support of another officer working in an undercover capacity, may be exempted from the requirement of wearing body armor stated in this section, if the wearing of the body armor presents a danger of being exposed as a law enforcement officer. This exemption pertains to officers who will be working in close proximity to violators and who may identify the officer as a law enforcement officer by noticing the body armor. In all cases, the exemption must be approved by a first-line supervisor prior to the operation;

7.6.3. Execution of high-risk search warrants until the premises are secured and cleared or at the discretion of the first-line supervisor;

7.6.4. Apprehension phases of air and marine interdiction operations;

7.6.5. Transportation, storage or destruction of seized narcotics, currency or other high risk or valuable commodity;

7.6.6. During normal operations for FPS and DRO officers, if armed, and in uniform as stated above in sections 5.4., 5.5. and 5.7.;

7.6.7. In emergency situations where ICE management determines there is an immediate threat to the safety of employees. In addition to the nature of the emergency situation, ICE management will also determine the duration of the emergency and, accordingly, the length of time that body armor must be worn; and,

7.6.8. During all DRO fugitive apprehension operations regardless of whether it is a formalized, preplanned operation or not. This does not include simple investigative inquiries when an apprehension is not anticipated by the DRO armed officer.

7.7. SFIs shall ensure that training is provided to each employee who is issued body armor. SFIs shall ensure that all training is documented in the appropriate system as identified by the NFTTU.

7.8. Body armor training covers the following:

• Circumstances/situations when body armor must be worn;

• Type of body armor that is necessary;

NFTTU Authorized Restraint Devices Guidelines Page 1

National Firearms and Tactical Training Unit

Authorized Restraint Devices

June 17, 2013

NFTTU Authorized Restraint Devices Guidelines Page 2

METALLIC HANDCUFFS

The National Firearms and Tactical Training Unit (NFTTU) has approved the use of specific metallic handcuffs that meet the National Institute of Justice (NIJ) minimum performance standard (NIJ Standard 0307.01). The most recent NIJ National Law Enforcement and

Corrections Technology Center (NLECTC) Metallic Handcuffs Consumer Product List

(September 2011) identified the following handcuffs that meet the NIJ standards.

MANUFACTURER MODEL TYPE FINISH

Alcyon

360-734-3195 5050 Chain Link Nickel

American Handcuff Company

920-921-9110

A105

N105

S100

Chain Link

Chain Link

Chain Link

Anodized

Nickel

Black Oxide

Hiatt-Thompson Corporation

708-496-8585

Chain Link

Hinged

Hinged

Nickel

Nickel

Black Anodize

Peerless Handcuff Company

413-732-2156

Chain Link

Hinged

Hinged

Chain Link

Chain Link

Chain Link

Chain Link

Chain Link

Hinged

Hinged

Nickel

Black Oxide

Nickel

Nickel

Pentrate

Nickel

Nickel

Color Plated

Color Plated

Nickel

Smith & Wesson

207-532-7966

Chain Link

Lever Lock

Chain Link

MS Chain Link

Hinged

Leg Irons

Nickel

Nickel or Melonite

Stainless

Nickel

Nickel

Stainless

Tactical Steel Products WN-40 Chain Link Stainless Steel

Toye, Kenning and

Spencer, LTD (England) Type E Chain Link Polished

FLEXIBLE RESTRAINTS

The NIJ does not publish any minimum performance standard for flexible restraints. The

NFTTU has previously identified the following restraints as acceptable.

MANUFACTURER MODEL TYPE

NFTTU Authorized Restraint Devices Guidelines Page 3

Associated Bag Company Tie Nylon

Hiatt-Thompson 8020 Plastic

Monadnock Single

Double

Plastic

Plastic

NIK Public Safety Inc. Flex-Cuff Nylon

Tuff-Tie T250-1M Nylon

MISCELLANEOUS RESTRAINTS & SAFETY RELATED EQUIPMENT

The NIJ does not publish any minimum performance standard for the following restraints and safety related equipment. The NFTTU has identified the following restraints and safety related equipment as acceptable.

ITEM MANUFACTURER MODEL TYPE

Box Cover for Chain Cuffs CTS Thompson 7082 N/A

Oversize Handcuffs Smith and Wesson

Peerless

Satin Nickel

Color Plated

Long Chain Handcuffs Peerless 700 Nickel Finish

Belly Chain Peerless PSC78 Nickel Plate

Oversize Leg Irons Peerless 705 Nickel Finish

Color Plated

Locking Leg Weight Humane Restraint TW-200 10 or 20 Lbs

Transport Leg Brace Humane Restraint N/A Right or Left

Strait Jacket Humane Restraint N/A Any Size

Hard Shell Protective Helmet

W/ Face Shield Humane Restraint N/A Any Size

Transport Hood Safariland NIK N/A

Gang Belt

Protective Mask

RIPP

RIGB-100

PM-100

2” (w), 1400lbs

N/A

Padlock American Lock 5200 Series Same Key

Padlock Cuff Lock Fat Boy Handcuff key

Additional Comments:

The NFTTU Policy and Programs staff can always be contacted at

NFTTUPolicy@ice.dhs.gov for additional information. These guidelines supersede the

Authorized Restraint Devices Guidelines issued June 2011.

mailto:NFTTUPolicy@ice.dhs.gov

U.S. Immigration and Customs Enforcement

Interim

ICE Use of Force Policy

July 7, 2004

C. Preparation for Use of Warning Shots

Table of Contents

Part 1 Use of Force

A. General Guidelines B. The Use of Force Continuum C. Emergency Situations D. Employee Assistance Program…....…………………………………………………………...3

Part 2 Use of Force Reporting Requirements

A. Use of Deadly Force B. Discharge of a Firearm C. Exceptions to Reporting Firearm Discharges D. Reporting Use of Hard Techniques and/or Chemical Agents E. The Firearms and Use of Force Incident Review Committee

Part 3 Intermediate Force Devices

A. Authority to Use Intermediate Force Weapons B. Use of Chemical Agents C. Impact Weapons D. Specialty Impact Munitions E. Reporting Requirements for Use of Intermediate Weapons…...…………………………….10

Part 4 Marine Enforcement

A. General Guidelines B. Training and Certification

D. Use of Warning Shots E. Disabling Fire F. Defense Against Ramming Attempts G. Reporting the Use of Warning or Disabling Shot

Appendix 1 - DHS Use of Force Policy Appendix 2 – Shooting or Use of Deadly Force Incident Investigation Reports Appendix 3- ICE Use of Force Incident Report

Part 1 Use of Force

A. General Guidelines

1. 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.

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. Warning shots and disabling fire are prohibited except where authorized in Part 4 in the area of marine enforcement.

B. 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 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) Professional, courteous demeanor;

(2) Positive attitude;

(3) Physical condition (fitness);

(4) Posture and body language; and

(5) Neatness of attire or uniform and equipment.

b. Verbal Commands

(1) Professional, firm voice;

(2) Instructions should be simple, easy to understand and repeated as necessary; and

(3) Only one officer should issue verbal commands.

c. Soft Techniques

(1) Minimal chance of injury, empty-hand;

(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) Use of chemical agents.

d. Hard Techniques

(1) Greater possibility of injury to participants;

(2) Strikes with hand, arm, foot, leg, head or whole body;

(3) Throws;

(4) Take-downs;

(5) Impact weapons when used for striking; and

(6) Specialty impact weapons.

e. Deadly Force

(1) 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.

(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) 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.

C. 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.

Part 2 Use of Force Reporting Requirements

A. 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 self-incriminating 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. The officer must immediately report the incident to their supervisor.

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. 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.

3. 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 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. As additional information is obtained, the supervisor is responsible for supplementing written reports with such information.

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. 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.

B. 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;

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. 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.

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. 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.

C. 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.

D. Reporting Use of Hard Techniques and/or Chemical Agents

1. 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.

2.